Presentation on theme: "Day 1 Recap… Opps & Challengs – context improving but many challenges remain for CSOs. Problem tree analysis. RAPID Framework (what are key issues) RAPID."— Presentation transcript:
1 Day 1 Recap…Opps & Challengs – context improving but many challenges remain for CSOs.Problem tree analysis.RAPID Framework (what are key issues)RAPID context assessments for group issuesTools / approaches people use.Context is crucial and defines what strategy is effective.
2 Outline of the Workshop Day 2FeedbackPractical tools introductionUsing toolsAdvocacy IssuesStrategy developmentEvaluation & Close
3 Context Questionnaire Most organizations are trying a range of policy influence activities (newsletters, pilots, lobbying)Most organizations feel they are having some success (med-high self rating)CSOs able to influence policy (middle)Context for CSO-policy engagement (middle)
4 Main Barriers to Influence CSOs do not have sufficient knowledge about policy processes4 (6)CSO staff do not have sufficient capacity8 (11)CSO staff do not have enough time2 (1)CSOs do not have enough funds to do this5 (19)Policy processes are not open to CSO engagement5 (8)Policymakers do not see CSO evidence as credible5 (13)Policymakers tend to be corrupt7 (11)
5 Skills of (pro-poor) policy entrepreneurs NetworkersStorytellersEngineersFixers
6 Kenya CSO Policy Entrepreneurs Carroll, TLothike, FNyaga, MLenachuru, CJelle, AKisangauMohamud, MGithuka, PNganga, TKaimui, MGituthu, JVirginiaOnyango, SAverage>44 = Low<30 = High<23 = V. High
7 Comments Tendency to prefer “storytelling” and “networking”. Several people dislike “fixing” and “engineering” is close by.One of you has a strong preference: “networking”
11 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)
12 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
13 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 networkscommunicate better.
14 An Analytical Framework External InfluencesSocio-economic and cultural influences,donor policies etcThe political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc.The links between policyand 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
15 A Practical Framework External Influences political context evidence Politics and PolicymakingCampaigning, LobbyingPolicy analysis, & researchMedia,Advocacy, NetworkingScientific information exchange & validationAn interesting thing about the framework is how well it maps onto real-life activities. The political context sphere maps onto politics and policy making, evidence onto the processes of research, learning and thinking, and links onto networking, the media and advocacy. Even the overlapping areas map onto recognisable activities. The intersection of the political context and evidence represents the process of policy analysis – the study of how to implement and the likely impact of specific policies. The overlap between evidence and links is the process of academic discourse through publications and conferences, and the area between links and political context is the world of campaigning and lobbying.The area in the middle – the bulls-eye – where convincing evidence providing a practical solution to a current policy problem, that is supported by and brought to the attention of policymakers by actors in all three areas is where there is likely to be the most immediate link between evidence and policy.Research, learning & thinkingevidencelinks
16 What CSOs need to do What CSOs need to know What CSOs need to do How to do itPolitical Context:EvidenceLinksGet to know the policymakers.Identify friends and foes.Prepare for policy opportunities.Look out for policy windows.Work with them – seek commissionsStrategic opportunism – prepare for known events + resources for othersWho are the policymakers?Is there demand for ideas?What is the policy process?Establish credibilityProvide practical solutionsEstablish legitimacy.Present clear optionsUse familiar narratives.Build a reputationAction-researchPilot projects to generate legitimacyGood communicationWhat is the current theory?What are the narratives?How divergent is it?For researchers wishing to influence policy and practice, understanding the context, evidence and links is just the first part of the process. Our case studies also identify a number of practical things that researchers need to do to influence policy and practice, and how to do it.In the political context arena you need to get to know the policymakers, identify friends and foes, prepare for regular policy opportunities and look out for policy windows. One of the best ways is to work with them through commissions, and establish an approach that combines a strategic focus on current issues with the ability to respond rapidly to unexpected opportunities.Make sure your evidence is credible. This has much more to do with your long term reputation than the scientific credibility of an individual piece of research. Provide practical solutions to policy problems in familiar language and concepts. Action-research using pilot projects to generate legitimacy seems to be particularly powerful.Make the most of the existing links by getting to know the other actors, working through existing networks and building coalitions and partnerships. Identify the key individuals who can help. You need people who can network with others, mavens to absorb and process information, and good salesmen who can convince the sceptics. You may also need to use informal “shadow networks” as well as more formal channels.Get to know the othersWork through existing networks.Build coalitions.Build new policy networks.Build partnerships.Identify key networkers, mavens and salesmen.Use informal contactsWho are the stakeholders?What networks exist?Who are the connectors, mavens and salesmen?
