Mix and Match!
Evaluation of the advisory practice at SNV Burkina Faso:
combining advisory approaches to match a West-African context.
Public version
Sanne Steemers
University of Groningen
Mix and Match!
Evaluation of the advisory practice at SNV Burkina Faso:
combining advisory approaches to match a West-African context.
Public version
Sanne Steemers Student number:
1230239 Supervisor SNV:
Corina Bots
Supervisors University of Groningen:
Ben Emans and Kees van Veen Research conducted:
September 2005 – March 2006
University of Groningen
Faculty of Management & Organization Department International Business
Dutch development organization SNV
Burkina Faso
The author is responsible for the content of this report; copyright rests with the author.
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Preface
You are looking at the result of my first research project: my master’s thesis. This study was the final challenge that enabled me to obtain my master’s degree. It took me to Burkina Faso, where I studied the advisory practice of the Dutch development organization SNV.
This experience was exciting, but also frustrating at times. I got to test my knowledge, skills and discipline. I learned about advisory practice and how to better express myself in French. And, most importantly, I got to know a beautiful country and its warm people. It was difficult to say goodbye, but I am sure I will go back sometime!
This would have never been possible without the help of several people. First of all I want to thank Corina Bots, for teaching me how to live in Ouagadougou, for her enthusiasm, critical feedback, all brainstorm sessions, for letting me work independently, and all the helpful personal advice. Also special thanks to Ben Emans for his enthusiasm, feedback and help. I would like to thank the management team, all SNV advisors and support staff for their interest, suggestions, information and help; Clemens Lutz for introducing me to SNV; Kees van Veen for his feedback on the draft versions; and Mirjana Majdandzic, who I did not even know, but still helped me out with all questions concerning statistics. And of course, thanks to all my family and friends who kept emailing and calling, and to all my new friends in Burkina who made me feel at home.
Sanne Steemers
(sannesteemers@gmail.com)
NB: This is the public version. Some confidential information, such as client and advisors names,
has been removed.
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Management summary
Context
SNV is an international development organization based in the Netherlands. It is active in 31 countries. In 2002, they implemented a new strategy, focused on capacity building and local responsibility instead of supplying expertise. This new strategy transformed SNV to an advisory organization. This research focuses on one specific country organization of SNV: SNV Burkina Faso.
In 2003, an “Advisory Practice Learning Program” (APLP) was facilitated by the University of Groningen. In this program the SNV personnel was introduced to the theory and practice of advisory services. This study follows the APLP and is an evaluation of the current SNV advisory practice: what approaches are used, what approaches are effective in their specific context, and what can be recommended.
Theoretical framework
Advisory is a broad practice area. Common to all these tasks is that they aim at changing a current situation to a desired situation. There is an extensive body of literature describing ‘best ways’ to advice or to realize change. New developments in change management theory follow a line of reasoning that leads through contingency theory. There are several attempts to develop models that include multiple dimensions of change, and that could help to find an approach that is dependent on the specific change situation. In this study a framework with two axes on which the advisory approach can differ is used:
• ‘Who’ (imposed versus participative): this concerns the question who is involved and what their roles are.
• ‘How’ (planned versus emergent): this concerns the process of realizing change.
The poles of the axes each represent a generic approach. These four generic approaches can and should be combined to fit the specific situation.
An imposed approach includes centralization, top-down change and transfer of ideas and knowledge from the advisor to the client. A participative approach includes decentralization, bottom-up change, idea generation and execution by the client, while the advisor is more a process facilitator. For advisors this means they will carefully have to choose which client organization members they implicate and which role they will play themselves.
A planned approach is often a carefully phased approach, and is essentially rational. An emergent approach follows a process of continuous adaptation, realizing favourable conditions and politics.
An advisor should decide to what extent explicit attention is paid to planning, evaluation and decision making. He should also determine whether he should be focused on the change itself, on facilitating conditions, or both.
The appropriate approach depends on the situation. Some factors influencing the choice of approach include the complexity of the environment and the capacity and knowledge of organization members. In addition, in Burkina Faso, the appropriateness of an approach is related to its culture and its status as a developing country.
Methodology
In this research project it was studied to what extent and in what form the four generic advisory approaches are used at SNV Burkina Faso, to what extent this is successful, and how this relates to its specific context.
The research has been divided into two phases. Quantitative data were collected using a questionnaire to discover the general tendencies that can be distinguished in SNV/BF advisory practice. Five case studies were conducted based on qualitative data to reveal the specific characteristics of the approaches employed.
General tendencies
The questionnaire results show that two of the four generic advisory approaches are used in almost
all cases: the ‘standard’ approach is highly planned and participative. Advisor characteristics
predominantly influence the choice of an approach, instead of client and context characteristics (as
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would be expected from a theoretical point of view). Advisors are only moderately satisfied with the current practice, and the two approaches that are less often used (i.e. the imposed and emergent approaches) show a higher correlation to satisfaction. The SNV/BF advisory practice can be improved, by more frequently employing all four approaches, and adapting them explicitly to the client concerned. During a discussion I had with SNV advisors they suggested that better teamwork (joint decision-making instead of by the account manager) could be a solution. I agree that the large variety present in advisor teams is an asset that should be taken advantage of.
A practical guide
The case studies presented in this report can inspire SNV/BF advisors to try other approaches than they did so far. It provides insight in the factors influencing the appropriateness of a certain advisory approach, such as leadership, level of education and competencies of client members, internal and external dynamics, and the importance of clear goals. It can serve as a practical guide in choosing the approach.
In general, when using the participative approach the number of people involved, their tasks and the method can be adapted. This approach can be related to valid results and commitment. It is important that the advisor does not take a passive role, but uses elements of the imposed approach to avoid making mistakes. There is an indication that this approach is only suitable when client members have a certain minimum level of education and/or competencies. The participative approach is often used, but advisors did not show much creativity in the method of application.
The imposed approach is not often used, but can be applied to transfer knowledge, to deliver a solution for a well-defined problem, or to ensure progress. The imposed approach can be used when the client members lack certain knowledge or skills. Since an advisor has no formal power, acceptance by client members is crucial. Elements of the participative approach are needed to create this acceptance.
The planned approach can concern the process as well as rationality in general. Advantages of the planned approach are clarity of procedures, and reliability and completeness of results, but a planning is often not realized or postponed. A rational approach where all details are taken into account can be time-consuming. A condition for working according to a planning is the presence of a committed leader in the client organization. A planned approach seems unsuitable for clients in a dynamic environment.
The emergent approach is seldom used, but can concern the creation of conditions for change as well as the process. An emergent approach to the advisory process allows responding to changes in a more flexible way, and it is specifically suitable in dynamic environments. A clear goal or direction is important. There are many possibilities to further use this approach.
Towards measurable results
The SNV/BF advisory process should be aimed at developing capacities, hereby generating outcomes (direct results) and development impact (indirect results such as poverty alleviation). In the case studies a lack of concrete measurable results can be noticed, while respondents are positive about the learning effects. Building capacity appears successful, but employing these capacities to realize outcomes and development impact is still problematic.
The definition of capacity by De Souza Silva and Maestrey Boza is used to explain this issue. In their view, capacity is a combination of resources and leadership. It should be noted that the SNV effort does not target all components of the client organization’s capacity.
Complexity is reinforced by the specific context
From a theoretical point of view it follows that all four approaches can be used as long as they fit the specific situation. Empirical evidence shows that also in the context in which clients of SNV/BF operate a combination of approaches is needed. The contingencies found in their advisory practice are in line with the theoretical assumptions from western origin.
I believe that at a more general level the macro-environment (cultural and economical) actually
reinforces the importance of combining all four generic approaches.
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Concerning the dilemma imposed versus participative the (West-)African culture requires a combination. On the one end the high power distance observed by Hofstede implies that Burkinabè are used to a leader who takes decisions. Participation on the other hand is highly valued, as also resulted from the questionnaire. This relates to the more collectivist nature of society (the importance of the group observed by Hofstede) and the humanist locus of human value (a person as an end goal, not a means towards a goal, as observed by Jackson). This might appear contradictory, but according to De Liefde Africans have a different concept of leadership. A leader is therefore more a spokesperson of the community, whose position is respected. With this vision on leadership the ends of the continuum imposed and participative are in fact not contradictory.
According to the preceding analysis, elements of these two approaches (imposed and participative) can and should be combined in the advisory practice of SNV/BF to obtain the best results.
The context poses a dilemma on the other axe of the framework (planned-emergent). According to Hofstede West-African culture is highly uncertainty avoidant, and is therefore oriented towards rules and procedures. This is also confirmed by the questionnaire results: African advisors stick more strongly to the planned approach. The development context of Burkina Faso however is not very suitable for the use of a planned approach: complexity is largely caused by non-availability of resources and a less stable environment. To deal with this environmental complexity a more emergent approach is needed. This implicates that a mix should be found that reduces the amount of uncertainty (needed for comfort and commitment of client members as well as advisors), but still has a certain flexibility (needed to respond to the environment).
In the context of SNV/BF it is not about a choice between the four generic approaches. It is about the question how to combine elements of all four of them. This question requires creativity and team work, and several issues should be taken into account.
Recommendations
I am confident that SNV advisors will be able to improve their advisory practice, because of their enthusiasm and willingness to learn. They will need to share their experiences, to get a better idea of how various approaches can be applied. The case studies described in the report are a first step.
The ideas for sharing experience and learning resulting from the master class can do the rest.
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Résumé
Contexte
La SNV est une organisation internationale de développement, fondée aux Pays-Bas. Elle est active dans 31 pays. En 2002, la SNV a implémenté une nouvelle stratégie, visée au renforcement des capacités et de la responsabilité locale, au lieu de fournir de l’expertise technique. Cette nouvelle stratégie a transformé la SNV en une organisation de conseil. Cette recherche se focalise sur un pays : la Burkina Faso. En 2003, un « Advisory Practice Learning Program (APLP) » (Programme d’Apprentissage de la Pratique du Conseil) a été réalisé par l’Université de Groningen. Pendant ce programme on a introduit au personnel de la SNV la théorie et la pratique de conseil. Ma recherche est la suite de l’APLP. C’est une évaluation de la pratique actuelle de la SNV/BF : quelles approches sont utilisées, quelles sont les approches effectives dans leur contexte spécifique, et qu’est-ce qui peut être recommandé.
Cadre théorique
Le conseil comprend des sujets variés. L’aspect commun est le but de changer une situation actuelle à une situation désirée. Il existe beaucoup de littérature qui décrit ‘la façon optimale’ pour donner du conseil ou réaliser un changement. La nouvelle théorie est basée sur l’idée que la façon optimale dépend du contexte. Il existe beaucoup de modèles qui incluent plusieurs dimensions d’un changement, et qui visent à aider de trouver une approche pour chaque situation spécifique. Dans ma recherche j’ai utilisé un modèle avec deux dimensions :
• ‘Qui’ (approche imposée versus participative) : il s’agit des questions qui sont impliqués et quelles sont leurs rôles.
• ‘Comment’ (approche planifiée versus émergente) : cela concerne le processus de réaliser un changement.
Les deux cotés de chaque axe représentent des approches génériques. Ces quatre approches génériques peuvent et doivent être combinées pour convenir à la situation spécifique.
Une approche imposée comprend centralisation, un changement ‘top-down’ et le transfert des idées et connaissances du conseiller au client. Une approche participative comprend décentralisation, changement ‘bottom-up’, et le développement des idées et réalisation par le client ; le conseiller facilite ce processus. Pour les conseillers, ça veut dire qu’il faut choisir quels membres de l’organisation client doivent être impliqués et quels sont leurs rôles.
Une approche planifiée suit des phases, et c’est une approche rationnelle. L’approche émergente est un processus d’adaptation continue, la réalisation des conditions favorables et politiques. Le conseiller doit décider dans quelle mesure il utilise explicitement des planifications, évaluations et procédures pour le processus décisionnel. Il doit décider s’il se focalisera sur le changement lui- même, les conditions favorables, ou les deux.
L’approche appropriée dépend de la situation. Il y a plusieurs éléments qui influencent le choix d’une approche, par exemple la complexité de l’environnement, et les capacités et les connaissances des membres de l’organisation. En plus, à Burkina Faso, la culture et le statut d’un pays en développement peuvent influencer le choix de l’approche.
Méthodologie
Dans ce projet de recherche, j’ai étudié dans quelle mesure et comment les quatre approches génériques sont utilisées à Burkina Faso, dans quelle mesure cela a été un succès, et comment ça pourrait être explique dans le contexte spécifique.
La recherche a connu deux phases. Des données quantitatives ont été collectionnées avec un questionnaire pour découvrir des tendances générales dans la pratique de conseil de la SNV/BF.
Cinq études de cas ont été fait à base des données qualitatives pour trouver des caractéristiques
spécifiques des approches utilisées.
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Tendances générales
Les résultats du questionnaire montrent que deux approches ont été utilisées dans presque tous les cas : l’approche ‘standardisée’ est surtout planifiée et participative. Les caractéristiques du conseiller influencent le choix de l’approche, au lieu de caractéristiques du client et du contexte.
Les conseillers ne sont pas tout à fait satisfaits avec l’actuelle pratique de conseil, et les deux approches qui sont rarement utilisées sont liées plus fort à la satisfaction. La pratique de conseil de la SNV/BF peut être améliorée, par l’utilisation plus fréquente de toutes les quatre approches génériques, et par l’adaptation de l’approche au client. Pendant une discussion avec des conseillers de la SNV (pendant le master class) on a suggéré que travailler plus intensivement en équipe pourrait aider. Je suis d’opinion que la grande variété présente dans les équipes de conseil est un avantage qui doit être utilisé.
Un guide pratique
Les études de cas décrit dans ce rapport peuvent inspirer les conseillers de la SNV/BF à essayer d’autres approches. Ces cas montrent les facteurs qui influencent le succès d’une approche, par exemple le leadership, le niveau de formation et des compétences des membres du client, dynamique interne et externe, ainsi que l’importance des objectifs bien définis. Ce chapitre peut être utilisé comme guide pratique pour choisir l’approche appropriée.
En général, pour l’approche participative, on peut changer le nombre des gens impliqués, leurs rôles et la méthode. Cette approche peut être liée à des trouver les vraies problèmes et de l’engagement. Il est important que le conseiller ne reste pas passif, mais utilise des éléments de l’approche imposée pour prévenir des fautes. Il y a une indication que cette approche peut être utilisée seulement quand les membres du client possèdent un certain niveau de formation et des compétences. Cette approche est souvent utilisée, mais les conseillers ne montrent pas beaucoup de créativité vis-à-vis de la méthode.
L’approche imposée n’est pas souvent utilisée. Elle peut être appliquée pour transférer des connaissances, délivrer une solution pour un problème bien défini, ou pour réaliser du progrès.
L’approche peut être utilisée quand les membres du client ne possèdent pas certaines connaissances ou compétences. Comme le conseiller n’a pas de pouvoir formel, l’acceptation par le client est importante. Des éléments de l’approche participative sont nécessaires pour créer cette acceptation.
L’approche planifiée peut concerner le processus, mais aussi la rationalité en général. Avantages de cette approche sont la clarté des procédures et la crédibilité des résultats. En réalité, souvent, une planification n’est pas réalisée, ou est remis. Une approche détaillée prend du temps. Une condition pour travailler selon une planification est la présence d’un leader engagé dans l’organisation client.
L’approche n’est pas appropriée pour un environnement dynamique.
L’approche émergente est rarement utilisée, mais ça peut concerner la création de conditions favorables et le processus. Avec cette approche le conseiller et le client peuvent mieux répondre aux changements, et elle est spécifiquement appropriée dans des environnements dynamiques.
Des objectifs bien définis sont importants. Il existe beaucoup de possibilités pour utiliser cette approche plus souvent.
Vers des résultats concrets
Le processus de conseil de la SNV/BF doit être visé à développer des capacités, qui aident à générer des résultats directs et l’impact sur le développement. Dans les études de cas on peut voir qu’il n’y a pas souvent des résultats concrets, mais que les conseillers et les clients sont positifs concernant les effets d’apprentissage. Or, renforcer les capacités est un succès, mais l’utilisation de ces capacités reste un problème.
La définition de capacité de De Souza Silva et Maestrey Boza est utilisée pour expliquer ce problème. Dans leur vue, une capacité est une combinaison de ressources et de leadership. C’est intéressant à remarquer que la SNV se focalise sur seulement un aspect.
La complexité est renforcée par le contexte spécifique
D’un point de vue théorique, tous les quatre approches peuvent être utilisées (individuellement ou
combinées), quand elles sont appropriées pour la situation spécifique. La pratique de la SNV/BF
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confirme qu’une combinaison des approches est nécessaire. Les éléments influents le choix d’une approche sont les mêmes que les éléments décrits dans la théorie occidentale.
Je crois que, à un niveau plus haut, l’environnement culturel et économique renforce l’importance de combiner toutes les quatre approches.
Concernant le dilemme imposé vers participatif, la culture Africaine demande les deux extrêmes.
D’une coté, la grande distance de pouvoir observé par Hofstede est une indication que les Burkinabè se sont habitués à un leader qui prend les décisions. De l’autre coté, la participation est très appréciée. Ceci peut être lié au collectivisme de la société (l’importance de la groupe, observé par Hofstede) et le ‘locus de valeur humaine’ (une personne comme but final et pas comme moyen pour réaliser un but, comme observé par Jackson). Ceci apparaît contradictoire, mais selon De Liefde des Africains ont une différente perception de leadership : un leader est le représentant de la communauté, et sa position est respectée. Dans cette vue, les deux approches ne sont en fait pas contradictoires. Selon l’analyse, des éléments de ces deux approches (imposée et participative) peuvent et doivent être combinées dans la pratique de conseil de la SNV/BF, pour obtenir les meilleurs résultats.
Le contexte est la cause d’un dilemme sur l’autre axe (planifié vers émergent). Selon Hofstede, la culture de l’Afrique de l’Ouest est évasive d’incertitude, et pour cela elle est orientée vers des règles et des procédures. C’est confirmé par les résultats du questionnaire : les conseillers africains utilisent plus souvent une approche planifiée. Le contexte de développement de Burkina Faso n’est pas approprié pour l’utilisation d’une approche planifié : il y a de la complexité à cause de l’absence des ressources et l’environnement moins stable. Pour travailler dans cet environnement une approche plus émergente est nécessaire. Ca veut dire qu’une combinaison doit être trouvée qui diminue l’incertitude (pour confort et engagement des membres du client et des conseillers), mais reste flexible (pour répondre à l’environnement).
Dans le contexte de la SNV/BF il ne s’agit pas d’un choix entre les quatre approches génériques. Il s’agit de trouver une combinaison de toutes les quatre. Ce problème demande de la créativité et du travail en équipe, et plusieurs facteurs doivent être considérés.
