Oak Foundation Capacity Building Playbook PDF

Playbook Oak Foundation Capacity Building Playbook Introduction This document articulates Oak’s core approach to capacity building – our...

Playbook Oak Foundation Capacity Building Playbook Introduction This document articulates Oak’s core approach to capacity building – our playbook. Our vision is for grantees to become stronger and more able to achieve their goals viably into the future. We focus on assisting individual grantee organisations to access appropriate support to help them along their learning journeys. This playbook guides Oak staff in how best to do this. This playbook originated from Oak`s Programme Officer (PO) learning programme in 2018-2019. It emerged from an analysis of Oak`s own experiences from nine capacity building case studies and four guidance documents, together with the insightful staff contributions throughout the course. It has been documented by Rick James (INTRAC) and Adriana Craciun. All documents mentioned here can be found under the Guidance menu on the main page of the Nonprofit Builder, through your Okta link. V.3 MM – 15.05.19 2 Oak Foundation Capacity Building Playbook Oak`s collective experience shows that Oak believes this approach should underpin capacity building is only effective when the every capacity building initiative (e.g.,, organisation has the motive, means and leadership, governance, strategy, opportunity to make it successful: fundraising, communications, financial management, MEL or safeguarding) in Motive: Motive The partner genuinely owns every grant-making field. the process and has a strong motive to change. This playbook provides Oak staff with further information about most of these Means: Means The capacity providers are topics (additional material can be found high quality, strong collaborators. under the Guidance menu on the main page in the Nonprofit Builder, through your Okta Opportunity: Opportunity Oak provides link). POs and Programme teams can use thoughtful and timely capacity this playbook in planning, monitoring or building support to partners, reviewing any capacity building initiative aligned with its grant making with partners. programmes. When we get these three things right – these stars are aligned – our capacity building support makes a difference. This playbook explains why each of these elements is so important, and what Oak POs can do practically to help assist alignment. V.3 MM – 15.05.19 3 Oak Foundation Capacity Building Playbook Star number 1 Ownership by the partner of the Unless the partner is genuinely open and capacity building process ready to change, there is little point in Ownership by the partner is the single most spending time and money imposing capacity important factor determining the success of building on partners. As one Oak staff any capacity building initiative. Partner acknowledged: “It was really stupid of us to ownership was a key success factor in every propose this [governance support] to the one of the nine Oak case studies. It is hard to partner knowing the leadership situation. overestimate the importance of ownership. I don’t blame them, I blame ourselves”. The case studies proved that the leaders, in particular, needed to believe in and drive the change process. Acceptance or acquiescence is not enough. It takes leaders to be open, not just to change in their organisation, but change in themselves. Oak has found that change happens when “leaders are willing to put egos aside and ask themselves difficult questions”. V.3 MM – 15.05.19 4 Oak Foundation Capacity Building Playbook Get to know the partner really well. The PO The money should come through the partner’s needs to understand what really makes the budget as much as possible, preferably from partner behave as it does - to ‘look below the their own core funding or existing capacity waterline’. The Oak PO needs to have earned building budget line. This allows partners control trust to have enough openness and access. POs of the budget and ensures that that they are have found it helpful to “carve out time in invested in the process. grantee check-in calls and site visits to ask about Only in very specific cases, make capacity their larger organisational big picture, not just building a condition of the grant. On rare the specific project”. It is really important for POs occasions, Oak has made capacity building to understand the history of the relationship mandatory – for example where some partners between the partner and Oak, as well as the role are strategically vital to Oak’s programmes of Oak in the partner`s portfolio of funders. (sometimes called ‘cornerstone’ partners) or Raise issues with partners through open where there are major issues, such as concerns questions and discussions. It helps ownership if about proper safeguarding of people and these discussions do not simply focus on resources. Taking such a directive role runs the negatives or gaps but seek to build on partners’ risk of manipulating the partner and strengths. Oak can influence without undermining ownership, so it helps to have an compromising ownership where there is a high open conversation about Oak`s motives and level of existing trust. intention and explore where each other`s aspirations and values converge. Consider hiring Suggest facilitated self-assessments where a sensitive and wise consultant, mutually appropriate. If a partner has the time and space acceptable to Oak and the grantee, who is not to diagnose itself and prioritise capacity building seen as an agent of the donor and is able to needs (usually with skilled external facilitation), cultivate partner ownership. this helps partners own any resulting process. Oak will sometimes decide to delay investing in Ensure that the partner decides for itself to capacity building until a more favourable time. start the change process. Initiating any capacity Although Oak may desperately want to help a building has to be an explicit choice of the struggling grantee, if the leadership is resisting partner, not something that Oak decides on their change, then it will not work. For example, in behalf. For example, in the case study of a one of the case studies, it took a change of Board capacity building programme in North Carolina, Chair to create the space for change. Provided receiving capacity building support was not there is sufficient trust (and while remaining mandatory. Grantees had to intentionally opt in. aware of our donor power), Oak can have a Let the partner choose and contract the constructive conversation with the grantee consultant. Oak can help by providing ideas or about their challenges and our own reservations advice with inputs on developing a clear term of about