Series “Reflections and Lessons Learned”

How do social actorsinfluence public

policies?

ASOCAM Series “Reflections and Lessons Learned”¿Cómo actores sociales inciden en políticas públicas?

ASOCAM-Intercooperation Technical Sec-retariat

Financial support provided by the Swiss Agency for Development and Cooperation

ASOCAM’s Series “Reflections and Lessons Learned”, shares the learnings developed in the annual seminar, in which particular themes are reflected upon and analyzed in depth. This volume in the series presents strategies and actions for social actors in the process of influencing public policies. The publication is aimed primarily to techni-cal and managerial staff of projects and to institutions working to support development processes in rural areas.

Main Contributors: Pablo Iturralde, Luis Heredia, Philippe de Rham, Lorena Mancero

Other Contributors: This document was developed with valu-able contributions from the participants of ASOCAM’s 9th Latin American Workshop, held in Cochabamba in May 2006, and was further enriched by the participants of a workshop held in Quito, Ecuador in September 2006, in which the document was analyzed and validated. Please refer to the Annex for a list of people and institu-tions that have contributed to the present publication.

Editorial Committee: Philippe de Rham, Luis Heredia

Photographs by: Otonyelle, Philippe de Rham

Copy Editor (Spanish Language Version): Martha Moncada

English Language Editor: Sarah Byrne

Design: Verónica Avila . Activa

copies printed.The use and sharing of information con-tained in this document is encouraged, with due acknowledgement of the source. Quito, September, 2007

Contents

1. Introduction

2. Context Analysis

3. Por el contorno de algunos conceptos

• Outlining some initial concepts• Public Policy• Institutionalization • Public Policy Advocacy• Democracy and Citizen

Participation• Some mechanisms of policy

advocacy: lobbying, “cabildeo”, political dialogue

4. Future challenges

5. Actors and forces of policy advocacy processes

• What do we mean by an actor?• Types of forces• Becoming a social actor• Origin of social movements• Role of International

Cooperation Agencies and Programmes

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21

29

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6. Policy Advocacy Process Step by Step

• Introduction• Step 1: Diagnosis • Step 2: Outlining a public

policy proposal and strategy • Step 3: Framing a policy advo-

cacy plan• Step 4: Assessing the advo-

cacy initiative

7. Main elements of the policy advocacy planning process Advocacy Methodologies: a synthesis

• CRS Methodology for policy advocacy planning process

• Method for outlining a commu-nication strategy

• Tools for framing the Media Plan

• Media Advocacy Tools

Bibliography

ASOCAM Seminar Participants List

1 2

3

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11. Introduction

In 2006, ASOCAM chose “Policy Influence (PI)” as the topic it would analyse in depth during the year. Thus, a regional Workshop entit-led “How do Civil Society Actors Influence Public Policy?” was orga-nised in May 2006.. This event took place in Cochabamba, Bolivia, with the participation of 65 representati-ves from eight countries. The wide attendance at the event confirmed the importance and topicality of the subject, whose discussion was orga-nized around the following questions:

• Why have different social actors emerged at local, national or international levels, demanding to participate in the public policies that determine the present and the future of their societies?

• What is the importance of the development of policy influence processes from the point of view of social actors?

• What are the results of current par-ticipatory processes lead by social actors in Latin American societies, especially regarding the formulation of public policies? Under what con-ditions, and how, can social actors influence public policies?

• What roles do, or should, different actors and development agencies have?

• What are the scope, limitations, tensions and challenges of policy influence initiatives carried out by social actors?

During the event, five thematic presentations were made, and 10 ini-tiatives for public policy influence that had been developed in five countries were presented. A roundtable with the participation of three specialists also took place, as well as “field visits” highlighting relevant experiences.

The present document covers the principle issues debated during the seminar, the valuable contributions made by the Ecuadorean consul-tant Pablo Iturralde, as well as the discussions that took place during the workshop to analyse the preliminary version of this document.1

This document does not attempt to represent an exhaustive analysis of the meaning of the theme of influen-cing public policy, nor does it attempt to cover all the various questions rela-ted to specific aspects of the theme. The main intention of the document is to provide persons working in the field of development cooperation with a guide that can be consulted and that can be a source of inspiration, with the goal of improving the capacities of civil society organisations so that these sectors can influence the deve-lopment of democratic and inclusive public policies.

1 The workshop was held in September, 2006. Sixteen representatives of several development institutions and projects attended, including: CRS, SDC, ECOBONA, INTERCOOPERATION, PDDL, OXFAM-INTERMON, RURALTER Platform, SNV, Plan International.

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Policy influence conducted by social organizations is a prominent current events topic. In large part, this is due to the fall of the Latin American military dictatorships, which had established governments that were arbitrary, authoritarian governments and disrespectful of human rights, and the subsequent reestablishment of democratic systems of government that, despite guaranteeing a series of human and civil rights, have not been able to solve the main problems of the poverty and exclusion of broad sectors of society. The end of the dic-tatorial regimes has not advanced, in a steady and firm way, the building of mechanisms and spaces through which the interests of the majority of society could be represented at all levels of government.

In social terms, democratic systems have caused frustration due to their limited contribution to the solution of societies’ main problems, the lack of legitimacy of the elected government and the lack of representation within traditional political parties, which, in general, mostly favour the inter-ests of small groups, although their speeches make reference to poor and excluded sections of society. Given this scenario, different organized civil society groups, such as social move-ments, farmers’ associations, NGOs, foundations, and grassroots groups, among others, have become active in politics.

The return to democracy has meant, on the other hand, significant reforms towards reducing the size of the state and the redefinition of its role, promo-ting economic liberalization and gran-ting an increasing role to the market and private enterprise, through a series of concessions and privati-zations. The controversial results of these policies have in recent years led has lead some social sectors to claim a more leading role for the state.

Concurrently, a trend towards decen-tralization and local development has emerged, which aims at rethinking the mechanisms of the relationship between the state and civil society from the perspective of a closer relationship between the local gover-nments and the people. This means new challenges and responsibilities in the fields of politics and governance.

The political situation through which the region has passed also had impli-cations for the world of development cooperation, where policy influence has become increasingly important. This can be explained mainly by two reasons:

a) Support projects’ strategies are increasingly focussed on social development actors themselves, reinforcing them as managers and protagonists of their own pre-sent and future. This sought for empowerment of organised groups of society’s excluded, includes, as one of its most important elements, the capacity for policy influence oriented towards exerting their “power” within society.

b) The requirement to achieve greater effectiveness in projects results means that the sustainability of results needs to be ensured, as well as ensuring benefits for broad sectors of society. Achieving sustainability and a certain “mass” of results often requires adap-ting local, regional and national regulatory frameworks and public policies, making it imperative that cooperation projects include a political dimension in their approaches in order to prio-ritize the building of social organizations’ capacities to influence public policies.

The Swiss Agency for Development and Cooperation (SDC), the agency that provides financial support for the ASOCAM project, as well as several projects in Latin America that are part of the network, addresses the issue of public policy influence from two dimensions:

a) Strengthening the capacities of the institutions and organizations so that they may become key actors in all phases of public policy influence.

b) Support to policy influence proces-ses lead by organized actors who are not directly linked to political parties.

SDC itself organizes political dialo-gue activities with its partners and government authorities at national, regional and local levels, advocating on behalf of the poor and socially exclu-ded groups to whom its work is dedicated.

2. Context analysis

3 3. Outlining some initial concepts

Concepts are social constructs, whose meanings are closely linked to the historical context in which they emerge and evolve. Therefore, con-cepts can not be universal in their formulation, but rather, they are dynamic expressions and in perma-nent movement.

For the purposes of this document, it is important to clarify the meaning of some concepts that appear frequently when discussing policy influence, without the pretension to propose absolute and universal definitions. . These concepts have been formu-lated with contributions and inputs from participations in the Workshop behind the drafting of this document.

4 Public policies

Politics (from the Greek term πολιτικος polítikos “citizen, civil”) ”) is the ideologically oriented activity and process by which groups make decisions for the realization of objec-tives.

According to this definition of politics, it is important to stress that the term applies to a particular group; it is not an individual action but that of a group or institution. Moreover, emphasis must be given to the fact that political processes or actions are ideologically-oriented, which implies a conscious definition. Finally, poli-tics should guide the group towards the achievement of the defined goals.

From a complementary point of view, politics can be understood as a group’s exercise of power, reflecting an antagonistic relationship between different social sectors or, conversely, can be seen as an opportunity to act ethically for the benefit of the groups involved.

A public policy can also be opposite to a decision, i.e. the lack of position or inaction, a mechanism which preserves the status-quo.

From a holistic point of view, public policies cover different domains of society: economic, social, political and cultural. However, one usually refers to sector policies, which often leads to an isolated or segmented policy management. This results in public policy decisions frequently being taken without due considera-tion of all the variables, thus genera-ting divided and inefficient policies. For example, today there is a prepon-derance of economic politicise that are applied in detriment of human and social domains.

Generally speaking, public policies are set out in:

• Rules: constitutions, policies, international conventions, laws, regulations, executive orders, ministerial resolutions, ordinances, etc.

• Public institutions or organi-zations: whose function is the decision-making, implementation and evaluation of public policies.

• Plans, programs, projects and actions: including, for example, national development plans, local development plans, health or edu-cation programs, projects suppor-ting small and micro enterprises, etc.

•Budgets and public inves-tments: including funding sources (taxes, fees, public debt, etc.) and investments in the implementation of plans, programmes, projects and actions.

The public policy management cycle comprises five basic steps: formu-lation, decision-making, budgeting, implementation and evaluation.

Public policies are all those decisions taken by government authorities, in executive, legislative or judicial branches, which provide specific solutions for managing public affairs.

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Polic

y Form

ulation1

2 D

ecision-making

3 Budgeting

Oversight 4

Oversight 5

Decision-making: corres-ponds to the resolution process undertaken by the competent government bodies, for which responsibilities, mechanisms and procedures are often defined by the regulatory framework, especially in the constitution and national laws, municipal ordinances and in provincial or departmental legislation.

Implementation: involves the practical realization of the public policy. While traditionally this step was the sole responsibility of public authorities and institu-tions, today it is assumed under the principle of co-responsibility among social, public and private actors.

Oversight: is the last step and mainly aimed at the monitoring and evaluation of the results, and relevance of the adopted and implemented public policies. Monitoring and evaluation require the definition and management of evaluation measures, norma-lly expressed as indicators, on the basis of which, results are measured and lessons drawn for modifying, improving or even repealing public policies and

replacing them with others.

Policy Formulation: this step starts with the idea for a new public policy, followed by the identification of actors as political subjects, the analysis of the situation and power relations with reference to the policy, the identification of the problem and analysis of alternative solutions, the selection of a specific policy instrument (sector policy, law, regulation, etc.), and concludes with the formulation of a technical and political public policy proposal.

Budgeting: in this step, the sour-ces of funding and the allocation of financial resources necessary to implement the policies that have been decided upon are decided. Strictly speaking, this stage should be part of the formulation and decision-making process, so as to ensure the necessary funding for policy implementation. However, experience in our coun-tries has been contrary to this logic. The definition of the budget usually happens after the regula-tory frameworks, plans, programs or projects are approved.

Chart 1 / The public policy cycle

Outlining some initial conceptsPublic policies

Source: Pablo F. Iturralde B.

6 Institutionalization

Institutionalization refers to two key dimensions: the normative (“soft”) dimension, comprising the rules of the game, and the organisational (“hard”) dimension, made up of the organisational and functional structure. Institutionalization refers to public bodies, as well as social organizations, which, despite having a different structure and composition than public institutions, and not as much power, have a presence and influence in the realities of those involved.

The way in which the state interacts with society generates a particular model of public institutionalization. Following Joan Prats’2 approach, until the mid 1970s the functio-ning of the state assumed a bureau-cratic model (Max Weber). This model was based on the separation of interests between public and private stakeholders, the establishment of a hierarchical system to ensure effective-ness and efficiency, the definition of plans and rules, the allocation of responsibilities among the various institutional estates, and the selection and promotion of civil servants on the basis of merit. These forms of public management were the counterpart of the economic model of industrialization and import substitution (Keynes).

The transformation of industriali-zed societies to information and knowledge societies has affected the bureaucratic model and has made possible the rise of the public management model. This latest model accompanied the hegemony of neo-liberal policies, designed to the restore the control of sectors of political and economic power on the bureaucracy. Distinctive elements of the public management model are that management is based on the demands of users and clients and that the administration of public services is transferred to the private sector.

From the mid 1990s, the paradigm of public institutionalization began to experience new transformations. Since then, talk has switched to “governance”3 . According to this model, the quality and legitimacy of public action is based on the relation-ship and interaction between different social actors and the state, as well as in coordinating the various levels of government. The main tenets of governance are the state is not the only actor in the process of develop-ment, but rather the cooperation and co-responsibility of others is required; the redefinition of roles and respon-sibilities between actors; there is no perfect model in order to be efficient, paradigms shall continuously adapt to reality, must be flexible, reflecting experience and learning from lessons.

In sum, the traditional relations-hip between the state and society preserves the primary role in defining and implementing public policies for government institutions, and is based on a vertical approach to the rela-tionship between public institutions and citizens, who are considered only as recipients or beneficiaries. With this same approach, decisions about policies are made by technical teams or specialists, often with a sectoral and biased vision.

In contrast to this approach, new concepts of public management are underpinned by a more democratic

relationship. Thus, to the extent that the design, implementation and monitoring of activities happen with broad-based participation, it becomes possible to build a more comprehen-sive vision of the objectives, as well as the consideration of cross-sectoral linkages, and of a strategic perspec-tive of the future.

These new forms of public manage-ment do not imply the abolition of previous models, the bureaucratic and public management models, but rather complement them, leading to a re-legitimization of state institu-tions and their role in the process of development.

State(bureaucracy)

Civil society(beneficiaries)

State(managers)

State(representatives)

Bureaucraticmodel

Publicmanagement

model

Governancemodel

Civil society(clients)

Civil society(citizens)

Chart 2 / Public management models

2 Prats i Catalá, Joan (2005). Las transformacones de las administraciones públicas de nuestro tiempo. (The transformations of public admi-nistrations in our time). Institut Internacional de Governabilitat de Catalunya, Barcelona, España.

3 Governance: art or way of governing, that has as an objective sustainable economic, social and institutional development, promoting a healthy balance between the State, civil society and the market. This is a different and alternative concept from the classical term of “governability”, which refers to how governable a society is, or the fact that a society can be governed.

Source: Pablo Iturralde.

7 Outlining some initial concepts

Policy influence may be understood the a process through which citizens, and social, economic and institutional actors participate in or have an influence in the definition, manage-ment and evaluation of general or sectoral public policies, at the local, regional, national or international level. Such par-ticipation or influence implies creating, modifying, enforcing and/or repealing public policies.4

While policy influence (PI) and public policy influence (PPI) are part of political action, this document will focus on a discussion of the latter concept in so far as it involves chan-ging legal, institutional and budge-tary frameworks, as well as public plans, programs and projects, with the intent to respond to the interests of traditionally excluded sectors of society.

There is a general consensus that the most appropriate, relevant and effec-tive public policies are those whose development is participatory and inclusive, since they are based on the exercise of rights and duties. This form of the development of public policies is not confined to the creation of normative, institutional and organi-sational conditions, but also contribu-tes to the transformation of asymme-tric power relations between different

Public Policy Influence

social actors, thus which creates the possibility of having public policies that are inclusive and based on a vision of equitable development.

Public policy influence is a relatio-nal process among multiple actors, such as social organizations, private institutions, entrepreneurs, and politicians, with public authorities, including the government, parlia-ment, judiciary and public institutions responsible for auditing and moni-toring. It is therefore an eminently political process in which various interests and power relations come into play. However, the political nature of these processes, the for-mulation, budgeting, management and evaluation of public policies, also require criteria and contributions of a technical nature. Therefore, strategic planning, and the technical-political construction of viable alternatives to solve the problems or limitations that had motivated the intervention, are necessary.

Public authorities are the target group of advocacy initiatives, due to their power for decision-making. Of particular relevance are the govern-ment (executive branch) and par-liament (legislative branch) at local, regional, national and even, due to its influence in the context of globali-zation, international levels. More and more, the idea of a global or interna-tional civil society capable of influen-cing the formulation of international regulations from a human rights approach is gaining strength.

Today it is not enough that public policies are the result of technical work and are based on decisions made by democratically elected authorities (representative demo-cracy).. Public policies must be properly formulated and sustained, and must take into consideration the different interests and values in society, ensuring the participation of different social groups (deliberative democracy).

Below is a graphical representation of public policy influence which inclu-des the points discussed above.

Chart 3 / Incidencia en políticas públicas (IPP)

That is:• Participatory• Goal-oriented • Organized• Planned• Systematic• Political• Technical

At different levels:• Local• Regional• National• International

It is a process

Social, economicand institutional

actors andcitizens

Publicpolicies

Power relationsa re modifiedThrough which Exert influence on

Inclusivepublicpolicies

The exerciseof rights

and duties

EquitableDevelopment

Developed by: the 9th ASOCAM Latin American Seminar

4 IX ASOCAM LatinAmerican Seminar. Social Actors’ Policy Advocacy. Cochabamba, Bolivia. (page 9)

8 Democracy and citizen participation

The word “democracy” originates from two Greek terms: demos, meaning people, and kratos, meaning authority or power. There is no universal definition of this term. In addition to the transformations throughout history that its meaning has undergone, “democracy” takes on different meanings depending on the ideology of the person using the term. For the purposes of this docu-ment, the following definition has been chosen:

Democracy is the doctrine or political system based on the intervention of citizens in collective or governmental decision-making. In this type of political regime, sovereig-nty resides with the people and is exercised by them in a direct or indirect manner.

