Tools to understand the

political and policy context &

engage with policy makers
Kent Buse, PhD
John Young
Oxford, November 2006
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

What is Policy?
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 theory
Hogwood & Gunn, 1984

According to Peter John -


the interplay between
institutions, interests and ideas.

John P (1998) Analysing Public Policy. London: Cassell.

Two types of policy research
1. 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)

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)
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 & Gilsons framework
Political Situation Analysis
Systematically 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
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
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
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
Policy Consequences
Distribution of benefits and costs in
terms of:
Stakeholders
Scale
Characteristics
Intensity
Timing, etc
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
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

Assessing Stakeholder Power:
Tangible
Votes
Finance
Infrastructure
Members
Intangible
Expertise
Charisma
Legitimacy
Access to media &
decision makers
Political Assets:
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

LEVEL OF
INFLUENCE
POSITION
Opposed Neutral Supportive
High
Medium
Low
Position Map

LEVEL OF
INFLUENCE
POSITION
Opposed Neutral Supportive
High
DG FP Min of Finance
Planning
Commission
Prime Minister
Minister of Health
Secretary of Health
BMA
Some DPs (WB,
DFID, EC, USAID)
Medium
Admin cadre
FP cadre
Class III/IV
employees
Print press
DGH
Health cadre
Reformers in
MOHFW
Secretariat
Low
Additional
Secretary
Health NGOs
FP NGOs
Academia
Some DPs (WHO,
UNICEF, UNFPA,
CIDA, SIDA, GTZ,
Dutch Co-
operation)
Bangladesh Integration: Pre-2001
LEVEL OF
INFLUENCE
POSITION
Opposed Neutral Supportive
High Secretary
DG FP
FP cadre
Class III/IV workers
Ministry of Finance
Prime Minister
Planning
Commission
Minister of Health
BMA
Medium FP NGOs
Admin cadre
? Press?
DGH Some DPs (WB,
DFID, EC, USAID)
Low UNFPA CIDA
SIDA
GTZ
Academia
Health NGOs
Some DPs (WHO,
UNICEF, Dutch Co-
operation)
Positions Oct 2001-May 2003
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
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
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
Content
Context Actors Process
Context

Positions Power Players Perspectives
Strategies to change
Successful formulation & implementation of policy
Political situational analysis
Policy Engagement Framework
Research-practice gap model
A gap that needs to be spanned
The two communities model
Researchers & policy makers: separate communities?
Advocacy coalition model
Or allied across apparent divides?
Strategies for Policy Engagement
Develop 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

Policy Process
Mapping
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 ]
Policy Process Mapping
Formulation Implementation
Politicians
Cabinet
Government
Bureaucrats
Civil Society
International
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
RAPID Framework
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 High
Interest
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
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
Outcome Mapping
OUTCOME
MAPPING:
Building Learning
and Reflection
into Development
Programs
Sarah Earl, Fred
Carden, and Terry
Smutylo
http://www.idrc.ca/en/ev-9330-201-1-DO_TOPIC.html
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
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

Further Information
Mapping 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: