Jennifer Colville

1
Workshop Introduction to Capacity Assessments
and Capacity Development Strategies UNDP
Capacity Assessment Methodology

• Jennifer Colville
• Almaty, Kazakhstan
• November 2007

2
UNDP Definitions Related to Capacity
Capacity the ability of individuals,
organisations, and societies to perform
functions, solve problems, and set and achieve
objectives in a sustainable manner.
Capacity Development the process through which
the abilities to do so are obtained,
strengthened, adapted and maintained over time.
3
UNDP Definitions Related to Capacity
Capacity Assessment An analysis of current
capacities against desired future capacities
this assessment generates an understanding of
capacity assets and needs which in turn leads to
the formulation of capacity development
strategies
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Capacity Development Process
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Capacity Assessment Key Design Questions

• Capacity for Whom?
• Capacity for What?
• Capacity for Why?

6
UNDP Capacity Assessment Framework
Technical Capacities Functional Capacities
(within a Sector/Theme Context)
Core Issues
Points of Entry
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UNDP Capacity Assessment Framework
Points of Entry

• Individual repository of knowledge and skills
  the building blocks of organizations the target
  of individual performance assessments, the
  responsibility of organizations
• Organizational provides framework for
  individuals to connect and achieve goals beyond
  individual capacities collective manifestation
  of individual capacities, e.g., Ministries,
  Departments, Districts, NGOs
• Enabling Environment provides the enabling
  environment, e.g., ethos, incentives/constraints,
  policy frameworks, interaction of groups/
  networks/organizations, by which individuals and
  organizations are able to function, e.g.,
  legal/judicial environment, financial management
  environment

Points of Entry
Example Enabling Environment
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UNDP Capacity Assessment Framework
Capacities
Functional Capacities

• Technical Capacities Associated with particular
  areas of professional expertise or knowledge
  (e.g., agricultural extension, health, education)
• Functional Capacities Activities associated
  with the formulation, implementation and
  evaluation of policy, programmes and projects
  relevant in all situations irrespective of
  sector/organization
• Engage with Stakeholders
• Assess a Situation and Define a Vision and
  Mandate
• Formulate Policies and Strategies
• Budget, Manage and Implement
• Monitor and Evaluate

Example Capacity to Monitor and Evaluate as a
Driver of Design
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UNDP Capacity Assessment Framework
Core Issues
Institutional Development ensuring effectively
functioning national/local institutions for
societal, economic, and human development (e.g.,
mission and strategy, business processes, human
resources, physical resources) Leadership
fostering good leadership maximizes capacity
investments Knowledge CD is underpinned by
knowledge or what people know Mutual
Accountability efficient, responsive,
transparent and accountable public administration
key to sustainable development
Core Issues
Example Institutional Development Core Issues as
a Driver of Design
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Assess Capacity Assets and Needs Key Activities
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Mobilize and Design Key Activities

• Clarify objectives and expectations with primary
  clients, e.g.,
• In-depth analytical analysis of functional
  capacities, often used to define training
  requirements, or
• Catalytic exercise to build consensus and move to
  action
• Identify and engage national/local stakeholders
  throughout the process to ensure ongoing success
• National and municipal stakeholders
• Links between national and local levels
• Adapt capacity assessment framework to local
  needs
• Define the scale and scope of the capacity
  assessment by selecting point of entry, core
  issue(s) and functional capacity(ies)
• Review existing sources and knowledge

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Mobilize and Design Key Activities (continued)

• Determine how the assessment will be conducted
• Self-assessment vs. interviews
• Number of municipalities, number of ministries
• Level within municipalities
• Pilot exercises
• Team
• Location
• Cost the capacity assessment exercise, based on
• Team composition
• Duration
• Depth of analysis

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Assess Capacity Assets and Needs Mobilize and
Design
Functional Capacities
Assess a Situation Create a Vision and Mandate
Formulate Policies Strategies
Budget, Manage Implement
Monitor Evaluate
Engage with Stakeholders
Individual
Points of Entry
Orgl
Enabling Environment
Institutional Development
Leadership
Core Issues
Knowledge
Mutual Accountability Mechanisms
Technical capacities complement the functional
capacities.
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Assess Capacity Assets and Needs Mobilize and
Design
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Mobilize and Design Design Considerations

• Once a point of entry has been determined, use
  either a core issue(s) or a cross-cutting
  functional capacity(ies) as the primary driver of
  the assessment
• Select one cross-section to all 100
  cross-sections it is not necessarily suggested
  that the entire framework is used in any given
  assessment
• Go into more depth on any given cross-section,
  e.g., split Budget, Manage Implement into
  three sub-capacities
• Customize according to how much time is allotted
  for a given project one week assessment or a
  three-month assessment

It is incumbent upon a capacity assessment team
to design the framework to suit local needs.
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Country Case Study Scoping a Capacity Assessment
Functional Capacities
Engage in Multi-Stakeholder Dialogue
Analyze a Situation Create a Vision
Formulate Policy Strategy
Budget, Manage Implement
Monitor Evaluate
Points of Entry
Individual
Enabling Environmt
Orgl
Leadership
Policy Legal Framework
Mutual Accountability Mechanisms
Public Engagement
Core Issues
Human Resources
Financial Resources
Physical Resources
Environmental Resources
Technical capacities complement the functional
capacities.
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Country Case Study Scoping a Capacity Assessment
Functional Capacities
Engage in Multi-Stakeholder Dialogue
Analyze a Situation Create a Vision
Formulate Policy Strategy
Budget, Manage Implement
Monitor Evaluate
Points of Entry
Individual
Enabling Environmt
Orgl
Leadership
Policy Legal Framework
Mutual Accountability Mechanisms
Public Engagement
Core Issues
Human Resources
Financial Resources
Physical Resources
Environmental Resources
Technical capacities complement the functional
capacities.
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Decentralization Scope of Capacity Assessment
and Development
Functional Capacities (within a Sector/Theme
Context)
Plan Budget
Monitor Evaluate
Implement
Leadership
Policy Legal Framework
Mutual Accountability Mechanisms
Scoping Issues
Public Engagement
Human Resources
Financial Resources
Physical Resources
Points of Entry
Environmental Resources
Orgl
Enabling Environmt
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Ministry of Water Scoping Map
Functional Capacities (Capacity for What?)
Implementation Capacities
Analyze a Situation and Create a Vision Formulate
Policy and Strategy
Entities (Capacity for Whom?) Ministry of
Water Project Management Unit Urban Water Supply
Urban Water Boards Town Water Supply Regional
Water Boards Rural Water Supply Water User
Associations
Programme/ Project Management
Info and Comms Tech
Procurement
Financial Management
Human Res. Mgmt
Engage in Multi-Stakeholder Dialogue
Monitor Evaluate
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Assess Capacity Assets and Needs Key Activities
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Sources of Information

• Self-assessment
• Interviews with stakeholders
• Government partners
• Beneficiaries
• CSOs
• Donors
• Triangulate results in consensus-building sessions

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Quantitative Data vs. Qualitative Information
Quantitative Data
Qualitative Information

• Advantages
• May be seen as more legitimate than the
  qualitative element
• Easier to compare capacity levels across
  different core issues and functional capacities
• Disadvantages
• May be used for comparison purposes that are not
  valid

• Advantages
• Provides context for qualitative element
• Creates repository of institutional memory
• Disadvantages
• More difficult to compare capacity levels across
  core issues and cross-cutting capacities

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Capacity Assessment Worksheet Sample 1
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Capacity Assessment Users Guide

• Contents
• Overview and Key Operational Considerations
• Assess Capacity Assets and Needs
• Define Capacity Development Strategies and
  Actions
• Questions and Indicators by Core Issue
• Annexes

A step-by-step guide to conducting a capacity
assessment Includes instructions for conducting a
capacity assessment and specifically for using
the supporting tool Includes illustrative
questions and indicators for each cross-section
of the framework (cross section of point of
entry, core issue and functional capacity)
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Capacity Assessment Supporting Tool
An excel spreadsheet to support a capacity
assessment, including separate worksheets for
each step of the assessment and an overall
summary
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Assess Capacity Assets and Needs Key Activities
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Summarize and Interpret Results
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Considerations in Conducting a Capacity Assessment

• Assessment fatigue

• Skepticism about value and validity of results
  emerging from a capacity assessment

• Suspicion that capacity assessments are being
  used by senior management for re-profiling or
  retrenchment

• Disconnect between capacity assessment and
  formulation of capacity development strategies
  basing strategy formulation on guesstimates of
  capacity gaps

• Facilitation level too much may lead to
  coached outcomes too little may result in a
  wish list of capacity development strategies

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Capacity Assessment Lessons in Application

• Adapt to the context leverage the capacity
  assessment framework as a point of departure for
  a capacity assessment it is flexible and needs
  to be adapted by the assessment team to suit its
  specific needs/context
• Ensure appropriate team composition (team leader
  mix of content, process, cross-cutting thematic
  experts national and international consultants)
• Build enough time into the workplan for
  identifying stakeholders, designing approach,
  building consensus, translating materials, etc.
• Simultaneously manage the political/strategic
  level and the tactical level
• Understand that capacity assessment is a set of
  activities, not a solution
• Leave prioritization of investment until after
  the assessment of capacities has been completed
• Consider capacity assessment as a dynamic,
  ongoing process not a one-time event

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Capacity Assessment Expected Results

• Leads to insights regarding existing capacity
  assets, needs and priorities
• Informs the formulation of capacity development
  strategies
• Does not necessarily generate surprises
• Can help confirm priorities and build consensus ?
  moving forward off of a common platform

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Assess Capacity Assets and Needs Benefits

• Provides a structure for discussion about the
  scale and scope of the capacity assessment
  exercise and about expectations of the capacity
  development effort more generally
• Provides a comprehensive view of the issues that
  could be addressed in a capacity assessment
• Makes sense of complex development situations,
  when it is not always obvious where best to
  intervene to promote capacity development
• Brings rigor and a systematic method for
  assessing existing capacity assets and needs
• Can generate / capture quantitative as well as
  qualitative data to support the development of a
  capacity development action plan
• Provides content for functional capacities along
  points of entry and core issues

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Other Assessment Approaches

• MDG Needs Assessment, the what and the how,
  incorporating capacity into costing methodology
• HACT, piece of national implementation capacity
  scope, w/o the conditionality
• Risk Assessment, e.g., for implementing partners
• Systems Assessment, e.g., public financial
  management
• Functional Review
• SWOT, historically envisioned for competitive
  positioning, evolved for use in development
  context
• Organizational Design, e.g., organizational
  structure, culture
• Business Process Reengineering, e.g., identifying
  process bottlenecks
• Training Needs Assessment, at the individual
  level
• Performance Assessment, of individuals

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Spectrum of Capacity Assessment Support
Examples

• Familiarization / Sensitization Exercises
• RBA, RBEC and RBLAC, 2.5-day workshops on
  capacity assessment and capacity development
  strategies
• Brazil, 1-day workshop for UNCT, followed by 2
  days UNDP/Government/Consultants
• Ethiopia, part of two-week training session
  (planned)
• Pakistan, 2-day workshop for UNDP CO
• Training Exercises
• Johannesburg, 2.5-day training for Regional
  Service Center staff
• Panama, 2.5-day training for UNDP CO staff and
  regional consultants
• Brazil, 2.5-day for 15 national consultants
• Initial Scoping
• Brazil, 2.5 days of scoping as input into
  local-level capacity development programme
• Malawi, 6 days of scoping preceding actual
  capacity assessment
• Liberia, 7 days of scoping as input into national
  capacity development programme
• Capacity Assessment and Capacity Development
  Strategy Formulation
• Vietnam, 4 week-long assessments (1 national and
  3 provincial)
• Kosovo, 1 week-long assessment (5-6
  municipalities)

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Spectrum of Capacity Assessment Support
Examples (continued)

• Capacity Assessment Adaptations
• Procurement
• Aid Effectiveness
• Local-Level Development
• Trade
• Environment (NCSA and SEA)
• Post-Conflict

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Capacity Development Website www.capacity.undp.or
g
Resources Tools
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UNDP Capacity Development Resources

• Theoretical and Case Study Publications
• Capacity for Development New Solutions to Old
  Problems
• Developing Capacity through Technical Cooperation
• Ownership, Leadership, and Transformation Can We
  Do Better for Capacity Development?
• Policy and Practice Notes
• Supporting Capacity Development The UNDP
  Approach
• Practice Note on Capacity Development
• Practice Note on Capacity Assessment
• Practice Notes and Concept Notes on the Capacity
  Development Response Strategies
• Managing Change in Public Sector Organisations
• Incentive Systems Incentives, Motivation and
  Development Performance
• Leadership Capacities
• Education, Training and Learning
• Mutual Accountability Mechanisms
  Accountability, Voice and Responsiveness
• Mutual Accountability Mechanisms Accountability,
  voice and Responsiveness
• Multi-Stakeholder Engagement Process
• Practice Notes on the Applications
• Capacity Development for Localizing the MDGs
• Capacity Development during Periods of Transition

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UNDP Capacity Development Resources (cont.)

• Resource Guides and Tools
• UNDP Capacity Assessment Users Guide and
  Supporting Tool
• UNDP Guidelines on Direct Budget Support, SWAps
  Basket Funds
• Guide on Leadership for Human Development
• Toolkit on Localising the MDGs
• Toolkit on Private Sector Development
• UNDP-LEAD Leadership Modules
• CD Resource Catalogue On Measuring Capacities An
  Illustrative Guide to Benchmarks and Indicators
• A CD Guide on Applying a Human Rights-Based
  Approach
• CSO Capacity Assessment Tools
• CD Expert Rosters
• Database of external consultants, organisations,
  and agencies with CD expertise
• Sub-communities of practice, i.e., leadership,
  strategic planning
• UNDP-Wide expert roster http//www.capacity.undp.
  org/roster
• CD Websites/Knowledge Spaces
• External Website www.capacity.undp.org
• Internal Workspace http//content.undp.org/go/top
  ics/capacity/
• Capacity Development Network capacity-net_at_groups.
  undp.org
• Capacity.Org http//www.capacity.org

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Capacity Development Workspace
http//content.undp.org/go/topics/capacity/
CD Strategies
39

• Working Groups

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Assess Capacity Assets and Needs Key Activities
41
Mobilize and Design Key Activities

• Clarify objectives and expectations with primary
  clients
• Identify and engage national/local stakeholders
  throughout the process to ensure ongoing success
• Adapt capacity assessment framework to local
  needs
• Determine how the assessment will be conducted
  (self-assessment, interviews team, location)
• Cost the capacity assessment exercise (based on
  team composition, duration and depth)

42
Working Groups

• Determine scope of capacity assessment
• Point of Entry
• Functional Capacities
• Core Issues
• Define approach self-assessment, interviews,
  etc.
• Present to plenary

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Assess Capacity Assets and Needs Key Activities
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Assess Capacity Assets and Needs Conduct
Capacity Assessment
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Capacity Assessment Questions and Indicators
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Capacity Assessment Worksheet Sample 1
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Capacity Assessment Worksheet Sample 2
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Defining Capacity Levels Considerations

• Adjust definition of each capacity level as the
  context dictates
• Ensure consensus on what each capacity level
  means
• Determine how to assign levels or how will the
  questions be answered
• Identify appropriate indicators
• Find data, e.g., from policy documents, reports,
  statistics, interviews, observable practices
• Determine what will be done with results will
  they be used to compare across entities (e.g.,
  ministries, districts, communities)
• Determine whether qualitative information will be
  captured as well

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Defining Capacity Levels Options
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Defining Capacity Levels Option 1
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Defining Capacity Levels Option 2 P3M3
Project Management Maturity Levels

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Instructions for Using the Supporting Tool
Supporting Tool Extract Draft
53

• Working Groups
• Split into two working groups
• Develop questions for two functional capacities
• Present to plenary

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Developing Assessment Questions

• Working Group 1
• Formulate plans and budget (annual and three-year
  planning and budgeting)
• Working Group 2
• Monitor and evaluate (process for seeking
  feedback from beneficiaries)
• Working Group 3
• Assess a situation (process for collecting
  accurate and disaggregated data to define target
  beneficiary groups for social assistance
  methodology to assess forecasting)
• Core Issues
• Leadership
• Human Resource Management

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Assess Capacity Assets and Needs Key Activities
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Summarize and Interpret Results
57
Illustration Interpreting the Results
Gap between Level of Current and Desired
Capacities

• Gap between current and desired state of
  leadership capacities is relatively large across
  all capacities assessed
• Gap on knowledge is less significant

Gap between Level of Current and Desired
Capacities

• Gap in capacity to budget may need improvement
• However, gaps in capacity to manage and implement
  are relatively small

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Preliminary Results of Capacity Assessment
Capacities
ILLUSTRATIVE
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Capacity Development Process
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Formulation of 10-Year National Capacity
Development Strategy and Action Plan Project
Steps
STEP 4 Formulation of CD Strategy and Action
Plan
STEP 1 Project Launch
STEP 2 Conduct Capacity Assessment
STEP 3 Analysis of Results

JAN
FEB
AUG
SEPT
OCT
DEC
NOV
Project Inception Meeting (30 Aug)

• Broad consultations for formulation of Strategy
  Action Plan

• Develop assessment instrument (checklist) for
  each priority area

3 Preliminary Findings (mid Nov)
10Yr National Capacity Development Strategy and
Action Plan
Capacity Assessment Instruments

• Share preliminary findings

• Discuss and confirm approach for formulation of
  National CD Strategy and Action Plan

• Refine findings
• Gather additional inputs

Analysis of Capacity Assessments
5 Final Conference Endorsement of CD Strategy
(end Feb)
2 Assessment Kickoff Meeting (end Oct)

• Launch self-assessment for each Pillar

• Set up project coordination structure
• Mobilize human and financial resources
• Confirm priorities areas for assessment initiate
  worksheets for each area
• Begin stocktaking of existing/ongoing assessments

4 Validation of Findings and Discussion of CD
Strategies (end Nov)

• Conduct self-assessments
• Gather additional inputs
• Prepare preliminary results

• Further detail action plan
• Begin to implement quick hit initiatives

• Share final analysis
• Refine capacity development options
• Review process for developing plan

Stocktaking of Assessments
Capacity Assessments
Capacity Assessment Worksheets
1 Project Launch Workshop (end Sept)

• Launch project with confirmed scope
• Review inputs to date

61
Capacity Assessment Users Guide

• Contents
• Overview and Key Operational Considerations
• Assess Capacity Assets and Needs
• Define Capacity Development Strategies and
  Actions
• Questions and Indicators by Core Issue
• Annexes

A step-by-step guide to conducting a capacity
assessment Includes instructions for conducting a
capacity assessment and specifically for using
the supporting tool Includes illustrative
questions and indicators for each cross-section
of the framework (cross section of point of
entry, core issue and functional capacity)
62
Articulating Capacity Assessment Questions
Considerations

• Begin by leveraging questions in the Users Guide
• Adapt questions to assessment objectives modify,
  add to, delete questions as necessary

Request Illustration 1 Visioning and
Strategic Planning
During the process of developing the UNDAF, a
perceived gap in national-level visioning and
strategic planning has been identified.
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Summarize and Interpret Results
The assessment team compares the assessment
results against the desired level of capacity, as
determined during the Mobilize and Design phase.
This comparison helps the team determine the
level of improvement required, which in turn will
provide direction in terms of which areas to
focus capacity development strategies

• Summarize results
• Compare against desired level of capacity
• Interpret findings

64

• RBA, Joburg, Accra, Nairobi
• RBEC, Bratislava
• RLBAC, Panama, Santiago

• RBAP, Pakistan
• RBEC, Kazakhstan
• RBLAC, Chile, Brazil,

• RBAP, Vietnam
• RLBAC, Brazil

• RBAP, Pakistan
• RBEC, Kazakhstan
• RBLAC, Brazil

• RBA, Accra
• RBEC, Bratislava
• RLBAC, Panama, Santiago, Brazil

• RBA, Accra, Nairobi
• RBLAC, Santiago
• RLBAC, Brazil

• RBA, Malawi, Liberia
• RBLAC, Brazil

• RBAP, Vietnam
• RBEC, Kosovo, Kazakhstan