0. Introduction to capacity assessment and development The journey from Paris over Accra to more...

CapacityCapacity Trust Trust

0. Introduction to capacity assessment and development

The journey from Paris over Accra to more effective aid

in your country

1

CapacityCapacity Trust Trust 2

Capacity Related Objectives

• and, based on this, have developed an understanding of contemporary approaches to capacity assessment and development, and how these affect their organisations

• Participants will by the end of the course have acquired an understanding of current trends in development cooperation


Programme Day 2

3

Day 2 Subject Topics Work form

09.00-10.15

10.15-10.30 Break

10.30-12.00

12.00-13.00 Lunch

13.00-13.45 Donor approaches to CD

How different donors approach capacity assessment & development

PP & questions

13.45-14.45 The ROACH approach

Introduction to the Danida ROACH approach

PP & questions

14.45-15.00 Break

15.00-16.30 Tools for capacity assessment

Using the ROACH approach for assessments of organisational capacity

PP & questions


Programme Day 3

4


09.00-10.15 Case I: Capacity assessment in practice

Participants’ capacity assessment of their organisation

Individual & group work

10.15-10.30 Break

10.30-12.00 Presentation of case I

Main findings of organisational capacity issues

Presentation & discussion

12.00-13.00 Lunch

13.00-13.45 Understanding capacity development

Using the ROACH approach at sector and organisational levels for design of capacity development

PP & questions

13.45-15.00 Case II: Capacity development in practice

Identification and discussion of formulated changes to be addressed

Individual & group work

14.45-15.00 Break

15.30-16.30 Presentation of case II

Main findings of scope for organisational capacity development

Presentation & discussion


Programme Day 4

5


09.00-10.15 RBM Introduction to results-based management and monitoring

PP & questions

10.15-10.30 Break

10.30-12.00 National strategies and financial management

State and quality of the national development strategies, MTEF and democratic ownership in your country – including discussion of participation, governance, decentralisation, civil society etc. Financial management – corruption, procurement, auditor general, budget control, etc.

PP & questions

12.00-13.00 Lunch


1. Donor Approaches to Capacity Development


in your country

6


Status on Capacity Development

• Capacity development has been one of the least responsive targets of donor assistance lagging behind progress in infrastructure development or improving health and child mortality… and have lagged behind all other MDG benchmarks.” (OECD/DAC 2006 p. 7)

• ”Organisations in many parts of the developing world remained stubbornly unreformed” (DfID 2002 p.1)

Kipling revisited


Status on Capacity Development- donor experience

• ”Evidence over the last decades points strongly to the limited overall effectiveness of donor support to capacity development. Much is known about what donors have done wrong in their support. Technical Assistance (TA) and training has too often been supply driven, local ownership has been undermined, commitment overestimated. Donors’ focus on disbursement and quick results have eroded domestic capacity as quickly as it has been developed (EuropeAid 2006 p. 25)


What is capacity actually?

DANIDA ROACH:

Ability of an organisation to

produce appropriate outputs

UNDP, World Bank, IMF, OECD-DAC:

Ability of people, organisations and

society as a whole to manage their affairs

successfully


Historic Trends - on how to improve capacity

• 1960s+: Focus on HRD in terms of training of individuals into champions and supplying them with tools to improve their performance

• 1980s+: Focus on re-engineering of organisations as to optimise internal sub-systems to improve organisational performance

• 2000s+: Focus on governance reforms viewing organisations as open systems and therefore improve relations with institutional context as to improve institutional performance


ID/OS Approach of Management for Development Foundation 1996

External Analysis:• Interaction with

actors and factors in environment

Internal Analysis:• Fits and misfits

between sub-systemsPoint of Departure forAssessment:• Mission/MandateBasis for Change:• Democratic decision

by stakeholders

Strategy

Structure

Systems

Management

Personnel

Culture

InputsOutputs

Factors affecting the organisation

Actors affecting the organisation

Mandate

Strategy

Structure

Systems

Management

Personnel

Culture

InputsOutputs

Factors affecting the organisation

Actors affecting the organisation

Mandate


Capacity Development Levels and Stages of DfID 2003Levels: Stages:


Open System Approach to Capacity Development of DfID 2003


Three Dimensions of UNDP 2006

Level

Cycle

Themes


So where are we now in our search for common ground?

Capacity assessment:• includes three levels (individual, organisation

and institutional context) • focuses increasingly on organisations as open

systems and on the interactions with the contextCapacity change:• can therefore not be based only on internal,

functional aspects only• but has to include external and political, power

related aspects as well


2. Introduction to Danida ROACH approach


in your country

16


ROACH Background

• During SPS programming in the 90-ies a need for addressing institutional aspects was realised

• After 2000 major work on formulating Danida approach – leading to Results Oriented Approach to Capacity Change (ROACH)

• ROACH evaluated in 2005 in Ghana• ROACH guidelines prepared August 2006 and

Danida has established ROACH Capacity team


The Paris Pyramid-partnership for greater effectiveness

18


Accra Agenda for Action 2008

• Predictability – on both sides

• Ownership – not only at government level

• Use of country systems – rather than donor systems

• Conditionality – based on country’s own objectives

• Aid fragmentation – no new channels, country-led division of labour

• Partnerships – following the Paris Declaration

19


DANIDA ROACH- an overview

OUTCOME with

OUTPUTS contri-

buting to

Ultimate IMPACT

One or more

organiza-tions with

CAPACITY to perform resulting in

Context of appreciation:Structural and institutional factors and actors beyond

short term influence

Context of influence:External stakeholder within some influence

of the organisation(s)

INPUTS to


ROACH – and LFA

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Development Objective

Indicator SOV

Immediate Objective

Assumptions

Outputs Assumptions

Activities Assumptions

Inputs Pre-conditions


DANIDA ROACH- 5 step assessment

OUTCOME with

OUTPUTS contri-

buting to

Ultimate IMPACT

One or more

organiza-tions with






INPUTS to

2. Focus on the outputs

3. Analyse the context

4. Analyse inputs or resources

5. Dig into the black box of the organisation

1. Identify the vantage point for assessment


Six Box Model when digging into the black box - why not ?

StrategyAre goals and strategies clear? Do

they fit inputs and contexts?

StructuresHow is work

divided?

Rewards (motivation)Are there incentives for

doing key functions?Helpful mechanisms (systems & processes)

Are coordinating and control instruments adequate (planning, budgeting, auditing, monitoring)

Internal Relationships

Between boss-staff, peers, and units?

Constructive conflict resolution approaches?

LeadershipDo someone keep the boxes in balance; adapt to the context?

Context (actors and factors)(what constraints and demands does it impose?)


DANIDA ROACH- why focusing on outputs ?

OUTCOME with

OUTPUTS contri-

buting to

Ultimate IMPACT

One or more

organiza-tions with






INPUTS to

Basis for identifica-tion of organisations

Direct effect of CD

Monitoring of changes in outputs help organisations to improve use of inputs

BUT, BUT:2005 Ghana evaluations documented that Outputs were not easily identified ! ! !

Outputs contribute to outcomes and impact


ROACH Key Messages

1. Perceive organisations as open systems embedded in context, using capacity to convert inputs into outputs

2. Emphasise products and services by focusing on CD leading to changes in outputs, not on CD support elements

3. Explore drivers and constraints to change in context, analyse inputs – and then go inside

4. Dig deeper into formal/informal and functional/political aspects to get a solid diagnosis

5. Change and CD are mostly domestic driven and aid agencies can only contribute, not drive the process

6. Role for donor is to play catalytic role based on partner relationship


Danida Use of ROACH #1 - at programme identification phaseMANDATE1 Relevant organisa-

tions chosen?2 Goals/mandate

identified?3 Outputs clearly

defined?4 Available resources

matching needs?

INTERNAL FACTORS5 Task-and-work

system analysed?6 Potential internal

conflicts, power and goals examined?

7 Informal goals, mandate and outputs differ from those formally stated?


Danida Use of ROACH #2 - at programme identification phase

EXTERNAL FUNCTIONAL ANALYSIS

8 Which external factors influence organisation task-and-work system and ability to produce outputs?

9 Changes in external factors affecting outputs likely?

10 Which factors can be appreciated and which can be influenced by the organisation?

EXTERNAL POLITICAL ANALYSIS

11 Which external factors have interest in influencing organisation’s goal and mandate?

12 Changes in external factors affecting mandate and resources likely?

13 Which external factors can be influenced and which cannot

14 Organisation’s understanding of external factors?

15 Organisational strategy for dealing with external factors?


3. Tools for capacity assessment at organisational

level


in your country

28


Which capacity aspects to assess?

