Tool 3: the UNDP model
Assessing desired capacities against existing ones: the UNDP model
A capacity assessment is an analysis of desired capacities against existing capacities; this generates an understanding of capacity assets and needs, which informs the formulation of a capacity development response (see more at: UNDP Capacity Assessment Framework).
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Three dimensions |
Three steps |
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• Points of entry: UNDP recognizes that capacity resides on different levels – enabling environment, organization and individual. Each of these levels of capacity can be taken as the ‘point of entry’ for a capacity assessment. However, the UNDP Capacity Assessment Framework is specifically tailored to assess capacity assets and needs within the enabling environment and at the organizational level. |
• Mobilize and design: A successful capacity assessment is dependent upon active stakeholder engagement throughout as well as a clear design. This design is driven by the following three questions: 1) ‘capacity for why?’ 2) ‘capacity for whom?’ 3) ‘capacity for what?’ |
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• Core issues: These represent the capacity issues that UNDP sees most commonly encountered across different sectors and levels of capacity. Not all of these issues will necessarily be analysed in any given assessment, but they provide a comprehensive set of issues a capacity assessment team may consider as it defines the scope of the assessment. The four core issues are: 1)institutional arrangements; 2)leadership; 3)knowledge 4)accountability |
• Conduct the assessment: The capacity assessment compares desired capacity against existing capacity; this data can be gathered by a variety of means, e.g., self-assessment, interviews, and focus groups; |
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• Functional and technical capacities: For each point of entry, there are functional capacities necessary for the successful creation and management of policies, legislations, strategies and programmes. UNDP has identified the following functional capacities: 1) engage stakeholders; 2) assess a situation and define a vision and mandate; 3) formulate policies and strategies; 4) budget, manage and implement; 5) evaluate. Various technical capacities may need to be assessed as well. The mix of technical capacities to include depends on the situation and can therefore not be pre-determined. |
• Summarize and interpret results: The comparison of desired vs. existing capacities informs the level of effort required to bridge the gap and the formulation of capacity development responses. |