1. Fundamentals of the Policy Process
Creating a Window of Opportunity for Policy Change
Now that you have a good idea about the research to policy gap and why it exists, and you understand some of the elements needed to bridge that gap, in this presentation we are going to identify ways in which we as advocates, researchers, and topic experts can create a window of opportunity for policy change.

2. Communication Must Be Strategic
Decisionmaking is complex
Policymakers consider a host of factors
Processes are not linear and rational
Strategic communication is important
We’ve touched on the fact that when it comes to decisionmaking around policies – it can be complex. Policymakers are busy; they are bombarded with information; and the processes around decisionmaking do not necessarily happen in a straightforward, linear, rational way (i.e. give them the information, then they act). Rather it’s fluid, and information uptake often happens gradually over time.
So we have to be smart about how we get our messages out to them.

3. A Window of Opportunity for Policy Change
To help you do this, we are going to introduce you to a model called “multiple streams and policy change”….there are lots of models of policy change out there, but we like this one because it’s non-linear and was developed with the communications process in mind. This model was first proposed by Kingdon (1984) and modified by Porter (1995) as well as by PRB over the years.
This model shows how three streams of activity may be going on concurrently - problems, solutions, and political environment... and each has a life of its own.
1. Problems are recognized and defined from monitoring and evaluation activities or research.
2. Solutions, or policy alternatives, are developed. But until a solution is proposed, no problem can be addressed.
3. And political events flow along in their own unpredictable way….you may have both an identified problem and a feasible solution, if there is no interest or political will regarding the issue….nothing will happen.
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But there can be times when these 3 streams move together and create a window of opportunity for program or policy change in the center. This intersection rarely just happens: somebody has to work to help ensure that these streams come together. 3

4. A Window of Opportunity for Policy Change
Let’s now go over the three spheres in more detail:
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a. Defining Problems
For something to be defined as a problem, people must first recognize it as such and believe that something should be done and can be done to change it. Stakeholders need to feel that it is within their control to address the problem.
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b. Suggesting solutions
Different solutions are developed according to their own criteria of selection, whether or not they are solutions to recognized problems or sensitive to political considerations. Feasible solutions should be sensible, cost-effective, feasible, politically palatable, and relevant to the problem at hand; but we must remember that selecting solution is also not always rational process of decisionmaking, either.
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c. Politics and the political environment
Independent of identifying problems and solutions, political events move at their own pace, with their own dynamics and rules. Developments in the political sphere can be powerful in determining the priority of problems and solutions; for instance, a change in government, a change in ministers, or a change in the president of an organization can result in a significant swing in priorities that can move a subject onto or off of a government agenda. Politicians themselves may act based on analysis of the political costs and benefits of addressing a problem, rather than from the technical importance of an issue or proposal alone.
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For the Window of Opportunity to open, all three of these need to come together. Oftentimes an issue may fall into one or two circles, but not all three. Can anyone think of an issue that might fall into one or two of these circles, but not all three? Generate response.
Possible answer: The issue of climate change is a good example of where we have solutions, and in some cases we have the political will to do something about it, but not everyone agrees it’s really a problem that needs to be addressed.

5. Strategies for Affecting the Process
Organizations and individuals can actively influence national and international policy through strategic engagement
Effective research communication is often part of the process of creating a window for policy change
Let’s now turn to how we as researchers or advocates who are interested in a particular problem or solution can enter the policy process to influence change. Read bullets on slide or ask for a participant to read.

6. Systematic Elements to Affect Agendas and Influence Policy Change
Policy learning
Attention focusing
Policy community strengthening
We believe that there are three basic elements you can use to affect policy change: policy learning, attention focusing, and policy community strengthening.
We’ll look at each of these in more detail in a moment, but first let’s look back at our model.

7. Multiple Streams and Policy Change Moving the Spheres Together
The first advocacy best practice that I’ll share with you comes from the area of Policy Learning.

8. 1. Policy Learning: Motivating Dialogue and Action
Help policymakers see the picture clearly
Ensure messages are accessible
Create space for policy dialogue
Communicate information about problems and solutions in ways that motivate action
Repeat messages in an ongoing stream
In the context of policy communication, policy learning refers to how decision makers learn about new information, data, or findings.
It is an ongoing, incremental flow of information. This flow should involve dissemination of multiple sources of information to reach decisionmakers through multiple channels. Sources of information, like policy briefs, videos, or electronic publications, need to be accessible to policy audiences. The messages should be articulated and packaged in understandable, non-technical, compelling language. The ultimate aim is to increase the capacity and space for policy dialogue among decisionmakers and to spur them to action.
These policy learning efforts need to be continuous and fed in an ongoing stream of information. For example, just about the time you get one decisionmaker up to speed on an issue, he or she may leave office. We know it is often the case that policymakers are busy and distracted, so they may hear you once, and then forget about it – in one ear and out the other. Making sure they hear it from different sources at different times helps the message to resonate. 8