• Before focus was on assessing internal aspects

• In a sectoral context organisations are interrelated and influence each other

• Increasing focus on perceiving organisations as open systems and on interactions between organisations and their context

• Which tools can be used for this?


Use of ROACH for capacity assessment

- SAM as a case

Outcome1 Media.

Competence2 SAM capa-

city & capability

InputsDonor

plus own funding

Outputs1Scholarship2 Tailor-made

courses3 Applied research

4 Information5 Relation with

trustees

ImpactRole of media in democracy

and free & prof. media in

SADDC

SAM CapacitySix Box model

LeadershipStrategy Structure SystemsRewards

Relationships

Contextual factors beyond influence

Contextual factors within influence

HIV & AIDS situation in Southern AfricaGender situation in Southern Africa

Relations to Trustee, Core Collaborators and other clientsUser perception of SAM services

Relations to competitors and cooperating partners

Democratic development in Southern AfricaPress status in Southern Africa


Environmental Scan used as tool for analysis of external factors

Shows:• External factors affecting

the organisation• Whether they affect

positively or negatively• Whether you can

influence them or just have to appreciate their importance

• Basis for decisions on how to design capacity development process

Supply Demand

Policies/regulations

Cooperation/competition

Positive

Negative

Negative

Positive


SAM Environmental Scan

Demand



Donor support

Detoriating user relations

Supply

SAM capacity

for service delivery

Increasing reg. demand

Reduced cooperation

Good infrastructure

Trainers network

Training Material

Poor internal relations

Reduced reg-ional media

interest

Poor Governance

Poor Management

New media laws

Media oppression

Growing competition

Poor Trustee use of SAM


Institutiogramme as tool for analysis of external actors

Shows:RELEVANT ACTORS• Target group organisations• Existing organisations

providing services/ activities in same field

RELATIONS BETWEEN ACTORS

• Type of relation (hierarchical, coop, operation and finance)

• Intensity of relations• Adequacy of relations

Manufacturing businesses

Water/Waste Treatment

plants

SIRIM research/standard/consultanc

y/training

UKM/UPM/UMAcademic Env.

Courses

DOE/IKLAS Future Gvt/ PS

compliance courses

FMMIndustry

OSH&Env Courses

ENSEARCHResearch/cour

se/operator curriculum

INDAH Waterin-service training for operators

DOEEnv. Enforce-ment/Inform.

HRDC funding scheme

DOSHOSH Enforce-ment/Inform.

EPUPolicy/ finance endorcement

Govenment Support Structure

Environmental Training Providers

Environmental Training Users

LEGEND = intended/weak relation = existing relation

MOSTEEnvironmental

policies

MHRManpower

policies

NVTCOccupational

standards

MOEEdducation

policies

= Env/OSH enforcement


SAM Institutiogramme

Electronic

media

Radio

media

Printed

media

Media

houses

SAM

RSA

Universities

Regional

providers

National

providers

Donors

Social

movements

Trustees Core

collaborators

Regional

Media org.

= Adequate, strong relation = diminishing, weak relation

USERS

PROVIDERS

SUPPORT STRUCTURE


SAM External Analysis Summary

Environmental Scan:• Supply side: Infrastructure

and donor support as strengths and gover-nance, management, internal relations as weaknesses

• Demand side: Increased competition, reduced demand and users’ interest

• Cooperation diminishing

Institutiogramme:• At support level: Poor

cooperation with core collaborators, regional institutions and trustee organisations, only donor relation is strong

• At provider level only marginal cooperation

• At user level increased competition and reduced coverage


Use of 6-Box model for internal analysis – SAM as case

StrategySAM marketing strategy developed but not implementedRelations between SPPD & SAM strategies unclear Structures

OK organisational set-upOK Staffing structure

Rewards (motivation)Staff performance assessment Poor staff developmentPoor work environment

Helpful mechanisms (systems & processes)Unclear management inf. systemsOK Financial Management system Procedures not fully developedOK Quality Assurance Systems

Internal RelationshipsBoard not functioningBoard/Director roles unclearPoor relations between trustees and SAMPoor internal relations

LeadershipUnclear decision making procedures and processesPoor guidance of staff

Context (actors and factors)(see previous page)


4. Case I on Capacity Assessment

in PracticeThe journey from Paris over Accra

to more effective aid in your country

37


Case I: Capacity Assessment

1. Vantage point: Assessment of capacity needed for your organisation’s service delivery

2. Identify main outputs to be delivered as service deliverables by your organisation

3. Identify external factors and actors affecting delivery of outputs using attached ROACH form. You may also use environmental scan for analysing external factors or institutiogramme for analysing external actors

4. Identify main internal aspects affecting delivery of outputs using attached Six Box form

5. Assess and list main capacity issues affecting output delivery by your organisation


Overall ROACH Assessment Form

OUTCOMEOUTPUTS IMPACT

CAPACITY(i.e. by using 6-Box model)





INPUTS


Practical guide on making an Environmental Scan

Supply Demand



Positive

Negative

Negative

Positive

1. FACTOR 2. POSITIVE / NEGATIVE

?

3. CAN YOU INFLUENCE

?

4. CLASSIFI-CATION

?

DESCRIPTION P / N Y / N P/S/D/C [1]

[1] P = Policy, S = Supply, D = Demand, C = Competition/Collaboration


Organisational Assessment FormStrategy

Structures

Rewards (motivation)

Helpful mechanisms (systems & processes)

Internal Relationships Leadership

Context (actors and factors)(see overall assessment sheet)


5. Understanding Capacity Development


in your country

42


Capacity Development- naive or cynical approach?

Functional-rational

dimension

Political

dimension

Main unit of analysis?

The organisation as an entity with certain functional requirements; focus on task-and-work system

Sub-groups with self-interests, in shifting coalitions; focus on power and loyalty systems

What driving forces are emphasised?

A sense of norms and coherence; intrinsic motivation

Sanctions and rewards, extrinsic incentives

What image of man is assumed?

Employees concerned with the organisation’s interest

Individuals concerned with self-interests

How does change happen?

Through participative reasoning and joint learning, finding the best technical solution

Through internal conflict and external pressure, coalition building with powerful agents

What will change efforts focus on?

Internal systems, structures, skills, technology, communication

Change incentives, fire foes and hire friends, build client and performance pressure

Emotional tone of analysis

Naive Cynical


ROACH dimensions IFunctional-rational

dimensionPolitical

dimensionInternal dimensi

on

PUSH

Getting the job done

Focuses on changes in task-and-work system within the organisation.

Addressing power relations and accommodating interests

Focuses on internal changes in power and authority distribution and pursuit of different interests.

External dimensi

on

PULL

Creating enabling “environ-ment” for doing the job

Focuses on how changes in external factors and incentives will affect the task-and-work-system dimension of organisational capacity.

Forcing change in the internal power relations

Focuses on how changes in external factors and incentives will affect the dimension of power and authority distribution, conflicts and pursuit of different interests in the organisation.


ROACH dimensions II

Functional-rational dimension

Political dimension

Internal dimensi

on

PUSH

Getting the job done

Most donor interventions have been in this category, which includes skills training, organisational restructuring, human resource development etc.

Addressing power relations and accommodating interests

Interventions include hiring and promotions based on merit, building internal coalitions for change, introducing performance-based payments, actively discouraging rent-seeking.

External dimensi

on

PULL

Creating “enabling environ-ment” for doing the job

Include protecting certain functions (e.g. internal revenue, customs, central banks) from political influence and poor working conditions, ensuring external audits, focussing on outputs etc.

Forcing change in the internal power relations

Include strengthening of civil-society organisations or of political accountability, building external coalitions for change, strengthening the media’s watchdog role.


Understanding organisations- which organisations?

Machine Power

Organisational Characteristics

Clear objectives and functions, precision important, stable con-text, staff act as told

Diversified organisation based on power relations and alliances

Context Clear distinction between organisation and context. Context not important

Open system affected by power related internal and external boundary management

Rationale for decision making

Optimisation of efficient functions based on consensus and accepted power

Acceptance by alliance partners and creation of power alliances

Perception of change

Internal, logical optimisation of work functions and processes

Pursuing personal, career and professional interests

ROACH Approach ROACH Functional ROACH Political

46


Diagnosis of formal/informal fitFormal System Informal System

Purposes Is there goal clarity? Is there goal agreement?Structure Functional; product/

project; or matrix?How is work actually done?

Relation-ships

Who should deal with whom on what? What technologies should be used?

How well do they do it? Quality of relations? Modes of conflict management?

Rewards/ incentives

Explicit system: what is it? Implicit, psychic rewards: what do people feel about payoffs?

Leader-ship

What do top people manage?

How? Normative “style” of management?

Helpful mecha-nisms

What is the:-Budget system?-MIS?-Planning system?-Control system?

What are they actually used for?How do they function in practice?How are systems subverted?

47


Sources for drivers and constraints to change

Organisational level:• Power and politics• Differences in functional/professional orientation• Bureaucratic structures and organisational cultureGroup level:• Informal group norms• Group cohesiveness and thinkingIndividual level:• Uncertainty and insecurity• Matching career and family obligations

48


Using Force Field for assessing drivers and constraints to change

Steps:1. Write the name of the

output at the top2. List driving and

constraining forces from your external and internal analysis in left and right columns

3. Assess the strengths of the forces by adding arrows

4. How can constraining forces be reduced and driving forces utilised?

Forces affecting capacity to deliver outputs

Driving Force 5 4 3 2 1 -1 -2 -3 -4 -5 Constraining Force


Using force field for assessing drivers and constraints to change – SAM as case

Forces affecting capacity to deliver outputs

Driving Force 5 4 3 2 1 -1 -2 -3 -4 -5 Constraining Force

Training materials Internal mistrust Trainer network Unclear mgt decision Infrastructure Low accountability Strong donor support Trustee-SAM relations

detoriating Growing reg. demand Governance sporadic


Linking ROACH dimensions drivers and constraints to change

– SAM as case

Functional-rationaldimension

Politicaldimension

Internal dimension

PUSH

Internal functional aspectsDrivers:•Training Materials•Trainer Network•InfrastructureConstraints:

Internal power relations & interestsDrivers:

Constraints:•Internal mistrust•Unclear management decisions

External dimension

PULL

External FactorsDrivers:•External support•Growing demand

Constraints:•Low accountability

External ActorsDrivers:

Constraints:•Trustee-SAM relations detoriating•Sporadic governance


6. Case II on Capacity Development

in PracticeThe journey from Paris over Accra

to more effective aid in your country

52


Case II: Capacity Development

1. Vantage point: Development of capacity needed for your organisation’s service delivery

2. Use information from your capacity assessment in case I

3. Consider whether capacity can be developed from inside (push) or from outside (pull) the organisation

4. Consider whether functional or political dimensions are needed for developing capacity

5. List main capacity development issues in attached form


Case II: Capacity development formFunctional-rational

dimensionPolitical

dimensionInternal dimensio

n

PUSH

Getting the job done(Elements from internal capacity assessment)

Drivers:

Constraints:

Addressing power relations and interests(Elements from internal capacity assessment)

Drivers:

Constraints:

External dimensio

n

PULL

Creating “enabling environment” for doing the job

(Elements from external capacity assessment)

Drivers:

Constraints:

Forcing change in internal power relations

(Elements from external capacity assessment)

Drivers:

Constraints:


7. Result Based Management & Monitoring


in your country

55


RBM Process1. Formulating objectives: Identifying in clear, measurable terms the results being

sought and developing a conceptual framework for how the results will be achieved.

2. Identifying indicators: For each objective, specifying exactly what is to be measured along a scale or dimension.

3. Setting targets: For each indicator, specifying the expected or planned levels of result to be achieved by specific dates, which will be used to judge performance.

4. Monitoring results: Developing performance monitoring systems to regularly collect data on actual results achieved.

5. Reviewing and reporting results: Comparing actual results vis-à-vis the targets (or other criteria for making judgements about performance).

6. Integrating evaluations: Conducting evaluations to provide complementary information on performance not readily available from performance monitoring systems.

7. Using performance information: Using information from performance monitoring and evaluation sources for internal management learning and decision-making, and for external reporting to stakeholders on results achieved. Effective use generally depends upon putting in place various organizational reforms, new policies and procedures, and other mechanisms or incentives.


Use of RBM

1. Formulating objectives

2. Identifying indicators

3. Setting targets

4. Monitoring results

5. Reviewing and reporting results

6. Integrating evaluations

7. Using performance information

Strate

gic

Plan

nin

g

Pe

rform

ance

Me

asu

rem

en

t

Re

sult Ba

sed M

an

age

me

nt


MDG Indicators

PRSP Indicators

Strategic Sector Plan indicators

SPS Indicators

Strategic Sector Plan indicators

Ministry depart-ment’s internal Indica-tors

SPS Indicators

National Poverty Monitoring System

National Sector Organisation


RBM at Organisational Level

59


Measures in Support of RBM1. Holding managers accountable: Instituting new mechanisms for holding agency managers and

staff accountable for achieving results within their sphere of control.

2. Empowering managers: Delegating authority to the management level being held accountable for results – thus empowering them with flexibility to make corrective adjustments .

3. Focusing on clients: Consulting with and being responsive to project/program beneficiaries or clients concerning their preferences and satisfaction with goods and services provided.

4. Participation and partnership: Including partners that have a shared interest in achieving a development objective in all aspects of performance measurement and management processes.

5. Reforming policy and procedure: Officially instituting changes in the way the donor agency conducts its business operations by issuing new policies and procedural guidelines on results based management. Clarifying new operational procedures, roles and responsibilities.

6. Developing supportive mechanisms: Assisting managers to effectively implement performance measurement and management processes, by providing appropriate training and technical assistance, establishing new performance information databases, developing guidebooks.

7. Changing organizational culture: Facilitating changes in the agency’s culture – i.e., the values, attitudes, and behaviors of its personnel - required for effectively implementing results based management.


RBM Discussion Points:

• How can RBM be applied in your organisation?

• Are supportive measures in place?


8. National Strategies and Financial Management


in your country

62


A Vicious Circle


A Virtuous CircleInitial State of Sector-Absent weak policies-Weak capacity and institutions-Weak domestic accountability


Poverty Reduction Strategy Papers

65

• A 3 year or rolling comprehensive national development strategy prepared by the countries themselves on how they will reduce poverty

• Key principles: 1) Country-owned and participatory

2) Partnership – domestic and external 3) Comprehensive road-map4) Results-oriented

• The donor community will assist in preparing, updating and monitoring the PRSP – the prioritisation in the PRSP will guide the distribution of donor funds.

• Almost all (WB) partner countries have a PRSP or are developing one


The ‘pure’ PRSP as Basis for Budget Support

66

1. The national poverty reduction strategy (PRSP) mirrors the country’s and the poor’s interests and the government has ownership.

2. All policies and strategies are pro-poor and they are prioritised according to their impact on poverty reduction.

3. All policies and strategies are costed and transferred to the state budget.

4. Implementation of government policy and the state budget are continuously monitored by auditors, parliament and the population.

5. And the results (service delivery) are fed back into policy development.


Main Aid Modalities

1. Use of Sector-Wide Approaches

2. Sector Programme Support / SBS

3. General Budget support / GBS

4. Project assistance

5. Other aid instruments (debt relief, TA, Training, Fellowships, etc)

67


PRSP and Capacity Building

• Strengthen support for results-focused PRSPs, with clear linkages.

• Help countries build statistical systems and analytic capacity to measure and track outcomes and other results.

• Help countries build results-based public expenditure management systems, and monitoring and evaluation capacity.


Danida Public Sector Strategy 2007 Core Areas

1) The fight against corruption

• As basis for alignment and national ownership

2) Local service delivery and governance• Decentralisation as mode for service delivery

and governance to secure accountability and transparency

3) Public financial management• As basis for enhanced national capacity and

increased budget support

69


Principles for Danida Public Sector Strategy 2007

1. Governance is a comprehensive agenda

2. Political involvement

3. CAPACITY DEVELOPMENT

4. Efficiency and effectiveness

5. Transparency

6. Accountability

7. Donors governance

70


Discussion Points:Main Challenges to Development Agenda

• Do PRSPs limit the political space?• What about the ‘bad’ performers?• Conflict and fragile states?• Where is Good Governance in MDGs and PRSPs? • Analyses of Power Structures as part of PRSPs? (“Drivers

of Change”)• The trend towards budget-support is that reversing?• Who will take the lead among the donors?• Is there room for bilaterals in the future???

