Facilitation (External)

The design of a facilitation-based approach to a systems change project requires design elements that allow flexibility and appropriate performance indicators.

Given the differences between systems in different settings, there is no blueprint or model for what a facilitator should do (or not do) to initiate change.

Facilitators will always face choices on what actions to take to advance systemic changes; as such the actions are derived from a good understanding of core facilitation concepts: the why, the how and the how to. (Annex 14)

An understanding of the actions value system actors are more likely to take to advance theirs and the wider system’s interests will guide what and how a project intervenes to facilitate desired actions by system actors.

To ensure the change strategy is consistent with the project’s vision and uses system levers to bring about change.

To demonstrate strategy, actions and desired change is both valid and scalable.

To ensure that the facilitator retains credibility as an "honest broker" between and among system players and "keeps the door open" for new and or more players ready to push upgrading for system competitiveness.

"Bumps in the road" in facilitating system change--wavering trust, stalled (failed) relationships, drop outs, changes in the environment--should be anticipated and seen as opportunities to build momentum for change with market partners aware of benefits/risks of upgrading.

• Setting benchmarks and incentives on results over time when taking a facilitation approach to system change
• Integrating knowledge management tactics into design of benchmarks
• Allow activity planning that is flexible and allows for interventions that are both indirect and at times directly with target population

• Where a facilitator intervenes in a system (core, rules, support)
• Who a facilitator works with appropriate to system change
• How a facilitator engages (roles played) with different system players
• How much support a facilitator should provide that is consistent with market norms
• Consistency between facilitator actions and systemic change goal

• Participatory processes to establish vision and behavior change process
• Relationships visioning via competition/cooperation for upgrading matrix
• Brainstorming manageable steps for groups and individuals
• Brainstorming explicit indicators
• Participatory planning processes to target leverage

• Offer development
• Leveraging strategies such as lead firm or rules as levers to kick start change process
• Application of knowledge management processes for decision making
• Facilitator roles and how they may change over time
• Communication plans and actions to funders and system stakeholders

• Managing momentum and leverage for results--pushing for change in norms
• Assessing strategic partners over time (i.e., place holders, wait and see, etc.)
• Applying a rolling exit (i.e., shifting self-selection criteria) to maintain and increase momentum
• Analyzing strategic trade-offs between firms/channels versus wider system benefit (e.g., when to shift away from lead firm investments to broader competition/cooperation rules shifts)

• Performance Management
  • Performance Indicator Reference Sheet (PIRS)
  • Desirable Characteristics of Key Performance Indicators
• The Facilitation Approach
  • The Facilitation Approach
• Partnering Initiative: The Parnering Toolbook
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships
• Partnering Initiative: A Communication Manual for Partnership Practitioners Chapter 8: 9 Tools for Communicating in Partnerships
• Partnering Initiative: The Case Study Toolbook: Partnership Case Studies as Tools for Change

• Tools to lay out likely pathway of system change:
  • Manageable (riskable) steps process (see Annex 8)
  • Pathway to crowding in (Annex 9)
  • Factors to guide facilitator actions (Annex 15)
    • Key Concepts in Inter-Firm Relationships
    • Facilitating Vertical Upgrading through Marketing Extension: Case Study from LEAF Bangladesh

• Manageable steps process linked to monitoring and knowledge management (Annexes 8 & 9)
• C&C4U matrix (Annex 6)
• Sustainability matrix (Annex 5)
• Linking strategic framework and vision for change with work planning processes
  • Industry Pathways to Behavior Change
• Participatory planning processes to target leverage
  • Frameworks for Analyzing Relationships (Cooperation & Competition Matrix; Transaction Cost Framework; Political Economy Framework)
  • Facilitating Vertical Upgrading through Marketing Extension: Case Study from LEAF Bangladesh
• Leverage through Lead Firms Matrix
• Leverage Points
• Partnering Initiative: The Partnering Guidebook: Managing the Partnership Process (Page 17-24)

• Assessing attitudes and capacities of facilitation team to perform a range of roles
• Facilitating Behavior Change: Case Study of Applied Value Chain Principles
• Mobilizing Value Chains: Language, Data, and "Mental Models"
• Fostering Win-Win Relationships through Linkages
• Using ICT to Engage Market Actors
• Facilitating Vertical Upgrading through Marketing Extension: Case Study from LEAF Bangladesh
• Partnering Initiative: The Partnering Toolbook: Tool 3: Sample Partnering Agreement
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 1: Appointing a Broker
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 2: Assessing a Broker

Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 3: Navigating Obstacles

• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 4: Facilitation Skills
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 5: Record Keeping
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 6: Learning from Experience
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 7: Designing a Workshop
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 7: Designing a Workshop
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 8; Managing Departures and Arrivals
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 9: Broker as Coach
• Partnering Initiative: The Brokering Guidebook: Navigating Effective Sustainable DevelopmentPartnerships: Guidance Note 10: Assisting with Institutionalisation

• Training on breadth and depth
  • Scaling up impact
• Systemic selection criteria/strategy on rolling exit and partnership selection--place holders, wait and see, etc.
• Partnering Initiative: Moving On: Effective Management for Partnership Transitions, Transformations, and Exits: Tool 1: Prompts for a "Moving On" Conversation
• Partnering Initiative: Moving On: Effective Management for Partnership Transitions, Transformations, and Exits: Tool 2: Checklist for "Sustaining Outcomes"
• Partnering Initiative: Moving On: Effective Management for Partnership Transitions, Transformations, and Exits: Tool 3: Assessing the Situation
• Partnering Initiative: Moving On: Effective Management for Partnership Transitions, Transformations, and Exits: Tool 4: Tips for Handing over Successfully
• Partnering Initiative: Moving On: Effective Management for Partnership Transitions, Transformations, and Exits: Tool 5: Moving On - External Communications Guidelines
• Partnering Initiative: The Partnering Toolbook: Tool 6: Partnership Review Template