9. 1. Policy Learning: Presenting Clear Alternatives
Policymakers are more likely to act if presented with clear solutions
Best alternatives are:
Demonstrated to be successful
Cost-effective
Technically feasible
Politically feasible
Whether a matter can sustain serious attention and rise on the agenda is contingent not only on whether it is indeed a problem. It also matters whether there are feasible proposals for solutions. This often depends on whether there is a community of individuals concerned with devising solutions to the problem (such as researchers), and whether that community is successful in generating workable solutions.
Similarly to how you need solutions to create the window of opportunity, feasible solutions are necessary to sustain attention and keep an issue on the agenda. The best policy and program alternatives are those that are sensible, cost-effective, both technically and politically feasible, and relevant to the problem.

10. This slide shows some examples of policy learning approaches that PRB uses:
Publications
Multimedia presentations
Seminars, briefings, and presentations
Study tours
Policy analyses and assessments
Electronic communications (websites, CD-roms, e-newsletters)

11. Moving the Spheres Together
The first advocacy best practice that I’ll share with you comes from the area of Policy Learning.

12. 2. Attention Focusing: Setting the Agenda
Ongoing competition among issues
To gain the attention of:
Media
Public
Policymakers
To influence policy change
Since there is so much information out there and competition among issues, you will need to get attention on your issue, and have it rise above the rest somehow. By getting attention on your issue, you can help set the agenda – meaning you help determine what policymakers are thinking and talking about.
The agenda-setting process is an ongoing competition among the proponents of different issues to gain the attention of certain audiences to affect policy change. The top three audiences for us are the media, the public, and policy or decisionmakers.
We know that there are many social problems that never become issues even though proponents and opponents exist. Space and time on “the agenda” are scarce resources, and so to influence policy change, this issue needs to rise to the top. 12

13. 2. Attention Focusing: Credible Indicators
Give visibility to problems or solutions
Give importance to an issue
Stimulate action
Sometimes problems come to the attention of decision makers because some systematic indicator simply shows that there is a problem out there. These might include indicators like: TFR, no. of births to teenagers, HIV prevalence rates.
Indicators can make such a difference because they help decision-makers assess the magnitude of a problem and determine whether it is changing for better or worse. They have a uniquely powerful effect of giving visibility to issues.
For instance, in the population field, studies that have highlighted high total fertility rates, unintended pregnancies, and population growth rates have served to stimulate governments and international agencies to action, such as allocating millions of dollars to family planning assistance. Prior to such reports, many political leaders were unaware that any problem existed at all, making it difficult to generate action. 13

14. 2. Attention Focusing: Transnational Influences
Efforts by international organizations and advocates to embrace causes that concern them
Norm promotion
Creation of global development goals
Enticement of financial and technical assistance
Sometimes attention is put an issue or a problem by international organizations or donors. Because it’s something they care about and is on their agenda, it gets put on other agendas as well.
One example is the creation of the Sustainable Development Goals. Because these are now held up as global goals, countries are paying attention to how they can meet them. Tying your issue to such goals can help give it legitimacy, as policymakers know they are held accountable for achieving these goals.
Donor funding is another example. Sometimes donors want to see work done on certain topics and this can change over time. If you can tap into these interests, you may have an easier time getting attention and resources for your issue.
Can you think of an example of an issue in your country that has risen to on the “agenda” due to transnational influences? Generate responses.

15. 2. Attention Focusing: Events
Press conferences
Public events, conferences, seminars, and speeches
International and national days of attention
Another way to bring attention to an issue is to host or tap into existing events or activities. For example: press conferences, public events, and international or national days of attention.
Examples of international days of attention are World AIDS Awareness Day or the International Day of Zero Tolerance for FGM/C. These days often provide a timely “hook” for the media to cover these issues, reaching a wide audience.
High level conferences or meetings are other types of events that generate attention on an issue.
Can you think of examples of conferences or meetings in your country that were designed to bring high-level attention to an issue? Generate responses. 15

16. Moving the Spheres Together
The first advocacy best practice that I’ll share with you comes from the area of Policy Learning.

17. 3. Policy Community Strengthening
A network of actors from different types of organizations—government agencies, legislatures, NGOs, universities, professional associations— committed to a common cause
Focusing attention on your problem and/or solution can be a tireless and continuous job that is often better achieved through broad-based policy communities.
We define policy communities as alliances or networks of participants, ideally from a variety of positions in and around government, the academic community, the media, the private sector, and interest groups, who are united in their commitment to a common cause
Among the factors that shape their degree of influence are their levels of authority, knowledge, and coherence. Researchers or experts can bring a level of moral authority or knowledge to such groups, increasing their credibility for policy audiences. Advocates often play a critical role in driving these communities, bringing the energy and continuity needed for an on-going flow of information.

