Naved Chowdhury and Fletcher Tembo Overseas Development Institute, London

1. Policy Analysis, Engagement and AdvocacyA workshop for Southern Africa Regional Poverty NetworkJohannesburg, South Africa4-5 April 2007 Naved Chowdhury and Fletcher Tembo Overseas Development Institute, London

2. 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

3. RAPID Programme • Research • Advisory work • Policy change projects • Workshops and seminars • Civil Society Programme www.odi.org.uk/rapid

4. Workshop Objectives • Share experiences about CSO-policy context in different countries; • Learn about the latest worldwide research and practice in this area; • Share experiences about approaches to influence policy and what works; • Start to develop strategies to improve policy impact.

5. Outline of the Workshop Day 1 • General Introductions Day 2 • Tools, Strategy and Knowledge management

6. Self Introductions 2 minutes! • Name • Area of Work • Short presentation of your work • What do you want to get out of this workshop?

7. Plenary discussion: • What are the main opportunities and challenges: • Regarding Research-policy links for SARPN? (in general) • Affecting the policy impact of your work?

8. LUNCH

9. 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

10. Identify the problem Commission research Analyse the results Choose the best option Establish the policy Implement the policy The linear logical policy model… Evaluate the results

11. Generic Policy Processes

12. 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 Consultations 4 – ODI-AFREPREN Workshop

13. Industry CSOs Scientists Agenda setting Problem definition & analysis Policy tools Selection Implementation Enforcement Policy evaluation Government Media Public Source: Yael Parag

14. Linear model Too close for comfort, Edwards Impact & Effectiveness, Fowler ‘Context, evidence, links’, RAPID Policy narratives, Roe CSO legitimacy, L. David Brown Links and Learning, Gaventa ‘Room for manoeuvre’, Clay & Schaffer ‘Street level bureaucrats’, Lipsky Policy as experiments, Rondinelli Policy Streams & Windows, Kingdon Disjointed incrementalism, Lindquist Tipping point model, Gladwell Mercenaries, missionaries and revolutionaries, Malena ‘Non-Western?’, Lewis Global Civil Society, Salamon, Kaldor Types of Engagement, Coston Linear model of communication, Shannon ‘Space’ for thought & action, Howell Simple and surprising stories, Communication Theory Provide solutions, Marketing Theory I Find the right packaging, Marketing II Global Civil Society?, Keane Global Legitimacy, van Rooy Epistemic communities, Haas Policy entrepreneurs, Najam Advocacy coalitions, Keck & Sikkink Negotiation through networks, Sabattier Social capital, Coleman Accountability, OneWorld Trust Communication for social change, Rockefeller Foundation Wheels and webs, Chapman & Fisher X CSOs and Policy: Existing theory www.odi.org.uk/rapid/lessons/theory

15. Civil Society, Edwards • Types of Engagment, Coston • Legitimacy, L. David Brown / van Rooy • ‘Street level bureaucrats’, Lipsky • Global Civil Society, Keane / Kaldor / Salamon • Policy streams and policy windows, Kingdon • Disjointed Incrementalism, Lindblom • Social Epidemics, Gladwell Existing theory – a short list

16. 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.

17. … 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

18. 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/

19. 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

20. 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

21. 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

22. Narrative Summary Super-Goal Poverty reduced in developing countries Goal Development policy is more pro-poor Purpose • Southern CSOs make more use of research-based 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.

23. 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 (lessonsdisseminated): • 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

24. 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)

25. 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

26. 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

27. 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?

28. 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

29. Policy life is complex. What issues matter? The RAPID Framework

30. Overarching Tools - The RAPID Framework - Using the Framework - The Entrepreneurship Questionnaire Practical Tools Context Assessment Tools - Stakeholder Analysis - Forcefield Analysis - Writeshops - Policy Mapping - Political Context Mapping Communication 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

31. Policy Analysis: Methods and tools • RAPID Framework • Problem Situation Analysis (Tree Analysis) • Stakeholder Analysis • Policy Process Mapping • Force field analysis • Influence mapping • SWOT analysis • Social network Analysis

32. The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc RAPID: The Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

33. 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

34. High Engage Closely and Influence Actively Keep Satisfied Power Monitor (minimum effort) Keep Informed Low Low High Interest 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

35. Force field Analysis • Specific Change • Identify Forces • (Identify Priorities) • (Develop Strategies)

36. SWOT Analysis • 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? • Skills and abilities • Funding lines • Commitment to positions • Contacts and Partners • Existing activities • Other orgs relevant to the issue • Resources: financial, technical, human • Political and policy space • Other groups or forces

37. Skills of (pro-poor) policy entrepreneurs Networkers Storytellers Fixers Engineers

38. Rank responses • Add scores • Don’t worry about specifics Policy Entrepreneurship Questionnaire

39. End DAY 1

40. DAY 2 • Results of the Policy entrepreneurship questionnaire • Tools • Identifying the problem and assessing the context

41. Kenya CSO Policy Entrepreneurs Carroll, T 38 31 45 46 Lothike, F 36 23 39 52 Nyaga, M 36 32 40 43 Lenachuru, C 30 32 39 46 Jelle, A 46 29 39 34 Kisangau 34 33 44 39 Mohamud, M 30 30 41 49 Githuka, P 40 36 32 43 Nganga, T 28 33 35 44 Kaimui, M 38 32 34 44 Gituthu, J 25 32 39 45 Virginia 40 33 38 40 Onyango, S 32 34 36 48 Average 35 32 39 44 >44 = Low <30 = High <23 = V. High

42. Comments • Tendency to prefer “storytelling” and “networking”. • Several people dislike “fixing” and “engineering” is close by. • One of you has a strong preference: “networking”

43. 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.

44. 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?

45. Developing a strategy

46. Who? How? Audience What? Message Promotion The overall framework • Identify the problem • 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

47. The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc RAPID: The Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

48. External Influences RAPID: A Practical Framework political context Politics and Policymaking Campaigning, Lobbying Policy analysis, & research Media, Advocacy, Networking Scientific information exchange & validation Research, learning & thinking evidence links

49. 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

50. 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