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Policy Analysis, Engagement and Advocacy A workshop for Southern Africa Trust Johannesburg, South Africa 2 April 2007 Naved Chowdhury and Fletcher Tembo Overseas Development Institute, London Overseas Development Institute • Britain’s leading development Think Tank • £8m, 60 researchers • Research / Advice / Public Debate • Rural / Humanitarian / Poverty & Aid / Economics (HIV, Human rights, Water) For EC more information see: www.odi.org.uk • DFID, Parliament, WB, RAPID Programme • Research • Advisory work • Policy change projects • Workshops and seminars • Civil Society Programme www.odi.org.uk/rapid Workshop Objectives a) Share experiences about CSO-policy context in different countries; b) Learn about the latest worldwide research and practice in this area; c) Share experiences about approaches to influence policy and what works; d) Start to develop strategies to improve policy impact. Outline of the Workshop Day 1 • General Introductions • Tools, Strategy and Knowledge management Self Introductions 2 minutes! • Name • Area of Work • What do you want to get out of this workshop? Definitions • Research: “any systematic effort to increase the stock of knowledge” • Evidence: the result/output of the research process • Policy: a “purposive course of action followed by an actor or set of actors” – Agendas / policy horizons – Official statements documents – Patterns of spending – Implementation processes – Activities on the ground The linear logical policy model… Identify the problem Commission research Analyse the results Choose the best option Establish the policy Implement the policy Evaluate the results Generic Policy Processes 1. Problem Definition/ Agenda Setting 2. Constructing the Policy Alternatives/ Policy Formulation 6. Evaluation The Policy Cycle 5. Policy Implementation and Monitoring 3.Choice of Solution/ Selection of Preferred Policy Option 4. Policy Design in reality… • “The whole life of policy is a chaos of purposes and accidents. It is not at all a matter of the rational implementation of the so-called decisions through selected strategies.” 1 • “Most policy research on African agriculture is irrelevant to agricultural and overall economic policy in Africa.” 2 • “CSOs often have very little to bring to the policy table.” 3 • “CSOs, researchers and policymakers seem to live in parallel universes.” 4 – Clay & Schaffer (1984) – Omamo (2003) 3 – CSPP Consultations 4 – ODI-AFREPREN Workshop 1 2 Industry CSOs Scientists Agenda setting Problem definition & analysis Government Policy tools Selection Implementation Enforcement Media Public Source: Yael Parag Policy evaluation CSOs and Policy: Existing theory X 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. Linear model of communication, Shannon 19. ‘Space’ for thought & action, Howell Linear model 20. Simple and surprising stories, Too close for comfort, Edwards Communication Theory Impact & Effectiveness, Fowler 21. Provide solutions, Marketing Theory I ‘Context, evidence, links’, RAPID 22. Find the right packaging, Marketing II Policy narratives, Roe 23. Global Civil Society?, Keane CSO legitimacy, L. David Brown 24. Global Legitimacy, van Rooy Links and Learning, Gaventa 25. Epistemic communities, Haas ‘Room for manoeuvre’, Clay & Schaffer 26. Policy entrepreneurs, Najam ‘Street level bureaucrats’, Lipsky 27. Advocacy coalitions, Keck & Sikkink Policy as experiments, Rondinelli 28. Negotiation through networks, Sabattier Policy Streams & Windows, Kingdon 29. Social capital, Coleman Disjointed incrementalism, Lindquist 30. Accountability, OneWorld Trust Tipping point model, Gladwell 31. Communication for social change, Rockefeller Foundation Mercenaries, missionaries and revolutionaries , Malena 32. Wheels and webs, Chapman & Fisher ‘Non-Western?’, Lewis Global Civil Society, Salamon, Kaldor Types of Engagement, Coston www.odi.org.uk/rapid/lessons/theory A word of warning… • The world is complex • We do not aim to make it simple • Only to find recognisable patternrs or beacons • Which might guide your actions • There is NO blueprint. NO linear, logical, rational, proper, method. • Most of the time it is up to you. … A word of warning • You will probably never find out what goes on within the policy process • And not have all the evidence you need • You need to be confident to act even in a context of uncertainty • And be systematic and scientific (context, strategy, action, record, learn) but flexible and original Policy life is complex. What issues matter? The RAPID Framework The Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc To Maximize Chances You need to: • better understand how policy is made and options for policy entrepreneurship; • use evidence more effectively in influencing policy-making processes; • build stronger connections with other stakeholders; • actively participate in policy networks • communicate better. Political Context: Key Areas • The macro political context (democracy, governance, media freedom; academic freedom) • The sector / issue process (Policy uptake = demand – contestation) [NB Demand: political and societal. Power.] • How policymakers think (narratives & policy streams) • Policy implementation and practice (bureaucracies, incentives, street level, room for manoeuvre, participatory approaches) • Decisive moments in the policy process (policy