tools to understand the political and policy context & engage with policy makers kent buse, phd...
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Tools to understand the political and policy context & engage with policy makersKent Buse, PhD
John Young
Oxford, November 2006
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Overview• What is policy?
• What explains policy change?
• What is the relationship between researchers and policy makers?
• Tools to understand the political context of policy change
• Tools to influence the policy process
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What is Policy?
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Policy – some meanings• Label for field of activity/space
• Expression of general intent
• Specific proposals
• Decisions of government
• Formal authority/legislation
• Program
• Output or outcome
• Model or theoryHogwood & Gunn, 1984
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According to Peter John -
‘the interplay between institutions, interests and ideas.’
John P (1998) Analysing Public Policy. London: Cassell.
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Two types of policy research1. Research ‘for’ policy – about policy
content (what should be done) and outcomes (policy evaluation)
2. Research ‘on’ policy – about the policy process (explanatory, usually not evaluative, focuses on ‘how’ and ‘why’ questions)
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Research ‘on’ policy‘Research on policy seeks to understand how the machinery of the state and political actors interact to produce public actions. ...The main tasks … are to explain how policy-making works and to explore the variety and complexity of the decision-making processes.’
(John, 1998, p1)
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Context • Situational factors• Structural factors• Cultural factors• Global factors
Actors
• The state• The market• Civil society
Content
• Objectives & aims • Assumptions • Values• Distributional impact
• Why do issues reach the agenda?• Who formulates policy?• How is policy implemented?• What makes policies change?
Process
Walt & Gilson’s framework
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Political Situation AnalysisSystematically gather political intelligence
associated with any policy reform on:• Content – the what of policy• Context – the social, cultural, temporal
environment in which decisions taken• Process – how decisions are made – the
rules of the game – how we do business• Actors – those who affect and are affected
by decisions
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Bangladesh Case Study
• Learn lessons from poor performance to inform 2005-2010 strategy• Proposed Policy
– Integration of two wings of ministry responsible for family planning & health services
– Substantial body of research supported integration: cost-effectiveness, management, service delivery
– Agreed by key health officials and subject of donor conditionality • Context:
– Political volatility and partisan confrontation– Limited government ownership of health policy
• Superficial analysis identified two loosing groups but did not anticipate opposition – no plan to
– Alter costs by offering to change elements of policy– Modify perceptions of costs– Compensate losers
• Partial implementation reversed after affected FP managers mobilized many groups
• Donors – Confronted deep-rooted interests involved in distributing rents– Strategy relied on ‘sensitizing’ opponents of evidence-based virtues, failed to
mobilize potential allies or shift dialogue to new forum, and took ‘non-negotiable’ stance
– Suspended disbursements for a few months and then backed down
Unanticipated opposition to ‘no-brainer’ reform
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Health Policy Reform History• ‘Conventional’ evidence ‘for’ policy
necessary but insufficient for change– Policy failure– Losses fall on organized & powerful groups– Gains distributed among marginalize
• Analysis of political-economy dimensions of change important determinant of success
• Requires more systematic approaches to understanding political dimensions & influencing change
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Policy content
Substance which details its constituent parts:
• Aims and strategies of the policy
• Empirical basis of the policy (evidence)
• Underlying values and paradigms
• Technical content (evidence informed)
• Administrative feasibility of the policy
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Policy ConsequencesDistribution of benefits and costs in
terms of:
• Stakeholders
• Scale
• Characteristics
• Intensity
• Timing, etc
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Actors/Stakeholders• Individuals or groups with interest in the
issue– Some role in making or implementing decision– Affected by policy decision– Specific to each policy reform and context
• Stakeholder analysis– Identify stakeholder groups– Looking for independent groups/individuals with
some influence or potential influence – Break down categories as far as feasible
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Bangladesh Integration Example:
• Ministry of Finance• Planning Commission• Prime Minister• Minister of Health• Secretary of Min of Health • Deputy Secretary Ministry of Health• Health reformers in Ministry• Cadre of Family Planning Officials• Medical Association• Donors• Press• Academics• Select service delivery NGOs
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Assessing Stakeholder Power:
• Tangible– Votes– Finance– Infrastructure– Members
• Intangible– Expertise– Charisma– Legitimacy– Access to media &
decision makers
Political Assets:
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Interests, Position & Commitment
• Interests – what would a stakeholder gain or lose from the proposed reform?
• Interests determine position: supportive, neutral, opposed
• Commitment – importance attached by stakeholder to issue
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LEVEL OF INFLUENCE
POSITION
Opposed Neutral Supportive
High
Medium
Low
Position Map
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LEVEL OF INFLUENCE
POSITION
Opposed Neutral Supportive
High DG FP Min of FinancePlanning CommissionPrime MinisterMinister of Health
Secretary of HealthBMASome DPs (WB, DFID, EC, USAID)
Medium Admin cadreFP cadreClass III/IV employeesPrint press
DGHHealth cadreReformers in MOHFW Secretariat
Low Additional Secretary
Health NGOsFP NGOsAcademia
Some DPs (WHO, UNICEF, UNFPA, CIDA, SIDA, GTZ, Dutch Co-operation)
Bangladesh Integration: Pre-2001
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LEVEL OF INFLUENCE
POSITION
Opposed Neutral Supportive
High Secretary DG FPFP cadreClass III/IV workersMinistry of FinancePrime MinisterPlanning CommissionMinister of Health
BMA
Medium FP NGOsAdmin cadre? Press?
DGH Some DPs (WB, DFID, EC, USAID)
Low UNFPA CIDASIDAGTZAcademiaHealth NGOs
Some DPs (WHO, UNICEF, Dutch Co-operation)
Positions Oct 2001-May 2003
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Policy process
• Agenda setting – why some issues considered by policy makers
• Formulation – which policy alternatives and evidence is considered, why evidence ignored
• Adoption – who is involved in deciding, formal or informal decision-making
• Implementation – who will implement, how will implementers change policy to suit their aims, are implementers involved in decision-making
• Evaluation – whether and why policies achieve their aims
The way policy is initiated, developed, negotiated, communicated, implemented
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Policy context
• Situational: change of leadership, focusing events, new evidence, etc.
• Structural: resource allocation to intervention, organization of service delivery – public private mix, etc.
• Cultural: prevailing attitudes to situation of women, technology, equity, tradition, etc.
• International: place of intervention on international agenda, aid dependency, levels and modalities, migration of staff, ideas and paradigms, etc.
Systemic factors which effect policy
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Political Context Analysis • Systematically gather political intelligence
associated with any policy reform– Contextual opportunities & constraints– Formal & informal processes through which
decisions made– Identify stakeholder groups– Assess political resources of groups– Understand interests, positions and
commitments of groups
• Systematically assess political palatability of specific policy alternatives
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Content
Context Actors Process
ContextPositions Power Players Perspectives
Strategies to change
Successful formulation & implementation of policy
Political situational analysis
Policy Engagement Framework
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Research-practice gap model
A gap that needs to be spanned
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The two communities model
Researchers & policy makers: separate communities?
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Advocacy coalition model
Or allied across apparent divides?
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Strategies for Policy EngagementDevelop political strategies to change• Position: deals to make to change – alter
policy, horse trading, promises, threats• Power: provide supporters with funds,
personnel, access to media & officials• Players: change number of actors by
mobilizing and demobilising, venue shifting• Perceptions: use data and arguments to
question to alter perspectives of problem/solution, use associations, invoke symbols, emphasise doability
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Policy Process Mapping
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Policy Process Mapping• General Context issues – domestic and
international.• Specific Policy Issues (i.e. the policy cycle)• Stakeholder analysis
– Arena: government, parliament, civil society, judiciary, private sector.
– Level: local, national, international • What is their Interest and Influence?• Process matrix + political matrix• Political and administrative feasibility assessment
[Sources: M. Grindle / J. Court ]
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Policy Process MappingFormulation Implementation
Politicians
Cabinet
Government
Bureaucrats
Civil Society
International
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Other Policy Mapping Tools
• Policy Process Mapping
• RAPID Framework
• Stakeholder Analysis
• Force-Field Analysis
• Outcome Mapping
• More complex tools:– Drivers of Change– Power Analysis– World Governance Assessment
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RAPID Framework
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Stakeholder Analysis
Why:• To understand who
gains or lose from a policy or project.
• To help Build Consensus.
Steps:1. Identify Stakeholders
2. Analysis Workshop
3. Develop Strategies
Keep Satisfied
Engage Closely
Monitor (minimum effort)
Keep Informed
High
Power
Low
Low HighInterest
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Forcefield Analysis
• Identify what you want to achieve
• Identify forces for and against change
• Identify which are most important
• Develop strategies to reinforce those for and overcome those against
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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
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Outcome Mapping
OUTCOME MAPPING:Building Learning and Reflection into Development ProgramsSarah Earl, Fred Carden, and Terry Smutylo
http://www.idrc.ca/en/ev-9330-201-1-DO_TOPIC.html
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More Complex Tools• Civil Society Index (CIVICUS) • Country Policy & Institutional
Assessment (World Bank)• Democracy and Governance
Assessment (USAID) • Drivers of Change (DFID) • Governance Questionnaire (GTZ) • Governance Matters (World Bank Institute) • Power Analysis (Sida) • World Governance Assessment
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Summary– Evidence-informed policy challenging– Policy about interests, institutions & ideas– Variety of tools to understand these factors -
range in sophistication/complexity and ease of use
– Tools to use the understanding to engage in policy processes – less well developed
– Extent to which the tools are helpful depends on creativity, tenacity, inside knowledge – advocacy coalitions useful
– You can get more info at …
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Further InformationMapping Political Contexts:http://www.odi.org.uk/RAPID/Publications/Tools_Political_Context.html
Tools for Policy Impact:http://www.odi.org.uk/RAPID/Publications/Tools_Policy_Impact.html
Best Practice in Policy Making:http://www.policyhub.gov.uk/policy_tools/
Understanding Policy Process: