Capacity Development: Operational Annex 8

b
Capacity
Development
OPERATIONAL ANNEX 8
Ministry of Agriculture
Addis Ababa
| PSNP Capacity Development OA

Table of Contents
Acronyms ............................................................................................................................ 1
1. Introduction ................................................................................................................. 2
1.1 Objectives and Principles of CD OA ........................................................................... 2
1.2 Scope and main users ............................................................................................. 3
2 CD-related Policies and Strategies ................................................................................... 4
2.1 National HRD Policy and Strategy .................................................................................. 4
2.2 PSNP CD Strategy ........................................................................................................ 4
3 CD Management for PSNP .............................................................................................. 4
3.1 CD Governance and Lead Implementation Agencies ................................................... 5
3.2 PSNP CD Staffing .................................................................................................... 5
3.3 CD Roles and Responsibilities at Each Level ............................................................... 6
3.4 PSNP Implementing Government and Partner Agencies .............................................. 8
4 PSNP CD Programming Using the CD Systematic Approach ................................................. 9
4.1 Consensus Building ................................................................................................. 9
4.2 Capacity Strengthening ..........................................................................................13
4.3. Capacity Application ..............................................................................................19
5 Monitoring and Evaluation of CD for PSNP ......................................................................22
5.1. PSNP CD Performance Framework .......................................................................22
5.2. PSNP CD M&E Techniques...................................................................................24
6 CD Tools......................................................................................................................26
6.1 Sample CD competency assessment..............................................................................26
6.2: Options for seating arrangements for CD events ...........................................................27
6.3. Pre/Post Training Evaluation.......................................................................................28
6.4. Training application commitment plan to improve workplace performance......................31
6.5. Assessment of effective use and integration of the systematic CD approach to Instruction.32
i | PSNP Capacity Development OA

Acronyms
CD Capacity development
CMC Coordination and Management Committee
CoP Community of Practice
EFY Ethiopian Fiscal Year
ESMF Environmental and Social Management Framework
FSTF Food Security Task Force
FSC/O Food Security Coordination/Office
HR Human Resource
HRD Human Resource Development
HRM Human Resource Management
IA Implementing Agency
JES Job Embedded Support
M&E Monitoring and Evaluation
NGOs Nongovernment Organizations
PDS Permanent Direct Support
PMTC Program Management Technical Committee
PRM Physical Resource Management
PSNP Productive Safety Net Program
TASC Technical Assistance to Support Capacity of PSNP
TC Technical Committee
ToR Terms of Reference
TDS Temporary Direct Support
UN United Nations
1 | PSNP Capacity Development OA

1. Introduction
Capacity Development in PNSP must be guided by a systematic approach and standard operating
practices in order for it to be a worthwhile investment. The Food Security Coordination Directorate
(FSCD) in consultation with key PSNP implementing government and partner agencies has developed
a CD Guideline. This CD Operational Annex (OA) is informed by the CD Guideline, important lessons
learned in previous PSNP phases, and the GoE’s National Human Resources Development Policy and
Strategy (2010 EFY).
PSNP is a complex and innovative program that requires strong and consistent management and
technical capacities for its efficient and effective delivery. Program performance management and CD
are two-sides of a coin that reinforce each other. CD improves implementation and performance
management capacities, while a supportive management environment improves the effectiveness
and efficiency of CD investments.
This OA defines and standardizes the PSNP’s CD approaches, processes, and tools, as well as CD
governance structure, roles and responsibilities, and accountability mechanisms. The CD OA has six
chapters. Chapter 1 introduces CD, outlines its objectives, principles, scope, and main users. Chapter
2 highlights the higher-level CD-related policies and strategies that inform CD in PSNP. Chapter 3
outlines the management and coordination mechanisms for CD as well as the objective and
foundational principles of the OA. Chapter 4 is the core of the Annex and provides the procedural and
technical requirements for the systematic CD model. Chapter 5 sets out the CD performance
measurement framework with M&E techniques.
1.1 Objectives and Principles of CD OA
1.1.1 Objectives
The CD OA has the following two objectives:

a. To provide standard processes and methods for effective delivery of PSNP CD, and
b. To provide performance and accountability frameworks for the PSNP CD investment
1.1.2 Principles
CD for PSNP will be guided by the following core principles and values:
• Political will. Performance delivery and CD are two strongly linked dimensions of program
management. Engaged leadership and effective management are critical for achieving successes
in these two management areas. This requires valuing CD as an investment rather than seeing it
in a traditional manner as a one-off activity and someone else’s responsibility. Therefore, program
leaders and managers at different levels must provide strategic guidance, oversight and support
for promotion, implementation, and evaluation of CD for effectiveness and efficiency. Simply, they
need to champion CD and link it with performance and change.
• Need-based: CD programs must be identified and designed based on analysis of specific
performance gaps, and individual/organizational capacity deficits. The analysis of program
performance and capacity gaps should inform annual CD planning and CD program design.

• Value for money. Allocating adequate, dedicated, and timely budget to carry out CD programs is
an important consideration. Even more important is managing the efficient use of the allocated
CD budget.
• Collaborative: All IAs and their managers and employees will have shared responsibility for CD.
They need to collaborate during each stage of the CD programming cycle.
• Standardized: Standardizing PSNP’s CD needs and activities into a common set of CD programs
brings economies of scale in CD investment by avoiding fragmentation and duplication of PSNP
CD efforts. Standardization allows the development and rolling out of coherent CD programs that
can therefore have a broader and greater impact. Standardization allows regions to plan and
implement their regional specific CD interventions using CD standards set out in this OA.
• Mainstreaming: CD programs will ensure mainstreaming and addressing cross cutting issues
concerning gender, nutrition, and climate change, and open up opportunities for women and
youth development within the program context.
• Accountability: All managers and employees in the different PSNP IAs will be accountable or
answerable, individually, and collectively, for effective and efficient implementation of CD
interventions in accordance with this OA.
This CD OA shall be used across the whole PSNP. Government and partner agencies and their staff
implementing PSNP at different levels and scales must comply with and use this OA in its entirety.
This includes USAID-funded NGOs, UN bodies, the CD Support Facility, and others undertaking CD for
PNSP5.
1.2 Scope and main users
This OA applies across the whole PSNP. All government and partner agencies implementing and
supporting PSNP at different levels of government must comply with and use this OA.
The main users of this OA are all PSNP IAs and their personnel who are engaged in capacity
development efforts of the PSNP. Specially, the following, in different capacities and roles at different
levels, are the ultimate users of this OP:
• PSNP directors line managers/ and coordinators,

• Capacity development coordinators and focal persons,
• PSNP governance and coordination bodies (or committees),
• PSNP planners and M&E staff,
• Champion facilitators / trainers,
• CD program designers and developers,
• PSNP CD support facilities and partners,
• PSNP CD consultants, and
• PSNP staff as a whole, who provide or receive CD support.

2 CD-related Policies and Strategies
2.1 National HRD Policy and Strategy
Capacity development has been increasingly recognized as one of the critical factors enabling effective
service delivery and achievement of development outcomes across all sectors, organizations, and
programs. In response to this, the Government of Ethiopia developed the National Human Resource
Development (HRD) Policy and Strategy (2010 EFY, Amharic version).
Key elements from the National HRD Policy and Strategy that are relevant to PSNP CD are outlined
below:
• Organizations (and programs) need to be equipped with adequate and capable personnel and
other capacities to achieve their common goals
• Developing managerial and technical capacities must be need based, well aligned with
achieving results, and in harmony with scientific approaches and best practice, as well as being
monitored and evaluated for continuous learning and improvement.
• Training standards and procedures must include:
• Training needs assessment shall inform training design and development
• Only those who received ToT and certificate of competency shall deliver/rollout
trainings
• Training that takes three or more days should take pre-and post-training tests. Those
passing the test will receive certificate of competence
• Skill training must constitute 60-70% practical and 30-40% theory
• Adequate and accountable working environments must be created for learners to
effectively apply their learned skills and tools in workplaces
2.2 PSNP CD Strategy
PSNP’s CD Strategy was developed in 2016. The goal of the Strategy is two-fold (i) to strengthen
program delivery and (ii) to contribute to institutionalization of CD within the government system. The
PSNP CD Strategy is framed around the following five strategic objectives:
a. To ensure adequate human and physical resources to implement the program

b. To adopt a systematic approach to CD across the entire program
c. To develop and deliver technical CD programs using the systematic CD approach
d. To strengthen the program management and coordination mechanism for improved program
efficiency and effective program delivery, and
e. To develop and implement a knowledge management mechanism to institutionalize CD within
the government system
The forthcoming CD evaluation may lead to revision of the CD Strategy with particular attention
to the CD needs of the highlands and pastoral areas.
3 CD Management for PSNP