processes, votes, policy windows and crises) • Context is crucial, but you can maximize your chances Evidence: Relevance and credibility • Key factor – did it provide a solution to a problem? • Relevance: – Topical relevance – What to do? – Operational usefulness – How to do it? : • Credibility: – Research approach – Of researcher > of evidence itself • Strenuous advocacy efforts are often needed • Communication Links: Coalitions and Networks • Feedback processes often prominent in successful cases. • Trust & legitimacy • Networks: – Epistemic communities – Policy networks – Advocacy coalitions • The role of individuals: connectors, mavens and salesmen External Influence • Big “incentives” can spur evidence-based policy – e.g. PRSP processes. • And some interesting examples of donors trying new things re. supporting research • But, we really don’t know whether and how donors can best promote use of evidence in policymaking (credibility vs backlash) The PRSP Story… • The WB & IMF “adopted” PRSPs at o the AGM in Sept. 1999 as the 1 instrument for HIPIC II (and subsequently for all loans) • Why? • What were the key factors? • What role did “evidence” play in the process? PRSPs – Evidence • Long-term academic research informing new focus on poverty, participation, ownership, aid effectiveness etc • Applied policy research: – ESAF reviews – HIPC review – SPA Working Groups – NGO research on debt • Uganda’s PEAP PRSPs – Political Context • Widespread awareness of a “problem” with international development policy in late 90s • Failure of SAPs (and Asian financial crisis) • Mounting public pressure for debt relief • Stagnation of Comprehensive Development Framework idea • Diverging agendas (UK – Poverty, US – Governance) • WB/IMF Annual General Meeting, Sept 1999 PRSPs – Links • WB, IMF, SPA, Bilaterals, NGOs all involved • Formal and informal networks • “None of the players was more than two handshakes away from any of the others” Civil Society Partnerships Programme Aim: Strengthened role of southern CSOs in development policy processes Outcomes: • CSOs better understanding evidence-policy process • Capacity to support CSOs established • Improved information for CSOs • Global collaboration http://www.odi.org.uk/cspp/ CSOs and Pro-poor Policy Influence • • • • • • • Complementing state in providing services Innovators in service delivery Advocates with and for the poor Identifying problems & solutions Extending our understanding Providing information Training and capacity building Key factors for CSO influence (Malawi) Opposing • Lack of capacity • Lack of local ownership • Translating data into evidence • Lack of data • Donor influence • Crises • Political factors Supporting • Evidence of the value of CSO involvement • Governments becoming more interested in CSOs • CSOs are gaining confidence • Strength of networks • The media • Political factors CSPP Log Frame Not a major change but: • Recognition of external and internal objectives (purpose) • 4 external outputs: – – – – Facilitating the network Capacity development Collaborative action-research projects Research • 3 internal outputs: – ODI Communication Capacity – Capacity to work with CSOs – Orientation towards CSOs Narrative Summary Super-Goal Poverty reduced in developing countries Goal Development policy is more pro-poor Purpose • Southern CSOs make more use of researchbased evidence to influence the establishment of pro-poor policy, and • ODI engages more effectively with southern CSOs and other stakeholders to make more use of ODI’s research-based evidence to influence the establishment of pro-poor policy. Narrative Summary Network: • Interactive community website • Information and knowledge exchange • General support Capacity-building: • staff exchange, • visiting fellows to ODI and Southern institutes, • Southern participants in global policy events • Training and ToT Research (lessons disseminated): • Ongoing learning • “How to do it” guidelines • New research Collaborative projects: • Small-scale ARPs • Continued support to existing projects • One new global collaborative project each year Global Consultation • Workshops were held in Africa (Southern, Eastern and West), Asia ( south and South East) and Latin America ( Argentina and Bolivia) and organized in partnership with local CSOs • Case studies on various issues: Budget Monitoring( Zambia), Community Participation in Waste Management ( Ghana), Rice pricing ( Bangladesh), Public participation ( Indonesia) etc. • Research • Global Project (FFA) Building Capacity for Policy Influencing: Lessons Learnt 1 • Understanding Policy process means understanding the politics • Lack of trust between CSOs and government • Demand led vs Supply driven • Capacity to use and package research for policy influence is limited • Donor influence is huge • Gradual erosion of research capacity in the South • Proposals by CSOs should be feasible and practical Lessons Learnt 2 • Engagement with policymakers varies • Varied level of capacity in the south • • • • • Retention and recruitment of qualified staff Role of research in development organization Lack of training opportunities More emphasis on policy advocacy Limited fund for research • Strong Demand for support ( regional bias) • Capacity of government institutions also in question What the CSOs need to do to influence Policy? • Use (research-based) Credible evidence to influence policy • Timely, relevant and reliable information • Understanding the Politics • Conflict to Sustained Engagement • Long term • Demand Driven research • Strength in numbers • How best to build capacity? What the CSOs need to do? 2 • Effective communication: develop different materials for different audience • Choosing roles and responsibilities • Financial and human resources • Using the media • Engaging donors • Inviting policymakers from the outset The overall framework Who? • • • • • • • • Identify the problem How? Understand the context Identify the audience(s) Develop a SMART Strategy Identify the message(s) Resources – staff, time, partners & $$ Promotion – tools & activities Monitor, learn, adapt What? Policy Analysis: Methods and tools – RAPID Framework – Problem Situation Analysis (Tree Analysis) – Stakeholder Analysis – Policy Process Mapping – Force field analysis – Influence mapping – SWOT analysis Identifying the problem • First win the fight over the problem • Then fight for the solution • Therefore the first thing we are going to do is think about the problem: – What is the problem? – Why is it important that we address this problem? An Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc A Practical Framework External Influences Politics and Policymaking Campaigning, Lobbying Scientific information exchange & validation political context Media, Advocacy, Networking links Policy analysis, & research Research, learning & thinking evidence Using the framework • The external environment: Who are the key actors? What is their agenda? How do they influence the political context? • The political context: Is there political interest in change? Is there room for manoeuvre? How do they perceive the problem? • The evidence: Is it there? Is it relevant? Is it practically useful? Are the concepts familiar or new? Does it need re-packaging? • Links: Who are the key individuals? Are there existing networks to use? How best to transfer the information? The media? Campaigns? Using the Framework What CSOs need to do What CSOs need to know What CSOs need to do Political Context: • Get to know the policymakers. • Work with them – seek commissions • Identify friends and foes. • Strategic opportunism – • Prepare for policy prepare for known events opportunities. + resources for others • Look out for policy windows. • Who are the policymakers? • Is there demand for ideas? • What is the policy process? Evidence • What is the current theory? • What are the narratives? • How divergent is it? • Who are the stakeholders? Links • What networks exist? • Who are the connectors, mavens and salesmen? • • • • • Establish credibility Provide practical solutions Establish legitimacy. Present clear options Use familiar narratives. • Get to know the others • Work through existing networks. • Build coalitions. • Build new policy networks. How to do it • Build a reputation • Action-research • Pilot projects to generate legitimacy • Good communication • Build partnerships. • Identify key networkers, mavens and salesmen. • Use informal contacts Group Work Use the RAPID Framework to analyse the key factors likely to affect the policy influence of your work (remember you will present each other’s work) To do: 1. Go over all factors (pick the most relevant questions) 2. Answer: 1. How friendly is the policy context? 2. Do you have access to the right evidence? 3. Are there clear and strong links between evidence and policy? 4. How influential are the external forces? Feedback and Discussion Groups (a few key points): What is the issue? What factors matter? Is the evidence credible? Others: Are the same issues important? Do you find the evidence credible? What is the present policy agenda? LUNCH Practical Tools Overarching Tools - The RAPID Framework - Using the Framework - The Entrepreneurship Questionnaire Communication Tools - Communications Strategy - SWOT analysis - Message Design - Making use of the media Policy Influence Tools - Influence Mapping & Power Mapping - Lobbying and Advocacy - Campaigning: A Simple Guide - Competency self-assessment Context Assessment Tools - Stakeholder Analysis - Forcefield Analysis - Writeshops - Policy Mapping - Political Context Mapping Research Tools - Case Studies - Episode Studies - Surveys - Bibliometric Analysis - Focus Group Discussion Problem Tree Analysis • • • The first step is to discuss and agree the problem or issue to be analysed. Next the group identify the causes of the focal problem – these become the roots – and then identify the consequences – which become the branches The heart of the exercise is the discussion, debate and dialogue that is generated as factors are arranged and re-arranged, often forming sub-dividing roots and branches Stakeholder Analysis • Clarify the policy change objective • Identify all the stakeholders associated with this objective • Organise the stakeholders in the matrice according to interest and power • Develop strategy to engage with different stakeholders High Keep Satisfied Engage Closely and Influence Actively Monitor (minimum effort) Keep Informed Power Low Low Interest High SWOT Analysis Strengths Weaknesses •Skills and abilities •Funding lines •Commitment to positions •Contacts and Partners •Existing activities Opportunities Threats •Other orgs relevant to the issue •Resources: financial, technical, human •Political and policy space •Other groups or forces • What type of policy influencing skills and capacities do we have? • In what areas have our staff used them more effectively? • Who are our strongest allies? • When have they worked with us? • Are there any windows of opportunity? • What can affect our ability to influence policy? Force field Analysis • Specific Change • Identify Forces • (Identify Priorities) • (Develop Strategies) Force Field Analysis • Think about: – Who needs to change – Who can support and who can resist change • Do not confuse strength of force with importance of force • Look out for: – VERY strong forces – Priorities – Nested FFA (you might have to re-think your problem) Group work: • Use Force field analysis to identify key issues and strategic objectives • Feedback – Main forces for and against – Overall strategic options – Implications for problem analysis? • What opportunities are there for SAT partners to influence development policies in Southern Africa.? • Tea The over all framework • • • • • • • • Who? Identify the problem Understand the context How? What? Identify the audience(s) Develop a SMART Strategy Identify the message(s) Resources – staff, time, partners & $$ Promotion – tools & activities Monitor, learn, adapt Communication Toolkit for Researchers and CSOs • Why Communicate? (To inspire, inform and learn). • African agriculture Researchers have failed identify the problems facing policymakers ( Omamao 2003). • Each stakeholder has different communication needs, information is accessed by them differently, need research results in different times and different formats (Mortimer et al 2003). • Communication capacity – is a long term process • How to improve communication of research to policymakers, to other researchers and the end users ( i.e NGOs, CBOs, etc). • Communication tools Audience • Who needs to make these changes? • Who has the power? • What is their stance on the issue? • Who influences them? • Identify targets and influence (use stakeholder & context mapping tools) Message • Why should things change (or what is the evidence to support your case?) • How to make sure that the evidence is credible and ‘legitimate’? • What the target audience can hear.... frameworks of thought • Language, content, packaging, and timing Messenger (Promotion) • How to access information and target? • Who is a trusted and credible messenger? • What is the most appropriate medium? (campaigns, public mobilisation, formal and informal lobbying) • How will you package your information? • Role of the media? Different Approaches Issues: Persuasion • • • • • Separate people from problem Focus on interests, not positions Invent options for mutual gain Insist on using objective criteria. Manage human emotion separately from the practical problem • Highlight the human need to feel heard, understood, respected and valued. Targeting: Writing Effective Policy Papers Providing a solution to a policy problem • Structural elements of a paper – Problem description – Policy options – Conclusion • Key issues: Problem oriented, targeted, multidisciplinary, applied, clear, jargon-free. [Source: Young and Quinn, 2002] Issues: Lobbying • • • • Be an authority on the subject Include all group in the work Be positive in your approach Be aware of the agenda and language on the government in power • Identify and target politicians • Time your input • Use the Media to lobby Advocacy Rules (Or how to influence people to make changes ....) What are the changes you are trying to bring about? • Use the problem tree or some other tool to identify problems, impact of the problem and root causes • Specific, Measurable, Achievable, Realistic, Time-Bound (SMART) objectives Who are you advocating/communicating to? Who needs to make these changes? Who has the power? What is their stance on the issue? Awareness, Knowledge, Attitude, Behaviour Targets and influence Mapping where decisions happen Analyse the outcome and then decide. Who are you working together with? 1. Who do you need to work with? 2. Identify your ‘niche’ (SWOT) 3. Stakeholder Mapping 4. Structures for collaborative working 5. Skills needed in teams 6. Benefits and pitfalls of collaborations Why do you want to make the changes? Why should things change (or what is the evidence to support your case?) How to make sure that the evidence is credible and ‘legitimate’? The evidence : accurate, credible, well researched, authoritative… What the target audience wants to hear.... Advocacy Statement A concise and persuasive statement that captures What you want to achieve, Why, How and by when? Should ‘communicate’ with your target audience and prompt action Think about language, content, packaging, and timing Persuasive How will you communicate your messages and evidence? How to target and access information? Who is a trusted and credible messenger? What is the most appropriate medium? How will you package your information? Role of the media Where and when to advocate/communicate? Creating opportunities (campaigns, public mobilisation, formal and informal lobbying etc.) Influencing existing agendas Piggybacking on other agendas There are different forms of knowledge… Implicit Y Start Has it been articulated? Y Explicit N Can it been articulated? N Tacit Why is this important? • Because we need to be able to be strategic • And strategies need to be evidence based • But most relevant evidence is held by the process of policy influence –we will learn it as we do it • And we must have the capacity to respond to new evidence and adapt our strategy – Do not think about evaluation! – Think monitoring LEARNING and adapting Getting the environment right • Shared beliefs and common values • A willingness to ask for help • Common technology which connects people • Effective Peer Processes • Rewarding and recognising learning • Identifying and reinforcing the right leadership behaviours ODI experience • Knowledge and learning are at the heart of the ODI approach to bridge research, policy and practice • ODI research groups and networks provide a substantial knowledge base – e.g. ALNAP and RAPID • The CSPP has systematic learning as a core principle The Knowledge Strategies Framework external factors organisational contexts knowledge of partners, donors, other external agencies; networks; national and global factors leadership approaches, governance structures, management processes, institutional pressures, funding cycles, historical evolution etc. links within and across the organisation boundaries – via communities and ICTs; to communications plans; to core functions and support functions, etc knowledge – forms and locations; processes – e.g.: creation, sharing, storage, use; key activities and tools; staff capacities; relevance, M&E Knowledge: processes and tools • There are a range of processes to consider – Mapping and creation of knowledge – Managing and storing knowledge – Learning and sharing knowledge – Use of knowledge • The different processes and different forms of knowledge can be brought together… Knowledge: a menu of tools What kind of learner are you? Activists • Activists are people who learn by doing. They like to involve themselves in new experiences, and will ‘try anything once’. They tend to act first and consider the consequences afterwards Reflectors • Reflectors learn by observing and thinking about what happened. They like to consider all the possible angles and implications before coming to a considered opinion. They spend time listening and observing, and tend to be cautious and thoughtful Theorists • Theorists like to understand the theory behind the actions. They need models, concepts and facts in order to learn. They like to analyse and synthesise, and feel uncomfortable with subjective judgements Pragmatists • Pragmatists are keen on trying things out. They look for new ideas that can be applied to the problem in hand. They like to get on with things and tend to be impatient with open-ended discussions; they are practical, down-toearth people After action reviews: learning during projects Four Simple Questions: • What was supposed to happen? • What actually happened? • Why was there a difference? 15 minute team debrief, conducted in a “rankfree” environment. • What can we learn from it? What is the problem we face while monitoring? • The problem with attribution – Multiple actors and factors contribute – Unintended results are often ignored – Influence shifts overtime (indirect relation) – Impact of our interventions occurs further down the development chain • The problem with Accountability vs. Learning Why do we face these problems? • Because the responsibility for achieving results ultimately depends on the actions of our partners as influenced by the contexts in which they work • Focusing on downstream impact increases programming bureaucratisation and is inconsistent with our understanding of development as a complex process. What is OM? • OM is a dynamic methodology useful in the development of planning, monitoring and evaluation mechanism. OM: – Provides the tools to think holistically and strategically about how it intends to achieve results – Focuses on Outcomes instead of impacts – It deals with Contribution instead of attribution – Forces us to limit our planning and evaluation to our sphere of influence – Deals with changes in the behaviours of our direct partners Intentional design • Boundary Partners – Individuals, groups and organisations with whom the programme interacts directly to effect changes. – Those that you are trying to encourage to change so that they can contribute to the vision? With whom will you work directly? – We must try to group similar partners according to the type of behavioural changes sought. Boundary partners are different from strategic partners. Boundary partners Program = Program`s Partners Intentional design • Outcome Challenges – The changed behaviours (relationships, activities and/or actions) of the boundary partner and how they would be behaving if they were contributing ideally to the vision. – Imagine that in 3-5 years TIB has been extremely successful. What would our boundary partners be doing to contribute maximally to the vision? – Outcome challenges are about the boundary partner, not the programme. The three stages of OM Further Information / Resources • ODI Working Papers • Bridging Research and Policy Book • JID Special Issue • Meeting Reports • Tools for Impact • www.odi.org.uk/cspp • www.odi.org.uk/rapid Contact Details: Naved Chowdhury – [email protected] Fletcher Tembo - [email protected] RAPID Programme, ODI www.odi.org.uk/rapid Other sources of information: Visit http://www.odi.org.uk/rapid or e-mail [email protected] for a copy of the RAPID/CSPP CD-ROM Thank you