On Wednesday 19 September 2012, Centre for Development Innovation, Wageningen UR together with SNV organised a full-day seminar to discuss the application of the now widely used Theory of Change (ToC) thinking in Multi-Stakeholder Processes. This is a report of the seminar

Leuvenink, A.

Mostert, R.H.

Oosterhuis, T.

Verhoosel, K.S.

Name not available

Theory of Change thinking applied in MSPs

Wageningen Yield 

  
Theory of Change thinking 
applied in MSPs 
 
Annemiek Leuvenink 
Thijs Oosterhuis 
Riti Herman Mostert  
Karen Verhoosel 
 
Seminar Report
 
  
The Centre for Development Innovation, part of Wageningen UR (Wageningen University & Research centre) works on 
processes of innovation and change in the areas of secure and healthy food, adaptive agriculture, sustainable markets and 
ecosystem governance. It is an interdisciplinary and internationally focused unit of Wageningen UR within the Social Sciences 
Group. 
 
Through facilitating innovation, brokering knowledge and supporting capacity development, our group of 60 staff help to link 
Wageningen UR’s expertise to the global challenges of sustainable and equitable development. The Centre for Development 
Innovation works to inspire new forms of learning and collaboration between citizens, governments, businesses, NGOs and the 
scientific community. 
 
More information: www.wageningenUR.nl/cdi 
 
 
 
Innovation & Change 
 
 
Ecosystem Governance 
 
 
Adaptive Agriculture 
 
 
Sustainable Markets 
 
 
Secure & Healthy Food 
 
 
 
 Theory of Change Thinking applied in MSPs 1 
Theory of Change Thinking applied in MSPs 
On Wednesday 19 September 2012, Centre for Development Innovation, Wageningen UR together with 
SNV organised a full day seminar to discuss the application of the now widely used Theory of Change 
(ToC) thinking in multi-stakeholder processes (MSPs). 
The seminar was part of the international 3-week course ‘Facilitating multi stakeholder processes and 
social learning’ organised by the Centre for Development Innovation, which was attended by more than 80 
professionals from all over the world. 
The seminar looked at the current use and application of ToC thinking in multi stakeholder processes. 
Practice of MSPs has evolved strongly over the last 10 years towards far-reaching ambitions of improving 
dynamics in multi-actor systems. But what kind of change do we envision with our interventions? What are 
the underlying assumptions? And what change do we really accomplish? 
The objectives of the day were: 
– To share knowledge about ToC; 
– To improve understanding of the use of ToC; 
– To share experiences from the field; 
– To provide a learning opportunity; 
– To expand our networks.  
 
Two speakers shared their experience and provided the participants with reflections from the 
field food for thought:  
– Isabel Vogel did a major review of the ToC practice of DFID. DFID has been working formally with 
theory of change in its programming since 2010. Isabel Vogel looked at the application of ToC in 
programmes by civil society organisations, implementing agencies and bilateral donors, and shared 
the main findings of the review; 
– Jan Ubels from SNV shared latest thinking and challenges from his organisations’ ample experience 
with intervening in multi-actor systems. Jan Ubels drew from the rich experience of SNV in 
agriculture, WASH and renewable energy to discuss key challenges and possible solutions in using 
MSPs for systemic change. 
Three key questions guided the discussions during the seminar:  
– What are the current use and application of ToC thinking? 
– How can ToC thinking be a useful lens to reflect?  
– How can ToC thinking help to make assumptions more explicit and actions more successful? 
 
These questions, related to various topics, were discussed in parallel working groups:  
– Balancing uniformity and diversity in ToCs; 
– Practicing visuals of ToC; 
– Articulating assumptions that underpin MSP ToC; 
– Embedding the use of ToC into design, monitoring and evaluation of MSP practice; 
– Capacities for doing and thinking ToC. 
 
Each of the practical sessions formulated a number of statements as input for the plenary session at the 
end of the day. 

 Theory of Change Thinking applied in MSPs 3 
Keynote Speaker Isabel Vogel  
The first keynote speaker was Isabel Vogel, an independent consultant supporting organisations to achieve 
their social goals through learning, evidence and innovation. Isabel Vogel did a recent study for the UK 
DFID (Department for International Development) and their use of the Theory of Change. The DFID 
commissioned the review to learn from practice, inform a more consistent internal approach and share 
learning across international development. 
In her presentation Isabel Vogel aimed to answer the following questions:  
– How do people use Theory of Change? 
– How can we make our initiatives more effective?  
 
ToC helps to build a connection between what you want 
to achieve and achieving it. Theory of Change thinking 
challenges people to think about the elements that 
create change, as well as to make their underlying 
assumptions explicit. Working with ToC is not easy, as it 
requires critical reflection on current practice. Theory of 
Change is holistic, realistic and has emphasis on 
influencing and supporting change. It is a non-linear 
model focusing on the process and allowing for 
reflexivity and adaptation. Therefore it can function as a 
framework for supporting multi stakeholder processes.  
Challenges 
There are a few challenges when working with Theory of Change. There can be radically different views 
possible on change. How change happens and how to make these ideas and assumptions explicit is not so 
easy. Another challenge is to to keep thinking and reflecting on ToC.. Isabel Vogel defined three 
challenges. 
 
 
Challenge 1: Theory of Change thinking requires logical thinking and critical reflection 
ToC requires understanding the complexity of a situation including the individual, the social and political 
realm. Theory of Change thinking should combine logical thinking with critical reflection to explore different 
views on change. 
Tips to combine logical thinking with reflecting and taking the complex situation into account: 
– Group discussions: participatory, involving stakeholders; 
– Long term change is clear, specific and plausible: who’s involved, what, when, where, and why; 
– Assumptions need to be expressed and explored; 
  4
– Visualization representation should be understandable for outsiders; 
– Enrich the reflections with external learning (learning from outside factors); 
– Use and review the ToC often; 
– ToC requires time for ideas to be created. 
 
Challenge 2: Making assumptions explicit. Why is it so hard?  
Personal assumptions and wishes shape our behaviour and these influence interactions between the social 
and actual world. It is therefore important to make these implicit ideas explicit. Doing this is a challenge, 
because it requires changing one’s view. When introducing new thinking or behavioural change it is likely to 
challenge the existing dominant view. Critical reflection will change the organisations and the stakeholder’s 
way of thinking. Although it may be difficult it can be addressed and facilitated.   
Tips to make assumptions explicit:  
– Be clear about the purpose for ToC 
– Anticipate focus and facilitation for assumptions 
– Categorise the assumptions; 
o Look at the cause-effect of the assumptions; 
o Look at individual’s paradigms and worldviews; 
o Look at the context of assumptions. 
o Look at the strategy and implementation 
o Look at the belief systems in society 
– Select a few assumptions to work with 
 
Challenge 3: Maintaining the Theory of Change way of thinking 
The third challenge is to maintain the newly acquired way of thinking. As the ToC is an on-going learning 
process and fosters continuous dialogue it is not like a one-off proposal stage process. Theory of change 
thinking needs to be approached from a learning, not a compliance approach. Imposing or creating a 
mandatory and prescribed process and product will surely lead to discontinuation and resistance to ToC. 
Tips to maintain the Theory of Change way of thinking: 
– Building more flexible systems and culture of adaptive management; 
– Maintain real learning and avoid bureaucracy; 
– Staffing and resourcing of learning in programmes; 
– Don’t make it an obligatory process but a learning process; 
 
