Effectiveness workshop - Monitoring, Evaluation and Learning - Caroline Hoy, DFID
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This document discusses monitoring, evaluation and learning approaches used by DFID, including the importance of theory of change and logical frameworks. It outlines four foundation stones of MEL: understanding the program, MEL needs and demands, planning the MEL approach, and managing evaluations. Key aspects of developing a theory of change are defined. The log frame template used by DFID is presented, and assumptions that can undermine programs if not identified are discussed. Useful links for additional resources are also provided.
Effectiveness workshop - Monitoring, Evaluation and Learning - Caroline Hoy, DFID
- 1. Monitoring, Evaluation and Learning Preparing the foundations - Theory of Change and Log frames: the DFID approach Dr Caroline Hoy Civil Society Department Department of International Development c-hoy@dfid.gov.uk 1
- 2. Four Foundation Stones of MEL 1. Understand your 2. Understand your MEL programme needs and demands a. What is the need for the a. Learning and improvement programme? b. Accountability and impact b. How will the programme respond c. Respond to donors to the identified need? d. Stakeholders c. Theory of change e. Beneficiaries 3. Plan your MEL approach 4. Manage your evaluation a.Structure and monitor your a. Roles and responsibilities progress (log frame) b. Finance b.Key evaluation questions c. Timeframe c.Methods d. Capacity d.Analysis e. Dissemination and e.Learning and feedback communication 2
- 3. DFID Log frame PROJECT NAME Development Project XXXXX IMPACT Impact Indicator 1 Baseline Milestone 1 Milestone 2 Target (March 20??) Planned Achieved Source OUTCOME Outcome Indicator 1 Baseline Milestone 1 Milestone 2 Target (March 20??) Assumptions Planned Achieved Source Outcome Indicator 2 Baseline Milestone 1 Milestone 2 Target (March 20??) Planned Achieved Source Outcome Indicator 3 Baseline Milestone 1 Milestone 2 Target (March 20??) Planned Achieved Source Outcome Indicator 4 Baseline Milestone 1 Milestone 2 Target (March 20??) Planned Achieved Source INPUTS (£) DFID (£) Govt (£) Other (£) Total (£) DFID SHARE (%) INPUTS (HR) DFID (FTEs) OUTPUT 1 Output Indicator 1.1 Baseline Milestone 1 Milestone 2 Target (March 20??) Assumptions Planned Achieved Source Output Indicator 1.2 Baseline Milestone 1 Milestone 2 Target (March 20??) Planned Achieved Source IMPACT WEIGHTING (%) RISK RATING INPUTS (£) DFID (£) Govt (£) Other (£) Total (£) DFID SHARE (%) INPUTS (HR) DFID (FTEs) 3
- 4. Theory of Change definition 'Theory of change' is a process which applies critical thinking to the design, implementation and evaluation of initiatives and programmes intended to support change in their contexts. The description of a sequence of events that is expected to lead to change 4
- 5. Key aspects of a theory of change •Context, •The current state of the problem, •Long-term change, •Process/sequence of change, •Assumptions, •Evidence or logic base, •Diagram and narrative summary… … and the voice of the beneficiary. •But … 5
- 6. Theory of change process 1 Context Current state of the Desired long term Social, political, problem change environmental … Diagram and Sequence of change Assumptions narrative summary 6
- 7. Theory of change process 2 Impact/ Baseline Outcomes Context Current state of the Desired long term Social, political, problem change environmental … Diagram and Sequence of change Assumptions narrative summary Inputs, activities, ? Information for output … or log frame results chain 7
- 8. Results Chain Input Process Output Outcome Impact Context and Assumptions • Funds, expertise, time, staff • Activities, actions … (Education strategy, resourcing plans) • Specific deliverable of the project and which provide conditions necessary for outcome(s) to be achieved (schools built) • What will change/who will benefit (children receiving quality education to primary school level yr5) • Overall goal to which the project will contribute (literacy levels) 8
- 9. Theory of Change: Case study – Accountability Tanzania (AcT) 1 • www.accountability.or.tz • Funded by DFID • Aim: to support citizens to make government more transparent, accountable and responsive to citizens, by working with civil society organisations in Tanzania • Provides funding and technical support to CSOs 9
- 10. Theory of Change: Case study – Accountability Tanzania (AcT) 2 Headline Theory of Change ‘Supporting civil society partners to implement context-specific strategic interventions will enable them to influence positive change in the attitudes and behaviour of citizens, civil society and government, making government as a whole more responsive and accountable.’ 10
- 11. Theory of Change: Case study – Accountability Tanzania (AcT) 3 Longer ToC narrative – enabling identification of inputs, process, outputs and outcomes •‘If civil society grantees are carefully selected and respond to individual support tailored to their programming and internal systems, they will be able to utilise grants to develop targeted strategic interventions which are sensitive to changes over time and in the broader political economy, as well as their geographic location, their sector, institutional mandate and values. INPUTS, PROCESS •And if grantees also commit to systematic learning individually and collectively the work they do will be more the effective. PROCESS •CSOs implementing programmes will engage in a range of knowledge and information generating and disseminating activities as well as developing the capacity of other stakeholders to articulate their roles and responsibilities. PROCESS OUTPUTS •Some participatory activities build directly into citizen action and civil society strengthening, whereas others focus on influencing the behaviour of elected and appointed officials and of the judiciary – at local and national levels. OUTPUTS •Influencing activities can be formal or informal, inside track or outside track, and CSOs become more adept at selecting which is going to be most effective under what circumstances. •The result of the behaviour changes on the part of key stakeholders is the impact level of the programme: ‘Increased responsiveness and accountability of government through a strengthened civil society.’ OUTCOME •The super impact of the programme is the increasing ability of Tanzanian to claim and exercise their rights as citizens’ (Achievement of MDGs 3&8 gender equality/women’s empowerment and partnership in development). IMPACT
- 12. Impact MDGs achieved Increased accountability and Outcome responsiveness of Government Behaviour change Outputs Citizens Government Civil Influence on behaviour of Citizen society elected representatives, strengthen action govt. offices, judiciary ed Process outputs Knowledge Capacity generated Information disseminated built Targeted strategic interventions Process Individual and shared learning Inputs Selection, tailored support, grants 12
- 13. Exercise: Creating a Theory of Change 1. What issue/problem are you trying to address? 2. What are you trying to achieve? 3. What are you doing? 13
- 14. Exercise: Creating a Theory of Change 3. Break down your theory of change (and create a results chain) Inputs Outputs Process Outcome Process Outputs Impact 14
- 15. Assumptions • Challenges to logic • If not identified can undermine a programme e.g. nutrition in Bangladesh • May result in fundamental alterations to a project or programme 15
- 16. 4 3 Assumptions 2 1 16
- 17. Assumptions 1 INPUTS ‘If civil society grantees are carefully selected and respond to individual support tailored to their programming and internal systems, they will be able to utilise grants 1 ASSUMPTIONS: INPUTS TO PROCESS •AcT has a successful selection process that can identify organisations committed to change rather than administering money with a governance spin •AcT has skills and judgement to provide support, manage risk and the portfolio •CSOs have sector and area specific knowledge and understanding •CSO can develop familiarity with, and confidence in, working in changing political economy and develop to work with this 17
- 18. Assumptions 2 PROCESSES to develop targeted strategic interventions which are sensitive to changes over time and in the broader political economy, as well as their geographic location, their sector, institutional mandate and values. And if grantees also commit to systematic learning individually and collectively the work they do will be more the effective. 2 ASSUMPTIONS: PROCESSES TO OUTPUTS •Systematic learning enables CSOs to grow and move beyond ‘business as usual’; copycat approaches and ‘chasing the money’ •CSOs become aware of the positive and negative lessons developed by others •CSOs monitor their own effectiveness and make changes as appropriate •CSOs document and embed learning •CSOs maintain ethics and integrity 18
- 19. Assumptions 3 PROCESSES CSOs implementing programmes will engage in a range of knowledge and information generating and disseminating activities as well as developing the capacity of other stakeholders to articulate their roles and responsibilities. 3 ASSUMPTIONS: PROCESS OUTPUTS TO OUTPUTS •Citizens are stimulated to respond to knowledge and information •Citizens see the value of taking action on information, knowledge and participation in capacity building •Participatory processes are empowering and stimulate action •Citizens overcome fear and apathy and stimulate others to join in •Decision makers recognise that they will not retain power unless they respond to their citizens •Decision makers are open to citizen and civil society action 19
- 20. Assumptions 4 OUTPUTS Some participatory activities build directly into citizen action and civil society strengthening, whereas others focus on influencing the behaviour of elected and appointed officials and of the judiciary – at local and national levels. Influencing activities can be formal or informal, inside track or outside track, and CSOs become more adept at selecting which is going to be most effective under what circumstances. 4 ASSUMPTIONS: OUTCOME TO IMPACT •Individual elected representatives, appointed officials and member of the judiciary are able to influence the politics and systems that frame their actions •Legislation, state systems and official processes are open to change 20
- 21. Exercise: Thinking about assumptions 1. What assumptions might you be making about your project or programme? 2. To which level of your results chain/ logic model do they apply? 3. What are the implications for your project or programme? Can you do something about these or simply acknowledge issues through e.g. risk planning? 21
- 22. DFID Log Frames 1 • Allows harmonised reporting across DFID • Promotes stakeholder consensus • Summarises and communicates unambiguously • Allows comparison of planned and actual results • Also includes indicators and milestones. Indicators are performance measures which tell us what we are going to measure, not what we are going to achieve • Importance of baselines • Importance of disaggregation of information e.g. by gender 22
- 23. DFID Log Frames 2 • Impact – not intended to be achieved by the project – the higher level situation that the project will contribute towards achieving. • Targets should be Specific, Measureable, Achievable, Relevant and Time-bound • Source – the list of information you will need to demonstrate what has been accomplished • Impact weighting – a percentage for the contribution each output is likely to make to the achievement of the overall impact 23
- 24. Useful Links World Bank Impact Evaluation Toolkit: http ://web.worldbank.org/ Http://go.worldbank.org/IT69C5OGL0 DFID Theory of Change: http://www.dfid.gov.uk/r4d/Output/190843/Default.aspx Theory of Change Community: https://www.theoryofchange.org/ Kellogg Foundation Handbook: http://www.wkkf.org/knowledge-center/resources/2010/W- K-Kellogg-Foundation-Evaluation-Handbook.aspx 24