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Using ToC to lever
change
Boru Douthwaite
STEPS/CDI Seminar, University of Sussex, 25 April, 2013
Impact pathways matter
Mechanism
• Using Realistic Evaluation definition (Pawson and Tilley, 1997)
• The mechanism
– Make ‘theory in use’ explicit
– Reflect on its validity
– Narrow gap with ‘espoused theory’ (Argyris & Schön 1974)
– Start to change mental models
Outcome
Mechanism
Intervention
Triggers
Context
Intervention triggers a mechanism to produce impact in a context
The mechanism through a systems
perspective
Intervention 1: Innovation Histories
Using Theory of Change to Lever Change: Experience from the CGIAR
Participatory Innovation Histories
Experience with Innovation Histories
• Worked well 
– Researcher learning
– Depth of insight
– Theory building
– Triggers other mechanisms
• Didn’t work so well 
– Changing practice
– Shared learning
• Insight
– Politics
– Rear view mirror smaller than windscreen
CPWF’s need for ex-ante impact
assessment
Intervention 2: PIPA
• Innovation histories written from the future
• Synthesis of concepts and tools from:
– Program Evaluation
 Renger and Titcomb (2002) – problem trees
 Chen (2005) – program theory
 Mayne (2004) - performance stories
 Douthwaite et al. (2003 and 2007) – impact pathway evaluation in
integrated weed management in Northern Nigeria
– Innovation histories
 Douthwaite and Ashby, 2005
– Appreciative Inquiry
 Whitney and Trosten-Bloom, 2003
– Social network analysis
 Cross and Parker, 2004; Rick Davies
Workshop
Road Map
1. Problem Tree
2. Outcomes Tree
3. Vision
6. Project impact pathways
4. "Now"
network map
What the project should help
achieve
Current
arrangement of
actors working on
PH in Cambodia
Helps understand case rationale
and what needs to change
ProblemanalysisIntegration
5. Key changes required
to achieve Vision
Stakeholderanalysis
The changes the project can help achieve, who will change and
project strategies to bring changes about
PIPA Process to surface and communicate
project impact pathways in Vietnam
Constructing a Problem
Tree
Drawing
Network Maps of
who is funding,
carrying out the
research,
scaling-out and
scaling-up
project outputs
Adding ‘Power
Towers’ to
show differing
influence of
actors
Developing a Scaling Strategy
(Table 2)
Describe the most
important
differences between
the two networks
Why is the change
important to
achieve the vision?
What are the
project’s strategies
for achieving the
change?
Exercise
6a
Outcome Logic Model from Workshop
Outputs
Reflection on PIPA
• What works well
– Space for reflection
– Provides a language, set of concepts to link research to
impact
– Built a contending coalition
 Happy synchronicity
• What didn’t work so well
– Making OLMs a contract requirement
It is all about the timing …
Next Steps
• Revive PIPA
– Web site
– Community of practice
• Measuring the impacts of PIPA
• In CGIAR Research Program on Aquatic Agricultural Systems
– PIPA adapted
• In STEPS?
• STEPS/CDI – AAS Collaboration?

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Using Theory of Change to Lever Change: Experience from the CGIAR

  • 1. Using ToC to lever change Boru Douthwaite STEPS/CDI Seminar, University of Sussex, 25 April, 2013
  • 3. Mechanism • Using Realistic Evaluation definition (Pawson and Tilley, 1997) • The mechanism – Make ‘theory in use’ explicit – Reflect on its validity – Narrow gap with ‘espoused theory’ (Argyris & Schön 1974) – Start to change mental models Outcome Mechanism Intervention Triggers Context Intervention triggers a mechanism to produce impact in a context
  • 4. The mechanism through a systems perspective
  • 8. Experience with Innovation Histories • Worked well  – Researcher learning – Depth of insight – Theory building – Triggers other mechanisms • Didn’t work so well  – Changing practice – Shared learning • Insight – Politics – Rear view mirror smaller than windscreen
  • 9. CPWF’s need for ex-ante impact assessment
  • 10. Intervention 2: PIPA • Innovation histories written from the future • Synthesis of concepts and tools from: – Program Evaluation  Renger and Titcomb (2002) – problem trees  Chen (2005) – program theory  Mayne (2004) - performance stories  Douthwaite et al. (2003 and 2007) – impact pathway evaluation in integrated weed management in Northern Nigeria – Innovation histories  Douthwaite and Ashby, 2005 – Appreciative Inquiry  Whitney and Trosten-Bloom, 2003 – Social network analysis  Cross and Parker, 2004; Rick Davies
  • 11. Workshop Road Map 1. Problem Tree 2. Outcomes Tree 3. Vision 6. Project impact pathways 4. "Now" network map What the project should help achieve Current arrangement of actors working on PH in Cambodia Helps understand case rationale and what needs to change ProblemanalysisIntegration 5. Key changes required to achieve Vision Stakeholderanalysis The changes the project can help achieve, who will change and project strategies to bring changes about PIPA Process to surface and communicate project impact pathways in Vietnam
  • 13. Drawing Network Maps of who is funding, carrying out the research, scaling-out and scaling-up project outputs
  • 14. Adding ‘Power Towers’ to show differing influence of actors
  • 15. Developing a Scaling Strategy (Table 2) Describe the most important differences between the two networks Why is the change important to achieve the vision? What are the project’s strategies for achieving the change? Exercise 6a
  • 16. Outcome Logic Model from Workshop Outputs
  • 17. Reflection on PIPA • What works well – Space for reflection – Provides a language, set of concepts to link research to impact – Built a contending coalition  Happy synchronicity • What didn’t work so well – Making OLMs a contract requirement
  • 18. It is all about the timing …
  • 19. Next Steps • Revive PIPA – Web site – Community of practice • Measuring the impacts of PIPA • In CGIAR Research Program on Aquatic Agricultural Systems – PIPA adapted • In STEPS? • STEPS/CDI – AAS Collaboration?