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

2 RAPID Programme Civil Society Partnerships Programme 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 Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme HIV Prevalence in Thailand, Uganda & KwaZulu-Natal: 1990-2000 Source: UNAIDS

6 RAPID Programme Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme Evaluate the results The linear logical model… Identify the problem Commission research Analyse the results Choose the best option Establish the policy Implement the policy

10 RAPID Programme Civil Society Partnerships Programme 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 RAPID Programme Civil Society Partnerships Programme 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

12 RAPID Programme Civil Society Partnerships Programme Existing theory 1.Linear model 2.Percolation model, Weiss 3.Tipping point model, Gladwell 4.‘Context, evidence, links’ framework, ODI 5.Policy narratives, Roe 6.Systems model (NSI) 7.External forces, Lindquist 8.‘Room for manoeuvre’, Clay & Schaffer 9.‘Street level bureaucrats’, Lipsky 10.Policy as social experiments, Rondinelli 11.Policy Streams & Windows, Kingdon 12.Disjointed incrementalism, Lindquist 13.The ‘tipping point’, Gladwell 14.Crisis model, Kuhn 15. ‘Framework of possible thought’, Chomsky 16.Variables for Credibility, Beach 17.The source is as important as content, Gladwell 18.Linear model of communication, Shannon 19.Interactive model, 20.Simple and surprising stories, Communication Theory 21.Provide solutions, Marketing Theory I 22.Find the right packaging, Marketing II 23.Elicit a response, Kottler 24.Translation of technology, Volkow 25.Epistemic communities 26.Policy communities 27.Advocacy coalitions etc, Pross 28.Negotiation through networks, Sebattier 29.Shadow networks, Klickert 30.Chains of accountability, Fine 31.Communication for social change, Rockefeller 32.Wheels and webs, Chapman & Fisher www.odi.org.uk/rapid/lessons/theory X

13 RAPID Programme Civil Society Partnerships Programme 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 The RAPID Framework

14 RAPID Programme Civil Society Partnerships Programme Generic Policy Processes

15 RAPID Programme Civil Society Partnerships Programme Agenda setting Problem definition & analysis Policy tools Selection ImplementationEnforcement Policy evaluation Public Scientists Industry CSOs Media Government Source: Yael Parag

16 RAPID Programme Civil Society Partnerships Programme The Context, Evidence & Links Framework

17 RAPID Programme Civil Society Partnerships Programme The Analytical Framework The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc External Influences Socio-economic and cultural influences, donor policies etc The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc.

18 RAPID Programme Civil Society Partnerships Programme 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

19 RAPID Programme Civil Society Partnerships Programme 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

20 RAPID Programme Civil Society Partnerships Programme 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

21 RAPID Programme Civil Society Partnerships Programme 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

22 RAPID Programme Civil Society Partnerships Programme 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)

23 RAPID Programme Civil Society Partnerships Programme 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

24 RAPID Programme Civil Society Partnerships Programme A Practical Framework External Influences political context evidence links Campaigning, Lobbying Politics and Policymaking Media, Advocacy, Networking Research, learning & thinking Scientific information exchange & validation Policy analysis, & research

25 RAPID Programme Civil Society Partnerships Programme 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?

26 RAPID Programme Civil Society Partnerships Programme What researchers need to do What researchers need to know What researchers need to do How to do it Political Context: Evidence Links Who are the policymakers? Is there demand for ideas? What is the policy process? What is the current theory? What are the narratives? How divergent is it? Who are the stakeholders? What networks exist? Who are the connectors, mavens and salesmen? 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 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 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

27 RAPID Programme Civil Society Partnerships Programme 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

28 RAPID Programme Civil Society Partnerships Programme 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

29 RAPID Programme Civil Society Partnerships Programme 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

30 RAPID Programme Civil Society Partnerships Programme 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.

31 RAPID Programme Civil Society Partnerships Programme 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 Aim: Strengthened role of southern CSOs in development policy processes http://www.odi.org.uk/cspp/

32 RAPID Programme Civil Society Partnerships Programme 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

33 RAPID Programme Civil Society Partnerships Programme 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

34 RAPID Programme Civil Society Partnerships Programme 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

35 RAPID Programme Civil Society Partnerships Programme 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

36 RAPID Programme Civil Society Partnerships Programme Un estudio comparativo de los think tanks en países en desarrollo

37 RAPID Programme Civil Society Partnerships Programme 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.

38 RAPID Programme Civil Society Partnerships Programme Objetivos del proyecto Desarrollar recomendaciones prácticas sobre cómo los TTs pueden mejorar su impacto en políticas.

39 RAPID Programme Civil Society Partnerships Programme 1)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.) 2)El financiamiento es determinante para el modelo organizacional (planeamiento estratégico, contrataciones de recursos humanos, agenda de investigación, reputación, etc.) Hallazgos principales del estudio

40 RAPID Programme Civil Society Partnerships Programme 3)Dificultades para medir y probar el impacto en políticas públicas (Stone, Abelson, etc.) 4)El contexto es crucial para explicar la influencia en políticas (dimensiones políticas, económicas, y sociales). 5)Importancia de las relaciones con actores sociales clave: funcionarios públicos y políticos, medios de comunicación, organizaciones pares, empresarios, ciudadanía y organismos internacionales Hallazgos principales del estudio

41 RAPID Programme Civil Society Partnerships Programme Los factores endógenos –aquellos bajo control de los TTs-pueden ser agrupados en tres aspectos organizacionales: 1.Dirección y gestión institucional: orígenes, financiamiento, estructuras de gobierno, alianzas y partenariados, perfiles de la dirección y del staff. 2.Gestión de la investigación: selección de los temas, proceso de investigación, experiencia de los investigadores, control de calidad, involucramiento de expertos externos. Factores endógenos

42 RAPID Programme Civil Society Partnerships Programme 3.Comunicación: estrategias y herramientas, difusión de la investigación, relaciones con políticos y otros actores relevantes. Factores endógenos

43 RAPID Programme Civil Society Partnerships Programme  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?) Factores endógenos

44 RAPID Programme Civil Society Partnerships Programme  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). Factores endógenos

45 RAPID Programme Civil Society Partnerships Programme  Dirección y gestión institucional: Los boards 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. Factores endógenos

46 RAPID Programme Civil Society Partnerships Programme  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. Factores endógenos

47 RAPID Programme Civil Society Partnerships Programme  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) Factores endógenos

48 RAPID Programme Civil Society Partnerships Programme  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 Factores endógenos

49 RAPID Programme Civil Society Partnerships Programme  Comunicación Reputación de 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. Factores endógenos

50 RAPID Programme Civil Society Partnerships Programme  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. Factores endógenos

51 RAPID Programme Civil Society Partnerships Programme 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. Factores exógenos

52 RAPID Programme Civil Society Partnerships Programme Un aspecto clave es su capacidad de entender y aprovechar el vínculo entre investigación y política: los TTs necesitan comprender el contexto específico en que las decisiones son tomadas (procesos de consultas, embajadores, acuerdos para promover una idea o una agenda determinada, puntos de entrada, timing). Factores exógenos

53 RAPID Programme Civil Society Partnerships Programme  Nexo entre investigación y políticas La influencia se ejerce usualmente en la fase del establecimiento de agenda. La apertura de una ventana de oportunidad (crisis, cambio de gobierno, proceso de consulta) explica el éxito en la mayor parte de los casos. Factores exógenos

54 RAPID Programme Civil Society Partnerships Programme  Nexo entre investigación y políticas La investigación tiene más impacto cuando responde a una demanda de un actor político o social relevante y está orientada a una política pública específica (los TTs efectivos detectan oportunidades relacionadas con percepciones and expectativas de grupos específicos y toman ventaja de éstas) Factores exógenos

55 RAPID Programme Civil Society Partnerships Programme Partnership for Capacity Development Equitable Long-term commitment Intellectual honesty Mutual Trust Ethical Principle of Partnership Contextual ( strong regional variation) Capacity is demanded not given!!

56 RAPID Programme Civil Society Partnerships Programme Key issues for Partnership ODI needs to change ( Org and Staff) Invest time and resource Partnership to accommodate diversity of capacity Different modes of Partnerships ( research, networking, advocacy)

57 RAPID Programme Civil Society Partnerships Programme How to do it? Building a knowledge base of orgs Responding directly to CD demand of partners –Training ( Research methodology, policy analysis, etc). –Facilitating exchange of information and knowledge ( Best Practice) –Support institutional development –Collaborative work on policy analysis and advocacy

58 RAPID Programme Civil Society Partnerships Programme Further Information / Resources ODI Working Papers Bridging Research and Policy Book JID Special Issue Meeting Reports Tools for Impact www.odi.org.uk/cspp www.odi.org.uk/rapid

59 RAPID Programme Civil Society Partnerships Programme Other sources of information: Visit http://www.odi.org.uk/rapid or e-mail [email protected] for a copy of the RAPID/CSPP CD-ROM

60 RAPID Programme Civil Society Partnerships Programme Contact Details: John Young [email protected] Naved Chowdhury [email protected]@odi.org.uk Enrique Mendizabal [email protected]@odi.org.uk Vanesa Weyrauch [email protected] ODI website www.odi.org.uk/rapidwww.odi.org.uk/rapid CIPPEC website www.cippec.org