theory of change workshop oxford june 2013 contact intrac training: telephone: +44 (0)1865 263055...

Theory of Change Workshop

OxfordJune 2013

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: [email protected]: #INTRAC_UK

Learning Outcomes

By the end of this workshop, you will : • Be able to describe what Theories of Change involve

and the rationale for using them• Be able to identify how and when you should be

developed and how they inform and complement other approaches to planning, evaluation and impact assessment

• Have increased confidence in working through the steps and processes involved in developing and using Theories of Change

• Have explored ways to facilitate and promote Theory of Change approaches within your own organisation.

What is a Theory of Change?

As it says!• An ongoing process of reflection to explore change and how it

happens – and what that means for the part we play in a particular context, sector and/or group of people:

– It considers a programme or project within a wider analysis of how change comes about.

– It makes us explain our understanding of change – but also challenges us to explore it further.

– It is often presented in diagrammatic form with an accompanying narrative summary”

• The focus is on what we think will change, not on what we plan to do.

Origins of Theory of Change

Complex evaluations

Questioning the assumptions behind development thinking

Freire:‘theory in use’

Theories of social change

Lack of clear frameworks to assess programmes

Lack of connection between desired outcomes and activities

Dissatisfaction with logframes

More complex, systemic, network approachesIncreased demand for showing impact

Current interest

Need for focus in programmes

Four Key Elements

Understand how change happens and your role in

this

Develop Organisation/Programme

change pathway

Assess the impact of your efforts

Critically reflect on your pathway and how you

thought change happened

Three things to note:

1.Theory of Change is an approach and a process, NOT a tool

2. They are developed and used differently by different groups

3. ToC doesn’t replace results frameworks - they make them stronger

How change happens

Organisation or Programme

change pathway

Impact assessment

Reflection and adaptation of

ToC

ToC = critical analysis process

Logic Model = Accountability

Framework which is informed by ToC

Summary of some of the differences

10

Logic Models Theories of Change

•Representation •List of Components•Descriptive•Used as a management tool

•Situates programme efforts in bigger picture of change •Surface and articulate assumptions•Causal Pathways of Change•Explanatory

Current criteria - DFID

11

• Works best if there is an opportune moment ( resources and the need to reflect):

– In preparation for new strategic plan– Applying for new grant– To inform an evaluation or impact assessment

• Note: very few organisations develop the whole process in one go ( if ever!)

When to develop them?

• No one answer…• Can be… 2-5 pages in length with a short narrative

followed by a diagram. • All sorts of shapes and illustrations • They need to be able to illustrate your organizational (or

programme) pathway to change, and the links and assumptions that you are making in choosing this path

See examples

What do they look like?

Discuss in small groups...

• How much of this is new to you? What isn’t yet clear?

• How is your organisation currently working with Theory of Change ?

• Challenges, opportunities, questions?

Some Advantages

Theories of change can:

• provide a framework for monitoring, evaluation and learning

• help to build common understanding

• support partnership

• bring clarity and focus to programmes

• guide organisational development

• empower those who participate

• can be used as a powerful communication tool

Some challenges Balancing learning and accountability

Adapting process to content

Continuing the learning and reflection

Finding a skilled facilitator

Reconciling it with other organisationalprocesses

Keeping it simple but valid

Session 3



Taster Session: How Change Happens

Element 1: How Change Happens

Big Picture thinking • “How Change Happens” in relation to issues and problems that your organisation or programme seeks to address.

•This thinking goes beyond your own intervention and considers all aspects of addressing identified issues

Different ways of understanding how change happens

Ensure wide consultation and buy in what ever you do

Commission a research paper

Problem tree analysis

Vision of success exercise and critical success factors

Success stories within the community and analysis of why they were successful

Scenario planning with critical analysis

More academic approach

More PRA approach

Case Study Task

Focus on Rights and Empowerment

Dalit communities in India

Dalit

The word "Dalit" comes from the Sanskrit, and means "ground", "suppressed", "crushed", or "broken to pieces".

It was first used in the nineteenth century, in the context of the oppression faced by the "untouchable" castes of Hindus.

For a Dalit girl aged around 12, this might mean

• Not attending school• No outside mobility / restricted to home / move only with elders to

neighbourhood• Totally engaged in care of younger siblings /household chores• No time for play• No personal choices on even basic issues like clothes to wear, friends

to make• Discrimination against boy child even on issues of food, health care,

clothing• Remain silent on hearing abusive comments• Afraid of going to communities of dominant groups• …..

