Theory of Change Workshop Oxford June 2013

1. Theory of Change Workshop Oxford June 2013 Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

2. 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.

3. 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.

4. Origins of Theory of Change Current interest Theories of social change Complex evaluations Dissatisfaction with logframes Lack of clear frameworks to assess programmes Questioning the assumptions behind development thinking More complex, systemic, network approaches Increased demand for showing impact Lack of connection between desired outcomes and activities Freire: ‘theory in use’ Need for focus in programmes

5. Four Key Elements

6. Three things to note:

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

8. 2.They are developed and used differently by different groups

9. 3. ToC doesn’t replace results frameworks - they make them stronger ToC = critical analysis process Logic Model = Accountability Framework which is informed by ToC

10. Summary of some of the differences

11. Current criteria - DFID

12. 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!)

13. 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 organizational (or programme) pathway to change, and the links and assumptions that you are making in choosing this path See examples

14. 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?

15. 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

16. 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

17. Session 3 Taster Session: How Change Happens Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

18. 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

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

20. Case Study Task Focus on Rights and Empowerment Dalit communities in India

21. 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.

22. 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 •  …..

23. 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!)

24. 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).

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

27. Session 4 Taster Session 2: Developing an Organisational or Programme Change Pathway Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

28. 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

29. Example from CDKN (Climate Change and Development Knowledge Network

30. Three different organisations • A donor organisation which states that it works to achieve the eradication of poverty in India. It mainly funds international NGOs • An international NGO with a specific focus on education working through partner organisations • A small community based organisation working directly with children and their communities

31. 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

32. Step 2: Develop your unique change pathway • Clarify your goal – ultimate impact that you want to influence/ achieve (result statement) • Identify high level strategies – what you are going to do with whom (awareness, collaboration, technical skills development, community mobilisation etc ) • 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 • Link strategies to changes at different levels; and show where changes at different levels influence each other (with arrows). • Test the logic and relevance • Articulate your assumptions 4 flip chart sheets - individual large post its for each statement

33. 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

34. Day 2, Reflections Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

35. Current criteria - DFID

36. 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

37. 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’

38. 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

40. Day 2,Session 1 Testing Assumptions and sharing results Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

41. Responds to DFID Criteria (2)A staged process of change is sought (3) Assumptions are made explicit, categorised and linked to specific aspects

42. Task for this session • Spend 30 mins working on your pathway: • Link at least one strategy to short and medium term changes and to your goal • 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 ....?) • Articulate these assumptions either in list form or on post its on the chart

43. Responds to DFID Criteria

44. Session 2 Taster Session 3: Assessing the impact of our efforts and applying this learning to new programmes of work Testing Assumptions and sharing results Contact INTRAC Training: Telephone: +44 (0)1865 263055 Website: www.intrac.org Email: training@intrac.orgTwitter: #INTRAC_UK

45. The differences - in brief

46. 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”

47. 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?

48. 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

49. Connecting this thinking to ToC

50. 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