The 5Rs Framework, also introduced in the Local Systems Framework, is intended as a simple and practical tool to promote good systems practice. The 5Rs Framework highlights five key dimensions of systems: Results, Roles, Relationships, Rules and Resources. Collectively these 5Rs can serve as a lens for assessing local systems and a guide for identifying and monitoring interventions designed to strengthen them.
Guidance on the analysis of contract farming schemes, their likelihood of success, inclusivity, and sustainability, and the socio-economic and financial analysis of their operations
A practitioner’s perspective that seeks to provide a ground-level view of the organizational landscape and the way forward for African agriculture
Assessing innovation capacities and changes therein is not a straightforward exercise. The literature contributing to the understanding of the role of innovation in agriculture is constantly expanding. Research mostly relies on qualitative analysis, avoiding more formal methods. However, more structured approaches to assessing innovation processes and capacities in agriculture have been gaining attention recently. Their potential for providing evidence to decision-makers on gaps and opportunities in terms of capacity development and investment is substantial. Such approaches can also be instrumental in meeting increasingly stringent monitoring and evaluation requirements in projects and programmes. A transition towards sustainable growth in the food and agriculture sectors needs evidence on what works and what does not. Well-conceived systematic instruments are key to identifying enabling as well as constraining factors for innovation and ultimately rewarding success.
The five steps of the UNDP capacity development process are: (1) 1. Engage stakeholders on capacity development; (2) Assess capacity assets and needs; (3) Formulate a capacity development response; (4) Implement a capacity development response; and (5) Evaluate capacity development.
Developing an entity’s capacity to perform a function or achieve an objective first requires identifying the existing capacities as well as any additional capacities needed to reach the specified goals—in other words, it requires a capacity needs assessment (CNA). This questionnaire can be used to perform a capacity needs assessment for an organization or a sector.
A capacity assessment (CA) aims to provide a clear picture of a country or sector’s capacity in terms of strengths, weaknesses and available assets. It is a structured approach for analysing capacity across three dimensions: individuals, organizations and the enabling environment. CAs identify capacity gaps, and highlight the institutional dynamics, that cause a development challenge to persist. Put another way, even the most well-designed programmes cannot be effective, or sustainable, in situations where capacity gaps hinder delivery. During CAs, stakeholders pool together their first-hand knowledge of a problem and identify solutions that are context-specific. Indeed, the risk of not doing a CA is that underlying causes of a problem and capacity gaps might be overlooked. Results of a CA include: (1) Promoting inclusiveness: Stakeholders play key roles in collecting and analysing information and designing interventions. Being fully involved in the entire process leads to ownership of outputs and outcomes; (2) Harnessing local knowledge: Local knowledge is critical for understanding the complex systems and dynamics behind the current challenge. It is also essential for identifying appropriate solutions; and (3) Bringing champions on board: Many participants in the CA process go on to play key roles in moving the capacity development process forward.
Designing capacity development interventions is a crucial step during the formulation phase of a project. It is the opportunity to think strategically about innovative ways in which capacities of country actors are developed in order to contribute to the success of the project. Ideally, a capacity assessment has been carried out, whereby capacity strengths and gaps have been revealed, and opportunities for change have been identified. It is a moment to consider which combinations of capacity development activities are most appropriate, in order to effectively strengthen the capacity of state and non-state actors. The more time and effort goes into planning and designing, the more likely the project is to be successful and sustainable.
Monitoring capacity development means tracking changes in capacities both during and after a project or an intervention in order to improve its impact and sustainability. It is an ongoing process by which stakeholders obtain regular feedback on the progress being made towards achieving their capacity goals and objectives. Therefore, it is essential for accountability (i.e. reporting results for resources partners) and also to provide space for continuous learning. Tracking capacity changes is quite challenging as it involves aspects that are often difficult to capture such as changes in individual behavior and knowledge, or in organizational performance. However, it is important to track these changes across the three CD dimensions and for both types of capacities (e.g. technical and functional). In order to track CD results, it is important to define what to measure and how to measure it.
Lessons and recommendations for building capacity among multi-stakeholder actors in agricultural research for development
Value network mapping is a tool to collectively understand the capacities of, resources exchanged between, and relationships among multiple actors in a system around a specific issue (e.g., food insecurity, missing markets, etc.). This tool supports collective strategizing on how to increase the capacity to collaborate, the capacity to navigate complexity and the capacity to engage in strategic and political processes. It also identifies resources needed to build these capacities. Value network mapping is very flexible. Option A) It can be done in a participatory setting with 4-5 people with different perspectives on the issue at hand around different tables; in a room with up to 100 participants. Option B) It can be also done through semi-structured interviews and then transformed in a map ex post, yet, this option B is less participatory. On the other hand, this option B can be more easily adapted to gauge data from marginalized actors in rural communities that may not be able to speak up in option A. Option A leads to qualitative data only on the actors on the system, their capacities, and associated resources, in relation to a specific issue. Moreover, it generates learning-by-doing in the teams (specifically developing systems-thinking and entrepreneurial competencies among participants), which can potentially be also assessed through a survey (before/after the mapping exercise). Option B leads to quantitative data on value network embeddedness, i.e., the extent to which different actors in the system may be influential or critical complements to building new strategic partnerships that address the systemic problem at hand.
This tool is useful in defining the issues and becoming a group. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
Guidance on enabling factors for agricultural innovation that require attention and investment in most developing countries: (1) innovation policy and governance structures; (2) regulatory frameworks that stimulate agricultural innovation; and (3) accompanying agricultural investments that have synergistic effects
Tools to support reforms, capacities, mechanisms and approaches needed for different agricultural and market contexts
This tool is designed to broaden perspectives on the issues and help surface and appreciate differences among stakeholders. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
Force Field Analysis can be used to identify and assess the strengths of the various forces influencing a desired change both supportive and restraining. Force Field Analysis, developed by Kurt Lewis (1951), is a widely used tool to inform decision making, particularly with regards to managing change. The method can be used to gain a comprehensive overview and assess the sources and strengths of all different forces acting on a potential organizational issue or intervention.
The Four Quadrants of Change tool is an approach to support a comprehensive and integrated view of the world as it relates to capacity development. The aim of the tool is to help participants consider what kind of change strategies are being used, and which strategies might be missing. A key product resulting from this tool is referred to as the “four-quadrants of change” (4Q) diagram, which will help identify and address the different aspects of change. The framework divides change into four types: Quadrant 1 deals with intention, personal identity, and ways of perceiving; Quadrant 2 with behavior and how it is developed; Quadrant 3 with culture, beliefs, and values; and Quadrant 4 with the structures and processes of social systems. The framework suggests that a successful strategy must address all four change challenges. This tool was made by Ken Wilbur, so we should add a reference:
This articles present a conceptual framework and provides research methods for analyzing pluralistic agricultural advisory services. This framework can be used by policy-makers to identify potential advisory services (to implement and finance) which work best in different situations.
Future Visioning, also termed strategic visioning or simply, “visioning,” is a tool to identify future Visioning, also termed strategic visioning or simply, “visioning,” is a tool to identify past issues and the desired state for the future, and the challenges, objectives, assets, relationships, resources, and other variables that are required to lead a group or organization from the past issues to the desired future. Issues and the desired state for the future, and the challenges, objectives, assets, relationships, resources, and other variables that are required to lead a group or organization from the past issues to the desired future.
Taking stock of existing capacity and identifying gaps are the first steps in strengthening local capacity. In the context of agriculture and food systems, this means identifying capacity gaps among individuals, institutions, and systems, with the aim of transforming a country’s agriculture sector. Closely aligned with IFPRI’s vision and mission, this framework for conducting CNAs aims to promote evidence based policies and capacity strengthening to achieve the goal of eliminating hunger and malnutrition through the transformation of the agriculture sector
Analytical tools to examine the role of the public sector in innovation and private sector promotion, including policy issues, incentives, instruments, and examples of inclusive private sector-led innovation
Making an Importance versus Influence Matrix helps to map out stakeholders and their relation to the issue at stake (e.g. capacity development). It generates insights on the importance and influence of each stakeholder in relation to the core issue. With this information, it becomes possible to develop a specific approach and strategy for the identified stakeholders. After the Importance versus Influence Matrix is completed, it becomes clear that ideal stakeholders will have both a strong influence over and high interest in the objectives of an intended program or project. However, it is rarely so clear cut. By classifying stakeholders in this way, one can determine whether: (1) Significant awareness-raising is required to turn a highly-influential but low-interest stakeholder into an interest potential stakeholder; and (2) Significant capacity development is required to turn a stakeholder with high interest but low influence into a stronger potential stakeholder. Importance is defined as the priority given to satisfying the needs and interests of each stakeholder. Influence is defined as the power a stakeholder has to facilitate or impede the achievement of an activity’s objective. The extent to which the stakeholder is able to persuade or coerce others into making decisions, and following a certain course on action
Institutional analysis framework incorporates attention for four main functions of institutions, namely: (a) Institutions as ways of making meaning of our lives and the social and natural world we inhabit; (b) Institutions as the associations we make to work together to achieve social, economic and political objectives. Institutions as the basis for control over what individuals and organizations should or can do; (c) Institutions as reoccurring action carried out by individuals or organizations in social, economic and political life. This model can help participants in charting the institutional context underlying a problematic and therefore can help them (with the actors involved) to identify action paths, focus and develop clear objectives at this level of change.
