UNDP Methodology for Quick Capacity Assessments PDF

8/4/2019 UNDP Methodology for Quick Capacity Assessments PDF

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UNDP Georgia Methodology for

Quick Capacity Assessment



Table of Contents

INTRODUCTION 31. The Premise2. Introduction3. Overall Objective4. Sub-objectives

Step 1: SETTING A BACKGROUND 55. Initial discussion

6. Letter of Request7. Desk ReviewStep 2: GATHERING OF CRITICAL DATA & INFROMATION 6

8. InterviewsStep 3: INTERPRETATION AND ANALYSIS 7

9. Analysis10. Assessing the Feasibility with the UNDP Governance

Step 4: VALIDATION OF THE FINDINGS 7

11. A Validation Workshop12. General Meeting with Senior Management13. Adding Feasibility through the Level of Impact Chart

Step 5: CAPACITY DEVELOPMENT RESPONSE & INDICATORS 8ANNEX 1 Interview Guide & Sample Questionnaire 9

ANNEX 2 Format Quick Capacity Assessment Report 12ANNEX 3 Format Capacity Development Response Proposal 13



The Premise

Following the recent major shift from the stand-alone technical assistance activitiestowards the broader concept of the capacity development, the UNDP CO in Georgia hasmainstreamed the capacity development concept in many of its activities. The champion

was the Capacity Building Fund (Phase I) that was launched in 2004. The overall objectiveof the CBF has been assisting the Government of Georgia in implementation of its

package of governance reforms. Phase I of the programme has already been completedand the assistance to the amount of about $ 1.5 million has been provided.

Although, as acknowledged by all national and international stakeholders there is stillmuch to accomplish in terms of capacity development of the institutions. Therefore, withthe aim to further support capacity development in the Georgian context UNDP launchedthe Second Phase of the programme in 2007 (Capacity Building Fund – Phase II). In this

process UNDP intend was to apply the newly designed corporate capacity assessment andcapacity development tools in identifying the capacity strengths and weaknesses anddesign respective capacity development response strategies (through the mechanism of sub-projects). The corporate framework, however, needed to be adopted to better matchthe local conditions and constraints. In particular, at the first place it was necessary todevelop a simplified toolkit for QUICK CAPACITY ASSESSMENT.

To this aim, the UNDP Georgia, based on the corporate capacity development framework,has elaborated a simple and applicable methodology for assessing capacities for central,regional or local institutions. Even though, the following tool is primarily designed for theCBF, it is envisaged to make extensive use of the elaborated methodology with the UNDPGeorgia programming activities.

Introduction

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The UNDP Capacity Assessment Framework however, can be expanded to include varioustechnical capacities as required. Which technical capacities to include depend on thesituation and therefore cannot be pre-determined. Their selection has been left to thespecificity of needs expressed by the stakeholders concerned.

Conducted during the initial stages of development planning, a capacity assessment servesas input to formulating a capacity development response that addresses those areas wherecapacities could be strengthened or that optimizes existing capacities that are strong andwell placed3.

The following note presents the process guide for managing a Quick Capacity Assessment.It does not offer a blueprint, but is intended to promote common frame of reference for development practitioners and others looking to conduct a quick capacity assessment. Itshould also be used in conjunction with the UNDP capacity assessment framework as it

provides explanations and terms and concepts referenced herein.

The Quick Capacity Assessment has been designed to suit specific capacity developmentcontexts and streamlined to suit the relevant time frames, activities and funding. It isconducted when a more targeted or scaled-down approach is desired. With an emphasis on

“best fit” approach to organization’s purpose and needs, quick capacity assessmentmethodology refuses to offer JUST a quick and easy solution for a “common woe”, butinstead offers a shift in focus from “just a quick” to “best fit” to account for the differencein organizational contexts and needs - getting the right work done right.

Throughout a capacity assessment process putative-beneficiaries are consulted heavily.The main tenet of this approach to assessment is that the putative-beneficiaries and thecapacity assessment specialist are collaborators in a project at almost every stage of the

It i i t t t d t d th t thi h i f d d i t



A set of sub-objectives to contemplate in subsequent capacity assessment phases,correspond to one of the following deliverables:

• Capacity Assessment Report (See Annex 2);

• Capacity Development Response Proposal (See Annex 3).

Step 1: SETTING A BACKGROUND



would be helpful to include a reference to the meeting. The LOR can be relativelystraightforward and simple and must provide sufficient detail to be understood clearly.

Prior to interviewing phase, and after the LOR is submitted, one-hour meeting can be

organized to brief/make a presentation, allowing beneficiaries gain common understandingon the quick capacity assessment methodology and process.

Desk Review

For the purpose of the review process, which in turn serves as an important supplement inthe course of preparatory phase, relevant materials and legal documents (laws, decrees,statutes) will be obtained from various sources available to help achieve preliminaryunderstanding of the organization.

As outlined in the UNDP Practice Note on Capacity Assessment and in the CapacityAssessment Methodology User’s Guide, UNDP Capacity Assessment Framework is madeup of core issues (Leadership, Policy and Legal Framework, Mutual AccountabilityMechanisms, Public Engagement, Human Resources, Financial Resources, PhysicalResources, Environmental resources, Human Right Based Approach and Gender Equality- these issues have been selected because they represent the capacity issues that UNDP

sees most commonly encountered within and across a variety of sectors). They provide acomprehensive set of issues from which a capacity assessment team can choose(depending on the needs and priorities of the client and the situation) as it defines thescope of an assessment.

It may be useful to organize an information session in advance with the individuals in themiddle management or front line supervision to explain the methodology of theassessment. If scheduled prior to interviews, the appointment may also help to reach a

d t di th d ti th t t h th ti



is a conversation with a purpose4. Aside from “depth interviews” other qualitative methodworthy of consideration are focus group discussions, which may be used by the capacityassessment specialist/team as a qualitative prelude to interviews.

It is noteworthy, that sufficient room should be included in the assessment work plan toreschedule interviews if needed.

The questions provided in ANNEX 1 are not intended to represent an exhaustive set of questions for any capacity assessment. Given the contextual demands of any assessment, itis expected that the questions will be adapted, added to and/or deleted, to address context-specific needs5.

Step 3: INTERPRETATION AND ANALYSIS

Analysis

Once the interviews have been completed the capacity assessment specialist willsummarize and interpret its results, which start with an analysis of existing capacity. Theanalysis of existing capacity assets and gaps informs the level of effort required to build on

the assets and address the gap.

In some cases, the capacity assessment specialist may consider further exploration of theareas in question, i.e., they may consider additional follow-up questionnaire (e.g. self-assessment questionnaire) or informal discussions.

Assessing the Feasibility with the UNDP Governance

The purpose of feasibility is to help assess the viability of a development response

iti d b th t i li t b thi ki th h th i iti ti f it



starts with a presentation of the assessment results, allowing key stakeholders gaincommon understanding on the findings incorporated in UNDP capacity assessmentframework (core issues, sub core issues and functional capacity).This can be followed by adiscussion of the results to share information, discuss the rationale for the scores assigned

and build consensus on priorities in moving forward. What is important is that allstakeholders are given an opportunity to contribute their views and to do so in an open andhonest dialogue. This will increase the level of trust among them and increase thecredibility of the exercise, so that ownership over the results is shared by all and a strongfoundation is built for the way forward.

In the light of people's responses and after gaining a range of insights on specific issues,capacity assessment specialist may modify the assessment findings.

General meeting with senior management

During this step of the process, the role of senior management is to give formal approvalto the findings of the assessment and contribute to the selection and prioritization of the

proposed capacity development activities. Funding to the proposed development initiativescould also be influenced by other participating donors, who might be interested to directtheir country-earmarked funds to contribute to these priorities. Other funding, such as core

funding from UNDP will remain unchanged.

Adding Feasibility through the Level of Impact Chart

To ensure a feasibility of the development response proposal, and whether the proposedactivities are viable, the level of impact chart incorporated in the development response

proposal shows a degree of impact, activities may have on the respective institution.During this step of the process, the role of the putative beneficiary is to contribute to theselection and prioritization of the proposed capacity development activities.



ANNEX 1

Interview Guide

INTRODUCTION

Introduction

The purpose of this meeting is evaluation of the Organization’s capacity by using qualitative research method (interview). The project will aim to provide relevant assistance to the Organization from the point of view of its role and fulfillment of its obligations, to strengthen the skills of the

Organization employees and promote to better management by the Organization. Securing Confidentiality:

The conversation will last for 30 minutes. The meeting will be recorded and further analyzed by the UNDP Georgia specialists. Your opinion will be entered into the final report not in the nominative, but in the generalized form – i.e. as one of the respondents’ opinion. Therefore every opinionexpressed by you will be kept in confidence.