Recommandations
J’ai confiance que les conseillers de la SNV/BF seront capables d’améliorer leur pratique de conseil,
avec leur enthousiasme et leur bonne volonté d’apprendre. Il est important de partager leurs
expériences. Ce rapport peut servir à ce but. Les idées pour partager et pour apprendre, qui ont
résulté du master class, peuvent être aussi très utiles.
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Index
1 Introduction: four generic advisory approaches in context... 16 1.1 Practical context ...16
1.2 Theoretical context...17
1.2.1 Capacity development...17
1.2.2 Advisory approaches...17
1.2.3 Applicability...20
1.3 Research questions ...21
2 Research methodology... 23 2.1 Two phases ...23
2.2 Phase 1: Questionnaire...23
2.2.1 Data collection ...23
2.2.2 Analysis ...24
2.2.3 Verification ...24
2.3 Phase 2: Case studies...24
2.3.1 Case selection...25
2.3.2 Data collection ...25
2.3.3 Analysis ...26
2.4 Analysis ...26
3 ‘The average approach’: questionnaire results... 28
3.1 Introduction ...28
3.2 Descriptive analysis...28
3.2.1 Description of the population ...28
3.2.2 Description of clients...28
3.3 Occurrence of the different strategies ...29
3.4 Factors determining the advisory approach ...32
3.4.1 Influence of advisor characteristics ...32
3.4.2 Influence of client characteristics...34
3.5 Satisfaction ...35
3.6 Conclusion ...37
4 Advisory approaches illustrated: case descriptions... 38
4.1 Introduction ...38
4.2 Case A...38
4.2.1 Background information ...38
4.2.2 Process overview...39
4.2.3 Evaluation ...40
4.3 Case B...42
4.3.1 Background information ...42
4.3.2 Process overview...43
4.3.3 Evaluation ...46
4.4 Case C...46
4.4.1 Background information ...46
4.4.2 Process overview...47
4.4.3 Evaluation ...50
4.5 Case D...51
4.5.1 Background information ...51
4.5.2 Process overview...51
4.5.3 Evaluation ...53
4.6 Case E...54
4.6.1 Background information ...54
4.6.2 Process overview...54
4.6.3 Evaluation ...56
4.7 Lessons from the cases: practical help in choosing an advisory approach ...57
4.7.1 General observations ...57
4.7.2 Participative approach...58
4.7.3 Imposed approach...59
4.7.4 Planned approach ...60
4.7.5 Emergent approach ...61
5 Discussion: context reinforces complexity... 62 5.1 Advisory approaches in context...62
5.1.1 The need for teamwork: towards taking advantage of variety ...62
5.1.2 A practical guide...62
5.1.3 From capacity building to concrete results ...63
5.1.4 Context reinforces the need for combining all four generic approaches ...64
5.1.5 Conclusion...65
5.2 Reliability of the study ...65
5.3 Recommendations...66
References... 67
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1 Introduction: four generic advisory approaches in context
This research has been conducted as the final project for my master’s degree. It was conducted under the authority of SNV Burkina Faso, with supervision by the University of Groningen. During four months 1 I was located in Burkina Faso to collect relevant information.
1.1 Practical context
SNV 2 is an international development organization based in the Netherlands. It is active in 31 countries. It started in 1963 as the volunteer organization of the Dutch government. The organization has gone through various phases. It has always been focused on human development and poverty alleviation, but their methods varied. In 2001 SNV became an independent organization. In 2002, they implemented a new strategy, focused on capacity building and local responsibility instead of supplying expertise. This new strategy transformed SNV to an advisory organization. The role of SNV personnel changed accordingly.
SNV’s new mission is: “SNV is dedicated to a society where all people enjoy the freedom to pursue their own sustainable development. Our advisors contribute to this by strengthening the capacities of local organisations.” (SNV, 2006)
In the new structure, SNV Burkina Faso (SNV/BF) has two programs, that both target different types of client organizations:
• The “Programme d’Appui à la Décentralisation” (PAD) aims at supporting the process of decentralization that the Burkinabè government started in 1991. One PAD team, which is partly located in Ouagadougou and partly in Bobo Dioulasso, provides assistance to municipalities and decentralized institutions in implementing these changes, in order to develop responsible and accountable local government. Beside that, they collect their experiences to help develop a national strategy to reinforcing local capacities and competencies.
• The “Programme d’Appui aux Organisations locales et intermédiaires” (PAO) provides assistance to civil societies and private organizations to help them access markets and manage dry land problems. PAO works with meso (intermediary) and macro organizations, whose mission is associated with the struggle against poverty. There is one PAO team located in Ouagadougou, and two teams in Bobo Dioulasso.
At the time the research that is described in this report was conducted, SNV/BF counted 26 advisors organized in one PAD team (divided into two sub-teams) and three PAO teams. One team consists of five or more advisors with differing backgrounds. Each client has an account manager, who can consult some or all members of his team. External consultants can be hired on project basis when clients need specific knowledge that is not available at SNV.
SNV only provides advice, and no financial support. The costs of SNV personnel and external consultants are covered by SNV. The client organization is responsible for all other costs. In certain cases these costs are quite low and can be covered by their own budget, in other cases a third party finances an intervention. The SNV budget consists at the moment of a subsidy of the Dutch ministry of foreign affairs.
Cooperation between SNV and a client organization starts with a request for support (“demande d’appui”) by the potential client. SNV actively promotes itself, and contacts with potential clients are often initiated by SNV.
The new strategy of capacity development meant an enormous change for SNV that was traditionally a delivery focused development organization. Existing SNV’s employees were assessed and selected on their capability to become advisors, and new employees were recruited. In 2003, an “Advisory Practice Learning Program” (APLP) was facilitated by the University of Groningen. In this program the SNV personnel was introduced to the theory and practice of advisory services.
This study is an evaluation of the current SNV advisory practice: what approaches are used, what approaches are effective in their specific context, and what can be recommended.
1
September - December 2005
2
Text based on CD-ROM “Introduction to SNV” (2005)
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1.2 Theoretical context
1.2.1 Capacity development
Capacity development, the new approach chosen by SNV, can be seen as an approach or as a development objective (Bolger, 2000). In this paper I considered capacity development as a process that is aimed at realizing a certain impact: “capacity development refers to the approaches, strategies and methodologies used by developing country and/or external stakeholders, to improve performance at the individual, organizational, network/sector or broader system level” (Bolger, 2000).
Morgan (1998) identifies some capacity development strategies:
• Supplying additional financial and physical resources
• Helping to improve the organizational and technical capabilities
• Helping to settle on a clear strategic direction
• Protecting innovation and providing opportunities for experimentation and learning
• Helping to strengthen the bigger organizational system
• Helping to shape an enabling environment
• Creating performance incentives and pressures
SNV chose advisory as a means towards this goal, thereby including most of the strategies described by Morgan. They made a choice not to provide (financial) means to clients, hereby excluding the first strategy identified by Morgan.
1.2.2 Advisory approaches
Advisory 3 is a broad practice area. Many definitions exist. In this paper the definition by Kubr (1998:8) is used: “Management consulting is an independent professional advisory service assisting managers and organizations to achieve organizational purpose and objectives by solving management and business problems, identifying and seizing new opportunities, enhancing learning and implementing changes.” There are five main tasks for an advisor, which show some overlap.
Advisors will usually (Kubr, 1998:8-12):
• help to realize goals and objectives,
• solve problems,
• help to identify and exploit new opportunities,
• help the client to learn, and/or
• implement change.
Common to all these tasks is that they aim at changing a current situation to a desired situation.
There is an extensive body of literature describing ‘best ways’ to advice or to realize change.
A very influential approach to change management is the practice of Organizational Development (OD). According to French and Bell (1995: 1-2): “Organization Development is a unique organizational improvement strategy that emerged in the late 1950s and early 1960s. … [It] has evolved into an integrated framework of theories and practices capable of solving or helping to solve most of the important problems confronting the human side of organizations. Organization development is about people and organizations and people in organizations and how they function.
OD is also about planned change, that is getting individuals, teams and organizations to function better. Planned change involves common sense, hard work applied diligently over time, a systematic, goal-oriented approach, and valid knowledge about organizational dynamics and how to change them.” Hurley and colleagues identified five values shared by OD practitioners:
“empowering employees to act, creating openness in communications, facilitating ownership of the change process and its outcomes, the promotion of a culture of collaboration, the promotion of continuous learning”.
The OD approach has had a large influence until the 1980s. According to Dunphy (2000:123-124), at that time, “the dominance of these models was successfully challenged by the proponents of strategic management. Strategic management theory redefined organizational change as a process of implementing corporate strategy. This approach placed the impetus for change, its planning, and
3
At SNV a distinction is made between a ‘conseiller’ (advisor employed by SNV) and a ‘consultant’ (someone
external hired by SNV to execute a certain activity with a client of SNV). In literature the generally used term
for someone providing advice is consultant. In this text however the words advisor and advisory practice are
used to avoid confusion.
18
the control of its execution firmly in the hands of the CEO 4 and the top executive team.” This approach contrasted the OD values of participation. On the other hand several authors started arguing for an emergent approach. “The rationale for the emergent approach stems from the belief that change cannot and should not be solidified, or seen as a series of linear events within a given period of time; instead, it is viewed as a continuous process.” (Burnes, 2000:283).
New developments in change management theory follow a line of reasoning that leads through contingency theory. There are several attempts to develop models that include multiple dimensions of change, and that could help to find an approach that is dependent on the specific change situation. For example Dunphy and Stace (1988) present “a contingency model for planned change strategies which allows managers and consultants to go beyond personal value preference as the major selection criterion for an organizational change strategy”. They developed a 2x2 matrix based on two different strategies of change (incremental versus transformative) and two modes of change (collaborative versus coercive).
Beer and Nohria (2000:31) believe that “to break the code of change” we should “get past the tyranny of the either/or and embrace the paradox of and/also”. They believe change is aimed at realizing economic value as well as organizational capacity. This is also in line with SNV’s strategy.
Beer and Nohria (2000) identify five axes on which the approach to change can differ:
• Leadership: directed from the top or high-involvement and participative?
• Focus of change: formal structure and systems or culture?
• Planning of change: planned or emergent?
• Motivation for change: do financial incentives lead or do they lag and support?
• Consultant’s role in change: large and knowledge-driven or small and process-driven?
In this study a framework with two axes on which the advisory approach can differ is used (Figure 1.1):
• ‘Who’: this concerns the question who is involved and what their roles are. This includes the collaborative versus coercive dilemma (Dunphy and Stace, 1988), and the questions of leadership and consultant’s role (Beer and Nohria, 2000).
• ‘How’: this concerns the process of realizing change. This includes the questions of focus of change and planning of change (Beer and Nohria, 2000).
The two axes are labelled imposed versus participative and planned versus emergent 5 . The poles of the axes each represent a generic approach. This will be described in more detail below. As will be shown, these four generic approaches can and should be combined to fit the specific situation.
This contingency framework can guide the user in adapting the approach to the specific context.
4
CEO: chief executive officer
5
Varying terminology is used in literature. In this text I use the terminology that has been introduced to SNV advisors during the APLP.
‘how’
‘w ho
’
emergent imposed
participative planned
Legend
Examples of combinations between approaches in a certain project
Figure 1.1: Two dimensions on which advisory approaches can differ
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Imposed versus participative
On the vertical axe (‘who’) a continuum exists from an imposed to a participative approach.
Proponents of the imposed approach argue that a top leader is in the best position to realize change. Conger (2000:103) identifies three main advantages: “(1) the senior team’s breadth of perspective and strategy-formulation role, (2) attributions about leadership itself, and (3) the power of the top-leadership’s position”. He relates the need for central leadership to the complex environment that exists in today’s economy. Kotter (1996) sees the creation of a guiding coalition as a driving force for successful change.
Proponents of the participative approach believe that change should have a broad base and implicate as many people as possible. Bennis (2000) believes that “exemplary leadership and organizational change are impossible without the full inclusion, initiative and cooperation of followers” and that “the top-down leadership tendency is maladaptive”. He does not believe in leadership by the individual: “In our society leadership is too often seen as an inherently individual phenomenon (Bennis, 2000:114).
For example Dunphy (2000) argues that it is important to combine these two extremes and
“embrace the paradox”. He believes that knowledge and capability are crucial factors for helping succeed either approach. For an advisor this means that he should be aware of the decision which client organization members should be implicated.