17 Practical Tools Overarching Tools Context Assessment Tools - The RAPID Framework- Using the Framework- The Entrepreneurship QuestionnaireContext Assessment Tools- Stakeholder Analysis- Forcefield Analysis- Writeshops- Policy Mapping- Political Context MappingCommunication Tools- Communications Strategy- SWOT analysis- Message Design- Making use of the mediaResearch Tools- Case Studies- Episode Studies- Surveys- Bibliometric Analysis- Focus Group DiscussionInfluencing policy change is an art as much as a science, but there are a wide range of well known and often straightforward tools that can provide powerful insights and help to maximize your chances of impact on policy.We’ve already seen how ODI’s RAPID Framework can help you to understand the context you are working in and how you could use the Policy Entrepreneur Questionnaire to figure out what you are good at.Other useful tools to help to understand the policy context include Stakeholder Analysis, Forcefield Analysis, Writeshops, Policy Mapping and Political Context Mapping. This is vital in terms of developing an influence strategy.There is a wide set of research tools – from case studies to action research – that can help generate new or better evidence to support your case.The key communications questions are: Who do I want to convince? What do I want them to do? What will convince them? What relevant material do I have? A SWOT analysis can help to focus a communications strategy on the key messages and targets, and using the media can help you to reach a wide audience.Many tools have also been developed by organisations involved in lobbying, advocacy and campaigning for pro-poor change.Policy Influence Tools- Influence Mapping & Power Mapping- Lobbying and Advocacy- Campaigning: A Simple Guide- Competency self-assessment
18 Policy Analysis: Methods and tools RAPID FrameworkProblem Situation Analysis (Tree Analysis)Stakeholder AnalysisPolicy Process MappingForce field analysisInfluence mappingSWOT analysis
19 Problem Tree AnalysisThe 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 branchesThe 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
20 Agenda setting Problem definition & analysis Policy tools Selection ImplementationEnforcementevaluationPublicScientistsIndustryCSOsMediaGovernmentEach actor may participate in the different policy formulation stages (thin black lines). Some actors have better access than the others to different stages – according to the policy issue.Government (state actors) participate in all stages (thick black lines).Actors have relationships (formal or non formal) among themselves (red lines). These relationship may be temporary or long term and can vary along the process.Each stage of the process has it own outcomes. The outcomes are influenced by the actors’ network and can therefore be explained by the specific stage network and its characteristics. Policy shaping is a continuous process. Hence, outcomes of initial stages influence the outcomes of the following stages. For example, an ill defined problem will most probably lead to a poor tools selection.Source: Yael ParagSource: Yael Parag
21 Industry NGOs Policy Tools selection Scientists Source: Yael Parag of Ministryof FinanceNGOsScientistsIndustryStage outcomes may be:Direct regulation (strict or moderate)Economic incentivesInformation to the publicVoluntary agreementofEnvironmentof Industry& TradeIt is too complicated to examine the contribution and influence of each actor to the process as a whole. Therefore, each policy stage is examined separately. The stage outcomes (yellow box) is then explained by the stage’s network.Key aspect to be analyzed:Characteristics of the policy stage (such as transparency and openness to different actors). (b) Formal and non formal relations between actors and their contribution to the stage. (c) The presumed effectiveness of the selected tool as a mean for solving the problem (as defined in the previous stage).For example:Usually, the tools selection stage is a critical stage, since the outcome of the stage will usually lead to an economic investment (from state and/or industry). More often than not, state actors have conflicting positions regarding what should be the best tool. Weak ministries (in terms of political power, budgets etc.) have weak influence on the stage and strong ones have greater influence. In some policy issues civil society actors, like industry, have a formal access to the selection process and therefore can influence it, while others, like NGOs, do not.Note: cooperation as well as confrontation between civil society actors and state actors can influence the stage outcome.Source: Yael Parag
22 Stakeholder Analysis Clarify the policy change objective Identify all the stakeholders associated with this objectiveOrganise the stakeholders in the matrice according to interest and powerDevelop strategy to engage with different stakeholdersKeep SatisfiedEngage Closely and Influence ActivelyMonitor (minimum effort)Keep InformedHighPowerLowInterest
23 Mapping Policy Processes AgendasFormulationImplementationCentralGovernmentParliamentBureaucratsCivil SocietyStateAim: Describe: Who makes decisions? How? What ways, formal and informal, are policies made?Analyse: What are the different interests?When: Need a comprehensive understanding. General.Give you: Where are decisions made? Who are the Stakeholders? (NB: link to stakeholder analysis)Arena: government, parliament, civil society, judiciary, private sector.Level: local, national, international.Steps: Process description (formal & informal) + political influence ratings.Based on: Experience, literature, interviews, focus groups.
