Civil Society Organisations and Policy Entrepreneurship

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					Civil Society Organisations
and Policy Entrepreneurship

Naved Chowdhury
Overseas Development Institute, London
Workshop Objectives
a) Share experiences about CSO-policy context in
   African CEF partners;
b) Learn about the latest worldwide research and
   practice in this area;
c) Share experiences about approaches to
   influence policy and what works;
d) Start to develop strategies to improve policy
Outline of the Workshop
Day 1
• General Introductions
Day 2
• Tools and field trip
• Develop a strategy
• Knowledge management
Any questions about the plan?
Self Introductions
2 minutes!
• Name
• Organization / Area of Work
• What do you want to get out of this workshop?
Plenary discussion:

1. What are the main opportunities and
  a) Regarding CSO-policy links? (in general)
  b) Affecting the policy impact of your work?
CSOs, Evidence and Policy
Next steps:
• Definitions
• Theory
• Reality
• (Then we’ll discuss what issues matter)
Overseas Development Institute
• Britain’s leading development Think
• £12m, 120 researchers
• Research / Advice / Public Debate
• Rural / Humanitarian / Poverty &
  Aid / Economics (HIV, Human
  rights, Water)
• DFID, Parliament, WB, EC
• Civil Society
                      For more information see:
RAPID Programme
• Research
• Advisory work
• Policy change projects
• Workshops and seminars
• Civil Society Programme

Policy Process Workshops
• Looking at internal policy processes –
  what works in DFID.
• Small, informal workshop with 7 staff.
• Participatory pair-wise ranking of
  factors influencing the success of 8
  policy processes.
• Worked quite well.
• In DFID - agendas and processes
  rather than documents are key
How we’re doing it in RAPID
•   Clear Aim & Outputs
•   Building credibility with research/action
•   Employing the right staff & staff development
•   Good internal systems (Mgt, Comms & KM)
•   Programme approach:
    –   Strategic opportunism
    –   Research / practical advice / stimulating debate
    –   Engagement with policy makers & practitioners
    –   Community of practice cf network
• Financial opportunism
How we advise: SMEPOL Egypt
•   Policy Process Mapping
•   RAPID Framework
•   Stakeholder Analysis
•   Force-Field Analysis
•   SWOT
•   Action Planning
•   Evaluation & Adapting
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
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
HIV Prevalence in Thailand, Uganda &
KwaZulu-Natal: 1990-2000


   HIV Prevalence




                          1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000
                    Thailand      Kampala, Uganda       KwaZulu Natal, South Africa
                                                                          Source: UNAIDS
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)

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
• 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 accountability and legitimacy of CSO
  involvement is questioned.
• Challenge of engaging in a way that does justice to
  the evidence.
• Southern research capacity has been denuded.
• CSOs, researchers and policymakers seem to live
  in parallel universes.
• 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
The linear logical policy model…
Identify the problem
   Commission research
        Analyse the results
             Choose the best option
                  Establish the policy
                       Implement the policy
                              Evaluate the results
Generic Policy Processes
                            1. Problem Definition/
                               Agenda Setting

                                                         2. Constructing the Policy
            6. Evaluation
                                                      Alternatives/ Policy Formulation

                              The Policy Cycle

5. Policy Implementation                                     3.Choice of Solution/
     and Monitoring                                  Selection of Preferred Policy Option

                               4. Policy Design
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


           Problem       Policy
Agenda                                                                   Policy
           definition    tools         Implementation   Enforcement
setting                                                                 evaluation
          & analysis    Selection

                                Media                          Public

                                         Source: Yael Parag
 CSOs and Policy: Existing theory
1.    Linear model                            18. Linear model of communication,
2.    Too close for comfort, Edwards
3.    Impact & Effectiveness, Fowler          19. ‘Space’ for thought & action, Howell
4.    ‘Context, evidence, links’, RAPID       20. Simple and surprising stories,
5.    Policy narratives, Roe                      Communication Theory
6.    CSO legitimacy, L. David Brown          21. Provide solutions, Marketing Theory I
7.    Links and Learning, Gaventa             22. Find the right packaging, Marketing II
8.    ‘Room for manoeuvre’, Clay & Schaffer   23. Global Civil Society?, Keane
9.    ‘Street level bureaucrats’, Lipsky      24. Global Legitimacy, van Rooy
10.   Policy as experiments, Rondinelli       25. Epistemic communities, Haas
11.   Policy Streams & Windows, Kingdon       26. Policy entrepreneurs, Najam
12.   Disjointed incrementalism, Lindquist    27. Advocacy coalitions, Keck & Sikkink
13.   Tipping point model, Gladwell           28. Negotiation through networks, Sabattier
14.   Mercenaries, missionaries and           29. Social capital, Coleman
      revolutionaries , Malena                30. Accountability, OneWorld Trust
15.   ‘Non-Western?’, Lewis                   31. Communication for social change,
16.   Global Civil Society, Salamon, Kaldor       Rockefeller Foundation
17.   Types of Engagement, Coston             32. Wheels and webs, Chapman & Fisher

    Existing theory – a short list
•   Civil Society, Edwards
•   Types of Engagment, Coston
•   Legitimacy, L. David Brown / van Rooy
•   ‘Street level bureaucrats’, Lipsky
•   Global Civil Society, Keane / Kaldor / Salamon
•   Policy streams and policy windows, Kingdon
•   Disjointed Incrementalism, Lindblom
•   Social Epidemics, Gladwell
• CSOs & Policy Processes
A word of warning…
• The world is complex
• We do not aim to make it simple
• Only to find recognisable patternrs or
• Which might guide your actions

• There is NO blueprint. NO linear, logical,
  rational, proper, method.
• Most of the time it is up to you.
… 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
Policy life is complex. What
issues matter? The RAPID
The Analytical Framework
External Influences               The political context –
Socio-economic and                political and economic structures
cultural influences,              and processes, culture, institutional
                                  pressures, incremental vs radical
donor policies etc
                                  change etc.

The links between policy                      The evidence – credibility, the
and research communities –                    degree it challenges received
networks, relationships, power,               wisdom, research approaches
competing discourses, trust,                  and methodology, simplicity of
knowledge etc.                                the message, how it is packaged
And allows useful comparisons
    1. Ideal model                   2. Islands model
         e.g. ??                     e.g. multilaterals

  Links           Knowledge       Links           Knowledge

 3. Technocratic model              4. Ivory Tower model
       e.g. donors                 e.g. Research institutes
           Contexts                            Contexts


   Links              Knowledge                Knowledge
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
• Decisive moments in the policy process (policy processes,
  votes, policy windows and crises)
• Context is crucial, but you can maximize your chances
Evidence: Relevance and credibility
• Key factor – did it provide a solution to a
• 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
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
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
 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
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
Civil Society Partnerships Programme
Aim: Strengthened role of southern CSOs
in development policy processes

• CSOs better understanding evidence-policy
• Capacity to support CSOs established
• Improved information for CSOs
• Global collaboration
•   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
Linking Evidence to Policy: Lessons Learnt

• Understanding Policy process means
  understanding the politics
• Demand led vs Supply driven
• Credibility of CSOs is questioned
• Capacity to use and package research for
  policy influence is limited
• Donor influence is huge
• Gradual erosion of research capacity in the
Establishing capacity
• 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
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!!
Key issues for Partnership
• ODI needs to change ( Org and Staff)
• Invest time and resource
• Partnership to accommodate diversity of
• Different modes of Partnerships ( research,
  networking, advocacy)
Capacity Development in CSPP
• Building a knowledge base of orgs
• Responding directly to CD demand of
• CSPP network
  – Training ( Research methodology, policy
    analysis, etc).
  – Facilitating exchange of information and
    knowledge ( Best Practice)
  – Support institutional development
  – Collaborative action research projects
Key factors for CSO influence (Malawi)
Opposing                  Supporting
• Lack of capacity        • Evidence of the value
• Lack of local             of CSO involvement
  ownership               • Governments
• Translating data into     becoming more
  evidence                  interested in CSOs
• Lack of data            • CSOs are gaining
• Donor influence           confidence
• Crises                  • Strength of networks
• Political factors       • The media
                          • Political factors
Key-note Speakers
• [insert name] and blurb
• On the needs and pressures of
• On producing relevant and credible

• Questions?
Plenary discussion:

1. How can we change what we do to be more
   useful for policymakers?
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
• actively participate in policy networks
• communicate better.
Skills of (pro-poor) policy entrepreneurs

  Engineers                Fixers
Policy Entrepreneurship
Questionnaire             • Rank responses
                          • Add scores
                          • Don’t worry about
Bangladesh CSO Policy Entrepreneurs

                               >44 = Low

                               <30 = High
                               <23 = V. High
End DAY 1
• Results of the Policy entrepreneurship
• Tools
  – Identifying the problem and assessing the
• Tendency to prefer “storytelling” and
• Several people dislike “fixing” and
  “engineering” is close by.
• One of you has a strong preference:
Compared with others…
Understanding the context
• The RAPID Framework
• 28 Questions which explains how to use the
An Analytical Framework
External Influences               The political context –
Socio-economic and                political and economic structures
cultural influences,              and processes, culture, institutional
                                  pressures, incremental vs radical
donor policies etc
                                  change etc.

The links between policy                      The evidence – credibility, the
and research communities –                    degree it challenges received
networks, relationships, power,               wisdom, research approaches
competing discourses, trust,                  and methodology, simplicity of
knowledge etc.                                the message, how it is packaged
A Practical Framework
External Influences               political context
                          Politics and
   Campaigning,           Policymaking
                                                      Policy analysis, &

 Scientific       Networking             Research,
 information                             learning &
 exchange &                              thinking
               links                          evidence
Using the framework
• The external environment: Who are the key actors?
  What is their agenda? How do they influence the political
• 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
• Links: Who are the key individuals? Are there existing
  networks to use? How best to transfer the information?
  The media? Campaigns?
Using the Framework
What CSOs need to do
What CSOs need to               What CSOs need to                 How to do it
know                            do
Political Context:              • Get to know the policymakers. • Work with them – seek
• Who are the policymakers?     • Identify friends and foes.      commissions
• Is there demand for ideas?    • Prepare for policy            • Strategic opportunism –
• What is the policy process?     opportunities.                  prepare for known events
                                • Look out for policy windows.    + resources for others
Evidence                        •   Establish credibility         • Build a reputation
                                •   Provide practical solutions   • Action-research
• What is the current theory?
                                •   Establish legitimacy.         • Pilot projects to generate
• What are the narratives?
                                •   Present clear options           legitimacy
• How divergent is it?
                                •   Use familiar narratives.      • Good communication
Links                           • Get to know the others          • Build partnerships.
• Who are the stakeholders?     • Work through existing           • Identify key networkers,
• What networks exist?            networks.                         mavens and salesmen.
• Who are the connectors,       • Build coalitions.               • Use informal contacts
  mavens and salesmen?          • Build new policy networks.
Example of application
• Animal Healthcare in Kenya :You could use
  a time line of events…
• How PRSP came about:You could analyse
  events that lead to a significant
The PRSP Story…
• The WB & IMF “adopted” PRSPs at
  the AGM in Sept. 1999 as the 1
  instrument for HIPIC II (and
  subsequently for all loans)
• Why?
• What were the key factors?
• What role did “evidence” play in the
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
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 –
• WB/IMF Annual General Meeting, Sept 1999
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”
Any questions?

About the framework?
About the cases?
Pick a policy issue to work on
for rest of workshop
• You are working on.
• Is there a theme a group is interested in?
• Discuss it with your neighbours?
• Keep your notes!!
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)
1. Go over all factors (pick the most relevant
2. Answer:
  1. How friendly is the policy context?
  2. Do you have access to the right evidence?
  3. Are there clear and strong links between
     evidence and policy?
  4. How influential are the external forces?
Feedback and Discussion
Groups (a few key points):
What is the issue?
What factors matter?
Is the evidence credible?
Are the same issues important?
Do you find the evidence credible?
What is the present policy agenda?
Tools for Policy Influence
Practical Tools
           Overarching Tools
       - The RAPID Framework              Context Assessment Tools
     - Using the Framework                - Stakeholder Analysis
   - The Entrepreneurship                  - Forcefield Analysis
         Questionnaire                      - Writeshops
                                             - Policy Mapping
 Communication Tools                           - Political Context Mapping
 - Communications Strategy
- SWOT analysis
 - Message Design
  - Making use of the media                     Research Tools
                                                - Case Studies
    Policy Influence Tools                     - Episode Studies
    - Influence Mapping & Power Mapping       - Surveys
     - Lobbying and Advocacy                 - Bibliometric Analysis
       - Campaigning: A Simple Guide        - Focus Group Discussion
        - Competency self-assessment
Policy Analysis: Methods and tools
  – RAPID Framework
  – Problem Situation Analysis (Tree Analysis)
  – Stakeholder Analysis
  – Policy Process Mapping
  – Force field analysis
  – Influence mapping
  – SWOT analysis
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
Stakeholder Analysis
• Clarify the policy change
• Identify all the stakeholders       High

  associated with this objective               Keep
                                                                       Closely and

• Organise the stakeholders in     Power

  the matrice according to                     Monitor
                                               (minimum effort)

  interest and power
• Develop strategy to engage

                                             Low                                     High
  with different stakeholders
Mapping Policy Processes
                   Agendas   Formulation   Implementation



  Civil Society

  Civil Society
SWOT Analysis
                                    • What type of policy
 Strengths         Weaknesses         influencing skills and
                                      capacities do we have?
     •Skills and abilities
     •Funding lines
                                    • In what areas have our staff
     •Commitment to positions         used them more effectively?
     •Contacts and Partners         • Who are our strongest
     •Existing activities
                                    • When have they worked
 Opportunities Threats                with us?
      •Other orgs relevant to the
                                    • Are there any windows of
      •Resources: financial,          opportunity?
      technical, human              • What can affect our ability to
      •Political and policy space
      •Other groups or forces
                                      influence policy?
  – Identifying the forces for and against change
    and developing the strategy
Force field Analysis

                       • Specific Change
                       • Identify Forces
                       • (Identify Priorities)
                       • (Develop Strategies)
Force Field Analysis
• Think about:
  – Who needs to change
  – Who can support and who can resist change
• Do not confuse strength of force with importance
  of force
• Look out for:
  – VERY strong forces
  – Priorities
  – Nested FFA (you might have to re-think your problem)
Group work:
• Use Force field analysis to identify key
  issues and strategic objectives
• Feedback –highlighting examples
  (remember you are telling each other’s
  – Main forces for and against
  – Overall strategic options
  – Implications for problem analysis?
• We will begin with sharing experience of projects.
• You will use some of the questions and tools to
  collect information about the problems faced by
  the school/project and its context
• Use your ‘What to watch for’ hand out as a guide,
• Ask questions, observe, take pictures if possible,
  make sketches, get quotes.
End of DAY 2
Day 3

• Developing a strategy
    The over all framework
•    Identify the problem
•    Understand the context          How? What?
•    Identify the audience(s)
•    Develop a SMART Strategy
•    Identify the message(s)
•    Resources – staff, time, partners & $$
•    Promotion – tools & activities
•    Monitor, learn, adapt
Communication Toolkit for Researchers and CSOs
• Why Communicate? (To inspire, inform and learn).
• African agriculture Researchers have failed identify the
  problems facing policymakers ( Omamao 2003).
• Each stakeholder has different communication needs,
  information is accessed by them differently, need research
  results in different times and different formats (Mortimer et
  al 2003).
• Communication capacity – is a long term process
• How to improve communication of research to
  policymakers, to other researchers and the end users ( i.e
  NGOs, CBOs, etc).
• Communication tools
•   Who needs to make these changes?
•   Who has the power?
•   What is their stance on the issue?
•   Who influences them?
•   Identify targets and influence
(use stakeholder & context mapping tools)
•   Why should things change (or what is the
    evidence to support your case?)
•   How to make sure that the evidence is
    credible and ‘legitimate’?
•   What the target audience can hear....
    frameworks of thought
•   Language, content, packaging, and timing
Messenger (Promotion)
• How to access information and target?
• Who is a trusted and credible messenger?
• What is the most appropriate medium?
  (campaigns, public mobilisation, formal and
  informal lobbying)

