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Day 1 Recap… Opps & Challengs – context improving but many challenges remain for CSOs. Problem tree analysis. RAPID Framework (what are key issues) RAPID.

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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 issues Tools / approaches people use. Context is crucial and defines what strategy is effective.

2 Outline of the Workshop
Day 2 Feedback Practical tools introduction Using tools Advocacy Issues Strategy development Evaluation & 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 processes 4 (6) CSO staff do not have sufficient capacity 8 (11) CSO staff do not have enough time 2 (1) CSOs do not have enough funds to do this 5 (19) Policy processes are not open to CSO engagement 5 (8) Policymakers do not see CSO evidence as credible 5 (13) Policymakers tend to be corrupt 7 (11)

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

6 Kenya CSO Policy Entrepreneurs
Carroll, T Lothike, F Nyaga, M Lenachuru, C Jelle, A Kisangau Mohamud, M Githuka, P Nganga, T Kaimui, M Gituthu, J Virginia Onyango, S Average >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”

8 Compared with others…

9 Any questions?

10 Tools for Policy Influence

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 networks communicate better.

14 An Analytical Framework
External Influences Socio-economic and cultural influences, donor policies etc 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

15 A Practical Framework External Influences political context evidence
Politics and Policymaking Campaigning, Lobbying Policy analysis, & research Media, Advocacy, Networking Scientific information exchange & validation An 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 & thinking evidence links

16 What CSOs need to do What CSOs need to know What CSOs need to do
How to do it Political Context: Evidence Links 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 Who are the policymakers? Is there demand for ideas? What is the policy process? 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 What 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 others Work through existing networks. Build coalitions. Build new policy networks. Build partnerships. Identify key networkers, mavens and salesmen. Use informal contacts Who 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 Questionnaire 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 Influencing 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 Framework Problem Situation Analysis (Tree Analysis) Stakeholder Analysis Policy Process Mapping Force field analysis Influence mapping SWOT analysis

19 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

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

21 Industry NGOs Policy Tools selection Scientists Source: Yael Parag of
Ministry of Finance NGOs Scientists Industry Stage outcomes may be: Direct regulation (strict or moderate) Economic incentives Information to the public Voluntary agreement of Environment of Industry & Trade It 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 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 Interest

23 Mapping Policy Processes
Agendas Formulation Implementation Central Government Parliament Bureaucrats Civil Society State Aim: 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 context The sector / issue process Policy implementation and practice Decisive moments in the policy process How policymakers think (e.g. from Middle East) Interests Extent of Interests of Policymakers High Medium Low Public Interests 1 3 6 Personal Interests 5 4 Special Interests Best for: Systematically comparing national contexts Thinking through political context issues How to: Representative from cross-section of experts Individual – 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? Strengths Weaknesses Opportunities Threats 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

27 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

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 & Outputs Building credibility with research/action Employing the right staff & staff development Good internal systems (Mgt, Comms & KM) Programme approach: Strategic opportunism Research / practical advice / stimulating debate Engagement with policy makers & practitioners Community of practice cf network Financial opportunism

30 How we advise: SMEPOL Egypt
Policy Process Mapping RAPID Framework Stakeholder Analysis Force-Field Analysis SWOT Action Planning Evaluation & Adapting The 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 objectives Feedback –highlighting examples

32 Force field Analysis Specific Change Identify Forces
Identify Priorities Develop Strategies

33 Individual / group work:
On your own / in your group Do 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 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

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?

36 Tools for policy impact

37 Communication / Advocacy Strategy
How? Who? What? Audience Promotion Message Clear SMART objectives Identify the audience(s) SMART Strategy Identify the message(s) Resources – staff, time, partners & $$ Promotion – tools & activities Evaluate & Adapt In 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 book The policy community & The policy process Structural elements of a paper - Problem description / Policy option / Conclusion Key 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) objectives Advocacy 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) approaches Approach: new, existing, piggyback other.

41 4. 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

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 working Benefits 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?

45 Different Approaches

46 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.

47 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] BACKGROUND Good 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 web CHALLENGE – Massive amount of work into 15 minutes

48 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

49 Networks Roles of Policy Networks Policy Code Sharing
Filtering Amplifying Investor / Provider Facilitator Convening Communities Policy Code Sharing Some 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?

51 Monitoring: Log Frame Approach
Goal Purpose Stakeholders Outputs Assumptions Indicators / MoVs The DELIVERI Project Log frame Programme Design

52 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

53 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 The 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 Centre National BT Policy WHO National NGO International NGO Bi/Multilateral Inter/National Media Friends Family

55 Advocacy / Communications Plans
As Individuals / Small Groups / Theme – Use your work so far to identify : One objective Identify 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 next Sources of Information

58 Future Assistance Access to the latest thinking on how to use evidence to influence policy 8 (8) Best practice case studies 3 (6) Information on policy issues 3 (5) Support for more research (on policy issues) 3 (9) Training / capacity building 11 (9) Networking opportunities Technical support on specific influencing initiatives 5 (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
Evaluation Report Send CDs & publications assessment in 6 months

61 Further Information / Resources
ODI Working Papers Bridging Research and Policy Book JID Special Issue Meeting Reports Tools for Impact Malcolm 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 –
Enrique Mendizabal – RAPID: CSPP:

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