Policy Engagement Workshop: Southern Africa Trust 2007

1. Policy Analysis, Engagement and AdvocacyA workshop for Southern Africa TrustJohannesburg, South Africa2 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 • Tools, Strategy and Knowledge management

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

7. 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

8. 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

9. Generic Policy Processes

10. 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

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

12. 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

13. 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.

14. … 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

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

16. 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 The Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

17. 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.

18. 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

19. 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

20. Links: Coalitions and Networks • Feedback processes often prominent in successful cases. • Trust & legitimacy • Networks: • Epistemic communities • Policy networks • Advocacy coalitions • The role of individuals: connectors, mavens and salesmen

21. 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, we really don’t know whether and how donors can best promote use of evidence in policymaking (credibility vs backlash)

22. The PRSP Story… • The WB & IMF “adopted” PRSPs at the AGM in Sept. 1999 as the 1o instrument for HIPIC II (and subsequently for all loans) • Why? • What were the key factors? • What role did “evidence” play in the process?

23. PRSPs – Evidence • Long-term academic research informing new focus on poverty, participation, ownership, aid effectiveness etc • Applied policy research: • ESAF reviews • HIPC review • SPA Working Groups • NGO research on debt • Uganda’s PEAP

24. PRSPs – Political Context • Widespread awareness of a “problem” with international development policy in late 90s • Failure of SAPs (and Asian financial crisis) • Mounting public pressure for debt relief • Stagnation of Comprehensive Development Framework idea • Diverging agendas (UK – Poverty, US – Governance) • WB/IMF Annual General Meeting, Sept 1999

25. PRSPs – Links • WB, IMF, SPA, Bilaterals, NGOs all involved • Formal and informal networks • “None of the players was more than two handshakes away from any of the others”

26. 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/

27. 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

28. Key factors for CSO influence (Malawi) • 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 Opposing • Lack of capacity • Lack of local ownership • Translating data into evidence • Lack of data • Donor influence • Crises • Political factors

29. 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

30. 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.

31. 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

32. 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)

33. 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

34. 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

35. 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?

36. 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

37. 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

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

39. 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?

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

41. External Influences 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

42. 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?

43. Using the Framework

44. What CSOs need to do • Work with them – seek commissions • Strategic opportunism – prepare for known events + resources for others • Get to know the policymakers. • Identify friends and foes. • Prepare for policy opportunities. • Look out for policy windows. • 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? • Build partnerships. • Identify key networkers, mavens and salesmen. • Use informal contacts • Get to know the others • Work through existing networks. • Build coalitions. • Build new policy networks. • Who are the stakeholders? • What networks exist? • Who are the connectors, mavens and salesmen?

45. Group Work Use the RAPID Framework to analyse the key factors likely to affect the policy influence of your work (remember you will present each other’s work)

46. To do: • Go over all factors (pick the most relevant questions) • Answer: • How friendly is the policy context? • Do you have access to the right evidence? • Are there clear and strong links between evidence and policy? • How influential are the external forces?

47. Feedback and DiscussionGroups (a few key points):What is the issue?What factors matter?Is the evidence credible?Others:Are the same issues important? Do you find the evidence credible?What is the present policy agenda?

48. LUNCH

49. 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

50. 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