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Do not depend on the hope of results...

you may have to face the fact that your


work will be apparently worthless and
even achieve no result at all, if not perhaps
results opposite to what you expect. As
you get used to this idea, you start more
and more to concentrate not on the
results, but on the value, the rightness, the
truth of the work itself.
The Hidden Ground of Love: Letters by
Thomas Merton, 1993

Theories of Change
Concentrating on the truth of the work
By Doug Reeler and Rubert Van Blerk

The Community Development


Resource Association

2017

Theories of Change Concentrating on the Truth of the Work Page 0


He who loves practice without theory is like the sailor who boards ship
without a rudder and compass and never knows where he may cast.
Leonardo da Vinci 1

Whenever a theory appears to you as the only possible one, take this as a
sign that you have neither understood the theory nor the problem which it
was intended to solve.
Karl Popper2

Introduction
In 2016, after the launch of the Barefoot collegial learning atmosphere and process,
Guide 4: Exploring the Real Work of Social peppered with some poetry to balance the
Change, the CDRA convened and facilitated a cerebral nature of the task and encourage
group of twelve practitioners for six sessions both ethical and creative avenues for
of a Theories of Change Learning and Study conversations.
Circle, supported by KEPA of Finland, at the
CDRA Centre in Woodstock, Cape Town. The We explored the struggle of domestic
aims were: workers to claim homes for themselves and
their families in a middle-class suburb of Cape
1. To explore and learn from various Town, where they have lived and worked
practices and their theories of change, their whole lives. We gained insight into the
that come from the participants actual hopes and despair of organised grandmothers
practices; facing the onslaught of HIV/AIDS in their
2. To develop various methods of surfacing township, struggling to keep their initiative
and seeing theories of change; relevant in the face of changing treatment
3. To study a variety of well-known theories and funding. We followed the fortunes of a
to see what light they throw on current group of eighty-six prominent elders trying to
practices.
intervene into a stuck relationship between
fed-up township dwellers and the City
In the process, this group of twelve shared a
Council. We were appalled by the attacks on
good variety of social change practice stories,
foreigners and intrigued by complexities of
and then as a group we tried to draw out the
the dynamics of xenophobia and the
explicit and implicit theories within and
paradoxical, humanising energies it unlocked
around these. It happened in an open and
in multiple stakeholders to both stop and

1
The Notebooks of Leonardo Da Vinci, translated by Jean Paul Richter (1888), I - Prolegomena and
General Introduction to the Book on Painting
2
Karl Popper, Objective Knowledge: An Evolutionary Approach (1972)

Theories of Change Concentrating on the Truth of the Work Page 1


prevent it in future. We heard the stories of a have even looked more widely than their own
peace witness and mediator in the fields, embracing related theoretical
#FeesMustFall campaign waged by working disciplines of psychology, history, economics,
class university students struggling to afford biology, organisation, anthropology, design,
to study in a system still needing to media, education, health, theology and many
decolonise its westernised and apartheid others. They have broken out of siloed
cultures and practices. We empathised with disciplines towards more whole systems
community development practitioners, who, thinking and theorising, exploring and
as outsiders, are looking for an empowering integrating the observed linkages and
contribution in complex and complicated interactions (relationships) between various
environments. We also journeyed to the elements that constitute the system. Action
south of Sudan, where a mountainous society learning-based and more open programmes
of ancient peoples are struggling to protect of change have started to replace short-term
themselves and thrive, facing a murderous Projects. Exploring different theories has
regime intent on denying their existence and helped them to consider different kinds of
stealing their lands. questions and understand unusual
connections and possibilities.
Around these stories, we asked what is our
practice here, what is the real work? and the Since its inception, the CDRA has encouraged
question of what are the theories and the development of thinking practitioners,
thinking behind what we do? who see themselves, not as implementers of
project plans conceived on spreadsheets in
This paper does not summarise or distil from policy-makers offices, but as facilitators who
the six sessions, but rather uses the support social actors to initiate and actively
experience as an opportunity to draw shape and reshape their own practices of
questions and insights and to further explore change, using continuous learning cycles of
and provide comment on the phenomenon of experience and theory.
Theory of Change that has become quite
fashionable in the development world, We need good theories of social change
positing some insights into its value and use. for building the thinking of all involved in
processes of development, as individuals,
Why have theory? as communities, organisations, social
In the last decade or so, some of the social movements and donors. The conventional
development practitioners and donors we division in the world today between
know have moved beyond conventional policy-makers (and their theorising) and
business-minded Project-based approaches. practitioners is deeply dysfunctional,
They have sought conscious theories of leaving the former ungrounded and the
change to help them to understand how latter unthinking. Good concepts help us
change happens, and to conceive, test, to grasp what is really happening beneath
navigate and adapt their practices through the surface. In the confusing detail of
the complex present into the uncertain enormously complex social processes to
future. Their intention is that these theories discover that simplicity on the other side
might make more visible and intelligible the of complexity, we need help to see what
deep and misty complexity of change in really matters.
human society and our ecosystems. Some

Theories of Change Concentrating on the Truth of the Work Page 2


As social development practitioners, we projects are more likely to succeed, but
need theory to assist us to ask better destructive in other conditions where
questions, more systematically and complexity and unpredictability confound the
rigorously, to guide us to understanding best-laid plans.
and discovering the real work we need to
For some practitioners, a more explicit Theory
be doing. 3
of Change provides an aid to monitoring, for
Indeed, it is not just about having this or that reflecting on developments, helping to see
good theory, but rather about the process of and explain any progress during and after an
theorising, and making use of several intervention, where impact is not yet
theories, of continually observing and manifest. This is certainly a better alternative
reflecting on reality and thoughtfully learning to the Logframe practice of ticking off a list of
and finding fruitful ways forward. indicators, like a to-do list of changes, but the
intention is still more about reporting than
But in the dominant industry of Development learning.
Aid, with its plethora of funded projects,
Theory of Change has become the new and Many Theory of Change templates suffer
fashionable template to be used for the from the same assumption that lies at the
purposes of planning, control, accounting, heart of Logframe, that a well-enough
and compliance, to shape and then honour planned project, guided by a good vision, will
funding contracts with donors. NGOs are deliver the change, no matter the conditions.
hurriedly hiring consultants to help them to
Formats and templates for a single Theory of
whip up a Theory of Change (one is enough)
Change accompanying donor calls for
to explain what they are doing and against
proposals, put proposal writing back into
which they can report what they have done.
formulaic boxes that do not differ that much
A single Theory of two or three pages is
from Logframes. Granted, there is an attempt
sufficient to stay in the game.
to be more imaginative, asking for visions,
Civil society organisations have generally imaginative possibilities instead of the boiled-
been uncomplaining about this demand from down problem and solution trees of
donors for their Theory of Change, especially Logframes.
where it comes as the alternative to
But we are not even sure that what donors
proposals based on the ubiquitous Logical
call Theory of Change deserves the name.
Framework Analysis (Logframe), with its own Duncan Green suggests that:
unconscious problem-based, cause-and-effect
theory of change. Inherited from the It might help to distinguish between
business world as a project planning tool, Theories of Action, which focus much
Logframe is oblivious of its own limited more on whatever intervention is being
assumptions about the nature of social discussed, and Theories of Change, which
change, seeing it essentially as a problem- unpack how the system is changing (or
solving project. Because of this it has only might change in future) even absent of our
been helpful in relatively stable or predictable intervention. 4
conditions of change, where well-planned

3 4
Doug Reeler, A Threefold Theory of Social Duncan Green, Where have we got to on
Change 2007 www.cdra.org.za Theories of Change? Passing fad or paradigm

Theories of Change Concentrating on the Truth of the Work Page 3


This is a helpful distinction, but perhaps stimulated, not recognising that even in the
Theory of Action is also too generous a title. most immovable situation, the flux of social
Many uses of Theory of Change, as written change is still present, but constrained in
down in proposals, from what we heard in ways that enable the status quo to be
the Learning Circle and what many others reproduced. This severely limits available
have shown us, are attempts to model an options for change, in particular those that
approach as a strategic argument to justify come from within, that can be owned and
funding, rather than as a thoughtful guide to activated by people themselves. The
practice. This request for no more than an challenge is not just to push for change (if you
over-simplified linear strategic argument, are active within the system), but to help to
cheapens the notion of theories of change lower constraints and unlock the potential of
and creates an illusion that somehow deeper people and living systems to change
thinking is being done. themselves.