Institutional architecture refers to the multi-stakeholder and multi-sectoral processes, relationships, and functional structures at multiple levels (including subnational, national, regional, continental and global) to manage food security policy change. Within the context of food security, IA reflects both the capacity of specific types of organizations (such as ministries, policy think tanks, citizen interest groups and district governments), as well as the processes through which these organizations interact towards a common food security goal. Effective investments in a country or region’s IA increase durable local capacity and are a building block towards self-reliance.
The Kaleidoscope Model is a framework that can be used to analyze drivers of change in the food security arena. It focuses on five key elements of the policy cycle (agenda setting, design, adoption, implementation, and evaluation and reform) and helps users to identify key variables that define the necessary and sufficient conditions for policy change to occur.
When starting to plan a learning initiative, you need to confirm that learning is an appropriate solution to address the identified capacity issue. Indeed, not all capacity problems are related to insufficient individual knowledge, skills or competencies. A capacity assessment can help scope the nature of the capacity issues and identify whether learning can contribute to addressing the situation. Once the need for learning support has been established, a learning needs assessment must be conducted. This should include an analysis of the work setting or the organizational context in which individuals operate. This is fundamental to assess the extent to which learners will be able to implement the results of the learning in their workplace. It also helps to guide learning managers on possible complementary activities, other than learning, that might be required to achieve more effective and sustainable results.
Participants in a learning initiative must have the right profile and motivation to ensure that the initiative will be successful. Experience has shown that, when participants do not have the appropriate profile in terms of authority levels and prior experience, the learning is not implemented and neither is it transferred to the organization. In other words, the return on investment of the learning initiative is minimal. While a given organization may not always in control of selection processes, the organization should work in close collaboration with target partners and ensure joint understanding of the objectives and expected results of the initiative. When partners fully understand and believe in the value and aims of the initiative, they are more likely to collaborate in identifying appropriate participants.
The Most Significant Change (MSC) technique is a form of participatory monitoring and evaluation. It is participatory because many project stakeholders are involved both in deciding the sorts of change to be recorded and in analyzing the data. It is a form of monitoring because it occurs throughout the programme cycle and provides information to help people manage it. MSC contributes to evaluation because it provides data on impact and outcomes which can be used to help assess the performance of the programme as a whole.
The guide links the underlying rationale for multi-stakeholder partnerships, with a clear four phase process model, a set of seven core principles, key ideas for facilitation and 60 participatory tools for analysis, planning and decision making.
The tool aims at developing options to address issue and helping people to engage and collaborate effectively. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
This tool helps to reach agreement on actions, alignment, and reflection among stakeholders. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
This tool helps in deciding which ideas could work and prioritising and refining what has been created. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
This module from GFRAS provides an overview of what advocacy is by analyzing the policies that make up rural advisory services (RAS). This module will help to understand how to apply tools for advocacy as well as designing strategic advocacy activities. It provides a broadly accepted definition of advocacy and underscores RAS and/or extension advisory services (EAS) actors’ unique positions and experience in policy advocacy. The module offers detailed steps, guidance and tools for developing and implementing an advocacy strategy. It complements the Strengthening RAS Actors’ Capacity for Advocacy and Dialogue on Policy Reform and Action Good Practice Note. This module will help you understand how to organize evidence for policy action and most importantly, how you can support actors (including farmers) in contributing to the policy development processes.
This module will provide an introduction to behaviour change and some of the factors that can influence it. Secondly, it provides an overview of important concepts for the facilitation of learning. You will also learn what factors to consider in order to develop a successful training programme. Finally, this module will explain why evaluation is vital in education programmes and show you how to evaluate the educational experience.
This workbook provides an overview of different types and sources of knowledge. Further, it also explains how to communicate to supper appropriate flow of knowledge and learning and presents different communication models
Outcome Mapping recognizes that development is essentially about people relating to each other and their environment. The originality of this approach lies in its shift away from assessing the products of a program to focus on changes in behavior, relationships, actions, and activities in the people, groups, and organizations it works with directly. In doing so, Outcome Mapping debunks many of the myths about measuring impact. It will help a program be specific about the actors it targets, the changes it expects to see, and the strategies it employs and, as a result, be more effective in terms of the results it achieves. This publication explains the various steps in the outcome mapping approach and provides detailed information on workshop design and facilitation
These tools provide easy-to-use suggestions on good capacity development practices for people who design and implement programmes at country level. They are selected simplified tools drawn from the full set of topics and tools contained in the FAO Learning Modules.
This fine-tuned version of the problem definition worksheet helps to capture, compare and discuss different viewpoints on a perceived problem. It both works to open up a problem - presenting it in a way that can be examined from a number of angles - as well as helping to define the wider context and issues involved. This problem definition worksheet generates insights by asking five questions. These questions are very useful for facilitators to structure group discussions. To enable rich contributions, small groups can be given time to reflect as individuals and teams before any plenary discussion. Also comparing one’s own analysis with other stakeholders will drastically improve the output since they will bring in the necessary reality check against new contexts and perspectives.
This publication uses 124 case studies focusing on public-private partnerships in agricultural innovation in nine countries in Latin America.
This tool can help you to plan an evaluation by prompting you to think about a series of key questions. It can be used to develop a complete evaluation plan, or to undertake a discrete task such as documenting agreements in the evaluation Terms of Reference. It is important to consider the issues raised in all of the following evaluation planning questions, including reporting, at the beginning of an evaluation.
RAAIS is a multi-method toolkit that combines qualitative and quantitative data collection and analysis techniques. RAAIS facilitates interaction between stakeholders (e.g. farmers, NGOs/civil society, the private sector, government and researchers).
Rapid Appraisal of Agricultural Knowledge Systems (RAAKS) is a soft systems methodology, which enables stakeholders to engage in meaningful discourse about the social organization of innovation, and design measures to improve it. The steps involved in designing a RAAKS study are described in the accompanying manual, and tools and other materials are provided for use in implementation.
Reflexive Monitoring in Action (RMA) is an integrated methodology to encourage learning within multi-actor groups or networks as well as institutional change in order to deal with complex problems. Appointed reflexive monitors stimulate collective learning and the design and adaptation of actions targeting a future system change
Capacity building and training services that enable cooperatives and other social and solidarity economy (SSE) enterprises to become more competitive and sustainable in the marketplace
A rich picture is a drawing of a situation that illustrates the main elements, capacities and relationships that need to be considered in trying to intervene in order to create some improvement in capacities. It consists of pictures, text, symbols and icons, which are all used to graphically illustrate the current situation of a given system. It is called a rich picture because it illustrates the richness and complexity of a situation. A rich picture helps us to understand the complexity of an entire situation. It is a way of thinking holistically. It is based on the idea that ‘a picture tells a thousand words’. It also builds on the fact that our intuitive consciousness communicates more easily in impressions and symbols than in words. Drawings can both evoke and record insights into a situation. A rich picture helps us to see relationships and connections that we may otherwise miss. It helps identifying one or more themes participants may want to further explore and address. Rich pictures are therefore always used in the pre-analysis phase. Developing a rich picture is a good group exercise, as everyone can add to it and explain their particular interests or perspectives. Rich picture can be a non-threatening and humorous way of illustrating different perspectives and conflicts.
A problem tree is a visual tool that uses the image of a tree (literal or figurative) to depict a problem or issue as the core or trunk of the tree, the causes of the problem or issues as the roots, and the impacts and outcomes of the problem or issue as the branches. This tool is commonly used as a method to discuss the relationship between the causes (roots) and the outcomes (branches). This tool is easily adapted to address several problems or issues at once, creating a forest with interlacing roots. This allows the participants to see where root causes to problems and issues overlap.
This tool is designed to increase understanding of the issues and appreciation of different perspectives. It is part of the Multi-Stakeholder Partnerships Tool Guide, which links the underlying rationale for multi-stakeholder partnerships with a clear four-phase process model, a set of seven core principles, key ideas for facilitation, and 60 participatory tools for analysis, planning and decisionmaking.
A stakeholder network map can be used to identify who has interest or stake in an issue and visualize the whole system with existing and potential stakeholders. Further, using this tool can increase the understanding regarding the quality of the present stakeholders and their relationships between them and leverage points that can be use to build and strengthen network over time.
This study aims to understand better the processes of capacity development and to provide some good practice to guide IDA programming, particularly at the operational level. The study was included in the workplan of the Network on Governance and Capacity Development (Govnet) of the OECD’s Development Assistance Committee (DAC). Funding came from the Govnet members (see Acknowledgments), the country organizations participating in the case work, and ECDPM itself. The agreed purposes of the study were: 1) to enhance understanding of the interrelationships among capacity, change and performance across a wide range of development experiences; and 2) to provide general recommendations and frameworks to support the effectiveness of external interventions aimed at improving capacity and performance. The study was thus intended to provide some new perspectives on capacity issues. First, it was to use an endogenous perspective of capacity – how capacity develops from within – rather than looking only at what outsiders, usually international agencies, can do to induce it. This implied considering external contributions as only an influence rather than the entry point of the research. Second, the study was to bring in ideas from the capacity literature beyond that produced by the international development community. Third, the study was to provide evidence of good practice in developing capacity.
The System Improvement Process was developed from scratch to solve large-scale difficult social problems, especially the sustainability problem. The process provides problem solvers with a ""fill in the blanks"" framework that makes work much more focused and efficient.
When carrying out an organization analysis, the first step is to analyse organizational performance using the Organizational Performance Assessment (OPA) tool described below. The next step is to plan relevant actions and interventions, using another practical tool “How to plan organizational change”. Organization analysis is a diagnostic process that helps to better understand the performance of an organization. It can be undertaken after an initial capacity assessment to obtain a deeper knowledge about the causes of organizational weaknesses and to identify emerging opportunities. Carrying out regular organization analysis allows leaders and members of an organization to assess its internal weaknesses and strengths, external challenges and opportunities. This helps to plan long- and short-term objectives strategically, and to adapt to changing environments with foresight.
A Multi-stakeholder Process (MSP) is fundamentally about participatory decision-making and information sharing at the country level. Key stakeholders should be represented and decide what issues to focus on and what actions to take. MSPs range from simple processes, such as one-off consultations, to more complex ones such as multi-stakeholder networks and partnerships. What are the benefits of MSPs? Relevance: Local stakeholders best understand which activities are truly relevant to their needs and realistic in a specific context. Ownership and sustainability: Local stakeholders share information and jointly decide what actions to take. This leads to greater local ownership of activities and outcomes – which makes them more sustainable. Builds partnerships and alliances: Having a common goal strengthens partnerships and creates opportunities for dialogue and sharing resources.
Organizational change is the process by which an organization improves its performance, regardless of the type of organization (government ministries, producer organizations, research or extension organizations, etc.). When carrying out an organization analysis, the first step is to analyse organizational performance using the Organizational Performance Assessment (OPA) tool. The next step is to plan relevant actions and interventions. Organizational change can be a challenging process that affects everyone in the organization and takes time and commitment to take effect. The critical success factors of organizational change are: (1) Support and readiness for change among members of the organization; (2) Consensus and commitment among all members of the organization about its vision, goals and values; (3) Leadership support for organizational change; (4) Involvement of members and staff in the change process; and (5) Clear communication throughout the change process to all members.
After a learning activity such as training, e-learning, or study tours, participants have acquired new knowledge and skills and need to translate their learning into practice. Follow-up is a way to accompany learners from being recipients of learning activities, to actively utilizing these new skills and knowledge and ultimately being active agents of change in their own environments. Much research has indicated that participants are more likely to use what they’ve learned when they receive follow-up support. In addition, maintaining follow-up contact with participants enables organizers to develop a much greater understanding of how useful the learning initiative has been. Obstacles that participants face in implementing their learning can also inform the design of future learning activities. The kind of follow-up support depends on the needs of learners and the objectives of the initiative.
Value Network Analysis (VNA) is used for understanding, visualization, both internal and external networks. Value Networks are sets of roles, interactions, and relationships that generate economic or social value. Any purposeful organization or activity can be understood as a value network