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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