UNDP - Capacity Assessment Binh Dinh WSSP

8/4/2019 UNDP - Capacity Assessment Binh Dinh WSSP

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CapacityAssessment

-Binh Dinh WSSP

This document is based on UNDP Methodology of Capacity Development


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Capacity Assessments of our

WSSP project will beimplemented by consultants.

However, the project should understand thewhole concept in order to write term of

reference (ToR), to negotiate IOCA

contracts and to easily follow-up.


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I. Definition

A capacity assessment is an analysis ofdesired capacities against existing capacitiesand offers a systematic way of gathering criticalknowledge and information on capacity assets

and needs (desired capacities are definedbefore the assessment is conducted).

Its findings provide the basis for formulating a

capacity development response that addressesthose capacities that could be strengthened, orthat optimizes existing capacities that arealready strong and well placed.


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II. Capacity assessment -

Purpose

* Identifying what key capacities already exist andgenerating an understanding of capacity assets

* Identifying what additional capacities may beneeded to reach objectives.


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A Capacity Assessment can:

Help analyze the gap between what isdesired (capacity needs) and what exists

(capacity assets)

Establish capacity development priorities Prioritize capacity development

interventions

Provide a starting point for formulating acapacity development response


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The purpose of capacity assessment

(capacity - why?) will help determine theappropriate point of entry, which is

important since it provides the initial

focus. A capacity assessment requires an

understanding of the political and cultural

context and a clear rationale for defining

desired capacities.


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Framework - 3 dimensions


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Framework Point of entry

3 different levels: The Enabling

Environment The Organizational The Individual

Each of these levels can be the point of entry fora Capacity Assessment.


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a) The Enabling Environment as point of

entry

The Enabling Environment: Describes the broader system within which

individuals and organizations function

Comprises elements that can facilitate orconstrain the development of capacity (policies,

legislation, power relations and social norms, all

of which govern the mandates, priorities, modes

of operation and civic engagement across

different parts of society)


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b) Organizational level as point of

entry Organizations provide the framework for individuals

to work together for a common vision and act on ashared set of goals.

Capacity assessments are most commonly

conducted at the organizational level. An assessment at this level usually focuses on the

organizations internal workings The organizational: comprises the internal policies,

arrangements, procedures and frameworks thatallow an organization to operate and deliver on itsmandate, and that enable the coming together ofindividual capacities to work together and achievegoals.


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c) Individual as point of entry

Individual capacity refers to the skills,

experience and knowledge that are vested

in people. Some of these are acquired

through formal training and education,others through learning by doing and

experience.


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The three levels of capacity are mutually interactive andeach level influences the other through complex co-

dependency relationships.


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Framework Core issues

Four capacity issues: Institutional arrangements: country policies, procedures,

processes Leadership: ability to influence, inspire, motivate people,

organizations and society to achieve their goals, toanticipate, be responsive to and management change tofoster human development)

Knowledge

Accountability


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They are the four areas where capacity

change happens most frequently.

They can also drive the formulation of a

capacity development response.


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Framework Functional and

Technical Capacities Functional capacities are the

management capacities needed to

formulate, implement and review policies,

strategies, programmes and projects.


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The FIVE functional capacities:

a) Engage stakeholders

b) Assess a situation and define a vision and

mandatec) Formulate policies and strategies

d) Budget, manage and implement

e) Evaluate


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a) Capacity to engage

stakeholders It is the capacity to engage and build consensus among

all stakeholders. It includes the capacity to:

Identify, motivate and mobilize stakeholders;

Create partnerships and networks; Promote engagement of civil society and the

private sector;

Manage large group processes and open

dialogue; Mediate divergent interests; Establish collaborative mechanisms.


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b) Capacity to assess a situation

and define a vision and mandate It is the capacity to fully understand an

operating environment and develop andarticulate a vision or goal informed by theobjectives to be achieved. It includes thecapacity to: Access, gather and disaggregate data and

information;

Analyze and synthesize data andinformation; Articulate capacity assets and needs; Translate information into a vision and/or a

mandate.


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c) Capacity to formulate

policies and strategies It is the capacity to:

Explore different perspectives;

Set objectives;

Elaborate sectoral and cross-sectoral

policies;

Manage priority-setting mechanisms.


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d) Capacity to budget, manage

and implement It is the capacity to:

Formulate, plan and manage projects and

programmes, including the capacity to

prepare a budget and to estimate capacitydevelopment costs;

Manage human and financial resources and

procurement; Set indicators for monitoring and monitor

progress.


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e) Capacity to evaluate

It is the capacity to:

Measure results and collect feedback to

adjust policies;

Codify lessons and promote learning; Ensure accountability to all relevant

stakeholders.


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Framework Functional and

technical capacities

Technical capacities are those associated

with particular areas of expertise and

practice in specific sectors or themes. As

such, they are closely related to the sector

or organization in focus.


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Process - 3 steps:


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Step 1: Mobilize and design

Active stakeholder engagement throughout a capacity

assessment process is the key to success.

Clear design:

capacity for why? (what are priorities for the CA,what is the purpose of the CA, what are expectations

regarding its output, are these expectation realistic?)

capacity for whom? (to determine whose capacities

need to be assessed: the assessment focus on one

department, or the whole ministry, or several related

ministries)

capacity for what? (to determine what functional and

technical capacities and core issues need to be

assessed)


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Determining the data & information

collection and analysis approach the scale and scope of the assessment

which capacities need to be included in the

assessment

howthese capacities will be assessed kinds of input to collect and appropriate

collection techniques


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Determine how to conduct the capacity

assessment Who should be part of the assessment team?

Who should participate in the assessment?

Where and how will the assessment be

conducted?


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Plan and cost the capacity assessment(based on team composition, design

and duration) Salaries of local and external experts that are

part of the assessment team Renting a location for meetings & workshops Stationery Travel expenses Translation costs (if the assessment is

conducted in a local language) Reproduction of materials Costs for surveying or data gathering


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Step 2: Conduct the CA

Collect data and information on desired

and existing capacity (self-assessments,

interviews, focus groups)


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Step 3: Summarize and

interpret results

Compare the level of desired capacity

against the level of existing capacity

Determine the level of effort required tobridge the gap between them

Inform the formulation of a capacity

development response


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Organize a validation workshop before finalizing

the assessment results and preparing the report

This workshop should bring together all relevantstakeholders to communicate the findings of the

CA presentation of the assessment results

discussion of the results

building of consensus on priorities in moving forward

All stakeholders should be given an opportunity

express their views openly to increase trust among them

strengthen ownership over the results

lay a strong foundation for the way forward.


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Step 3: The assessment report

UNDP - Capacity Assessment Binh Dinh WSSP

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