The ‘who’ question also influences the role of the advisor. Should he play an important role (imposed) or let the client organization do as much as possible themselves (participative)?
Neill and Mindrum argue that “no consulting intervention can be successful unless it addresses all aspects of the company” (2000:354). The advisor’s role should in this view be large and knowledge-driven.
On the contrary, Schaffer believes that “no matter how brilliant the consultant’s contribution, the client’s implementation capability is the key to success” (2000:372) and “a much better alternative to these high-risk behemoth consulting undertakings is a model based on a continuous series of rapid-cycle projects. Each of these rapid-cycle projects yields some measurable returns while also expanding the client organization’s capacity to carry on subsequent change” (2000:362). In his view the advisor should mainly facilitate the process.
Several authors believe a combination of these two ends of the continuum should be found, and have tried to map various roles that an advisor can take at the continuum imposed-participative.
For example Lippit and Lippit have listed roles according to the degree of consultant intervention (in: Kubr, 1998: 64) While Champion, Kiel and McLendon (1990) distinguish nine roles that are dependent on the consultant responsibility for results or for client growth (with three differing degrees of intervention).
The continuum imposed-participative represents a paradox. For advisors this means they will carefully have to choose which client organization members they implicate and which role they will play themselves.
Planned versus emergent
The horizontal axe (“how”) is a continuum from a planned to an emergent approach.
Proponents of the planned approach such as Ghoshal and Bartlett argue that successful transformation processes almost always follow a carefully phased approach. They suggest a particular sequence addressing organizational as well as behavioural issues that they believe is a generally applicable model (2000). They argue that a planned approach is needed to provide a necessary focus. “Planned change is an iterative, cyclical process involving diagnosis, action and evaluation, and further action and evaluation” (Burnes, 2000:274). A planned approach is essentially rational.
Advocates of the emergent approach (e.g. Weick, 2000) argue that “change is a continuous, open-
ended and unpredictable process of aligning and re-aligning an organization to its changing
environment” (Burnes, 2000:280). In this latter view realizing change is a process of continuous
adaptation, realizing favourable conditions and politics.
20
In reality both types of change occur, and both seem to have positive results, as was found in the INNFORM study (Pettigrew, 2000:260). A choice between (or for both) the approaches also implies a choice concerning the focus of change. Proponents of the planned approach “typically rely on changes in formal organizational arrangements”, while proponents of the emergent approach focus on creating conditions that facilitate change: “processes for development of coordination, competence and commitment” (Beer and Nohria, 2000:137).
An advisor should decide to what extent explicit attention is paid to planning, evaluation and decision making. He should also determine whether he should be focused on the change itself, on facilitating conditions, or both.
1.2.3 Applicability
As is shown above there are four generic advisory approaches (imposed, participative, planned and emergent) that SNV/BF can use to reinforce the capacities of their clients. All these approaches have advantages and disadvantages. We have seen that ‘it all depends’ on the situation.
But what does ‘it’ depend on? In the analysis above certain potential influences have already been indicated, including the complexity of the environment and the capacity and knowledge of organization members. In the case of SNV/BF there is more.
Culture
Culture is widely recognized as a factor influencing several aspects of management. For example Hofstede (1993) argues that management theory is constrained by cultural differences. Blunt and Jones confirm that “the significance of national and organizational culture to explanations of organizational performance in such settings [i.e. developing countries] is unchallenged in the literature” (1997:7). They also state that “analysts were much less impressive on the question of how this [adapting to culture] should be done” (1997:7). Culture will also influence which of the four generic approaches will be applicable in the specific context.
Culture can be defined as “the collective programming of the mind which distinguishes one group or category of people from another” (Hofstede, 1993:89). Most authors present culture as a model with several layers, for example Trompenaars and Hampden-Turner distinguish three layers reaching from implicit to explicit: basic assumptions, norms and values, and artefacts and products (1997). Several authors have tried to define dimensions on which cultures can be compared.
Hofstede is the most influential.
According to Hofstede West-African 6 culture can be characterized as follows (2006):
• High power distance: inequalities of power and wealth have been allowed to grow within the society.
• Low individualism: a society of a more collectivist nature with close ties between individuals.
These cultures reinforce extended families and collectives where everyone takes responsibility for fellow members of their group.
• Medium masculinity: the society is between a masculine model of achievement, control, power, and gender differentiation, and a feminine model with a low level of differentiation and discrimination.
• Relatively high uncertainty avoidance: the country has a low tolerance for uncertainty and ambiguity. This creates a rule oriented society that institutes laws, rules, regulations and controls in order to reduce the amount of uncertainty.
• Low long-term orientation: the country does not reinforce a long-term, traditional orientation.
In this culture, change can occur more rapidly as long-term traditions and commitments do not become impediments to change.
Jackson introduces a sixth dimensions on which African culture differs from Western culture: the locus of human value, which distinguishes between “an instrumental view of people in organizations which perceives people as a means to an end, and a humanistic view of people which sees people as having a value in their own right and being an end in themselves” (2004:26).
6
There is no research specifically concerning Burkina Faso.
21
Development context
Burkina Faso is one of the least developed countries in the world. In the Human Development Report 2005 it is classified as a country with low human development as well as low income (UNDP, 2005:363-364). Some key details concerning the country are presented in Table 1.1.
Table 1.1: Key details Burkina Faso
aOfficial name Burkina Faso
Capital Ouagadougou Government type Parliamentary republic
Chief of state President Blaise COMPAORE (since 15 October 1987, re-elected in 2005 with 80,3% of votes)
Life expectancy at
birth 48,5 years Literacy 26,6%
GDP per capita Purchasing power parity - $1,200 (2005 est.) GDP composition by
sector Agriculture: 39,5%
Industry: 19,3%
Services: 41,3% (2004 est.) Labour force by
occupation Agriculture: 90% (2000 est.) Population below
poverty line 45% (2003 est.) External debt $1,85 billion (2003) Economic aid recipient $468,4 million (2003)
Economy overview One of the poorest countries in the world, landlocked Burkina Faso has few natural resources and a weak industrial base. About 90% of the population is engaged in subsistence agriculture, which is vulnerable to harsh climatic conditions. Cotton is the key crop and the government has joined with other cotton producing countries in the region to lobby for improved access to Western markets. GDP growth has largely been driven by increases in world cotton prices. Industry remains dominated by unprofitable government-controlled corporations. Following the CFA franc currency devaluation in January 1994 the government updated its development program in conjunction with international agencies; exports and economic growth have increased. The government devolved macroeconomic policy and inflation targeting to the West African regional central bank (BCEAO), but maintains control over fiscal and microeconomic policies, including implementing reforms to encourage private investment. The bitter internal crisis in neighbouring Cote d'Ivoire continues to hurt trade and industrial prospects and deepens the need for international assistance.
a (CIA, 2006)
Kanungo and Jaeger (1990:1-2) argue that “managing organizations is a complex act. It requires a thorough understanding of the dynamic relationships within the socio-technical system (the internal environment) and the relationship to the external environment in which the system is in constant interaction. Since the external environment of organizations in the developing countries is different from that of western industrialized countries, management theories and practices developed in the developed country context may have only limited applicability in the context of the developing world.”
