Tools for policy engagement Helen Tilley Research Fellow h.tilley@odi.org Research and Policy in Development (RAPID) programme Overseas Development Institute, London
TOOLS FOR POLICY ENGAGEMENT 2 3 1 STAKEHOLDER UNDERSTAND STRESS TEST POWER YOUR YOUR TOC ANALYSIS KNOWLEDGE ROLE
1 STAKEHOLDER POWER ANALYSIS
Alignment Influence Interest Matrix High 1. Identify all stakeholders Develop Learn enthusiasm to in General level of 2. Map them onto the address topic partnership alignment alignment / interest matrix 3. Identify who has power 4. Identify who you can Develop Challenge influence awareness and existing enthusiasm beliefs Low Interest in Low High specific topic
The Power Cube Gaventa 2006
Alignment Influence Interest Matrix High Develop enthusiasm to General level of address topic alignment Forms of power Visible power : making and setting Develop the rules awareness and enthusiasm Hidden power : setting the agenda Low Invisible Power : shaping meaning and values Interest in Low specific topic
Levels and spaces of power 7
Levels and spaces of power What is the policy environment? • What are the policy-making structures? • What are the policy-making processes? • What is the relevant legal/policy framework? • What are the opportunities and timing for input into formal processes? 8
2 1 STAKEHOLDER STRESS TEST POWER YOUR TOC ANALYSIS
Theories of change Global theories Tactical theories • Large Leaps or Punctuated Equilibrium • Messaging and Frameworks theory theory • Media influence or Agenda setting • Policy Windows theory theory • Coalition theory or Advocacy Coalition • Grassroots or Community Organizing Framework theory • Power Politics or Power Elites theory • Group formation or Self-Categorization theory • Regime theory • Diffusion theory or Diffusion of Innovations
Stachowiak 2007
Theory of Theory of change no change Progress markers Behaviours Behaviours Behaviours Underlying we’d expect we’d like to we’d love to Impacts assumptio ns to see… see… see… (Legacy) Project activities Theory of action Indicators
Love to see Like to see Like to see Like to see Like to Like to Like to see see see Expect to see Expect to Expect to see see
Progress Markers • A graduated set of statements describing a progression of changed behaviours in an actor • Describe changes in actions, activities and relationships leading to the ideal outcome • Articulate the complexity of the change process • More informative than a single indicator
EXERCISE: Progress markers
Exercise 1. On each piece of flip chart paper, create the table 2. Name stakeholders or a different grouping of stakeholders 3. Fill out the cells for behaviour in each column (expect, like and love to see) ACTOR: ASSUMPTIONS CURRENT EXPECT LIKE LOVE BEHAVIOUR INDICATOR
Monitoring policy engagement
Types of indicators 1. Strategy and direction (are you doing the right thing?) 2. Management and governance (how good are internal systems?) 3. Outputs (do outputs meet required standards for the audience?) 4. Uptake (are people aware of, accessing and sharing your work?) 5. Outcomes and impact (what kind of effect or change did the work contribute to?) 6. Context (how does the changing political, economic & organisational climate affect?) Pasanen and Shaxson 2016
Strategy and direction • Is the ToC appropriate, logical and credible? How it is been developed? Has it changed? • Are project strategies aligned with the ToC, with each other, and have they been adopted? • How appropriate and relevant are programme strategies for meeting the goals of the project? • Are the right stakeholders being engaged? Is mapping key stakeholders conducted on a regular basis? #ROMAguide
Strategy and direction Assess by: Example indicators: • reviewing reports, key • the development and implementation of documents and strategies key strategies and documents • reviewing programme theories • descriptions of changes and gaps in reports, and/or ToC and how it has been strategies and documents developed/adapted over time the extent to which strategy is responsive to • • discussions in steering group or changes in context management meetings • consistency of progress across components • employing your AIIM and/or partners. #ROMAguide
Uptake • What outputs have been used by stakeholders and how? • Where, how and by who is research being cited, referenced, downloaded and shared? • What is initial feedback from the users, influential stakeholders and/or target audience? • How are key stakeholders articulating demand for research? • How can uptake be improved and strengthened? #ROMAguide
Uptake Assess by: Example indicators: • direct feedback e.g. emails, calls • the number of downloads of documents • web statistics the number and origin of website visits • • feedback and user surveys • the number and quality of media • social media (traditional, social) mentions attendance lists and feedback • • the number and diversity (and origin) of from events citations • reflection in learning and/or the number of requests to speak at events • annual partner meetings • the usefulness of seminars, stakeholder • citation analysis meetings and other events #ROMAguide
Outcomes • To what extent has research influenced policy? • To what extent has research shifted public agendas? • How sustainable are observed changes likely to be? • Are the changes mainly at individual or institutional levels? What differences are there in results seen in different contexts? • • Are there indications on capacity development in partners showing up as improved practices or processes? #ROMAguide
Outcomes: types of policy change Type of policy change Examples Attitudes of actors to get issues onto the How interested are policy actors in your issues? What agenda evidence will convince them? Public opinion How are the public engaged in these issues? Capacity and engagement of other actors Who else is engaging? How influential are they? What can be done to involve others? Change in discourse What are the influential policy actors saying? What language are they using? Improvements in policymaking Who is consulted? How is evidence taken into account? procedure/process Change (or no change) in policy content What new legislation, budgets, programmes or strategies are being developed? Behaviour change for effective Who is involved in implementing policies? Do they have implementation the skills, relationships, incentives? #ROMAguide Networks and systems for supporting Are actors working coherently together? Are structures delivery and incentives in place?
Outcomes Assess by: Example indicators: • capacity assessments • the number and nature of shifts in policy • structured stakeholder interviews thinking • bellwether interviews • changes in stakeholders interest, attitudes, • outcome mapping behaviour stories of change • • the number and nature of written • episode studies references to the research • contribution analysis the scores in capacity assessments • • process tracing • changes in language #ROMAguide
2 3 1 STAKEHOLDER UNDERSTAND STRESS TEST POWER YOUR YOUR TOC ANALYSIS KNOWLEDGE ROLE
Influencing policy #ROMAguide
Capacity and resources
WHAT KNOWLEDGE ROLE DO YOU PLAY? 1. Where you are now? 2. Where are your partners? 3. Where you would like to be? 4. Do you need more support in some areas? 5. How does the context influence your choices? Shaxson 2012
Pointers for good practice 1 3 2 Consider competing Be grounded in theory Put use at the heart of your theories so as not to from the beginning and M&E and learning to make close down unintended test each stage as you go. sure any enquiry will have effects a positive contribution 5 4 6 Embrace failure as just Invest in your monitoring Be conscious of rhythms and learning in proportion as good an opportunity & spaces in which to the scale of your project: to learn from as success learning occurs: it sometimes it is appropriate happens at different to use simple measures. paces and different levels.
RAPID Outcome Mapping Approach
You’ll find videos from the authors and case studies on using ROMA in practice. www.roma.odi.org
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