Civil Society Organizations and Policy Entrepreneurship · 8. „Room for manoeuvre‟, Clay &...

RAPID Programme Civil Society Partnerships Programme

Civil Society Organizations and

Policy Entrepreneurship

Naved Chowdhury and Cecilia Luttrell


2. Introductions

• Name

• Area of Work

• What do you want to get out of this workshop?


3. Objectives – “maximizing chances”To enable participants to:

• Share latest theory and findings from around the world on research-policy links;

• better understand how policy is made, policy transfer and styles of policy entrepreneurship;

• use evidence more effectively in influencing policy-making processes;

• build stronger connections with other researchers and practitioners; and

• actively participate in policy networks.

• Discuss the preliminary results of the joint ODI-VASS research


4. 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)

• DFID, Parliament, WB, EC

• Civil Society

For more information see: www.odi.org.uk


5. RAPID Programme• Research

– Desk-based literature reviews

• Bridging Research and Policy

• Communications

• Knowledge Management

– GDN project:

• 50 preliminary case studies

• Phase II studies (25 projects)

– ODI projects

• 4 detailed case studies

• HIV/AIDS

• Advisory work

• Workshops and seminars www.odi.org.uk/rapid

http://www.odi.org.uk/RAPID/Projects/P0166/deza_product_en_847.pdf

http://www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html


6. HIV Prevalence in Thailand, Uganda &

KwaZulu-Natal: 1990-2000

0%

6%

12%

18%

24%

30%

36%

1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

HIV

Pre

vale

nce

Thailand Kampala, Uganda KwaZulu Natal, South AfricaSource: UNAIDS


7. When it Works: Attitudes to HIV

“on the education sector it is evident that the project has institutionalised a new attitude towards HIV/AIDS education in primary schools ….

Teachers' and pupils' knowledge, attitudes and behaviours have also changed.

Primary School Action for Better Health Project in Kenya (PSABH)

www.odi.org.uk/rapid/Lessons/Case_studies/PSABH.html


8. When it works best: Aid and Debt

“all the contributors emphasise the importance of researchers forming alliances with civil society.”

- Court and Maxwell, JID Special Issue

http://www.g8.gov.uk/servlet/Front?pagename=OpenMarket/Xcelerate/ShowPage&c=Page&cid=1078995902703

http://images.google.co.uk/imgres?imgurl=http://pub.tv2.no/multimedia/na/archive/00186/Bob_Geldof_186088c.jpg&imgrefurl=http://pub.tv2.no/nettavisen/side2/kjendis/article367106.ece&h=200&w=220&sz=13&tbnid=aC4PPEjrEH4J:&tbnh=92&tbnw=102&hl=en&start=73&prev=/images%3Fq%3Dbob%2Bgeldof%2Bpictures%26start%3D60%26svnum%3D10%26hl%3Den%26lr%3D%26sa%3DN


9. Definitions• Research: “any systematic effort to increase the

stock of knowledge”

• 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


10. Existing theory1. Linear model

2. Percolation model, Weiss

3. Tipping point model, Gladwell

4. „Context, evidence, links‟ framework, ODI

5. Policy narratives, Roe

6. Systems model (NSI)

7. External forces, Lindquist

8. „Room for manoeuvre‟, Clay & Schaffer

9. „Street level bureaucrats‟, Lipsky

10. Policy as social experiments, Rondinelli

11. Policy Streams & Windows, Kingdon

12. Disjointed incrementalism, Lindquist

13. The „tipping point‟, Gladwell

14. Crisis model, Kuhn

15. „Framework of possible thought‟, Chomsky

16. Variables for Credibility, Beach

17. The source is as important as content, Gladwell

18. Linear model of communication, Shannon

19. Interactive model,

20. Simple and surprising stories, Communication Theory

21. Provide solutions, Marketing Theory I

22. Find the right packaging, Marketing II

23. Elicit a response, Kottler

24. Translation of technology, Volkow

25. Epistemic communities

26. Policy communities

27. Advocacy coalitions etc, Pross

28. Negotiation through networks, Sebattier

29. Shadow networks, Klickert

30. Chains of accountability, Fine

31. Communication for social change, Rockefeller

32. Wheels and webs, Chapman & Fisher

www.odi.org.uk/rapid/lessons/theory

X


11. Existing theory – a short list• Policy narratives, Roe

• Systems of Innovation Model, (NSI)

• „Room for manoeuvre‟, Clay & Schaffer

• „Street level bureaucrats‟, Lipsky

• Policy as social experiments, Rondene

• Policy streams and policy windows, Kingdon

• Disjointed Incrementalism, Lindblom

• Social Epidemics, Gladwell

• The RAPID Framework


Evaluate the results

12. The linear logical model…

Identify the problem

Commission research

Analyse the results

Choose the best option

Establish the policy

Implement the policy


13. Generic Policy Processes

1. Problem Definition/

Agenda Setting

2. Constructing the Policy

Alternatives/ Policy Formulation

3.Choice of Solution/

Selection of Preferred Policy Option

4. Policy Design

5. Policy Implementation

and Monitoring

6. Evaluation

The Policy Cycle


14. 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

1 – Clay & Schaffer (1984)2 – Omamo (2003)3 – CSPP Consultations4 – ODI-AFREPREN Workshop


Agenda

setting

Problem

definition

& analysis

Policy

tools

Selection

Implementation Enforcement Policy

evaluation

Public

Scientists

Industry

CSOs

MediaGovernment

Source: Yael Parag


16. Reality II … Parallel Universes?

• Speed

• Superficiality

• Spin

• Secrecy

• Scientific Ignorance

More at: www.odi.org.uk/RAPID/Meetings/Evidence


17. CSOs: Definitions • Definition: “organizations that work in an arena

between the household, the private sector and the

state to negotiate matters of public concern”.

• Functions:

– representation

– technical inputs and advocacy

– capacity-building

– service-delivery

– social functions


18. Types of CSOs• think tanks and research institutes

• professional associations

• trade unions and workers co-operatives

• media/journalist societies

• community based organizations

• faith based organizations

• cross-national policy dialogue groups

• International and National Non-Governmental Organizations (NGOs)


19. CSOs and Policy Influence• Complementing state in providing services

• Innovators in service delivery

• Advocates with and for the poor

• Identifying problems & solutions

• Extending our understanding of development issues

• Providing information

• Training and capacity building


20. Context• „Globalization‟

• Increased space for CSOs.

• Collaboration for increased policy engagement.

• CSOs increasingly focus on policy issues rather than service delivery.

• CSO effectiveness, accountability and legitimacy involvement is questioned.

• Difficulty in communicating research outcomes

• Research capacity has been denuded in the developing countries.


21. ODI‟s CSPP

Through:

• Improved understanding how CSOs use research-based evidence

• Strengthened capacity to support CSOs

• Improved information from ODI

• Global collaboration

Aim:

Strengthened role of southern civil society

organisations in development policy processes


22. 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.

• Strong diversity in engagement

• Policies strongly driven by internal and external politics


23. Key Lessons

• Legitimacy and credibility of CSOs are challenged

by the government

• Proposals by CSOs should be feasible and

practical

• Lack of trust between CSOs and government

• CSOs need to understand policy process/context

of policy making

• Authentic and up to date information is crucial


24. 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


25. The exercise in the next two days

• Identify the key factors which might hinder

or facilitate policy uptake (the RAPID

framework)

• Develop a strategy (force-field analysis)

• Develop/rework your policy agenda

• Identify other activities to enhance uptake


26. Three Case Studies from CSPP(1)

Case Study-1- Land Distribution in

Mozambique… • CSOs launched the Land campaign which called for

partnership rural dwellers and commercial land owners.

• Different challenges made : land as security, single system of land ownership.

• Dramatic impact: increased agricultural productivity, decrease in number of landless people, less conflict over land.

• Challenges for CS: information very difficult to obtain, communication gap between different levels of the government, etc.

• Lessons learnt: communities need to be proactive, institutionalising policy engagement helps….


27. Case Study-2-Sri Lanka

• DEA of the Government of SL

• Technology adoption for influencing agricultural

extension

• Promotion of export agricultural crops: incidence

of low technology transfer but willingness to adopt

new technologies by the farmers

• Recommended actions; collectives, extension

officers, separate budget, CBO formation and

training for both farmers and extension officers.


28. Case study-3 -Bangladesh

• Fixing rice prices

• Middle men, high cost of inputs, poor access to

formal credit system for farmers, cause high rice

prices

• Policy Recommendation; government to have fix

rate for procurement of rice so the farmers do not

suffer from fluctuation in rice procuring price

• Keep subsidy for rice (which is only 2%).

• Compensatory fund for food importing LDCs


29. The Context, Evidence &

Links Framework


30. The Analytical Framework

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

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.


31. Case Studies• Sustainable Livelihoods: The Evolution

of DFID Policy

• The PRSP Initiative: Research in

Multilateral Policy Change

• The adoption of Ethical Principles in

Humanitarian Aid post Rwanda

• Animal Health Care in Kenya: Evidence

fails to influence Policy

• 50 GDN Case Studies: Examples where

evidence has or hasn‟t influenced policy

//odi3/public/website/RAPID/Publications/RAPID_WP_217.htm





32. Political Context: Key Areas

• The macro political context (democracy, governance, media and academia)

• The sector / issue process (Policy uptake = demand –contestation).