This section of the OA identifies CD governance structures, CD lead implementing agencies and CD
coordination mechanisms with detailed respective roles and responsibility for CD interventions under
PSNP5.
3.1 CD Governance and Lead Implementation Agencies

PSNP’s government ministries responsible for PSNP delivery (implementing agencies) and their lower
level structures, as well as aligned USAID-funded NGOs, UN agencies and other partners supporting
PSNP, are responsible for CD implementation and coordination. The Food Security offices at all levels
play an overarching guidance and coordination role.
PSNP’s Implementing Agencies are supported by the various technical committees, sub committees
and task forces of PSNP5. The TCs and TFs also facilitate coordination of CD between the implementing
agencies to ensure a systematic, prioritized, and harmonized approach to CD.
PSNP’s Implementing Agencies are further supported by dedicated staff responsible for CD at each
level of government, as outlined below.
3.2 PSNP CD Staffing

At federal and regional level, PSNP has established full-time staff positions for CD Coordinators
within Food Security units. At woreda level, CD focal persons (usually the M&E experts) are
designated CD focal points for PSNP and housed within Food Security.
In addition to CD staffing within FS, each implementing agency responsible for a program output will
designate one of their program staff (preferably their M&E expert) as a focal point for CD for that
output. These FPs will liaise with the FS CD staff and support CD implementation, monitoring and
reporting for each output.
The FS managers at different levels will oversee, provide management support, and ensure that the
CD coordinators’ positions are filled, FPs are designated, and TCs are addressing CD issues
effectively.
3.2.1 Roles and Responsibilities of CD Staff (Federal and Regional CD Coordinators and Woreda CD
Focal Persons) in Food Security
Reporting to their respective supervisors within Food Security, CD Coordinators and Focal Persons are
responsible for technical leadership and coordination of PSNP CD programming functions and
activities. They have the following specific roles:
• Liaise with and support PSNP implementing agencies and their CD focal persons at different
levels for effective implementation of PSNP CD systems and training programs
• Provide technical leadership and coordination for annual CD assessments, need-based annual
CD planning, and progress reporting using established procedures and templates
• Organize and facilitate semi-annual progress reviews and CD plan adjustments, as needed
• Support IA line-managers at respective levels to better understand and make appropriate
decisions related to CD
• Support respective CD governance structures (FSTFs and TCs) in setting agendas, addressing
issues, and keeping meeting records related to CD
• Initiate, coordinate and facilitate joint CD governance semiannual reviews and annual learning
workshops and follow up on implementation of decisions and required actions
• Initiate and lead CD monitoring missions either separately or as part of wider PSNP initiatives

• Oversee and support IAs and ensure training programs comply with established training
procedural and technical standards
• Liaise and closely work with PSNP CD support facility and others to ensure their CD
professional expertise and technical assistance is effectively utilized
The federal CD Coordinator will in addition to the above provide technical leadership and coordination
for developing, revising, and promoting PSNP CD systems, including the CD Strategy for PSNP5.
3.3 CD Roles and Responsibilities at Each Level
Respective Food Security managers are accountable for PSNP CD effectiveness (accountability cannot
be delegated, but responsibility with authority can be delegated). All other IAs and staff share the
responsibility for implementing CD effectively in accordance with the PIM. This section of the OA
therefore describes the roles and responsibilities of different actors implementing PSNP CD.
3.3.1 Federal Level
FSCD
The FSCD has overall responsibility and is accountable for effective delivery of CD in PSNP5 in
accordance with this OA. It is responsible for the following strategic activities related to CD
programming:
• Provide guidance, oversight, and leadership for overall PSNP CD programming, including
developing PNSP5’s CD Strategy and accompanying implementation tools and supports
• Support all PSNP Implementing Agencies to implement the CD Strategy, including ensuring
program output lead institutions or units designate a CD focal person, mainstream CD in TCs
and integrate CD in output plans and progress reports
• Manage and facilitate PSNP annual CD planning, including providing timely CD planning
guidance and budget information, coordinating a CD assessment, and package major CD
needs and priorities into a PSNP CD plan that is integrated in PSNP’s annual plan
• Manage periodic CD progress monitoring and reporting, including ensuring semi-annual joint
CD review workshops with regions take place, and feedback and feed forward loops for
continuous learning and improvement of CD investments are developed and implemented
• Facilitate coordination and integration of PSNP’s CD support facility, USAID-funded NGO and
other implementing partners’ CD activities into a coherent CD system at regional and woreda
levels
• Ensure human and physical resource management data is regularly updated in the HR/PR
database and used for planning and reporting purposes
• Coordinate and oversee outsourced CD evaluation exercises
PM TC
FSCD is supported in this role by the Program Management TC (PM TC) comprising chairs and co-chairs
of the other four Technical Committees (TCs) and selected DPs. The PM TC is the CD governance body
at the federal level. Issues related to CD will be addressed at the PM TC chaired by FSCD. The PM TC
may establish a CD subcommittee if required to address specific CD-related tasks or issues.
Other Federal IAs and TCs

Other PSNP Implementing Agencies are responsible for overseeing the CD within the output for which
they are responsible and ensuring its alignment with the CD Strategy and guidance provided by this
OA and under Output 6. These IAs will be supported in this role by their respective output based TCs,
namely Transfers TC, Public Works TC, Linkages and Social Services TC, and Livelihoods TC.
3.3.2 Regional Level

FSC Offices
The FSC office is the lead agency for CD at regional level and is responsible for overall coordination
and management of PSNP CD. Its specific roles and responsibilities include:
• Assign regional level fulltime CD Coordinator and provide management support to them to carry
out their roles effectively, and ensure output lead IAs designate a CD FP
• Support all PSNP regional Implementing Agencies to implement the CD Strategy and guidance in
this OA, including mainstreaming CD in TCs and integrating CD in output plans and progress
reports
• Manage PSNP’s annual CD planning at regional level, including sharing timely CD planning
guidance and budget information from federal level with regional IA and woredas, coordinating a
CD needs assessment, and packaging major CD needs and priorities into a PSNP regional CD plan
that is integrated in PSNP’s regional annual plan
• Manage periodic CD progress monitoring and reporting, including participating in semi-annual
joint CD review workshops with regions and providing feedback and feed forward loops for
continuous learning and improvement of CD investments
• Facilitate coordination and integration of PSNP’s CD support facility, USAID-funded NGO and other
implementing partners’ CD activities into a coherent CD system
database and used for planning and reporting purposes.
FS TF
The FS TF is the CD governance body at regional level. It will review annual CD plans and ensure the
most pressing CD needs are prioritized in overall regional CD plans. Issues related to CD will be
addressed at the FS TF, and the TF will form the platform for CD progress monitoring, coordination
and agreement among PSNP’s regional IAs on CD Strategy implementation.
Other Regional IAs and TCs

Other regional PSNP IAs are responsible for overseeing the CD within the output for which they are
responsible and ensuring its alignment with the CD Strategy and guidance provided by this OA and
under Output 6. Each IA with responsibility for a PSNP output will assign a CD Focal Person (preferably
an M&E expert) for the output. The IAs will be supported by their respective output based TCs, namely
Transfers TC, Public Works TC, Linkages and Social Services TC, and Livelihoods TC. CD will be on the
agenda of all TC meetings and CD plans will be monitored regularly and action will be taken to address
challenges.
3.3.3 Woreda Level
FS Office
The woreda FS office/desk is the lead agency for CD at woreda level and is responsible for overall
coordination and management of PSNP CD. The specific CD roles and responsibilities of woreda FS
Offices include:
• Assign a CD Focal Person (preferably M&E expert) and provide management support to carry out
his/her responsibilities effectively
• Ensure other IAs appoint CD FPs who liaise with the FS FP on CD implementation
• Manage PSNP annual CD planning at woreda level, including coordinating a CD needs assessment,
and developing a woreda CD plans are prepared using established templates, ensuring frontline
implementers’ CD needs and priorities are adequately captured in the plan
• Coordinate CD progress monitoring and reporting
database and used for planning and reporting purposes.

