Theory of Change
Workshop
Bistandstorget
February 2012
Contact INTRAC Training:
Telephone: +44 (0)1865 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #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
Current interest
Theories of
social change
Questioning the
assumptions behind
development thinking
Freire:
‘theory in use’
Complex
evaluations
Dissatisfaction
with logframes
More complex,
systemic, network
approaches
Increased demand
for showing impact
Need for focus in
programmes
Lack of clear
frameworks to assess
programmes
Lack of connection
between desired
outcomes and
activities
Four Interconnecting Elements
.
1 How Change Happens
4. Reflection
and
adaptation
of ToC
2. Change
pathway
3.Impact assessment
framework
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
When to develop them?
• 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!)
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!!
What 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 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
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
Continuing the learning and reflection
Balancing learning and accountability
Reconciling it
with other
organisational
processes
Adapting process to content
Keeping it
simple but
valid
Finding a skilled facilitator
Session 2
Taster Session:
How Change Happens
Contact INTRAC Training:
Telephone: +44 (0)1865 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #INTRAC_UK
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).
Key
success
factor
Key
success
factor
Key
success
factor
Vision
of
success
Key
success
factor
Key
success
factor
Different ways of understanding how change
happens
Commission a research paper
More academic approach
Problem tree analysis
Vision of success exercise and
critical success factors
Success stories within the
community and analysis of why
they were successful
More PRA approach
Ensure wide consultation and buy in what ever
you do
Developing an Organisational or
Programme Change Pathway
Session 3
Contact INTRAC Training:
Telephone: +44 (0)1865 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #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)?
Suggested method for developing chart
Use post its for all statements !
1.
2.
5.
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 side
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
Link strategies with short term outcomes and goals (place
post its on chart and link with arrows)
Test the logic - does it work?
6.
Articulate your assumptions ( either on chart or attached)
3.
4.
Example of a change pathway
EFL IMPACT PATHWAY
Encourages
role models in
the
community
Capacity
Building with
satellite teams
EFL
Inspires and
motivates
people to
become
skilled BCP
facilitators
Behaviour
Change
Process
Training
programmes
Media and
Advocacy
Initiatives
P
Informs and
influences
decision
makers at all
levels
Contributes to :
1. Reduced
prevalence of HIV
Contributes
to:
changes in
knowledge,
attitudes and
behaviours of
EFL target
groups
2.Improvements
in:
Contributes
to: improved
quality of life
of target
groups
Health
Relationships
within families
Child care
School performance
Self esteem and
survival skills
Psychosocial
support for
Orphans and
Vulnerable
children
Direct sphere of influence
Indirect sphere of influence
Assessing the impact of our
efforts
Session 4
Contact INTRAC Training:
Telephone: +44 (0)1865 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #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
Outcomes
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
5
Changes in individual
self confidence and
self efficacy
2
Changes in
Governments and
non state actors[1]
willingness and ability
to deliver on their
responsibilities for
most marginalised
people
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
1
Changes in the ability
of marginalised
women and men to
access and enjoy
their full human
rights
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
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
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
Day 2
Contact INTRAC Training:
Telephone: +44 (0)1865 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #INTRAC_UK
ToC - Four Interconnecting Elements
.
1 How Change Happens
4. Reflection
and
adaptation
of ToC
2. Change
pathway
3.Impact assessment
framework
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 263055
Website: www.intrac.org
Email: training@intrac.org
Twitter: #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
Commission a research paper
More academic approach
Problem tree analysis
Vision of success exercise and
critical success factors
Success stories within the
community and analysis of why
they were successful
More PRA approach
Ensure wide consultation and buy in what ever
you do