There are different kinds of democra-cies, including direct democracy, in which decisions are made directly by the people. In indirect democracies or representative democracies deci-sions are made by people who have received a mandate from the people to represent them. Participatory democracy alludes to the fact that the political model allows citizens to participate directly in negotiating and finding a consensus between public, community and private interests, based on the rights of citizenship. These three forms of democracy are not necessarily constitute alternatives,

but rather can be implemented in a complementary manner.

The legitimacy crisis facing the democratic systems of several Latin American countries, as a result of their failure to address social inequi-ties that affect large segments of the population, has prompted the emergence of initiatives to strengthen the democratic spirit among citizens, as well as to renew public institu-tions. This has provided them with greater effectiveness and capabilities for representing citizens’ demands and for channelling and resolving conflicts.

The lack of credibility of political elites and certain public authorities is evidence that election by popular vote is not sufficient to guarantee legitimacy, rather, at most, legality is ensured. Today legitimacy depends on the congruous representation of citizen’s demands and interests by public and political actors.5

Consequently, the claim for parti-cipatory processes does not imply a competition with representative institutions over decision-making, but rather the demand that they adhere to civil rights. In other words, parti-cipatory democracy does not reduce or eliminate the role of representative democracy, but rather enriches it with a new democratic meaning. However, greater citizen participation means not only a mechanism for ensuring democratic rights, but also citizens’ co-responsibility in public affairs, which leads to the assump-tion of great responsibility on the part of the citizens.

Therefore, citizen participation is clearly a key element of a new type of democracy that combines and synthesizes representative demo-cracy and participatory democracy, and which in turn constitutes good governance practices as a means of expressing the interests or projects of various social actors. This combina-tion can lead to a democratic reform of the state and the transformation of the relationship between the state and society, especially regarding the modification and reduction of social asymmetries and power relations.

Apart from contributing to a new form of democracy, there are some other arguments in favour of participation: • It provides information about the

social environment in which deve-lopment activities are carried out

• It reveals the demands and prefe-rences of users more efficiently

• It generates social learning and innovation

• It strengthens actors and local insti-tutions

• It ensures more credibility and legitimacy of processes

• It contributes to the improvement of local institutions’ efficiency

• It contributes to the formation of social capital

• It enforces local or regional systemic competitiveness

• It contributes to the strengthening of local or regional identity

There are two main points of view regarding participation. It may be considered as an instrument of social techniques (technical point of view) or it can be related to the

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Democracya system of government in which sovereignty

is held by the people

Purpose of democracy:

Representative Democracy

✓ To elect and be elected

✓ Majority principle

✓ Rules of the game

✓ Delegation of power

☛ Achievement of the common good☛ Building democratic institutions☛ Building democratic citizenship

LIMITS:• Exclusionary • Instrument of

domination• Is reduced to

voting

Participatory Democracy

✓ Citizen mobilization

✓ Principle of direct participation

✓ Participatory spaces

LIMITS:• Not all are

able to participate

• “Participatory elites” may emerge

Outlining some initial conceptsDemocracy and citizen participation

5 At this point it may be useful to make a distinction between representation and representativity. The first relates to the delegation of power of each citizen, and therefore implies that agreements

improvement of public institutions and democracy (political point of view). In Latin America, participation incorporates both dimensions, as it appears as an alternative to the crisis of political systems and exclusionary economic models, the challenges of the efficiency and sustainability of development processes, and new practices of local development and decentralization.

Participatory processes require certain basic conditions to mature and be effective. Time is required to promote the organization and empower-ment of social actors, identify their demands and draft technical propo-sals, deepening the understanding of the social context and the decision-making procedures with regards to public affairs,

open communication channels and capture the attention of authorities and actors who lead or facilitate decisions, with public officers and call the attention of

key officers, and equilibrate the balance of power when asym-metric power relations prevail, among others.

There are different mechanisms and levels of participation in public policies (from promoting access to information to more complex and comprehensive alternatives). These include:

• Firstlevel:information Having access to information is a

prerequisite for any type of citizen participation. It consists in gaining knowledge about existing or pro-posed laws, plans, programmes, projects and budgets of public institutions.

• Secondlevel:consultation Citizen consultation can take place

by means of meetings, visits, or interviews, which provide legis-lative or governmental authorities with information about citizens’

Gráfico 4 / Democracia representativa y participativa

Source: Participants of ASOCAM IX Latin American Seminar

demands and points of view regar-ding public initiatives.

• Thirdlevel:powerfordecision-making

The most common mechanisms for citizen participation in decision-making are the plebiscite and the referendum, but there are other innovative possibilities, such as participatory budgeting and inno-vative local development planning, among others.

• Fourthlevel:co-responsibilityforimplementation

Co-implementation of public policies requires an appropriate distribution of functions and res-ponsibilities between the state and the citizens.

• Fifthlevel:socialoversight Social oversight refers to citizens

and social organisations having a role in the monitoring and eva-luation of the activities of public

are reached by majority vote. Representativity is rather the expression of the opinion and interests of a “collective subject” or a specific social class or sector.

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authorities, as well as various forms of scrutiny such as the so-called “citizen observers”.

It is important to point out that there are certain risks and limits in partici-patory processes. The most impor-tant limitation is the lack of power of excluded groups –including poor people, children, teenagers, women, indigenous and Afro-American groups. Another limitation is the fact of confronting “participatory elites”, those with higher education levels and greater institutional, material and economic resources, but who do not necessarily represent the interest of marginalised social groups. As far as challenges are concerned, important issues are the participation of the non-organised citizenry, which cons-titutes the majority of the population, as well as the fear of conflict expe-rienced by many social groups.

With regards to conflict, it should be noted that conflict is generally percei-ved in a negative way, as being a threat or a problem. This assumption minimizes an important potentiality of a conflict: it can sometimes also act as a seed for a greater democrati-zation of society. We must not forget that one of the essential elements of democracy and politics has been the conflict (encounters of opposing ele-ments) produced by social inequality, and which has pushed certain social groups towards the search for equity. Socially and politically speaking, conflict represents a demand for more freedom and social participation, as well as a better distribution of politi-cal power and wealth.

Etymologically, the word “lobbying” comes from the English term “lobby”, which means hall, vestibule, entrance hall or reception area. The use of this word makes reference to meetings conducted by private entrepreneurs with British parliamentarians, in which they shared their interests and needs. This term was born in England but its subsequent develop-ment took place in the United States of America, where it was quickly institutionalized through legislation that regulates the ways, mechanisms and procedures by which econo-mic groups may intervene in public policy decision-making. The word “cabildeo” is the Spanish synonym of lobbying.

Lobbying is a political acti-vity that involves interve-ning by directly or indirectly influencing the processes of formulation, implementation or interpretation of laws, norms and regulations and, more generally, in public decision-making. (Fardel, 1994, quoted by Cifra)6.

“Lobbying” is grounded in five main principles (Cifra, 1998):

• It is a management strategy practiced by businesses, pressure groups or policy sectors

• Its purpose is to influence a deter-mined law or public sector activity

• The strategy includes commu-nication activities, information campaigns and any other kind of relationship with public actors

• It is undertaken without curtailing the freedom of decision, with legal means, and generally through transparent mechanisms for influencing decision-makers.

• The lobbying strategy is imple-mented by representatives of the pressure group itself or by third parties, such as professional lobb-yists.

Lobbying is generally considered to be an activity aimed at promoting pri-vate interests by means of non-trans-parent mechanisms, which can lead to situations of influence peddling, in which favours, decisions and votes may be exchanged or bought.

Some policy influence mechanisms: lobbying and political dialogue

Outlining some initial concepts

6 Cifra, Jordi (1998). Lobbying, cómo influir eficazmente en las decisiones de las instituciones públicas. (Lobbying, how to influence efficiently in decisions of public institutions). Ediciones Gestión. Barcelona, España.

A different concept it that of political dialogue, which refers to the interaction among two or more different actors who are willing to reach a consensus, taking into consideration their interests and negotiating in a deliberative and consultative way. To the extent that politi-cal dialogue is a matter agreed in advance by the parties, it is usually public and transparent to society.