• Through the CD FP, support IAs in developing and delivering locally specific training and workshop
events in accordance with CD procedures and technical standards
• Through the CD FP, support IAs to better mainstream and implement CD for their respective
outputs
FS TF
The woreda FS TF will review annual CD plans and ensure the most pressing CD needs are prioritized
in overall woreda CD plans. Issues related to CD will be addressed at the FS TF, and the TF will form
the platform for CD progress monitoring, coordination, and agreement among PSNP’s regional IAs on
CD Strategy implementation.
Other Woreda IAs and TCs

Other woreda PSNP IAs are responsible for overseeing the CD within the output for which they are
responsible and ensuring its alignment with the CD Strategy and guidance provided by this OA and
under Output 6. Each IA with responsibility for a PSNP output will assign a CD Focal Person (preferably
an M&E expert) for the output. The IAs will be supported by their respective output based TCs, namely
Transfers TC, Public Works TC, Linkages and Social Services TC, and Livelihoods TC. CD will be on the
agenda of all TC meetings and CD plans will be monitored regularly and action will be taken to address
challenges.
3.4 PSNP Implementing Government and Partner Agencies

All PSNP implementing government and partner agencies (USAID-funded NGOs, UN agencies, CD
Facility etc.) are responsible for implementing and institutionalizing the CD Strategy, PSNP CD systems
and programs and complying with established CD procedures and technical standards. Specifically, all
IAs have the following harmonized roles and responsibilities for effective operationalization of PSNP
CD:
• Actively participate in CD governance and other technical events to ensure collective leadership
over PSNP CD interventions
• Appoint CD focal point in each IA including aligned NGOs and UN agencies implementing PSNP CD
• Fully comply with established CD systems, and procedural and technical standards and templates
• Coordinate with CD coordinators and CD FPs at respective levels for integrated CD assessment and
planning, CD training program development and delivery, and monitoring and reporting
• Share CD training packages before delivery with respective FSC office and CD coordinators for
review and support towards meeting required standards
• Prepare and share CD training completion reports to respective FSC office and CD coordinators for
records and feedback

4 PSNP CD Programming Using the CD Systematic Approach
This section provides procedural and technical standards for planning, designing, delivering,
monitoring, and reporting CD interventions using the CD systematic approach, which the PSNP has
adopted. This systematic CD approach is known as the four-stage CD model, which allows key
stakeholders and implementers to be involved in and influence decisions, and take shared
responsibilities in identification, design, delivery, and application of CD programs.
Figure 5. The Four Stage CD Model
• CD program impact • CD needs assessed and

measured analyzed
• Effective CD programs • CD needs prioritized
identified and scaled and consensus reached
up Stage four Stage one • CD planned and budget
• Effective policies, prepared
strategies, procedures Institutional- Consensus
aligned ization building
• Application challenges Stage three Stage two • CD designed

identified Capacity Capacity • Methodologies
• New policy and strategy application Strengthening developed
implemented • CD delivery action plan
• Follow up activities prepared
• Changes in behaviors • CD program delivered
achieved
4.1 Consensus Building

Box 1. Some key questions to ask during consensus
Stage one of the systematic CD model is building:
Consensus Building. In PSNP CD, consensus • Agree on the importance of the CD and commitment to uphold
involves reaching agreement among PSNP • What procedural and technical CD standards are required and
stakeholders on critical program performance available?
• How is CD linked to individual personnel and PSNP performances?
gaps that can be addressed through CD • How will CD approaches address cross cutting issues?
interventions, including on-the-job support or • How can CD budgets be allocated effectively and fairly to IAs?
• How can PSNP implementing partner CD development programs be
formal training. Once needs are identified and
harmonized?
agreed upon, CD priorities are determined • What accountability mechanisms exist for reporting on efficient
together with decisions on adequate budget use of CD resources and delivery of results?
allocation and incorporation into annual CD • After training / CD activities apply follow up assessment
plans.
CD needs assessments and planning are key

instruments to establish consensus among CD
stakeholders as they minimize fragmentation
and overlap of CD activities and competition
for limited available resources across IAs. Box 1 provides some key questions that will be posed at this
stage.

4.1.1 Capacity Needs Assessment
There are two elements to be considered in CD needs assessments. First, the individual and program
performance gaps are expressed as the difference between desired and actual levels of performance.
Secondly, the capacity variance is assessed between the capacities desired by individuals or teams to
deliver effectively assigned tasks and expected results, and the actual capacities they demonstrated.
CD needs assessments should therefore sequentially work on these two dimensions. This allows for a
deliberate alignment of CD interventions with performance improvement needs of individuals and the
program. This requires a shift from the traditional approach of measuring effectiveness of CD and
training programs in terms of number of trainings delivered and number of participants receiving the
trainings to performance-oriented and result based CD programming.
CD assessments can be carried out using a mix of methodologies and tools and both primary and
secondary data. These include review of progress, monitoring and assessment reports, stakeholder
consultations using focus group discussions and key informant interviews.
Further, CD assessment and planning should take place by PSNP output, level of government, and
target groups. The Assessment Template below provides the general framework for identifying and
describing performance expectations and capacity development needs. The analysis should generate
specific recommendations for CD interventions and prioritized activities.
In carrying out CD needs assessments a positive, or forward-looking approach (what performance and
competencies need to be improved) is important rather than a negative, or backward-looking
approach (what performance and competency deficits are observed). While either approach provides
essentially the same results, the presentation of the results in a positive manner is different and
important. Tool 1 below is designed based on the positive, forward looking approach to CD needs
assessment at different levels. Applying the tool is not as easy as it appears, however. It requires
learning and constant application improvements.
Tool 1 demonstrates how performance and competency analysis can be carried out, leading to
identification of CD priorities for further consideration (planning, design, and delivery). This
assessment tool can flexibly be used for all performance areas. The whole point is that CD
interventions must be linked and strive to contribute to improved individual and program
performances. Section 6.1 provides an example of a CD needs assessment related to links to social
services.
Table 1: A sample PSNP performance and CD needs assessment framework
Performance indicator: Ensuring Environment and Social Management Framework (ESMF)

compliance for public work subprojects
Performance status: 75% compliance achieved against 85% target
CD Level Task analysis towards ESMF Competency analysis CD priorities
compliance
Individual level • Identify key individuals’ • Identify capacities (skills Depends on the
tasks required to carry out and tools) required by analysis:
effectively ESMF compliance individuals to better
• Identify actual individuals’ accomplish their tasks
performance status in • Identify and analyze Identify specific CD
delivering their tasks capacity deficits of program/activity for
individuals (or that particular target
group

• Analyze underlining causes competencies to be
of variance in individual improved) Identify non-training
performances • Identify and analyze non- solutions and
capacity barriers affecting activities
individuals’ task
performances
Program level • Assess availability and Analyze: Depends on the

effectiveness of • Understanding of ESMF analysis:
management support for compliance in PSNP by
ESMF compliance program leaders or Design CD program
• Check availability of up-to- working units to improve:
date and workable ESMF • Supportive environment
operational annex/manual allowing individuals to • Enabling
and templates effectively carry out their environment
• Analyze underlining causes ESMF related tasks • Coordination
of variance in organizational • User friendliness of ESMF • ESMF system
performance related to OA and templates
system and leadership • Inter-sectoral coordination
• Assesses the ability to mechanisms towards
coordinate and harmonize ensuring use of
ESMF approaches and harmonized ESMF
practices across concerned approaches and practices
agencies across agencies and
programs
It should be noted that CD interventions are not the total solution for performance improvement.
There are other interventions that need to be explored and solutions designed that complement CD
efforts. It is the combination of various types of interventions that brings significant and lasting
performance changes.
4.1.2 CD Planning
Where CD is a solution then the information generated by the Assessment Tool above will be analyzed
to validate priorities, determine resources, and prepare a CD implementation schedule. The CD
planning template (Tool 2 below) is a standard one that will continue to be used by all levels and across
all IAs. The planning template organizes CD by output, administrative levels, and specific target groups.
It allows users to consolidate complementary CD activities into standard training programs, thereby
minimizing unnecessary duplication, fragmentation, and resultant inefficiencies in carrying out PSNP
CD.
To this effect, CD assessment, planning and implementation should be carried out jointly. Where some
CD activities cut across two or more outputs or IAs, the CD should be positioned with and led by one
of the output units or IAs that have taken the lead in the performance areas to which the training is
going to contribute. For example, livelihood and public works linkage is the joint responsibility of the
livelihood and public works output units. Therefore, one of them should lead this particular activity
while the other coordinates with and contributes to the CD process. Another example is PSNP M&E.
It cuts across all outputs, but FSCD will lead the activity, while IAs will work with the Directorate.
A good CD plan provides a major step towards CD success. CD planning organizes information by
output, administrative level and specific target groups who will receive the training. For each training
there should be a clearly defined body responsible for training execution, reporting and follow up
performance review. For each training, the total number of training participants will be determined

