BUILDING KNOWLEDGE. AND CAPACITY FOR POLICY INFLUENCE: Reflections and Resources

BUILDING KNOWLEDGE AND CAPACITY FOR POLICY INFLUENCE: Reflections and Resources

2006 Canadian Council for International Co-operation The Canadian Council for International Co-operation (CCIC) is a coalition of Canadian voluntary sector organizations working globally to achieve sustainable human development. CCIC seeks to end global poverty, and to promote social justice and human dignity for all. Canadian Council for International Co-operation 1 Nicholas St., Suite 300 Ottawa, Ontario K1N 7B7 Tel.: (613) 241-7007 Fax: (613) 241-5302 www.ccic.ca

Acknowledgements This collection of reflections and resources is an output of the Building Knowledge and Capacity for Policy Influence project, a special initiative of the Canadian Council for International Co-operation (CCIC). The project was undertaken as part of the Sectoral Involvement in Departmental Policy Development (SIDPD) program of the Voluntary Sector Initiative, with the financial support of the Government of Canada provided through the Canadian International Development Agency (CIDA). Many CCIC member organizations participated in the project, and their feedback and insights shared in project planning meetings, workshops and informal discussions contributed greatly to the development of this collection of resources and reflections. Thanks are also due to the various workshop presenters and to the advisers and journalists who worked with CCIC on different aspects of the project. The development and implementation of the project also involved considerable cross-team collaboration between a number of staff at CCIC. Special thanks are extended to Christine Harmston for her able and patient coordination of a complex project. Ann Simpson is the primary author of this collection, with advice and commentary from Sue Cass (Organizational Development Team) and Brian Tomlinson (Policy Team). We are grateful for her editorial abilities in pulling together a wealth of materials generated through the project, in a format that will enable others to benefit from what we have learned. Comments and suggestions regarding this collection of reflections and resources are welcomed. Please contact Brian Tomlinson or Michael Stephens c/o od@ccic.ca.

FForeword Like slavery and apartheid, poverty is not natural. It is man-made and it can be overcome and eradicated by the actions of human beings. Nelson Mandela, February 3, 2005 As Nelson Mandela so clearly pointed out, poverty is not inevitable. It is the result of policy choices particularly choices made by national governments and multilateral institutions. The persistence of extreme poverty is a sign of the need for better policy choices. Civil society organizations (CSOs) have important roles and perspectives to bring to policy discussions. Because of our direct work with counterpart organizations in the South, CSOs can bring a much-needed perspective to policy debates in the North a view that is informed by what is happening on the ground and rooted in respect for the human rights of people living in poverty. However, by and large, Canada s international cooperation CSOs have had limited success in translating their knowledge into policy influence. This has potentially serious consequences. In recent years, CSOs have become concerned about the risk of being marginalized in policy dialogue on Canadian international cooperation. For example, in developing its policy statement on strengthening aid effectiveness, Canada Making a Difference in the World, the Canadian International Development Agency (CIDA) held three years of discussion that, in the end, essentially left CSOs at the curb. It is not only Canadian organizations that are being affected. Southern CSOs face profound challenges in countries where democratic processes are weak. In the halls of power, the voices of people living in poverty are seldom heard. With our Southern counterparts, Canadian CSOs need to be more proactive in policy dialogues to ensure that the interests of those most affected by national and multilateral policies are taken into account. Policy dialogue is becoming increasingly sophisticated, with governments taking a more whole-of-government approach. When governments turn to CSOs to talk about aid, they want proposals for improving the effectiveness of Canadian official development assistance, but they also want us to speak to implications for security, trade and global governance. The dialogue has become more complex, and CSOs have to be ready to meet that challenge. Policy development takes place within political processes that reflect values and interests of government decisionmakers. It is equally important to recognize politically based dynamics within the voluntary sector, in networks Building Knowledge and Capacity for Policy Influence: Reflections and Resources i

and with Southern CSOs. CSO influence is further affected by relationships between the sector and policy decisionmakers in donor agencies. Human dynamics clearly play a role. Relationship-building with Southern CSOs and with decision-makers is an important element of building policy influence. Understanding and dealing with these political and human dynamics is key to effectiveness in policy dialogue. Canadian CSOs need to become better at working in partnership with Southern organizations to draw lessons from the field and distil effective policy messages from them. We need to make the necessary changes within our organizations to help build capacity to do policy work. Throughout the international cooperation sector, there is a need to ensure that we have the competencies to sustain a policy dialogue with government so that when opportunities arise, we can act quickly. Changing our ways of working in order to improve policy capacity will not be easy, and will not happen overnight. But if management and staff of CSOs do not take the time to reflect and make these changes, we risk becoming irrelevant. CCIC is committed to working with its members to help increase our sector s capacity for policy influence. This publication summarizes key learnings and tools from an intensive policy capacity-building project carried out by CCIC in partnership with CIDA. It is intended as one element to help CSOs in Canada and elsewhere build understanding of the policy process and what is involved in bringing new voices into the process. We hope you find this collection of resources to be useful, and welcome your comments and suggestions. Gerry Barr President and CEO Canadian Council for International Co-operation ii Building Knowledge and Capacity for Policy Influence: Reflections and Resources