Basic Regulations of Interviewing

Please, speak openly and freely. Be sure that your opinion will be kept in confidence. Express your opinion openly and without bias. There are nocorrect or incorrect answers; there are only different answers, which we welcome. Express your opinion freely even if you know that it doesn’tcoincide with other respondent’s opinion. Please specify your opinion as much as possible, for instance with examples and specific events. I expectyour opinion will be honest as we are interested in both positive and negative opinions.

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Sample Questionnaire

Core IssuesCross-Cutting

Functional CapacitiesQuestions Answers

Policy and LegalFramework

Formulate policiesand strategies

Is there a clear written expression of organization’s reasonfor existence, which describes an enduring reality andreflects its values and purpose?

Is there a strategy that is both actionable and linked tooverall mission and overarching goals and helps to driveday-to-day behavior at all levels?

Analyze a situation andcreate a vision

Does the organization have the capacity to frame, manageand interpret a comprehensive analysis of the policy andlegal environment?

Plan, Budget,

and Implement

Does the organization have the capacity to develop policy,legal and regulatory frameworks and mechanisms that

support an integrated approach to budgeting andimplementation?

Monitor and evaluate

Does the organization have the capacity to: Monitor andevaluate the development and implementation of policiesand legal/regulatory frameworks and mechanisms?

Public

Engagement

Formulate policyand strategy

Does the organization have the capacity to ensuretransparency of the organization by publishing annualreports to keep the society informed, holding pressconferences, public awareness campaigns, postinginformation on the Internet?

Engage in Multi-

stakeholder Dialogue

Does the organization have the capacity to enableequitable and meaningful stakeholder participation

throughout the decision-making process?

Plan, Budget,and Implement

Can you describe a mechanism in place to involve targetgroups (civil society, private sector, general public) indecision-making process; such as, annual planning and/or drafting the annual budget?

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Mutual

AccountabilityMechanisms

Monitor and evaluate

1. Do you think there is any mechanism used for monitoring and evaluating the work fulfilled and theservices delivered by the staff? If yes, how is it usedto improve organization?

Analyze a Situation andcreate a vision

2. Could you describe a mechanism to collect solid data

on activities and outputs; does a sophisticatedelectronic database and management reporting systemexist, widely used in increasing information sharingand efficiency on continual basis?

3. What do you think is mostly needed to improve the performance of the organization with this respect?

Human Resources

Formulate policyand strategy

Does the organization have the capacity to develop policies and strategies relating to human resourcedevelopment?

Analyze a situation andcreate a vision

Does the organization have the capacity to frame, manageand interpret a comprehensive situation analysis of and tocreate a vision for the HR assets and needs?

4. What challenges/problems do you encounter mostfrequently in the course of implementing current

projects and plans? Could you please elaborate onwhat you believe some specific skills within theorganization likely require upgrading?

Plan, Budget,and Implement

5. Are there either sporadic or regular performanceappraisals, relevant trainings or coaching or a jobrotation considering staff development? If no, thenwhich circumstances do hamper this process?

Monitor and evaluateDoes the organization have the capacity to monitor andevaluate performance and trends in HR capacity and

productivity enhancement?

Physical Resources Analyze a situation andcreate a vision

Is the department’s physical and technical infrastructureset up so as to meet your urgent basic needs and howtopical for the organization, do you think is to strengthennetwork (Internet) and computer skills?

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ANNEX 2

FORMAT Quick Capacity Assessment Report

The following note presents the results of a multi-phase assessment process and disseminates the findings from outcomes of conducted assessment. This

information is shared with governance bodies within UNDP. The following overview provides a chronological listing of the report content:

1. The Premise

2. Introduction to the organization

3. Methodology and process

4. Timing and number of conducted interviews

5. Overall summary of the findings from the assessment

6. Annex: questionnaire

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ANNEX 3

FORMAT Capacity Development Response Proposal

The assessment of capacity and the resulting interpretation of its findings drive the creation of capacity development response proposal. The following

document is an integrated set of deliberate and sequenced actions which are built on existing capacity assets and the capacity needs identified and prioritized by the quick capacity assessment.

1. Introduction

2. Summary of prioritized capacity gaps

3. Capacity Development response proposal

4. Proposed capacity development initiatives: description

5. Level of impact chart

6. Capacity Development Indicators

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