Capacity Assessment Binh Dinh WSSP

This document is based on UNDP Methodology of Capacity Development

Capacity Assessments of our WSSP project will be implemented by consultants.

However, the project should understand the whole concept in order to write term of reference (ToR), to negotiate IOCA contracts and to easily follow-up.

I. Definition

A capacity assessment is an analysis of desired capacities against existing capacities and offers a systematic way of gathering critical knowledge and information on capacity assets and needs (desired capacities are defined before the assessment is conducted). Its findings provide the basis for formulating a capacity development response that addresses those capacities that could be strengthened, or that optimizes existing capacities that are already strong and well placed.

II. Capacity assessment Purpose

* Identifying what key capacities already exist and generating an understanding of capacity assets * Identifying what additional capacities may be needed to reach objectives.

A Capacity Assessment can: Help analyze the gap between what is desired (capacity needs) and what exists (capacity assets) Establish capacity development priorities Prioritize capacity development interventions Provide a starting point for formulating a capacity development response

The purpose of capacity assessment (capacity - why?) will help determine the appropriate 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.

Framework - 3 dimensions

Framework Point of entry

3 different levels: The Enabling Environment The Organizational The Individual

Each of these levels can be the point of entry for a Capacity Assessment.

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 or constrain 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)

b) Organizational level as point of entry

Organizations provide the framework for individuals to work together for a common vision and act on a shared 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 that allow an organization to operate and deliver on its mandate, and that enable the coming together of individual capacities to work together and achieve goals.

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.

The three levels of capacity are mutually interactive and

each level influences the other through complex codependency relationships.

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, to anticipate, be responsive to and management change to foster human development) Knowledge Accountability

They are the four areas where capacity change happens most frequently. They can also drive the formulation of a capacity development response.

Framework Functional and Technical Capacities

Functional capacities are the management capacities needed to formulate, implement and review policies, strategies, programmes and projects.

The FIVE functional capacities: a) Engage stakeholders b) Assess a situation and define a vision and mandate c) Formulate policies and strategies d) Budget, manage and implement e) Evaluate

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.

b) Capacity to assess a situation and define a vision and mandate

It is the capacity to fully understand an operating environment and develop and articulate a vision or goal informed by the objectives to be achieved. It includes the capacity to: Access, gather and disaggregate data and information; Analyze and synthesize data and information; Articulate capacity assets and needs; Translate information into a vision and/or a mandate.

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.

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 capacity development costs; Manage human and financial resources and procurement; Set indicators for monitoring and monitor progress.

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.

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.

Process - 3 steps:

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)

Determining the data & information collection and analysis approach

the scale and scope of the assessment which capacities need to be included in the assessment how these capacities will be assessed kinds of input to collect and appropriate collection techniques

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?

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

Step 2: Conduct the CA

Collect data and information on desired and existing capacity (self-assessments, interviews, focus groups)

Step 3: Summarize and interpret results

Compare the level of desired capacity against the level of existing capacity Determine the level of effort required to bridge the gap between them Inform the formulation of a capacity development response

Organize a validation workshop before finalizing the assessment results and preparing the report This workshop should bring together all relevant stakeholders 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.

Step 3: The assessment report