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Use of a Theory of Change
approach for learning processes
Giuseppe Daconto, ITA/CoM
BTC Agriculture Sector days, 19.11.2016
The United Republic Of Tanzania
Ministry of Natural Resources and Tourism
KILOMBERO AND LOWER RUFIJI
WETLANDS ECOSYSTEM
MANAGEMENT PROJECT
(KILORWEMP)
Outline
2
1. Project context
2. WHY ToC / Baseline study?
3. HOW we did it
4. WHAT we got at the end
5. WHOM to involve
6. Lessons & questions
KILORWEMP Objectives
General
Objective
Specific
Objective
• To sustainably manage the
wetlands Ecosystem of the
Kilombero Valley and Lower
Rufiji so that its ecological
balance is conserved, the
local communities’
livelihoods are improved and
economic development is
sustained.
• Strengthened capacities to
implement sustainable
management policy and
regulations in the Wetlands
Ecosystem of Kilombero
Valley and Lower Rufiji,
fostering sustainable
livelihoods development
and more effective natural
resources governance
within the decentralization
framework.
3
Expected results
• Key resource users (wildlife, forest, fisheries, land &
water) are organized to manage their resource base on
wise principles within the framework of Community
Based Natural Resource Management
R#1
• Key resource users, transformers and traders (wildlife,
forest, fisheries, grazing land, water etc) organized to
derive sustainable economic benefits from Community
Based Natural Resources Management through access to
markets and sound business management
R#2
• Strengthened capacities of central, regional and local
government structures to support and monitor the
implementation of policies at local level and improved
coordination between Natural Resource governance
stakeholders at all relevant levels.
R#3
4
Logframe - TFF
5
Baseline study objectives
1. To review the project strategy as captured in the TFF,
based on an updated review of the context since the
project formulation and the elaboration of a Theory of
Change for the project.
2. To elaborate the M&E system of the project by
confirming indicators; means of verifications; sources of
information; data collection, reporting and review
systems; institutional roles and responsibilities; resource
requirements.
3. To review the criteria for the selection of priority
interventions and areas by the project.
4. To facilitate the confirmation of propose quantitative
targets for the project and a preliminary selection of
priority interventions and areas based on the set criteria
and the updated logframe-theory of change.
6
WHY ?7
Why validate the project strategy?
8
 Multi-sector strategy, rapid change in context
 Time lapse since project formulation
 TFF provides framework for :
 Extended inception phase
 Fine-tune definition of results and indicators
 Deepen problem analysis
 Effectiveness risk: earlier interventions left large
unfinished business and weak impacts on the
ground
 Ensure ownership of project strategy by
counterparts/stakeholders
9
What is learning?
STRATEGY
What we do
RESULTS
What we get
SINGLE LOOP LEARNING
Are we doing things right?
Most common = improve the system
“Follow the rules”
ACTORS
How we do
ASSUMPTIO
NS
Why we do
DOUBLE LOOP LEARNING
Are we doing the right thing ?
Questions assumptions and values
“Change the rules”
TRIPLE LOOP LEARNING
How we decide what is right?
Improve learning capacity
“Tackle more complex problems”
BUILDING THE LEARNING ORGANIZATION
Avoid naïve or blinded simplicity
Critical when dealing with complex,
unpredictable systems (e.g., social
change, governance, environmental,
natural resources, agriculture)
HOW?10
From Results to Impacts
11
Activities Results
Specific
Objective
Overall
Objective
Training
Planning etc.
INPUTS:
LUPs produced
Management Plan
prepared, etc..
OUTPUTS:
WMAs functional
BMU functional,
Etc.
OUTCOME:
behavioral
changes (in LGAs,
communities etc.)
towards
implementing
Sustainable
Wetlands
Management
IMPACT:
 Purpose: supporting outcome-based management
 Method: Adapted from CDC/GEF, 2008
Outcome Mapping
12
Results
(Outputs)
Intermediate
State 1
Intermediate
State 2
Specific
Objective
(Outcome)
Purpose of Theory of Change
13
 Start developing an hypothesis (theory) to
pursue impacts
 Confirm the coherence of logframe
 Identify the preconditions (drivers) for impact
 Do they exist independently from project?
 If not, does the workplan provide enough support for them?
 Test the theory with implementation
 Review and adjust during project progress
 All of the above through a consultative process
BLS process
14
• CBNRM Inventories in each district
• Project team review of SOW
• 3x DFT workshops
• Inception workshop
• Site visits
• Feld consultations
• 3x District workshops
• 3x DFT work sessions
• Wrap-up workshop
• Reporting
• Team review workshop
• District consultations on priority sites
• JLPC-1
15
Group discussion (fish pond)
n (fish pond)
Issue cards (problem tree, outcome
charts) Detailed result chain
Clustering of intermediate statesToC diagram
Learning processes & iterations
What did we get in the end?16
Process
17
 Overall positive reaction
 Participatory
 Team building
 In depth and frank discussions
 Facilitation techniques (fishpond
debates, cards, iterations)
 Focused on practical/doable
things
 Iterative + rolling programme
Logframe - TFF
18
19
Theory of Change – After BLS
Component – pathway to outcome
20
21
INTERESTINFLUENCE
CONTR
OL
Establishment
of local
CBNRM
systems
Establishment
of CBNRM
linked
enterprises
Development
of landscape
management
&
coordination
systems &
capacities
Environmental, internal governance,
accountability performance of local CBNRM
systems / CBOs
Economic performance and equity of CBNRM
linked enterprises
Adaptive management, performance of
landscape management and coordination
systems and capacities
Strengthened
capacities to manage
sustainably the target
ecosystem and to
sustain local economic
development
22
 Strengthened focus
and agreement on
technical priorities
 Priority sites and
approaches
 Dropped certain
technical domains
 Introduced
governance lens and
actions
 Shaped an uncertain
result area in
adaptive, flexible
manner
Main practical implications
Capacity development of LGAs to deliver
services (planning systems and compliance)
 Questions
 Demand for that service?
 Accountability to beneficiaries?
 Capacity of beneficiaries to be proactive and hold
duty bearers to account?
 Social capital to support service provision?
WHOM to involve?23
24
The key tool
25
Support approach
Keep formal monitoring clear & simple (indicators)
• Monitor results every six months
• Every year assess intermediate states and assumptions/drivers
Invest heavily in team processes:
• Quarterly meetings
• Annual strategic reviews using ToC framework
• Thematic review meetings
• Gradual delegation of learning and review responsibilities:
M&LO+NTAs
Reflect ToC in Capacity Building Plan
• Break down strategy in discreet components
• Focus on organizational capacities / behaviors
• Introduce action learning processes by component (minimize training
!)
Approach to capacity development
Policy
review
Dialogue,
Advocacy
and
Influence
Inter-sector
coordinatio
n
Vision/mission
Hardware and means
Technical protocols
Planning systems
Management
systems
Institutional culture
Financial resources
Hard / technical
skills
Soft skills
26
Action learning sequence
27
• Issue Review
• Tool adptation
as required
• Asssment
workshop
• Participatory
validation of
specific
changes
sought
• Development
of action
learning plan
jointly with
recipient team
• Execution of
plan by target
institutions
• Gathering of
evidence
• Reflection on
evidence and
lessons
learned
• Fine tuning of
methods
LESSONS & QUESTIONS28
29
Lessons (1):ToC approach - what is it?
• a consultancy (assessment or advice)
• a baseline profile of the target area/sector
• A metrics table filling exercise
What is not:
• A means enabling a management and people’s
process
• A means to strengthen individual skills and
institutional competency
What it is:
30
Lessons (2) – Does it work?
• critical thinking, communication, presentation,
facilitation, accountability
Individual skills development:
• from action listing to inquisitive and experimental
project implementation
• Important initial strategy adaptation
• Clear framework for iterative strategy review
Big mindset transition:
• Mixed, reasonable, incremental outcome
• Continuous challenge: question assumptions
Ownership by team
• Context specific – in certain contexts it is hard
Mainstreaming within counterparts
31
Time consuming, process intensive – mitigation ?
• Prepare and plan carefully
• Engage dispersed tasks/stakeholders
• Expects a few strategic adjustments in the project design
• Cut it to right size depending on complexity of context/strategy
• Watch for planning fatigue
Abstract / conceptual analysis – feasible?
