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«RESOURCE CATALOGUE A Brief Review of 20 Tools to Assess Capacity Capacity Development Group Bureau for Development Policy August 2005 This Resource ...»

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A Brief Review of 20 Tools to

Assess Capacity

Capacity Development Group

Bureau for Development Policy

August 2005

This Resource Catalogue on Capacity Assessment Tools is a brief review of twenty tools

is meant to serve as a preliminary resource for development practitioners in the area of

organizational capacity assessment. It is exhaustive in neither breadth nor depth of tools

studied. Twenty tools were surveyed, drawing from publicly available resources of nonprofit organizations, management consultancies, United Nations agencies and other donor organizations. The purpose or application of these tools varies from thematic, institutional or enabling environment levels. Inclusion of a tool in this review does not imply endorsement by the UNDP.

Capacity Development Group Bureau for Development Policy New York August 2005 Institutional Capacity Assessment Tools CARE Institution: CARE International Somalia Tool Type: Survey Theme: NGO Partner Capacity Assessment Primary Purpose: To assess a partner NGO’s management, finance, service delivery, and sustainability Approach: Points and rating process.

Pros and Cons: Brief, clear, easy checklist format. Equal weight assigned to categories.

Estimated Time and Budget: NA


http://www.careinternational.org.uk/resource_centre/civilsociety/inventory_of_resou rces/section_2/section_a/a10_somalia_capacity_assessment_tool.pdf CIDA Institution: CIDA Tool Type: Capacity Development Tool Kit.

Theme: Capacity Development Primary Purpose: To respond to demand from CIDA staff for tools and strategies to operationalize capacity development and to facilitate the work of researchers, students and practitioners.

Approach: Collection of papers on capacity development at micro (i.e. the capacity of individuals), meso (organizations and networks), and macro (overarching institutional issues conditioning the environment for capacity development) levels.

Pros and Cons: For comprehensive background knowledge and understanding of capacity concerns and issues.

Estimated Time and Budget: NA Other: Available at http://www.acdicida.gc.ca/cida_ind.nsf/8949395286e4d3a58525641300568be1/ff70854ad03e74df85 256cef0059b3f7?OpenDocument DFID Institution: DFID Tool Name/Type: Open Systems Model Theme: Organization in its Institutional Context Primary Purpose: diagnosis of the strategic/institutional environment, and organizational problems.

Approach: Extensive questionnaire on external environment, financial resources, role and strategy, culture, people and human resource management, organization structure, outputs/performance Pros and Cons: Extensive and comprehensive Estimated Time and Budget: NA Institution: DFID Tool Type: 7S Theme: Organization in its Institutional Context Primary Purpose: To analyze internal issues within an organization Approach: Use 7S framework to have discussions with staff and prepare a report.

Pros and Cons: Interaction with people.

Estimated Time and Budget: NA Institution: DFID Tool Type: Organisational Element Model Theme: Organisation in its Institutional Context Primary Purpose: Designed to demonstrate the relationship between inputs and performance.

Approach: Table analysis Pros and Cons: No hard data.

Estimated Time and Budget: NA http://www.dfid.gov.uk/pubs/files/prominstdevsourcebook.pdf ECDPM Institution: ECDPM [MDF] Tool Name/Type: Institutional Development and Organization Strengthening (IDOS) Framework Theme: Institutional Analysis Primary Purpose: To enhance the institution’s ability to perform development activities Approach: IDOS is a flexible set of tools for an analysis of the enabling environment and the client’s internal organization. The analysis is three fold-a mapping exercise, a functional analysis and a plan for implementing proposed reforms.

Pros and Cons: Taught course at MDF. Dutch embassy in Mozambique has identified three weaknesses arising from an application by 22 ministries. Politically sensitive questions have been avoided till date; approach is top down, different ongoing processes make coherence of reform a challenge.

Estimated Time and Budget: NA Other: http://digbig.com/4cdak and mdf@mdf.nl Institution: ECDPM [GTZ] Tool Name/Type: Objective Oriented Project Planning [OOPP] Theme: Project Planning Primary Purpose: To improve the planning process Approach: In depth analysis of relevant actors, as well as problems, their cause and effects.

Pros and Cons: OOPP has been used as a donor-planning instrument but can also be used as a participatory planning exercise.

