2Learning Outcomes By the end of this workshop, you will : Be able to describe what Theories of Change involve and include and the rationale for using themBe able to identify how and when they should be developed and how they inform and complement other planning and M&E toolsHave increased confidence in working through the steps and processes involved in developing Theories of Change at programme levelHave explored ways to facilitate the development of Theories of Change within your own organisations and/or with partner organisationsHave developed an action plan for applying the learning from the workshop
3What 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.
4Origins of Theory of Change Current interestTheories of social changeComplex evaluationsDissatisfaction with logframesQuestioning the assumptions behind development thinkingLack of clear frameworks to assess programmesMore complex, systemic, network approachesIncreased demand for showing impactLack of connection between desired outcomes and activitiesFreire:‘theory in use’ToC is nothing new in itself – a way of thinking that many in development who analyse and reflect will be consciously thinking about and everyone subconsciously.Always been theories underlying our approach to development from modernisation through to dependency to network or systemic thinking.But Freiran thinking particularly relevant – advocated people analysing their own realities as part of empowerment. Sits behind more exploratory and open approaches.Other main way through 1990s evaluators of complex programmes in USA – Weiss challenged people to make the connection between outcomes and activities – define a pathway that was ‘plausible, doable and testable’. ActKnowledge etcLeading to current interest – again from those two sides. More exploratory open network programmes want better way to think about change. Others want better ways to show impact etcNeed for focus in programmes
5Four Interconnecting Elements 1. How Change Happens2. Change pathway3.Impact assessment framework4. Reflection and adaptation of ToC
6Element 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
7Element 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 withHow you work with themTo achieve or influence what changesThe assumptions that you have made in designing this pathway
8Element 3: Impact Assessment Framework This is informed by both of the components aboveIt provides a robust way of understanding and reporting on your organisation(programme)’s contribution to changeIt enables you to test and adapt your Theory of Change
9Element 4: Reflection and adaptation of your Theory of Change The result of evaluations and impact assessments will provide the information you need to reflect on your ToC:Did we work with the right people?In the right way?To what extent were our assumptions valid?Did we negotiate barriers and facilitating factors effectivelyTo what extent did we achieve or influence the changes we planned?What does this tell us about how change happens and our change pathway?
10How do they complement other planning and M&E processes? Strategic plans?Log frames?M&E systems?Learning loops?
13When to develop them?Works best if there is an opportune moment ( resources and the need to reflect):In preparation for new strategic planApplying for new grantTo inform an evaluation or impact assessmentNote: very few organisations develop the whole process in one go ( if ever!)
14Carrying Out a Theory of Change Process The review found that ToC thinking and processes are useful for everyone – asking the fundamental questions about change and how it happens.But especially for complex programmes/ partnerships/ & those that don’t directly deliver programmesEasier at beginning of programme cycle or strategic phase.But also for evaluationBackwards mapping from changes – but different starting points depending on existing learning approaches, stage of organisation, kind of situation.Initial workshop – some working groups – review points etcParticipatory tools.
15If you skip the process part, Note of CautionIf you skip the process part,the ToC becomes yet another head office driven paper exercise.... Its not worth doing!!
16What do they look like? No one answer… Can be… 2-5 pages in length with a short narrative followed by a diagram.All sorts of shapes and illustrationsThey need to be able to illustrate your organisational (or programme) pathway to change, and the links and assumptions that you are making in choosing this pathSee examples
17In your groups...Share your own experiences of developing and using Theories of ChangeDiscuss:advantages they might they bringchallenges/questions and doubts about developing and using themSee handouts for more information
18Advantages: what partner organisations have said:
19Some challenges Balancing learning and accountability Continuing the learning and reflectionReconciling it with other organisationalprocessesKeeping it simple but validFinding a skilled facilitatorAdapting process to content
21Element 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
22Example workshop exercise Rights and Empowerment Programmes for girls in India..A way of enabling a wide group of stakeholders to think about and contribute their understanding of how change might happen for these girls
23A little context..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.
24For a Dalit girl aged around 12, this might mean Not attending schoolNo outside mobility / restricted to home / move only with elders to neighbourhoodTotally engaged in care of younger siblings /household choresNo time for playNo personal choices on even basic issues like clothes to wear, friends to makeDiscrimination against boy child even on issues of food, health care, clothingRemain silent on hearing abusive commentsAfraid of going to communities of dominant groups …..
25Agree a “vision of success” in relation to girls in this community Task in small groups:Agree a “vision of success” in relation to girls in this communityIf 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!)
262. Understand 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).
27Vision of successKey success factorKey success factorKey success factor
28Different ways of understanding how change happens Commission a research paperProblem tree analysisVision of success exercise and critical success factorsSuccess stories within the community and analysis of why they were successfulMore academic approachEnsure wide consultation and buy in what ever you doMore PRA approach
29Developing an Organisational or Programme Change Pathway Session 3Contact INTRAC Training:Telephone: +44 (0)Website:Twitter: #INTRAC_UK
30Element 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 withHow you work with themTo achieve or influence what changesThe assumptions that you have made in designing this pathway
31Three different organisations A campaigning organisation based in the UK, working mostly at national and international levelsA small community based organisation working directly with children and their communitiesAn international NGO with a specific focus on education working through partner organisations
32Developing the Change Pathway Step 1 Review the first exercise:Identify which areas of change your organisation or programme can influenceDirectly?Indirectly (other factors/ organisations will also influence these changes?Which areas of change beyond the scope of your organisation or programme?
33Developing the Change Pathway Step 2: Based on this understanding, discuss and agree:Who do you plan to work with (which target groups)?How do you plan to work with each of these different groups?What short and medium term changes (for these different groups) you hope to achieve or influence as a result of these efforts?How do all of these factors link together (what leads to what? Who influences whom?)?What are your assumptions in choosing this particular pathway (why this pathway rather than another one)?
34Suggested method for developing chart Use post its for all statements !Clarify and write up overall goal (place on far right)Identify and write up your high level strategies (what you do with whom) –one per post it. Place in a line on the left sideCreate “ so that” chains..by doing xxx we will achieve xxx ( change) in the short term which will lead to xxx (change) Write these upLink strategies with short term outcomes and goals (place post its on chart and link with arrows)Test the logic - does it work?Articulate your assumptions ( either on chart or attached)
36Direct sphere of influence Indirect sphere of influence EFL IMPACT PATHWAYEncourages role models in the communityCapacity Building with satellite teamsContributes to :Reduced prevalence of HIV2.Improvements in:HealthRelationships within familiesChild careSchool performanceSelf esteem and survival skillsContributes to:changes in knowledge, attitudes and behaviours of EFL target groupsInspires and motivates people to become skilled BCP facilitatorsContributes to: improved quality of life of target groupsBehaviour Change Process Training programmes EFLInforms and influences decision makers at all levelsMedia and Advocacy InitiativesPPsychosocial support for Orphans and Vulnerable childrenDirect sphere of influenceIndirect sphere of influence
37Assessing the impact of our efforts Session 4Contact INTRAC Training:Telephone: +44 (0)Website:Twitter: #INTRAC_UK
38Element 3: Impact Assessment Framework This is informed by both of the components aboveIt provides a robust way of understanding and reporting on your organisation(programme)’s contribution to changeIt enables you to test and adapt your Theory of Change
39Impact 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” It explores and answers the most important question of all: So what actually changed?
40Why Assess Impact To understand the implications of our work To become more accountable to those we work with (stakeholders)To support institutional learning and decision making and improve future workTo contribute to policy development and effective advocacyTo help demonstrate organisational performance
41Impact assessment framework Focus on the articulated changes at all levelsConsider 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?