• Practical facilitation (skills), iterations are essential
Strategy monitoring and adaptations: interest?
• Sustain momentum with practical achievements
• Team skills and resources for facilitation and iteration
• Gradual expectations in skills development
Questions

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Use of a Theory of Change approach for learning processes - Giuseppe Daconto (BTC Tanzania)

  • 1. Use of a Theory of Change approach for learning processes Giuseppe Daconto, ITA/CoM BTC Agriculture Sector days, 19.11.2016 The United Republic Of Tanzania Ministry of Natural Resources and Tourism KILOMBERO AND LOWER RUFIJI WETLANDS ECOSYSTEM MANAGEMENT PROJECT (KILORWEMP)
  • 2. Outline 2 1. Project context 2. WHY ToC / Baseline study? 3. HOW we did it 4. WHAT we got at the end 5. WHOM to involve 6. Lessons & questions
  • 3. KILORWEMP Objectives General Objective Specific Objective • To sustainably manage the wetlands Ecosystem of the Kilombero Valley and Lower Rufiji so that its ecological balance is conserved, the local communities’ livelihoods are improved and economic development is sustained. • Strengthened capacities to implement sustainable management policy and regulations in the Wetlands Ecosystem of Kilombero Valley and Lower Rufiji, fostering sustainable livelihoods development and more effective natural resources governance within the decentralization framework. 3
  • 4. Expected results • Key resource users (wildlife, forest, fisheries, land & water) are organized to manage their resource base on wise principles within the framework of Community Based Natural Resource Management R#1 • Key resource users, transformers and traders (wildlife, forest, fisheries, grazing land, water etc) organized to derive sustainable economic benefits from Community Based Natural Resources Management through access to markets and sound business management R#2 • Strengthened capacities of central, regional and local government structures to support and monitor the implementation of policies at local level and improved coordination between Natural Resource governance stakeholders at all relevant levels. R#3 4
  • 6. Baseline study objectives 1. To review the project strategy as captured in the TFF, based on an updated review of the context since the project formulation and the elaboration of a Theory of Change for the project. 2. To elaborate the M&E system of the project by confirming indicators; means of verifications; sources of information; data collection, reporting and review systems; institutional roles and responsibilities; resource requirements. 3. To review the criteria for the selection of priority interventions and areas by the project. 4. To facilitate the confirmation of propose quantitative targets for the project and a preliminary selection of priority interventions and areas based on the set criteria and the updated logframe-theory of change. 6
  • 8. Why validate the project strategy? 8  Multi-sector strategy, rapid change in context  Time lapse since project formulation  TFF provides framework for :  Extended inception phase  Fine-tune definition of results and indicators  Deepen problem analysis  Effectiveness risk: earlier interventions left large unfinished business and weak impacts on the ground  Ensure ownership of project strategy by counterparts/stakeholders
  • 9. 9 What is learning? STRATEGY What we do RESULTS What we get SINGLE LOOP LEARNING Are we doing things right? Most common = improve the system “Follow the rules” ACTORS How we do ASSUMPTIO NS Why we do DOUBLE LOOP LEARNING Are we doing the right thing ? Questions assumptions and values “Change the rules” TRIPLE LOOP LEARNING How we decide what is right? Improve learning capacity “Tackle more complex problems” BUILDING THE LEARNING ORGANIZATION Avoid naïve or blinded simplicity Critical when dealing with complex, unpredictable systems (e.g., social change, governance, environmental, natural resources, agriculture)
  • 11. From Results to Impacts 11 Activities Results Specific Objective Overall Objective Training Planning etc. INPUTS: LUPs produced Management Plan prepared, etc.. OUTPUTS: WMAs functional BMU functional, Etc. OUTCOME: behavioral changes (in LGAs, communities etc.) towards implementing Sustainable Wetlands Management IMPACT:  Purpose: supporting outcome-based management  Method: Adapted from CDC/GEF, 2008
  • 13. Purpose of Theory of Change 13  Start developing an hypothesis (theory) to pursue impacts  Confirm the coherence of logframe  Identify the preconditions (drivers) for impact  Do they exist independently from project?  If not, does the workplan provide enough support for them?  Test the theory with implementation  Review and adjust during project progress  All of the above through a consultative process
