capacity assessment undp august 2009.pdf

8/13/2019 Capacity Assessment UNDP August 2009.pdf

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Overview of UNDPs Ca acit

Assessment Methodology

Capacity Development Group

Bureau for Development Policy

United Nations Development Programme


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Drawsupon

Capacitydevelopment

and

capacity

assessment

documents,

casestudiesandreviewsfromUNDP,theUNsystem,partner

TechnicalreviewprovidedbyrepresentativeswithinUNDP,

theUN

system

and

partner

organisations

50+applicationstodate


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Acapacityassessmentisananalysisofdesiredcapacitiesagainstexisting

capacities;

this

generates

an

understanding

of

capacity

assetsandneedsandservesasinputtoformulatingacapacity

.

UNDPhas

developed

asystematic

yet

flexible

methodology

for

con uc ngacapac yassessmen . sme o o ogycons s so :

1) TheUNDPCapacityAssessmentFramework

2) Aprocess

for

conducting

acapacity

assessment

3) Supportingtools

3


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Bringsrigorandasystematicprocessforassessingexisting

capacities

and

needs

and

formulating

a

capacity

development

response

Providesastructurefordiscussionaboutthescaleandscope

ofacapacity

assessment

and

more

generally

about

acapacity

eve opmen agen a

Providesresourcesandtoolstosupportacapacityassessmentincluding

contentfor

assessing

the

various

cross

sections

of

pointofentry,coreissueandfunctionalcapacity


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Focusesoncapacityasacomplementtoothertypesof

assessment,

e.g.,

organizational,

functional,

risk

triestomovebeyondanalysisparalysis peoplearehappyto

stayin

the

analysis

phase

most

have

skills

in

this

area,

accoun a y orresu s s m e sasa earea

Establishesindicatorstheindicatorsusedtoassesscapacity

becomethe

benchmarks

against

which

to

measure

progress


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CapacityDevelopment:Theprocessthroughwhichindividuals,organizationsandsocieties

,

tosetandachievetheirowndevelopment

objectivesover

time


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CapacityAssessment:Ananalysisofdesired capacitiesagainstexistingcapacities thatoffersasystematicwayof

andneedsandservesasinputfortheformulationofa

capac ty

eve opmentresponse


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Design Questions

CapacityforWhy?

CapacityforWhat?


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Technical Capacities

+

unc ona apac es

(Within a Sector/Thematic Context)

Issues

Core


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EnablingEnvironment

Organizationallevel

Individuallevel


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InstitutionalArrangementsIssues

Leadership

Knowled e

Core

AccountabilityExample: Institutional Arrangementsas a Driver of Design


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Technical Ca acitiesFunctional Capacities

+

FunctionalCapacities EngageStakeholders

AssessaSituationand

DefineaVision

and

Mandate

FormulatePoliciesand

Strategies

Example: Capacity to Evaluate

as a Driver of Design

Budget,Manage

and

Implement


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1. Mobilize & Design

. o ze

& Design

. on uc e

Capacity

Assessment

. ummar ze

& Interpret

Results

123451234512345

3 3

333

Evidence

Ranking

1=Noevidenceofrelevantcapacity5=Fullydevelopedcapacity

AssessmentQuestions

a.Capacitytobuildpartnerships,participateinnegotiations,andcoordinate


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1. Engagestakeholdersthroughouttheprocesstoensure

ongoingsuccess

2. Clarifyobjectivesandexpectationswithprimaryclients

. A aptt eUNDP apac tyAssessmentFramewor to

localneeds

analysisapproach

5. Determinehowtheassessmentwillbeconducted

6. Planand

cost

the

capacity

assessment


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Context:contextexpertsbringunderstandingofthepoliticaland

socioeconomiclandscapeinwhichtheassessmentisconducted

Content:content

providers

bring

detailed

and

technical

knowledge

ofthesectororthemeunderassessment,aswellasknowledgeof

thefunctional(andtechnical)capacitiestobeassessed

Process:amethodologyfacilitatorcanhelpmanagetheprocess.

Thisfacilitator

should

be

able

to

manage

discussions

around

the

scaleandscopeofthecapacityassessment,theadaptationofthe

UNDPCapacityAssessmentFramework,theexecutionofthe

assessment,includingdatacollectiontechniquestobeused,and

e

n erpre a on

o

assessmen

resu s


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Functional Capacities*

Engage

Assess a

Situation

& Create

a Vision

Formulate

Policies

&

Budget

Manage

& Im lement

Evaluate

Stakeholders and

Mandate

Strategies

InstitutionalArrangements

Issues

Leadership

Co

rKnowledge

Accountability

Specific assessment questions and indicators available for each highlighted cross-section

* Technical capacities complement the functional capacities


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.

Advantages

Maybeseenasmorelegitimate

Advantages

Canprovidecontextforthe

thanqualitativeinformation

Makesiteasiertocomparethe

levelof

capacity

across

core

issues

quantitativedata

Canbeusedtocreatea

repositoryfor

institutional

an capac es memory

Providesanopportunityto

elaborateonandcontextualize

ca acit a s

Disadvantages

Risksbeingusedforcomparison

purposesthatarenotnecessarily

Disadvantages

Moredifficulttocompare

capacitylevelsacrosscoreissues

valid andcapacities


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Stakeholders:canprovidefactsandfigures,aswellasopinionsand

ns g s

Politicians,researchers

and

other

opinion

leaders:

information

pertainingtobroadersociocultural,politicalandeconomictrends

Managersandemployeesofanorganization:insightsonwhat

worksintheirorganizationandwheredifficultieslie&nuances

betweenthe

formal

organizational

set

up,

rules

and

procedures

an t ewayt ngsarepract ce ona ayto ay as s

Customersorthepublicatlarge:informationontheirlevelof

satisfactionwithservicedelivery

Tapmultiplesourcesofdata&informationtoobtainabalancedview


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Selfassessmentinstruments

Semistructured,

one

on

one

interviews

Focusgroupdiscussions

urveyso en users,e.g.c entsat s act onsurveys

Workshops


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Core Issue Leadership Enabling Environment

,

stakeholders, including ability to negotiate; develop, communicate and give direction on vision, mission, and

values; develop a system for overall management; and create an environment that motivates and supportsindividuals.

Functional Capacities

Engage Stakeholders

Overall Do authorities have the capacity to manage relations with domestic and external

Additional

Questions:

Do authorities have the capacity to:

Identify all relevant stakeholders?

Foster ownership of CD policies, legislations, strategies and programmes?

Ne otiate with domestic and external donors?

Indicators

Existence of influential and outspoken champions for ownership and CD

Quality (e.g. transparent, participatory, engaged, respective) and frequency of dialogue between and

Ability of authorities to effectively represent government (national or local) to external interests

Clarity of leadership philosophy to domestic and external stakeholders


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Pillar # 2 Revitalize the National Economy

123451234512345

a. Capacity to Formulate Policies and Strategies

Evidence

Ranking

1=No evidence of

relevant capacity

5=Fully developed

capacity

Assessment Questions

[Replace this text with details.]Do authorities have ca acit to formulate

[Replace this text with details.]Do authorities have knowledge of fiscal

policy, exchange rate policy, generally

accepted accounting principles? 1

1 2 3 4 5

542 3

[Replace this text with details.]Do authorities have the ability to be

gender-sensitive in formulating fiscal

policies / financial managementprocedures based on national priorities? 1 542 3

1 2 3 4 5

policy/financial management? 1 542 3


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Development Issue: Leadership

The organizations leadership has capacity to develop and implement frameworks, processes

, ,

formulation and management; and programme implementation.

Guide Questions: Strengths

Potential Indicators:

Areas for Improvement

Evidence

Score/Rating:

1 No evidence or only anecdotal evidence of a strategy/approach;

2 A strategy/approach exists.

3 The strate is lanned and im lemented.

4 A strategy/approach is planned, implemented and reviewed on the basis of benchmarkingdata and adjusted accordingly.

5 An approach is planned, implemented, reviewed on the basis of benchmarking data,

adjusted and fully integrated into the organisation.

Current Capacity Rating/Score Desired Capacity Rating/Score


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2. Conduct the Capacity Assessment

.

& Design

.

Capacity

Assessment

.

& Interpret

Results

123451234512345


3 3

Evidence

Ranking1=Noevidenceofrelevantcapacity5=Fullydevelopedcapacity

AssessmentQuestions


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Conduct the Capacity Asssessment Options for Defining Capacity

Levels

Option#1 Samequantitativerankingscheme

for

all

capacities

Pros:EasyandquicktoapplyCons:Notspecifictoanycapacitytypeorcategory

Option#2 Differentquantitativerankingschemefor

different

types

of

capacity

Pros:MoredetailedinsightsCons: Nospecificinsightsoncapacitieswithin

any

type

of

capacitypt on erentquant tat ve

rankingschemeforeach

question

ros: rov es eta e ns g tsonspecificcapacitieswithineachcapacity

type

: o u o v o execute


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. oev enceo re evan capac y

2. Anecdotalevidenceofcapacity

3. Partiallydevelopedcapacity

4. Widespreadbut

not

comprehensive

capacity

5. Fullydevelopedcapacity


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Definin Ca acit Levels O tion # 2P3M3 Project Management Maturity Levels

Maturity ProjectManagementLevel1initialprocess

Theorganisationrecognisesprojectsandrunsthemdifferentlyfromitsongoing

business.(Projects

may

be

run

informally

with

no

standard

process

or

tracking

system)

everepeatableprocess Theorganisationensuresthateachprojectisrunwithitsownprocessesandprocedurestoaminimumspecifiedstandard.(Theremaybelimitedconsistencyor

coordinationbetweenprojects)

Level3 Theorganisationhasitsowncentrallycontrolledprojectprocesses,and individualdefinedprocess projectscanflexwithintheseprocessestosuittheparticularproject.Level4mana ed rocess

Theorganisationobtainsandretainsspecificmeasurementsonitsproject

predictfuture

performance.

Level5optimisedprocess Theorganisationrunscontinuousprocessimprovementwithproactiveproblemandtechnologymanagementforprojectsinordertoimproveitsabilitytodepict

performanceovertimeandoptimiseprocesses.


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Step1:

stakeholders

oncapacity

Assesscapacity

assetsand

Step5:Evaluatecapacity

development

Step3:Implementa

capacityeve opmenresponseresponse


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3. Summarize & Interpret Results

.

& Design

.

Capacity

Assessment

.

& Interpret

Results

123451234512345


3 3

Evidence

Ranking1=Noevidenceofrelevantcapacity

5=Fullydevelopedcapacity

AssessmentQuestions


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CoreIssues Budget Manage Implement Avg

. ap e ween es re

and existing

leadership capacities

is relatively large. . . .

Knowledge 1.3 1.7 1.5 1.5across a capac es

assessed

2. Gap on knowledge is

less significant

1. Gap in capacity to

CoreIssues Budget Manage Implement Avg

Leadership 4.0 1.0 1.3 2.1

budget may needimprovement

2. However, gaps in

ca acit to mana enow e ge . . . .

and implement are

relatively small


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-Supporting Tool

Functional Capacities

Assess a

Engage

Stakehol-

Situation

and Define

a Vision &

Formulate

Policies &

Budget,

Manage &

Desired

Level

Existing

Level

Desired

Level

Existing

Level

Desired

Level

Existing

Level

Desired

Level

Existing

Level

Desired

Level

Existing

Level

01. Institutional Arrangements 4.00 3.00 3.25 1.88 3.50 2.40 3.35 2.10

. . . . .

03. Knowledge 3.70 2.50 3.36 2.35

04. Accountability 3.50 2.44 2.90 1.80

05. Human Rights 3.25 1.75 3.29 1.57

Overall 3.73 2.64 3.25 1.92 3.50 2.40 3.20 2.08 3.25 1.93


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Adapttothelocalcontextandtosuitlocalneeds

Buildin

enough

time

for

mobilizing

stakeholders

and

designingtheassessment

Ensuresufficienttimeforthecollectionofdata&

information

Ensurelocalownership

Becreative

Leavethe

prioritization

of

acapacity

development

responseandfollowupactionstotheend


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Considercapacityassessmentsasanormalpartofgoodmanagementthatcanassist

stakeholdersinenhancingcapacityandimprovingperformanceandthatcanaddvaluetothe

rocesses of needs identification lannin im lementation monitorin and evaluation rather

thantreatingthemasstandaloneactivities

Ensurethat

any

assessment

is

nationally

and/or

locally

led,

although

external

facilitation

is

the

mosteffectivewaytomaketheassessmentasobjectiveaspossible

Engagestakeholdersfromtheoutsettoensureappropriatedesignandbuyin,andwhere

appropriate,toencourageselfassessment

Budgetfor

capacity

assessments

as

an

ongoing

part

of

institutional

reform

and

change

managemen

Usecapacityassessmentstogalvanizeinterestforchangeandtopromoteorganisational

learningandempowerment

ncorpora e essons earne onanongo ng as s n oacapac yassessmen y a ngan

iterativeapproach

to

the

overall

process

Remainflexible,ensuringoptimaluseofexistinginformationsourceswhiletaking

o ortunitiestobuilds ner ieswithotheron oin initiatives rocesses

39

Encourageanopenandhonestassessmentprocesstoensurefairnessandacceptanceofthe

assessments

procedures

and

results


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Assessmentfatigue Zoominontheissues

Skepticismaboutvalueandvalidityofresults

emergingfrom

acapacity

assessment

Importanceofbuildingconsensus

Suspicionthatcapacityassessmentsarebeing

usedbyseniormanagementforreprofilingor

retrenchment

Assessmentsforoverall

developmenteffectiveness

Disconnectbetweencapacityassessmentand

formulationofcapacitydevelopment

strategies:basingstrategyformulationon

Focusonthelinkbetween

assessmentresultsandcapacity

develo mentstrate iesguesst mates o capac tygaps

Facilitationlevel:toomuchmayleadto

coachedoutcomes;toolittlemayresultina Endogenousprocess,ownership

40

wishlistofcapacitydevelopmentstrategies


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BusinessProcessReengineering:analysisofprocessflowtoidentifykeysteps,decisionpointsandbottlenecks,andredesigntheprocess

FunctionalReview:

beforeacapacity

assessment

to

review

functional

activitiestodeterminewhereafunctioncouldbestbeexercised

HorizonScan:reviewofdevelopmenttrendsanddynamicsandthepolicyenvironment(enablingenvironment)anditsinternalproceduresetc.

(organisationallevel)

MDGNeedsAssessment:thewhat,requiredtoachievetheMDGs;canbeconductedinconjunctionwithacapacityassessment

anana ys so anorgan za on sv s on, orma

structure,roles

and

responsibilities

and

culture


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PerformanceAssessment:assessmentagainstasetofpredetermined

.

criteriaoftheeconomy,efficiencyandeffectivenesswithwhichan

organizationor

an

individual

carries

out

aparticular

activity

or

range

of

activities

Ris Assessment:todefineoperationalandfinancialrisks,e.g.forimplementingpartners

StakeholderAnal sis:

ma in

ofke

stakeholders

and

their

osition

viz.anentitysobjectives

SWOT: analysisofstrengths&weaknesses(organizationallevel)and.

assessment

TrainingNeedsAssessment:collectionandanalysisoforganizational,


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Methodology / Tool Purpose

General

Venture Philanthropy Partners (McKinsey)

Capacity Assessment Grid

Assess non-profits organizational capacity, including identifying strengths and areas for

improvement, measuring changes in capacity over time, and drawing out different views within the

organization

EFQM Excellence Model Comprised of nine main aspects requiring consideration in any organizational analysis, grouped into

Enablers and Results

ema c

UNDP Civil Society Organization Capacity

Assessment Tool

Assess CSO commitment to UNDP principles of participatory human development and democratic

governance

Assess CSO capacity for project management

UNDP Generic Partici ator Result-oriented Assess in-de th the ca acities of CSOs in Africa to en a e in olic anal sis olic dialo ue olic ,

Self Assessment (PROSE) Tool for CSOs

engaged in policy advocacy

, ,

advocacy, and the monitoring and review of the performance of public policies

OECD/DAC Joint Venture on Procurement Offer a standardized instrument which developing countries and donors can use to assess the

quality and effectiveness of national procurement systems

UNDP Aid Effectiveness Adaptation of the UNDP capacity assessment methodology to support assessment of capacity to

manage aid effectively

Sector

OECD/DAC Good Practice Guidance on

Strategic Environmental Assessment (SEA)

An analytical and participatory approaches to strategic decision-making that aim to integrate

environmental considerations into policies, plans and programmes and evaluate the inter linkages

43

UNDP GEF National Capacity Self Assessment Assess functional capacities from an environmental perspective, as input into environmental and

overall policy and programme planning


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1. Institutional Arrangements: e.g., support to functional reviews

and the design of human resource management systems,

monetary and non-monetary incentive mechanisms and results-

based management.2. Leadership: e.g., support to visioning, systems thinking and

s ra eg c p ann ng exerc ses; promo on o peer- o-peer men or ng;

coalition building and negotiation skills development; design of

career management systems.

. . .,

incorporate human development needs into curriculum reform;

facilitation of partnerships for investment in reforming post-

- .

4. Accountability: e.g., design and support to monitoring andevaluation systems and independent partner review mechanisms;

romotion of ublic information disclosure olicies and le islation

support to civic education.


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Measurin Ca acit Develo ment

Animprovementincapacityacceleratesachievementsofdevelopment goals

Changeinange n

DevelopmentConditions

ChangeinSystemPerformance,StabilityandAda tabilit


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Using progress

measurement asEvaluating capacity

Development Process

discussion of

priorities

results Step1:Engage

stakeholdersoncapacitydevelopment

Defining levels of

Step2:Assesscapacity

assetsandStep5:Evaluatecapacity

Ca acit

desired capacities

Monitoring

implementation of

needsDevelopment

Process

Defining indicators

for the capacity

capac y

developmentresponses within

programmes

Step3:Formulateacapacity

development

Step4:Implementa

capacitydevelopment

development

response

responseresponse


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UNDPanditsnetworkofpartnerssupportnationalstakeholderswithadvocacy,

policyadvisoryandimplementationservicesinthefollowingareas:

1. Provisionof

aUNDP

Capacity

Assessment

Methodology,

including

aUsers

Guide

andSupportingTools,forusebyUNDPstaffandnationalpartners.

2. Engagementinexercisestodeterminethescopeoftheassessmentandsupport

toimplementingit,includingadaptingthemethodologytospecificcontexts.

3. Engagementinanalysing findingsandformulatingcapacitydevelopment

.

4. Forcountriesthatdecidetousemorethanonemethodology,assistancein

comparingtheUNDPmethodologywithotherassessmentframeworks,suchas

, ,

PostConflict

Needs

Assessments

and

the

UNDG

Capacity

Assessment

Methodology;andfacilitationofsuchcombinedassessments.

5. Facilitationoflearnin sessionsonca acit assessmentsat lobal,re ionaland

countrylevelsforUN/UNDPstaffandnationalpartners.

49


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ThematicApplicationsoftheUNDPCapacityAssessmentMethodology Procurement

AidEffectiveness

Trade

DisasterRiskReduction

ElectoralSystems


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.TheoreticalandCaseStudyPublications CapacityforDevelopment:NewSolutionstoOldProblems

DevelopingCapacitythroughTechnicalCooperation

Ownership,Leadership,

and

Transformation:

Can

We

Do

Better

for

Capacity

Development?

ActionBriefonCapacitiesforIntegratedLocalDevelopment

ActionBriefonBrainGain

Action

Brief

on

Ethics

and

Values

in

Civil

Service

Reforms

PracticeNotes PracticeNoteonCapacityDevelopment

PracticeNoteonCapacityAssessment

PracticeNoteonSupportingCapacitiesforIntegratedLocalDevelopment

PracticeNoteonCapacityDevelopmentduringPeriodsofTransition


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ConceptNotesonCapacityDevelopmentResponses InstitutionalReformandChangeManagement:ManagingChangeinPublic

.

SectorOrganizations

IncentiveSystems:

Incentives,

Motivation

and

Development

Performance

LeadershipDevelopment:LeadingTransformationsattheLocalLevel

KnowledgeServicesandLearning

MutualAccountabilityMechanisms: Accountability,VoiceandResponsiveness

Multi

Stakeholder

Engagement

Processes

ConceptNotesonCapacityDevelopmentApplications CapacityDevelopmentandAidManagement

ProcurementCapacities


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ResourceGuidesandTools(Selection) UNDPCapacityAssessmentUsersGuideandSupportingTool

.

AReviewofSelectedCapacityAssessmentMethodologies

UNDPProcurement

Capacity

Assessment

Users

Guide

and

Supporting

Tool

ResourceCatalogueonMeasuringCapacities:AnIllustrativeGuideto

BenchmarksandIndicators

Trainingmaterials

(For

UNDP

Staff)

Self pacedonlinecourseonCapacityDevelopment

Self pacedonlinecourseonCapacityAssessment

Network

CapacityDevelopmentNetworkandCommunityofPractice


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Online Course on Ca acit Assessment

(through UNDP Learning Management System)

Lesson 1: Course Overview

Lesson 2: Capacity Development Basics

Lesson 3: Capacity Assessment Bascis

Lesson 4: Mobil ize Stakeholders & Design

the Capacity Assessment

Lesson 5: Conduct the Capacity Assessmentand Summarize & Interpret its

Results

Lesson 6: Lessons from Appl ication

Lesson 7: FAQs, Resources and Supporting

tools

Lesson 8: Course Summary

capacity assessment undp august 2009.pdf

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