UNDP - Capacity Assessment Binh Dinh WSSP
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Transcript of UNDP - Capacity Assessment Binh Dinh WSSP
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CapacityAssessment
-Binh Dinh WSSP
This document is based on UNDP Methodology of Capacity Development
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Capacity Assessments of our
WSSP project will beimplemented by consultants.
However, the project should understand thewhole concept in order to write term of
reference (ToR), to negotiate IOCA
contracts and to easily follow-up.
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I. Definition
A capacity assessment is an analysis ofdesired capacities against existing capacitiesand offers a systematic way of gathering criticalknowledge and information on capacity assets
and needs (desired capacities are definedbefore the assessment is conducted).
Its findings provide the basis for formulating a
capacity development response that addressesthose capacities that could be strengthened, orthat optimizes existing capacities that arealready strong and well placed.
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II. Capacity assessment -
Purpose
* Identifying what key capacities already exist andgenerating an understanding of capacity assets
* Identifying what additional capacities may beneeded to reach objectives.
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A Capacity Assessment can:
Help analyze the gap between what isdesired (capacity needs) and what exists
(capacity assets)
Establish capacity development priorities Prioritize capacity development
interventions
Provide a starting point for formulating acapacity development response
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The purpose of capacity assessment
(capacity - why?) will help determine theappropriate point of entry, which is
important since it provides the initial
focus. A capacity assessment requires an
understanding of the political and cultural
context and a clear rationale for defining
desired capacities.
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Framework - 3 dimensions
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Framework Point of entry
3 different levels: The Enabling
Environment The Organizational The Individual
Each of these levels can be the point of entry fora Capacity Assessment.
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a) The Enabling Environment as point of
entry
The Enabling Environment: Describes the broader system within which
individuals and organizations function
Comprises elements that can facilitate orconstrain the development of capacity (policies,
legislation, power relations and social norms, all
of which govern the mandates, priorities, modes
of operation and civic engagement across
different parts of society)
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b) Organizational level as point of
entry Organizations provide the framework for individuals
to work together for a common vision and act on ashared set of goals.
Capacity assessments are most commonly
conducted at the organizational level. An assessment at this level usually focuses on the
organizations internal workings The organizational: comprises the internal policies,
arrangements, procedures and frameworks thatallow an organization to operate and deliver on itsmandate, and that enable the coming together ofindividual capacities to work together and achievegoals.
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c) Individual as point of entry
Individual capacity refers to the skills,
experience and knowledge that are vested
in people. Some of these are acquired
through formal training and education,others through learning by doing and
experience.
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The three levels of capacity are mutually interactive andeach level influences the other through complex co-
dependency relationships.
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Framework Core issues
Four capacity issues: Institutional arrangements: country policies, procedures,
processes Leadership: ability to influence, inspire, motivate people,
organizations and society to achieve their goals, toanticipate, be responsive to and management change tofoster human development)
Knowledge
Accountability
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They are the four areas where capacity
change happens most frequently.
They can also drive the formulation of a
capacity development response.
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Framework Functional and
Technical Capacities Functional capacities are the
management capacities needed to
formulate, implement and review policies,
strategies, programmes and projects.
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The FIVE functional capacities:
a) Engage stakeholders
b) Assess a situation and define a vision and
mandatec) Formulate policies and strategies
d) Budget, manage and implement
e) Evaluate
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a) Capacity to engage
stakeholders It is the capacity to engage and build consensus among
all stakeholders. It includes the capacity to:
Identify, motivate and mobilize stakeholders;
Create partnerships and networks; Promote engagement of civil society and the
private sector;
Manage large group processes and open
dialogue; Mediate divergent interests; Establish collaborative mechanisms.
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b) Capacity to assess a situation
and define a vision and mandate It is the capacity to fully understand an
operating environment and develop andarticulate a vision or goal informed by theobjectives to be achieved. It includes thecapacity to: Access, gather and disaggregate data and
information;
Analyze and synthesize data andinformation; Articulate capacity assets and needs; Translate information into a vision and/or a
mandate.
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c) Capacity to formulate
policies and strategies It is the capacity to:
Explore different perspectives;
Set objectives;
Elaborate sectoral and cross-sectoral
policies;
Manage priority-setting mechanisms.
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d) Capacity to budget, manage
and implement It is the capacity to:
Formulate, plan and manage projects and
programmes, including the capacity to
prepare a budget and to estimate capacitydevelopment costs;
Manage human and financial resources and
procurement; Set indicators for monitoring and monitor
progress.
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e) Capacity to evaluate
It is the capacity to:
Measure results and collect feedback to
adjust policies;
Codify lessons and promote learning; Ensure accountability to all relevant
stakeholders.
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Framework Functional and
technical capacities
Technical capacities are those associated
with particular areas of expertise and
practice in specific sectors or themes. As
such, they are closely related to the sector
or organization in focus.
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Process - 3 steps:
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Step 1: Mobilize and design
Active stakeholder engagement throughout a capacity
assessment process is the key to success.
Clear design:
capacity for why? (what are priorities for the CA,what is the purpose of the CA, what are expectations
regarding its output, are these expectation realistic?)
capacity for whom? (to determine whose capacities
need to be assessed: the assessment focus on one
department, or the whole ministry, or several related
ministries)
capacity for what? (to determine what functional and
technical capacities and core issues need to be
assessed)
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Determining the data & information
collection and analysis approach the scale and scope of the assessment
which capacities need to be included in the
assessment
howthese capacities will be assessed kinds of input to collect and appropriate
collection techniques
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Determine how to conduct the capacity
assessment Who should be part of the assessment team?
Who should participate in the assessment?
Where and how will the assessment be
conducted?
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Plan and cost the capacity assessment(based on team composition, design
and duration) Salaries of local and external experts that are
part of the assessment team Renting a location for meetings & workshops Stationery Travel expenses Translation costs (if the assessment is
conducted in a local language) Reproduction of materials Costs for surveying or data gathering
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Step 2: Conduct the CA
Collect data and information on desired
and existing capacity (self-assessments,
interviews, focus groups)
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Step 3: Summarize and
interpret results
Compare the level of desired capacity
against the level of existing capacity
Determine the level of effort required tobridge the gap between them
Inform the formulation of a capacity
development response
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Organize a validation workshop before finalizing
the assessment results and preparing the report
This workshop should bring together all relevantstakeholders to communicate the findings of the
CA presentation of the assessment results
discussion of the results
building of consensus on priorities in moving forward
All stakeholders should be given an opportunity
express their views openly to increase trust among them
strengthen ownership over the results
lay a strong foundation for the way forward.
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Step 3: The assessment report