Conclusion 
Some of the enabling factors for ToC are to create space for interaction, to support wider learning by all 
involved, to emphasise the nonlinearity in the process, to allow for uncertainty and emergence of issues, 
to acknowledge subjective limits of ToC, use ToC visuals to support dialogues and to open up new areas 
and innovate, and  encourage donors, funders and grant-makers to make justified adaptations during the 
implementation. 
Although the introduction of ToC can be 
challenging, it gets easier with practice. 
ToC puts things in a holistic perspective 
and involvement of stakeholders 
supports stronger programme design 
and implementation. ToC should be 
facilitated to share different ideas, to 
become inspired, to innovate, and to 
improve.  
 Theory of Change Thinking applied in MSPs 5 
Keynote Speaker Jan Ubels 
Jan Ubels is the Senior Strategy Advisor at SNV (Netherlands Development Organization) and has 
extensive experience with MSPs in agriculture, water sanitation and renewable energy. In his key note 
Ubels is positive about ToC for non-profit businesses. He stated that NGOs play an important role in 
innovations for development, which are then followed by the market. ToC is thought to be important for 
these innovations.  
Jan Ubels urges not to think in terms of an ideal ToC for each development programme. It is about the 
ability to see, combine and effectively use different change dynamics. Ubels used the ‘five change 
paradigms’ model of Leon de Caluwe and Hans Vermaak which represent five ways of thinking about 
change, each represented by a different colour (see figure 1). Each colour has its assumptions about 
human behaviour and how behavioural change can be stimulated. This model could be helpful to uncover 
assumptions and paradigms that inform ToC. 
Figure 1: Five colours of change 
 Core focuses and strategies Pitfalls
Yellow Interests, negotiation, consensus building, dealing with conflict Tough lengthy processes, least common 
denominator 
Blue Facts, rational choices, planning, control Ignoring external forces irrational dynamic 
hidden 
Red Motivation, entrepreneurship, providing incentives, enabling 
environment 
Ignoring power issues, destructive competition 
Green Curiosity, learning, feedback and skills, open communication Excluding no-one, content but lack of action 
White Evolution, self-steering, creating meaning, process facilitation Superficial understanding, laissez-faire-chaos 
 
This model can help to: 
– Clarify communication, deal with misunderstandings; 
– Characterise dominant paradigms in groups; 
– Map possible strategies, choose/develop a fitting one; 
– Reflect on assumptions, own competencies and limitations. 
 
Different actors (government, NGOs, entrepreneurs) encompass different models of change. Any 
development intervention today is an effort to make a multi-actor system function at a new level of 
performance, effectiveness, sustainability, equity, learning, efficiency and accountability. Hence, any 
intervention is based in a model of change..   
During the presentation a short movie was shown about a biogas installations-
project at community level in Nepal in which SNV was involved. Even though 
ToC was not applied during that project, this example showcased how the five 
colours of change were present and therefore which assumptions and 
thinking were applied. For example, the project was led by a market driven 
approach (red). The financing was done the private sector (red). There was a 
carbon credits regulation (blue), and overall there was a lot of learning 
(green). SNV’s role changed during the process from being very hands-on 
(yellow) to more facilitating (white). To answer the question ‘how does change 
happen’ and to construct a ToC it is important to note that each case is very 
different and hence to consider the context and the country carefully. 
 
  6
 
Some conclusions from the colour model connected to the ToC perspective:  
– In every example there is a dominant model of change (a dominant colour). Here it is important to 
apply various layers and to view different perspectives in order to consider other models of change 
(rainbow of colours).  
– A ToC will be different for each country or context and it is a major challenge to design it together 
with all actors.  
– It is seen that matches are made between organisations embracing the same ‘colours’ and 
assuming the same change models. Advice is to be very honest about the ‘coloured’ tendencies 
and abilities of an organisation or an MSP. 
Jan Ubels finalised with sharing a few lessons learnt about facilitation. Institutionalization can lead to a rigid 
and bureaucratic platform, because many ideas or processes get tackled before they can mature (this 
means that there is too much blue and yellow according to the colour model). Nonetheless, a ToC needs 
some kind of formalization. Learning spaces (green) are needed and special moments should be created 
for this. Examples are small think tank groups, set meetings (brown-bag meetings), workshops. Lastly one 
can mobilize neutral players, such as facilitators (white) to develop dynamics and capacity for change. 
 
 Theory of Change Thinking applied in MSPs 7 
Further Reading 
For further reading the following websites are suggested: 
 
About Theory of Change:    
http://www.hivos.net/Hivos-Knowledge-Programme/Themes/Theory-of-Change  
 
About Multi Stakeholder Processes:   
http://www.wageningenportals.nl/msp    
 
Report Isabel Vogel on the DFID review:  
http://www.dfid.gov.uk/r4d/Output/190843/Default.aspx 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
Centre for Development Innovation 
Wageningen UR 
P.O. Box 88 
6700 AB Wageningen 
The Netherlands 
 On Wednesday 19 September 2012, Centre for Development Innovation, Wageningen UR together with SNV 
organised a full day seminar to discuss the application of the now widely used Theory of Change (ToC) 
thinking in Multi-Stakeholder Processes. 
More information: www.wageningenUR.nl/cdi 
 


Theory of Change thinking applied in MSPs

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