24 Political Context Assessment Tool The macro political contextThe sector / issue processPolicy implementation and practiceDecisive moments in the policy processHow policymakers think(e.g. from Middle East)InterestsExtent of Interests of PolicymakersHighMediumLowPublic Interests136Personal Interests54Special InterestsBest for:Systematically comparing national contextsThinking through political context issuesHow to:Representative from cross-section of expertsIndividual – for thinking through
25 Force field Analysis Specific Change Identify Forces (Identify Priorities)(Develop Strategies)
26 SWOT Analysis Strengths Weaknesses Opportunities Threats 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?StrengthsWeaknessesOpportunitiesThreatsSkills and abilitiesFunding linesCommitment to positionsContacts and PartnersExisting activitiesOther orgs relevant to the issueResources: financial, technical, humanPolitical and policy spaceOther groups or forces
27 Planning: Social Network Analysis Focus on structure of relationshipsNodes and links between nodesNodes: people, groups and organizations, etc.Links: social contacts, exchange of information, political influence, membership in org etcSocial processes influence organizations and vice versa
28 Policy Process Workshops Looking at internal policy processes – what works in DFID.Small, informal workshop with 7 staff.Participatory pair-wise ranking of factors influencing the success of 8 policy processes.Worked quite well.In DFID - agendas and processes rather than documents are key
29 How we’re doing it in RAPID Clear Aim & OutputsBuilding credibility with research/actionEmploying the right staff & staff developmentGood internal systems (Mgt, Comms & KM)Programme approach:Strategic opportunismResearch / practical advice / stimulating debateEngagement with policy makers & practitionersCommunity of practice cf networkFinancial opportunism
30 How we advise: SMEPOL Egypt Policy Process MappingRAPID FrameworkStakeholder AnalysisForce-Field AnalysisSWOTAction PlanningEvaluation & AdaptingThe CIDA/IDRC/GOE Small, Medium and Micro Enterprises Policy Development (SMEPOL) Project aims to assist the Government of Egypt (GoE) to improve the policy environment for micro, small and medium enterprises (M/SME) development.The project identified the need for a workshop to expose project stakeholders to current theory and practice of evidence-based policy making and asked ODI to run a workshop for key Government of Egypt and SMEPOL staff.The objectives of the course were to: 1) re-enforce the need for evidence-based policy reform decision making; 2) introduce some of the latest theories about evidence-based policy making; 3) outline some of the best international approaches and practice to ensure sustainable evidence-based policy making; 4) provide practical tools; and 5) help staff to develop strategies to influence policy in the SME sector in Egypt.
31 Individual / Group work: Use Force field analysis to identify key issues and strategic objectivesFeedback –highlighting examples
32 Force field Analysis Specific Change Identify Forces Identify PrioritiesDevelop Strategies
33 Individual / group work: On your own / in your groupDo a SWOT analysis for your organization working on this case.Can I fulfil the strategy?What else would I need to do? (more skills, resources, partnerships, etc)Feedback – walkabout / examples
34 SWOT Analysis Strengths Weaknesses Opportunities Threats Skills and abilitiesFunding linesCommitment to positionsContacts and PartnersExisting activitiesOther orgs relevant to the issueResources: financial, technical, humanPolitical and policy spaceOther groups or forces
35 Group Feedback: c.3 minutes from a few people to present: Objective, Analysis of current situation (FFA), Strategy, SWOT, conclusion, what more needs to be done?Other participants to think about:Have they considered all the factors - is the approach comprehensive, “logical” and achievable?