investing in high risk cases. reference and what to look for in a consultant, but the partner should make the final choice. Oak staff have found that “if partners choose, they take responsibility”. V.3 MM – 15.05.19 5 Oak Foundation Capacity Building Playbook Star number 2 Capacity building providers and programmes come in all shapes and sizes. Some contexts and disciplines have a plentiful supply; others hardly Character any. Not surprisingly, the geographies with the Commitment takes character – the humility to highest capacity building needs are often the genuinely believe the partner knows best. places with the most limited supply of quality Beware of consultants and trainers who see providers of support and consultation. And even themselves as experts, giving recommendations those that look good on paper may not display and telling the organisation what to do. Instead, the characteristics outlined below. look for “a genuine facilitator who empowers organisations to find their own answers to Increasingly, Oak provides funding through dilemmas” as one PO put it. Another described intermediaries who then sub-grant to partners. the consultant as “sensitive and soft, listens with Some of these local grant makers also offer great respect, almost deferentially and comes to capacity building services. It matters hugely if be seen as a friend and ally. And yet speaks these intermediaries are making grants to directly – a trait appreciated in the Balkans.” The support capacity building or actually providing case studies highlighted that good facilitators capacity building services themselves. Oak knows also had the courage to confront partners. They that partners might feel too vulnerable to reveal are “diplomatic, but firm”. They are prepared to fundamental issues to a capacity building “tell it as it is”. provider who also provides funding. They will not want to reveal any weaknesses that could Competent compromise their income. In addition, facilitating All the case studies also showed that effective capacity building involves a very different skillset capacity building providers must be competent from grant management. and experienced. They must know how people and organisations function and change. They What do we mean by high quality? Oak has clarify expectations from the start. They are found the most effective capacity building skilled in facilitating group processes. They can providers are: listen deeply and make sense of what they hear. It helps if they are local, because not only are they Committed to the partner around to provide follow-through, but they also They take a partner-centred approach – as one speak the local language and know the partner’s PO said, “She serves the partners, not Oak, even context. They appreciate cultural issues (such as though it is us who is paying her”. They see the how to have certain conversations, how to frame partner as their client, reporting directly to the partner, not Oak. If partners view the provider as “one of us”, an ally, this helps show they are committed to the cause. Most independent consultants must work to earn an income, but good consultants give the impression of a vocational commitment. As one PO said: “It is not just how she earns a living, it’s her calling”. V.3 MM – 15.05.19 6 Oak Foundation Capacity Building Playbook issues, how to interpret what partners are saying) and in some cases may have more legitimacy. Designs quality processes Quality consultants have the competence to design capacity building processes that are likely to catalyse change. Oak’s experience reveals effective processes: - Retain partner ownership through a facilitative/coaching approach. They leave decisions to the partner. As one consultant said: “They wrote their strategy. I refused to do it for them”. - Use consultative, participatory, inclusive processes that reinforce partner ownership (these may need cultural adaptation). In most of the case studies, semi-structured interviews and facilitated group processes helped cultivate ownership. - Take an applied, experiential approach such as the practical assignments which reinforce the training element, as presented in the case study of the Women`s Safe House. - Readiness to engage with the emotional aspects of any change was an explicit part of several case study examples. Fundamental change involves “getting to people’s hearts and minds”. - Taking an appreciative approach is more effective than simply focusing on gaps and problems. - Allow time for gradual and incremental change, rather than assuming it will all happen overnight in one shot. V.3 MM – 15.05.19 7 Oak Foundation Capacity Building Playbook What can Oak do to help grantees identify and Helping partner choose a consultant. Grantees access good consultants/good capacity building should make the final choice of consultant/ provision? provider; however, POs are often asked to help partners shortlist consultants for interview or, on Oak POs may support partners find good occasions, to sit on interview panels. This can be consultants by: very time-consuming and undermine ownership if Oak is perceived as over-influencing the Supporting with the joint scoping of what is decision of the partner. POs are the best placed needed and what they should ask the to make the decision on how far to go. consultant/provider. This is not about doing the Investing in strengthening the supply of local diagnosis but spending time with the partner consultants can make a massive and sustainable clarifying expectations and assisting them to difference, not just to individual partners, but to draft a clear Terms of Reference. Having a well- the sector as a whole. Oak found in the Belize defined problem or ask helps the selection of the case study: “for the sustainable supply of services right consultant with the right skillsets. to Community Based Organisations (CSOs), it was Talking through the selection process, sharing really important to build the pool of local Oak’s experiences of what makes a good consultants, rather than just work on governance capacity building provider, and helping partners with specific partners”. This creates a much identify their own criteria. healthier capacity building support structure for partners that will last far beyond the one-off Signposting to consultants. Oak already has an capacity building interventions. It builds the field. informal network of trusted national consultants that partners have used before. The Oak capacity building adviser or other POs may have suggestions; it is a good practice to recommend at least two or three consultants from which the partner can make their choice. Oak is currently trying to formalise this into an accessible database, through the Non-profit