18. 3. Policy Community Strengthening: Key Elements
An agreed upon common framing of the issue that brings groups together
Trust and belief that peers have a commitment to the common goal
Shared incentive and benefit to participation
There are three key elements of building policy communities or coalitions.
First, there should be an agreed upon framing of issues. You should agree on why it’s a problem and what should be done. For example, a lot of groups may be concerned about adolescent pregnancy, but have very different reasons why it’s a concern and how it should be addressed.
Second, there must be a trust in one another’s commitment to the issue so that people feel that all are willing to share efforts and discuss opportunities and challenges transparently.
Finally, there must be a shared benefit that will be gained from participation. If one institution stands to gain more than all others than there will not be the shared commitment to the cause.
Are any of you currently involved in a policy community? Generate responses.

19. 3. Policy Community Strengthening: Policy Champions
Committed individuals who:
Define a problem and keep attention focused over a long period of time
Exercise leadership in formal and informal settings
Advocate for feasible policy and program alternatives
Finding and fostering capable policy champions is a powerful way to move advocacy efforts forward.
Policy champions are committed individuals who can define a problem, and keep attention focused on it over time.
Policy champions can use their formal and informal influence to seize on the opportunities offered by focusing events. They look for compelling symbols that capture their problem in a nutshell. And most importantly, they continuously advocate for an issue and particular solutions.
Policy champions might be very committed, energetic advocates. They might be particularly respected individuals, such as an established professor or researcher. Or they might be a celebrity who can generate attention on an issue by leveraging their status with the media. 19

20. 3. Policy Community Strengthening: Levels of Participation
Core Group
Active
Peripheral
Outsider
There are usually multiple levels of participation in any given coalition or policy community.
Core group:
Actively participate in discussions and debates
Identify topics for the Network to address
Help maintain the Network’s vitality
Active:
Engage in discussions regularly and participate in activities occasionally
Peripheral:
Rarely participate, observe regularly, continue to learn
Outsider:
In your work, you can reflect on what you think your role should be. You may not feel comfortable, or have the option in your work, of being part of the core group. But as an active or peripheral member, you may still be able to play a key role in guiding the work based on the best evidence and your research.
Think creatively about who is in your policy community and what they can contribute. Sometimes this may be topic expertise. Or a free meeting space. Or making connections to important decisionmakers. Not everyone has to contribute at the same level in the same way. A diverse coalition can in fact be a very strong one.

21. 3. Policy Community Strengthening: Supportive Activities
Create, facilitate, and/or strengthen advocacy coalitions
Provide information to existing networks
Things that you can do to develop or support coalition building are to join an existing coalition, start a new one, or work to strengthen an existing network. One of the most useful things about working with coalitions made up of diverse individuals and institutions is that you can get everyone on the same page, sharing the same messages, in the same ways.
In this picture you see an advocacy coalition that PRB helped to nurture in Kenya among youth advocates. This coalition came together to seek changes to Kenya’s adolescent reproductive health policy. Advocating as a coalition, they were able to hold policy dialogue with high-level decisionmakers and successfully inform policy revisions that were adopted in September 2015. 21

22. Influencing Policy Change Is Possible
Policy change can take place when there is:
You can help bring these together:
A clearly articulated problem
Feasible, sensible solutions
A political climate ripe for action
Policy learning
Attention focusing
Policy community strengthening
In summary, policy change can take place when there is a clearly articulated problem; feasible, sensible solutions; and a political climate ripe for action.
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You can help bring these together through policy learning, attention focusing, and policy community strengthening.

23. There is a role for you in each of these areas.
You can help create a window of opportunity for policy change!

24. Learn More
Lori S. Ashford et al., “Creating Windows of Opportunity for Social Change: Incorporating Evidence Into Decentralized Planning in Kenya,” Bulletin of World Health Organization 84 (2006):
John W. Kingdon, Agendas, Alternatives, and Public Policies (Boston: Little, Brown, and Company, 1984).
Robert W. Porter, “Knowledge Utilization and the Process of Policy Formation: Toward a Framework for Africa,” (1995) accessed at pdf.
Jeremy Shiffman and Sharmina Sultana, “Generating Political Priority for Neonatal Mortality Reduction in Bangladesh,” American Journal of Public Health 103, no. 4 (2013):
Jeremy Shiffman, “Generating Political Will for Safe Motherhood in Indonesia,” Social Science & Medicine 56, no. 6 (2003):