Lessons Learned from Planning and Change Management Implementation of a New CORAF/WECARD Strategy

Lessons Learned from Planning and Change Management

Information Bulletin Lessons Learned from Planning and Change Management Implementation of a New CORAF/WECARD Strategy

Background The lessons learned and described in this Bulletin cover almost five years of intensive consultation and participatory development, from November 2005 and to June 2010.

They follow the growth and implementation of a strategy to guide and support agricultural research in West and Central Africa under the auspices of a membershipbased, multi-national and multi-stakeholder organisation, the Conseil Ouest et Centre Africain pour la Recherche et le DĂŠveloppement Agricoles/ West and Central African Council for Agricultural Research and Development [CORAF/WECARD].

Figure 1

Development and implementation of CORAF/WECARD Strategy

[Wshop=Participatory stakeholder Workshop; GA=CORAF/WECARD General Assembly; SP=Strategic Plan; DP=Development Partners; NARS=National Agricultural Research Systems; PM=CORAF/WECARD Programme Managers; S’holder=Stakeholder; STC=Scientific and Technical Committee; CGS=Competitive Grant Scheme]

The process is outlined in Figure 1, and can be divided into two parts.

The first involved development of a revised Strategic Plan for CORAF/WECARD, to reflect changing external and internal policy needs, linked to client demands and driven by CORAF/WECARD Information Bulletin

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Lessons Learned from Planning and Change Management

stakeholders and the Comprehensive Africa Agriculture Development Programme 2 [CAADP]. At the core of this were seven participatory, stakeholder workshops .

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The second was the implementation of the strategy through an Operational Plan, which included integrated change management as part of the process. This also featured extensive interaction and consultation with stakeholders through a series of twelve, fully 3 documented workshops which served to sensitise and empower stakeholders to manage and implement the strategy.

The final workshop in this second series reviewed the lessons learned and identified priorities for continued, successful implementation and was attended by 55 stakeholders 5 from across the sub-region . It is this Workshop that has provided the basis for this Information Bulletin 4

Lessons from the Planning Phase Historical perspective A Strategic Plan for CORAF/WECARD was developed in 2000 and modified and updated in 2003. However the organisation was stalled in terms of resource mobilisation and impact at field level and was struggling to meet the demand of its ultimate clients, the farmers.

Coupled with this was the emergence of the CAADP initiative of NEPAD, and the increasing importance of the Forum for Agricultural Research in Africa [FARA] in guiding and advocating on behalf of African agricultural research.

With this background, an external institutional appraisal of CORAF/WECARD suggested that a review and revision of its Strategic Plan would, inter alia, enable the organisation to update and realign its objectives to reflect the changing policy and development environment.

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The Lessons Lesson 1 - Thorough analysis and broad-based ownership of the need to plan a prerequisite for success The need to review and revise the 2003 Strategic Plan was discussed in a workshop of key stakeholders and agreement was reached that this was necessary for CORAF/WECARD to fulfil its role under CAADP Pillar IV. This was ratified by the General Assembly of CORAF/WECARD, in April of 2006. With this solid mandate the Secretariat then prepared to mobilise the technical and financial resources to support the initiative.

Lesson 2 – Clear statement of process and methodology needed to mobilise resources Once a mandate was received to proceed, the Secretariat identified the approach that 7 was required, and structured a proposal that clearly identified the steps, methodology, timetable, technical support and finances required. It proposed 3 Options, giving Comprehensive Africa Development Programme, New Partnership for Africa’s Development, Midrand, South Africa, July 2003, 102pp 2 Fully documented in Workshop Reports of process and output, CORAF/WECARD Secretariat, Dakar, Senegal 3 Fully documented in Workshop Reports of process and output, CORAF/WECARD Secretariat, Dakar, Senegal 4 CORAF/WECARD Participatory Stakeholder Workshop - Lessons from Change Plans for the Future 21st-23rd June 2010, Saly Senegal. Workshop Report by J A Sutherland and R Percy, CORAF/WECARD Secretariat, Dakar, Senegal. 50pp 5 18 from the CORAF/WECARD Secretariat, 29 from national agricultural research institutes representing 17 of CORAF/WECARD’s 22 member states, 2 regional economic communities representing 11 countries, 2 NGO networks/platforms covering the whole of the sub-region, 1 farmer network/platform covering 11 countries of Central Africa, 1 private sector platform/association representing the sub-region and 2 universities.