  • 14. BLS process 14 • CBNRM Inventories in each district • Project team review of SOW • 3x DFT workshops • Inception workshop • Site visits • Feld consultations • 3x District workshops • 3x DFT work sessions • Wrap-up workshop • Reporting • Team review workshop • District consultations on priority sites • JLPC-1
  • 15. 15 Group discussion (fish pond) n (fish pond) Issue cards (problem tree, outcome charts) Detailed result chain Clustering of intermediate statesToC diagram Learning processes & iterations
  • 16. What did we get in the end?16
  • 17. Process 17  Overall positive reaction  Participatory  Team building  In depth and frank discussions  Facilitation techniques (fishpond debates, cards, iterations)  Focused on practical/doable things  Iterative + rolling programme
  • 19. 19 Theory of Change – After BLS
  • 20. Component – pathway to outcome 20
  • 21. 21 INTERESTINFLUENCE CONTR OL Establishment of local CBNRM systems Establishment of CBNRM linked enterprises Development of landscape management & coordination systems & capacities Environmental, internal governance, accountability performance of local CBNRM systems / CBOs Economic performance and equity of CBNRM linked enterprises Adaptive management, performance of landscape management and coordination systems and capacities Strengthened capacities to manage sustainably the target ecosystem and to sustain local economic development
  • 22. 22  Strengthened focus and agreement on technical priorities  Priority sites and approaches  Dropped certain technical domains  Introduced governance lens and actions  Shaped an uncertain result area in adaptive, flexible manner Main practical implications Capacity development of LGAs to deliver services (planning systems and compliance)  Questions  Demand for that service?  Accountability to beneficiaries?  Capacity of beneficiaries to be proactive and hold duty bearers to account?  Social capital to support service provision?
  • 25. 25 Support approach Keep formal monitoring clear & simple (indicators) • Monitor results every six months • Every year assess intermediate states and assumptions/drivers Invest heavily in team processes: • Quarterly meetings • Annual strategic reviews using ToC framework • Thematic review meetings • Gradual delegation of learning and review responsibilities: M&LO+NTAs Reflect ToC in Capacity Building Plan • Break down strategy in discreet components • Focus on organizational capacities / behaviors • Introduce action learning processes by component (minimize training !)
  • 26. Approach to capacity development Policy review Dialogue, Advocacy and Influence Inter-sector coordinatio n Vision/mission Hardware and means Technical protocols Planning systems Management systems Institutional culture Financial resources Hard / technical skills Soft skills 26
  • 27. Action learning sequence 27 • Issue Review • Tool adptation as required • Asssment workshop • Participatory validation of specific changes sought • Development of action learning plan jointly with recipient team • Execution of plan by target institutions • Gathering of evidence • Reflection on evidence and lessons learned • Fine tuning of methods
  • 29. 29 Lessons (1):ToC approach - what is it? • a consultancy (assessment or advice) • a baseline profile of the target area/sector • A metrics table filling exercise What is not: • A means enabling a management and people’s process • A means to strengthen individual skills and institutional competency What it is:
  • 30. 30 Lessons (2) – Does it work? • critical thinking, communication, presentation, facilitation, accountability Individual skills development: • from action listing to inquisitive and experimental project implementation • Important initial strategy adaptation • Clear framework for iterative strategy review Big mindset transition: • Mixed, reasonable, incremental outcome • Continuous challenge: question assumptions Ownership by team • Context specific – in certain contexts it is hard Mainstreaming within counterparts
  • 31. 31 Time consuming, process intensive – mitigation ? • Prepare and plan carefully • Engage dispersed tasks/stakeholders • Expects a few strategic adjustments in the project design • Cut it to right size depending on complexity of context/strategy • Watch for planning fatigue Abstract / conceptual analysis – feasible? • Practical facilitation (skills), iterations are essential Strategy monitoring and adaptations: interest? • Sustain momentum with practical achievements • Team skills and resources for facilitation and iteration • Gradual expectations in skills development Questions