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9. ROACH Strengths and Weaknesses

- and references


in your country

72


ROACH strengths #1- for capacity assessment

• Perception of organisations as open systems facilitates understanding of interaction between organisation and its context

• 6 Box Model facilitates an understanding of functional as well as more interest related issues of an organisation

• Comprehensive and flexible frames for analysing capacity

• Tangible as well as intangible issues are addressed• Result based and performance oriented and thereby

reflecting current trends in development cooperation


ROACH strengths #2- for design of capacity development

• Facilitates an understanding of the nature of change• Focuses on importance of drivers of change,

including political resistance and support• Emphasises national ownership• Highlights scope and limitations for external support

to capacity development• Provides alternatives in terms of direct and indirect

approaches to support to capacity development• Highlights importance of considering blend of

internal/external and functional/political approaches to capacity development


ROACH weaknesses #1- for capacity assessment

• Difficult to establish criteria for selection of vantage point for assessment

• Outputs are frequently difficult to establish clearly• Formal outputs are assumed to be the real outputs• Outputs are often difficult to verify due to poor indicators and/or insufficient reliable data

• Rich in strategic considerations in terms of framing, but poor in terms of methods and tools

• Especially informal aspects and power related issues therefore difficult to capture


ROACH weaknesses #2- for design of capacity development

• Rich in strategic considerations, but poor in terms of methods and tools

• Difficult to define point of departure as well as result of change processes

• Change processes unpredictable and therefore difficult to manage, which will affect design

• Risk taking and experimentation needed – which is not always supported by stakeholders

• Focus on changes of power is at times not supported by national stakeholders – thereby potentially undermining ROACH emphasis of national ownership


List of ROACH related literatureGENERAL LINKS TO DANIDA CAPACITY BUILDING DOCUMENTS

http://www.um.dk/en/menu/DevelopmentPolicy/Evaluations/Publications/OtherReports/CapacityDevelopment.htm

Danida, (2005): Capacity Development Outcome Evaluation, Field-Testing of the Methodology http://www.um.dk/da/menu/Udviklingspolitik/MaalOgResultatstyring/Evaluering/Publikationer/OevrigeRapporter/CapacityDevelopment.htm

Danida (2006) Guidance note on Danish support for Capacity Development http://www.amg.um.dk/en/menu/TechnicalGuidelines/Capacity+Development/

Boesen, Nils and Ole Therkildsen (2005): A Results- Oriented Approach to Capacity Changehttp://www.um.dk/en/menu/DevelopmentPolicy/Evaluations/Publications/OtherReports/CapacityDevelopment.htm


Links to other donorsDepartment for International Development DfID (2002): Capacity

Development: Where do We Stand Now,http://info.worldbank.org/etools/docs/library/114227/CD%2DDFID%2DWhere%20Do%20We%20Stand%20Final.doc

ECDPM (2006): Mapping of approaches towards M&E of Capacity and Capacity Development www.dgroups.org/groups/pelican/docs/Mapping_M&E_capacity_080606.pdf

EuropeAid (2005): Institutional Assessment and Capacity Development – Why, What and How?http://www.ec.europa.eu/europeaid/multimedia/publications/documents/tools/europeaid_adm_concept_paper_en.pdf

OECD/DAC Network on Governance (2006): The Challenge of Capacity Development: Working Towards Good Practice http://www.oecd.org/document/30/0,3343,en_2649_34665_38549470_1_1_1_1,00.html

UNDP (1998): Capacity Assessment and Development – in a Systems and Strategic Management Context,http://magnet.undp.org/Docs/cap/CAPTECH3.htm


Capacity4dev Links

Capacity4dev.eu:

http://capacity4dev.ec.europa.eu/

Toolkit for Capacity Development:

http://capacity4dev.ec.europa.eu/toolkit-capacity-development

EC Guidelines on Making Technical Cooperation More Effective:

http://capacity4dev.ec.europa.eu/system/files/c4d/Guidelines_on_TC_en.pdf

Concept Paper on Public Sector Reform:

http://capacity4dev.ec.europa.eu/concept-paper-public-sector-reform-introduction

Public Financial Management - Performance Measurement Framework:

http://capacity4dev.ec.europa.eu/public-financial-management-performance-measurement-framework

79


And after these discussions of approaches and models ….

Don’t ignore the importance of leadership

“An army of sheep led by a lion would defeat an army of

lions led by a sheep”African proverb

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