• How will you package your information?
• Role of the media?
Different Approaches
Issues: Persuasion
• Separate people from problem
• Focus on interests, not positions
• Invent options for mutual gain
• Insist on using objective criteria.
• Manage human emotion separately from
  the practical problem
• Highlight the human need to feel heard,
  understood, respected and valued.
Targeting: Writing Effective Policy Papers
Providing a solution to a policy problem

• Structural elements of a paper
  – Problem description
  – Policy options
  – Conclusion
• Key issues: Problem oriented, targeted,
  multidisciplinary, applied, clear, jargon-free.

[Source: Young and Quinn, 2002]
Issues: Lobbying
• Be an authority on the subject
• Include all group in the work
• Be positive in your approach
• Be aware of the agenda and language on
  the government in power
• Identify and target politicians
• Time your input
• Use the Media to lobby
     Advocacy Rules
   (Or how to influence
people to make changes ....)
What are the changes you are trying to bring
• Use the problem tree or some other tool to
  identify problems, impact of the problem and
  root causes
• Specific, Measurable, Achievable, Realistic,
  Time-Bound (SMART) objectives
Who are you advocating/communicating to?
  Who needs to make these changes?
  Who has the power?
  What is their stance on the issue?
  Awareness, Knowledge, Attitude, Behaviour
  Targets and influence
  Mapping where decisions happen
  Analyse the outcome and then decide.
     Who are you working together with?
1. Who do you need to work with?
2. Identify your ‘niche’ (SWOT)
3. Stakeholder Mapping
4. Structures for collaborative working
5. Skills needed in teams
6. Benefits and pitfalls of collaborations
Why do you want to make the changes?
Why should things change (or what is the
evidence to support your case?)
How to make sure that the evidence is
credible and ‘legitimate’?
The evidence : accurate, credible, well
researched, authoritative…
What the target audience wants to hear....
                 Advocacy Statement

  A concise and persuasive statement that captures
  What you want to achieve, Why, How and by

 Should ‘communicate’ with your target
  audience and prompt action
 Think about language, content,
  packaging, and timing
 Persuasive
How will you communicate your messages and evidence?
 How to target and access information?
 Who is a trusted and credible messenger?
 What is the most appropriate medium?
 How will you package your information?
 Role of the media
    Where and when to advocate/communicate?

 Creating opportunities (campaigns,
  public mobilisation, formal and
  informal lobbying etc.)
 Influencing existing agendas
 Piggybacking on other agendas
Group work
1. In your country groups:
  1. Write up a strategy brief detailing: problem,
     context, audience, strategy, message and
  2. Develop a presentation of your message
2. To the plenary:
  1. Present your message
Monitoring and learning
Why is this important?
• Because we need to be able to be strategic
• And strategies need to be evidence based
• But most relevant evidence is held by the
  process of policy influence –we will learn it
  as we do it
• And we must have the capacity to respond
  to new evidence and adapt our strategy
  – Do not think about evaluation!
  – Think monitoring LEARNING and adapting
What are we talking about when we say “knowledge and
                     Learn                      “…The idea is not to
                     during                     create an
                                                encyclopaedia of
                                                everything that
Goals               Using
                                                everybody knows,
                 Knowledge  Learn
                                                but to keep track of
                                                people who ‘know
            before            after
                                                the recipe’, and
                                                nurture the
                                                technology and
                                                culture that will get
                                                them talking…”
             External networks;
             Information assets
There are different forms of knowledge…


                  Has it been        Can it been
                  articulated?       articulated?

