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Strategic Planning for Policy
Development or Change in NGOs
By: Dr. Jeff Sheldon
Applied Research, Evaluation, and Learning | Technical Assistance | Community Development
What we’ll be covering today…
• NGO rights under Iranian law.
• A quick review: what do we mean by policy?
• The reasons why a policy might need to be developed or changed.
• Why you might want to develop new or change existing policies.
• Who should work at developing or changing policies?
• Who should be involved in a policy planning group?
• A few tips for both strategic and operational planning meetings.
• Timing is everything: when do you start planning?
• How do you develop or change policies?
• Preparation (i.e., Research) and Planning are intertwined.
• Preparation.
• Monitoring & evaluating policy development or change.
• When it’s time to stop policy development or policy change efforts.
• An overview of planning, generally speaking.
• VMOSÄ: Vision, Mission, Objectives, Strategic plan, & Action plan.
• Overview of strategic & operational planning.
• Overview of participatory strategic planning.
• How a Kenyan community strategically planned new policy.
• Next time…
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 2
NGO rights under Iranian Law
• Your right to plan new policies or policy change:
• The Majlis and successive presidential administrations have created regulations specifying the
rights provided to NGOs.
• The 2005 directive: Regulations for the Establishment and Activities of NGOs established and
continues your right to plan policy development or policy change.
• What rights do the regulations provide to NGOs in Iran with operating licenses?
• The right to provide consultation to government entities, including for the drafting of relevant laws.
• The right to organize marches and demonstrations in order to advocate their positions.
• The right to take legal action in pursuit of their objectives.
• The right to own property.
• The eligibility to apply for government grants.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 3
A quick review: what do we mean by policy?
• A policy is a deliberate system of principles to guide decisions and achieve rational outcomes.
• A policy is a statement of intent, and is implemented as a procedure , protocol, or law.
• Policies are generally made and adopted by a governance body including:
• Official government policies.
• Unofficial government policy.
• Policies made by government bureaucracies and public services.
• Policies of foundations and other private funders.
• Policies of businesses.
• Policies of the media.
• Policies adopted by the community as a whole.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 4
The reasons why a policy needs to be developed or changed
• Basic needs are not being met (e.g., people are not receiving the health care they need).
• People are not being treated fairly (e.g., women or people with disabilities do not have access to
public places).
• Resources are distributed unfairly (e.g., educational services are limited in neighborhoods of
concentrated poverty).
• Current policies or laws are not enforced or effective (e.g., the current laws on clean water are
neither enforced nor effective).
• Proposed changes in policies or laws would be harmful (e.g., A plan to eliminate flextime in a
large business would reduce parents' ability to be with their children).
• Existing or emerging conditions pose a threat to public health, safety, education, or well-being
(e.g., new threats from terrorist activity).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 5
Why you might want to develop new or change existing policies
• A step on the road to changing social conditions and real community development.
• To start a community conversation about an important issue(s).
• It is easier than fighting the same battles over and over again (i.e., to resolve an issue).
• It's the difference between sweeping problems under the rug, and cleaning them up so they
don't appear again.
• Saves you from constantly having to repeat your efforts.
• Over the long term, actually changes people's minds and attitudes.
• To have an effect on future generations.
• It's usually the shortest road to permanent social change.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 6
Who should work at developing or changing policies?
• Organizations working with those affected by the policies in question, can all be effective in the
right circumstances
• Coalitions.
• Non-Government Organizations that work with an issue.
• Grass roots community initiatives.
• Concerned professional groups with interest in the issue.
• Concerned and determined individuals.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 7
Who should be involved in a policy planning group?
• Individuals directly impacted by or likely to be impacted by the issue.
• Influential people from groups affected by the issue.
• Individuals interested in working on developing new or changing existing policy.
• Women, people with disabilities, people who have been disenfranchised or marginalized in prior
planning processes, et al.
• Individuals in a position of authority (agents) who could help develop and promote a new
policy.
