Capacity Development—Transformation and Result
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The Shift in Paradigm to a Capacity Development Approach
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Facilitating access to knowledge
Capacity Development
TechnicalAssistance
Facilitating multi-stake-holder engagement
Participatory policy dialogue & advocacy
Integrated approaches to local development
Creating space for learning by doing
Supply Driven Demand Driven
Input-based Outcome-based(Transformative)
Human Development / Millennium
Development Goals2
The basics...
Donors cannot “do” CD. They can promote and support endogenous efforts. If there are no such efforts, donors can suggest and promote – nothing more.
“Demand-side” support to change in the external incentives and (sector) governance mechanisms should always be considered – it is never enough to consider internal or “supply-side” CD support only.
Donors need to understand the political playing field of CD to be able to provide good support. Their role is more as brokers than as players, but that role requires deep contextual knowledge and networks.
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Five principles
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CA/CD Framework
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Technical Capacities+
Functional Capacities(Within a Sector/Thematic Context)
Co
re Is
sues
• Enabling Environment
• Organizational level • Individual level
• Institutional
Arrangements
• Leadership
• Knowledge
• Accountability
Ambitions vs Current Capacity
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Outcome ambition levelOutcome ambition level
Current capacity levelCurrent capacity level
Results-Based Management
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OutcomesOutcomes GoalsGoalsOutputsOutputs Activities ActivitiesInputsInputs
The financial, material and human resources (e.g., funds, staff time, equipment, buildings, etc.) used in conjunction with activities to produce project outputs.
The concrete interventions or tasks that project personnel undertake to transform inputs into outputs.
The products and services produced through activities.
Actual or intended change in development conditions that interventions are seeking to support.
The ultimate development objective or impact; widespread changes in the society, economy, or environment.
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Outputs
CD process
Capacity of organizations/
sectors
Contextual factors and actors within influence
Outcomes Impact
Contextual factors beyond influence
Sector visionCapacity development results
Internal resources
Externalsupport
CD processes
Their cycle – and Ours
• CD processes must be dealt with as part of domestic policy and political cycles
• CD is core element in continuous policy dialogue
• Our cycle can condense knowledge, and intensify dialogue
• But not suitable for generating or starting these
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CD at centre stage
Bringing capacity and capacity development issues back at centre stage of domestic policy processes at all levels, in programme development and in policy dialogue is critical.
First defining ambitious targets, then identifying the “capacity gap”, and then pretending it can be filled are a recipe for failure
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Three key elements for successful CD
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Change readiness is the starting point – not “what needs to be done”
The change formula
C = V + D + P + CNS
CHANGE , in any situation, will happen only when there is a compelling VISION of the future, DISSATISFACTION with the present situation has been created, a PROCESS to effectively achieve the vision is made available and CLEAR NEXT STEPS are captured
A Change Management Process must address these factors at every step of the change journey A Change Management Process must address these factors at every step of the change journey
The whole organisation needs to be capacitated in order to build commitment
to changeTypical Capacity Building areas
Setting the scene for the change
Adapting to change
Driving culture transformation
Communicating to facilitate change
Receiving and giving feedback
Overcoming resistance
Commitment and action techniques (group level)
Commitment and action techniques (individual level)
Follow up and reinforcement activities
People across and at all levels of the organisation are exposed to the capacity building process
ThoughtLeaders
Knowledge Workers
Doers
Kotter describes an eight step process at creating major change
Establishing a Sense of UrgencyEstablishing a Sense of Urgency
Creating the Guiding CoalitionCreating the Guiding Coalition
Developing a Vision and StrategyDeveloping a Vision and Strategy
Communicating the Change VisionCommunicating the Change Vision
Empowering Others to ActEmpowering Others to Act
Creating Short-Term WinsCreating Short-Term Wins
Consolidating Gains and Producing Even More ChangeConsolidating Gains and Producing Even More Change
Institutionalising New Approaches in the CultureInstitutionalising New Approaches in the Culture
Need
Direction
Enable
Momentum
Leadership/Teamwork
Buy-In/Energy
Motivate
Embed
THEORETICAL BACKGROUND: Models Of Change
UNDP CD and the Change Management Process
• Stakeholder analysis
•Case for change•Change readiness
•Change vision, budget and plan•Creating infrastructure &
capacity for change
• Short term wins• Empowering broad based
action & manage resistance•Anchoring new approaches•Communication
•Consolidating gains to produce more change•Anchoring new approaches
The Kurt Lewin model for organisational change consists of three distinctive steps
• Acknowledge feelings and empathise
• Give people as much information about
the change as possible
• Say what will not change
• Treat the past with respect
• Help others see the gap
• Provide focus and direction
• Strengthen people’s connections to one
another
• Open two way communication
• Provide the individual with a specific role
in the change process
• Provide leadership and tenacity
• Implement quick requests and highlight
successes
• Ensure the individuals and leaders
reinforce the new behaviour
• Build feedback mechanisms
• Celebrate
STEP 1: Unfreezing(Creating motivation and readiness to
change)
STEP 2: Change and movement(Guiding through the transition)
STEP 3: Re-freezing(Integrating the new point of view)
THEORETICAL BACKGROUND: Models Of Change
When dealing with change there are three behavioral aspects that must be addressed
• Fear of the unknown
• Fear of not matching up with expectations
• Discomfort with tight schedules
• “Is supported by the organisation”
• Power play
• Internal Competition
• Silo-thinking
• “Is acceptable to all constituencies”• Strategies
• Structures
• Processes
• “Is logically correct”Emotional
Political
Rational
What is resistance?