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Politics, democracy, citizen participa-tion and other topics that were analy-zed during the ASOCAM Seminar, as well as throughout the process of preparing this document, are characterized by their diversity and complexity. Their analysis depends on several factors, such as the historical moment being lived in a particu-lar place, the social, cultural and ideological background of the person conducting the analysis, etc. This document has attempted to attempts to provide concepts that facilitate understanding about these issues, as well as some tools that may be useful for working with social organizations that are willing to initiate a public policy advocacy process. The most relevant concepts are presented in this section, although they must be further discussed and deepened, as a future challenge.

a) In a policy influence process, it is necessary to ensure that involved social actors incorporate partici-patory approaches within their institutions. Internal mechanisms of discussion, analysis and decision-making should allow a suitable generation of responses to external processes of negotiation. The latter also need appropriate strategies that shall be articulated to internal processes.

b) Social organizations should esta-blish relations with different gover-nance actors, including political parties. Although in various Latin American countries political parties have lost their credibility and are no longer representative, they continue to be civil society organizations specialized in influencing public policy and whose work is aimed at direct public management. Political parties are essential elements of the democratic scene and the challenge consists in building and sustaining their internal democratic structures. Social movements and organizations, although comple-mentary, cannot substitute political parties since political parties bring together people who share the same political ideology and not necessarily those who belong to the same location, economic sector, profession, ethnic group, etc.

c) Topics in which one may seek to have influence may vary in

complexity. For this reason,

it is important to rely on suitable information and technical criteria.

Often, it is necessary to conduct an analysis of the potential impacts of proposed changes on other social groups, not just to be able to anti-cipate their possible reactions, but also to determine whether these changes may cause unjustifiably prejudice other sectors of society.

d) Political changes always lead to some degree of modifications in power relations. For this reason, it is not appropriate that a sole social group reaches more and more power regarding a specific issue. On the contrary, groups should analyze the need of complemen-ting powers with counterparts, to balance relations among several social groups (such as through alternation in certain functions, etc.).

e) In move towards democratic gover-nance, public institutions certainly require changes and adaptations. This does not necessarily mean a complete redefinition of roles and functions. The challenge is to find a suitable formula for those changes and not to pretend to start from zero, ignoring what already exists.

f) Finally, it is important to note that changes in policies that are promo-ted by development projects must be supported by social actors who stay for longer periods than project implementation phases. If this condition is not met, achievements’ sustainability may be at risk.

4. Future challenges

12 5. Actors andForces inProcesses ofInfluencingPublic Policy

What do we mean by actor?

Types of forces

It is important to develop and understanding of the social forces that have an interest in a particular public policy. The following chart shows a classification of the categories of social forces that normally inter-vene in a process of policy influence , which may be useful when conducting a diagnosis and formulating a strategy.

Actors that are part of the promoters group should identify other actors that may support public policy influence, so as to establish suitable strategies or to incorporate modifications to the initial proposal (in order to increase its impact).

Any social organization and institu-tion that has a specific identity and interests regarding an issue –with regards to which it adopts a position, conducts activities and creates social and power relations- is considered to be an actor of policy advocacy.

Actors who participate in processes of policy influence are all those institu-tions that are involved in the drafting, implementation and monitoring of a public policy on a specific topic. For instance, actors may be:

• Public authorities, such as the national government, municipal council, national parliament

• Civil servants and technical staff of government institutions

• Grassroots organizations and inter-mediary institutions

• Social movements• Public parties• Non-profit civil society groups• Private sector (entrepreneurs)• Religious organizations• Academic or professional centres

of research and expertise• Mass media (television channels,

newspapers, radio programs, web pages)

• NGOs and international coopera-tion projects, and others

The degree of an actor’s involvement in a process influencing public policy may vary in intensity and depth. An actor can only provide relevant infor-mation about a topic, be aware of the legal and political framework of the existing and proposed rules and plans under development. At a higher level, actors may be invited to express their views and demands regarding a public action and the proposals being drafted, to express their opinion by participating in public policy decision-making (by means of referendum, by voting, etc.), and to be co-responsible for its implementation and monito-ring.

13 Actors and Forces in Processes of Influencing Public PolicyTypes of forces

Social force Who Are They? Position

Promoters Social, economic, political, public and civic actors that exert direct or indirect pressure on governmental power in order to obtain public policy decisions that conform to their vision and interests.

Promoters formulate the original proposal, analyze the problem and repercussions, identify other actors, define the influence strategy for achieving an adaptation or a change in policy, and elaborate the technical and political draft of the proposal.

Allies Any type of actor that although they are not part of the promoters group, shares the group’s interests or complements them. Allies are supportive for developing a joint action.

Allies coordinate actions with promoters and agree on objectives and plan activities. Allies contribute with ideas and support the proposal.

Decision-makers

The person the policy influence strategy targets. Decision-makers are public authorities who may work for the legislative, executive or judicial branches of the state.

Decision-makers have the capacities and legal endow-ments for solving requests related to public policy. They usually adopt a radical position regarding the proposal –whether positive or negative. They need technical or legal arguments for decision-making and generally request addition information from technical departments.

Opponents Social or institutional actors that are in opposition to the proposals and that possess significant resources so as to influence decision-makers. Any influence initiative generates opposition of different kinds and intensities. Opponents may present different arguments.

Opponents are not a homogeneous group. With some indivi-duals of the group one may establish contact and negotiate, so as to ensure that the influence initiative continues.

“Undecideds” Influential people who are a part of public opinion or belong to important institutions. “Undecideds” do not have a specific position regarding the policy influence proposal -either because they are not interested in the topic, they have not been fully informed or because they fear to take a position.

“Undecideds” may become allies or opponents during the process of policy consultation and decision-making. Undecideds may play a decisive role during decision-making.

Other influential public actors

This category includes:- Actors that intervene actively in decision-making processes, such as mass media (TV, radio, newspaper)- Political parties and social movements- Research and academic centres- Religious entities- Army, etc.

Estos actores tienen un gran poder en la sociedad, influyen en la percepción de la ciudadanía, en la formación de corrientes de opinión y en la posición de las personas que deciden. Pueden bloquear o visibilizar la propuesta.

14

External strengthening

Achieve acknowledgement

The group generates interest and empathy with other actors, regarding the policy influence topic

Smart positioningThe group suggests proposals and discusses them in a public way, according to their own vision and expectations.

Agreement and negotiation

The group is competent in establishing partnerships, negotia-ting with others and reaching agreements.

Internal Strengthening

Identification of common goals that unite the actors

Social actors define a problem concerning them, identify com-mon needs and agree on influence objectives.

Definition of participatory and representative mechanisms

The group establishes participatory mecha-nisms, so as to ensure the involvement of all participants.

Self-diagnosis The group analyzes different issues of the identified problem, as well as of the involved individuals and the group itself.

Formulation of proposal and elaboration of an activity plan that take into consi-deration the collective interests of actors

The group drafts a policy proposal and an advocacy plan.

Agreement of the appro-priate organizational structure for the group

The group establishes an efficient organization, streng-thens partnerships for the implementation of its plan implementation and consolidates its identity.

Plan Implementation and Assessment

The advocacy plan is put into practice by the group, adapting it according to the achieved results, other actors’ reactions and the varying circumstances of the environment.

Becoming a social actor

Opportunities for participating in and influencing public policies are not the same for all citizens. The exclusion that characterises Latin American societies marginalizes broad sec-tors of society in the formulation, implementation and evaluation of public policies. Due to their gender, socio-economic situation, ethnic origin, age, geographic location, a great many citizens of our countries face barriers to participation (this is the case, for example, of people living in marginal areas in the highlands, or those living in inaccessible areas).

The lack of separation between public management and private interests that has existed in Latin America for the past two decades, along with the opportunism displayed by political parties, has led to the disenchantment of citizens and a lack of confidence in state institutions. At present, several conflicts are taking place and are being resolved outside of legal channels.

Despite these problems, the citizenry have been gaining strength through collective action organized in ethnic groups, neighbourhoods, women’s groups, environmentalist groups, and local governments, among others. Those actors who were traditionally excluded from the formulation of public policies, and who did not have a voice in governance processes, are today increasingly claiming their rights as citizens and are being recog-nized as such. Little by little, they are becoming social actors.

15 The origin of social movements

Social movements are constituted by social actors who bring to light unfair situations by means of actions with repercussions beyond a local scope. “This category makes it possible to avoid the risk of a reductionist and dogmatic view of social class, which tends to simplify the diversity of actors, without acknowledging the complexity of social phenomena” (ASOCAM 2006).

A social movement emerges as a response to a social situation that is considered to be unequal. It differs from the concept of a “social organization” in that it intervenes in different scenarios and it encompas-ses an alternative project that aims at the modification of current rules and the system of power relations.

A social movement discusses and elaborates proposals not only regarding technical issues, but it also exerts pressure so as to modify established rules that lead to inequi-ties. Social movements stand for the negotiation of new rules that may contribute to the transformation of power relations (for instance, the elaboration and assignation of the public budget at local, regional or national levels).

Aiming at poverty alleviation and at the promotion of an inclusive society, international cooperation agencies may play an important role in streng-thening social actors’ skills for policy advocacy.

International cooperation agencies often support those sectors that have been traditionally excluded from public issues so that they can become key policy actors and ensure that their needs, interests and requests are taken into account within policy influence processes. Consequently, international coopera-tion agencies can favour processes promoted by actors who are fully acknowledged by society and have become autonomous. As well, agen-cies can support the systematisation of experiences, diffuse valuable infor-mation and strengthen coordination among the state and social actors.

In order to strengthen social actors, they should be fully informed about technical, economic and legal issues, have knowledge about the public sector’s structure and procedures , learn about media strategies, as well as lobbying and negotiation activities.

The Role of Interna-tional Cooperation Agencies and Progra-mmes

Becoming a social actor is the result of a gradual process of empower-ment that leads to marginalised social actors having greater access to information, and developing their vision, identity and political will, so as to identify and implement initiati-ves to influence public policies and negotiate a more favourable situation according to their needs. Effectively influencing governance requires and promotes a proactive attitude, as well as the strengthening of organizations and leaderships, in the formulation of clear objectives and the development of capacities to take a position with regards to public opinion and external forces.

The ability to influence policy depends on the power that the group commands, and on its capacities for using this power, which are related to its internal and external strength. This process is illustrated in the chart.

Once concrete results have been achieved, the social actor can either “disappear” or prevail in time, con-sidering that there are higher goals to achieve. In the latter case, the social actor can continue implemen-ting policy initiatives so as to build a strong identity grounded on outstan-ding results.

16

There are several methods for pro-moting and finalizing public policy influence processes. Based on a review of literature about the topic and on experience, this chapter proposes some guidelines and recommendations for conducting policy influence processes, which are summarized in four steps:

1 Throughout diagnosis, it is advi-sable to differentiate: a) A general policy environment

fromb) An analysis of the capabilities

of the group promoting the initiative

2 When outlining an advocacy proposal it is necessary to make

a distinction among:a) The identification of key issues

of policy that should be inclu-ded or modified

b) The outlining of action strate-gies to achieve policy advo-cacy

3 When framing the policy advo-cacy plan, it is suggested to:a) Establish action guidelines

and distribute responsibilities b) Determine the logical fra-

mework of the plan

4 During the assessment of the ini-tiative, it is important to consider:

a) Monitoring and evaluation of the implementation of the plan

b) Impact assessment of the “new” policy

6. The policy influence process, step by step

InitiativeAssessment

Diagnosis(analyzingpolicies)

Framing aPolicy Advocacy

Plan

Outlining a publicpolicy proposaland strategy

Chart 5 / Steps of a policy influence process

17The policy influence process, step by step

Task Guideline

1.1

Polic

y en

viro

nmen

t ana

lysi

s Define the main policy issue

- Identify and formulate the main problem and its direct causes

- Analyze the legal framework and current public plans, and make a diagnosis (lack of a policy?, current unfavourable policy?, inadequate implementation of a policy?)

- Clearly identify the targeted decision-makers and policies to be modified

- Apply the following criteria when verifying the resulting formulation:

a) Number of people who will benefit from a modification in the policy

b) Probability of finalizing the process successfully

c) Real possibilities of engaging in coalitions

Identify the key actors

- Outline a map of the relevant policy actors and identify actors’ degree of influence on policies

Gather information about the decision-making process

a) Identify decision-makers who may pass or reject the policy proposal as well as the stakeholders who advise and exert a direct influence on decision-makers

b) Understand the legal procedure for policy drafting and approval

1.2

Anal

ysis

of t

he c

apab

ilitie

s of

the

grou

p pr

omot

ing

the

initi

ativ

e Analyze our streng-ths and limitations

- Assess the group: who and how many are we? Are we consolidated as a group? What resources can we rely on?

Assess our credibility

a. Analyze if our legitimacy is sufficient to speak on behalf of othersb.

b. Understand what other actors think about us

c. Gather ideas for strengthening our position and modifying power relations

The promoting group conducts a quick diagnosis of the policy environment and identifies its capabilities

Step 1: Diagnosis

Objective:

18

Tasks Guideline

2.1

Polic

y In

fluen

cePr

opos

al Clearly formulate the proposal contents

How to organize the task:

- Establish groups in charge of analyzing key issues and gathering guidelines and recommen-dations from experts and institutions with experience in the policy influence topic, so as to make informed decisions

- Organize workshops in which the work of these groups is presented and agreements are taken

- Formulate the key elements of the policy influence proposal in simple terms

2.2

Com

pone

nts

of a

n In

fluen

ce S

trat

egy Prepare an

information awareness campaign

- Prioritize the campaign target audience: those who must be informed and convinced about the key issues in the policy influence proposal

- for each target group, concrete actions must been foreseen

Establish strong coalitions

- identify actors with whom alliances can be developed, in order to bring efforts together and diffuse the impact of the initiative within society

Prioritize activities for influencing public opinion

- Select strategies (lobbying, writing letters, etc.) and define activities

Address and involve mass media

- identify the target audience, messages to be conveyed and prioritize the media- Analyze how to raise the interest of media staff- Prioritize activities to be carried out (press conference, meetings with editorialist, T.V. ads,

radio spot, responses to unfavourable messages, etc.)

Opt for public demonstrations

- Decide if public demonstrations and gatherings, as well as participation in fairs, are necessary

Outline a political proposal and delineate key elements of the action strategy

Step 2: Outlining a public policy proposal and strategy

Objective:

19 The policy influence process, step by step

Task Guideline

3.1

Fram

ing

an in

fluen

ce p

lan Elaborate a useful

Policy Influence Plana. The elaboration of a plan should be the responsibility of a limited group of delegates repre-

senting all involved organizations

b. Apply two criteria when selecting activities: 1) a low degree of dependence regarding exter-nal institutions and 2) the likelihood of having a significant impact

Ensure the correspondence between the plan and the influence strategy already defined (step 2, 2nd activity)

c. Select activities which are relevant for each component of the policy influence strategy

d. For each selected activity (or groups of activities), the expected outcome should be clearly formulated, as well as the performance indicators, responsible people, deadlines, necessary resources and sources of resources

Guarantee the institutional appropriateness of the plan

e. Endeavour to build institutional support for the plan’s activities

f. Verify that the implementation of the plan does not generate conflicts or tensions within the involved institutions (regarding their current programmes and timetables)

Define how the plan will be implemented

g. Avoid delegating the implementation of an activity to only one person: activities should be carried out by small work groups

Transform the policy influence strategy into a to a concerted plan

Step 3: Framing a Policy Influence Plan

Objective:

20

Tasks Guideline

4.1

Mon

itori

ng a

nd e

valu

atio

n of

the

impl

emen

tatio

n of

th

e pl

an

Monitor the outco-mes of each compo-nent of the strategy

a) Implement an appropriate system for the continuous monitoring of the plan’s implementa-tion

b) Analyze the factors that explain the reached outcomes and implement all necessary adjustments to each component of the strategy

c) Take into account the evolution of the context and the responses of other actors that may lead to the a redefinition of the strategy or a reassessment of the relevance its components

4.2

Asse

ssin

g th

e Im

pact

of

the

new

pol

icy Assess achieved

changes a) Describe the changes that have been introduced to public policy

b) Assess the expected results of policy changes and identify possible adverse effect

c) Assess institutional capacity for implementing the “new” policy

Analyze the degree to which needs of the promoting group have been addressed

a) Analyse (from the point of view of the social group which was initially “affected” by the policy) the extent to which the problem has been solved

b) Evaluate achievements regarding the empowerment of social actors that promoted the initiative

c) Assess the achieved changes in power relations and their future sustainability

Main elements of the policy influence planning process

The main stages of a policy advocacy planning process do not differ from those of a normal planning process. It starts with the diagnosis, followed by the formulation of a strategy, framing an operational plan, and the final phase of monitoring and evaluation. Nonetheless, each stage includes differentiated elements of policy influence processes, which can be summarized as follows:

a) The importance of mapping policy actors throughout the phases of diagnosis of the problem and the definition of a strategy. The position of each group of actors regarding the policy proposal requi-

res both a preliminary analysis and continuous monitoring -in order to ensure that the correct tactics (lobbying, collective dialogue, negotiation, etc.) are being imple-mented.

b) Communication strategies carried out by the social group which pro-motes the policy influence initiative (both internally and externally) are aimed at positively influencing public opinion by means of a wide diffusion of the policy proposal and its basis. It is essential to learn how to establish links with media and how to get in contact with experts who may professionally

support the process or organize specialized activities when neces-sary (for instance, press conferen-ces).

c) The institutional dimension should be given a special focus. Institutional aspects should be taken into account when imple-menting and monitoring the policy proposal. The state’s capacities and shortages should be also analyzed, especially regarding its current responsibilities and future challenges.

Throughout the process, demonstrate capabilities for thinking carefully, making adjustments and assessing the achieved impact

Step 4: Assessment of the Policy Influence Initiative

Objective:

21

Several methodologies7 have been formulated for facilitating and guiding policy influence initiatives8. ASOCAM’s Technical Secretariat con-siders it important to include in this publication three useful methodolo-gical syntheses to serve as reference material for the work of development practitioners.9

The findings of the Workshop provide some guidance in the application of to these methodologies. Among these, it is worth noting the following:

• The influence of social actors on policy is not possible without empowerment. It is important not to substitute for social actors, nor to generate dependency. Therefore, the methodologies to be applied must include participatory mecha-nisms that bring together the interest and motivation to mobilize the people and to strengthen their capacities for formulating proposals and negotiating.

• There are different methods used for planning processes of policy influence, but the important thing is not to lose sight of the fact that these processes are iterative10, interactive and comprehensive.

• Despite not undertaking com-prehensive planning, experience shows that many initiatives have been successful through a “mana-gement by chance” approach. However, it is necessary to attach greater importance to the “inten-tional”, with the definition of clear objectives and the formulation of flexible and adaptable plans being key.

The following aspects must be taken into account when planning an influence strategy11:

• Policy influence should focus not only on the phase of public policy formulation, but in all the phases of public policy cycle (see the concepts section above).

• It is necessary to understand the functioning of the state and to analyze its capacities to implement proposals.

• It is important to work with data (indicators) that reflects reality.

• Technical approaches should be complemented with the views of the people.

• Diagnoses should not be descrip-tive; rather an in-depth analysis of causes and capacities should be carried out, as well as reflection on the problem.

• It is necessary to have a strong argument, politically, socially and legally.

• Special consideration must be given to a strategy to support the need for a change in the political culture of citizens, social actors, public officials and decision-makers.

• The influence plan must be consistent with the organization’s work, considering that activities that would achieve a strong impact without generating dependence.

7. Methodological synthesis

institutions. ASOCAM aims only at presenting the methodologies, the summaries of which cannot replace the complete document.

10 These processes are similar to a chess game, in which pieces are moved according to the reaction of other players (actors)

11 Presentation by L. Ocón at ASOCAM Seminar 2006: “Analysing methods application”.

7 Methodologies have been developed by several institutions and projects and those studied by ASOCAM include: WOLA, CARE, CRS, JASS, SAVE THE CHILDREN, PARTICIPA, USAID, FUNDACIÓN ARIAS, CEDPA, “Yo ciudadano yo gobierno” Project, IEDD, CREA.

8 ASOCAM carried out a bibliographic compilation consisting of 16 methodologies. A summary and PDF version are included in the CD that comes along with this publication. They are also available on ASOCAM’s webpage

9 The methodological synthesis elaborated for this publication has not been reviewed by author

Improvised influence

22

Which order should be followed?

The following proposal has been adapted by the Civil Society Division of CRS, based on the WOLA and CARE13 methodologies for facilitating policy influence processes14. The value of this methodology is that is was adapted on the basis of CRS’ experience working with several organised groups. In addition to the methodological synthesis, this section includes some tools regarded as key to these processes.

Preparatory Phase: before planning

CRS Methodology for Planning the Policy Influence Process12

Introduction to influence

• The key guiding question is introduced and each participant writes on a card what policy advocacy means to them

• Similar words are grouped, leading to the formulation of first ideas. A general discussion among participants then take place. Participants form groups and each group discuses and elaborates a second defini-tion of advocacy, which is in turn analyzed by all participants

• Common elements among the definitions are identified and the facili-tator conveys a series of key concepts to the groups, which comple-ment the previous work. A third definition is elaborated

• Group definitions are discussed and a final formulation is agreed upon by all groups

• The facilitator places three cards on a whiteboard. Each card contains one word: state, authorities and civil & political society.

• Participants receive a card containing names of institutions, social or political associations, academic institutions, religious entities, etc. Each participant locates the cards under one of the three cards (previously placed by the facilitator).

• A general discussion takes place: where should each card be placed and why?

Wola’s methodology contains four basic questions and eight main steps:

• Using illustrated cards, the facilitator presents four key questions that summarize the methodology to the groups. The illustrated cards are given to four volunteers who hold the cards in front of them, so that all participants can clearly see the four questions Participants are asked to put the questions in order, thus generating a discussion about why each question is placed in the selected place

The four questions are: (1) What do we want?, (2) Who has the power to make decisions?, (3) What should be done to convince the key person?, (4) How can we know if our plan works?

• Afterwards, eight illustrated cards showing the eight steps of the methodology are given to participants. Once more, they are asked place the cards in order and to identify the linkage among the ques-tions and the steps

The eight steps are the following:

12 Based on the presentation given by Patricio Benalcázar, CRS Ecuador, at ASOCAM’s Seminar. 13 CARE (2001). Promoting Policy Change. Advocacy policies and guidelines. 14 WOLA-CEDPA. Handbook for facilitating advocacy processes & WOLA Facilitating a basic workshop of policy

advocacy

What is public policy influence?

Where does the policy influence initiative take place?

What is my position?

Introducing the methodology

Step Guiding questions

Facilitation Tools

23 Methodological synthesisCRS Methodology

Planning the Policy Influence Process

Who, how and when are decisions about the advocacy proposal taken?

Problem identification, analysis and prioritization

• The identification of the problem must be grounded on the organization’s vision of the ideal society, including its mission and strategic guidelines.

• Issues are stated on the basis of a problem (what), people affected by a problem (whom), and specific causes of the problem (why).

• Participants form groups in which they analyze the problem that has been selected by all participants. In order to identify the causes and consequences of the problem, each group uses the “problem tree”, applying two techniques: a brainstorm and a prioritization exercise.

• Each group prioritizes the causes of the problem, applying the following criteria:- The cause should be related to public policies- The group should be experiencing the cause - The cause shall raise its interest- The solution of the cause would clearly contributing to solve the

identified problem- Once the main problem cause has been outlined, a solution must

be identified• Groups present the results of their analysis and proposals for a solu-

tion. The facilitator facilitates a discussion, which should result in an agreement about the “best” solution.

• Once the best solution for the problem has been formulated or resta-ted in this phase, the three guiding key questions are presented.

• Participants form working groups, which answer the questions and formulate a sound policy influence proposal.

• Groups present and explain their proposals.• The facilitator facilitates a discussion about the strengths and weak-

nesses of each proposal. A participatory approach is used in order to reach an agreed and appropriate proposal.

• Participants discuss about the institutional and formal environment in which decisions about the policy proposal are made. Two questions are formulated: Who has the direct power to make the decision? How is the decision-making process?

• In order to answer the first question, participants write the names of all key actors related to the decision-making environment.

• To answer the second and third questions, participants analyze in a general debate the procedure for policy decision- step by step.

What is the problem?

Whom does it affect?

What are the causes of the problem?

Outlining the policy influence proposal

What is the policy influence objective?

Where does the decision-making process take place?

When should the influence objective be achieved?

Analyzing the decision-making environment

Who are the actors that have influence on decision-making?

Who is (according to their interests) an ally, an opponent or undecided?

Why do these persons have influence on the decision-maker?

• Participants make groups aimed at identifying allies, opponents and persons undecided with regards to the policy influence initiative. Three cards displaying these categories are placed on the whiteboard.

• Each group writes the names of the selected actors under one of these cards.

• Group work finishes and participants place actors in the “power map”.

• A general discussion takes place, in which the position of each actor in the power map is decided.

• An analysis about existing forces is conducted, in order to study the feasibility of the original proposal. Actors are prioritized according to their degree of influence.

Elaborating the Power Map –Channels of Influence

Step Guiding questions

Facilitation Tools

24 Introducción

What shall be done in order to carry out the strategies?

Conducting a Self-analysis

An analysis shall be conducted in order to identify the groups’ strengths and weaknesses.

The facilitator shall explain to all participants the importance of the SWOT technique and the need for an objective analysis so as to identify strengths, opportunities, weaknesses and threats related to the policy influence objec-tive. Additionally, the facilitator stresses the importance of taking advantage of strengths and opportunities and overcoming weaknesses and threats.

Each group presents the results of its analysis, taking into consideration that strengths and opportunities constitute internal factors whilst weaknesses and threats are external aspects.

The objective of the strategy is to find out how to convince the decision-maker, as well as how to motivate allies, neutralize opponents and persuade undecided actors.

Several strategies are available, as follows:

- Tactics for influencing: lobbying, writing letters, international pressure. - Mobilization strategies: demonstrations, gatherings, fairs, festivals- Articulation tactics: consolidating groups, commissions, etc. - Communication strategies: diffusing information and media advocacy

The facilitator prepares a panel which contains seven strategies. Working groups define a series of activities for each strategy/tactic. The results of group work are presented to all participants, emphasising in the importance of combining diverse strategies, as well as prioritizing some of the activities of the strategies.

Considering that the political environment is in constant evolution, the plan and timetable should be flexible. The plan should be elaborated in writing.

The plan should include one of the following activities:

1. Research that supports the proposal or a mapping of actors2. A strategy for strengthening the group that will conduct the initiative3. Persuasion and pressure on the decision-maker

The facilitator presents a panel that shows the concrete activities that the groups should perform for the policy influence initiative. Afterwards, the facilitator generates a debate about the nature and importance of each one of these tasks. Subsequently, an activity plan is elaborated, following the structure proposed by the moderator.

Which are the strengths, weaknesses, opportunities and threats?

Formulating Influence Tactics

How to influence decision-making?

Framing the Plan

Assessment Phase

Continuous Evaluation

Evaluation is a key element of policy influence. By means of evaluation, one gains knowledge about factors of success and failure . It is important to con-duct an impact assessment about the policy advocacy process at three levels:

1. The resolution of the stated problem by means of a public policy 2. The strengthening of civil society’3. The transformation of power relations and the promotion of democracy

and human rights

The evaluation matrix should contain the planned activities, the expected results, the achieved objectives and the explanations regarding the accom-plishment or non-accomplishment of expected results, as well as the resul-ting modifications of planned activities.

What has been achieved?

What has not been achieved and why?

Síntesis metodológicaMetodología de CRS

Step Guiding questions

Facilitation Tools

25 Methodological synthesis

Tool Matrix

Channels of Influence and Power Map

A tool used for finding out about the more relevant actors directly related to the policy influence initiative. It conveys information about their position, their allies, opponents and related undecided actors.

Information management is essential for this tool. Therefore, some research is highly recommended.

The power map is applicable to a concrete policy influence proposal. Therefore, the map can be modified at any time and should always be updated.

Actor Formal decisions on policies that the actor controls

Activities that may influence policies

Degree of influence on policies

Actor’s interests

Actor’s resources

Table of Criteria for selecting an policy influence topic

A useful tool for selecting policy topics and objectives, according to criteria defined by the group.

Criteria Topic 1 Topic 2 Topic 3

Relative contribution to the problem

Potential impact on a significant number of citizens

Probability of success

Possibility of working in coalitions

Potential risks

Likeliness of efficient advocacy by the organization

Worksheet for analyzing policies

Policy influence topics

Actors and institutions with political power

Analysis of policy environment

Summary of the analysis

Options for policy change

Matrix for self-analysis of the group conducting the advocacy initiative

Consists of a self-critical analysis of the strengths, expertise, internal and external relations, fields of action, and internal proce-dures of the organisation. Planning should be realistic so that the expected results can be successfully reached.

Our strengths

Our expertise

Internal relations

External relations

Fields of action

External influences

Some tools for planning the policy influence process

26

A good media strategy is a key input of any policy advocacy initiative, con-sidering that it strengthens all other tactics. The formulation of strategies for media advocacy requires a sound analysis, which should consider a series of factors and important varia-bles that will contribute to further precision and clarity.

There are several reasons for why the media are critical for policy influence initiatives, including:

• The media exerts a positive influence on policy formulators, on decision makers and on public opinion.

• The media can be used to educate population

• The media generates debate about topics of interest

• The media increases the visibility of civil society organizations

• The media increases the visibility of people reached by a policy or who work for policy changes

WOLA’s methodology for media advo-cacy consists of seven steps:

Method for outlining a communication strategy

To take into consideration

The main objective of a media strategy (within a policy influence initiative) is to gain access to media, to place the topic of the ini-tiative in the public agenda and to shape public opinion in favour of the proposal.

The definition of target audiences for press work generally includes the identification of the policy decision-maker as well as other actors who have influence on the decision-maker.

The development of messages tailored to influence one or more audiences, according to their cultural characteristics. Message formulation: a concise statement related to the policy influence proposal, which synthesizes the critical information that must be conveyed.

The analysis of accessible media for the group and subsequent grouping and prioritization of media according to several characte-ristics: outreach, cost, topics included in their agenda, etc.

Press releases, meetings with media representatives, telephon calls to journalists, radio messages, T.V. spots, newsletters, etc. Mechanisms include:

- Asking media to provide access to media outlets

- Claiming space in the media

- Paying for media outlets

The Plan should include the following information: the decision-maker, timetable, media strategy objectives, planned tactics, acti-vities to be carried out, expected outcomes, responsible persons, costs and available resources.

• Assessment of the Activities (whether activities have been accomplished and have achieved the expected results)

• Assessment of the Media strategy t (regarding the planned objectives of the advocacy initiative)

• Policy achievements (concrete results in public policy)

Steps

1 Definition of the ojectives of the media strategy

2Identifi-cation

of the target audiences to be reached

3Formulation of the message

4Media analysis and

prioritization

6Framing the Activity

Plan

7 Continuous

Evaluation

5 Activities to gain access

to the media

27 Methodological synthesisTools for Framing the Media Plan

Tools Matrix

Media analysis and prioritization

Analysis of accessible media and subsequent grouping and prioritization of media accor-ding to several characteristics.

Media Outreach (regar-ding the target audience)

Topics on the Media Agenda

Cost Allies / Opponents / Undecided Actors

Operates at Local / National / International Level

Analysis of media outlets

The internal structure of each selected media should be analyzed, including the identifica-tion of key journalists that can influence the press agenda.

Media Owners Interests that media represent

Target audiences to be reached

Key journalists

Position Contact Data

Written press

Radio

T.V.

Media Plan Our policy influence initiative:

The target decision-maker:

Objectives of the media strategy:

Deadline:

Activity plan:

Media Activity Expected outcomes

Deadline Responsible person

Costs & Resources

Matrix for self-analysis of the group conducting the advocacy initiative

Consists of a self-critical analysis of the strengths, expertise, internal and external relations, fields of action, and internal proce-dures of the organisation. Planning should be realistic so that the expected results can be successfully reached.

Our strenghts

Our expertise

Internal relations

External relations

Fields of action

External influences

28 Media Advocacy Tools

A press release clearly explains the main topic to be analyzed and it is written as a report so as to facilitate its understanding.

• It uses printed paper with ample margins.• It should say “FOR IMMEDIATE DISTRIBUTION” if

it must be published the same day or the following one

• Contact information should be included in case additional information is needed

• It should try to capture journalists’ attention from the first line of the document

• It should use simple and clear language• Critical information should be included in the first

paragraph• The document should clearly answer to the ques-

tions: who, what, when, why and where• It should present concrete data or statistics that

support the group’s points of view• Press releases of 1 to 2 pages are most effective

Press releases

A meeting organized by your associa-tion, in which presenters will inform the media about important issues.

• When choosing the day of the press conference, you must make sure that it is not a holiday and verify if other press conferences will take place on the same day

• Send the invitation to the press two or three days before the event

• Designate a person in charge of welcoming journa-lists and giving them the prepared materials

• Remember to register the contact information of journalists who attended the meeting

• Guarantee a maximum of three presenters who should be sufficiently knowledgeable about the topic

• A press conference should not last more than 30 or 45 minutes

• Reserve some time at the end of the conference for additional questions

• Send press folders to journalists who could not attend the meeting

Press conference

Press folders include information sheets about the topic so that journa-lists learn about the policy initiative

A press folder presents a summary, a report, annexes, frequently asked questions, photocopies of newspaper articles, graphs, pictures and contact information.

Press Folders

A press bulletin is used to inform media about an event that your association is organizing,

including the place, the date and hour, as well as the names of presenters and a summary about the issues that will be addressed during the event.

Your association may write a letter to a media representative, in which they are asked to publish a news article about your initiative.

• In not more than two pages, it must be explained why your initiative should be considered a news item.

• The main ideas should be included in the first paragraph, using short sentences. Paragraphs should also be short and attractive. The second paragraph should explain in more detail the argu-ments that support your initiative and why the topic should be considered an important public issue. Presentation letters should also contain contact information, for providing further details.

• One week after sending the letter, you should make follow-up calls in order to verify if media is interes-ted in publishing the news. You may update data included in the letter when making the call.

Presentation Letters

Source: Summaries prepared by L.Ocón, from WOLA methodology, for ASOCAM Latin American Seminar

PressBulletin

29

Essays written by invited authors, about topics of public interest. These articles are aimed at calling the attention of a broader audience to a particular issue.

• Before calling the newspaper, the article should be ready to be published

• The article should not be sent to other newspapers before the first one has confirmed if they will publish the article or not.

