Introduction to the UNDP Capacity Assessment Methodology Joe Hooper

1. Introduction to the UNDP Capacity Assessment Methodology Joe Hooper Slovakia, February 2008

2. 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

3. 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.

4. Capacity Development Process The Capacity Development Process

5. Key Questions for a Capacity Assessment • Capacity for Whom? • Capacity for What? • Capacity for Why?

6. Elements of the Capacity Assessment Framework 1. Points of Entry 2. Functional Capacities(within a Sector/Theme Context) + Technical Capacities 3. Core Issues

7. Capacity Assessment Points of Entry • 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

8. Some examples … Turkey Entry Point: Organizational level Department of Revenues Policy within the Ministry of Finance Kazakhstan Entry point: Organizational level Department of Social Protection at the Regional level, plus the lower level rayon “municipal” departments.

9. 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

10. 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.

11. 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.

12. Capacity Development Process Assess Capacity Assets and Needs: Key Issues • Broken into 3 Steps • Mobilize and Design • Conducting the Assessment • Summarizing and Interpreting the Results

13. 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

14. 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

15. An example…Turkey Access to Justice • 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; • 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.

16. 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.

17. Capacity Development Process Assess Capacity Assets and Needs: Key Issues • Broken into 3 Steps • Mobilize and Design • Conducting the Assessment • Summarizing and Interpreting the Results

18. 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

19. Conducting the Assessment – Data Types Quantitative Data Qualitative Information • 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 • 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

20. Conducting the Assessment – Sample Worksheet • Capacity to engage with stakeholders Assessment Questions Ranking* 1=No evidence of relevant capacity 5=Fully developed capacity Evidence Do authorities have the capacity to engage with donors (e.g., respond to issues raised by them) [Replace this text with details.] 1 2 3 4 5 1 2 3 4 5 Do authorities have comprehensive knowledge of individual donors’ funding priorities and policies? [Replace this text with details.] 1 2 3 4 5 1 2 3 4 5 Do authorities have the ability to negotiate with donors about increasing transparency and predictability and reducing volatility? [Replace this text with details.] 1 2 3 4 5 1 2 3 4 5

21. Conducting the Assessment – Sample Questions

22. Capacity Development Process Assess Capacity Assets and Needs: Key Issues • Broken into 3 Steps • Mobilize and Design • Conducting the Assessment • Summarizing and Interpreting the Results

23. Core Issues Functional Capacity Future Level Existing Level Institutional Development Leadership Summarizing and Interpreting the Results Identify the gap between future capacities and existing capacities

24. “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 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

25. 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

26. Resources and Information Capacity Assessment User’s Guide 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 • Overview and Key Operational Considerations • Assess Capacity Assets and Needs • Define Capacity Development Strategies and Actions • Questions and Indicators by Core Issue • Annexes

27. And Some More Information… www.capacity.undp.org

28. EndThank you for your attention!Questions?

29. Working Groups

30. 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.