UNDP Capacity Assessment Users Guide.pdf - Africa Adaptation ...

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UNDP Capacity Assessment Methodology User‘s GuidePreparing the assessment reportOnce there is broad agreement on the findings of the assessment, the final report can be prepared. Thisis usually done by the assessment team, but in close collaboration with the assessment ‗owner‘ andrelevant stakeholders.This report can include the following:1. Mobilize and Designa. Description of the context in which the assessment was conductedb. Description of the primary client(s) of the assessmentc. The request for supportd. Definition of the objective of the assessment and its scope.e. How the UNDP Capacity Assessment Framework was adapted2. Conduct the Capacity Assessmenta. Overview of the methodology (self-assessment, group discussions, desk review)b. The tools used (assessment worksheets, questionnaires).3. Summarize & Interpret Resultsa. Summary analysis of the assessment findings, both for desired and for existing capacities.Annexesa. Terms of Reference of the capacity assessment teamb. Capacity assessment work planc. Overview of the different stakeholders consultedd. Detailed questionnaires or interview guidese. Detailed analysis of the assessment findings.18
UNDP Capacity Assessment Methodology User‘s GuideSECTION III:FORMULATE A CAPACITY DEVELOPMENT RESPONSE1. Define a capacity development responseThe capacity assets and needs identified by a capacity assessment provide the starting point for theformulation of a capacity development response. This is an integrated set of sequenced actionsembedded in a programme or project to address the questions ‗capacity for why?‘, ‗capacity for whom?‘and ‗capacity for what?‘There are a number of considerations pertaining to the sustainability of a capacity development responseand its results 5 :Because an assessment usually covers several core issues and because the core issues aremutually reinforcing, a capacity development response will be more effective if it combines actions toaddress more than one core issue. Similarly, a capacity development response should address morethan one level of capacity. For example, an assessment of the procurement office of a ministry ofhealth (organizational level) may need to be complemented by a revision of the government‘sprocurement guidelines (enabling environment).It may be less threatening for stakeholders to start from existing strengths rather than weaknesses.For example, it may be better to emphasize the existence of a salary policy rather than itsobsolescence.A capacity development response should try to combine short- to medium-term initiatives (one year orlonger) with quick-impact activities (less than one year). Together these can build the foundation forcontinued capacity development. A capacity development response should include exit strategies,such as strengthening the base of local experts and consultants and involving regional, national andlocal educational and training institutes.A capacity development response should integrate with national budget structures to ensurecontinued funding.2. Define indicators of progress for a capacity development responseIndicators are needed to monitor progress of a capacity development response, and each indicator needsa baseline and target. The baseline data are used as the starting point for measuring progress; thetargets may be either short-term or long-term with interim milestones. Progress monitoring should allowfor refinement of a capacity development response and potentially the design of new initiatives to addressevolving needs.As illustrated in Figure 5, indicators for the capacity development response measure output, or whetheractivities are being implemented as foreseen. These indicators are similar to those for monitoring theoutput of any project; they need not be specific to capacity development. Nor is it necessary to create aseparate monitoring system for a response; just as a capacity development response is incorporated intoan overall action plan, so should indicators for the response be integrated into the monitoring frameworkof a programme or project.Indicators identified as part of the capacity assessment measure outcome, or the desired change incapacity. They can be identified for each cross section of core issue and capacity – at each capacity level– covered by the assessment. The UNDP Capacity Assessment Methodology User‘s Guide suggestsindicators for each cross section. The indicators are meant to be illustrative of the various types ofindicators that could be applied. The ―hierarchy‖ of indicators in this User‘s Guide is mixed:Some indicators are broad and qualitative, while others are more specific and easily measurable.For those that are broad or qualitative, the assessment team needs to make them SMART in thecontext of their capacity development effort.5 See UNDP (2008a) for more detail on the UNDP approach to supporting capacity development.19
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