and expressed as an annual target, disaggregated by gender. The annual target will be distributed
across the four quarters of the year. Because CD is an input for strengthening implementation capacity
of IAs, much of the training (not less than 75% of the annual target) should be scheduled and delivered
in the first six months of each year. An activity based or unit cost budgeting approach must be applied,
which allows for a realistic estimation of the training budget requirements and thus minimizes budget
over-estimation or shortfalls. In other words, it improves budget use efficiency and value for money.
Multiplying the unit cost by the annual target generates the total budget for each training activity.
The participant 1 numbers and corresponding budget from the three levels then add up to the output
total. Training participants should further be classified as leaders and managers, technical experts, and
frontline workers and others (Kebele FS Task Force and Appeals Committee members) because the
training needs and learning capacities of each participant group are different and tailored. The
summary of this CD plan should be integrated with the output plan and the detailed plan would be
annexed to the overall PSNP annual plan. Compliance to this planning template and requirements by
all IAs is compulsory. FSTF should review and approve the CD plan accordingly.
This planning template should be cascaded to woreda level and consistently used by IAs. Using the
same template, lower level CD plans should be reviewed and consolidated at different levels up the
planning hierarchy. Partners’ CD plans need to be integrated with the PSNP CD plan at all levels. The
CD template is flexible to accommodate the complementary CD plans of partner NGOs simply by
splitting the ‘annual budget” column to reflect CD budget sources.
Table 2. Integrated PSNP Annual CD Planning Template

No. Planned CD Activities Annual No. of Quarter
by output and level Resp. plan (no. Females Distribution Annual
body of budget
trainees) Q1 Q2 Q3 Q4
1 Training for regional
stakeholders
2 Training for
woreda/zonal
stakeholders
3 Training to frontline
staff and other
stakeholders
Output total
Development of tailored CD and training programs will be prepared for the planned and approved CD
interventions.
4.1.3 Adjustment to annual CD plan
1
It’s always good to check whether the right participants / audiences are available for the training

As part of the annual PSNP work plan, the annual CD plan is a Box 2. Standard training program
living document that can be adjusted mid-year to accommodate checklist
emerging or changing CD priorities during implementation. Any
1. CD needs assessment
adjustment should be based on a CD progress review, the Joint
2. Participant handout
Review and Implementation Support Mission, and lessons 3. Facilitator Guide
learned during the first six months. The revised CD plan forms 4. PowerPoint presentation
part of PSNP’s annual plan revision, including its procurement 5. Learning aids & exercises
plan. The changes must be reflected in the period progress 6. Training evaluation
7. Training test & certification
report as well. 8. Training application
commitment plan
4.2 Capacity Strengthening 9. Training completion report
Capacity Strengthening is stage two of the CD model. Basically, it constitutes two sequential activities,
developing and then delivering CD training programs. Make sure that a standard training material is
produced and tested to ensure relevance to its audience / trainee. Likewise it is essential to have a
qualified / certified trainer. A standard training program constitutes a set of complementary learning
materials and learning aids dedicated to imparting knowledge and skills to a particular learning group.
These include handouts, facilitator guide, Power Point presentation, training methods and aids,
training evaluation tool, and training application commitment plan.
These are described in the following sections. Box 2 provides a checklist for any standard (skill) training
program, which must be fulfilled under PSNP.
4.2.1. Standard training materials

a. Participant Handout. Training handouts, whether in hard or electronic copy, organize the
substantive learning content of a given training, which trainees can use in their workplaces as reading
or reference materials. Primary users of the handout are the training participants. The handouts
expand their understanding of the learning topics. It should be noted that the more concise and user
friendly the handout the greater will be its readability and usability.
Based on a general overview and the overall learning objective of the

training topic, a handout will be broken down into relevant learning units
or sessions. Gradually, training programs for PSNP will be standardized. A
standard training session consists of (i) session overview, (ii) learning Action Experience
objective, (iii) content description, and (iv) key learning points.
(A) (E)
b. The Facilitator Guide is one of the standard training materials that Generali-
presents and describes the process of delivering a training program in Reflection
zation
general and training sessions in particular. The facilitator guide is an (G)
(R)
instructional aide for training event delivery and is ONLY used by training
facilitators or workshop moderators. The structure of a facilitator guide
includes session overview, key concepts and terms, methods and tools,
and key learning points or summary.
Figure 5. Adult learning cycle
The learning methodologies and techniques are basically experiential,
practical, and anchored on the ERGA learning model (Figure 5) that encourages and engages learners
to share their different experiences (E) on a given learning point or issue (for example ESMF
compliance). They are continually facilitated to reflect (R) on and express their feelings (what worked

well, what did not work well, and why) about the learning issue.
Box 3. Quality PowerPoint
Then they would generalize (G) their learning from their Features
experiences and feelings, which is a point of departure from the • Keep it simple
usual approach, in search of doing things innovatively or • Limit bullet points and text
• Choose but limit suitable
differently to better address the learning issue or other issues in transition
the future. The next and last stage in the experiential learning is • Use high-quality graphics
action (A), which is about action planning to introduce the • Have a visual presentation
innovative methods or different implementation approaches • Use color well
• Choose your fonts well
aimed at resolving the issue.
In addition, there are other complementary exercises that help facilitate and engage self-directed and
group learners during training delivery. These include mind mapping, brainstorming, group discussion,
case studies, storytelling, etc.
c. A PowerPoint presentation is also a facilitators’ (visual) training material to interactively

convey the learning to participants. A well-designed PowerPoint consists of key point (text) in bullets,
different illustrations that attract and encourage participants to engage in the learning process. As
part of the Facilitator’s Guide, training designers must prepare a good PowerPoint presentation that
meets best practice standards listed in Box 3.
As you get advanced in designing and delivering PowerPoint presentations the 10-20-30 rule can be
used. A PowerPoint presentation should have 10 slides and its presentation to learners should last no
more than 20 minutes and contain no font smaller than 30 points. This makes the PowerPoint
presentation more attention getting and understandable.
4.2.2. Learning Objectives and Methodologies

a. Training objectives
Training objectives are intended measurable outcomes that learners will achieve at the end of the
session or course. Statements of learning objectives should be learner centered, performance based,
specific and observable, and measurable.
Generally, well stated learning objectives provide the basis for dealing with other aspects of training
material development. Learning objectives should:
• Keep trainers’ and participants’

focus on common objectives
• Determine necessary training
outputs and contents
• Determine most appropriate
training structure, processes, and
methodologies
• Provide direction for selecting
training activities
There are different levels of learning

objectives that range from the simple
level of “remembering” to the complex
level of “creating” (Figure 6). Achieving
the higher levels of learning, such as
applying, analyzing, evaluating, and
Figure 6. A learning pyramid

creating require use of multiple adult learning methods and allocation of more time to practice and
master their skills.
b. Training methodologies
No single training methodology fits the learning needs of all participants. Some learners are oriented
more to visual learning (learn by watching), some others are more attuned to auditoria (learn by
hearing), still others have action orientations (learn by doing), and other groups learn by feeling (learn
by touching). Therefore, a training program should employ a combination of learning methodologies
and techniques to allow participants to engage actively and learn according to their individual learning
strengths. The choice and use of training techniques depends on the characteristics of the learners,
training objective, and available resources including time. The most popular training techniques used
in adult learning process include brainstorming, small group discussions, case studies, demonstrations,
lectures, and gallery walks. The conditions in which each is a preferred choice is described as below:
a. Brainstorming. A creative, unconstrained, and qualitative thinking technique used to release as

many novel ideas as possible from learners about a learning point or issue. It is useful to initiate a
broad range of views or when conventional techniques have failed to produce a solution.
b. Small group discussion. Small groups can take the form of two or more learners who come
together to work on a given learning activity. This allows almost everyone to participate in the
learning process and contribute ideas, comments, and opinions on the issue. It allows learners to
better understand difficult or complex topics and issues.
c. Case studies. They present a real-time problem to a group for discussion and problem solving,
putting them in the shoes of problem solvers. Case studies provide participants the opportunity
to develop analytical, problem-solving, and decision-making skills.
d. Demonstrations. They demonstrate and enable participants to visualize the different steps and
inputs required to perform a given task. Demonstrations teach participants how to carry out a
task, to show new technologies, techniques, procedures, or tools, or to convince participants that
a new product or procedure has merit. Usually demonstrations are carried out after a presentation
or discussion about the procedure, tool, or product.
e. Lectures. They are a carefully prepared oral presentation on a given subject that can be presented
through either PowerPoint or other media. A good lecture should not be longer than 20 minutes,
and should address a single theme or topic, with carefully explained and illustrated technical
terms, using familiar examples and analogies. It is useful to provide participants with information
about a subject, instructions about doing something, inspiration, and persuasion to participants
to perform a task or accept a proposal, stimulate thinking and further study on a problem, and
open a subject for group discussion.
f. Gallery Walks. They are a discussion technique that gets participants out of their chairs and
walking around the room where questions, group presentations, key learning points, etc. are
posted. It is best used to promote thinking about a subject, involve participants in discussion, and
generate more ideas about the learning topic.
4.2.3. Training Management Plan
The final step of training program design and development is preparing a training management plan,
which identifies, and schedules resources and logistics required for implementation of the training
program. A training management plan involves identifying essential resources (finance, expertise, and
logistics), scheduling training delivery, identifying a good training location with well-equipped
facilities, identifying key stakeholders, and identifying required training materials and teaching aids.
Options for seating arrangements for CD events are outlined under section 6.2.