Think about how change really happens for girls in this context

Step 1:

Agree a “vision of success” in relation to girls in this community

– If all issues and problems and their underlying causes were successfully addressed in relation to rights and empowerment for these girls, what would this look like? Be quite specific – write a sentence of no more than 25 words which outlines what changes you expect to see for whom (I have developed one to speed up the process!)

Think about how change happens

Step 2:

Discuss and agree the key success factors would need to be in place to ensure that this vision could become a reality:

– List up to five key success factors that would need to be in place to ensure that this vision could become a reality. For each success factor, be specific about what should be in place and who should be involved.

Note: Think beyond your own organisational strategy – think politics, economics, social relations etc).

All girls in this community access and enjoy their

rights as and are able to fulfil their potential

Key success factor

Key success factor

Key success factor Key success factor

Key success factor

Different ways of understanding how change happens

Ensure wide consultation and buy in what ever you do

Commission a research paper

Problem tree analysis

Vision of success exercise and critical success factors

Success stories within the community and analysis of why they were successful

Scenario planning with critical analysis

More academic approach

More PRA approach

Session 4Taster Session 2:

Developing an Organisational or Programme Change Pathway



Element 2: Your Organisational/ Programme Change Pathway

• This relates directly to your understanding of how change happens (first component)

• It describes in detail your unique ways of understanding and addressing these issues, including:– Who you work with– How you work with them– To achieve or influence what changes– The assumptions that you have made in designing this pathway

Example from CDKN (Climate Change and Development Knowledge Network

Three different organisations

1. A donor organisation which states that it works to achieve the eradication of poverty in India. It mainly funds international NGOs

2. An international NGO with a specific focus on education working through partner organisations

3. A small community based organisation working directly with children and their communities

Step 1- Clarify your potential for influencing change

Based on a sound understanding of the contexts within which you are working and your specific role in the development process, identify:

• which areas of change your organisation or programme can influence

– Directly– Indirectly (other factors/ organisations will

also influence these changes)• which areas of change are beyond the scope

of your organisation or programme

Step 2: Develop your unique change pathway

1. Clarify your goal – ultimate impact that you want to influence/ achieve (result statement)

2. Identify high level strategies – what you are going to do with whom (awareness, collaboration, technical skills development, community mobilisation etc )

3. Create “so that chains”: we do X with xx so that xx (short term change) happens – this leads to xx (medium term change)… to link strategies to goal

4. Link strategies to changes at different levels; and show where changes at different levels influence each other (with arrows).

5. Test the logic and relevance

6. Articulate your assumptions

4 flip chart sheets - individual large post its for each statement

EFL

Encourages role models in

the community

Inspires and motivates people to become

skilled BCP facilitators

Informs and influences decision

makers at all levels

Contributes to:

changes in knowledge,

attitudes and behaviours of

EFL target groups

Contributes to :

1. Reduced prevalence of HIV

2.Improvements in:

HealthRelationships within familiesChild care School performanceSelf esteem and survival skills

Contributes to: improved quality of life

of target groups

EFL IMPACT PATHWAY

Indirect sphere of influence

Psychosocial support for

Orphans and Vulnerable

children

Behaviour Change Process Training programmes

Capacity Building with

satellite teams

Media and Advocacy Initiatives

P

Direct sphere of influence

Day 2, Reflections



Current criteria - DFID

35

How Change Happens - what organisations produce

Example Christian Aid – No Small Change Paper• What is social Change• Change Agents• Structures and Change• Where change happens• Positive change – a two way process• Drivers of Change• Mechanics of change• Allies• What we do• Challenges • Our role

36

Example - Concern Universal:

• Underlying causes of poverty and vulnerability• How does change happen? • How will Concern Universal’s work support

social change?• Programme planning for ‘drivers of change’

37

Relationship between ToC and other processes and systems

• Theory of change is developed to support analysis and reflection

• Results frameworks are developed for management and accountability

Day 2,Session 1

Testing Assumptions and sharing results



Responds to DFID Criteria

(2)A staged process of change is sought

(3) Assumptions are made explicit, categorised and linked to specific aspects

Task for this session

1. Spend 30 mins working on your pathway:– Link at least one strategy to short and medium term

changes and to your goal

2. Review your pathway and surface the assumptions you have made. Answer the following

– Why did you think that xxx would lead to xx? What makes you think that?

– What might hinder this from happening (e.g. costs, opposing views, lack of trust/ capacity/technology, people losing assets ....?)

