Toward Learning from Change Pathways

Reviewing Theory of Change and Its Discontents

Authors

  • Steven Lam Independent Consultant

DOI:

https://doi.org/10.3138/cjpe.69535

Keywords:

impact pathway, logic model, program theory, research on evaluation, theory-driven evaluation, theory of change

Abstract

The concept of Theory of Change (ToC) is well established in the evaluation literature, underpinning substantial research and practice efforts. However, its ability to facilitate learning has been increasingly debated. The objective of this paper is to identify, characterize, and evaluate concerns over the use of ToCs based on a review of relevant studies. Seven concerns are found: distinguishing ToCs from other evaluation approaches, conceptual vagueness, under-developed ToCs, under-contribution to theoretical knowledge, uncertainty in stakeholder engagement, neglecting context, and overlooking complexity. Priority areas for improvement include integrating context and complexity throughout the ToC process, contributing theoretical knowledge, and engaging stakeholders as appropriate.

References

Amundsen, C., & D’Amico, L. (2019). Using Theory of Change to evaluate socially-situated, inquiry-based academic professional development. Studies in Educational Evaluation, 61, 196-208. https://doi.org/10.1016/j.stueduc.2019.04.002

Apgar, J. M., Allen, W., Albert, J., Douthwaite, B., Ybarnegaray, R. P., & Lunda, J. (2017). Getting beneath the surface in program planning, monitoring and evaluation: Learning from use of participatory action research and theory of change in the CGIAR Research Program on Aquatic Agricultural Systems. Action Research, 15(1), 15 – 34. https://doi.org/10.1177/1476750316673879

Archibald, T., Sharrock, G., Buckley, J., & Cook, N. (2016). Assumptions, conjectures, and other miracles: The application of evaluative thinking to theory of change models in community development. Evaluation and Program Planning, 59, 119 – 127. https://doi.org/10.1016/j.evalprogplan.2016.05.015. Medline:27324286

Armitage, D., Arends, J., Barlow, N. L., Closs, A., Cloutis, G. A., and Cowley, M. S., ... Wiens, C. (2019). Applying a “theory of change” process to facilitate transdisciplinary sustain-ability education. Ecology and Society, 24(3). https://doi.org/10.5751/es-11121-2403203

Belcher, B., Suryadarma, D., & Halimanjaya, A. (2017). Evaluating policy-relevant research: Lessons from a series of theory-based outcomes assessments. Palgrave Communications, 3(1). https://doi.org/10.1057/palcomms.2017.17

Blamey, A., & Mackenzie, M. (2007). Theories of change and realistic evaluation: Peas in a pod or apples and oranges? Evaluation, 13(4), 439 – 455. https://doi.org/10.1177/1356389007082129

Breuer, E., Lee, L., De Silva, M., & Lund, C. (2016). Using theory of change to design and evaluate public health interventions: A systematic review. Implementation Science, 11(1). https://doi.org/10.1186/s13012-016-0422-6. Medline:27153985

Connell, J. P., & Kubisch, A. C. (1998). Applying a theory of change approach to the evaluation of comprehensive community initiatives: Progress, prospects, and problems. Theory Measurement and Analysis, 2, 15 – 44.

Davies, R. (2018). Representing theories of change: Technical challenges with evaluation consequences. Journal of Development Effectiveness, 10(4), 438 – 461. https://doi.org/10.1080/19439342.2018.1526202

Davis, R., Campbell, R., Hildon, Z., Hobbs, L., & Michie, S. (2015). Theories of behaviour and behaviour change across the social and behavioural sciences: A scoping review. Health Psychology Review, 9(3), 323 – 344. https://doi.org/10.1080/17437199.2014.941722. Medline:25104107

De Silva, M. J., Breuer, E., Lee, L., Asher, L., Chowdhary, N., Lund, C., & Patel, V. (2014). Theory of Change: A theory-driven approach to enhance the Medical Research Council’s framework for complex interventions. Trials, 15(1). https://doi.org/10.1186/17456215-15-267. Medline:24996765

Dhillon, L., & Vaca, S. (2018). Refining theories of change. Journal of MultiDisciplinary Evaluation, 14(30), 64 – 87.

Douthwaite, B., & Hoffecker, E. (2017). Towards a complexity-aware theory of change for participatory research programs working within agricultural innovation systems. Agricultural Systems, 155, 88 – 102. https://doi.org/10.1016/j.agsy.2017.04.002

Douthwaite, B., Mayne, J., McDougall, C., & Paz-Ybarnegaray, R. (2017). Evaluating complex interventions: A theory-driven realist-informed approach. Evaluation, 23(3), 294 – 311. https://doi.org/10.1177/1356389017714382

DuBow, W. M., & Litzler, E. (2019). The development and use of a theory of change to align programs and evaluation in a complex, national initiative. American Journal of Evaluation, 40(2), 231 – 248. https://doi.org/10.1177/1098214018778132

Forsyth, T. (2018). Is resilience to climate change socially inclusive? Investigating theories of change processes in Myanmar. World Development, 111, 13 – 26. https://doi.org/10.1016/j.worlddev.2018.06.023

Freer, G., & Lemire, S . (2019). Can’t see the wood for the logframe: Integrating logframes and theories of change in development evaluation. Canadian Journal of Program Evaluation, 33(3), 336 – 353. https://doi.org/10.3138/cjpe.53007

Funnell, S. C., & Rogers, P. J. (2011). Purposeful program theory: Effective use of theories of change and logic models. San Francisco, CA: Jossey-Bass.

Ghate, D. (2018). Developing theories of change for social programmes: Co-producing evidence-supported quality improvement. Palgrave Communications, 4(1). https://doi.org/10.1057/s41599-018-0139-z

Gilissen, J., Pivodic, L., Gastmans, C., Stichele, R. V., Deliens, L., Breuer, E., & Van den Block, L. (2018). How to achieve the desired outcomes of advance care planning in nursing homes: A theory of change. BMC Geriatrics, 18, 47. https://doi.org/10.1186/s12877-018-0723-5

Green, D. (2017). Theories of change for promoting empowerment and accountability in fragile and conflict-affected settings. Brighton, England: Institute of Development Studies.

Hawe, P. (2015). Lessons from complex interventions to improve health . Annual Review of Public Health, 36(1), 307 – 323. https://doi.org/10.1146/annurev-publhealth031912-114421. Medline:25581153

Hivos. (2015). Theory of change thinking in practice. The Hague, Netherlands: Hivos.

James, C. (2011). Theory of change review: A report commissioned by Comic Relief. London, England: Comic Relief.

Leeuw, F. L., & Donaldson, S. I. (2015). Theory in evaluation: Reducing confusion and encouraging debate. Evaluation, 21(4), 467 – 480. https://doi.org/10.1177/1356389015607712

Maini, R., Mounier-Jack, S., & Borghi, J. (2018). How to and how not to develop a theory of change to evaluate a complex intervention: Reflections on an experience in the Democratic Republic of Congo. BMJ Global Health, 3(1), e000617. https://doi.org/10.1136/bmjgh-2017-000617. Medline:29515919

Makowiecka, K., Marchant, T., Betemariam, W., Chaturvedi, A., Jana, L., Liman, A., ... Schellenberg, J. (2019). Characterising innovations in maternal and newborn health based on a common theory of change: Lessons from developing and applying a characterisation framework in Nigeria, Ethiopia and India. BMJ Global Health, 4(4), e001405. https://doi.org/10.1136/bmjgh-2019-001405. Medline:31406587

Maru, Y. T., Sparrow, A., Butler, J. R. A., Banerjee, O., Ison, R., Hall, A., & Carberry, P. (2018). Towards appropriate mainstreaming of “Theory of Change” approaches into agricultural research for development: Challenges and opportunities. Agricultural Systems, 165, 344 – 353. https://doi.org/10.1016/j.agsy.2018.04.010. Medline:32287945

Mason, P., & Barnes, M. (2007). Constructing theories of change: Methods and sources. Evaluation, 13(2), 151 – 170. https://doi.org/10.1177/135638900707522

Maye, D., Enticott, G., & Naylor, R. (2019). Theories of change in rural policy evaluation. Sociologia Ruralis, 60(1), 198 – 221. https://doi.org/10.1111/soru.12269

Mayne, J. (2015). Useful theory of change models. Canadian Journal of Program Evaluation, 30(2), 119 – 142. https://doi.org/10.3138/cjpe.230

Mayne, J. (2017). Theory of change analysis: Building robust theories of change. Canadian Journal of Program Evaluation, 32(2), 155 – 173. https://doi.org/10.3138/cjpe.31122

Mayne, J., & Johnson, N. (2015). Using theories of change in the CGIAR Research Program on Agriculture for Nutrition and Health. Evaluation, 21(4), 407 – 428. https://doi.org/10.1177/1356389015605198

Moore, G. F., & Evans, R. E. (2017). What theory, for whom and in which context? Reflections on the application of theory in the development and evaluation of complex population health interventions. SSM—Population Health, 3, 132 – 135. https://doi.org/10.1016/j.ssmph.2016.12.005. Medline:29302610

Nilsen, P. (2015). Making sense of implementation theories, models and frameworks. Implementation Science, 10(1), 53. https://doi.org/10.1186/s13012-015-0242-0. Medline:25895742

Nkwake, A. M. (2013). Working with assumptions in international development program evaluation. New York, NY: Springer. https://doi.org/10.1007/978-1-4614-4797-9

Omore, A., Kidoido, M., Twine, E., Kurwijila, L., O’Flynn, M., & Githinji, J. (2019). Using “theory of change” to improve agricultural research: Recent experience from Tanzania. Development in Practice, 29(7), 898 – 911. https://doi.org/10.1080/09614524.2019.1641182

Paina, L., Wilkinson, A., Tetui, M., Ekirapa-Kiracho, E., Barman, D., Ahmed, T., ... Bennett, S. (2017). Using Theories of Change to inform implementation of health systems research and innovation: Experiences of future health systems consortium partners in Bangladesh, India and Uganda. Health Research Policy and Systems, 15(S2). https://doi.org/10.1186/s12961-017-0272-y. Medline:29297374

Pawson, R. (2013). The science of evaluation: A realist manifesto. London, England: SAGE.

Prinsen, G., & Nijhof, S. (2015). Between logframes and theory of change: Reviewing debates and a practical experience. Development in Practice, 25(2), 234 – 246. https://doi.org/10.1080/09614524.2015.1003532

Rolfe, S. (2019). Combining Theories of Change and Realist Evaluation in practice: Lessons from a research on evaluation study. Evaluation, 25(3), 294 – 316. https://doi.org/10.1177/1356389019835229

Sarma, H., Budden, A., Luies, S. K., Lim, S. S., Shamsuzzaman, M., Sultana, T., ... Uddin, M. J. (2019). Implementation of the World’s largest measles-rubella mass vaccination campaign in Bangladesh: A process evaluation. BMC Public Health, 19(1), 925. https://doi.org/10.1186/s12889-019-7176-4. Medline:31291922

Shiell, A., Hawe, P., & Gold, L. (2008). Complex interventions or complex systems? Implications for health economic evaluation. British Medical Journal, 336(7656), 1281 – 1283. https://doi.org/10.1136/bmj.39569.510521.ad. Medline:18535071

Stein, D., & Valters, C. (2012). Understanding theory of change in international development. London, England: Justice and Security Research Programme.

Thompson, G. H., & Moret, W. (2019). Building a theory of change for community development and HIV programming: The impact of social capital, stigma reduction and community-level changes on HIV-related health outcomes for orphans and vulnerable households in Mozambique. Community Development, 50(3), 332 – 351. https://doi.org/10.1080/15575330.2019.1606839

Valters, C. (2015). Theories of change: Time for a radical approach to learning in development. London, England: Overseas Development Institute.

Vogel, I. (2012). Review of the use of ‘theory of change’ in international development. London, England: UK Department for International Development.

Weiss, C. H. (1995). Nothing as practical as good theory: Exploring theory-based evaluation for comprehensive community initiatives for children and families. New Approaches to Evaluating Community Initiatives: Concepts, Methods, and Contexts, 7, 65 – 92. https://doi.org/10.1177/1356389003094007

Weiss, C. H. (1997). Theory-based evaluation: Past, present, and future. New Directions for Evaluation, 1997(76), 41 – 55. https://doi.org/10.1002/ev.1086

Downloads

Published

2020-04-21

How to Cite

Lam, S. (2020). Toward Learning from Change Pathways: Reviewing Theory of Change and Its Discontents. Canadian Journal of Program Evaluation, 35(2), 188–203. https://doi.org/10.3138/cjpe.69535

Issue

Section

Articles