4.2.4. CD and Training Program Delivery
Once training materials have been developed by subject matter specialists and experts in the
respective IAs, reviewed by respective CD coordinators for coherence and completeness, and the
delivery plan approved by the host manager or supervisor, the next stage in the process is delivering
the training to target groups.
Training delivery involves discussing roles, conveying the learning, evaluating the training, and
preparing training application commitment plan.
4.2.5. Roles in training delivery
Clarifying the roles (Box 4) among CD Coordinator, facilitator and learners makes for a smooth
transition of different and sequential tasks among these actors. This allows effective and efficient
management of the training event.
Box 4. Roles and responsibilities during training delivery
CD Coordinator Training facilitators Training participants
• Align learning with program • Ensure training setup and • Demonstrate self-
objectives facilities are in order directed learning
• Administer resources and • Manage the learning • Actively engage in
logistics for the training event processes to be attractive, the learning process
• Support group breakout adaptive, and effective • Complete training
events • Summarize key learning evaluation
• Convey key messages that points at the end of each • Prepare
deepen the learning session commitment plan
4.2.6. Training delivery standards
The National HRD Policy and Strategy described earlier in this OA provides useful training types,
standards, and procedures, which are very relevant to the PSNP context. The Policy identified three
training strategies and some important standards for each that ensure training quality and outcome.
a. Induction. Induction, which involves awareness raising or familiarization events is a common
practice in PSNP. It aims at helping stakeholders to have general knowledge and understanding
about, for example, the PSNP design document and operational manuals and OAs. For such single
induction or training events the HRD Policy stipulates a training event of 3 to 5 days duration. The
duration for delivering PSNP awareness raising training events can be established at between 2 to
3 days depending on the complexity of topics and program experience of the learners. In addition,
the class size per single awareness raising training event must not exceed 100 people. The training
room and seat arrangements should be as spacious as possible to allow group breakouts as
deemed necessary. There should be reading materials (hard or electronic copy) distributed to
participants at the end of the event.
b. On-the-job-training. On-the-job training is delivered in PSNP but in a less structured way. This is
an embedded training support achieved, for example, through mentoring and coaching, provided
by senior persons or good facilitators to colleagues and peers while they carry out their jobs in
their workplaces. More job embedded support strategies are described below under the capacity

application stage. Coaching and mentoring programs are appropriate and effective for those who
have basic working knowledge and skills to do their jobs, but have some performance problems,
or are aspiring for higher levels of responsibility.
c. Off-the-job (skill) training. This is a structured skill training organized and delivered outside of the
workplace. This form of training is a common practice in PSNP. Examples are the different
functional (leadership and management) and technical (ESMF, M&E, business planning) trainings
being provided to line-managers, technical experts, and frontline workers. Given the significant
need to receive training by many stakeholders across different administrative levels, PSNP adopts
the following standards for all its skill trainings, which are flexibly aligned with those standards
specified by the HRD Policy.
• Theory and Practice Mix. The HRD Policy stipulates a training content of 60% -70% practical
and 30% - 40% theory for any skill training program. This standard will be used flexibly in PSNP.
There are different techniques for practical learning that work in the PSNP context. Depending
on the types of training (functional or technical) the techniques range from experimentation
and demonstration to brainstorming, group discussion and problem-solving.
• Facilitators/Trainers. The HRD Policy and Strategy follows a “cascading or rolling” training
approach. The Policy provides bold direction as to who delivers trainings, and this is applicable
to PSNP. Trainers/faciliators are (i) only those who have received Training of Trainers and been
provided with Certification of Competence in the fields of learning, and (ii) only those
successfully trained senior personnel who can cascade/rollout trainings to other staff down
the hierarchy. To this effect, PSNP will continue creating Champion Facilitators cohorts at
federal and woreda levels, whilst strengthening those existing regional champion facilitators.
• Optimum class size and training period. Participant class size and training period are the most
challenging factors that significantly reduce quality and effectiveness of government
sponsored trainings including PSNP. Adapting to its complex situation, class size standards for
PSNP skill trainings should be (i) 25 to 30 participants in Training of Trainers for federal and
regional participants, and (ii) 30 to 45 participants in rolling trainings to woredas and kebele
level participants. Regarding the training period 3 to 5 days will be adequate for most common
skill trainings. The training period may be extended for some trainings that require a high level
of technical competence.
d. Self-learning. Self-learning is a self-directed learning outside of a classroom environment using
user friendly CD materials. In the case of PSNP these include PIM Guidance Notes, self-induction
video packs, and e-based trainings.
4.2.7. Training Evaluation
Using a pre/post evaluation, each PSNP training evaluates the effectiveness of the training process
and methodologies, and possible contribution to achieving immediate outcomes. The pre/post
training evaluation has four dimensions, which are related to relevance, effectiveness of delivery,
skill/knowledge gains, and applicability of learned skills and tools. Training participants are facilitated
to complete the standard pre/post evaluation template. The data is consolidated by training
facilitators and included in the training completion report. See section 6.3 for PNSP’s pre/post training
evaluation template.
4.2.8. Training Certification

Certificate of Participation: The HRD policy stipulates that trainings that take more than three days
require issuance of certificates of participation for trainees who have successfully completed a specific
training program. The training designer/developer prepares a test to assess the learning of
participants after training is completed. The CD Coordinator and/or training facilitator/trainer
administer this test at the end of the training event. Those participants who score 50% and above will
be provided with the Certificate of Participation. The certificates will jointly be signed by the (lead)
trainer and line manager. At the beginning of the training event participants should be informed of
the conditions for certification. The CD Coordinator or line manager will send out the certificates for
those successful participants at their workplaces.
Certificate of Competence: The HRD policy also stipulates that Certificates of Competence will only
be awarded to trainees who successfully apply the learning in the work place. An assessment of
training application should be carried out approximately six months of training completion. PSNP has
not followed this practice in the past, but will introduce it on a phased basis in PSNP5. The training
developer/designer will prepare test questions to assess learning application, which will be
accompanied by site visits where feasible. Learners who achieve 85% or more in the competence test
will qualify for a Certificate of Competence. Induction or awareness-raising trainings will not be subject
to competency assessments. The Certificates of Competence will jointly be issued by the trainer and
host institution. Learners who do not achieve a competence certificate will be provided further on-
the-job support.
4.2.9. Training application commitment plan
The training objective can only be achieved when the strengthened capacities of learners are
effectively applied in the workplace. To this effect, learners must prepare training application
commitment plans at the end of each training event. This commitment plan has two purposes, firstly,
to hold learners responsible for applying in the workplace the knowledge/skills and tools they have
learned and hence to improve their practices and performance. Secondly, to hold the trainer
accountable to follow up and ensure that the training has achieved its intended purposes and has
been worth the training investment.
There are three things that participants need to consider when preparing their commitment plan
individually or as a group, (i) taking forward the practices that work well currently, (ii) terminating the
practices that have not worked, and (c) identifying the practices that they want to undertake
differently or innovatively. The plan should be performance oriented, and learners need to specify and
quantify performance indicators and targets that will be improved mainly as the result of the training
and the supportive environment that will be expected from the respective organizations or work units.
Trainers will encourage and assist participants in preparing the training commitment plan template.
See section 6.4 for PSNP’s Training Application Plan template.
It should be noted that at the maturity date trainees must prepare and share a performance report
on the planned activities and performance targets to their supervisor and to the trainer. The
supervisor and the trainer should provide the necessary support for the learner to accomplish the
planned task and report on it.
4.2.10. Training Completion Report

Each training program must have
a training completion report Box 5. Template for Training Completion Report
prepared using the standard
1. Description of PSNP context and needs for the training
template (Box 5). The training
2. Organization of the training program
facilitator will jointly the report
- Logistics: Location, venue, and time
which will be submitted to the
- Training materials and tools prepared and used
line manager with responsibility
- Number of training participants, facilitators, managers,
for implementing the training
etc.
topic. The approved training
3. Analysis of immediate training outcomes based on:
completion report must also be
- training evaluation results
shared with the respective level
- training completion test results
CD coordinator/focal person
- own observations
under the FSC Offices for the
4. Major challenges and lessons learned
record and feedback as required.
5. Suggestion for improvement of next training programs
4.3. Capacity Application
Application of learned skills and tools in the workplace are generally challenging including in the PSNP
context. Effectiveness of CD application is influenced by readiness and confidence of learners,
supportive working environments, as well as efficacy of job embedded support provided to learners
as they apply their learned capacity to improve working practices and performance.
4.3.1. Necessary conditions for effective CD application
The following conditions provide guidance for improving CD program application in the workplace:
a. Readiness and confidence of learners to apply their capacities
Two factors affect the readiness and confidence of learners to apply their capacities: i) the
appropriateness of the training participant i.e. staff who are responsible for applying the training
content must attend the training, no one else; and ii) the quality of the training program design and
delivery i.e. training programs must be based on real-time performance and capacity gaps and
delivered by trained trainers who know how to deliver training effectively..
b. Supportive working environment to apply the learning
A supportive working environment exponentially increases the effectiveness of training program

application in the workplace. Usually, many managers fail to follow up and support trained personnel
to share what they have gained from the training (knowledge, skills, tools and training materials) with
their peers and colleagues, and to apply the capacity gained to address observed performance gaps.
Therefore, line managers must create an enabling working environment and provide continuous
management support and oversight for their trained staff towards effective application of the
strengthened capacity.
c. Job embedded support for effective capacity application
Training imparts knowledge and skills and provides tools for trainees to help them do their jobs better.
However, applying the skills and tools in the workplace is not always as easy as it seems as evidenced
by the well-known phrase: “training alone is not enough” to bring desired changes in performance
and institutional development. Therefore, participants need follow up support when they apply the
learning, which is elaborated in the sections that follow.
4.3.2. Job embedded support (JES) strategies

The common JES strategies, most of which are being practiced in PSNP, range from refresher training,
mentoring, coaching, and communities of practice (or peer learning) and after-action review. Table 3
provides a brief description of these strategies.
The purpose of JES is to help trainers and their supervisors to make use of the gained capacities in
addressing observed performance gaps that triggered the training. During CD application changes in
the learners’ behaviors, working procedures, and approaches for performing tasks can be expected.
JES during capacity application starts with identification of (actual or potential) capacity application
challenges both from the side of individuals and from the enabling environment. This should be
followed by designing and implementing an appropriate mix of JES strategies to address the identified
challenges.
Table 3: JES Strategies for Capacity Application
Refresher • Refresher training is used to retrain program staff who have already been trained
training but need to keep their knowledge and skills fresh and current, or to update and
upgrade their knowledge and skills to changed standards.
• In the context of PSNP refresher training on important knowledge and skill areas
will be given annually. This is important given high staff turnover.
• It should be noted that refresher training does not mean repeating the same
trainings for previously trained personnel.
Coaching • It is short-term on-the-job support for a person or group of persons in a workplace
to improve performance.
• Coaching is appropriate for persons who have basic competencies but have
experienced some performance gaps.
• Coaching can take place between trainer and trainee, supervisor and subordinate,
peer to peer, and colleague to colleague, or by an external facilitator.
• A coaching person does not necessarily have to be an expert in the field but rather
be a good facilitator with essential coaching skills
A successful coaching program passes through the following five steps:
• Establishing a Coach-Client relationship. Coaching is a volunteer endeavor and to be agreed

between the person who will coach and the person to be
Coaching skills:
coached.
• Problem identification and goal setting. There is a strong - Building trust
- Active listening
need to define clearly a performance gap and set a target - Critical observation
for improvement. - Asking open-ended questions
• Problem-solving. A coach does not solve performance - Effective goal setting
problems for individuals being coached; rather the coach - Fostering engagement with goals
facilitates the individual to solve the problem him/herself. - Providing support on the move
- Giving constructive feedback
• Transformational processes. Coaching aims to transform
an individual from a current state to a desired improved state of problem solving and performance
delivery capacities.
• Measuring outcome. There should be agreed performance measurement and feedback
mechanisms to ensure that the intended coaching outcome is achieved.

Table 3: JES Strategies for Capacity Application
Mentoring • Mentoring is a [long-term) relationship between two people with the goal of
professional and personal development.
• The "mentor" is usually an experienced individual Mentoring qualities:
- Interest and preparedness
who shares knowledge, experience, and advice
- Effective communication
with a less experienced person, or "mentee”.
- Honesty and compassion
• A mentoring relationship can take the form of on- - Objectivity and fairness
on-one or one-on-group. It can be carried out in
the physical presence of the two parties or virtually.
• Successful mentoring relationships go through four phases: preparation,
negotiating, enabling growth, and closure.
Community • It is a learning platform for a group of individuals or peers who share a common
of Practice vision, profession, work experience, challenges and possibilities.
(CoP) • It aims to exchange ideas, opinions, and experiences, and ultimately build capacity,
and advocate and influence on a common issue.
• PSNP is ideal for forming and running CoPs under a variety of themes.
• A CoP can take place virtually or through coming together physically. Internet
connectivity and social media make CoPs ideal and feasible.
• CoPs will be successful with committed individuals, champions, and members.
After- • An after-action review is a

An After-Action Review report
Action structured review or debriefing process on a consists of:
Reviews completed task or activity. - Event/task name
• Basically, it focus on analyzing what worked - Date and time
well and what did not work well, and how to - Event/activity description
improve it. - Analysis of what worked well
• It can be facilitated by any member of a team and what worked less
or by an immediate supervisor. - Major challenges and lessons
• It can be a valuable tool for PSNP staff to use learned
- Action plan for follow up.
in a variety of tasks and events.
• Its application involves planning, preparation, actual conduct and follow up for
results

5 Monitoring and Evaluation of CD for PSNP
CD monitoring and evaluation is not a straightforward exercise. Training results are multilayered and
form a continuum, which makes CD M&E more complex. A continuum of change in CD means that it
starts from acquiring or learning the basic knowledge and skill in a given subject and grows towards
applying the learning on the job that improves the individual’s performance and contributes to
program performance. There are, however, proxy indicators that measure CD program
implementation and its impacts on performance improvement and institutional development.
5.1. PSNP CD Performance Framework

The PSNP5 result framework provides the basis for measuring and reporting on performance.
However, only the “minimum staffing positions filled for the program at all levels and by output” are
explicitly captured by the result framework. Consequently, other intermediate indicators measuring
PSNP CD performance are added in Table 1. Progress on the immediate CD performance indicators
described in Table 1 below should be captured through routine monitoring and quarterly reports.
Table 4. PSNP CD performance framework
Monitoring Indicator (Intermediate Target (Year Means of Responsible

indicators level) 2 to Year 5) verification body
1 Adequate Full-time PSNP CD 75% - 95% CD Progress reports Federal &

staffing coordinators/specialist regional FSCOs
position filled positions filled and active with their
within the FSC offices at respective CD
federal and regional Coordinators
levels (target 10) and HR
managers
PSNP output CD focal 70% - 90%
persons assigned and
roles for CD integrated
with their job
descriptions (target 10 at
federal and regional
levels)
Woreda CD focal persons 55% - 75%

under FSC desk assigned
and roles for CD
integrated with their job
descriptions (target all
PSNP woredas)
2 PSNP CD % of key IAs and their 60% to 85% Spot Checks or Federal &
systems2 staff having knowledge of of spot annual CD regional FSCOs,
revised and and using CD systems check or Assessment Report respective CD
developed, annual CD Coordinators/fo
staff Assessment cal persons and
familiarized, sampled IAs IAs
by level
2
PSNP CD systems are CD strategy, OA, contract staff manual, physical resource management manual.


