Introduction to the UNDP Capacity Assessment Methodology

Joe Hooper

Slovakia, February 2008

UNDP Definition of Capacity Assessment

Capacity Assessment: An analysis of current

capacities against desired future capacities; this

assessment generates an understanding of

capacity assets and needs which in turn leads to

the formulation of capacity development strategies

Why Undertake a Capacity Assessment ?

• Brings rigor and a systematic method for assessing capacity needs, establishing priorities and sequencing of interventions (as opposed to wishful shopping lists).

• Identifies the more profound systemic challenges, shifting the capacity development question from one of technical cooperation to a more holistic framework.

• Makes sense of complex development situations, when it is not always obvious where best to intervene to promote capacity development.

• Can help confirm priorities and build consensus moving

forward off of a common platform.

The Capacity Development Process

Step 2: Formulate

CD

Strategies

Step 3:Implement CD

Strategies

Step 1:Assess

Capacity Assets and

Needs

Step 4:Monitor &

Evaluate CD Strategies

Capacity Development

Process

Key Questions for a Capacity Assessment

• Capacity for Whom?

• Capacity for What?

• Capacity for Why?

Elements of the Capacity Assessment Framework

3. Core Issues

1. Points of Entry

2. Functional Capacities (within a Sector/Theme Context)

+ Technical Capacities

1. Enabling Environment – provides the enabling environment, e.g., ethos, incentives/constraints, policy frameworks, interaction of groups/ networks/organizations, by which individuals and organizations are able to function, e.g., legal/judicial environment, financial management environment.

2. Organizational – provides framework for individuals to connect and achieve goals beyond individual capacities; collective manifestation of individual capacities, e.g., Ministries, Departments, Districts, NGOs. Typically the most frequent EP.

3. Individual – repository of knowledge and skills; the building blocks of organizations; the target of individual performance assessments, the responsibility of organizations.

Remember though: one entry point is never enough. Zoom in/out

Capacity Assessment Points of Entry

Some examples …

Turkey

Entry Point: Organizational level

Department of Revenues Policy withinthe Ministry of Finance

Kazakhstan

Entry point: Organizational level

Department of Social Protection at the Regional level, plus the lower level rayon “municipal” departments.

Technical and Functional Capacities

• Technical Capacities – Associated with particular areas of professional expertise or knowledge (e.g., agricultural extension, health, education). UN specialized agencies’ areas.

• Functional Capacities – Activities associated with the formulation, implementation and evaluation of policy, programmes and projects; relevant in all situations irrespective of sector/organization• Engage with Stakeholders• Assess a Situation and Define a Vision and Mandate• Formulate Policies and Strategies• Budget, Manage and Implement• Monitor and Evaluate

Core Issues

Institutional Development – ensuring effectively functioning national/local institutions for societal, economic, and human development (e.g., mission and strategy, business processes, human resources, physical resources). Frequently a requested core issue in the Europe and CIS Region.

Leadership – fostering good leadership maximizes capacity investments

Knowledge – CD is underpinned by knowledge or what people know

Mutual Accountability – efficient, responsive, transparent and accountable public administration key to sustainable development. Another frequently requested issue.

Some examples …

Serbia

Core Issue: Institutional Development

Specific Focus: Human Resources and Business Processes (planning, internal communications and knowledge management)

Georgia

Core Issue: Mutual Accountability

Specific Focus: Internal accountability within the local government structures, and the mechanisms of how citizens held accountable their local government representatives.

Assess Capacity Assets and Needs: Key Issues

Step 2: Formulate

CD

Strategies

Step 3:Implement

CD Strategies

Step 1:Assess

Capacity Assets and

Needs

Step 4:Monitor &

Evaluate CD Strategies

Capacity Development

Process

Broken into 3 Steps

1. Mobilize and Design

2. Conducting the Assessment

3. Summarizing and Interpreting the Results

Mobilize and Design

1. Clarify objectives and expectations with primary clients, – e.g., In-depth analytical analysis of functional capacities, often

used to define training requirements, or– Catalytic exercise to build consensus and move to action

2. Identify and engage national/local stakeholders throughout the process to ensure ongoing success– National and municipal stakeholders– Links between national and local levels

3. Adapt capacity assessment framework to local needs– Define the scale and scope of the capacity assessment by

selecting point of entry, core issue(s) and functional capacity(ies). Are other capacities also to be examined (technical ones for example)?

– Review existing sources and knowledge

Mobilize and Design continued…

4. Determine how the assessment will be conducted

– Self-assessment vs. interviews

– Number of municipalities, number of ministries

– Level within municipalities

– Pilot exercises

– Team

– Location

5. Cost the capacity assessment exercise, based on: – Team composition

– Duration

– Depth of analysis

• 2 day meeting with Turkish Judges from the Ministry of Justice to mobilize and design the CA;

• Provided a training on CA/CD to enhance their knowledge;

An example…Turkey Access to Justice

• Defined key stakeholders (MoJ, High Courts, Lower Court Justices) and their inter-relationships;• Selected MoJ as the organizational entry point, with further Departments defined as specific targets of the assessment;• Team composition decided with a mix of national experts, MoJ officials, UNDP-BRC staff;• Rough timeline and phased approach decided upon;• “Kick off” conference organized to further mobilize stakeholders that may be resistant to change.

Mobilize and Design – Some Considerations

• Once a point of entry has been determined, use either a core issue(s) or a cross-cutting functional capacity (ies) as the primary driver of the assessment

• Select from one intersection to all 100 combinations of the 3 elements; it is not necessarily suggested that the entire framework is used in any given assessment

• Go into more depth on any given intersection, e.g., split “Budget, Manage & Implement” into three sub-capacities

• Customize according to how much time is allotted for a given project – one week assessment or a three-month assessment. Kazakhstan was 12 days, Turkey will be 3 phases over 6 months, Georgia was 2 days.

It is incumbent upon a capacity assessment team to design the framework to suit local needs.

Assess Capacity Assets and Needs: Key Issues

Step 2: Formulate

CD

Strategies

Step 3:Implement

CD Strategies

Step 1:Assess

Capacity Assets and

Needs

Step 4:Monitor &

Evaluate CD Strategies

Capacity Development

Process

Broken into 3 Steps

1. Mobilize and Design

2. Conducting the Assessment

3. Summarizing and Interpreting the Results

Conducting the Assessment –Info Sources

Some information you can generate yourself, other information

exists and can be drawn upon. Don’t reinvent the wheel!

• Self-assessment

• Other previous reviews, functional analysis etc.

• Interviews with stakeholders:

• Government partners

• Beneficiaries

• CSOs

• Donors

• Triangulate results in consensus-building sessions

Conducting the Assessment – Data Types

Advantages

• May be seen as more “legitimate” than the qualitative element

• Easier to compare capacity levels across different core issues and functional capacities

Disadvantages

• May be used for comparison purposes that are not valid

Quantitative Data Qualitative Information

Advantages

• Provides context for qualitative element

• Creates repository of “institutional memory”

Disadvantages

• More difficult to compare capacity levels across core issues and cross-cutting capacities

Conducting the Assessment – Sample Worksheet

[Replace this text with details.]Do authorities have the ability to negotiate with donors about increasing transparency and predictability and reducing volatility?

[Replace this text with details.]Do authorities have comprehensive knowledge of individual donors’ funding priorities and policies?

[Replace this text with details.]Do authorities have the capacity to engage with donors (e.g., respond to issues raised by them)

Evidence

Ranking*1=No evidence of relevant capacity5=Fully developed capacity

Assessment Questions

54321

54321

54321

54321

54321

54321

a. Capacity to engage with stakeholders

Conducting the Assessment – Sample Questions

Functional Capacity

Budget, Manage, Implement

Core Issue

Who to meetHead of Municipal Admin.

Dept General Admin

Dept. Finance

Dept of Economy

Dept of Public Utility

Representatives of Dept Meeting

Institutional Dvlpt.

Human Resources

- Do you have a HRM system (hiring, firing, incentives, training, etc)?- Who is responsible for HRM?

- Do your staff have clear job descriptions?- Do the qualifications of your staff match their job descriptions?- Do the job descriptions match the functions needed for effective functioning of municipality?- How does the municipality identify training needs of staff?- What are the criteria used for selecting who will be trained?- How do they evaluate the application of the knowledge gained? - How is this performance acknowledged?- How many projects has the municipality started in the past two years?- How many of these projects have been completed as planned? If not, why?- Was staff from your Departments involved in any these projects? - Have any of your staff received project management training?- How many staff are experts in procurement?- Do you have budget allocation for training?

- Do you feel there is adequate room for career development?- Does the organization foster learning (eg: devotes worktime to staff to pursue education opportunities, hosts trainings demanded by staff etc.)?

Assess Capacity Assets and Needs: Key Issues

Step 2: Formulate

CD

Strategies

Step 3:Implement

CD Strategies

Step 1:Assess

Capacity Assets and

Needs

Step 4:Monitor &

Evaluate CD Strategies

Capacity Development

Process

Broken into 3 Steps

1. Mobilize and Design

2. Conducting the Assessment

3. Summarizing and Interpreting the Results

Summarizing and Interpreting the Results

Identify the gap between future capacities and existing capacities

Functional Capacity

Core Issues

Existing LevelFuture Level

Leadership

Institutional Development

Key Considerations for an Assessment

• Assessment fatigue

• Skepticism about value and validity of results emerging from a capacity assessment

• Suspicion that capacity assessments are being used by senior management for re-profiling or retrenchment

• Disconnect between capacity assessment and formulation of capacity development strategies: basing strategy formulation on “guesstimates” of capacity gaps

• Facilitation level: too much may lead to “coached” outcomes; too little may result in a “wish list” of capacity development strategies

“Zoom in” on the issues

Importance of building consensus

Assessments for overall development effectiveness

Focus on the link between assessment results and capacity development strategies

Endogenous process, ownership

Some Lessons Learned

• Adapt to the context – leverage the capacity assessment framework as a point of departure for a capacity assessment; it is flexible and needs to be adapted by the assessment team to suit its specific needs/context

• Ensure appropriate team composition (team leader; mix of content, process, cross-cutting thematic experts; national and international consultants)

• Build enough time into the work plan – for identifying stakeholders, designing approach, building consensus, translating materials, etc.

• Simultaneously manage the political/strategic level and the tactical level

• Understand that capacity assessment is a set of activities, not a solution

• Leave prioritization of investment until after the assessment of capacities has been completed

• Consider capacity assessment as a dynamic, ongoing process… not a one-time event

Resources and Information

A step-by-step guide to conducting a capacity assessment

Includes instructions for conducting a capacity assessment and specifically for using the supporting tool

Includes illustrative questions and indicators for each cross-section of the framework (cross section of point of entry, core issue and functional capacity)

Contents

1.Overview and Key Operational Considerations

2.Assess Capacity Assets and Needs

3.Define Capacity Development Strategies and Actions

4.Questions and Indicators by Core Issue

5.Annexes

Capacity Assessment User’s Guide

And Some More Information…

www.capacity.undp.org

End

Thank you for your attention!

Questions?

Working Groups

Undertaking a Capacity Assessment

• Split into working groups

• Nominate a rapporteur and a presenter

• Based on the case study, work through the questions in the handout

• Remember to record your answers so you can present to the plenary

• If you have a question, ask one of us as we are here to help.