3. Articulate these assumptions either in list form or on post its on the chart

Responds to DFID Criteria

Session 2

Taster Session 3: Assessing the impact of our efforts and applying this

learning to new programmes of workTesting Assumptions and

sharing results



The differences - in briefMonitoring Evaluation Impact Assessment

Measures on-going activities

Measures performance against objectives

Assesses change in peoples lives: positive or negative, intended or not

Main work during implementation

Main work in middle or at end of project/programme cycle

Can be included at all stages and/or can be used specifically after the end of programme/project

Focus on interventions Focus on interventions Focus on affected populations

Focus on outputs Focus on outcomes and expected impact Focus on impact and change

“What is being done?”

“What has happened? Did we achieve what we set out to achieve?”

What has changed? For whom? How significant is it for them?Will it last?What, if anything, did our programme contribute?

Impact Assessment - definition

“The systematic analysis of significant and/or lasting change – positive or negative, intended or not – in the lives of target groups, brought about by a given action or a series of actions”

Impact assessment framework

• Focus on the articulated changes at all levels• Consider and report on five key questions:

– What has changed (positive/ negative/intended or not)?

– For whom?– How significant is this?– What if anything did our organisation/programme

contribute?

Impact Assessment: Approaches and strategies

• Three approaches:– Post programme: Testing logic of log frame ( impact “evaluation”)– Participatory ToC approach which is used to design monitor and assess

efforts– Research: looking back sometime later and assessing changes and their

relation to programme efforts

• Four strategies:– Build into existing M&E - i– Tracer and tracker studies– Ensure key moments of critical reflection– Commission a retrospective study

Connecting this thinking to ToC

Relating to Element 3: Impact Assessment Framework

This is informed by both of the components above

It provides a robust way of understanding and reporting on your organisation(programme)’s contribution to change

It enables you to test and adapt your Theory of Change

Essential for Assessing Impact – clarity about your sphere of influence

Session 3Facilitating a ToC process in our own organisations



Example of a change pathway

Session 4Work on Case study tasks part 1:



Case Study Task: Your plan to apply a Theory of Change approach to planning and/ or evaluation

• You will be working in small groups to develop an outline plan for developing or facilitating a Theory of Change approach either in your organisation or with your partners.

• Please discuss and answer the following questions.

• Make notes of your answers on flip chart. You will be asked to give a short presentation to the other groups

Day 3 Session 1Work on Case study tasks part 2:



Introducing Theory of Change approach into an organisation or programme

• What are the key lessons?

Some Advantages

Theories of change can:

• provide a framework for monitoring, evaluation and learning

• help to build common understanding

• support partnership

• bring clarity and focus to programmes

• guide organisational development

• empower those who participate

• can be used as a powerful communication tool

Some challenges Balancing learning and accountability

Adapting process to content

Continuing the learning and reflection

Finding a skilled facilitator

Reconciling it with other organisationalprocesses

Keeping it simple but valid

Setting the Context• At what level will you be working? Your organisation? Programme(s)

within your organisation? Partner organisation(s) working to shared goal? Other?

• Why are you planning to introduce/ develop a Theory of Change? And which elements will you prioritise?

• Why now?• What (if any) elements of Theory of Change already exist within the

organisation or programme?• How might this approach complement existing planning and

evaluation tools and processes?• How much time and resources are available for this exercise?

Note: you may not be able to answer all the questions in this workshop, but you should be able to before you start the process

Introducing the ToC approach

• How can you get/ build initial interest in the approach?

Develop a draft plan to facilitate elements of ToC

Using the ideas generated in this workshop and the handouts, as well as your own ideas and creativity, draft an outline plan for a workshop exercise (or series of exercises with different stakeholders) which will enable participants to be involved in the development of one or more elements of the Theory of Change. Please specify:– Purpose and intended outcome of workshop(s)– Which stakeholders would be involved – Elements you plan to cover – Some of the processes or methods that you might use to enable

participants to contribute effectively to the process

How do you plan to use the results of this workshop?

• Briefly outline how you will use the results of this workshop/exercise for planning and or impact assessments

Thinking about starting points for introducing ToC

• How can the theory of change strengthen monitoring, learning and evaluation?

• How can the theory of change inform strategic planning?

• How can the theory of change inform organisation development plans?

• How can the theory of change inform evaluations?• How can you use ToC for funding applications,

fundraising?• How can you use ToC for advocacy and communication?

theory of change workshop oxford june 2013 contact intrac training: telephone: +44 (0)1865 263055...

Documents

understanding of change

theory of change approaches

tool slide

stronger slide

advantages theories

change complex evaluations

origins of theory

impact current