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
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust
Programme Day 3
4
Day 3 Subject Topics Work form
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
CapacityCapacity Trust Trust
Programme Day 4
5
Day 4 Subject Topics Work form
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
CapacityCapacity Trust Trust
1. Donor Approaches to Capacity Development
The journey from Paris over Accra to more effective aid
in your country
6
CapacityCapacity Trust Trust 7
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
CapacityCapacity Trust Trust 8
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)
CapacityCapacity Trust Trust 9
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
CapacityCapacity Trust Trust 10
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
CapacityCapacity Trust Trust 11
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
CapacityCapacity Trust Trust 15
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
CapacityCapacity Trust Trust
2. Introduction to Danida ROACH approach
The journey from Paris over Accra to more effective aid
in your country
16
CapacityCapacity Trust Trust 17
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
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust 20
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
CapacityCapacity Trust Trust 21
ROACH – and LFA
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with
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AP
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Con
text
of a
ppre
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ion:
Stru
ctur
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nd in
stitu
tiona
l fac
tors
and
act
ors
beyo
nd
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t ter
m in
fluen
ce
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text
of i
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ence
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of th
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satio
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w
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UTS
co
ntri
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ting
to
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One
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tions
with
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AP
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form
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ng in
Con
text
of a
ppre
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ion:
Stru
ctur
al a
nd in
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tiona
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tors
and
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ors
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to
Development Objective
Indicator SOV
Immediate Objective
Assumptions
Outputs Assumptions
Activities Assumptions
Inputs Pre-conditions
CapacityCapacity Trust Trust 22
DANIDA ROACH- 5 step assessment
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
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
CapacityCapacity Trust Trust 23
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?)
CapacityCapacity Trust Trust 24
DANIDA ROACH- why focusing on outputs ?
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
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
CapacityCapacity Trust Trust 25
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
CapacityCapacity Trust Trust 26
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?
CapacityCapacity Trust Trust 27
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?
CapacityCapacity Trust Trust
3. Tools for capacity assessment at organisational
level
The journey from Paris over Accra to more effective aid
in your country
28
CapacityCapacity Trust Trust 29
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?
CapacityCapacity Trust Trust 30
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
CapacityCapacity Trust Trust 31
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
CapacityCapacity Trust Trust 32
SAM Environmental Scan
Demand
Policies/regulations
Cooperation/competition
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
CapacityCapacity Trust Trust 33
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
CapacityCapacity Trust Trust 34
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
CapacityCapacity Trust Trust 35
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
CapacityCapacity Trust Trust 36
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)
CapacityCapacity Trust Trust
4. Case I on Capacity Assessment
in PracticeThe journey from Paris over Accra
to more effective aid in your country
37
CapacityCapacity Trust Trust 38
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
CapacityCapacity Trust Trust 39
Overall ROACH Assessment Form
OUTCOMEOUTPUTS IMPACT
CAPACITY(i.e. by using 6-Box model)
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
CapacityCapacity Trust Trust 40
Practical guide on making an Environmental Scan
Supply Demand
Policies/regulations
Cooperation/competition
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
CapacityCapacity Trust Trust 41
Organisational Assessment FormStrategy
Structures
Rewards (motivation)
Helpful mechanisms (systems & processes)
Internal Relationships Leadership
Context (actors and factors)(see overall assessment sheet)
CapacityCapacity Trust Trust
5. Understanding Capacity Development
The journey from Paris over Accra to more effective aid
in your country
42
CapacityCapacity Trust Trust 43
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
CapacityCapacity Trust Trust 44
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.
CapacityCapacity Trust Trust 45
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.
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust 49
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
CapacityCapacity Trust Trust 50
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
CapacityCapacity Trust Trust 51
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
CapacityCapacity Trust Trust
6. Case II on Capacity Development
in PracticeThe journey from Paris over Accra
to more effective aid in your country
52
CapacityCapacity Trust Trust 53
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
CapacityCapacity Trust Trust 54
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:
CapacityCapacity Trust Trust
7. Result Based Management & Monitoring
The journey from Paris over Accra to more effective aid
in your country
55
CapacityCapacity Trust Trust
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.
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust
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
CapacityCapacity Trust Trust
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.
CapacityCapacity Trust Trust
RBM Discussion Points:
• How can RBM be applied in your organisation?
• Are supportive measures in place?
CapacityCapacity Trust Trust
8. National Strategies and Financial Management
The journey from Paris over Accra to more effective aid
in your country
62
CapacityCapacity Trust Trust
A Virtuous CircleInitial State of Sector-Absent weak policies-Weak capacity and institutions-Weak domestic accountability
CapacityCapacity Trust Trust
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
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The ‘pure’ PRSP as Basis for Budget Support
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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.
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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)
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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.
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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
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CapacityCapacity Trust Trust
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
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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
The journey from Paris over Accra to more effective aid
in your country
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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
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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
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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
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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
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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
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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
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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
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