An assessment of Woreda Capactiy: The case of Gindeberet and Abuna Gindeberet Wereda in Oromia National Regional State
©2014
Textbook
123 Pages
Summary
This research assesses woreda capacity in Gindeberet and Abuna Gindeberet Woreda of West Shoa Zone Oromia National Regional State since the implementation of District Level Decentralization Program. To this end, the study assesses the human resource, financial, managerial, facility capacity as well as the extent to which enabling work environment and community participation is available. The findings indicate that the capacity building program which was launched to address the problem of rural woredas has not brought about significant changes though there are some improvements in terms of community participation, service delivery and responsiveness to customers. However, constraints of resources and its utilization, lack of conducive work condition, lack of strong political leadership and commitment, and lack of governance system are identified as factors responsible for the ineffectiveness of the program. It is therefore recommended that for the capacity building effort to be materialized, there is a need for resources and proper utilization, strong political leadership and commitment, enabling work environment and an improved governance system.
Excerpt
Table Of Contents
2.2.2
Factors that Determines the Success of Capacity Building or Capacity Development... 38
2.2.2.1 Internally Initiated and Demand Driven ... 38
2.2.2.2 Strong Political leadership and Commitment ... 39
2.2.2.3 The Prevailing System of Governance and Policy Environment... 39
2.2.2.4 The Broader Environment... 40
2.2.2.5 Availability and Management of Resources ... 41
2.3 Capacity Building for Decentralized Local Governments ... 42
2.4 Decentralization and Capacity Building in Ethiopia... 43
Chapter Three ... 48
Data Presentation and Analysis... 48
3.1. Description of the Study Areas ... 48
3.1.1. Gindeberet Woreda Profile ... 48
3.1.2. Abuna Gindeberet Woreda Profile... 49
3.2. Data Analysis and Interpretation... 50
3.2.1. Power and Structures of Woredas ... 50
3.2.2. Human Resource Capacity... 51
3.2.3. Management Capacity... 56
3.2.4. Financial Capacity ... 62
3.2.5. Availability of Facilities... 69
3.2.6. Enabling Work Environment ... 72
3.2.6.1. Internal Enabling Environment ... 73
3.2.6.2. External Enabling Environment... 79
3.2.7. Community Participation ... 83
Chapter Four ... 89
4. Conclusions and Recommendations ... 89
4.1. Conclusions... 89
4.2 Recommendations... 93
References ... xvii
Annex-1 ... xxvi
Addis Ababa University, School of Graduate Studies ... xxvi
Annex 2 ... xxxiv
Addis Ababa University, School of Graduate Studies ... xxxiv
Annex-3 ... xxxvi
Interview Guide for key Informants... xxxvi
Annex 4 ... xxxvii
Annex-5 ... xxxix
Annex - 6 ... xl
Source: Abuna Gindeberet Woreda office of Government Communication Affairs ... xl
Annex-7 ... xl
List of Abbreviations
ACBF- African Capacity Building Foundation
BPR-Business Process Reengineering
BSC- Balanced Score Card
CBDSD- Capacity Building for Decentralized Service Delivery
CBOs-Community Based Organizations
CHIP- Civil Society Human and Institutional Development Program
DLDP-District Level Decentralization Program
ICT-Information Communication Technology
NCBP-National Capacity Building Program
NGOs-Non-Governmental Organizations
OECD- Organization for Economic Cooperation and Development
PS-Professional Science
PSCAP-Public Sector Capacity Building Program
SDPRP-Sustainable Development and Poverty Reduction Program
SPSS-Statistical Package for Social Science
SWOT- Strength, Weakness, Opportunity and Threats
TVET-Technique Vocational Education and Training
UN-United Nations
UNCRD- United Nations Center for Regional Development
UNDP- United Nations Development Program
WB-World Bank
WGLL- Peace Building Working Group Commission on Lesson Learned
LIST OF TABLES
Title
Pages
Table 1: Staff Availability in Gindeberet and Abuna Gindeberet
Weredas sector offices (2004 E.C) ...53
Table 2: Management Capacity ...57
Table 3: Financial Capacity ...66
Table 4: Budget and Sources of Budget in Gindeberet and Abuna
Gindeberet Weredas ...68
Table 5: Availability of Office Equipment or Facilities ...71
Table 6: Internal Enabling Environment ...77
Table 7: External Enabling Environment ...81
Table 8: Level of Community Participation ...85
Abstract
This research assesses woreda capacity in Gindeberet and Abuna Gindeberet Woreda of West
Shoa Zone Oromia National Regional State since the implementation of District Level
Decentralization Program. To this end, the research has assessed the human resource, financial,
managerial, facility capacity as well as the extent to which enabling work environment and
community participation is available. In order to achieve these objectives, qualitative and
quantitative research approaches were used. Furthermore, to generate qualitative and
quantitative data primary and secondary sources were employed. Key informant interview,
questionnaires, and focus group discussions were used as primary sources whereas financial
and human resource reports and other relevant documents were used as secondary sources. Both
probability and non-probability sampling techniques were employed.
The finding of the study indicated that the capacity building program which was launched to
address the problem of rural woredas has not brought about significant changes or could not
bring about the desired change though there are some improvements in terms of community
participation, service delivery and responsiveness to customers. It has also empowered woreda
civil servants to provide decisions on their own. However, constraints of resources and its
utilization, lack of conducive work condition, lack of strong political leadership and
commitment, and lack of governance system have been identified as factors responsible for the
ineffectiveness of the program. Accordingly, the study found out among other things, problem of
adequate and competent human resources as well as lack of managerial capacity. Furthermore,
woredas have limited financial and human resource autonomy as well as lack autonomy to set
priority and targets. Besides, low revenue generating capacity has forced woredas to heavily
rely on block grant from the regional government. Moreover, the overall work environment was
not conducive and attractive as inter alia organizational structures were unclear, unstable and
complex as well as there was weak coordination and communication among local governance
actors. The level of the participation of the community in matters affecting their life was found
not to the desired level.
It is therefore, generally recommended that for the capacity building effort to be materialized
and achieve the desired objectives, there is a need to fulfill the following conditions that
enhances the successful implementation of the program, viz. availability of resources and proper
utilization, strong political leadership and commitment, enabling work environment and the
governance system has to be improved.
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Chapter One
1 Introduction
1.1 Background of the Study
Decentralization and local governance are not a new concept though their emergence and
exposure to academic discourses and discussions is a recent phenomenon. The two concepts are
highly interrelated and interdependent concepts as local governance is defined to be the
interaction between or among different local governance actors (private, public, and civil
society organizations) as well as the coordination and integration among different sectors;
whereas decentralization is a process that involves the transfer of planning, management,
resource raising and allocation responsibility and functions from the central government and its
agencies to one or more of the following local governance actors or institutions: field units of
central government ministries or agencies, subordinate units or levels of government,
semiautonomous public authorities or corporations, area-wide, regional or functional
authorities, or nongovernmental private or voluntary organization.
Accompanied by one or more of the following benefits of decentralized governance like
improving the life of people at local level, enhancing human development, and deepening
democracy, bringing the government closer to the people, promoting government
responsiveness and accountability, increasing government's flexibility to address diverse needs
of the population, reducing corruption through enhanced oversight, promoting the dispersal of
power from monopolized political structures, and ensuring allocative efficiency (Rondinelli,
et.al., 1983; Smoke, 2003; Rondinelli, 1999; Rondinelli, et.al, 1989; Litvack, et.al., 1998;
Devas, 2006; Olowu, 2001; Conyers, 2006; Shah and Thompson, 2004; Hadingham, 2003;
Lister and Betley, 1999; Cheema and Rondinelli, 2007; Crawford and Hartmann, 2008; Faguet,
1997; Middleton et.al., 1987) though the result is one of mixed (Rondinelli, et.al., 1983), several
countries have embraced one or more forms of decentralization as a means to promote
participatory development and governance.
Ethiopia has a limited experience of decentralization compared with several other African
countries in which developed system of local government prevailed from colonial powers legacy.
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The effort to decentralize responsibility and power was begun in the country during the reign of
emperor Menilik II with the purpose to ease the tension between the center and the periphery on
the one hand and the administrative systems on the other (Daniel, 1994). The effort continued
under the reign of emperor Haileselassie I who issued different proclamations and decrees such
as the administrative decentralization of 1942, and Order No. 43 of 1966 to empower awrajas
with a deconcentrated responsibility and functions and promote rural development as well as
bring the growing local government activities in to manageable dimensions (Tegegne and
Kassahun, 2004; Meheret, 2002; Dickovick and Tegegne, 2010; Fenta, 1998). The Derg regime
also continued the top-down system of administration through establishing a centralized and
unitary state. Furthermore, the regime had instituted Urban Dwellers Associations and Peasant
Associations and Service Cooperatives as an instrument to bring about economic, political and
social development through devolving substantial authority (Yigremew, 2001). However,
decentralization with the objective of empowering citizens and devolving power was not
exercised and genuine.
In order to realize the benefits of decentralization the present government has adopted
decentralized system of governance through the 1995 constitution that declared the country as
federal government comprising of nine national regional states and two administrative cities
(Addis Ababa and Dire Dawa) with power and authority to self-rule. The constitution has
empowered regional governments to have their own legislative, executive and judicial power; to
pass legislation on matters falling under their jurisdiction, to enact state constitution and other
laws consistent with the federal constitution; formulate and execute economic, social and
development policies, strategies and plans; administer land and other natural resources as per the
federal laws; levy and collect taxes and duties on revenue sources reserved to them and to
allocate and administer budget; enact and apply laws on the state civil service and their condition
of work; and establish and administer state police force, and maintain public order and peace
within their jurisdictions (Federal Democratic Republic of Ethiopia, Constitution, 1995, Article
50 & 52).