Tellingly, Theory of Change templates, as With these limitations and often fatal
prompted by donors, seldom ask for insights assumptions, just as Logframe-based
into the nature of existing change, how it planning, monitoring and evaluation has
happens, whether visible or not, with or shaped and skewed a whole generation of
without intervention. In this there lies an social change practice, so Theory of Change
assumption that the kind of change needed is promises (or threatens) to do the same.
absent and needs to be imported, via a
funded intervention. This is perhaps its most Ways of understanding theory
fatal assumption because it leads us straight
back to the imposed projects of Logframe.
and implications for practice
But perhaps we are rushing ahead here,
In a review commissioned by Comic Relief in assuming ourselves that the very notion of
2011, Theory of Change was defined as An theory is commonly understood. The Oxford
ongoing process of reflection to explore Dictionary describes theory in three ways: 6
change and how it happens and what that
means for the part organisations play in a a. A supposition or a system of ideas
particular context, sector and/or group of intended to explain something
people.5 To be fair, some of this reflection b. A set of principles on which the
does happen in contextual and baseline practice of an activity is based
studies, but the purpose for these is usually c. An idea used to account for a
to sketch the environment within which situation or justify a course of action.
change might be brought, seldom recognising
Let us explore each of these, in the context of
what change is already present, however
social change, to flesh out the notion:
dormant or latent, in that environment.

Even where there is crisis or stuckness, it is


assumed that change must be introduced or

5
shift? 15 April, 2015. Web link: Cathy James, Theory of Change Review A
http://oxfamblogs.org/fp2p/where-have-we-got- Report commissioned by Comic Relief, 2011.
6
to-on-theories-of-change-passing-fad-or- https://en.oxforddictionaries.com/definition/theory
paradigm-shift/

Theories of Change Concentrating on the Truth of the Work Page 4


A supposition or a system of ideas which we plan our activities. Since we
intended to explain something cannot see and know everything, as noted,
we assert and act from what we believe to be
This first description of theory is focused on true, and thus make suppositions, or
its explanatory power, as lens through which assumptions, whether conscious or not,
to see the world, to give insight into how and whether tested or not. We have no choice,
why social change happens, with or without except to make these more conscious and
intervention. As suggested above, before we visible, which theory helps us to do. In the
bring a contribution to social change we need Learning Circle, we constantly explored the
to understand what is already happening, or question of what is or is not true, what is
changing, or stuck. It is into this flux that we right and wrong and what it is that really
intervene. In the Barefoot Guide 4, we matters.
described three prominent kinds of change,
and change conditions: emergent, The reader might imagine that working with
transformative and projectable, that need to theory is fundamentally about scientific
be read and adapted to. 7 In the Learning method, but inevitably, when discussing
Circle, we saw how often we defaulted to social change, conversations about method,
project-based plans, with or without pressure when applied to the things that really matter
from donors, assuming projectable to human beings, inevitably turns
conditions, when the conditions were clearly philosophical and ethical, when grounded in
emergent or crisis-ridden (transformative), lived and felt realities. Our insights gained as
where action learning or unlearning based much through emotional judgement and
approaches to change were required. We social conviction as through any cold, hard
came back to this again and again, scientific logic.
challenging ourselves to hold off from
This is not to knock scientific method. If
unconsciously assuming conditions of change
anything, it is to extend it.
that might not exist, because they best-suited
the kinds of interventions that we were used An idea used to account for a situation
to or had funding for.
or justify a course of action.
A set of principles on which the practice We have been dilettantes and amateurs
of an activity is based With some of our greatest notions
For human betterment.
The second description of theory focuses on We have been like spoilt children:
principles, themselves defined by Oxford We have been like tyrannical children;
Dictionary as A fundamental truth or Demanding proof when listening is required.
proposition that serves as the foundation for Ben Okri 9
a system of belief or behaviour or for a chain
of reasoning.8 Principles, and by extension This third description of theory speaks most
theories, are thus described as both closely to the donors need for a Theory of
fundamental truths and as suppositions, upon Change. Within the politics and power of

7 8
Barefoot Guide 4: Exploring the Real Work of https://en.oxforddictionaries.com/definition/principle
9
Social Change Ben Okri, from Mental Fight an anti-spell for
http://barefootguidecontent.weebly.com/barefoot-guide- the 21st Century - 1999 by Weidenfeld & Nicolson
4.html - pages 24-26

Theories of Change Concentrating on the Truth of the Work Page 5


governments and corporations, establishing Building theory beyond
the control templates and compliance
procedures are typical ways to define and empiricism
design accountability. Many donors put Participation and complexity
Theory of Change into a new kind of logical
framework which sees change as the result of In a curious, collective culture, learning can
a vision and then an accountable plan to happen amongst all actors, but in hierarchical
reach that vision, which, as noted above, we and competitive cultures learning is often
have described as Projectable Change, only contained in research and development
sometimes appropriate to existing conditions, institutions where we find academically
but often not in contexts of conflict and trained people who do research on behalf of
suffering. We know from experience that others, objectively at a distance. This
most social change conditions on which separation is reproduced in the M&E systems
change practitioners focus are not of the Development Industry, where
predictable or projectable - indeed the aim of specialist M&E personnel collect stories and
many should be to help to create such statistics to repost to donors, where inquiry is
conditions, through for example, conflict separated from action, and where learning is
reduction and consensus or agreement- geared towards enabling better compliance
building. rather than better practice. Thus, practice is
robbed of the most essential need it has: for
The result of this bias towards projectable participatory learning into the future. The
conditions of change is that the possibility of complexity of social change requires
working respectfully and thoughtfully with participation, not only because people have
the existing forces of change is discouraged. the right to be central to their own change
For example, legitimate anger from injustice process but also for their substantial and
that has brewed in a community can actually critical inputs to offer along the way.
be a source of energy and creativity if
acknowledged and respected, but wishing it In many of the most successful conscious
away in a technical project plan, can become programmes or interventions we have come
a source of apathy or even destruction, across it has been the participative horizontal
however logically it tries to solve the learning processes, like community-to-
problem. Sometimes, if the conditions community exchanges and farmer-to-farmer
happen to be projectable, the change is visits, that have provided the key ingredient
successful and this gives justification for the of change.10 Practice, then, is not just about
approach, as best practice, for more the doing but also the learning and theorising
projects whatever the conditions. of all actors.

The development industry has become


somewhat imprisoned in processes that
defines key actors as passive beneficiaries,
and then excludes them from the processes
where their input and learning is most vital.

10
Doug Reeler, 2005, Horizontal Learning
Engaging Freedoms Possibilities
https://goo.gl/PrKvzX

Theories of Change Concentrating on the Truth of the Work Page 6


This is hardly surprising when you consider The poet Rainer Maria Rilke expressed the
the consequences of including beneficiaries power of creative insight thus:
as drivers of their own development, as
planners, resource controllers, leaders, If I were to tell you where my greatest
evaluators, decision-makers. What might feeling, my universal feeling, the bliss of
happen to compliance then? my earthly existence has been, I would
have to confess: it has always, here and
Theory and imagination: there, been in this kind of in-seeing, in the
I'm enough of an artist to draw freely on indescribably swift, deep, timeless
moments of this divine in-seeing into the
my imagination, which I think is more
important than knowledge. Knowledge is heart of things.12
limited. Imagination encircles the world. Scientists help us to better see the evidence
that is visible, while artists help us to see and
Albert Einstein11
appreciate what cannot be measured.
We might think that theory is about science Theories are the result of both scientific
and calculation, arriving at logical argument, analysis and creative insight. We appear to
based on the valid evidence at hand. But in have scientific method, but do we cultivate
human change processes the evidence at creative insight in the practitioner as social
hand is seldom clearly visible, let alone change artist?
measurable or scientifically valid. Yet it is
The poetry we read at the beginning of each
there, we feel it and see it and make
Learning Circle session infused our
assumptions about it. And we use it. We can
conversations and theoretical musings with
only calculate our way into the future so far.
some of that divine in-seeing into the heart
When we work with a community
of things.
organisation we may sense that the will and
courage are there to bring a demand to the
Consciousness and humanity:
authorities. We may find ways of testing the
will, perhaps though questions, and the It was surprising how often the conversations
responses we get we can interpret one way in the Learning Circle turned towards
or another, itself an act of calculation and reflecting on questions of humanity and the
imagination, of creative insight. struggles we have to be human. For some
this was almost a spiritual question and for
Each of the three definitions of theory from others a call to their better selves, and no less
Oxford Dictionary, above, contains the sacred. We discussed consciousness,
thought that theory interprets and sometimes as a transformative force and
extrapolates understanding, out of what little sometimes as a block or constrainer of
is known, imagining what is not known or change. We discovered that there are many
predictable, supporting thinking into the layers between consciousness and
future. unconsciousness.

11
From an interview with the poet and journalist /is-imagination-more-important-than-knowledge-
George Sylvester Viereck, Berlin, 1929. einstein/172613.article
12
https://www.timeshighereducation.com/features quoted in ''Gissing: A Life in Books'' by John
Halperin (Oxford University).

Theories of Change Concentrating on the Truth of the Work Page 7


One window into consciousness, that we Theory: models or archetypes:
came back to again and again, is that we are
With adequate social opportunities,
thinking, feeling and willing beings, both
consciously and unconsciously, known as the individuals can effectively shape their own
Threefold Human Being13. At the thinking destiny and help each other. They need
level, we have thoughts, ideas, intuitions, not be seen primarily as passive recipients
spiritual insight, assumptions. The feeling of the benefits of cunning development
level is where we most directly experience programs.
what happens to us or to others, as Amartya Sen15
empathetic beings, and this colours our
We are beset by models as the basis for
thinking and will. Without feelings, we have
cunning development programmes that try
no humanity. Through the feeling lens we
to impose an external template on change
make judgements from which to act. As
rather than work with inherent forces.
willing beings, we act out of what we want,
Models, or the process of modelling, typically
shaped and affected by our thinking,
predefines what the change process will or
assumptions and our feelings. Or we may not
should look like and imagines that changes
act, our will blocked by fear, doubt and
can be delivered, as a service.
hatred, even self-doubt and self-hatred.
Using archetypal notions of theory, as a basis
Being conscious of ourselves as
for practice, works in reverse. An archetype is
multidimensional beings, makes the
a real, though less visible pattern of
mechanisms informing the choices that we
behaviour, a natural development process, or
make more apparent, and therefore such
a cycle that human systems undergo,
awareness empowers us within the change
inherently. They are the tectonic plates of
processes that we might be involved in.14
social change. Human beings, despite their
Consciousness is power. Disempowered
diversity and with cultural variances, are
people are often unsure what they think and
subject to many of the same forces and cycles
doubtful of themselves, unaware of their
of nature and of human nature. For example,
assumptions, disconnected from their
the seasons of life-cycles, the phases and
feelings, or beset with emotional pain,
crises development (in nature, individuals and
frequently traumatised and unsure of where
organisations), the typical stages of grief, the
their will lies, what they want, or wanting
polarities of human temperament (like that
what someone else wants.
described by Carl Jung) etc. In some ways,
Being conscious of our humanity is these are locked into our human and earths
foundational for any understanding of our DNA and we remain subject to their forces,
history or our future and the possibility of though not necessarily at their mercy.
working together.
Many of these archetypes help us to explain
how change happens, differently in different
contexts, to be sure, but with recognisable

13 15
Though further developed by Rudolf Steiner, Amartya Sen, Development as freedom, Oxford
this is an ancient archetype with many variations. University Press, New Delhi, 1999
14
Meghan Krenzer comment by email March
2017