They argue that the economic and political environment in developing countries differs from that in developed countries 7 (Kanungo and Jaeger, 1990): developing countries experience a different kind of complexity, caused by non-availability of resources and a relatively less stable political and legal environment.
1.3 Research questions
This study is aimed at creating insight in and awareness of the existence of multiple advisory approaches in the daily practice of SNV/BF, the several ways they can be employed, their advantages and conditions. It could form the basis for a practical guide to choosing the appropriate advisory approach in the specific context of SNV/BF. The four generic strategies as described above have been used to characterize the approaches employed in practice.
7
They also indicate two culture-related dimensions on which developed and developing countries differ. This is
already discussed above.
22
The following question has guided the research:
Question: To what extent and in what form are the four generic advisory approaches used at SNV Burkina Faso, to what extent is this successful, and how does this relate to its specific context?
Sub-questions were:
A. To what extent are the four generic approaches used in SNV/BF practice?
B. What factors influence the approach chosen by SNV/BF advisors?
C. In what form are the four generic approaches used in practice?
D. What are the advantages and risks of each of the generic approaches?
E. What conditions influence the appropriateness of each of the approaches?
F. To what extent can the advisory practice be considered successful?
G. How does the appropriateness of each of the approaches relate to the context of SNV/BF?
After presenting the methodology of the study in chapter two I will provide an overview of
approaches that are used by the advisors of SNV/BF in chapter three. In addition, chapter four
describes five case studies that can inspire advisors to develop and use new approaches. These
case studies have been used to discover advantages of each of the approaches and conditions for
successful use. In the final chapter I discuss how these results relate to the specific context of
SNV/BF.
23
2 Research methodology
2.1 Two phases
This research aimed at discovering what is currently done in SNV advisory practice and what should be done. The research has been divided into two phases. In the first phase, quantitative data were collected using a questionnaire, to discover the general tendencies that can be distinguished in SNV/BF advisory practice. In the second phase, qualitative data were collected for five cases, to reveal the specific characteristics of the approaches employed. The four generic strategies (as described in section 1.2) will be used to classify both the current and the desired situation.
The advisory approach is linked to the specific context of SNV Burkina Faso. Contextual factors that were considered include: advisor characteristics, client characteristics and the macro-environment (cultural and developmental factors).
2.2 Phase 1: Questionnaire
This phase of the research project aimed at answering the following questions:
A. To what extent are the four generic approaches used in SNV/BF practice?
B. What factors influence the approach chosen by SNV/BF advisors?
2.2.1 Data collection
A self-administered questionnaire was used, and distributed by email by the team leaders, who took responsibility for obtaining the results. The questionnaire contained an introduction to the entire research project and the questionnaire in specific. Respondents returned the questionnaire by email. This procedure made sure that the entire target group was reached and did participate.
The target group consisted of educated people who are able to work with computers. Considering the goals of this phase and the target group it was not possible to use an anonymous questionnaire. First of all it would be possible to recognize the respondent based on his answers, since the target group is small. Secondly, to select cases, it would be necessary to contact the concerned advisor. The questionnaire was worded in French, and has been checked by several persons for both errors in content as well as language 8 . (Saunders et al., 2003: 280-316.)
The questionnaire is included as an annex to this report.
The questionnaire consisted of two parts. In the first part the advisor was asked to fill in some personal characteristics, which would allow reaching goal C. These questions were presented as open questions, and were field coded later (Emans, 2004a: 131; Saunders et al., 2003: 280-316).
The following characteristics were included:
• the advisor’s team;
• the advisor’s nationality;
• number of different countries that an advisor has worked in 9 ;
• different regions were an advisor has already worked 9 ;
• the advisor’s education;
• the advisor’s work experience at SNV and previous employers;
• the amount of advisory experience;
• whether the advisor has participated in the APLP;
• gender 10 .
In the second part the respondent was asked to select two of his clients and fill in some key characteristics. These characteristics were mainly intended to be used to provide some background information that would help in selection of cases (goal E), and partly to realize goal D. Open questions were used. Client characteristics used for analysis were:
• to what extent the client is able to make a planning;
• to what extent the client is able to execute a plan.
8
The content has been checked by Ben Emans (University of Groningen) and Corina Bots (SNV/BF), the language has been checked by Achille Ouédraogo (SNV/BF).
9
Foreign work experience was included as a variable in the questionnaire, but for all except 1 advisor work experience outside Burkina was in the same region as their region of origin. In analysing this questionnaire, I therefore use only nationality to assess the influence of different cultural backgrounds.
10
Included based on a suggestion during the SNV master class.
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The third section consisted of propositions. Since the approaches can occur in several forms, it can apply to for example decision making, planning or idea generation. Each of the propositions included in the questionnaire concerned one of these elements and corresponded to one of the four generic approaches. These propositions will be discussed in more detail in the results section of this chapter. The respondents had to indicate on a five-point scale to what extent the proposition was true, for each of the clients that were selected. A sixth option “unknown” could be chosen.
Beside the propositions corresponding to the consulting approaches, some contextual factors were included as propositions; this enabled me to test whether relationships exist between the chosen approach and the context in which the client operates:
• the occurrence of unexpected incidents, internal and external to the client;
• the level of education of members of the client organization.
In the last section respondents could mention suggestions, comments or questions concerning the research project.
2.2.2 Analysis
The entire population consists of 26 advisors of SNV BF. 23 advisors have completed and returned the questionnaire. Two questionnaires were returned too late and were therefore not included. One advisor has not completed the questionnaire.
Three new advisors have been excluded from the analysis, to prevent a bias resulting from their inexperience and difficulty to interpret the process. Two of them suggested themselves to do so.
They answered ‘unknown’ significantly more than their more experienced colleagues. The analysis is conducted for the resulting sample of 20 advisors.
As a result of the descriptive analysis one proposition has been excluded from further analysis.
Proposition B3 (“in the beginning I knew exactly what to do”) shows an extreme value compared to the other propositions (mode=2), and also a high dispersion. One of the respondents added a comment that this proposition could apply to either the process or the concrete activities (“Je connaissais la démarche mais pas son résultat, donc comment répondre?”), while the goal of the proposition was to measure whether the advisor already had concrete ideas concerning activities.
This proposition might have been interpreted in different ways by the respondents, and has therefore not been weighed in further analysis.
The data were analyzed with the objective to identify relations between the used approach and characteristics of the client and advisor. In the analysis, responses 1 and 2 are considered negative responses (denial of the proposition), 3 as a neutral response, and 4 and 5 as positive responses (affirmation of the proposition).
2.2.3 Verification
The preliminary results of the questionnaire have been presented to all SNV advisors during their master class 11 , and formed input for their discussion. Some suggestions concerning the analysis have been made by the SNV advisors, these suggestions have been used for further analysis. The influence of gender on the approach has been analyzed, the differences between PAD and PAO have been further elaborated, and the different strategies have been related to the level of satisfaction of advisors. The master class has also allowed a better understanding of why certain results have been found.
2.3 Phase 2: Case studies
The results of the questionnaire have been used to make a selection of cases to be studied in the second phase of the research. In this second phase case studies are conducted to discover:
C. In what form are the four generic approaches used in practice?
D. What are the advantages and risks of each of the generic approaches?
E. What conditions influence the appropriateness of each of the approaches?
11
The master class was centred on advisory approaches. The morning was intended to share knowledge from
the APLP between those who did and those who did not participate. The afternoon was reserved for
presentation and discussion of preliminary findings of the questionnaire. It was held on 30 November 2005.
25
This means that for each case I collected information on four subjects that would enable me to see to what extent the process corresponds to each of the four generic approaches. These subjects are: decision making, idea generation, planning and task execution. For each of them I considered the ‘who’ and ‘how’. I also collected information on certain client characteristics: organization type, level of competencies and education, and (internal and external) dynamics. This enabled me to link the appropriateness of each approach to characteristics of the client.
2.3.1 Case selection
A pre-selection was made by highlighting:
• highest and lowest scores for each of the approaches
• remarkable responses 12
Cases where respondents indicated a low satisfaction have not been included in the case selection.
After discussion with the team leaders some cases that were not included in the survey have been added to the pre-selection.
The following criteria have been applied to choose from the pre-selected cases:
• The goal of the selected cases should be in line with the general goal of SNV: capacity building.
• 5 or 6 cases, the selection should give a representation of different types of clients of SNV.
• Cases from different types of clients (size, location, mission), in order to find relationships between the appropriate approaches and the characteristics of the client.
• Cases from different consultants, with different backgrounds (education and nationality), to ensure a variety in approaches. There will be an accent on more experienced consultants, because it is more likely to find ‘best practices’ with this type of consultant.
The cases that were studied are shown in Table 2.1. Five cases are included, one from each team.
These cases are all in the stage of plan execution. The mix of clients and advisors is representative for SNV.
Table 2.1: Clients that were included as a case study in the second phase of the research Client Description Team Account manager Education Nationality *CONFIDENTIAL*
2.3.2 Data collection
Based on the research questions I determined variables that I measured in the cases. The conceptual variables 13 studied, and the way they were operationalized is shown in Table 2.2.
To start with, all written documentation concerning these cases has been studied 14 , to get a general image of the client organization, and the historical and planned cooperation with SNV. For each client I short listed a few activities to study in detail. After that, I conducted interviews with the SNV Account Manager and 2-3 members of the client organization that were actively involved in the cooperation with SNV. The interviews have been used to find factual information missing from the written documents and to discover more subjective information (e.g. how the interviewee perceived the events, opinions about the appropriateness and effect).
The interviews have been conducted based on a standardized interview guide (Emans, 2004a: 115- 159) 15 . In the interviews the respondent was asked to describe each of the short listed interventions. I used a checklist to make sure that the ‘who and how’ of all relevant elements were covered: decision making, idea generation, planning, and task execution. I asked the respondent
12
Responses that differ largely from the majority response to the specific proposition, or that differ largely between clients of the same advisor (implying adaptation to circumstances).
13
Variables 2 to 7 will enable me to determine in what form the strategies are used in practice (question C), variables 8 to 11 allow me to find advantages and risks (question D). To answer question E, this will be linked to the client characteristics collected (variable 1).
14
Plans, planning, evaluations etc. have been used. The amount of information available in written form varied between cases.
15
After the first interviews some minor changes have been made in the model interview guide, to better
structure the information during the interview. No changes have been made concerning the questions asked.
26
to evaluate each intervention in general, and to indicate positive and negative points. In the end I posed questions about the entire process: planning and dynamics, and evaluation of the advisory process and the realized change. I made notes in the interview guide during the interviews, and summarized these notes afterwards. These summaries have been sent to the respondents for approval 16 .
In two cases SNV changed the Account Manager during the period included in the study. In these cases both Account Managers were interviewed. The interviewees from the client organization have been selected in consultation with the SNV Account Manager. I was introduced to the client by the Account Manager, but conducted the interviews in private.
2.3.3 Analysis
The information was entered into an excel database. The information allowed me to rate all interventions according to the variables shown in Table 2.2. I described the cases in terms of the four generic strategies and analyzed the appropriateness of each of the strategies based on the respondents’ satisfaction and measurable results. This allowed me to answer the sub-questions concerned in this part of the research. A draft of each individual case description has been sent to the account manager for approval 17 .
2.4 Analysis
In the discussion the last sub-questions were discussed:
F. To what extent can the advisory practice be considered successful?
G. How does the appropriateness of each of the approaches relate to the context of SNV/BF?
The first question could be answered with data from both phases: respondent satisfaction indicated in both phases and measurable results from the case studies. Literature has been studied to find possible explanations for the results observed and relations to the context of SNV/BF.
16
Unfortunately, none of the members of the client organization that were interviewed reacted, and only three of the SNV advisors.
17