• Write the article using simple language and not more than 750 words. Try to reduce your main statement to one sentence. Include all arguments that support your thesis, even statistical information.

• Propose solutions, not only problems.

Editorial & Opinion

articles

Editorialists determine the guidelines for writing editorials and opinion articles in newspapers. Therefore, your association should ask for a meeting with Editorial Committees.

• When preparing this meeting, your association should: a. Designate a presenter who is sufficiently preparedb. Prepare information sheets containing useful data for

the Editorial Committee • During the meeting, your association should present its

position about a topic, as if the Committee didn’t have previous knowledge about the topic.

• Remember to thank the Committee for giving time to your association. Consider establishing further contact with a member of the Committee, in case further infor-mation is needed.

Meetings of the Editorial Committee

These letters are written as a res-ponse to a recent article, news item or report.

• Letters to the Editor are a good opportunity to convey your opinion about a topic to a broader audience, for clarifying information published in an article or for informing the newspaper’s readership about your association.

• Letters should have a maximum length of 200 words. They should also include your name, title and the name of the association that you represent.

Letters to the Editor

ASOCAM (2006). “¿Cómo actores sociales inciden en políticas públicas?” (How do social actors influence public policies?) Memorias del IX Seminario Taller Latinoamericano ASOCAM. Cochabamba, Bolivia.

Benalcázar, Patricio. (2006). “Incidencia Política: Estrategia, Metodología y Herramientas” (Policy Advocacy: Strategy, Methology and Tools). Seminario –Taller de ASOCAM. Área de Sociedad Civil de CRS-Ecuador. Cochabamba, Bolivia.

CARE (2001). Promoviendo el cambio de políticas. Guías y herramientas para la incidencia política (Promoting Policy Change. Advocacy policies and guidelines.). Atlanta, USA.

Cifra, Jordi (1998). Lobbying, cómo influir eficazmente en las decisiones de las instituciones públicas. (Lobbying: how to efficiently influence public ins-titutions decision-making) Ediciones Gestión. Barcelona, España.

http//:www.wikipedia.org

Ocón (2006). “Reflexión sobre la aplicación de métodos” (An analysis about advo-cacy methods application). Seminario –Taller de ASOCAM. Cochabamba, Bolivia.

Prats i Catalá, Joan (2005). Las transfor-maciones de las administraciones públicas de nuestros tiempos (Transformations of modern public administrations). Institut Internacional de Governabilitat de Catalunya, Barcelona, España.McKinley, Andrés. CRS (2002). Facilitando un taller básico de incidencia política (Facilitating a basic workshop of policy advocacy). El Salvador.

WOLA-CEDPA (2005). Manual para la facilitación de procesos de incidencia política. (Handbook for facilitating advocacy processes) Washington, USA.

Bibliography

30

Rubén Maldonado AGRECOL Andes

Carlos Soria AOS/Padem

Antero Maraz ATICA

Alberto Patiño ATICA

Vladimir Ovando Villa Serrano

Justino Loayza Villa Serrano

Ana Virginia Heredia Cosude La Paz

Marylaure Créttaz Intercooperation

Javier Zubieta CONCERTAR

Oscar Loayza CONCERTAR

Alfonso Casilla Tito Asociación Regional de Manejadores de Vicuñas de Apolobamba

Ana Laura Durán Coordinadora del Agua

Grissel Bolivar PROMIC

Andrés Melgarejo Municipio de Tiquipaya

Policarpio Quiroz PROMIC-CTB Vinto

Tania Tapia SNV

Regula Chávez Swisscontact / Programa FOMEM

Cristina Lipa CIPCA

María Dolores Ocón Consultora

Manuel Antonio Martínez

PASOLAC

Francisco Mendoza Consejo Indígena Municipal de Guajiquiro y Alcaldía Municipal

Julio López Montes PROMIPAC

Raúl Meza Comisión Nacional de la Industria Panificadora

José Luis Sandino Cosude Managua

Rodolfo Hernández Oficina de Coordinación de La Habana

Pedro Vicente Vaca Interjuntas Chimborazo

Fernando Burbano Consejo Provincial de Carchi (PODER)

Lauro Pesantez Consorcio de Juntas Parroquiales de Cuenca

Mario Saquipay Consorcio de Juntas Parroquiales de Cuenca

Jorge Escobar Consorcio de Juntas Parroquiales de Cuenca

Luis Heredia Cosude Quito

Pamela Espinoza Cosude Quito

Patricio Benalcázar Alarcón

CRS

ParticipantsOf ASOCAM’s Latin American Seminar 2006, Bolivia

ASOCAM thanks the following for their valuable contributions:

Vladimir González Fundación NATURA

Raúl Toalombo CONPAPA (Fortipapa)

Manuel Ullauri Consejo Provincial de Tungurahua

Geovanny Carrillo IC-Andes

Fabián Mostesdeoca Papa Andina / INIAP

Fernando Terán Fiallos

PDDL

Marcela Andino PDDL

Rodrigo Quezada Mancomunidad del Río Jubones (PDDL)

Fernando Salazar CONAJUPARE (PDDL)

Lucy Montalvo P. VECO

Galo Medina ECOBONA

Pablo Iturralde Consultor

Roschi, Stéphanie IC Mali, Programa Jekasy

Kelvy Novillo Consejo Provincial de Chimborazo

Artemio Pérez Pereira APODER

Eduardo Puntriano Ríos

APODER

Néstor Mendoza REMURPE (Apoder)

Eduardo Alberto Barzola Farfán

REMURPE (Apoder)

Carola Amezaga Rodriguez

APOMIPE

Mario Chuquimango MINKA

José Ventura COSUDE Lima

Victoria Núñez Rivera GAMA

Guillermo Medina Cruz

GAMA

Mariela Mejía MASAL

Juan Ludeña Mesa Temática de Apicultura de Apurímac (Masal)

Pedro Urday CAPAC Perú

Giancarlo de Picciotto COSUDE

Wendy Rivera IC-Asocam

Philippe de Rham ASOCAM

Yasmin Jalil ASOCAM

Lorena Mancero ASOCAM

Pierre Cordey iC

31 Participants

Patricio Benalcázar CRS Ecuador

Luis Heredia Oficina de Coordinación de COSUDE - Quito

Pamela Espinosa Oficina de Coordinación de COSUDE - Quito

Galo Medina Programa Ecobona - INTERCOOPERATION

Juan Carlos Romero Programa Ecobona - INTERCOOPERATION

Geovanny Carrillo Delegación INTERCOOPERATION ANDES

William Cifuentes Delegación INTERCOOPERATION ANDES

Jorge Acosta OXFAM/INTERMON

Fernando Terán Proyecto PDDL - INTERCOOPERATION

Patricio Crespo Proyecto PDDL - INTERCOOPERATION

Byron Jaramillo Proyecto PODER - INTERCOOPERATION

Carlos Zambrano Plataforma Ruralter

Andrés Dueñas Plan Internacional

Roberto Guerrero Plan Internacional

Cecilia Mantilla SNV

Gabriela Espinosa Delegación INTERCOOPERATION ANDES

Philippe de Rham ASOCAM

Yasmín Jalil ASOCAM

Lorena Mancero ASOCAM

Of the Validation Workshop (Ecuador, 2006)

32

ASOCAM, Knowledge Management LatinAmerican Platform, is a network of 50 development organizations and projects, located in 7 countries of the region.

ASOCAM promotes collaborative mechanisms for mutual learning and knowledge generation, from field experiences. Results of these processes are published in different communi-cational products, which present approaches and guidelines

in key topics of rural development, in order to strengthen and enrich institutional practices.

Síntesis de Orientaciones sobre Incidencia Política - PPT

33 ASOCAM publications in the topic(available in Spanish)

Policy Advocacy Publications Compilation (CD)

Presents a complete biblio-graphic

compilation about policy

advocacy: more than a hundred publica-tions, including introduc-tory documents, methodo-logies, systematized experiences, as well as an inventory of institutions currently working in the topic. Each document presents an abstract.

How do social actors influence public poli-cies? ASOCAM Seminar Report (PDF)

Presents a synthesis of the presentations, field visits and general debates of ASOCAM’s 9th Latin American Workshop in the topic, held in Cochabamba, Bolivia, in May 2006.

How do social actors influence public poli-cies? ASOCAM Seminar Report (CD)

Contains all the digital material presen-

ted during ASOCAM’s

9th Latin American Workshop.

Policy Advocacy Guidelines – A Synthesis (Power Point Presentation)

Presentation which synthesizes ASOCAM’s Guidelines in the topic, aimed at improving organization’s practices. It is intended to be a useful didactic material.

34 Introducción

Series “Reflections and Lessons Learned”

How do social actorsinfluence public

policies?