Civil Society Organizations and Policy Entrepreneurship

1. Civil Society Organizations and Policy Entrepreneurship Naved Chowdhury 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 • 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. Group work: • Choose a case study • Which policies were to be influenced? • What approach was used to influence policy? • Discuss success and challenges faced while linking research to policy.

5. 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

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

7. 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

8. 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

9. Objectives – “maximizing chances” To enable participants to: • better understand latest theory and findings from around the world on research-policy links; • better understand how policy is made, policy transfer and styles of policy entrepreneurship; • use evidence more effectively in influencing policy-making processes; • build stronger connections with other researchers and practitioners; and • actively participate in policy networks.

10. Self Introductions 1 minute! • Name • Area of Work • What do you want to get out of this workshop?

11. 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

12. 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

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

14. 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

15. 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

16. Reality II … Parallel Universes? Vincent Cable – MP on legislators & use of evidence: • Speed • Superficiality • Spin • Secrecy • Scientific Ignorance More at: www.odi.org.uk/RAPID/Meetings/Evidence

17. 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

18. Generic Policy Processes

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

20. 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

21. 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

22. 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

23. 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.

24. ODI’s CSPP Aim: Strengthened role of southern civil society organisations in development policy processes Through: • Improved understanding how CSOs use research-based evidence • Strengthened regional capacity to support CSOs • Improved information from ODI • Global collaboration

25. 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. • Strong diversity in engagement • Policies strongly driven by internal and external politics

26. 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

27. The Exercise in the next two days • Clarify the policy objectives of your work • Identify the key factors which might hinder or facilitate policy uptake (the RAPID framework) • Develop a strategy (force-field analysis / SWOT) • Develop/rework your policy memo • Identify other activities to enhance uptake

28. Other models

29. The Context, Evidence & Links Framework

30. The CEL Framework • The Context Evidence & Links Framework • Examples: • Animal Health Care in Kenya • The PRSP Story • Q&A • Group work: applying the framework to your own cases • More tomorrow

31. 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

32. 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

33. 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

34. 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

35. 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

36. 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)

37. 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

38. 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/

39. Activities • Principles of partnerships etc • Mapping of CSO’s and support organisations • Regional Workshops • Research, synthesis and toolkits • Small-scale collaborations (internal) • Small-scale collaborations (external) • Identification of long-term partners • Support (and capacity-building) • Collaboration on global projects

40. Group Work Use the CEL Framework to analyse the key factors likely to influence the uptake of your research

41. Using the Framework

42. 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

43. 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?

44. 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?

45. Animal Health Care in Kenya Why despite 20 years of convincing evidence of the value of community-based animal health services provided by farmers themselves it is still illegal?

46. Animal Health Care in Kenya • Professionalisation of Public Services. • Structural Adjustment → collapse. • Paravet projects emerge. • ITDG projects. • Privatisation. • ITDG Paravet network. • Rapid spread in North. • KVB letter (January 1998). • Multistakeholder WSs → new policies. • Still not approved / passed! 1970s 1980s 1990s 2000s

47. Animal Health Kenya - Context • Professionalisation of Public Services. • Structural Adjustment → collapse of services. • Paravet projects emerge. • ITDG projects. • Privatisation. • ITDG Paravet network. • Rapid spread in North. • KVB letter (January 1998). • Multistakeholder WSs → new policies. • Still not approved / passed! • Professionalisation of Public Services. • Structural Adjustment • Privatisation • ITDG Paravet network and change of DVS. • KVB letter (January 1998). • Multistakeholder WSs→ new policies. 1970s 1980s 1990s 2000s

48. International Research The Hubl Study Animal Health Kenya - Research • Professionalisation of Public Services. • Structural Adjustment → collapse of services. • Paravet projects emerge. • ITDG projects. • Privatisation. • ITDG Paravet network. • Rapid spread in North. • KVB letter (January 1998). • Multistakeholder WSs → new policies. • Still not approved / passed! • Professionalisation of Public Services. • Structural Adjustment • Privatisation • ITDG Paravet network and change of DVS. • KVB letter (January 1998). • Multistakeholder WSs→ new policies. 1970s 1980s 1990s 2000s ITDG projects – collaborative action research.

49. International Research The Hubl Study Dr Kajume Animal Health Kenya - Links • Professionalisation of Public Services. • Structural Adjustment → collapse of services. • Paravet projects emerge. • ITDG projects. • Privatisation. • ITDG Paravet network. • Rapid spread in North. • KVB letter (January 1998). • Multistakeholder WSs → new policies. • Still not approved / passed! • Professionalisation of Public Services. • Structural Adjustment • Privatisation • ITDG Paravet network and change of DVS. • KVB letter (January 1998). • Multistakeholder WSs→ new policies. 1970s 1980s 1990s 2000s ITDG projects – collaborative action research.

50. Animal Health Kenya - Lessons • Political stagnation, professional protectionism • Practical evidence invisible to policy makers • Powerful individuals, “professional” interests • Timing • A “Tipping Point” • New champions • Collaborative policy-research