ResistancePredictable
Emotional
Natural
Reactive
The past is gone; the present is full of confusion; and the future scares the hell out of me!
— David L. Stein
Resistance is nature’s way of telling you something important is going on and that you are on target.
Resistance is nature’s way of telling you something important is going on and that you are on target.
Change is experienced by most people as uncomfortable…
Only a baby with a wet nappy
appreciates change
Why do people resist change?• People resist change because the change is:
– perceived by them to have a negative impact; and
– they cannot or do not want to deal with the reasons for it
• Resistance can occur because people fear:– loss of control, credibility, reputation or
employment– lack of career or financial advancement– possible damage to relationships with their
boss– loss of employment– interpersonal rejection– change in job role– Embarrassment / loss of self esteem
Understanding resistance is about getting behind the apparent and into
the core
Real Underlying Concerns
Indirect Expressions of Concerns/
Visible Resistance
Understanding Resistance
• Power Loss / Protect Status Quo
• Feelings of Inadequacy / Self-Doubt
• Change May Cause Even Greater Problems
• Hopeless — Beyond the “No Return” Point
• Alienated — Don’t want to change because they are upset / feel used
Your task is to encourage the full expression of the real/underlying concerns . . . but tread carefully - too much exploration is rarely appreciated - simply ask “Why is that?”
Your task is to encourage the full expression of the real/underlying concerns . . . but tread carefully - too much exploration is rarely appreciated - simply ask “Why is that?”
In making change a success, it is important to understand where
stakeholders lie in terms of resistance
Drive Support Observe Resist
20% 60% 20%
?Both sides try to influence the ‘undecided’ to move to their side - it’s a delicate balance.Both sides try to influence the ‘undecided’ to move to their side - it’s a delicate balance.
Change Readiness assessment
• To assess the level of readiness for change
• To identify areas of resistance in order to monitor and
proactively manage them
• To identify opportunities and strengths to help
implement the change
• To address any issues raised, suggestions or concerns
Group Discussion:
• The reform/change process in your country– Change Readiness– Capacity Result Chain
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Change Readiness Assessment Dimensions
The change readiness assessment was constructed based on the following dimensions:
1.History with change (perceptions are framed by history)2.Compelling business case (the change has to make business sense)3.Leadership commitment (commitment of leadership is critical)4.Resource availability (allocation of time, money and effort)5.Ownership (emotional commitment)6.Communication (creation of awareness and buy-in)
Change Readiness Assessment Dimensions (cont’d)
Past experiences are often a good indication of future possible behaviour. This will help with laying
the foundation for the change initiative and with understanding the reality of the participants in
relation to change
A strong and compelling business case for change is a necessity. The objectives of any planned change are to make the organisation more effective and efficient. The business case has to speak to the
vision of the organisation. The clarity of the vision and business case are what guide the change
The role of leadership is critical as they are the ones that set the tone. If there is to be any change,
they must spearhead it and serve as examples of the desired change.
Resources are an important part of the change management initiative as the amount of resources
allocated to the change has an impact on its success. Without sufficient resources the change effort is bound to fail. Resources include money,
time and human capital.
Ownership is key to any change. When people do not feel like a part of something they neglect it, and
it is not given priority. Ownership goes hand in hand with responsibility. ” It is mine therefore I will
make it work.”
Communication is used to make the employees aware of the change, give them an understanding of it and define their role in it in order for them to have ownership of the change. When employees
are informed of the change and take part in it they begin to own it.
History
CommunicationOwnership
Resource AvailabilityLeadership Commitment
Case for Change
Everything matters - focus varies
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Identification - change readiness
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Formulation: the results chain
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Appraisal: Ownership
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Implementation & monitoring: Getting out there
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