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

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UNDP Capacity Assessment Methodology User‘s Guideprepared in advance or be made the first phase of a programme or project to establish or confirm itsdirection. If a capacity assessment was not conducted during formulation of a strategy, programme orproject, it can be initiated during implementation or even during the review stage if there is to be a followup on the programme.In the context of any of the situations just described, a capacity assessment can serve a variety ofpurposes. It can provide the starting point for formulating a capacity development response; act as acatalyst for action; confirm priorities for action; build political support for an agenda; offer a platform fordialogue among stakeholders; and provide insight into operational hurdles in order to unblock aprogramme or project.4. The UNDP Capacity Assessment MethodologyUNDP has developed a methodology for conducting capacity assessments that is systematic andrigorous, yet flexible and adaptable; it is not a blueprint but can be used in a variety of contexts to suitdifferent purposes. The methodology provides a structure for discussion about the scale, scope andprocess of a capacity assessment exercise and about the capacity development agenda more generally.It consists of:The UNDP Capacity Assessment FrameworkA process for conducting a capacity assessmentSupporting tools4.1 The UNDP Capacity Assessment FrameworkThe UNDP Capacity Assessment Framework has three dimensions (Figure 2 below):Points of entry: UNDP recognizes that capacity resides on different levels – the enablingenvironment, the organizational and the individual. Each of these levels can be the point of entry for acapacity assessment. The UNDP Capacity Assessment Framework is specifically tailored to theenabling environment and the organizational level;Core issues: These are the four capacity issues that UNDP‘s empirical evidence suggests to be themost commonly encountered across sectors and levels of capacity: 1) institutional arrangements; 2)leadership; 3) knowledge; and 4) accountability. Not every assessment needs to cover all four, but acapacity assessment team should at least consider all of them as it defines the scope of anassessment. They can be amended based on the needs of the client and the situation.Functional and technical capacities: Functional capacities are necessary for creating andmanaging policies, legislations, strategies and programmes. UNDP has found that the followingfunctional capacities are key: 1) engage stakeholders; 2) assess a situation and define a vision andmandate; 3) formulate policies and strategies; 4) budget, manage and implement; and 5) evaluate.Various technical capacities may also need to be assessed, depending on the situation.In this User‘s Guide, a combination of these dimensions will be referred to as a ―cross section‖.4.2. The process for conducting a capacity assessmentUNDP suggests following a three-step process to conduct a capacity assessment. The activities in eachstep aim at deepening engagement of national partners and promoting dialogue among key stakeholdersaround the capacity assessment process.Mobilize and design: Engaged stakeholders and a clear design are key to a successful capacityassessment. The design is driven by three guiding questions: 1) ‗capacity for why?‘ 2) ‗capacity forwhom?‘ and 3) ‗capacity for what?‘ 2 ;2 The phrasing of the questions in this way has proved to be appealing and intuitive to people working on capacity development.6
Core IssuesUNDP Capacity Assessment Methodology User‘s GuideConduct the capacity assessment: During the capacity assessment data & information arecollected on desired and existing capacity. This data & information can be gathered by a variety ofmeans, including self-assessment, interviews and focus groups;Summarize and interpret results: The comparison of desired capacities against existing capacitiesdetermines the level of effort required to bridge the gap between them and informs the formulation ofa capacity development response.Figure 2. The UNDP Capacity Assessment FrameworkFunctional CapacitiesTechnicalCapacitiesEngageStakeholdersAssess aSituation& Createa VisionandMandateFormulatePolicies&StrategiesBudgetManage& ImplementEvaluateInstitutionalArrangementsLeadershipKnowledgeAccountability4.3 Supporting toolsA number of supporting tools are available to help you support a capacity assessment. These includesample capacity assessment worksheets, interview guides, draft terms of reference for the capacityassessment team, the scoping mission and national consultants, etc. UNDP has also developed anExcel-based Supporting Tool, which will be discussed in Section V below.7
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