Workshop on Formulating Theory of Change for Researcher and Project/Program Managers

Mid and junior level researcher/project and program managers

Introduction
A theory of change (ToC) is a system of ideas intended to explain how we think change happens or will happen in the area we want to address, and how we intend to work to influence these changes. It can be a powerful approach to support programmatic and organizational learning and adaptation processes. ToC locates a project/program within a broader ‘bigger picture’ analysis of how development happens, acknowledges that change is complex and rarely, if ever, linear and considers all the factors necessary for it to come about.

 It is an ongoing process of reflection and a framework through which we continually explore the change(s) happening, whether it is actually happening as we thought and why, and what this means for the role we are playing and difference we are making in that context. It helps us surface our beliefs about how people behave or organizations or political systems work, etc., and who and what (groups, structures, systems, relationships, processes) needs to change.

Developing a ToC has two key stages:

Stage 1: Analyze the context, understand how change happens, and participants role in this workshop

Stage 2: Develop program impact pathway(s), and surface assumptions A subsequent third stage, ongoing during implementation, is monitoring the evidence of change and using it to critically reflect on and evaluate your change pathways.

Workshop Preparation
Minimum two expert will facilitate half-day workshops to develop initial ToC (Stages 1 and 2), although a full day for each of the two stages is ideal to allow for fuller and richer discussion. If time constraints mean an abbreviated process is all that is possible, then advance sharing and reading of any key background documentation, e.g., context analysis, by all participants is of huge benefit in accelerating the process.

A short break between the two workshops will allow time for write-up and further reflection. If two half-day sessions aren’t feasible, please see the note on strategic break points in order to aid facilitation of further sessions.   For subsequent follow-up, ToC reflection, and revision sessions (Stage 3) during implementation, allow another half-day to allow sufficient time for the review of key sources of evidence. Workshops will be kept this short if participants come well prepared having read key background documents in advance.

Workshop Inputs
These will include:

• Internal context analysis, inc. needs analysis
• External context analysis, inc. vulnerability analysis, power analysis, etc.
• Lessons learned and recommendations from previous projects 
• Project thematic frameworks and theories of change
• Community feedback, stakeholder feedback
• Research and evaluations, etc.

Workshop Structure
Stage-1
Workshop Session 1 –
Stage 1: Analyze the context, understand how change happens, and participants role in this workshop
• Activity 1.1: Introduce Theory of Change Purpose of this activity: To presentation the key elements of the ToC approach
o TIME REQUIRED: 30 minutes
• Activity 1.2: Consider the ‘Status Quo’ Purpose of this activity: To discuss and achieve a broad shared understanding of how things are now, and why
o TIME REQUIRED: 30 minutes
• Activity 1.3: Identify Inputs : Purpose of this activity: To discuss and achieve a broad shared understanding of the resources and assets we bring with us to this equation.
o TIME REQUIRED: 30 minutes
• Activity 1.4: Identify Desired Impact(s) Purpose of this activity: To discuss and achieve a broad shared overall vision for the change(s) we ultimately seek – If all issues and their underlying causes were successfully addressed, what would this look like?
o TIME REQUIRED: 30 minutes
• Activity 1.5: Getting from Inputs to Impact (backwards) : Purpose of this activity: To discuss and achieve a broad shared understanding of what and who needs to change, for whom, and how?
o TIME REQUIRED: 1 hour

Stage 2
Develop program impact pathway(s), and surface assumptions
• Activity 2.1: Identify Impact Pathways
o Purpose of this activity: To discuss and achieve a broad shared understanding of how identified changes at the different levels are linked in the context we are working.
o TIME REQUIRED: 1 hour
• Activity 2.1: Review Underlying Assumptions
o Purpose of this activity: To discuss and achieve a broad shared understanding of the conditions which need to be in place to enable/deliver change when moving between different levels.
o TIME REQUIRED: 30 minutes
• Activity 2.3: Testing Logic
o Purpose of this activity: To sense check ToC so far, and identify any improvements.
o TIME REQUIRED: 1 hours
• Activity 2.4: Identifying Ongoing Sources of Evidence
o Purpose of this activity: To prepare/plan for how the ToC will subsequently be reviewed
o TIME REQUIRED: 30 minutes
• Activity 2.5: Conclusion/reflections for facilitators
o TIME REQUIRED: 15 minutes