• How policymakers think.

• Policy implementation and practice (bureaucrats at the top and in the ground, incentives, compromise between different stakeholders)

• Decisive moments in the policy process (elections and crises)

• Context is crucial but use opportunities!!


33. 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

– Credibility of researcher vs. evidence

• Strenuous advocacy efforts are often needed

• Communication


34. Links: Feedback and Networks

• Learn from successful cases.

• Trust

• Networks:

– Research Communities

– Policy networks

– Advocacy coalitions

• The role of individuals: connectors and

salesmen


35. 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, it is unclear how donors can best promote use of evidence in policymaking (credibility vs backlash)


36. Lessons Learnt…

• Research is essential but…

• Other work is needed to ensure it contributes

to the development and implementation.

• Clear lessons about how are emerging:

– Political context is crucial – understand it to

maximize your chances

– Figure out what evidence is needed and how to

package it for policy makers

– Collaborate with other actors


37. Using the Framework


38. A Practical Framework for using

research to influence policyExternal Influences political context

evidencelinks

Lobbying

Politics and

Policymaking

Media,

Advocacy,

Networking Research,

learning &

thinking

Scientific

information

exchange &

validation

Policy analysis, &

research


39. 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?


40. What researchers need to do

What researchers

need to know

What researchers

need to do

How to do it

Political Context:

Evidence

Links

• Who are the policymakers?

• Is there demand for ideas?

• What is the policy process?

• What is the current theory?

• What are the narratives?

• How divergent is it?

• Who are the stakeholders?

• What networks exist?

• Who are the connectors,

mavens and salesmen?

• Get to know the policymakers.

• Identify friends and foes.

• Prepare for policy

opportunities.

• Look out for policy windows.

• Work with them – seek

commissions

• Strategic opportunism –

prepare for known events

+ resources for others

• Establish credibility

• Provide practical solutions

• Establish legitimacy.

• Present clear options

• Use familiar narratives.

• Build a reputation

• Action-research

• Pilot projects to generate

legitimacy

• Good communication

• Get to know the others

• Work through existing

networks.

• Build coalitions.

• Build new policy networks.

• Build partnerships.

• Identify key networkers,

mavens and salesmen.

• Use informal contacts


41. Animal Health Care in Kenya

Why despite 20 years of

convincing evidence of the value

of community-based animal

health services provided by

farmers themselves it is still

illegal?



42. Animal Health Care in Kenya1970s

1980s

1990s

2000s

Professionalisation of Public Services.

Structural Adjustment → collapse.

Paravet projects emerge.

ITDG projects.

Privatisation.

ITDG Paravet network.

Rapid spread in North.

KVB letter (January 1998).

Multistakeholder WSs → new policies.

Still not approved / passed!


43. Animal Health Kenya - Context1970s

1980s

1990s

2000s


Structural Adjustment → collapse of services.


ITDG projects.

Privatisation.







Structural Adjustment

Privatisation

ITDG Paravet network and change of DVS.




44. Animal Health Kenya - Research1970s

1980s

1990s

2000s




ITDG projects.

Privatisation.








Privatisation




ITDG projects – collaborative action research.

The Hubl Study

International Research


1970s

1980s

1990s

2000s




ITDG projects.

Privatisation.








Privatisation




ITDG projects – collaborative action research.

International Research

The Hubl StudyDr Kajume

45. Animal Health Kenya - Links


46. Skills of (pro-poor) policy

entrepreneurs

Storytellers

Engineers

Networkers

Fixers


47. Group WorkUse the RAPID Framework to analyse

the key factors likely to influence the

uptake of your research


48. Day 2


49. Practical ToolsOverarching Tools

- The RAPID Framework

- Using the Framework

- The Entrepreneurship

Questionnaire

Context Assessment Tools- Stakeholder Analysis

- Forcefield Analysis

- Writeshops

- Policy Mapping

- Political Context MappingCommunication Tools- Communications Strategy

- SWOT analysis

- Message Design

- Making use of the media Research Tools- Case Studies

- Episode Studies

- Surveys

- Bibliometric Analysis

- Focus Group Discussion

Policy Influence Tools- Influence Mapping & Power Mapping

- Lobbying and Advocacy

- Campaigning: A Simple Guide

- Competency self-assessment


50. Mapping Policy Processes

Agendas Formulation Implementation

Central

Government

Parliament

Bureaucrats

Civil Society

State

Government

Implementation

Civil Society


61. Forcefield Analysis

• Specific Change

• Identify Forces

• (Identify Priorities)

• (Develop Strategies)


52. 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


53. Sustainable Livelihoods Approach


54. Policy checklists: Ideal and Reality

Option A Option B Option C

Effectiveness Very Positive Positive No impact

Flexibility Very Positive Positive Positive

Sustainability Positive Positive Negative

Political Feasibility High Medium Low

Administrative

Feasibility

High Medium Low

Time Short Medium Long

Cost High Medium Low


55. Outcome Mapping• Defines the program's outcomes as

changes in the behaviour of direct partners

• Focuses on how programs facilitate change rather than how they control or cause change

• Recognizes the complexity of development processes together with the contexts in which they occur

• Looks at the logical links between interventions and outcomes, rather than trying to attribute results to any particular intervention

• Locates a program's goals within the context of larger development challenges beyond the reach of the program to encourage and guide the innovation and risk-taking necessary

• Requires the involvement of program staff and partners throughout the planning, monitoring, and evaluation stages


56. Assessing Policies (UK Govt.)

• Impact on outcomes

• Access and fairness of policies (groups & regions)

• Cost and value for money (eg Cabinet CB)

• Scientific evidence to back policy (Euro vs Iraq)

• Risks, public health and safety

• Legal issues and international agreements

• Operational capacity assessment

• Regulatory system impact assessment


57. Advocacy Rules

(Or how to influence

people to make changes ....)


58. 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


59. 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.


60. 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


61. 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....


62. 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


63. 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


64. Where and when to

advocate/communicate?

Creating opportunities (campaigns,

public mobilisation, formal and

informal lobbying etc.)

Influencing existing agendas

Piggybacking on other agendas


65. Group work:

• Go back to your group

• Use Force field analysis to identify

strategies to improve policy impact of the

issue discussed in the case study


66. Discussion:

Tools for policy influence

• What tools & tricks do you do to influence

policy?

– Specific examples of things you do

– What other actors do?

– What seems to work well?


67. 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


68. Communicating Research: Important themes

• Approach communication as systematic

issue

• Improve the condition for communicating

research

• Facilitate different levels of engagement

• Invest in communication


69. Communication Tools

• Planning (Stakeholder Analysis, problem

Tree Analysis, Social Network Analysis etc)

• Packaging ( Story telling, Persuasion etc.)

• Targeting (Writing Policy Papers, Lobbying,

etc)

• Monitoring (Most Significant Change,

Outcome Mapping, etc)


70. Planning: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

Keep

Satisfied

Engage

Closely and

Influence

Actively

Monitor

(minimum effort)Keep

Informed

High

Power

Low

Low HighInterest


71. Planning: Social Network Analysis

• Focus on structure of relationships

• Nodes and links between nodes

• Nodes: people, groups and organizations, etc.

• Links: social contacts, exchange of information, political influence, membership in org etc

• Social processes influence organizations and vice versa


72. Packaging: Story telling

• Narratives: identify and enhance learning

episodes, explore values and inspire for change.

• Good Stories: need to include human interest

element, tell it from the point of view of someone

who is directly involved.

• Springboard Stories: Catalyse changes, capture

attention and stimulate imaginations

• Tell a story of CWA work in Asia..


73. Packaging: Persuasion

• Separate people from problem,

• Focus on interests, not positions

• Invent options for mutual gain, and

• Insist on using objective criteria.

• Manage human emotion separately from

the practical problem

• Highlight the human need to feel heard,

understood, respected and valued.


74. Targeting: Writing Effective Policy Papers

Providing a solution to a policy problem

• The policy community

• The policy process

• 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]


75. Targeting: 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


76. Monitoring: Most significant Change

• Collection of significant change (SC) stories from the field level

• Defining the domains of change

• Defining the reporting period

• Collecting SC stories

• Selecting the most significant of the stories

• Feeding back the results of the selection process

• Verification of stories

• Quantification and Secondary analysis


77. Monitoring: Outcome Mapping• Defines the program's outcomes as

changes in the behaviour of direct partners

• Focuses on how programs facilitate change rather than how they control or cause change

• Recognizes the complexity of development processes together with the contexts in which they occur

• Looks at the logical links between interventions and outcomes, rather than trying to attribute results to any particular intervention

• Locates a program's goals within the context of larger development challenges beyond the reach of the program to encourage and guide the innovation and risk-taking necessary

• Requires the involvement of program staff and partners throughout the planning, monitoring, and evaluation stages


78. 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



79. 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


80. Contact Details:

Naved Chowdhury – [email protected]

RAPID Programme, ODI www.odi.org.uk/rapid

Civil Society Organizations and Policy Entrepreneurship · 8. „Room for manoeuvre‟, Clay &...

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