Theory of change in inter- and transdisciplinary research

By Josefa Kny, Sabine Hoffmann, Emilia Nagy and Martina Schäfer

What are key functions of theory of change? For what purposes can we use theory of change in inter- and transdisciplinary research?

A theory of change maps the assumed relationships between activities and short-, medium- and long-term changes of an intervention, program or project. It makes assumptions about why and how such changes occur transparent. Theory of change approaches have their origins in theory-based evaluation and Paulo Freire’s theory of societal change (Freire, 1970) and have predominantly been used in development research and practice since the late 1990s.

In general, theory of change can be understood as a process and a product, as described by Heléne Clarke in her i2Insights contribution Theory of Change in a nutshell. In the process, a group of involved actors develop their shared understanding of how the program, project or intervention will bring about a desired change. The product is a narrative and/or visualisation which illustrates how such change will be achieved.

Although theory of change was not developed for inter- and transdisciplinary research, both the process and the product are relevant for such investigations.

Key functions of theory of change mainly related to the group process are to:

• develop a shared vision and a ‘bigger picture‘ of change processes
• trigger reflection on change processes in a continuous or recurrent way
• reflect on (intended and/or unintended) effects of an intervention, program or project
• foster mutual understanding about intended short-, medium- and long-term changes
• make implicit assumptions about change processes explicit
• reflect and clarify roles and responsibilities of those involved in change processes.

Key functions of theory of change mainly related to the tangible product are to:

• visualise and communicate change processes eg., by impact pathways or narratives
• monitor and assess change processes based on the explicated theory of change
• enable adaptive management and strategic planning based on transparent monitoring and assessment of change processes.

In addition to the change-related processes and products described above, developing a theory of change as part of inter- and transdisciplinary research contributes to:

• strengthening internal communication, collaboration and integration within the group.

We have experience in combining the various functions of theory of change in inter- and transdisciplinary projects for two different purposes.

First, we have used theory of change as an evaluative tool. As two of us (Nagy and Schäfer) described in an earlier i2Insights contribution, How to systematically design transdisciplinary project evaluation, theory of change is useful in formative (process) evaluation of inter- and transdisciplinary research. In particular, as independent evaluators we have found theory of change useful for:

• developing indicators and monitoring questions for the intended effects, which can then be discussed, and if necessary modified, by the research team
• enabling a shared understanding within the research team of the preconditions for medium- and long-term effects, which may occur after an intervention, project or program itself is finished
• facilitating recurrent reflection on change processes as they are occurring, including adapting strategies after making previously hidden assumptions explicit.

Second, we have used theory of change as an integrative tool that strengthens communication, collaboration and integration. This is described in an i2Insights contribution by Deutsch and Hoffmann on Integration in inter- and transdisciplinary research: how can the leadership challenges be addressed? Using theory of change as an integrative tool requires a substantial investment of time making critical connections among different disciplinary views and projects, and shaping those perspectives into a coherent whole.

We have provided a glimpse into:

• different functions that theory of change can fulfil, and
• different ways that researchers can make use of these functions for different purposes.

We argue that explicit critical reflection about these functions is helpful in designing and implementing the theory of change process and its product.

For what purposes do you use theory of change? Are there other functions of theory of change that you have used? Have you productively combined theory of change with other methods and tools?

Acknowledgements: This contribution builds on two workshops at the Schader-Stiftung and the 2021 International Transdisciplinarity (ITD) conference which were developed by a working group comprising the four authors and Silke Kleihauer, Julian Schenten, Jonas Rehn, Martin Führ, Lisa Deutsch, Rachel Claus and Brian Belcher. It also builds on Sabine Hoffmann’s visit at the Center for Technology and Society (ZTG) at the Technische Universität Berlin in Germany in the frame of a tdAcademy fellowship and guest program funded by the Robert Bosch Stiftung.
Photo acknowledgment: The source for Martina Schäfer’s photo is Landtag Brandenburg.

To find out more:

Schäfer, M., Kny, J., Nagy, E. and Hoffmann, S. (2022). Developing Theories of Change in inter- and transdisciplinary contexts. tdAcademy webinar. (Online): https://td-academy.org/en/tdacademy/updates/video-en-webinar-on-developing-theories-of-change-in-inter-and-transdisciplinary-contexts/

Reference:

Freire, Paulo (1970). Pedagogy of the Oppressed. Penguin Books: London, UK.

Biography: Josefa Kny PhD is a research associate and an online editor in the research project “tdAcademy – Platform for Transdisciplinary Research and Studies.” She works at the Center for Technology and Society (ZTG) at the Technische Universität Berlin, Germany. Her research interests include the societal effects of transdisciplinary research, transdisciplinary methods and concepts, and participatory methods in futures studies.

Biography: Sabine Hoffmann PhD is group leader of inter- and transdisciplinary research at Eawag, the Swiss Federal Institute of Aquatic Science and Technology in Duebendorf, Switzerland. Her research focuses on integration and integrative leadership in large inter- and transdisciplinary research programs.

Biography: Emilia Nagy researches on transdisciplinarity at the Center for Technology and Society (ZTG) at the Technische Universität Berlin in Germany. Her focus is on increasing the societal effects of transdisciplinary sustainability research.

Biography: Martina Schäfer PhD is the Scientific Director of the Center for Technology and Society (ZTG) of the Technische Universität Berlin in Germany. She has coordinated inter- and transdisciplinary research projects in sustainable regional development, sustainable consumption and sustainable land use. One of her research foci is reflection on methods for inter- and transdisciplinary cooperation as well as the societal impact of this research mode.