and widely
used
3 CD plans and Number of regions and 85% to Annual plan and Accountable:
reports federal IAs meeting CD 100% progress reports, Federal &
prepared planning templates Spot Checks, or regional FSCOs
using standard (target 10 regions) annual CD Responsible:
procedures Assessment Report Respective CD
and templates Number of regions and Coordinators/
federal IAs meeting CD focal persons
reporting templates and IAs
Number of aligned NGOs

and UN agencies
integrating their PSNP CD
plans and reports
% of regional CD plans
and reports reviewed and
endorsed by FSTFs
4 PSNP CD % of CD training 75% to 85% Spot check or Respective CD

Training programs/courses across of sampled annual CD Coordinators/
programs/ outputs and levels training Assessment focal persons
courses meeting CD training documents and IAs, and
developed development standards by level and FSTFs
and delivered output
using the % of CD training
systematic programs/courses for
approach which training
completion reports
prepared and shared
with key CD IAs
% of CD training
programs/courses that
mainstream gender,
nutrition and other cross
cutting issues
% of CD training
programs/courses
delivered across outputs
and levels using trained
Facilitators or trainers
Number (and %) of 75%-85% Training completion

training participants who reports
received Certificate of
training Participation


Number (and %) of 75-85% CD Assessment

training participants who Reports
received Certificate of
Competence
5 CD Percentage of recorded 75 - 100% Meeting records, PMTC and

governance federal TCs, PMTC and Progress and CD federal CD
effectiveness CMC and their equivalent assessment reports Coordinator
regional and woreda
governance structures
meetings held as per
their respective meeting
schedules
5.2. PSNP CD M&E Techniques

A variety of M&E techniques are adapted from the PSNP M&E system that are best suited for
measuring and reporting progress on the wide range of CD processes and intermediate results.
5.2.1. CD Activity Progress Report
CD progress reports must be included in quarterly reports at all levels with contributions from all IAs
undertaking CD for PSNP. The reports by different IAs will be compiled at respective output level, and
be consolidated and reviewed at program level of respective
administrative levels (woreda, zone, region and federal). Box 6. Outline for CD Progress Report
1. Description PSNP CD context
Semiannual and annual CD progress reports must be more
2. Description of period CD
analytical and able to provide management information for performance (use summary table)
decision making, better planning and to demonstrate 3. Variance analysis
accountability for CD investment. 4. Description of major challenges
Regional and federal level CD coordinators and M&E experts and lessons learned
are responsible to lead and coordinate CD reporting. 5. Next CD implementation
improvement actions
CD / training progress reporting including expenditure must 6. Brief note on plan adjustment in
be prepared and compiled at different levels in accordance the reporting period if any
7. Annex presenting full period CD
with the annual and period CD training plan and budget.
progress report by administrative
Table 2 provides the standard template for progress levels
reporting and Box 6 provides a generic outline for progress
reporting.
Table 5. Integrated cumulative period CD progress reporting template

No. Planned CD/training Annual Reporting Period (Cumulative)
Activities plan (No. Plan (No. Progress % No. Expense
trainees) trainees) (No. progress Female (Birr)
trainees)
1 Training for regional
stakeholders

2 Training for
woreda/zone
stakeholders
3 Training to frontline
staff and other
stakeholders
Output total
The quarterly CD progress reports should report on the CD performance indicators presented in Table
1 above. They should be updated on a quarterly basis, as well.
5.2.2. CD Expenditure Reporting
PSNP utilizes activity-based annual CD planning and budgeting. The CD quarterly expense reporting
through the PSNP Interim Financial Report does not provide adequate accountability for CD budget
expenditure. Therefore, MoF will work with MoA to introduce a subsidiary accounting tool to account
for annual CD budgets and expenditure by output and administrative levels. This will allow greater
transparency and value for money in CD investment.
5.2.3. Monitoring Reports
All IAs will report on progress of the annual CD plan implementation. In addition, field monitoring of
CD implementation will be carried out by the monitoring team supported by the CD Coordinator at
every level and reported separately or together with the PSNP monitoring exercise. As required,
feedback will be provided to IAs to improve their CD practices.
5.2.4. Spot Checks
PSNP spot checks will integrate CD and assess compliance to CD systems, processes, and standards
of training programs and CD governance. The spot checks will be carried out across key federal and
regional CD implementing agencies and sample woredas, including NGOs.
5.2.5. Evaluation Report
The effectiveness of the CD program will be evaluated both as part of the PSNP and separately by a
CD mid-term review and end-line evaluation. The former may be carried out by a joint review mission
of the government and Development Partners. The end-line evaluation will be outsourced to an
external consulting firm. CD coordinators and focal persons will take the technical lead to coordinate
and support these two evaluation activities, and to ensure that the reports will be widely distributed
and used by key CD IAs.

6 CD Tools
6.1 Sample CD competency assessment
Performance area: Social Services Linkage to Permanent Direct Support Clients

Group of Individuals responsible for the task: Social workers at woreda & kebele levels
Date of assessment: dd/mm/yy
No. Task Competency Analysis Capacity Learning topic

Analysis development and objective
/breakdown Desired Range of needs
competency to competency
accomplish the task gap
1 Assessment Facilitation skills High Facilitation Training title:

of PDS Social service
clients’ Clients’ needs Assessment of linkage planning
needs for mapping and data social service and monitoring
social collection and demand & supply training for
service analysis skills and social workers
tools Linkage planning
linkage
/Demand/ Objective:
M&E
Improved ability
2 Mapping Service providers High of social workers
social and their services’ towards
service mapping; and data planning and
providers collection and effective delivery
and their analysis skills and of social service
services to tools linkage for PSNP
Permanent clients
Direct
Support
clients
(Supply)
a. Social Linkage planning

service skills and templates
High
linkage
planning M&E skills

6.2: Options for seating arrangements for CD events
Seating Ideal number Advantage Disadvantage

type/style of group
members
U-shape 12 to 22 Encourages large group Eye contact between some
discussion participants is
Allows push back to form small difficult due to the linear
groups layout
Close contact between facilitator
and participants
Single Square 8 to 12 Facilitates problem Media and visual use is
or Round solving difficult
Increases group involvement Limited group size
Easy for facilitator to step in and
out
V-shape 16 to 25 Easy to work in teams at each Some difficulty to promote
(with V table teamwork among entire
pointing to No one has back totally to the group
front) front of room
Clusters 16 to 40 Promotes teamwork in each May need some participants
cluster to turn chairs to face the
front of the
room
Traditional Over 40 Reaching out large group in one Low involvement
classroom or shot One-way communication
conference Difficult to form small
room groups
Remember: There are a variety of seat arrangements for any CD event. The choice is yours and
depends on the situation. The one that fosters face to face interactions between facilitator and
learners, and among learners is preferred for adult learning process.

6.3. Pre/Post Training Evaluation
(This is the participant Satisfaction Assessment Tool upon completion of a training event)
Dear training participants. You are kindly requested to evaluate the training you have completed right
now. The assessment allows you to measure effectiveness of the training in terms of relevance,
knowledge/skill gains, and effectiveness of delivery processes and applicability of the learning in
workplaces. Your opinions and suggestions will help CD Coordinators and trainers/facilitators to
improve similar future trainings. It will not take you more than 20 minutes to complete the
questionnaire. Thank you.
Lead CD Agency
Participant phone number
Male/Female
Name of CD activity
Date(s) of event
Region
Woreda
Location where event took place
1 5
2 3 4
Highly Unsatisfied Undecided Highly
Satisfied
unsatisfied satisfied
Section A: Assessment of Learning - Knowledge and Skills Gained
Please reflect on your knowledge and skills gained through this capacity development activity. Rate
your level of agreement (1-5) using an X with each statement from two perspectives: before the event
and after the event.
Rating before Rating after

the training Knowledge and Skills the training
1 2 3 4 5 1 2 3 4 5
A.1
A.2
A.3
A.4
A.5
A.6. What knowledge and skills learned in this capacity development event are most valuable to
your work and why?