37 Communication / Advocacy Strategy How?Who?What?AudiencePromotionMessageClear SMART objectivesIdentify the audience(s)SMART StrategyIdentify the message(s)Resources – staff, time, partners & $$Promotion – tools & activitiesEvaluate & AdaptIn terms of the communications, there are a set of issues which seem to come out most clearly and which make a big difference to whether research is taken up.Communication is crucial in both directions: in terms of researchers listening to policy-makers and in terms of engaging policy-makers in the research right from the beginning and of keeping them involved or in touch with that process.The first step is to identify who you want to influence – the audience. A key aspect of this is to identify what you want them to do differently. Assess their specific information needs, likes and channels (Official / unofficial & Personal / impersonal & empirical data vs stories.)The second step is to clarify your messages – brevity, clarity, what form, language.The third step is promotion – there are many ways, but interactive communications works best; seeing is believing; multiple formats / media are better than one.OSI has been working on Writing Effective Policy Papers – really useful bookThe policy community & The policy processStructural elements of a paper - Problem description / Policy option / ConclusionKey issues: Problem oriented, targeted, multidisciplinary, applied, clear, jargon-free.
38 1. Objectives: What changes are you trying to bring about? Identify problems, impact of the problem and root causes (eg Problem Tree)Outline: Specific, Measurable, Achievable, Realistic, Time-Bound (SMART) objectivesAdvocacy Statement - concise and persuasive statement that captures What you want to achieve, Why, How and by When?
39 2. 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)
40 3. Strategy: What are keys opportunities and constraints (FFA)? How can these be enhanced / reduced?Outline: Specific, Measurable, Achievable, Realistic, Time-Bound (SMART) approachesApproach: new, existing, piggyback other.
41 4. MessageWhy 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 thoughtLanguage, content, packaging, and timing
42 Examples: 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
43 5. Resources: What resources do you have / need? Identify your ‘niche’ (SWOT)Skills needed in teams (PE Questionnaire)Who do you need to work with? (Stakeholder Mapping)Structures for collaborative workingBenefits and pitfalls of collaborations
44 6. 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?
46 Issues: Persuasion Separate people from problem Focus on interests, not positionsInvent options for mutual gainInsist on using objective criteria.Manage human emotion separately from the practical problemHighlight the human need to feel heard, understood, respected and valued.
47 Targeting: Writing Effective Policy Papers Providing a solution to a policy problemStructural elements of a paperProblem descriptionPolicy optionsConclusionKey issues: Problem oriented, targeted, multidisciplinary, applied, clear, jargon-free.[Source: Young and Quinn, 2002]BACKGROUNDGood News – Evidence can matter (e.g. bednets vs. malaria). Other cases around Room. DFID Research Policy Study.Bad News – But … often major gaps (e.g. HIV/AIDS). Resistance despite clear evidence.How to bridge the gap?Key Question: When does evidence matter? We still need a systematic understanding.ODI RAPID / GDN Bridging Research and Policy Project – 50 case studies.PAPER IN PRESS - Handout Exec Summary / Soon on webCHALLENGE – Massive amount of work into 15 minutes
48 Issues: Lobbying Be an authority on the subject Include all group in the workBe positive in your approachBe aware of the agenda and language on the government in powerIdentify and target politiciansTime your inputUse the Media to lobby
49 Networks Roles of Policy Networks Policy Code Sharing FilteringAmplifyingInvestor / ProviderFacilitatorConveningCommunitiesPolicy Code SharingSome networks net; some networks work.
50 7. Monitoring and Evaluating: What worked and why?What didn’t work and why?What should be done differently?