Table of Contents Foreword... i 1. Introduction... 1-1 Purpose of this Collection... 1-2 2. The Challenge... 2-1 Why is Policy Capacity Important for Canadian CSOs?... 2-1 Unique and Valuable Perspectives... 2-1 A Complex Policy Environment... 2-3 Challenges and Opportunities for Strengthening Policy Capacity... 2-4 3. Basics of Public Policy Development... 3-1 The Cycle of Public Policy Development... 3-1 Components of Policy Influence... 3-2 4. Understanding the Canadian Foreign Policy-Making Process... 4-1 Key Points of Influence... 4-1 Some Considerations in the Policy-making Process... 4-3 A Code of Good Practice on Policy Dialogue... 4-5 5. North-South Partnerships and Collaborations for Policy Influence... 5-1 Benefits of North-South Partnerships for Policy Influence... 5-1 Some Considerations in Partnerships for Policy Work... 5-2 Working Together in Networks, Coalitions and Alliances... 5-2 Learning and Knowledge-building: Issues and challenges... 5-7 6. Building Skills and Capacity for Policy Influence... 6-1 Structures and Skills... 6-1 Capturing Policy-relevant Knowledge: The example of policy stories... 6-5 The Continuing Challenge of Drawing Policy Lessons from Development Experience...6-8 Monitoring and Evaluating Policy Work... 6-9 7. Looking to the Future... 7-1 Glossary... G-1 Annotated Bibliography... B-1 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

Appendices: Appendix 1: CCIC Partnership Principles Appendix 2: Communicating with Decision-makers A Briefing Note Template Meeting With Your Member of Parliament Appendix 3: A Code of Good Practice on Policy Dialogue Appendix 4: Notes on Canada Revenue Agency Policy on Charities and Political Activity Appendix 5: Examples of Policy Networks, Coalitions and Institutes Building Knowledge and Capacity for Policy Influence: Reflections and Resources

1Introduction In this section:... Background on the Building Knowledge and Capacity project... Purpose of this collection This collection of reflections and resources is an output of Building Knowledge and Capacity for Policy Influence, 1 a project initiated by CCIC in collaboration with the Canadian International Development Agency (CIDA). The project, which took place between 2003 and 2006, was undertaken as part of Sectoral Involvement in Departmental Policy Development (SIDPD), a program of the Voluntary Sector Initiative intended to strengthen civil society policy engagement with the federal government. 2 The goal of Building Knowledge and Capacity for Policy Influence was to promote knowledge development, learning and capacity-building on the part of Canadian civil society organizations (CSOs), their Southern partners and the Canadian government for effective policy dialogue between government and the international voluntary sector. The themes of the project were: 1) Knowledge-building: learning how to better capture and share policy-relevant knowledge and best practices from the field; 2) Partnership: working with counterparts in the South the source of the knowledge about the communities most affected by international policy decisions; and 3) Policy Influence: understanding the policy-making process and the skills and resources needed to play a role in influencing policy. An important part of the project involved learning about and identifying the most important policy capacity issues for international cooperation CSOs in Canada. Capacitybuilding approaches cannot be borrowed wholesale from other sectors, or even from CSOs in other countries, but must be relevant to the actual needs and constraints of civil society organizations. As well, CCIC members are very diverse in terms of size, resources, mandate and capacities. Through literature reviews, surveys of and discussions with CCIC members, workshops and dialogues, issues and barriers were identified, and approaches to capacity development were explored. The project was carried out during a time in Canada when the policy context was quite volatile. This volatility was fuelled by, among other factors, a change in the leadership of the governing party, an election and a minority Parliament. The policy machine was being overseen by many new players, and an increasing number of diverse actors were involved in seeking to influence government decisions. In this complex situation, there were a number of directions that the project could have taken. Investigation of CCIC members needs and concerns revealed a particular interest in building knowledge and understanding of the Canadian policy process and in building skills that would be relevant to the particular needs of Northern CSOs seeking to work in partnership with Southern organizations on policy issues. The project activities were developed to build on these interests. Building Knowledge and Capacity for Policy Influence: Reflections and Resources 1-1

Purpose of this Collection This publication is a collection of key resources developed and assembled through the Building Knowledge and Capacity for Policy Influence project. It is not intended to be a comprehensive how to manual or a stand-alone guide to building capacity for policy influence. Rather, it is a compilation of ideas, tools and reflections stemming from the project activities, which in turn were guided by CCIC members feedback on their key needs in the area of policy capacitybuilding. These materials will not answer specific questions about the extent to which your organization should become more involved in policy work, or of how it should proceed to do so. Every CSO is different, and needs to do its own selfassessment in order to answer those questions. Such a self-assessment needs to consider factors such as the existing mandate of the organization, whether there is commitment (particularly at senior levels) to building policy capacity, whether the organization is willing to dedicate the resources needed to do effective policy work, its relationships with Southern partners, and where its strengths and weaknesses lie. This collection of resources offers some basic information on the Canadian government policy-making process, and it touches on some of the skills and approaches needed to carry out policy work in respectful partnership with Southern counterparts. The SIDPD program focused on Canadian government policy development, and so this collection does not directly address issues of influencing international institutions and Southern governments. 3 However, many of the principles described, particularly in the section on partnership, apply equally to building capacity for policy influence with respect to various levels of government. A key focus of CCIC s project was partnership: how to work in respectful partnerships with Southern CSOs and communities in order to capture policy-relevant knowledge from the field, conduct analysis and seek to influence policy. In 2003, CCIC members unanimously approved a set of Partnership Principles that form part of the Code of Ethics governing all members of the Council (see Appendix 1). These principles provide a framework to guide members partnerships with Southern CSOs in all areas, including policy activities. Through the Building Knowledge and Capacity for Policy Influence project, CCIC worked with its members to identify and test some methods that could be used to build policy knowledge and influence in the context of respectful North-South partnerships. Materials in this collection reflect this particular emphasis on partnerships. As the project focused on key needs identified by CCIC members, it did not cover the full gamut of activities associated with seeking to influence policy. Thus, for example, this collection does not provide much detail on topics such as building knowledge management systems, or working with the media. The annotated bibliography notes a variety of tools and resources developed by other organizations, which deal with various aspects of developing capacity for policy influence that are not fully covered in this publication. CCIC hopes that this publication will be a useful addition to the growing literature on policy capacity development for international cooperation CSOs. The intention is that it will be a living document, to be added to and changed as our collective knowledge about policy influence develops. Comments, and suggestions for additional resources to be added to this collection, are welcome. 4 1 Additional information on this project, including a series of workshop reports that provide more detail on a number of the topics in this manual, may be found at: www.ccic.ca/e/002/capacity_building.shtml. 2 The Voluntary Sector Initiative was a joint undertaking between Canada s federal government and the voluntary sector that took place between 2000 and 2005. The initiative focused on strengthening the relationship between the voluntary sector and the government and enhancing the capacity of the voluntary sector. The two major objectives of the SIDPD program were to enhance policy development in federal departments by strengthening opportunities for input by voluntary sector organizations, and to strengthen the capacity of the voluntary sector to contribute to departmental policy development. 3 There are various publications that explain the operation of international institutions. See for example: United Nations Non-Governmental Liaison Service (NGLS) and German Federal Ministry for Economic Cooperation and Development (2005). UN System Engagement with NGOs, Civil Society, The Private Sector and Other Actors. United Nations. New York and Geneva. www.un-ngls.org/compendium-2005-withcover.pdf. 4 Comments should be sent to Brian Tomlinson or Michael Stephens c/o od@ccic.ca. 1-2 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

2The Challenge In this section:... Why policy capacity matters for civil society organizations... Barriers to, and opportunities for, developing policy capacity... Activities undertaken as part of the Building Knowledge and Capacity project Why is Policy Capacity Important for Canadian CSOs? Traditionally, many Canadian international cooperation CSOs have tended to focus on programming: getting things done on the ground. In their mandates, mission statements and ways of working, many CSOs define themselves as project and program implementers. Providing support for services, community change or humanitarian aid, CSOs can have positive impacts at the level of the individual, the community and occasionally the nation. But the scope of individual projects or programs is necessarily limited. Many Northern and Southern CSOs undertake policy influencing activities in an attempt to have a greater impact than is possible through grassroots programs alone. They have come to realize that when overarching social and economic policies (such as trade and investment policies) work at cross-purposes to human development, a focus on programming is not enough. Increasingly, organizations are seeking to promote policies that will encourage sustainable, democratic development in support of the rights of people living in poverty. The growing emphasis on policy work is a recognition of the importance of a rights-based approach to development rather than a donor-recipient approach. A rights-based approach acknowledges that citizen rights, empowerment and greater equality are essential conditions for overcoming poverty. In essence, development aimed at ending poverty is a political process. It must engage citizens particularly the poor and the powerless in negotiating with each other, with their governments and with the international community for policies that will advance their livelihood and secure their future. What will make a difference to global poverty in the years to come will not be the number of villages that are served or children that are sponsored, but how grassroots action is connected to markets and politics at multiple levels of the world system. Edwards and Fowler (2002) 1 CSOs have an important role to play in helping to strengthen people s capacities to claim their rights. Increasingly, CSOs are seeking ways to influence the policymaking process at many levels local, national and global. Unique and Valuable Perspectives CSOs have unique perspectives to bring to the process of public policy development. They are important development actors, ranging from community-based associations to national intermediaries to international networks. Many Building Knowledge and Capacity for Policy Influence: Reflections and Resources 2-1

The poor should be considered as full citizens and not simply victims, as full citizens and not simply recipients, as full citizens and not merely beneficiaries or charity cases... Unless we put people, and particularly those that have been historically excluded, at the centre of public life, our development goals will continue to evade us. Randel et al (2004) 2 Canadian international cooperation CSOs have more than 35 years of experience working on the ground with Southern partners in a wide range of contexts. Many work with Southern CSOs in strong partnership relationships that acknowledge the leadership of, and the importance of collaboration with, autonomous Southern organizations. Partnerships between Canadian and Southern CSOs have pioneered innovative, effective and participatory approaches for working with poor and marginalized communities. Many CSOs have close knowledge of the reality on the ground, as well as expertise and a capacity for innovation that can potentially improve development policy and strengthen anti-poverty strategies. The root problems of our communities will not be addressed only by service delivery. Participant at a 2004 workshop of Ethiopian CSOs organized by the Canadian Foodgrains Bank. 3 Supporting Local Ownership of Policies After several decades of structural adjustment policies which led to a dismantling of state capacities, 4 donor nations are now putting more emphasis on the role of Southern governments in development efforts. This is seen as key to ensuring local ownership of development approaches to achieve the Millennium Development Goals and reduce poverty. 5 The concept of local ownership began emerging in development policy discussions in the mid-1990s. The Development Assistance Committee (DAC) of the Organisation for Economic Co-operation and Development (OECD), in its 1996 statement Shaping the 21st Century, asserted that development goals must be pursued country by country through individual approaches that reflect local conditions and locally-owned development strategies. It noted that donors should respect and encourage strong local commitment, participation, capacity development and ownership. 6 In practice, donor nations have viewed local ownership as a matter of building Southern governments capacities to articulate and implement development strategies, as reflected in country Poverty Reduction Strategy Papers (PRSPs). 7 PRSPs are supposed to outline after a broad consultative process a country s poverty-reduction priorities and the policies and resources needed to achieve them. It is certainly vital to strengthen the capacities of Southern governments to meet their obligations towards citizens. But a focus on government actors alone is not sufficient to ensure local ownership. Ownership is highest when citizens, especially the poorest and most marginalized, have the capacity and power to influence the development agenda that is intended to improve their lives. In the terrain of competing social, economic and political interests, strengthening the voices and rights of poor people is essential. Working with their Southern counterparts, Canadian CSOs can assist poor and marginalized citizens to assert their interests. In partnership with Southern CSOs, Canadian CSOs can provide solidarity, support and accompaniment for Southern citizens organizations that are trying to influence the definition of what development approaches are considered locally owned. These relationships of international support and accompaniment are particularly crucial for citizens organizations in countries which do not have open or participatory approaches for determining development priorities. This work is not easy: as discussed in section 5, Canadian CSOs need to take account of issues and challenges of democratic accountability to constituencies of the poor, unequal capacities between Northern and Southern partners, and power to access decision-makers. But CSO involvement in policy processes is much needed if development policies and strategies are to be truly locally owned. 2-2 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

Addressing the Development Impacts of Northern Policies Poverty will not be eradicated simply through better delivery of services and programs in the South. Many of the factors that contribute to poverty in the South are rooted in the policies of the North in areas such as trade, investment and the environment, as well as diplomatic, security and aid relationships. Northern CSOs have a vital role to play in encouraging their own governments to change policies that contribute to global poverty. Working with Southern counterparts, they can develop and articulate alternative policies and reforms that better reflect the interests of poor people and countries. These issues and concerns can be brought to Northern and multilateral policy discussions. Citizens in the North need to better understand how their governments policies affect poverty in the South, and push for changes where needed. Canadian CSOs are a primary means for strengthening the participation and engagement of Canadians in global issues and in development cooperation. Through a variety of public engagement efforts, they can encourage citizens in the North to support needed changes in their own countries policies. A Complex Policy Environment To date, Canada s international cooperation CSOs have faced significant challenges in translating their knowledge, perspectives and relationships with Southern organizations working with poor communities into a form that can influence policy. The concept of civil society s role in local ownership is not well developed or appreciated by donor nations. Northern CSOs are being increasingly challenged by official donors to demonstrate if, why and how they have a comparative advantage over other development actors for achieving development results. Issues have been raised relating to the legitimacy of Northern CSOs in development discourse, with governments, some Southern CSOs and others questioning their representativeness and accountability. 8 CSOs need to develop better learning and dialogue processes, along with better abilities to articulate and demonstrate in practice why they are legitimate participants in policy and political processes for development. The policy environment is dynamic and complex, and requires sophisticated, strategic political thinking on the part of CSOs. Patterns of poverty and exclusion are shifting as a result of globalization. For example, there are growing levels of inequality in both the South and the North, which many CSOs experience in their work on the ground. However, the emphasis on national poverty levels and global targets (such as the Millennium Development Goals), rather than on inequality, is changing funding patterns in ways that often ignore this growing complexity. 9 The policy environment is also heavily influenced by post-9/11 security concerns and the increased pressure to use aid as a resource in a multi-faceted and pervasive war on terror. Increasingly, the lines between political, military, peace-building, development and humanitarian agendas are blurred. CSOs working in all parts of the world need to consider the implications of the war on terror and the securitization of aid on their work. For example, Canada s anti-terrorism legislation contains such broad definitions of terrorist activity, and of facilitation of such activity, that CSOs (particularly those working in regions of conflict) could inadvertently run afoul of the law. 10 Increased amounts of aid are being directed to countries deemed to be security concerns rather than towards the poorest and most vulnerable; this has implications for CSOs working in the forgotten areas. 11 The blurring of lines between military and humanitarian activity threatens humanitarian principles of neutrality, independence and impartiality principles that are key to both the effectiveness of humanitarian aid delivery and the safety of aid workers. 12 Other factors in the policy environment that need to be considered are shifts in forms of political and public engagement. Voter turnouts have been falling, particularly among the young, who have been turning to activist movements and campaigns to express their views. 13 Given these changes in public approaches, attitudes, and ways of relating to issues, CSOs need to be able to re-evaluate their own engagement with social movements and the approaches they take to engage the public. Many CSOs are beginning to recognize the need for new ways to engage the public and build support for a more sustainable and equitable global system. 14 Building Knowledge and Capacity for Policy Influence: Reflections and Resources 2-3

In this complex environment, CSOs need to be capable of weighing policy choices, considering the implications of current government policies and programs, and conveying decisions to multiple stakeholders. Strengthening policy capacity is thus a priority. Challenges and Opportunities for Strengthening Policy Capacity Scan of Key Needs In order to better understand the existing range of policy work being undertaken and to identify the most important policy capacity needs among its membership, CCIC carried out a survey of its members in September 2003. 15 Policy work, though defined in different ways, is on many member organizations radar screens, and some organizations have incorporated a stronger policy lens in their work in recent years. More than 50 percent of respondents ranked themselves as medium to medium-high in terms of capacity for work in partnership with Southern policy-oriented CSOs on policy issues, and in terms of the priority placed on working with Southern partners to build policy capacity. Those that ranked their capacity as high in these areas tended to be the largest organizations. There was mixed response regarding the level of work being done to mobilize the public on policy issues and the priority being given to this work. From the survey and other observations and input, CCIC identified a number of barriers to increased policy roles and influence for Canada s international cooperation CSOs. These barriers included: knowledge and knowledge development issues (insufficient knowledge of policy-making processes; lack of understanding of mechanisms and processes to best capture policy-relevant knowledge from field experience); resource constraints (inadequate time, skills and available human resources to devote to policy research and analysis, and to do advocacy work; difficulty in finding sources of funding for sustained policy/ advocacy work); organizational development issues (organizational and sectoral silos ; lack of management/board political will to make policy work an organizational priority and dedicate sufficient space/time/resources to this work; the need for organizational mechanisms to strengthen North-South partnership in policy work); and legal and regulatory constraints (insufficient knowledge about the extent to which registered charities can engage in policy-influencing activities). The survey pointed to strong interest in two closely related questions: How can CIDA and Canadian CSOs better assure Southern ownership in the choice, planning and implementation of development policies and initiatives that address poverty? How can CIDA and Canadian CSOs engage and promote the capacities of civil society, in the South and in Canada, in the program approaches and other strategies to improve Canadian aid effectiveness? Programming Tracks To address the identified needs and interests, CCIC developed two tracks of programming for the Building Knowledge and Capacity for Policy Influence project. 1) A series of training workshops was held, focusing on: building understanding of the machinery of foreign policy-making in Canada; examining how CSOs can learn and work together in North-South partnerships; and developing understanding about capacities, skills and resources needed for policy influence. 2) A concrete learning-by-doing activity was undertaken to deepen CCIC members learning on how to work in North-South partnerships for policy influence. This activity focused on building and telling policy-relevant stories that highlighted the roles of civil society in aid effectiveness and could be used in efforts to encourage change. 16 Information, key learnings and resources from these various activities are summarized in the remainder of this publication, along with selected information from other sources. 2-4 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

The need to understand the local in policy-making Part of the problem with policy-making is that it is often primarily shaped by the knowledge of those who operate predominantly at macro levels. Without an adequate understanding of the local we won t know whether new policy measures are likely to be appropriate, and the perspectives and interests of local people often end up being cut out Including and involving poor people in decision-making processes are key challenges Including multiple perspectives in decision-making processes, and indeed in the framing of problems, allows us to know more about a complex and uncertain world than if we were to view it rigidly from a single standpoint. It increases the likelihood that policy action will be heading in the right direction. Keeley (2001) 17 1 Edwards, Michael and Alan Fowler. Introduction: Changing Challenges for NGDO Management. In Edwards and Fowler (eds.) (2002). The Earthscan Reader on NGO Management, Earthscan Publications Ltd. London. 2 Kumi Naidoo, Secretary General of CIVICUS, quoted in Randel, Judith, Tony German and Deborah Ewing (eds.) (2004). Reality of Aid 2004. Ibon Books (Manila) and Zed Books (London). Available at www.realityofaid.org. 3 Canadian Foodgrains Bank, Canadian Nurses Association, Canadian Council for International Co-operation (2006). Speaking Truth to Power: Serving people while advocating for change in Ethiopia. In Canadian Council for International Co-operation (2006). Telling Our Stories: Drawing policy lessons from development experience. www.ccic.ca/e/002/capacity_building.shtml. 4 The World Bank and International Monetary Fund (IMF) began to promote structural adjustment policies for developing countries in the early 1980s, through the provision of loans conditional on the adoption of such policies. Structural adjustment policies aimed to improve economic growth by restructuring the economy and reducing the role of government. Such policies included currency devaluation, cuts in social spending, privatization of government services, lower tariffs on imports and increased free trade. 5 The eight Millennium Development Goals (MDGs) were agreed upon at the United Nations Millennium Summit in September 2000, and nearly 190 countries have subsequently signed on to them. The MDGs are a set of specific targets for poverty reduction, health, education, gender equality, environmental sustainability, and global partnerships to be reached by 2015. In 2002, the international community struck a new development agreement to achieve these goals under the Monterrey Consensus. Developing countries assumed primary responsibility for achieving the MDGs, while donor countries, including Canada, committed to supporting their efforts through aid, trade and debt relief. For more information on the MDGs, see www.un.org/millenniumgoals. In 2005, CCIC organized an international conference on the politics of the MDGs. For background papers and a summary of the conference see The Politics of the Millennium Development Goals: Contributing to Strategies to Ending Poverty? at www.ccic.ca/e/002/aid.shtml. 6 See Development Assistance Committee (1996). Shaping the 21st Century: The contribution of development co-operation. OECD, Paris. www.oecd.org/dataoecd/23/35/2508761.pdf and Saxby, John (2003). Local ownership and development co-operation the role of Northern civil society. Issues Paper prepared for a CCIC/CIDA Dialogue. www.ccic.ca/e/002/aid.shtml. Building Knowledge and Capacity for Policy Influence: Reflections and Resources 2-5

7 In response to criticism of structural adjustment policies, the International Monetary Fund renamed its structural adjustment facility the Poverty Reduction and Growth Facility. Since 2000, developing countries have been required to prepare Poverty Reduction Strategy Papers (PRSPs) as a prerequisite for World Bank/IMF debt relief programs and adjustment loans. These PRSPs are supposed to outline after a broad consultative process a country s poverty-reduction priorities and the economic policies needed to achieve them. The PRSPs should then serve as a framework for all lending from international financial institutions and donor nations. They have been substantially critiqued by CSOs over the past five years for being developed without true processes of inclusion and for not reflecting the interests of communities of poor people. See for example, EURODAD (2004). Critical Evaluation of Poverty Reduction Strategy Papers. www.eurodad.org/articles/default.aspx?id=547. The IMF independent evaluation can be accessed at www.imf.org/external/np/ieo/2004/prspprgf/eng/index.htm. A Southern CSO critique can be found at AFRODAD, www.afrodad.org. 8 Edwards, Michael and David Hulme. NGO Performance and Accountability: Introduction and Overview, in Edwards, Michael and Alan Fowler (eds.) (2002). The Earthscan Reader on NGO Management. Earthscan Publications Ltd. 9 Lister, Sarah (2004). The Future of International NGOs: New Challenges in a Changing World Order. British Overseas NGOs for Development (BOND). www.bond.org.uk/pubs/futures/ids_thinkpiece.pdf. 10 At a 2002 workshop sponsored by CCIC, Terrance Carter of Carter & Associates provided various examples of situations in which charitable organizations might inadvertently run afoul of Canada s Anti-terrorism Act (Bill C-36). (www.ccic.ca/e/002/development_info_session_bill-c36.shtml) The International Civil Liberties Monitoring Group (ICLMG) has also raised concerns about the legislation s effects on international cooperation CSOs. (ICLMG, In the Shadow of the Law, May 14, 2003. www.devp.org/pdf/shadow.pdf). 11 Canadian Council for International Co-operation (2005). The Post-9/11 Security Agenda and Canadian Foreign Policy: Implications for the Global South? Key Entry Points for Action: A CCIC Policy Background Paper. www.ccic.ca/e/002/humanitarian_peace.shtml. 12 Canadian Council for International Co-operation (2005). Canada s 3D Approach. Presentation to the Standing Committee on Defence and Veteran Affairs. www.ccic.ca/e/002/policy.shtml. 13 Anderssen, Erin and Michael Valpy. Face the Nation: Canada Remade. The Globe & Mail. June 6, 2003. 14 Canadian Council for International Co-operation (2004). New Horizons: Engaging Canadians as active global citizens. www.ccic.ca/e/docs/002_public_engagement_new_horizons.pdf. 15 A total of 33 CCIC member organizations responded to an in-depth self-assessment questionnaire. For a report on the questionnaire results, please see: www.ccic.ca/e/docs/002_capacity_bldg scan_survey_summary.pdf. 16 A number of the policy stories have been published in a book entitled Telling Our Stories: Drawing policy lessons from development experience, which is available from CCIC (www.ccic.ca/e/002/capacity_building.shtml). See section 6 for additional information on policy story development. 17 Keeley, James (2001). Influencing Policy Processes for Sustainable Livelihoods: Strategies for change. Lessons for Change in Policy and Organisations, No. 2. Brighton: Institute of Development Studies. www.livelihoods.org/static/jkeeley_nn188.html. 2-6 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

3Basics of Public Policy Development In this section:... The cycle of public policy development... Components of policy influence The Cycle of Public Policy Development The policy process is complex and dynamic, and difficult to portray in two dimensions. One illustration, developed by Canada s Voluntary Sector Initiative, is shown in Figure 3-1. It shows the key components of the policy process as well as some of the activities and methods of involvement in the process. There are possible roles for CSOs at various stages of the process. Issue identification and agenda-setting: In order to introduce a problem to the policy agenda, it is necessary to convince the relevant policy actors that the problem is important. CSOs with practical experience are often in an excellent position to frame the issues and articulate the problems facing the people with whom they work. A key issue is how to package CSO understanding of development problems and how to communicate effectively in order to promote engagement and gain momentum. Policy design: The knowledge and analysis of CSOs can make a valuable contribution both to outlining different policy options and to deciding between them. A major challenge is how CSOs can hold a legitimate place in the eyes of policy-makers, and also in the eyes of the communities that they claim to represent. Implementation of policy: As service providers, CSOs are often involved in the implementation of policies. CSOs involved in policy need to find ways to translate this practical knowledge and experience into credible and compelling evidence which can inform the shape and direction of future policy. Monitoring and impact assessment: CSOs can play important roles in monitoring and evaluating, over time, the effectiveness of policies on the ground. Through existing networks, they are well placed to correlate and compare observations about impact and consequences across countries and regions. Complex and Incremental In reality, of course, the policy process is not as simple or straightforward as the diagram implies. Some of the real world characteristics of policy-making include the following: 1 Incremental and complex: Policy is often based on experimentation, chance events, learning from mistakes, and a range of other influences. Shaped by policy narratives: Different stories evolve to describe events. Some gain more authority and have more influence on policy decisions than others. Informed by actor networks: Certain individuals or institutions spread and maintain narratives through chains of persuasion, and influence and inform policy. Building Knowledge and Capacity for Policy Influence: Reflections and Resources 3-1

Figure 3-1: The Public Policy Process 2 Issue Identification Agenda-Setting Environmental Scanning Research Polling Political Processes Impact Assessment Advocacy Feedback Policy Design Consultation Engagement Policy Lenses Refinement Analysis Monitoring Implementation Elements in the public policy process Methods of involvement in the process (Note: While all methods of involvement may happen at any element in the public policy process, some methods are more prominent than others during certain elements in the process) Political: Power relations between citizens, experts and political authorities mean that policy-making is not neutral. Other national interests, party politics and personal politics and values influence policy decisions. Pluralist: Many actors and interest groups can influence the policy process. There may be a range of mechanisms by which these different voices are heard. One set of policies representing powerful interests may overwhelm the potential results of another set of policies intended to benefit poor and marginalized people. In considering how to seek to influence policy, CSOs need to keep these characteristics in mind. Components of Policy Influence Another way to consider the policy development process is to look at the different elements, or types of activities, involved in policy influencing. CCIC developed the diagram shown in Figure 3-2 as a working model of the key elements involved in CSO policy influencing. While 3-2 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

Figure 3-2: Policy Influencing Activities: Part of a bigger picture Policy Dialogue Campaigning Sustained Action Research & Analysis Policy Development Policy Public Engagement Deepening Understanding Volunteerism/Internships Awareness-Building certainly not a definitive analysis, it provides an initial visual representation of the way these elements interrelate with other activities such as public engagement and campaigning. Following are brief descriptions of the activities involved in policy influencing (the left-hand side of the diagram). Research and analysis constitute an important foundation for policy-influencing activities. This work may involve field-based research, working with partners to gather observations of what is happening on the ground, and distilling policy-relevant lessons from this information, through stories, case studies or other means. It may entail building relationships with research institutions, particularly in the South, to stay informed about trends in relevant policy research and analysis being done by others. It may also include monitoring and evaluating the impact of existing policies and programs as they are implemented. Policy dialogue encompasses various kinds of interaction between governments and CSOs throughout the policy development process, to encourage the exchange of knowledge and experience and the taking on-board of new ideas. Dialogue can build relationships and provide new insights and points of view to both sectors, and is particularly relevant during the stages of issue identification and agenda-setting. Successful dialogue is premised on the assumption that both government and CSOs are interested in improving policy effectiveness. (See section 4 for additional information on policy dialogue). Policy development activities may be as extensive as developing policy on a new issue or for a changing development context, or as specific as seeking to influence the nuance of particular wording in legislation. (For example, the precise definition of a highly indebted country or a terrorist organization in legislation can have major repercussions on development actors and outcomes.) Advocacy involves speaking out and disseminating information intended to influence public behaviour or opinion, corporate conduct or public policy and law. Advocacy tends to be sharply focused on a particular issue or issues, and aims to shift political views and develop momentum for policy change through various forms of public pressure. Building Knowledge and Capacity for Policy Influence: Reflections and Resources 3-3

Another way to characterize policy-influencing activities is to consider them as insider or outsider influencing strategies. Policy dialogue and some policy development activities may be viewed as insider strategies activities that involve relationship-building, meetings with policymakers, providing research and analysis and negotiating issues behind the scenes. Advocacy is often an outsider strategy that can involve media work, public meetings and other forms of activity aimed at creating public pressure on government and policy decision-makers. The activities on the right-hand side of the diagram deal with aspects of public engagement, from awarenessbuilding, through practical experiences such as volunteerism and deepening of understanding, to developing the capacity for global citizenship (sustained action). 3 There are very definite links between public engagement and policyinfluencing activities, as an informed and committed public will be more likely to be interested in campaigns in support of policy change. Making Choices and Working Together However they are characterized, the key point is that a range of activities are involved in policy influencing, and organizations need to make strategic choices about what they are going to do, when, and with whom. It is important to reiterate that few, if any, CSOs can effectively undertake every activity. Rather, through networks, coalitions and communities of interest, CSOs need to find ways to effectively tap and draw together a range of skills, experience and resources and work in concert to maximize their impact on political processes, policy-makers and the public. But whatever choices are made, participating CSOs must recognize the need to ensure full organizational commitment to this work and deliberately allocate the required resources and time for an effective contribution. Policyinfluencing activities cannot simply be added onto existing workloads. Individual CSOs need to consider what roles best suit them, what strategic opportunities are available, and what capacities they seek therefore to build. Not every organization will have the resources and capacity to collect and analyze field-based knowledge. Some may conclude that they can be most effective by disseminating and popularizing the research and analysis of Southern organizations. Organizations with varied capacity can add their perspectives to broader efforts. And all should be involved in monitoring and evaluating policy-influencing efforts to continue to improve their impact. (More information on monitoring and evaluation is provided in section 6). 3-4 Building Knowledge and Capacity for Policy Influence: Reflections and Resources

Context, Evidence and Links The Research and Policy in Development (RAPID) program of the Overseas Development Institute (ODI) in the United Kingdom has looked extensively at how and why evidence is taken up in policy development. Why are some ideas picked up and acted upon, while others are ignored and disappear? The ODI analysis suggests that several factors context, evidence and links between actors play a determining role. Those interested in influencing international development policy and practice need to be able to answer questions such as the following: 4 Political Context: Who are the policy-makers? Is there policy-maker demand for new ideas? What are the sources/strengths of resistance? What is the policy-making process? What are the opportunities and timing for input into formal processes? Evidence: What is the current theory? What are the prevailing narratives? How divergent is your new evidence? What sort of evidence will convince policy-makers? Links: Who are the key stakeholders? What links and networks exist between them? Who are the intermediaries, and do they have influence? Whose side are they on? External Influences: Who are main international actors in the policy process? What influence do they have? What are their aid priorities? What are their research priorities and mechanisms? What are the policies of the donors funding research? There are a variety of techniques and tools for assessing the policy context, opportunities and audiences, and for developing and communicating policy messages. These are not summarized here but can be found in a number of other publications. 5 Building Knowledge and Capacity for Policy Influence: Reflections and Resources 3-5