Theory of ChangePAUL WATSON, MSHSWILLIAM T. OSWALD, PH.D.GLOBAL ACTION RESEARCH CENTER

MAY 2018

www.theglobalarc.org

• Introduce Theory of Change as a tool

• Explore the use the Theory of Change as the basis for grantmaking

• Introduce a framework for create a wholistic system of monitoring and

assessment

• See how different indicators are needed for evaluating different types of

non-profits – product v process

• Review how a Theory of Change evaluation approach can be

implemented effectively?

Workshop Goals

Value of Theory of Change

1. Brings a clarity of thought

2. Brings embedded contradictions into light

3. Connects interventions to outcomes

4. Keeps the goal of Changing Conditions in the forefront of

thinking, planning & acting

“If you don’t know where you’re going, any road will get you there.” Lewis Carrol

“If you don't know where you are going, you'll end up someplace else.”Yogi Berra

Uses

While the process remains roughly the same – its

applications are varied. For example:

• Directing Evaluation

• Planning a Campaign

• Long-Term Strategy Development

• Guiding research

For more information about the Community Builder’s Approach to Theory of Change, visit www.theoryofchange.org or contact Andrea Anderson at: The Aspen Institute Roundtable on Community Change281 Park Avenue South, Fifth Floor, New York, NY 10010 - 212-677-5510 x27 - andreaA@aspenroundtable.org.

Theory of Change

Long-Term

Outcome

Preconditions

Preconditions

Preconditions Preconditions

PreconditionsPreconditions

Intervention Intervention Intervention

Interven

tion In

terv

enti

on

Indicators

IndicatorsIndicators

Indicators

IndicatorsIndicators Indicators

A

B

Directing Evaluation

Mid-City CAN: Improving Transportation in City Heights (ITCH)

Academic Achievement

AttendanceTruancy

TardinessExtra-Curricular Activities

Access to Opportunity

Employment

Community Engagement

Enrichment

Extra-Curricular Activities

Range of

Opportunities

SafetyMobilityComfort

Level

Youth Opportunity Bus Pass

1 2 2 2 3 & 4

Our children grow up to be healthy,

happy, successful and contributing

adult members of our community

Quality Education for all children

Well

implemented

curriculum

Children

ready to

learn

Schools are

accountable to

community

Well

Resourced

Schools

Competent,

dedicated

staff

Parents are

engaged in

the Schools

Staff is

culturally

competent

Good

nutrition

Competent

in English

Parent/adult

support

1. Latina Organizing Committee forming 2. Campaign to academic success rate of our children focused on LCFF and LCAP 3. Campaign for healthier foods in school 4. Educational campaign re: obesity, diabetes, etc.

Theory of Change Academic Success

Latina Organizing Committee

Planning a Campaign

Strategy Development

Logic Model

The Logic Model gives a

narrower picture of the work

than a Theory of Change

The LOGIC MODEL, because of

its focus on “outcomes”

provides a good road map for

accomplishing goals and

identifying the resources

needed to achieve the goals.

Foundation Level Theory of Change

Equity across all

sectors of

Society

Grantees

Programs - Projects

Appreciative

Inquiry

Global Issues

Access to Clean, Healthy Housing ~ Access to Quality Education

~Access to Quality Healthcare ~ Access to Healthy Food

Local Issues

Access to Clean, Healthy Housing ~ Access to Quality Education

~Access to Quality Healthcare ~ Access to Healthy Food

TRUST

PARTNERSHIP

Geology of the Community

Level 1Large institutions that have investments in the community but are not part of the community -

colleges, universities, hospitals, large foundations, some federal and state programs, etc.

Level 2Local county and municipal government, some foundations, and some state and federal

programs, etc.

Level 3Nonprofit agencies that have programs within the community. These organizations are typically

referred to as "community-based organizations.”

Level 4

Community-owned institutions as well as the unorganized members of the community. It is a

broad band in that ranges from relatively large, stable organizations to small, unfunded

community efforts and activities. This layer also includes those residents who live below the

Clay Line.

Clay

Line

Essentially they are people whose present situation and status in society present significant

barriers to their engagement in the public dialogue, e.g., people living near or below the poverty

line, people who are disabled, immigrants, refuges, victims of domestic violence, etc.

We Do What We Measure

Concept

Indicators

Measure Measure

Indicators

Measure Measure

Civic Engagement

Interest in public affairs

Increase in the number of people voting

Increase in the number of people attending

specifically identified public meetings

Connected to the community

The number of people volunteering at the

local schools

Self-report on "feelings of connected" to

community

DeliverablesShape

the

work

Informs

What is the

relationship between

the deliverables & the

goal?

Appreciative Inquiry within a Learning Organization constantly assesses alignment and

direction of movement

Assessing Product v Project

Caution: Programs/Projects create products AND impact process

Products are easily measured – Process is not

Products are the number of voters, attendance at meeting, etc.

Process is how people feel about themselves and their community, their sense of control and

ownership of their community

Notice that three of the four deliverables on the previous screen are “outputs” or “products” only one attempts to

assess process.

What does this mean if We do what we measure?

Appreciative Inquiry & Becoming a Learning Organization

Appreciative Inquiry (AI) is a change management approach that focuses on identifying what is

working well, analyzing why it is working well and then doing more of it. The basic tenet of AI is

that an organization will grow in whichever direction that people in the organization focus their

attention.

A Learning Organization…is one where people continually expand their capacity to create the

results they truly desire, where new and expansive patterns of thinking are nurtured, where

collective aspiration is set free, and where people are continually learning to see the whole

together.

How to move beyond “Bean Counting” and move goals forward while

getting a wholistic assessment of the impact of the foundation’s

investment

Building a Trusted Partnership

The five main characteristics that

Peter Senge identified are said to

innovate a learning organization.

These are:

1. Systems thinking,

2. Personal mastery,

3. Mental models,

4. Building shared vision,

5. Team learning.

Requires:

1. Information is Shared and

Accessible

2. Learning is Emphasized and

Valued

3. Mistakes and Failures are not

Punished

4. People are Expected to Learn

Constantly

By building relationships that feed the conditions for creating Learning Organization

Collectively setting of benchmarks and jointly assessing progress towards those

benchmarks on a regular basis

Closure

Name one take-away – an idea – a topic – something

you will think about for a while after the workshop is

done and you’ve returned to you work

Any closing questions or comments?

Thank you