Theories of Change Concentrating on the Truth of the Work Page 8


pattern that can help us to anticipate where it. In other words, through conscious insight
we might helpfully work. and learning, we not only can anticipate the
effects these forces may have on our lives
The Threefold Human Being archetype and ecosystems, but we can work with them
described earlier provides great insight, to shape change in the directions we have
particularly through helpful questions, in some choice over.
exploring holistic change approaches at both
individual and organisational levels. 16 And this is the point, to have more awareness
of the choices we have, through observing
Consider this archetypal theorisation: In and anticipating how life and nature works
relationships and human development we and what they bring. This may sound like a
observe the process of moving from passive approach to those who would more
dependence to independence and then to impatiently force the pace of change to
interdependence, each shift prompted by a respond to the urgent needs out there. Geo-
developmental crisis. This applies variously to engineering the atmosphere to stall climate
individuals, from childhood to teenagerhood change, comes to mind. Where more stable,
to adulthood, and to organisations moving predictable or projectable conditions apply
from pioneering to more rational and then to there is no problem, but where complex
more integrated forms. Humankind was for emergent or transformative conditions are
most of its history at the mercy of natural present then a more responsive approach,
conditions, the weather, wild animals, disease guided by archetypal theory, is not only less
etc., utterly dependent on nature for survival. risky but more likely to support fruitful ways
Then we began to develop some forward.
independence from nature, largely through
technology, with weapons, irrigation, seed
cultivation, and through advances in
Theory and impact
organisation, catapulting us into the We are beset with muscular words like
Anthropocene epoch17. But this has now impact (like a metallic stamp) or business-like
reached a new crisis point, a disjuncture terms like results, which describe nothing
between what we want and what is possible, more or less that the purposes we set out to
to the point that only a more conscious, achieve. Where are we on our way to
interdependent relationship with the natural achieving our purpose and what are we
environment will save human society. learning? is a far more helpful question than
what impact or results can we measure?
And it is consciousness that changes the game
here. This is where an ecological theory of Even the word measure treats change as one
change18, as archetype, enables a more or another physical thing against which you
deliberate and considered practice of can put a ruler, rather than a complex set of
meeting change and guiding it more in relationships, held in dynamic balances that
directions of our own choosing. We cannot simply cannot be desctibed in numbers or as
impose change on nature but only work with ticked off lists of indicators or results.

16 17
See Barefoot Guide to Working with The current geological age, where human
Organisations and Social Change, pages 29 to 32. activity has been the dominant influence on
http://barefootguidecontent.weebly.com/barefoo climate and the environment.
18
t-guide-1.html James Taylor comment by email March 2017

Theories of Change Concentrating on the Truth of the Work Page 9


But even if we stick with the word impact, the more time is wasted later by trying to work
challenge is to try to understand it as it with a blunt instrument.
emerges (or dies), not just to blithely
measure it as an end in itself. Good theory If we were donors, this might be the one
supports us in our challenge to interpret the thing that we would make doubly sure we
limited evidence we can gather to gauge any adequately resource and insist upon. But such
likely emerging impact, even helping us to resources are either frittered away in dry,
peer down the line with some helpful lifeless and pointless attempts at M&E or
anticipation. From that interpretation, we they are the least resourced and least insisted
may improve or shift our practice, or even upon line item in the budget.
shift our purpose as new realities show us What is more difficult is to let go of the
now what might be possible or not.
obsessive need, in the name of accountability
Again, its a humble learning process. Indeed, and results-based management, to control
change is intrinsically a learning and and comply with theoretically suspect
unlearning process and so it makes sense to contracts and plans that must themselves be
embed our change method in these. adapted to the complexity of change. It may
seem risky to let go of control that is based
How can theory help us to tie together what on systems of compliance, on signed
little we know into a change narrative of contracts and the fear of funding not being
better learning from the past, engaging with renewed. But that control is illusory and
the present and then planning, or better defeats the very purposes it is designed to
preparing ourselves, into future? protect.

We have tried the business-like, logframed-


Some final thoughts based way and it has failed. We worry that
We already know that we must become Theory of Change is not much better in its
better at learning, even researching, our way current use, particularly because little seems
forward together, but this can only happen if to have changed in the hierarchy of
we put aside proper time and resources to relationships between donor, partner and
widely share and reflect on our experiences, beneficiary. These are still, more often than
across sectors. not cunning development programs for
passive recipients, participating in processes
Yet still we compete, donor against donor,
that they do not own.
NGO against NGO, vying for funding and
political attention. Imagine if, as donors and Having said this, and based on the experience
partners, we could pool our efforts, time and of those who have chosen to break from
resources to research and learn together, convention, we hold hope, as Merton exhorts
concerned more about the quality of our us, in concentrating on the truth of the work
collective learning and practice than whose itself and that with learning and imagination
next funding grant will be approved and we can, as true partners, meet our shared,
whose will not. complex realities to navigate our ways
creatively into the future.
But do we have time? Well, we can only have
as much time, relatively speaking, as
woodcutters have to sharpen their saws. Any
less time invested than is needed means that

Theories of Change Concentrating on the Truth of the Work Page 10

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