6 Internal report to DFID, December 2005, J A Sutherland, 4pp[??]

7 Development of plans for strengthening agricultural research in West and Central Africa, CORAF/WECARD Secretariat, Dakar, Senegal. April 2006, 16pp 1

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potential development partners a choice of levels of engagement. This approach successfully resulted in the mobilisation of all the resources required to develop the new plans and initiate the necessary changes.

Lesson 3 – Successful approaches to strategic planning address external as well as internal policy issues The Concept Note which was successfully used by CORAF/WECARD to mobilise all the resources required to develop its Strategic and Operational Plans, took full cognisance of CAADP Pillar IV and the Framework for African Agricultural Productivity [FAAP] supported

by FARA. It also ensured that internal concerns were fully addressed.

Lesson 4 –The planning process used a consistent approach with technical support and a clear focus The process received technical support which provided professional facilitation of planning and documentation as well as guidance and mentoring services. Planning tools were consistently used throughout the process, developing both the skills of participants and the quality of workshop output. Workshops were logical structured to develop and generate ownership of the product, over the whole sub-region [see Figure 1].

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Lesson 5 - Wide ownership depends on identification of appropriate participants within stakeholder groups In order to generate sufficient ownership, identifying the most appropriate individuals to 9 represent NARS was recognised as being extremely important. This was an area where the approach evolved during the process of organising workshops. It was realised that the crafting of invitation letters needed to ensure that the technical skills, knowledge and position of the invitee reflected the outputs and objective of the workshop and the needs of the participant’s organisation.

Lesson 6 – Communication and the sharing of information at national level requires positive advocacy Whilst ensuring appropriate representation was recognised as necessary for information to spread and be understood within a NARS, it was quickly realised that it was not sufficient. Many issues affect the flow of such information from workshops, and the need for clear information and positive, evidence-based advocacy was identified as key to success. This requires a sub-regional policy and clear guidelines, as well as an appreciation of the factors [formal and informal] which might restrict such flows.

Lesson 7 – Having a well structured and clearly articulated strategy and Operational Plan facilitates the mobilisation of resources Subsequent to the development of the Strategic and Operational Plans, which clearly state CORAF/WECARD’s intentions and needs, it has been shown by increased development partner interest that such an approach encourages funding and support.

Lessons Learned from Managing Change Processes Introduction A strategic plan, by definition, is about moving from an existing state to a new improved position. How the move is made is the strategy, implemented through an Operational Plan. Inevitably this requires a series of changes, some small and some significant.

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Technical support for all the Workshops and documentation was provided by theIDLgroup, UK. www.theidlgroup.com

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CORAF/WECARD uses a broad definition of NARS which encompasses all the actors in the agricultural value chain covering, inter alia, researchers, extension, NGO, private sector, civil society organisations of farmers, fishermen and pastoralists

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Detail of these changes are described elsewhere , but in summary the key issues were the organisational [substance] and process changes required by the new centrally managed and programme-based approach; the need for a paradigm shift in research approach to integrated agricultural research for development; the need for capacity strengthening in the broadest sense across the NARS and within the Secretariat and the raising awareness of all these issues across the sub-region.

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The following lessons are based on the assessment of participants at the June 2010 Workshop [ibid], in their analysis of activities and progress from June 2007 to June 2010.

The Lessons Lesson 1 – Change processes need to be integrated into Operational Plans CORAF/WECARD made a decision in developing its Operational Plan, that it would not have a separate programme or project to address the needs of change. Instead they made provision for technical support and guidance and carefully structured an integrated approach and process into the wider implementation of the strategy.

In doing this they used the lesson learned from the planning phase, and after the open 11 recruitment of technical support , developed a clear and well articulated plan to ensure key aspects of change were adequately addressed, namely: •

Assisting the shift to a programme approach

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Strengthening of capacity within governance and decision making

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Supporting partnership development

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Supporting capacity building of corporate and Secretariat functions

As with the strategic planning the approach was structured around a clear framework, referred to as the Change Management Framework [CMF] and summarised at Figure 2.