43Domains of Change Framework for Empowerment and rights OutcomesMarginalized women men, girls and boys have improved self imageMarginalized women men, girls and boys feel capable of and can influence decisions that affect their livesMarginalized women men, girls and boys have adequate life skills, including literacy and numeracyMarginalized women, men, girls and are secure and safeOutcomesPolicies and laws supporting rights of marginalised people are developed strengthened and implementedGovernment and non state actors allocate adequate resources and ensure availability and access of services for all marginalised peopleGovernments and non state actors operate in equitable and transparent waysEffective and accessible mechanisms to seek redress for marginalised people are in place2Changes in Governments andnon state actors willingness and abilityto deliver on their responsibilities formost marginalisedpeople5Changes in individual self confidence andself efficacy1Changes in the ability of marginalised women and men to access and enjoy their full human rightsOutcomesMarginalised groups better understand their rights and responsibilitiesMarginalised groups coordinate and/or play a role in bringing about changeMarginalised groups influence decision makers in issues that concern their livesMarginalised groups call on existing legislation and judicial services and systems to support their rights and hold duty bearers to account claimsMarginalised groups actively participate in democratic spacesOutcomesCSOs facilitate space for communities and marginalised groups to influence decision makersCSOs challenge duty bearers and those discriminating against rights holdersCSOs and communities monitor duty bearers and hold them to accountCommunities are aware of the rights and implications for their roles and responsibilitiesCSOs advocate for social changeCommunities promote inclusive valuesAccess to available goods and services is equitable4Changes in abilityand collaboration of marginalised groupsin fighting inequality and claiming rights3Changes in civilsociety organisations’ capacity to support marginalized groupsto claim their rights Non state actors includes the private/ corporate sector and international organisations
50Reflection and Questions Think about the different elements and processes that we covered yesterday:What did you find most interesting/useful about each element?Any questions? Areas where you would like further discussion or clarity?
51Impact 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 effortsResearch: looking back sometime later and assessing changes and their relation to programme effortsFour strategies:Build into existing M&ETracer and tracker studiesEnsure key moments of critical reflectionCommission a retrospective studyIn a project to build social housing for a local community, for example:• Monitoring would relate to the purchase of materials, and building the houses according to plans that have been drawn up.• Evaluation would assess the results of these efforts: how good was the plan? How well were the houses built? Was the project cost effective? But the questions cannot stop there. It’s possible to have well-built, cost effective housing schemes which are no use to those for whom they were intended (e.g. aborigine ‘settlements’). In development, there are thousands of ‘successful projects and programmes’ which fail to make a positive impact on the lives of people they aim to serve. Some projects result in negative impacts.• Impact therefore assesses the ‘So what?’ question: how has this project actually affected the lives of the people it aimed to support?The table below clarifies the difference between monitoring
54What’s involved in developing/ facilitating a Theory of Change process? The starting point and initial preparationGetting buy in and ownershipA strong workshop process and a good facilitatorCommitment to follow up and make sure results are communicated and used effectively
56Please discuss and answer the following questions. Case Study Task: Your plan to apply a Theory of Change approach to planning and/ or evaluationYou 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
57Setting the ContextAt 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
58Introducing the ToC approach How can you get/ build initial interest in the approach?
59A draft plan for you to pilot 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 involvedElements you plan to coverSome of the processes or methods that you might use to enable participants to contribute effectively to the process
60Carrying Out a Theory of Change Process The review found that ToC thinking and processes are useful for everyone – asking the fundamental questions about change and how it happens.But especially for complex programmes/ partnerships/ & those that don’t directly deliver programmesEasier at beginning of programme cycle or strategic phase.But also for evaluationBackwards mapping from changes – but different starting points depending on existing learning approaches, stage of organisation, kind of situation.Initial workshop – some working groups – review points etcParticipatory tools.
61How 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
62Different ways of understanding how change happens Commission a research paperProblem tree analysisVision of success exercise and critical success factorsSuccess stories within the community and analysis of why they were successfulMore academic approachEnsure wide consultation and buy in what ever you doMore PRA approach