Section B: Relevance and Applicability of the CD Activity to Participant Learning Needs.
Effectiveness of the Training Methodology
1 5
2 3 4
Satisfied
Please use the rating scale (1 to 5) to rate your level of agreement about each statement.
Relevance and applicability of this capacity development activity to my work, Rating

and effectiveness of the CD methodology
1 2 3 4 5
B.1 I understand how the content of the training is relevant to my work.
B.2 I can apply what I learned to my work.
B.3 I will refer to the training materials at my work.
B.4 The training process (participatory, learner-centered, and experiential)
helped me to better understand the content.
B.5 I would recommend this training to my colleagues.
B.6 What aspects of the training methodology did you like? Why?
B.7 What aspects of the training methodology did you NOT like? Why?
B.8 What suggestions do you have for how the training could be improved next time?
Section C: Delivery of Capacity Building
1 5
2 3 4
Satisfied
Please use the rating scale (1-5) to rate your level of agreement about each statement.
Rating
Delivery of capacity development activity
1 2 3 4 5
C.1 There was enough time for discussion.
C.2 Everyone, including me, was able to participate freely.
C.3 The process was guided in a logical way so I could see how we were
proceeding to meet our learning objectives.
C.4 Questions were answered with helpful examples.

C.5 Varied presentation techniques were used to keep the sessions interesting.
C.6 The training venue provided for an appropriate and comfortable learning
environment.
C.7 What practical suggestions do you have about how to improve the learning environment, venue,
food, or logistics?
Section D: General Satisfaction for capacity development activity
Please use the rating scale (1-5) to rate your level of agreement about each statement.
Rating
General satisfaction
1 2 3 4 5
D.1 Overall, I am satisfied with this capacity development activity and pleased
that I took part.
D. 2 Why did you give this satisfaction rating?
Thank you for filling out this evaluation form.

6.4. Training application commitment plan to improve workplace performance
Training topic: ________________________ Venue: ___________ Period: __________

Trainer/Facilitator: Email: ___________ Cellphone: _____________
CD Coordinator: Email: ___________ Cellphone: _____________
Learner. Name:______________ Job Title: ______________ Work Location: ______________
Orgn/Working unit: ______________ Email: ___________ Cellphone: _____________
Supervisor/manager. Name:______________ Job title: ______________ Email: ___________
Cellphone: _____________
Performance target by learner (what in the 1.
workplace needs to be improved or achieved 2.
as the result of the training): 3.
Implementation Responsible
Key activity Deliverable
timeline body
a. Activities that improve individual/group
performance in the workplace
1.1
1.2
1.3
b. Activities that improves
enabling/supporting working
environment for learner to do their jobs
better
2.1
2.2
2.3
Resource plan to accomplish the task:

6.5. Assessment of effective use and integration of the systematic CD approach to
Instruction
• The survey aims to learn, and improve use and integration of the PSNP systematic CD approach
• Any individual expert and line-manager implementing PSNP CD can complete the questionnaire.
• The survey will be complete annually, preferably in June.
• For each question mark 'x' in the "cell" that represents your best satisfaction level ranging from 1
to 5. Completing the survey will take you less than 20 minutes.
• CD coordinators at respective levels will compile, analyze, and report on the survey data, share
with CD implementing institutions and staff for updating and further improvements.
Work place: Federal ________,Region ______, woreda:

________ Email: ______________
Organization/work unit: _____________________ Date ______________
Respondents’ position: ______________________
Strongly Strongly
Assessment questions Agree
disagree Disagree Neutral agree
Stage 1: Consensus Building
1. We/I explain the four-stage systematic CD model the PSNP
is using.
2. We/I have integrated the PSNP CD systems (CD strategy,
OAs) across government implementing agencies
3. We have coordinated government IAs and integrated their
CD plans
4. We have coordinated the NGOs and integrated their CD
plans with PSNP plans
5. We have conducted the systematic CD assessment and
prioritized CD needs
6. We have organized/planned CD activities under the PSNP
CD strategic objectives and PSNP components/outputs
7. We have aligned the CD activities with PSNP performance
(log frame) indicators
8. We have prepared the annual CD plan in line with available
CD budget information
9. We have reviewed and endorsed the annual CD plan
through the FSTF
Stage 2: Capacity Strengthening
10. We/I have provided adequate time for the preparation and
delivery of the planned CD programs
11. We/I have developed/upgraded and used standard CD
materials (participant guide, facilitator guide, PowerPoint
and evaluation tool) for each training/workshop
12. We/I have arranged venues and room setups that are
convenient for delivery of facilitated training/workshop
13. We have optimized the participant size (specify ____) to
allow facilitation of group learning process
14. We have exercised an adult centered group process for
every training/workshop
15. We have used trained facilitators/trainer-facilitators for
delivery of each CD programs
16. We have made pre- and post-evaluation and instantly
measured the effectiveness of the CD programs
17. We have developed post-training/workshop performance
action plan which learners have to implement at
workplaces
18. We/I have supported and ensured that Training of Trainer
CD programs are cascaded to the lower levels as
designed/planned
19. Stage 3: Capacity Application

Work place: Federal ________,Region ______, woreda:
________ Email: ______________
Organization/work unit: _____________________ Date ______________
Respondents’ position: ______________________
Strongly Strongly
Assessment questions Agree
disagree Disagree Neutral agree
20. We/I have followed up and reported on implementation of
the agreed performance action plan by learners
21. We have provided on-the-job support for participants to
get their learned skills and tools effectively applied at their
workplaces
22. We have tracked and measured the progress and
effectiveness of each CD program
23. We/I have applied monitoring information to make
informed decisions and take action towards improving CD
process and impact
Stage 4: Institutionalizing CD
24. We have documented and stored CD resources (through
library, portal) and they are accessible for wider use
25. We have evaluated, identified, selected, and scaled up
successful CD systems and programs
26. We/I have supported and ensured mainstreaming of CD
programming into the core functions of Technical
Committees
27. We/I ensured that FSCOs at all levels housed and take
primary responsibility for CD to work for PSNP
28. We/I have ensured that FSTFs have been operating
effectively (hold minuted regular meetings)
29. We/I have ensured that CD coordinator is in place and
effectively coordinating IAs for an integrated CD system to
work
30. We/I have recognized and supported the use of unique
expertise and services of Champion Facilitators
31. As leader/manager, we/I have provided informed and
consistent guidance, oversight and support for effective
operationalization of the CD systems and programs
Grand Total

Capacity Development: Operational Annex 8

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b

| PSNP Capacity Development OA

i | PSNP Capacity Development OA

HRM Human Resource Management

1 | PSNP Capacity Development OA

1.1 Objectives and Principles of CD OA

The CD OA has the following two objectives:

2 | PSNP Capacity Development OA

1.2 Scope and main users

• PSNP directors line managers/ and coordinators,

3 | PSNP Capacity Development OA

2.1 National HRD Policy and Strategy

2.2 PSNP CD Strategy

a. To ensure adequate human and physical resources to implement the program

3 CD Management for PSNP

4 | PSNP Capacity Development OA

3.1 CD Governance and Lead Implementation Agencies

3.2 PSNP CD Staffing

5 | PSNP Capacity Development OA

3.3 CD Roles and Responsibilities at Each Level

3.3.1 Federal Level

Other Federal IAs and TCs

3.3.2 Regional Level

6 | PSNP Capacity Development OA

Other Regional IAs and TCs

3.3.3 Woreda Level

7 | PSNP Capacity Development OA

Other Woreda IAs and TCs

3.4 PSNP Implementing Government and Partner Agencies

8 | PSNP Capacity Development OA

Figure 5. The Four Stage CD Model

• CD program impact • CD needs assessed and

• Application challenges Stage three Stage two • CD designed

4.1 Consensus Building

CD needs assessments and planning are key

9 | PSNP Capacity Development OA

Table 1: A sample PSNP performance and CD needs assessment framework

Performance indicator: Ensuring Environment and Social Management Framework (ESMF)

10 | PSNP Capacity Development OA

Program level • Assess availability and Analyze: Depends on the

11 | PSNP Capacity Development OA

Table 2. Integrated PSNP Annual CD Planning Template

4.1.3 Adjustment to annual CD plan

12 | PSNP Capacity Development OA

4.2.1. Standard training materials

Based on a general overview and the overall learning objective of the

13 | PSNP Capacity Development OA

c. A PowerPoint presentation is also a facilitators’ (visual) training material to interactively

4.2.2. Learning Objectives and Methodologies

• Keep trainers’ and participants’

There are different levels of learning

14 | PSNP Capacity Development OA

a. Brainstorming. A creative, unconstrained, and qualitative thinking technique used to release as

4.2.3. Training Management Plan

15 | PSNP Capacity Development OA

4.2.5. Roles in training delivery

Box 4. Roles and responsibilities during training delivery

CD Coordinator Training facilitators Training participants

4.2.6. Training delivery standards

16 | PSNP Capacity Development OA

4.2.8. Training Certification

17 | PSNP Capacity Development OA

Training topic: __________________ Venue: _ Period: ______

Work place: Federal __,Region , woreda: