Workshop on Programming in support of Anti-Corruption Agencies Bratislava, 30 June - 1 July 2009 A methodology for capacity assessment of AC agencies: implementing the capacity development framework in the field of anti-corruption

Objectives of methodology: Present preventive anti-corruption functions most commonly performed by ACAs; Adapt UNDP capacity development (CD) concepts to the context of ACAs; Provide guidelines for conducting capacity assessments.

Most common preventive functions: 1. Policy formulation: 2. Conducting research 3. Developing Implementation Plans 4. Legislative drafting 5. Monitoring the implementation of AC policies 6. Evaluation of the effectiveness of AC policies 7. Coordinating implementation of preventive policies 8. International cooperation 9. Disseminating knowledge 10. Enhancing civil society participation 11. Enforcement of preventive anti-corruption measures

vs. formulation in UNCAC: Public Sector recruitment Codes of conduct Public procurement and financial management Judicial integrity and independence Private Sector accounting and auditing Participation of society Anti-Money Laundering

UNDP capacity development framework: Step 3: Formulate CD Strategies Step 4: Implement CD Strategies Step 1: Engage Stakehold. on CD Process Step 5: Evaluate CD Step 2: Assess Capacity Assets and Needs Capacity Development Process

3 levels where capacity resides: Enabling environment (policies, legislation, power relations) Organizational level (internal policies, procedures, frameworks) Individual level (experience, knowledge, technical skills)

Enabling environment ‘rules of the game’ for interaction between and among organizations broader system in which individuals and organizations function policies, rules and norms, values, governing mandates, priorities, modes of operation, and civic engagement across facilitates or hampers performance

Organizational level internal policies, arrangements, procedures and frameworks allow an organization to operate and deliver on its mandate enable the coming together of individual capacities to work together and achieve goals if in place, well-resourced and well-aligned, overall capability is greater than that of the sum of its parts

Individual level skills, experience and knowledge that are vested in people each person has a mix of capacities that allows them to performs some are acquired through formal training and education some are acquired through learning by doing and experience

e.g. diagnostic research: Enabling env.Organizat. levelIndividual level No special institutional arrangements (independence) necessary consider financial independence: extent and predictability of the agency’s resources (human resources and budget) processes to: establish cooperation, create a pool of researchers, develop monitoring systems Human Resources: To manage, perform quality control, and apply external research Technical cpcty: Diagnostic methodologies Functional cpcty: Engage stakeholders Assess situation Manage/implement evaluate

Steps in capacity assessments: 1. Preparation 2. Clarification of objectives and expectations with primary clients 3. Identification and engagement of stakeholders 4. Determining data collection and analysis approach 5. Defining how the assessment will be conducted

Preparation: review the legal basis of the agency analyze circumstances of the agency’s creation identify of the main enabling environment issues review the mandate (scope of preventive functions performed) outline the main capacity issues that need to be assessed

Clarification of objectives: clarify intentions of the promoters of the assessment secure agreement to provide all the necessary data obtain commitment that the identified needs will be addressed review the expertise, time, funds available, clarify the scale and scope of the assessment

Engagement of stakeholders: identify all relevant stakeholders state institutions civil society private sector other agree on terms of stakeholder input

Data collection and analysis approach: identify the types of data needed correlate available data sources against data needs review feasibility of generating needed data compile overview of qualitative and quantitative data that will be collected or generated, review data analysis requirements

Define how assessment will be conducted: define the assessment management team determine participants decide on location define in detail the following: steps/tasks of the assessment and their sequence human and financial resources needed for each person(s) responsible for each step/task timeline for each step/task plan how the results will be used

Suggestions/comments welcome! Marijana Trivunovic