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 Complex evaluations Dissatisfaction with logframes Questioning the assumptions behind development thinking Lack of clear frameworks to assess programmes More complex, systemic, network approaches Increased demand for showing impact Lack of connection between desired outcomes and activities Freire: ‘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 etc Leading 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 etc 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

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 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 programmes Easier at beginning of programme cycle or strategic phase. But also for evaluation Backwards 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 etc Participatory tools.

If you skip the process part, 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 Balancing learning and accountability Continuing the learning and reflection Reconciling it with other organisational processes Keeping it simple but valid Finding a skilled facilitator Adapting process to content

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  …..

Agree 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 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 Key success factor Key success factor Key success factor

Different ways of understanding how change happens 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 Ensure wide consultation and buy in what ever you do More PRA approach

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 A campaigning organisation based in the UK, working mostly at national and international levels A small community based organisation working directly with children and their communities 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 ! 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? Articulate your assumptions ( either on chart or attached)

Example of a change pathway

Direct sphere of influence Indirect sphere of influence EFL IMPACT PATHWAY Encourages role models in the community Capacity Building with satellite teams Contributes to : Reduced prevalence of HIV 2.Improvements in: Health Relationships within families Child care School performance Self esteem and survival skills Contributes to: changes in knowledge, attitudes and behaviours of EFL target groups Inspires and motivates people to become skilled BCP facilitators Contributes to: improved quality of life of target groups Behaviour Change Process Training programmes         EFL Informs and influences decision makers at all levels Media and Advocacy Initiatives P 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 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 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 2 Changes in Governments and non state actors[1] willingness and ability to deliver on their responsibilities for most marginalised people 5 Changes in individual self confidence and self efficacy 1 Changes in the ability of marginalised women and men to access and enjoy their full human rights 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 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 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 [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 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 In 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

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

Please discuss and answer the following questions. 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 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 programmes Easier at beginning of programme cycle or strategic phase. But also for evaluation Backwards 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 etc Participatory tools.

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 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 Ensure wide consultation and buy in what ever you do More PRA approach