52 Monitoring: Most significant Change Collection of significant change (SC) stories from the field levelDefining the domains of changeDefining the reporting periodCollecting SC storiesSelecting the most significant of the storiesFeeding back the results of the selection processVerification of storiesQuantification and Secondary analysis
53 Monitoring: Outcome Mapping Defines the program's outcomes as changes in the behaviour of direct partnersFocuses on how programs facilitate change rather than how they control or cause changeRecognizes the complexity of development processes together with the contexts in which they occurLooks at the logical links between interventions and outcomes, rather than trying to attribute results to any particular interventionLocates 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 necessaryRequires the involvement of program staff and partners throughout the planning, monitoring, and evaluation stagesThe first stage, Intentional Design, helps a program clarify and reach consensus on the macro-level changes it would like to support and to plan the strategies it will use. Outcome Mapping is only appropriate and useful once a program has chosen its strategic directions and wants to chart its goals, partners, activities, and progress toward anticipated results. The Intentional Design stage helps answer four questions: The second stage, Outcome and Performance Monitoring, provides a framework for ongoing monitoring of the program's actions in support of its boundary partners' progress towards the achievement of outcomes. The program uses progress markers, a set of graduated indicators of behavioural change identified in the intentional design stage, to clarify directions with boundary partners and to monitor outcomes (Outcome Journal). It uses a Strategy Journal (to monitor strategies and activities) and a Performance Journal (to monitor organizational practices) to complete a performance monitoring framework. The third stage, Evaluation Planning, helps the program set evaluation priorities so that it can target evaluation resources and activities where they will be most useful. An evaluation plan outlines the main elements of the evaluations to be conducted.
54 Outcome Mapping: example Donor CentreNational BT PolicyWHONational NGOInternational NGOBi/MultilateralInter/National MediaFriends Family
55 Advocacy / Communications Plans As Individuals / Small Groups / Theme –Use your work so far to identify :One objectiveIdentify the audience(s)Identify the message(s)Promotion – tools & activities
56 Group Feedback: Strategy 3 examples: present the outline of a strategy:Objective, Audience, Message, Activities.What are next steps in taking it forward?Other participant to think about:Have they considered key factors - is the approach cohesive, “logical” and achievable?
57 Towards Pro-Poor Policy Entrepreneurs What we wanted to do?CSO-Policy in Kenya: Needs & next steps.What we’ll do nextSources of Information
58 Future AssistanceAccess to the latest thinking on how to use evidence to influence policy8 (8)Best practice case studies3 (6)Information on policy issues3 (5)Support for more research (on policy issues)3 (9)Training / capacity building11 (9)Networking opportunitiesTechnical support on specific influencing initiatives5 (7)Training plus latest thinking. Mixed, Diverse Needs. Plus Funds!
59 Towards Pro-Poor Policy Entrepreneurs: Evaluation and Next Steps How will you take this work forward as individuals?What are key issues at the sectoral level? Are there campaigns / coalitions?What areas do you want more support?What else?
60 Towards Pro-Poor Policy Entrepreneurs: Our Next Steps EvaluationReportSend CDs & publicationsassessment in 6 months
61 Further Information / Resources ODI Working PapersBridging Research and Policy BookJID Special IssueMeeting ReportsTools for ImpactMalcolm Gladwell’s book ‘The Tipping Point’ describes how social epidemics spread.It is about the different types of people who are involved in the policy process: connectors, who know a lot of people; mavens, who hoover up and digest information; and salesmen who are very good at ‘selling’ ideas. He describes research into US news anchors in the run-up to the elections in the United States, which showed how very small differences in the way they behave on screen can give very strong messages to the public.He talks about how the context affects how people behave. In another experiment in the US, researchers sent student on errands all over the campus, and arranged for them to pass somebody in distress who clearly needed help and anaysed the factors which influenced whether the students stopped to help or not. The most important factor seemed to be whether the student was in a hurry or not.He describes how some ideas seem to be “sticky” - the factors that determine whether people remember specific bits of information.Gladwell describes how the conjunction of these factors create the “tipping points” when ideas suddenly spread and are adopted.
62 Contact Details: Julius Court – firstname.lastname@example.org Enrique Mendizabal –RAPID:CSPP: