Theory of Change Workshop

Bistandstorget 

February 2012 

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

Learning 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 them• Be able to identify how and when they should be developed 

and how they inform and complement other planning and M&E tools

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

• Have explored ways to facilitate the development of Theories of Change within your own organisations and/or with partner organisations

• Have developed an action plan for applying the learning from the workshop

 

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 Interconnecting Elements

1. How Change Happens

2. Change pathway

3.Impact assessment framework

4. Reflection and

adaptation of ToC

 

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

 

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

 

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

 

Element 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 effectively To what extent did we achieve or influence the changes we planned?What does this tell us about how change happens and our change pathway?

 

How do they complement other planning and M&E processes?

• Strategic plans?• Log frames?• M&E systems?• Learning loops?

What is a ToC?

Change?

How they are being used

 

• 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?

Carrying Out a Theory of Change Process

Note of Caution

If you skip the process part,

the ToC becomes yet another head office driven paper exercise.... Its not worth

doing!!

 • 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 organisational (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?

 

In your groups...

• Share your own experiences of developing and using Theories of Change

• Discuss: – advantages they might they bring– challenges/questions and doubts about developing and using them

See handouts for more information

 

Advantages: what partner organisations have said:

 

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 2

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

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

Example 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

A 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.

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•  …..

Task in small groups:

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!)

2. 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).

Vision of success

 

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

More academic approach 

More  PRA approach

Developing an Organisational or Programme Change Pathway

Session 3

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

 

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

 

Three different organisations

1. A campaigning organisation based in the UK, working mostly at national and international levels

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

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

 

Developing the Change Pathway Step 1

• Review the first exercise:– 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 beyond the scope of your organisation or programme?

 

Developing 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)?

 Use post its for all statements !

1. Clarify and write up overall goal (place on far right)

2. Identify and write up your high level strategies (what you do with whom) –one per post it. Place in a line on the left side

3. Create “ so that” chains..by doing xxx we will achieve xxx ( change) in the short term which will lead to xxx (change) Write these up

4. Link strategies with short term outcomes and goals (place post its on chart and link with arrows)

5. Test the logic - does it work?

6. Articulate your assumptions ( either on chart or attached)

Suggested method for developing chart

Example of a change pathway

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

Assessing the impact of our efforts

Session 4

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

 

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

 

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”

It explores and answers the most important question of all: So what actually changed?

 

Why 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 work

• To contribute to policy development and effective advocacy

• To help demonstrate organisational performance

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?

The differences - in brief

Domains of Change Framework for Empowerment and rights

1Changes in the ability

of marginalised women and men to

access and enjoy their full human

rights

5Changes in individual self confidence and

self efficacy

4 Changes in ability

and collaboration of marginalised groups in fighting inequality and claiming rights

3 Changes in civil

society organisations’ capacity to support

marginalized groups to claim their rights

2 Changes in

Governments and non state actors[1]

willingness and ability to deliver on their responsibilities for most marginalised

people

Outcomes

Policies and laws supporting rights of marginalised  people are developed strengthened and implemented 

Government and non state actors allocate adequate resources and ensure availability and access of services for all marginalised people 

Governments and non state actors operate in equitable and transparent ways 

Effective and accessible mechanisms to seek redress for marginalised people are in place 

Outcomes

CSOs facilitate space for communities and marginalised groups to influence decision makers 

CSOs challenge duty  bearers and  those discriminating against rights holders

CSOs and communities monitor duty bearers and hold  them to account

Communities are aware of the rights  and implications for their roles and responsibilities 

CSOs advocate for social change

Communities promote inclusive values

Access to available goods and services is equitable 

[1] Non state actors includes the private/ corporate sector and international organisations 

Outcomes

Marginalized women men, girls and boys  have improved self image 

Marginalized women men, girls and boys  feel capable of and can influence decisions that affect their lives 

Marginalized women  men, girls and boys   have adequate life skills, including literacy and numeracy 

Marginalized women,  men, girls and are secure and safe 

Outcomes

Marginalised groups better understand their rights and responsibilities 

Marginalised groups coordinate and/or play a role in bringing about change 

Marginalised groups influence decision makers in issues that concern their lives 

Marginalised groups call on existing legislation and judicial services and systems to support their rights  and hold duty bearers to account claims 

Marginalised groups actively participate in democratic spaces 

Day 2

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

 

ToC - Four Interconnecting Elements

1. How Change Happens

2. Change pathway

3.Impact assessment framework

4. Reflection and adaptation of ToC

What is a ToC?

Change?

 

Reflection 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?

 

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– Tracer  and tracker studies– Ensure key moments of critical reflection– Commission a retrospective study

Examples of Impact Assessment Frameworks:

 

What’s involved in developing/ facilitating a Theory of Change process?

• The starting point and initial preparation• Getting buy in and ownership• A strong workshop process and a good facilitator

• Commitment to follow up and make sure results are  communicated and used effectively 

Session 2

Contact INTRAC Training:

Telephone: +44 (0)1865 263055Website: www.intrac.orgEmail: training@intrac.orgTwitter: #INTRAC_UK

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

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?

A 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 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 

Carrying Out a Theory of Change 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

 

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

More academic approach 

More  PRA approach