Builder. V.3 MM – 15.05.19 8 Oak Foundation Capacity Building Playbook Star number 3 Most organisations fail to change simply because Any change process needs follow-through. they are too busy. They have no time to think. Change is a gradual process, which is why follow- They may be overwhelmed by disasters in the up support, such as monitoring and mentoring, is environment (whether natural or political). They so critical to effective capacity building. It is may be too tied up with urgent programme or important to “adopt a measured – paced - management issues. These all inhibit addressing approach; allow time and be patient”. As one longer-term capacity questions. Oak consultant put it: “change is a long-term process, not parachuting in a consultant for two Capacity building events, like workshops or days. It takes more than one session to change trainings, can help create some space, both for habits of many years. More like drip-drip than all individuals and for groups. Simply getting busy at once.” colleagues together and creating a safe, facilitated space to discuss some fundamental Change is not an instant, one-off event. It takes questions about performance, direction, culture time to change. The case study examples took and change can be incredibly powerful triggers between one and three years to bear fruit. for organisational change. But what really matters is what happens after the workshop or training. Too often, individuals returning from one-off trainings are faced with a build-up of emails and tasks and never take action on what they learned. That’s why it is often helpful to have more than one individual participate in a training or, better still, in-house training processes. But we also know that even the action plans, enthusiastically developed by groups in workshops, are not always implemented. V.3 MM – 15.05.19 9 Oak Foundation Capacity Building Playbook Fund capacity building processes within grants. Align with own grant strategy and support of Capacity building requires investment. POs can programme. Oak’s programme funding plays an support these through core funding or by important role in whether (or not) a partner has allowing capacity building to be funded within time and space to implement change. Grants programmatic grants. It needs quality capacity should encourage and even incentivise the building providers, who are rarely cheap, hoped-for changes and not send mixed particularly in areas or domains where the messages. In the context of exit, where supply is limited. As one PO said: “the consultant programme support is ending, this may be may be expensive, but she is super-good. If we different. Oak may need to push the pace are not prepared to invest, it is better not to artificially fast. But even in exit, Oak should stick start”. Mediocre consulting will not help and to this playbook approach as much as possible. may even harm. Align with other funders. Just as Oak’s grant Fund capacity building processes via funding support will influence whether or not intermediaries. If Oak structures its funding for the partner changes, it is the same with other capacity building through an intermediary, it is funders. To give partners maximum opportunity important to find a good one, who has managed to change, it helps if Oak is on the same page as capacity building grants before or has in-house the other funders, incentivising the same things capacity building expertise to drive the process. and not overwhelming the partner with contradictory demands. It is important to foster Signpost to capacity building opportunities collaboration with other funders to bring from Oak pooled fund. POs can help partners convergence of efforts rather than diffuse and access the priority capacity building services contradictory capacity building programmes. that Oak already sponsors through grants made from the capacity building pooled fund (e.g., Learn intentionally. Oak POs can support resource mobilisation or leadership coaching) or change through intentional learning about what other Oak-wide sponsored opportunities (e.g., is working in capacity building and what is not. safeguarding). For example, the developmental evaluation of Pay attention to the process but keep a hands the capacity building grants in North Carolina off approach and give it time. Oak POs can play provides excellent learning opportunities for an important role in helping the partner improving future capacity building. implement the capacity building action plan simply by regularly asking how things are going. It is important to factor in follow-through to the change process. But Oak POs need to be patient – capacity building change takes time, especially as partners are still working full time implementing their mission critical programmes. One consultant said: “I salute Oak for its understanding and patience… Regardless of how good Oak’s ideas were, it would have inevitably removed ownership”. V.3 MM – 15.05.19 10 Oak Foundation Capacity Building Playbook Getting partner ownership, ensuring quality We live in the real world. We will rarely, if ever, facilitation and providing appropriate support find perfect alignment of these three capacity for capacity building sounds simple enough. The building stars. The good news is that we can practical reality is challenging: Oak can only build trust between partners and Oak, and the influence how these stars align; it cannot partners and the consultants can cover many control them. For example, Oak’s funding power deficiencies. Oak has seen first-hand that if we means it can only speak through a megaphone. follow this approach, it is possible for partners The more it pushes for capacity building, the to transform a potentially fatal weakness into an more it may undermine partner ownership. Oak inspiring strength which can even impact the may be able to help partners identify and access whole sector. quality capacity building providers, but the final choice has to remain in partners’ hands – even if At Oak Foundation we are fully committed to that means they opt for what seems lesser helping our partners by understanding their ‘quality’. And building the field by increasing the needs and helping them to achieve their goals supply of quality local consultants, is a costly through high quality capacity building that is and time-consuming endeavour – and one that owned by them and tailored to their specific may benefit the broader sector more than needs. individual Oak partners. Even though POs have most influence over the way Oak gives capacity building support, they too must respond to internal demands and, ultimately, how much opportunity they give partners to change may not be their decision. V.3 MM – 15.05.19 11