                           Y                  N

                    Explicit              Tacit
…and different approaches to learning and influencing
Getting the environment right
• Shared beliefs and common values
• A willingness to ask for help
• Common technology which connects
• Effective Peer Processes
• Rewarding and recognising learning
• Identifying and reinforcing the right
  leadership behaviours
Some quotes
                                              “It is not the strongest of the
“Most activities or tasks are not one         species that survives, nor the
time events… our philosophy is fairly         most intelligent, but the one
simple: every time we do something            most responsive to change.”
again we should do it better than the         Charles Darwin
last time.” Lord Browne

 "When knowledge gained somewhere
                                          "Practice provides the rails
 doesn't move elsewhere, that's not a
                                          on which knowledge flows."
 learning organization; that's just a     John Seely-Brown
 bunch of projects." Saratoga Institute
ODI experience
• Knowledge and learning are at the heart of the ODI
  approach to bridge research, policy and practice

• ODI research groups and networks provide a
  substantial knowledge base
   – e.g. ALNAP and RAPID

• The CSPP has systematic learning as a core principle
The Knowledge Strategies Framework
external factors               organisational contexts
knowledge of partners,         leadership approaches,
donors, other external         governance structures,
agencies; networks;            management processes,
national and global            institutional pressures, funding
factors                        cycles, historical evolution etc.

links within and                           knowledge – forms and
across the organisation                    locations; processes – e.g.:
boundaries – via communities               creation, sharing, storage, use;
and ICTs; to communications                key activities and tools; staff
plans; to core functions and               capacities; relevance, M&E
support functions, etc
The framework can be used to devise
and revise strategies
• The external factors How does the knowledge and
  learning strategy address issues emerging from external
  relationships and factors?
• The context How do issues of institutional governance,
  politics and economics support or hinder the knowledge
  and learning strategy?
• Links How does knowledge and learning link to
  structures, functions, core activities, supporting activities
  and processes of a given organisation?
• The knowledge How is knowledge and learning
  understood and applied within each organisation? What
  tools are used, why and how?
Knowledge: processes and tools
• There are a range of processes to consider

   – Mapping and creation of knowledge

   – Managing and storing knowledge

   – Learning and sharing knowledge

   – Use of knowledge

• The different processes and different forms of knowledge can be
  brought together…
Knowledge: a menu of tools
What kind of learner are you?
• People show preferences for particular learning styles, and different
  learning activities are suited to different styles of learning. You are
  most likely to learn when your learning style and the nature of the
  activity match.

• So if you can choose among activities to learn the same subject, you
  may be able to choose an activity to match your preferred style. But
  often you aren’t given the luxury of a choice, so you will need to use a
  style that may not come naturally.

• If you are prepared to use different styles on occasion, so that you
  strengthen styles that you currently don’t often use, you can become
  an all-round learner, able to benefit from any learning opportunity.
What kind of learner are you?
• Activists are people
  who learn
  by doing. They like
  to involve
  themselves in new
  and will ‘try anything
  They tend to act first
  and consider
  the consequences
             • Reflectors learn by
               observing and
               thinking about what
               happened. They like
               to consider all the
               possible angles and
               implications before
               coming to a
               considered opinion.
               They spend time
               listening and
               observing, and tend
               to be cautious and
• Theorists like to
  understand the
  theory behind the
  actions. They need
  models, concepts
  and facts in order to
  learn. They like to
  analyse and
  synthesise, and feel
  uncomfortable with
              • Pragmatists are keen
                on trying things out.
                They look for new
                ideas that can be
                applied to the
                problem in hand.
                They like to get on
                with things and tend
                to be impatient with
                discussions; they are
                practical, down-to-
                earth people
After action reviews: learning during
                               Four Simple Questions:

                               • What was supposed to happen?

                               • What actually happened?

                               • Why was there a difference?
  15 minute team debrief,
  conducted in a “rank-free”
  environment.                 • What can we learn from it?
The Retrospect – Learning after projects

                                       • What was the objective of
                                         the project?
                                       • What did we achieve?
                                       • What were the
                                         successes? Why? How
                                         can we repeat the
                                       • What were the
                                         disappointments? Why?
                                         How can we avoid them
                                         in future?
   Facilitated, forward looking        • ‘Marks out of 100’, what
  team meeting, soon after the           would move it closer to
       project has ended                 100?
Monitoring ex-ante
• … ex-post is sometimes too late

• A short introduction to OUTCOME
What are the problems we face?
• The problem with attribution
  – Multiple actors and factors contribute
  – Unintended results are often ignored
  – Influence shifts overtime (indirect relation)
  – Impact of our interventions occurs further down
    the development chain
• The problem with Accountability vs.
The problem with attribution

          National Gov           Church

           DFID          Local Gov

Why do we face these problems?
• Because the responsibility for achieving
  results ultimately depends on the actions of
  our partners as influenced by the contexts
  in which they work
• Focusing on downstream impact increases
  programming bureaucratisation and is
  inconsistent with our understanding of
  develpment as a complex process.
What is OM?
• OM is a dynamic methodology useful in the
  development of planning, monitoring and
  evaluation mechanism. OM:
  – Provides the tools to think holistically and strategically
    about how it intends to achieve results
  – Focuses on Outcomes instead of impacts
  – It deals with Contribution instead of attribution
  – Forces us to limit our planning and evaluation to our
    sphere of influence
  – Deals with changes in the behaviours of our direct
The 3 Stages of OM
• The intentional design stage: helps answer 4 questions: 1)
  Why? (developing a vision statement); 2) Who? (identifying the
  primary partners); 3) What? (specifying desired outcomes and
  relevant progress markers); and, 4) How? (articulating the
  mission and a portfolio of strategies).
• The outcome and performance monitoring stage:
  provides a framework for a continuous monitoring of the
  initiative as a tool to achieving its outcomes. The program uses
  progress markers, a set of graduated indicators of behavioural
  change, identified in the intentional design stage to clarify
  directions with its primary partners and to monitor outcomes.
• The evaluation planning stage: helps identify the
  evaluation priorities assessing the strategy at greater depth
  than the performance monitoring stage.
Intentional design
• Boundary Partners
  – Individuals, groups and organisations with
    whom the programme interacts directly to effect
  – Those that you are trying to encourage to
    change so that they can contribute to the
    vision? With whom will you work directly?
  – We must try to group similar partners according
    to the type of behavioural changes sought.
    Boundary partners are different from strategic
Boundary partners


    = Program`s Partners
Intentional design
• Outcome Challenges
  – The changed behaviours (relationships, activities
    and/or actions) of the boundary partner and how they
    would be behaving if they were contributing ideally to
    the vision.
  – Imagine that in 3-5 years PartCom has been extremely
    successful. What would our boundary partners be
    doing to contribute maximally to the vision?
  – Outcome challenges are about the boundary partner,
    not the programme.
Intentional design
• Progress markers
  – Step by step progressive changes that one expects to
    see (short run), would like to see (medium to long run)
    and love to see (very long run) –keep it simple, 15 max!
  – Are linear but NOT static
  – Must be revised
  – Help monitor the effectiveness of the strategy
Intentional design
• Strategy Map
  – Outlines the programmes approach in working with the
    boundary partners
  – How will the programme contribute to the achievement
    of the outcome challenged over the next X
  – Use force field analysis
The three stages of OM
Further Information / Resources
• ODI Working Papers
• Bridging Research
  and Policy Book
• JID Special Issue
• Meeting Reports
• Tools for Impact
Contact Details:

Naved Chowdhury –

Enrique Mendizabal:

RAPID Programme, ODI
Other sources of information:

 or e-mail for a copy of the RAPID/CSPP CD-ROM
Closing comments
1. Was this useful?
2. What will you do different from now on?
3. How can we help you?
Thank you

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