Estimated Time and Budget: NA Other: www.gtz.de/ and www.demonchy.nl/ Institution: World Neighbours. Gubbels, P. and C. Koss Tool Type: Field guide Theme: Organisational capacity, self assessment Primary Purpose: To provide organizations with tools for strengthening their capacity Approach: Regularly reflecting on performance, diagnosing internal strengths and weaknesses, identifying priority capacity areas, and designing action plans for improving their effectiveness and long-term viability.

Pros and Cons: Very detailed and time intensive methodology.

Estimated Time and Budget: NA Other: www.wn.org http://www.capacity.org/Web_Capacity/Web/UK_Content/Downloa d.nsf/0/9CA60DAADFE2D4BCC1256E3E003CC2E5/$FILE/final%20dr aft%20booklet_rev.pdf IDRC Institution: IDRC Tool Type: Book Theme: Institutional Assessment Primary Purpose: To assist both external and internal efforts to strengthen organizations and to provide a framework for documenting the effects of such efforts Approach: Descriptive, provides guidance.

Pros and Cons: No specific tool.

Estimated Time and Budget: NA Other: http://www.idrc.ca/en/ev-27697-201-1-DO_TOPIC.html


Institution: McKinsey Tool Type: Capacity Assessment Grid Theme: Organizational capacity Primary Purpose: Designed to help non-profits assess their organizational capacity.

Approach: Qualitative survey assessment. To be used in conjunction with a Capacity Framework that explains the elements of the grid.

Pros and Cons: Very clear, concise, and user friendly.

Estimated Time and Budget: NA Other: http://www.emcf.org/pdf/mckinsey_capacitytool.pdf


Institution: Overseas Development Administration Tool Type: Guidance note Theme: Stakeholder Analysis of Aid Projects and Programmes Primary Purpose: To assess how stakeholder interests affect the risk level and viability of the programme.

Approach: Fill out matrices and tables.

Pros and Cons: Highly participatory exercise. To use within larger assessment framework.

Estimated Time and Budget: 3 hours, markers and flip charts.

Other: http://www.euforic.org/gb/stake1.htm SNV See SNV report http://www.snvworld.org/cds/rglgp/report.doc for a description and

guidance on use of analysis instruments for local governance:

4. Instruments for analysing functioning of local government bodies

4.1 Criteria of excellence in Local Government

4.2 Power distribution matrix

4.3 The Institutiogramme

4.4 The Participation Matrix

4.5 Interactive Policy making Process

5. Instruments for Sector Analysis

5.1 Sector analysis

5.2 Checklist to diagnose local economic development

5.3 Steps to develop the local economy

5.4 The Coverage matrix

5.5 The Collaboration matrix

5.6 Environmental scan

5.7 Envisioning

6. Instruments for Organisation Analysis

6.1 The Integrated Organisation Model

6.2 Quality definition chart

6.3 Social Audit

6.4 Mintzberg model

6.5 The Process Flow Chart

6.6 Hofstede: Onion

6.7 Checklist organisational culture

6.8 Strategic orientation

–  –  –

WORLD BANK Institution: World Bank Tool Type: Excel worksheet (186k) Theme: Service Delivery Primary Purpose: To assess constraints on front-line service delivery Approach: It identifies the sources of constraints (district, provincial, or federal) and evaluates their relative severity. Local constraints on providers, users, district officials and other stakeholders are ‘endogenous’ to the district. These are disaggregated from ‘exogenous’ constraints in core public management systems of provincial administration as well as the broader federal system of intergovernmental relations. By mapping the sources and severity of constraints, the tool provides the basis for prioritizing and sequencing next steps pursuant to specific public sector operations.

Pros and Cons: Excel automatically calculates results if toolkit is filled out on screen.

Estimated Time and Budget: Pilots in Ethiopia, Benin, and Argentina Other: Lead Nick Manning and Navin Girishankar. Toolkit under progress.

Institution: World Bank Tool Type: PDF Questionnaire (88k) Theme: Administration and Civil Service Primary Purpose: To assess both formal and informal institutional arrangements for public sector employment Approach: Questions asked on size and architecture of public sector, personnel rules, agency and sector issues, and common problems.

Pros and Cons: Guidance provided to user as well as links to relevant World Bank website pages.

Estimated Time and Budget: Piloted in EU accession countries, Bolivia, Indonesia, Jordan, Mozambique, Romania and Albania.

Other: Lead Nick Manning and Jeff Rinne. Following comments from external partners and Bank staff, toolkit has been revised. It is currently being developed into a PREMpak, which will allow multiple users to question others' assessments, facilitating dialogue and consensus between Bank staff, consultants, and country counterparts.

Institution: World Bank Tool Type: Excel worksheet (171k) Theme: Commitment to Reform Diagnostic Primary Purpose: To assess the political desirability of proposed reforms, the political feasibility (including opposition to this project or to broader reforms inside or outside of the government), and the sustainability of reform, including potential changes in key stakeholders Approach: Three well-defined sections with questions on commitment, feasibility and sustainability.

Pros and Cons: Presents a few stylized results based on your answers, and offers suggestive insights from Bank experience as to how task managers and country teams have addressed particular concerns in the design and implementation of Bankfunded projects.

Estimated Time and Budget: This toolkit is not meant to substitute for a wellinformed judgment of a seasoned observer with proper training in political analysis, rather it should be viewed as a minimal effort to detect the most obvious instances of lack of political viability of reform. Therefore, the questionnaires should be accompanied by a sound understanding and analysis, if feasible, of the historical evolution and contemporary context of the local political economy.

Other: Lead Jeff Rinne and Yasuhiko Matsuda.

Institution: World Bank Tool Type: PDF Questionnaire (429k) Theme: Revenue Administration Primary Purpose: To provide a comprehensive framework for diagnosis of the institutional and organizational deficiencies of Revenue Administration (RA).


Chapter 1 provides three sets of indicators to conduct a Preliminary Examination.

Chapter 2 presents the Congruence Model used for the Detailed Diagnosis of the RA.

Chapter 3 applies the Congruence Model to Revenue Administration. Chapter 4 provides a methodology for converting the insights derived from the diagnosis of different elements of the RA's system into a reform strategy.

Pros and Cons: Comprehensive toolkit, well written with plenty of visual aids.

Estimated Time and Budget: The framework can be used in a group setting involving different stakeholders; to guide brainstorming sessions and craft reform strategies.

Other: Lead Jit Bahadur S. Gill, Anna Hansson, Michael Engelschalk Institution: World Bank Tool Type: PDF Questionnaire Theme: Intergovernmental Relations Primary Purpose: To assess arrangements for fiscal decentralization, institutional arrangements for administrative decentralization and key dimensions of political decentralization.

Approach: This toolkit tries to characterize the decentralization taking place in a given country at a point in time so that the roles and responsibilities of different levels of government can be compared across countries, and most importantly, so that those decentralization policies that have significant impacts can be monitored over time within a country Pros and Cons: Short clear questions Estimated Time and Budget: Under development Other: Lead Jennie Litvack Institution: World Bank Tool Type: PDF Questionnaire Theme: Legal and Judicial Primary Purpose: To assess system performance in the deterrence of wrongful conduct, the facilitation of voluntary transactions, the resolution of private disputes, and the redress of governmental abuses of power. It will also assess how well the key institutions of the judicial system – the courts, the private bar, and the public prosecutors – are working.

Approach: NA Pros and Cons: NA Estimated Time and Budget: Under development.

Other: Lead Rick Messick Institution: World Bank Tool Type: Excel worksheet (367k) Theme: Public Expenditure Primary Purpose: To assess formal public expenditure institutional arrangements and to assess the capability of cabinet arrangements for social and sectoral policymaking.

Approach: Assesses performance at three levels Pros and Cons: Provides guidance on interpretation of the survey results after each level Estimated Time and Budget: Piloted in Thailand, Indonesia, Uganda, Malawi, Ghana, Australia, New Zealand, Colombia, and Benin.

Other: Lead Malcom Holmes http://www1.worldbank.org/publicsector/toolkits.htm UNICEF Institution: UNICEF Tool Type: Workshops, semi-structured interviews Theme: Vulnerability and Capacity Assessment/Disaster Preparedness Primary Purpose: Palestinian Red Crescent Society seeks to identify local community points of view in relation to real needs for disaster preparedness and ways of mitigating the impacts of disaster.

Approach: Community focus groups, workshops, semi-structured interviews with Ministry officials and NGOs.

Pros and Cons: Highly participatory and comprehensive approach.

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