It was around this that the series of twelve workshops was built.

Figure 2

Summary of Change Management Framework

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See CORAF/WECARD Operational Plan 2008-2013, CORAF/WECARD Secretariat, Dakar, Senegal. ** 2008, **pp

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Technical support and mentoring for the planning of the integrated change process and all the Workshops and documentation was provided by theIDLgroup, UK. www.theidlgroup.com

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Lesson 2 – Many factors are necessary for the successful operationalisation of prioritised programmes – together they prove sufficient CORAF/WECARD has successfully established seven of its eight prioritised programmes over the last two years, and whilst these have not all been directly as a result of the structured workshops, they have been happening concurrently with them, and have been supported by those processes. Key among the factors contributing to success have been: •

The use of best practice in recruiting new programme managers to oversee the revised structure;

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Clearly defining the scale and scope of programmes, their teams and their terms of reference;

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Mobilising sufficient financial resources to implement programmes, by clearly articulating what will be delivered and achieved;

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Institutionalising the revised organisational structures by creating and redefining the necessary positions

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Providing the necessary infrastructure at the Secretariat to physically support the new approaches and implementation

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Identifying and supporting project coordinators at NARS

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Establishing and improving CGS and commissioned funding mechanisms

Lesson 3 – Institutionalisation of formal rules through appropriate documentation reinforce change Many of the changes in CORAF/WECARD’s approach to sub-regional research, and the way in which it operates and intends to operate in the new research paradigm, require new sets of formal rules as well as new structures. CORAF/WECARD Secretariat has made it a priority to review and revise key documents such as the Statutes and Governance Manual, to ensure they are coherent with each other and the new Strategic Plan.

In addition key manuals governing Human Resources, Procurement and the CGS are being revised and aligned with the new approaches.

Lesson 4 – Clear accountability to stakeholders Ensuring stakeholders are able to hold the organisation to account is an important aspect of the integrated agricultural research for development paradigm. In order to do this an effective planning, monitoring and evaluation system is needed. Such an evidence-based system is being established through capacity strengthening of key staff and the reorganisation and definition of roles and responsibilities.

Lesson 5 – Ownership, understanding and adoption by NARS constituents is critical to change management process The Operational Plan has applied a systematic succession of professionally facilitated and targeted workshops to address many of the key issues identified in the CMF. These have been well supported with resources and there has been an excellent commitment by individual NARS members in attending and contributing to the processes. These have been well received and well conducted.

They have engendered a keen sense of ownership and understanding amongst stakeholders but the workshops themselves, because of the scale of coverage, are only necessary and not sufficient to develop broad-based ownership and understanding at the level of the NARS. Information flows and the development of knowledge are also required, together with effective advocacy. Together these three elements should prove CORAF/WECARD Information Bulletin

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sufficient. It is only when all three are delivered that sufficient resources are likely to be available to support the change processes and drive the new research paradigm.

Lesson 6 – Addressing informal rules is necessary but extremely difficult Many aspects of the change process, and the CMF have been address during the implementation of the Operational Plan, however one critical area which has received little attention is that of the informal rules governing organisational behaviour and culture. These are, inter alia, the attitudes, norms and informal incentives that underpin organisations, individuals behaviour and their activities.

They are extremely difficult to address, but they remain one of the necessary conditions for success. Some of the areas that have been identified as requiring attention include: •

Attitudes and norms relating to gender, at an organisational level and in the context of research agenda and rural development;

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Attitudes to the flow and control of information;

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The status and social positioning of different actors on the innovation platforms, roles and responsibilities in the new paradigm of research;

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Informal incentives, linked to status, for operating in the new paradigm

Conclusions - Implications of Lessons Learned In the process of making full use of the lessons learned and the consultation with stakeholders during the Saly Workshop, the CORAF/WECARD Secretariat will develop an action plan which utilises these lessons and addresses both the areas of implementation which need reinforcement and those which need continuing inputs and support.

This plan will be a clear and structured framework for providing the necessary enabling environment for the Operational Plan, and will remain an integral part of the activities of all stakeholders. Together with current activities it will provide the sufficient condition for CORAF/WECARD’s success during the next 3 years.

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