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

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UNDP Capacity Assessment Methodology User‘s GuideSECTION IV:OPERATIONAL GUIDELINESThis section begins with a discussion of how the UNDP Capacity Assessment Methodology can beleveraged at various steps of the overall capacity development process. It also introduces two thematicapplications of the methodology, provides guidelines for using the methodology in conjunction with otherassessment methodologies and offers lessons from application as well as tactical considerations.1. Leveraging a capacity assessment throughout the capacity development processConducting a capacity assessment can be a relatively straightforward proposition when a programme orproject is just being initiated; to most, it makes sense to begin a programme by developing anunderstanding of the challenges and opportunities, or capacity assets and needs as in the case of acapacity assessment. However, it may become less clear how to leverage a capacity assessment whenone is already in the midst of the capacity development process. Following is an overview of how acapacity assessment can be effectively used throughout the capacity development process.Table 4: Leveraging a capacity assessment throughout the capacity development processCapacity Development Process Questions Leveraging Capacity AssessmentAssetsEngage Stakeholders on CapacityDevelopmentFormulate a Capacity DevelopmentResponseImplement a Capacity DevelopmentResponseEvaluate Capacity DevelopmentIs there support for the capacitydevelopment agenda?For change more generally?Are capacity developmentresponses being formulatedbased on insights generated andconsensus built via a capacityassessment?Does the capacity developmentresponse build on capacityassets and address capacityneeds?Is the capacity developmentresponse effectivelyimplemented?What are constraints hamperingimplementation?Have benchmarks been set againstwhich to measure capacitydevelopment?Use the Capacity Assessment (CA)Methodology to initiate and framedialogues with stakeholdersUse CA Framework to help identifypriorities forassessment/developmentUse CA Framework (especially coreissues) to brainstorm about thecomposition of a capacitydevelopment responseUse the CA Framework to setindicators, targets and baselines forcapacity developmentUse the CA Methodology to explorepotential stumbling blocksUse CA capacity questions tomeasure capacity development2. Thematic applications of the UNDP Capacity Assessment MethodologyThe UNDP Strategic Plan (2008-2011) stipulates that capacity development is UNDP‘s core service toprogramme countries. It is integrated into the results areas of all UNDP practices in support ofnational/sector strategies. The following areas represent some of UNDP‘s strategic capacity investmentareas, for which adaptations of the UNDP Capacity Assessment Methodology are available.22
UNDP Capacity Assessment Methodology User‘s Guide2.1 ProcurementAvailable resources‣ Procurement Capacity Assessment User‘s Guide‣ Procurement Capacity Assessment ToolUNDP is increasingly being called upon to support national capacities for implementation, including forproject management and procurement. To support this growing body of work, it has developed anapplication of the UNDP Capacity Assessment Methodology for the area of procurement.An adapted capacity assessment framework and a Procurement Capacity Assessment User‘s Guide areavailable to support procurement capacity assessments at the enabling environment (called‗environmental‘ in this adaptation) and the organizational level. The User‘s Guide also provides guidanceon how to adapt the framework to specific areas, such as assessments of e-government procurementcapacities or sector-specific procurement capacities.At the environmental level, the adapted assessment framework comprises the pillars and indicators of theOECD/DAC Methodology for the Assessment of National Procurement Systems.At the organizational level, the framework comprises the four core issues from the UNDP CapacityAssessment Framework (institutional arrangements, leadership, knowledge and accountability), but anadapted set of thirteen capacities that relate to the stages of the procurement cycle. These include, forexample:Procurement planningIdentifying the correct procurement methodContract review and awardPayment of invoices2.2 Aid Coordination and Aid ManagementAvailable resources‣ Checklist for National Capacities for Aid Coordination and Aid Management‣ Checklist for Aid Coordination Mechanisms‣ Checklist for Aid Management Policy‣ Checklist for Aid Management SystemsUNDP has also adapted its assessment methodology to the area of aid coordination and management.The cores issues in the UNDP Capacity Assessment Framework have been replaced by issues pertainingto national capacities to coordinate and manage aid. These are:1. National ownership and leadership2. Policy and institutional framework3. Partnerships with internal and external stakeholders4. Mutual accountabilityThe points of entry and the functional capacities are the same as in the UNDP Capacity AssessmentMethodology.To support the use of the framework, four capacity checklists have been developed:Checklist for National Capacities for Aid Coordination and Aid ManagementChecklist for Aid Coordination MechanismsChecklist for Aid Management PolicyChecklist for Aid Management SystemsThese checklists can be used for self-assessment exercises with aid coordination units within, forexample, the Ministry of Finance, Planning or the Economy, prior to a more comprehensive capacity23
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