Civil Society Organizations and Policy Entrepreneurship

1. Civil Society Organizations and Policy Entrepreneurship Naved Chowdhury, Enrique Mendizabal and Vanesa Weyrauch Overseas Development Institute, London CIPPEC, Argentina

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 • Desk-based literature reviews • Bridging Research and Policy • Communications • Knowledge Management • GDN project: • 50 preliminary case studies • Phase II studies (25 projects) • ODI projects • 4 detailed case studies • HIV/AIDS • Advisory work • Workshops and seminars www.odi.org.uk/rapid

4. The Opportunity • The results of household disease surveys informed processes of health service reform which contributed to a 43 and 46 per cent reduction in infant mortality between 2000 and 2003 in two districts in rural Tanzania. • TEHIP Project

5. HIV Prevalence in Thailand, Uganda & KwaZulu-Natal: 1990-2000 Source: UNAIDS

6. 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) www.odi.org.uk/rapid/Lessons/Case_studies/PSABH.html

7. 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

8. Definitions • Research: “any systematic effort to increase the stock of knowledge” • 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

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

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. Linear model Percolation model, Weiss Tipping point model, Gladwell ‘Context, evidence, links’ framework, ODI Policy narratives, Roe Systems model (NSI) External forces, Lindquist ‘Room for manoeuvre’, Clay & Schaffer ‘Street level bureaucrats’, Lipsky Policy as social experiments, Rondinelli Policy Streams & Windows, Kingdon Disjointed incrementalism, Lindquist The ‘tipping point’, Gladwell Crisis model, Kuhn ‘Framework of possible thought’, Chomsky Variables for Credibility, Beach The source is as important as content, Gladwell Linear model of communication, Shannon Interactive model, Simple and surprising stories, Communication Theory Provide solutions, Marketing Theory I Find the right packaging, Marketing II Elicit a response, Kottler Translation of technology, Volkow Epistemic communities Policy communities Advocacy coalitions etc, Pross Negotiation through networks, Sebattier Shadow networks, Klickert Chains of accountability, Fine Communication for social change, Rockefeller Wheels and webs, Chapman & Fisher X Existing theory www.odi.org.uk/rapid/lessons/theory

12. The RAPID Framework Existing theory – a short list • Policy narratives, Roe • Systems of Innovation Model, (NSI) • ‘Room for manoeuvre’, Clay & Schaffer • ‘Street level bureaucrats’, Lipsky • Policy as social experiments, Rondene • Policy streams and policy windows, Kingdon • Disjointed Incrementalism, Lindblom • Social Epidemics, Gladwell

13. Generic Policy Processes

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

15. The Context, Evidence & Links 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. Case Studies • Sustainable Livelihoods: The Evolution of DFID Policy • The PRSP Initiative: Research in Multilateral Policy Change • The adoption of Ethical Principles in Humanitarian Aid post Rwanda • Animal Health Care in Kenya: Evidence fails to influence Policy • 50 GDN Case Studies: Examples where evidence has or hasn’t influenced policy

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: Feedback 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. Conclusions • Research is essential but… • Other work is needed to ensure it contributes to the development and implementation. • Clear lessons about how are emerging: • Political context is crucial – understand it to maximize your chances • Figure out what evidence is needed and how to package it for policy makers • Collaborate with other actors

23. 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

24. 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?

25. What researchers 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?

26. CSOs: Definitions and Functions • Definition: “organizations that work in an arena between the household, the private sector and the state to negotiate matters of public concern”. • Functions: • representation • technical inputs and advocacy • capacity-building • service-delivery • social functions

27. Types of CSOs • think tanks and research institutes • professional associations • human rights advocacy bodies and other promotional groups • foundations and other philanthropic bodies • trade unions and workers co-operatives • media/journalist societies • community based organizations • faith based organizations • cross-national policy dialogue groups

28. 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

29. Context • “Globalization” • Democratization and liberalization. • In some countries, move from challenging state to policy engagement. • CSOs increasingly involved in policy processes (from focus on service delivery). • CSO effectiveness, accountability and legitimacy involvement is questioned. • Challenge of engaging in a way that does justice to the evidence. • Southern research capacity has been denuded.

30. Civil Society Partnerships Programme Aim: Strengthened role of southern CSOs in development policy processes Outcomes: • CSOs better understanding evidence-policy process • Southern CSOs can access support for policy influence work • Global collaboration • Improved information for CSOs • ODI’s Capacity to support CSOs improved http://www.odi.org.uk/cspp/

31. 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), Electoral Reform ( Argentina) etc. • Strong diversity in engagement • Policies strongly driven by internal and external politics

32. Key Lessons • Legitimacy and credibility of CSOs are challenged by the government • Proposals by CSOs should be feasible and practical • Lack of trust between CSOs and government • CSOs need to understand policy process/context of policy making • Authentic and up to date information is crucial

33. Key Lessons 2 • Understanding Policy process means understanding the politics • 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

34. Key Lessons 3 • 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. Un estudio comparativo de los think tanks en países en desarrollo

36. Objetivos del proyecto • Identificar qué factores endógenos (aquellos bajo control de los TTs) juegan un rol clave en la efectividad de los TTs para vincular la investigación a las políticas públicas en diversas áreas. • Detectar factores exógenos (aquellos fuera del control de los TTs) en diversas regiones y países que facilitan u obstaculizan sus posibilidades de tener impacto en políticas.

37. Objetivos del proyecto • Desarrollar recomendaciones prácticas sobre cómo los TTs pueden mejorar su impacto en políticas.

38. Hallazgos principales del estudio • Un think tank o instituto de investigación orientado a políticas públicas no es un tipo de organización claramente definido (diversidad de términos como centro de estudios, think tank, organización de la sociedad civil; diferentes clasificaciones, roles variados, etc.) • El financiamiento es determinante para el modelo organizacional (planeamiento estratégico, contrataciones de recursos humanos, agenda de investigación, reputación, etc.)

39. Hallazgos principales del estudio • Dificultades para medir y probar el impacto en políticas públicas (Stone, Abelson, etc.) • El contexto es crucial para explicar la influencia en políticas (dimensiones políticas, económicas, y sociales). • Importancia de las relaciones con actores sociales clave: funcionarios públicos y políticos, medios de comunicación, organizaciones pares, empresarios, ciudadanía y organismos internacionales

40. Factores endógenos Los factores endógenos –aquellos bajo control de los TTs-pueden ser agrupados en tres aspectos organizacionales: • Dirección y gestión institucional: orígenes, financiamiento, estructuras de gobierno, alianzas y partenariados, perfiles de la dirección y del staff. • Gestión de la investigación: selección de los temas, proceso de investigación, experiencia de los investigadores, control de calidad, involucramiento de expertos externos.

41. Factores endógenos • Comunicación: estrategias y herramientas, difusión de la investigación, relaciones con políticos y otros actores relevantes.

42. Factores endógenos • Dirección y gestión institucional: • Los TTs exitosos tienen continuidad a través del tiempo. Se adaptan a sus contextos. • Orígenes: cómo y por qué se creó el TT tiene peso en su reconocimiento y reputación (¿quién está detrás?)

43. Factores endógenos • Dirección y gestión institucional: • Financiamiento: fondos institucionales permiten planear a largo plazo, continuidad temática y responder a oportunidades coyunturales; diversificación de financiamiento contribuye a la sostenibilidad y comunica independencia. • La mayoría tiene accesso a presupuestos significativos (más de US$ 1,000,000).

44. Factores endógenos • Dirección y gestión institucional: • Losboards con roles estratégicos funcionan como guías y puentes. Están integrados por actores clave que tienen poder en sus respectivos países. • Liderazgo: una buena y definida articulación entre el board y la dirección ejecutiva facilita la prioritización, la llegada a diversos grupos de poder y un equilibrio entre el corto y largo plazo.

45. Factores endógenos • Dirección y gestión institucional: • Construcción y sostenimiento estratégicos de redes y alianzas con actores sociales y políticos claves y sus instituciones. • Experiencia anterior en políticas públicas (board, dirección o staff) contribuye a la relevancia política, viabilidad de las propuestas y habilidad para llegar a los tomadores de decisión.

46. Factores endógenos • Gestión de la investigación Un manejo efectivo de la investigación es un prerrequisito e implica: • Relevancia para la política pública • Continuidad en la investigación • Procesos participativos (involucramiento de políticos y otros actores relevantes)

47. Factores endógenos • Gestión de la investigación Otros factores incluyen: • Agenda de investigación estratégica (anticiparse a cuestiones clave, aportar análisis diferencial) • Enfocar el problema de una manera original • Resultados operativos • Investigadores altamente calificados • Conocimientos técnicos

48. Factores endógenos • Comunicación • Reputaciónde la institución, así como credibilidad de sus expertos y su investigación es crucial (neutralidad, confiabilidad, independencia, apartidarios,calidad) • Relaciones estrechas con políticos (seminarios, policy briefs, capacitaciones, etc.) • Comunicación como proceso: feedback continuo a través de seminarios, reuniones, etc.

49. Factores endógenos • Comunicación • Uso de un conjunto diverso de herramientas según necesidades y preferencias de los públicos. • Relaciones estratégicas con los medios. • Publicaciones y eventos específicos y regulares: la periodicidad es crucial para gestionar expectativas de actores importantes. • Las comunicaciones organizacionales y personales están alineadas.

50. Factores exógenos • La continuidad y calidad de la investigación es un requisito necesario, pero no suficiente para lograr impacto. • Aun cuando los TTs posean características específicas que les permiten ganar un posicionamiento como instituciones reconocidas, rigurosas y serias, están constreñidas por sus contextos. • Su éxito también se relaciona con su capacidad de adaptarse al contexto y de comprender la lógica política de su país para detectar dónde residen las posibilidades reales de influencia.