Even though, Article 50 (4) of the federal constitution proclaimed that in order to enable the
people participate directly in the administration of local units adequate power to be granted to the
lowest units of government, in the 1990s the initiative of decentralization was mostly limited to
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regional level without clear definitions of powers and duties of the lower tiers of government. It
is only from 2001 onwards that Ethiopia began to adopt a decentralized form of local governance
characterized by devolution.
As a result, the 2001 revised constitution of Oromia National Regional State has established
woredas as one of the basic tiers of government for the provision of services as they are closer to
the grassroots population. Accordingly, the region's constitution Article 76-89 has empowered
woredas inter alia to plan, approve, implement and evaluate social services, economic
development and public administration, oversee the activities of basic agricultural development
and natural resources, mobilize and activate the community for development, ensure the proper
collection of land use taxes, agricultural income taxes and other taxes as determined by the law,
and utilize revenues that falls within its jurisdictions.
Furthermore, the government has launched nationwide capacity building initiatives to be headed
by the Ministry of Capacity Building. Accordingly, the National Capacity Building Program
(NCBP) with an emphasis to 14 sectors was launched among which District Level
Decentralization Program was inaugurated mainly to address local capacity challenges in rural
woreda areas (Dickovick and Tegegne, 2010; MoFED, 2002).
1.2 Statement of the Problem
Ethiopia has been ruled by a highly centralized system of governments which did not allowed
local autonomy and local discretion to lower tiers of government. Accordingly, local
governments under the previous two regimes served as a field agent and instrument of control
over local population.
However, the 1991 governmental change has ushered in a decentralized system of governance in
which power was devolved from the center to regions to enable different ethnic groups develop
their culture and language, manage socio-economic development in their respective jurisdictions,
exercise self-rule and bring about an equitable share of national resources among the regions,
promote harmony among different groups and develop self-rule (Meheret, 2002; Tegegne and
Kassahun, 2004; Tegegne, 2007). Moreover, the practice of decentralization in Ethiopia was a
response to the hitherto highly centralized system of governance on the one hand and the
federation created under the previous unitary system on the other (Assefa, 2006).
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The realization of effective decentralization relies on the presence of certain conditions such as
the availability of resources like human resources; financial resources; and physical
infrastructures and how best they are utilized; the willingness and the commitment of leaders at
different levels; the presence of conducive organizational conditions; the attitude of the local
people towards the government and the commitment of local leaders; and appropriate
institutional capacity (Rondinelli, et.al., 1983; Rondinelli, et.al, 1989). However, in Ethiopia
these conditions were hardly available as the decentralization policy, particularly of Woredas,
were characterized by administrative and institutional capacity gaps, viz. shortage of
administrative and personnel capacity to carry out socio-economic functions and poor revenue
base, lack of independent taxation authority and restrictions on raising local revenue have
inhibited effective self-government, lack of adequate decision making power and self-rule, and
compelled them to heavily rely on support from regional and central governments (Meheret,
2002; Tegegne and Kassahun, 2004; Dickovick and Tegegne, 2010, Yegremew, 2001).
Realizing these facts the government has launched National Capacity Building Program that
comprises of 14 sectors, (such as civil service reform, tax reform, justice reform, district
decentralization, information and communication technology, private sector, construction sector,
urban management, cooperatives, textile and garments, agricultural training of vocational and
technical levels, industrial training of vocational and technical levels, civil society, and higher
education) which involves a systematic combination of human resources, working systems and
institutions that would enable a country to achieve its development objectives. Furthermore, in
collaboration with the World Bank the government has initiated a five-year Capacity Building
for Decentralized Service Delivery Project (CBDSD) with the objective to improve service
delivery performance by building public sector capacity at the federal, regional, and local levels
of the country's decentralized government system (Yegremew, et.al, 2005; Dickovick and
Tegegne, 2010; MoFED, 2002 ).
Furthermore, in order to alleviate the capacity gaps of local governments District Level
Decentralization Program was designed to deepen democratization process, enable legislations,
fiscal reform, institutional restructuring, and to establish more offices to be manned through
redeploying employees from regional and zonal administrations (MoFED, 2002).
However, there are little evidences that show the extent to which the capacity building program
was effective in filling the capacity gaps that have already been identified. Furthermore, there
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were no priorly undertaken studies to assess the result of capacity building initiatives in the two
study woredas. Hence, this is the gap that this study wishes to fill with a particular focus on
Gindeberet and Abuna Gindeberet Woredas in Oromia National Regional State.
1.3 Objectives of the Study
1.3.1 General Objectives of the Study
The general objective of the study is to examine whether capacity building program's process is
effective in bringing about the desired outcomes in Gindeberet and Abuna-Gindeberet woredas
with focus on variables like human resources, financial capacity, enabling environment,
community participation and other related issues.
1.3.2 Specific Objectives of the Study
In accordance with the stated general objective, the study has addressed the following specific
objectives:
¾ Describe the basic constitutional functions assigned to woredas under study.
