Sector Days Agriculture 2016 BTC, Belgian Development Agency

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

5. Logframe - TFF
5

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

7. WHY ?7

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)

10. HOW?10

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

12. Outcome Mapping
12
Results
(Outputs)
Intermediate
State 1
Intermediate
State 2
Specific
Objective
(Outcome)

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

18. Logframe - TFF
18

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?

23. WHOM to involve?23

24. 24
The key tool

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

28. LESSONS & QUESTIONS28

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