What models, tools and techniques are available to analyse and review institutional development? Compiled for the Department of International Development, this paper outlines some of the key tools used in DFID’s own institutional work, including a framework to encourage discussions between the various stakeholders involved in the institutional reform process.
The source book incorporates tools covering institutional analysis and diagnosis, review and design, implementation and monitoring and evaluation. Most are either simple models or checklists designed to work through the key issues of institutional reform. They have rigorous theoretical underpinnings and are based on experience of what works. None of the tools is intended to be a blueprint. All have their strengths and weaknesses and should be adapted to reflect local contexts.
A number of tools and techniques address the initial stages of analysis, focusing on the overall institutional framework and context:
- The assessment of institutional capabilities: Provides a structured approach for asking questions, analysing results and identifying critical institutional issues.
- Impact analysis: Is useful for identifying objectives and predicted areas of impact for follow-up evaluation and helps build stakeholder commitment to reform through reaching consensus on objectives.
- Change forecasting: Makes predictions based on the particular historical, political, cultural and economic context, including the effects of donor support and engagement.
- The 7-S framework: Describes interdependent variables to examine an organisation’s internal dynamics.
- SWOT analysis: Assesses an organisation in terms of internal strengths and weaknesses and external opportunities and threats.
- The organisational elements model: Is designed to demonstrate the relationship between organisational efforts, results and external payoffs to show linkages between all elements of the process from inputs through to outcomes.
- Problem tree analysis: Establishes the hierarchical relationship between cause and effect by illustrating the linkages between various issues contributing to an institutional problem.
Having assessed the institutional framework and the organisation within its institutional context, further tools and techniques are available to design, implement and monitor and evaluate:
- Benchmarking contributes to a culture of openness, learning and continuous improvement within and between organisations.
- The risk management matrix analyses the likelihood of an adverse outcome and the associated scale of impact.
- Business process re-engineering involves the fundamental review and redesign of an organisation’s business processes.
- There are various approaches to change management which all include the key elements of change vision, change strategy, commitment and leadership, capacity and culture.
- Force field analysis is a technique for analysing the forces that help or obstruct change and the Burke-Litwin model provides a link between an assessment of the wider institutional context and the nature and processes of change within an organisation.
- Stakeholder management identifies the individuals or groups who will be affected by changes or have the ability to impact on the change process.
- The European Foundation for Quality Management (EFQM) Excellence Model provides a framework for assessing all aspects of performance which make an organisation successful, including measures for evaluating the impact of change.