¾ Analyze the overall activity of the two woredas in the area of human resource
development (training and development) to enhance the performance of local government
employees.
¾ Assess human resource capacities of woredas under study in terms of adequacy,
qualifications, and skills.
¾ Assess the availability of the necessary infrastructures and office equipment to the
successful implementations of local development plans and functions.
¾ Identify the financial capacity of the woredas under study.
¾ Assess the existing enabling work environments (both internal and external enabling
environments).
¾ The extent of community participation in local development planning, implementations,
monitoring and evaluation.
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1.4 Research Questions
The study has addressed the following basic research questions:
¾ What are the basic functions and responsibilities assigned to woredas under study?
¾ Do woredas (Gindeberet and Abuna-Gindeberet) have adequate, qualified and skilled
Personnel?
¾ Do woredas have adequate fiscal capacity and resources to undertake local development
planning, monitoring and executions?
¾ Do woredas have adequate infrastructure and office equipment's to run local socio-
economic development?
¾ Is the environment (internal and external) conducive to effectively execute local
functions and responsibilities?
¾ To what extent local government under study engage the local community in matters that
affect their life?
1.5 Research Design and Methodology
In order to capitalize on the strength of both approaches and compensate for the weakness of
each approach the research has made use of the combinations of qualitative and quantitative
research approaches. Qualitative approach particularly case study is selected as it represents a
comprehensive and in-depth observation, description, explanation, analysis of many components
of a given social situations or analysis of individual case that be a person, group, episode,
process, community, society, a program, event, activity, process, or one or more individuals or
any other unit of social life with the purpose to develop as full understanding of that case as
possible. It aims to understand the case in depth, and in its natural setting, recognizing its
complexity and context. Moreover, case study places more emphasize on the full analysis of a
limited number of events or conditions and their interrelations (Babbie, 1973; Kumar, 1999;
Creswell, 2009; Punch, 1998; Kothari, 2004).
Thus, case study is justified so as to enable a thorough investigation of the case through
exploring attitudes, behavior and experiences by using such research techniques like interview,
focus group discussions, and unstructured and semi-structured questionnaires. It is also preferred
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due to the fact that the research involves empirical inquiries and assists to collect as many data as
possible about the subject under study etc.
Two cases are selected in order to maximize the data and reach at a stronger conclusion about the
issue under study.
On the other side of the coin, quantitative research approaches descriptive survey method is
employed as it produces quantitative information about the social world and describe feature of
the characteristics of large population, and analyze several variables simultaneously (Babbie,
1986; Neuman, 1994). It helps to reach on generalized proposition about human behavior,
attitudes, beliefs/opinions, characteristics, expectations, self-classifications, knowledge, etc. It
helps to get the greatest amount of understanding from the fewest number of variables, provides
empirical verifications and it is logical (Babbie, 1973; Neuman, 1994). It is also used to explain
or explore. Moreover, it is probably the best method to collect original data for describing
population too large to observe directly, and it is excellent tools for measuring attitudes and
orientations in a large population (Babbie, 1986). Besides, it saves time and costs.
Descriptive survey research is important for the study as it has a paramount importance to
analyze several variables, provide empirical justification, and to collect original data. Moreover,
it helps to measure the attitudes and beliefs of large sample in relatively short period of time.
Besides, survey research is desirable as the research comprises of tabulation and statistical
treatment. Furthermore, descriptive survey research is preferable as the main target of the
research is to assess how effective capacity building is in the two study woredas and how
adequate the resources available are. Moreover, it has paramount importance as the researcher
has investigated the capacity building challenges and opportunities of the two woredas under
study.
1.5.1 Sample Size and Selection
Woreda level administration is taken as a focal point due to the fact that they are key local units
of government as they play key roles in prioritizing the provision of public services (Loop,
2002). The two woredas are selected due to the convenience the researcher has in terms of access
to collect data. Moreover, they are also selected to compare the two woredas as Gindeberet is the
forefather of Abuna-Gindeberet woreda. Last but not least, Gindeberet and Abuna Gindeberet
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woredas are selected due to the fact that they are considered as remote area though they are only
about 180 and 184KM respectively from Addis Ababa.
The study has made use of both probability and non-probability sampling techniques. A
probability sampling is proved if a sample is representative of the population from which it is
selected and if all members of the population have equal chance of being selected in the sample
(Babbie, 1973). Accordingly, in order to provide all civil servants of both woredas equal chance
of being selected and avoid bias, simple random sampling was employed. Accordingly, the
names of the woreda civil servants were found and samples were drawn using the 'lottery'
method of selection.
Moreover, the non-probability sampling used was purposive and convenience sampling.
According to Neuman (1994), purposive Sampling is appropriate in three situations; to select
unique cases that are especially informative; to select members of a difficult-to-reach,
specialized population; to identify particular type of cases for in-depth investigation.
Having this
factors in mind key interview informants and focus group discussion participants' were selected
purposively based on their familiarity to the issue, their seniority, as well as the different
positions they held at different time so that it enables to get more reliable and dependable
information about the issue under study. In spite of its disadvantage, convenience sampling is
used in order to address questionnaires to members of woreda cabinets and councils as it is
difficult to administer the questionnaires to all of them since most of their members are not on
job and in session respectively.
Survey sample must represent the populations from which they are drawn if they are to provide
useful estimates about the characteristics of that population (Babbie, 1973). Accordingly, Gay
(1981), points out that the minimum number of subjects believed to be acceptable for a study
depends upon the type of the research work involved. For descriptive survey research, a sample
of 10% of the population is considered minimum; for a smaller population 20% may be required.
Therefore, for the sake of this study 20% is considered as reasonable in order to attain the
objectives of the research. Accordingly, in Gindeberet and Abuna Gindeberet woreda official
document's showed the presence of 544 and 314 employee respectively out of which 20% of
sample size is drawn. Accordingly, the sample size for Gindeberet and Abuna Gindeberet
woreda is about N=108 and N= 63 respectively. Furthermore, questionnaires concerning the
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issue of finance was distributed to N=11 and N=7 officials who are both members of cabinets
and woreda councils of Gindeberet and Abuna Gindeberet woreda as they were on training and
are not in a session respectively.
1.5.2 Data Collection Techniques
For the purpose of this research both primary and secondary sources of data were utilized in
order to generate qualitative and quantitative data's. Qualitative data's were collected from
primary sources of data such as interviews, questionnaires, focus group discussion and personal
observations. Secondary sources of data such as official reports and publications, working
papers, national and regional constitutions as well as other laws are reviewed in order to prepare
the socio-economic and demographic profile of both woredas, and to understand the formal
responsibilities and functions of woredas under study as different from other tiers of government.
In addition, books, journals, electronic materials and other publications were also reviewed.
Furthermore, quantitative data are generated by making use of both primary and secondary
sources of data. Primary data are collected through questionnaires administered to samples
selected from civil servants, members of woreda councils and cabinets while the remaining
quantitative data's are gathered from secondary sources such as survey statistical reports and
organizational documents.
1.5.2.1 Questionnaires
In order to able to generate both qualitative and quantitative data that provides comparable
results and obtain in-depth information questionnaires that have 7 parts were prepared in English
language and translated to Afan Oromifa due to the widespread use of the later language and all
were administered to both woreda sectoral civil servants except the parts that deals with finances
which was distributed to woreda officials (members of cabinets and councils). Accordingly, all
questionnaires were returned effectively.
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1.5.2.2 Focus Group Discussion
The hall mark of focus group is the explicit use of the group interaction to produce data and
insights that would be less accessible without the interaction found in a group (Morgan cited in
Punch, 1998).
Lunt and Livingstone cited in Flick (2002), stated that the general strength of focus group is
twofold: it generates discussions, and so reveal both the meaning that people read into discussion
topic and how they negotiate those meanings. Second, it generates diversity and differences,
either within or between groups, so reveals the dilemmatic nature of every day arguments.
Thus, focus group discussion was conducted in order to clarify and counter check the
information or data collected during key informant interviews as well as through questionnaires.
Furthermore it was undertaken to better understand and cross check the present situation.
According to Flick (2002), it is more appropriate to organize focus group discussion with
strangers instead of groups of friends or of people who know each other very well, because the
level of things taken for granted which remains implicit tend to be higher in the latter. Hence, to
clarify the data collected and to get the general perception of the respondents two focus group
discussions, having 12 and 8 participants are invited from different woreda sector offices which
have actual experience with the issue of capacity building program and other senior civil servants
who have worked at different positions in Gindeberet and Abuna Gindeberet woreda
respectively, were organized towards the end of the fieldwork.
1.5.2.3 Interview with Key Informants
Interview is useful when participants cannot be directly observed, allows researcher control over
the line of questioning, to attain higher response rates, to guard against confusing questionnaires
items, it is the most flexible method, and helps to get answer to all questions (Creswell, 2009;
Babbie, 1973; Neuman, 1994; Kumar, 1999; Kothari, 2004). Moreover, it is very good way of
accessing people's perceptions, meanings, definitions of situations and constructions of reality as
well as understanding individual or group perspectives (Punch, 1998).
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In descriptive survey studies, structured interview is quite often useful technique because of its
being more economical, providing a safe basis for generalization and requiring relatively lesser
skill on the part of the interviewer (Kothari, 2004; Kumar, 1999). Hence, in order to collect
dependable and reliable information about the issue under study and to counter check the
response collected through questionnaires, interview with key informants that the researcher
thought are more informed about the study were conducted. Accordingly, Head of woreda Civil
Service and Good Governance office, Deputy Head of woreda Civil Service and Good
Governance office and Coordinator of Work Process, Human resource Management Core
process owner, and previous Head of capacity building office of each woreda were interviewed
by using semi-structured questionnaires.
In addition, in order to gather an in-depth information and valuable data unstructured interview
was undertaken as unstructured interview is characterized by flexibility of approach to
questioning capable of producing rich and valuable data. It is important in a situation whereby
either in-depth information is needed or little is known about the area (Kumar, 1999; Kothari,
2004).
1.5.2.4 Document Analysis
Creswell (2009) states that document analysis enables a researcher to obtain the language and
words of participants, unobtrusive sources of information, as written evidence saves a researcher
the time and expense of transcribing. In light of this, different official documents (budget
proclamation and human resource report as well as documents showing the profiles of the
woredas were used as in put to the study.
1.5.3 Data Analysis and Presentation
Once the necessary data's and information are at hand, both quantitative and qualitative methods
of data analysis were employed. In this regard, for quantitative data's gathered through
questionnaires a descriptive statistical analysis was used. To this end, tabulations, and Statistical
Package for Social Science version 17 (SPSS) were employed to describe the data at hand.
Moreover, qualitative methods of analysis were used to analyze information gathered from
official documents, interviews, focus group discussions and questionnaires.
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1.6 Significance of the Study
The second wave of decentralization which aimed at strengthening the capacity of woredas was
launched in 2001. It aimed at enabling legislations for local governments, fiscal reform,
institutional restructuring, capacity development, etc. Moreover, it has devolved more power and
responsibilities to district level administration.
Therefore, it seems important that such moves and others are backed by research efforts as the
country has very minimal experiences of decentralization as compared to centuries of centralized
governance the country has undergone. In light of this, the study has paramount importance to:
¾ Woredas under study by showing their capacity gaps and issues that deserve attention for
future solution.
¾ Generate valuable information about the capacity of woredas as they are the key units of
local governance in Ethiopia.
¾ Helps higher authorities and policy makers to take measures to overcome woredas
capacity constraints.
¾ Encourage future research.
1.7 Scope and Limitations of the Study
The national government of Ethiopia has launched capacity building initiatives under National
Capacity Building Program with District Level Decentralization Program focusing on rural local
government levels. Accordingly, in making assessment of whether this government effort has
achieved the intended objective at woreda level, the study has focused on selected variables that
help measure capacity of local governments such as human resources, financial capacity,
enabling environment, community participation and other related issues (woredas).
Moreover, given the time, budget, transportation service, topographic features and other
constraints, the study was confined to employee that are currently working at sectoral offices of
the two woredas (Gindeberet and Abuna-Gindeberet). Hence, civil servants and other employee
who were currently working at kebele level were not part of the study.
There are also information constraints to fully assess the performance of capacity building
program given data collection and analysis are poorly developed at woreda level. Furthermore,
26
since capacity building is an ongoing process it is difficult to get or collect all sorts of
information and make a comprehensive and conclusive generalization.
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2. Organization of the Paper
The study will consist of four main chapters. Accordingly, chapter one mainly introduces the
study, problem statement, objectives of the study, and research design and methodology of the
study. Chapter two set the framework of the study and reviews relevant literatures on the subject.
The main part of the paper, analysis of the collected data, is presented in chapter three of the
study. The last chapter will make concluding remarks and forward possible recommendations.
Chapter Two
Review of Literature
2.1 The Concept of Capacity
The literature devoted to capacity is abundant and covers a wide range of disciplines, from
economics to education, from management to public policy. Each discipline gives different
meanings to the term depending on the users and the context in which the term is used.
Accordingly, some authors define capacity as the ability of doing something or the ability to
perform (CHIP, 2007; Walters, 2007; Baser and Morgan, 2008; Horton, 2002). Accordingly,
capacity is the proven ability of key actors in a society to achieve socio-economic goals on their
own that is demonstrated through the functional presence of a combination of viable institutions
and respective organizations; commitment and vision of leadership; financial and material
resources; skilled human resources (Farrell, 2007). According to this definition capacity is the
ability of individuals, organizations and societies to perform functions, solve problems, and set
and achieve goals as well as design, implement, manage, monitor and evaluate development
policies and programs in order to achieve the intended goals and objectives successfully (UNDP,
2006; Baser and Morgan, 2008; Browne, 2002; Fukuda-Parr, et.al., 2002; Koning, et. al., 2006;
ACBF, 2011; OECD, 2006; Leautier, 2010). Capacity is therefore the product of deeply
embedded processes connected to both societal and individual abilities and motivations to
manage their overall affairs successfully.
Capacity is the emergent combination of attributes, assets, capabilities and relationships that
enable a human system to perform, survive and self-renew (Baser and Morgan, 2008; Ubels,
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et.al., 2010). This definition makes clear that capacity is not a static state or quality. It is about
creating some form of added value for the members and the outside world (perform), it is about
staying alive and active (sustain), it is about adjusting and developing over time (self-renew) on
the basis of external pressures and internal drivers.
Capacity is about ability to identify challenges and constraints and react to these situations.
Accordingly, Gbla and Rugumamu (2003), states that capacity is the ability of organizations,
organizational units, individuals and societies to identify constraints and to plan and manage
development effectively, efficiently and sustainably. This definition involves both the
development of human resources, institutions, society and a supportive policy environment. It
encompasses the process by which individuals, groups' organizations and societies develop their
abilities individually and collectively, identify their problems and constraints to development, set
development objectives, formulate policies and programs, perform functions required to solve
the identified problems and achieve a set of development objectives.
Capacity is the ability of an organization to function as a resilient, strategic and autonomous
entity (Baser and Morgan, 2008; Kaplan, 2000). This entails that capacity represents the potential
for using resources effectively, mastering change and the adopting of new ideas, and maintaining
gains in performance with gradually reduced levels of external support (Fowler and Ubels,
2010). It is the broader ability of a system to live an active and meaningful life and demonstrate
confidence in determining its own future. Capacity is inherently relational that involves
interaction with its environment, influencing and being influenced. In this regard, Brinkerhoff
(2010), argues that capacity is the aptitudes, resources, relationships and facilitating conditions
necessary to act effectively to achieve some intended purpose.
Moreover, Lavergne and Saxby (2001), argue that capacity highlights the ability of individuals,
organizations or society as a whole to do several things: to be guided by key values and a sense
of purpose, to define and analyze their environment and their own place in the greater scheme of
things, to define the issues and reach working agreements on purposes or mandates, to manage
and resolve conflicts, to formulate strategies, to plan, and act on those plans, to acquire and
mobilize resources, to learn new skills and approaches on a continuous basis, to build supporting
relationships with other parties, to assess performance and make adjustments, to meet new
challenges proactively, by adjusting agendas, approaches and strategies.
29
Generally, Baser and Morgan (2008) characterize capacity as:
¾ Empowerment and identity - Capacity has to do with people acting together to take
control over their own lives in some fashion.
¾ Collective ability, The combination of attributes that enables a system to perform,
deliver value, establish relationships and to renew itself.
¾ A state or condition which is inherently a systems phenomenon. Capacity involves a
complex combination of attitudes, resources, strategies and skills, both tangible and
intangible.
¾ A potential state. It is elusive and transient. Capacity is dependent to a large degree of
intangibles. It is thus hard to induce, manage and measure. As a state or condition, it can
disappear quickly particularly in smaller, more vulnerable structures.
¾ The creations of public value. All countries, regardless of their level of development,
have effective capacity that subverts the public interest.
While specific wording and emphasis may differ, there is a general consensus among
development actors that capacity is the ability of individuals, institutions and societies to solve
problems, make informed choices, define their priorities and plan their futures. Capacity
comprises of the resources, knowledge, and processes employed by the organization to achieve
its goals. These comprise the staffing, physical infrastructure, technology, and financial
resources; strategic leadership, program and process management; and networks and linkages
with other organizations and groups. An organization's personnel, facilities, technology, and
funding constitute its resource base. The organization's procedures and processes for managing
its resources and programs as well as its external relationships make up its management capacity.
Together, these resources and management capacities make up the overall capacity of the
organization.
2.2 Capacity Building
Capacity Building or capacity development was an issue of development for decades that is tied
to international development assistance of the 1950s and 1960s (Farrell, 2007; Simillie, 2001). It
was highly oriented to tackle short term technical constraints to project implementation with
focus on human resource development, equipping developing countries with a basic inventory of
30
public sector institutions and, later, strengthening them to improve their performance through
training, research, counterpart relationships and technical assistance, and political imperative was
not given due attention in effecting change (Leautier, et.al., 2010; Smillie, 2001; World Bank,
2005; OECD, 2006).
However, in many poor countries much of the assistance yielded very low returns. Four decades
of foreign technical assistance could not result in the achievement of sustainable national
capacity and prevented the utilization and development of endogenous skills that resulted in the
rethinking of traditional model of knowledge and skills transfer (Leautier, et.al., 2010; Lusthaus,
et.al., 1999; Fukuda-Parr, et.al., 2002; OECD, 2006; World Bank, 2005).
As a result, the concept of capacity development emerged in 1980s to gain a high prominence
and wide range of popularity throughout 1990s in the field of development building on previous
concepts that had dominated development thinking for the past four decades, that includes,
institution building, institutional development, human resource development, development
management/administration and institutional strengthening by adding new features (such as
private sector, and NGOs) into its focus (Lusthaus, et.al., 1999; Koning, et.al., 2006; Smillie,
2001; Lavergne and Saxby, 2001). Capacity building or development was considered as a long
term process of restructuring and institutional change with more focus on adaptability and
responsiveness of development institutions, and moved beyond the framework of individual
organizations, to address about sectoral perspectives and groups of institutions, and began to
emphasize on the issue of sustainability (Smillie, 2001).
However the concept continued to be elusive, complex and difficult to understand and
operationalize in the design, execution and evaluation of development initiatives. This was due
to the fact that the concept was evolved from a wide range of previous approaches (Lavergne and
Saxby, 2001). Moreover, the definitional problem of capacity building has to do with the target
and purpose. In some cases individuals, a community, or an organizations are to be strengthened.
In others, the target is a sector, such as agricultural or health, while in others the target may be an
entire societal subset. Capacity building may also be a means to an end while in others the end
may be more important than the means. In some cases the process of capacity building may be
more important than either the means or the ends. Some describe capacity building as an
approach or process to achieve a goal, such as poverty reduction, while others see it as an
objective in itself, such as the development of individual or organization effectiveness (Farrell,
31
2007; Smillie, 2001; Ubels, et.al., 2010). Whatever the purpose and targets of capacity building
or capacity development might be here are some among several conceptions and definitions.
Capacity development is a dynamic process whereby different actors (individuals, groups,
institutions and organizations) on different levels try to improve their abilities in relation to each
other, and identify and meet development challenges overtime (Koning, et.al., 2006; Morgan,
1997; UNDP, 1997; Smillie, 2001; Lavergne and Saxby, 2001). This definition entails that
capacity building is a process on its own right. Capacity building is understood as something that
individuals, groups, organizations and societies can achieve on themselves. This implies that
outsiders can reinforce or support the process but they cannot deliver the final outcomes. In
connection with this (OECD, 2006; UNDP, 1997; Horton, 2002) defined capacity development
as the process by which individuals, groups, organizations, institutions and societies increase
their abilities to (i) perform core functions, solve problems, define and achieve objectives; and
(ii) understand and deal with their development needs in a broad context and in a sustainable
manner. It is about community's ability to appreciate organizational goals, and to build and use
its resources to that end.
Capacity development is about ability of individuals, organizations and societies to set goals and
achieve them; to budget resources and use them for agreed purposes; and to manage the complex
processes and interactions that typify a working political and economic system. Capacity is most
tangibly and effectively developed in the context of specific development objectives such as
delivering services to poor people; instituting education, public service, and healthcare reform;
improving the investment climate for small and medium enterprises; empowering local
communities to better participate in public decision-making processes; and promoting peace and
resolving conflict. In addition to government, the capacity of the private sector and civil society
to participate meaningfully in the development process, in turn to provide employment and hold
government to account is considered as vital. Capacity development is largely an internal process
of growth and development, and that capacity development efforts should be result oriented
(World Bank, 2005; ACBF, 2011).
Capacity building is a process of unleashing, strengthening, creating, adapting and maintaining
capacity overtime (OECD, 2006; World Bank, 2005). It is an ongoing process by which people
and systems, operating within dynamic contexts, enhance their abilities to develop and
32
implement strategies in pursuit of their objectives for increased performance in a sustainable way
(Lusthaus, et.al., 1999). Capacity development involves the long term, contributes to sustainable
social and economic development, and is or should be demand driven. It encompasses a variety
of strategies that have to do with increasing and strengthening the efficiency, effectiveness and
responsiveness of governments or institutions to design, implement and evaluate development
activities according to their mission. Capacity development tends to be a continuing learning and
changing process. The concept of capacity development was attached with the needs and
purposes of organizations that it is the ability of institutions to identify and solve development
problems overtime. It is task driven and mission oriented referring to capacity to perform certain
functions. Capacity development is about an effort to change a society's rules, situations and
standards of behavior (UNDP, 1997; Malik, 2002).
Capacity development involves the acquisition of new knowledge and its application in the
pursuits of individual and organizational goals. Accordingly, it can be targeted at gaps and
weaknesses in the following: resources, skills and knowledge, organization, politics and power,
incentives (Brinkerhoff, 2010). It is the process by which people of a given society are motivated
to transform their physical, socio-economic, cultural, political, and spiritual environments for
their own well-being and the advancement of their society. It is about empowering people to take
control of their lives and enables people to rediscover their strengths and limitations, and the
opportunities to develop their fullest potential. The process enables people to build self-
confidence and self-respect, and to improve the quality of their lives, utilizing their own
resources, both human and nonhuman. The African Capacity Building Foundation (2011), states
that capacity development seeks to enlarge the people's choice by empowering individuals,
groups, organizations and societies to fully participate and deliver on their specified mandates. It
ensures that there is a room for them to participate in their country's decision making and
economy. Capacity building aims at enhancing the ability to evaluate and address the crucial
questions related to policy choices and modes of implementation among development options
based on an understanding of environment potentials and limits and of needs perceived by the
people of the country concerned.
Details
- Pages
- Type of Edition
- Erstausgabe
- Year
- 2014
- ISBN (eBook)
- 9783954896820
- ISBN (Softcover)
- 9783954891825
- File size
- 2.6 MB
- Language
- English
- Publication date
- 2014 (January)
- Keywords
- Decentralization District Level Decentralization Program (DLDP) Capacity Capacity Building