• Like-minded community partners interested in resolving the issue.
• Members of grassroots organizations.
• Members of ethnic and cultural groups.
• Different sectors of the community: media, the business community, religious groups, schools,
youth organizations, social service organizations, health organizations, et al.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 8
A few tips for both strategic and operational planning meetings
• Be inclusive by making sure everyone’s voice is heard and contributions acknowledged.
• Create a safe, comfortable environment.
• Prepare for possible conflict.
• Be efficient; don’t waste people’s time.
• Record what happens.
• Communicate the outcomes of planning meetings.
• Support and encourage planning group members.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 9
Timing is everything: when do you start planning?
• There are particular times when the political or psychological climate is right for developing or
changing policies increasing the likelihood of success:
• During election years.
• Something important is at stake, either for policymakers or for you.
• Government, funder, or other organizational policies are blocking beneficial interventions or
necessary fundamental community change.
• When the public has become fed up with the policies of a particular institution and that entity
might be convinced to develop or change its policies out of self-interest.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 10
Timing is everything: when do you start planning? Cont’d…
• There are particular times when the political or psychological climate is right for developing or
changing policies increasing the likelihood of success:
• When there's a deadline for adding input to or making a policy decision.
• When the issue first arises.
• When an issue is already under discussion, especially for the first time.
• When an issue is at crisis point and it's clear the current policy isn't working.
• When a particular event or circumstance puts your target population at risk.
• When public opinion has reached critical mass and is behind you.
• When there is a specific debate about an issue.
• When a new publication draw attention to an issue.
• When new information changes perceptions about an issue.
• When the issue is brought to public attention.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 11
How do you develop or change policies?
• All policy development or change starts with someone’s assumption that the current situation is
unacceptable due to a lack of a policy or the current policy is ineffective.
• Policy development or change is difficult and time-consuming, and it may look discouraging.
• Developing or changing policies is one of the most difficult, but most effective means of changing
your community or society for the better.
• With work and dedication, new policy development or policy change is possible - it happens all the
time, usually because (extra)ordinary people care enough to persist.
• Policy development and change requires relationships with policy makers and those who can
influence policy makers.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 12
How do you develop or change policies? Cont’d…
• Based on knowledge about the issue or problem and who it effects, specify the type and context
of policies to be developed or changed at the most logical level (i.e., city, province, tribal, or
national):
• Public laws and ordinances (e.g., a local ordinance to assure shelter for all who need it).
• Regulatory policies (e.g., a law that seeks to protect water quality and impose penalties for
waste or toxins flowing into water sources).
• Executive orders from elected officials.
• Business policies and organizational rules and bylaws (including NGOs).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 13
How do you develop or change policies? Cont’d…
• The fundamental guidelines for developing new or changing existing policies are the 8 P's:
• Preparation-conducting research and becoming expert on both the issue and existing policies (as
applicable).
• Planning-using participatory strategic and operational planning processes.
• Personal contact -with policy makers, other change agents, and anyone else you have to deal with.
• Pulse of the community-knowing what the community's attitudes are, what citizens will accept,
where to start in order to be successful.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 14
How do you develop or change policies? Cont’d…
• The fundamental guidelines for developing new or changing existing policies are the 8 P's:
• Positivism-framing policy changes and their outcomes in a positive light.
• Participation-including everyone affected by or concerned with the issue in planning and
implementing policy change.
• Publicity-for your effort in general and for your suggested policy changes - and the reasons for
them - in particular.
• Persistence-monitoring and evaluating your actions, and keeping at it for as long as necessary.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 15
Preparation (i.e., Research) and Planning are intertwined
• As you learned in Topic Three, to develop new or change existing policy, and to do it well you have
to prepare by conducting research.
• To reiterate what you already know, you conduct research to get to know as much as possible
about the issue and, as applicable, existing policies.
• It is unwise to plan without having conduct research, but planning also includes more research.
• New information may keep coming to light in the course of research and planning.
• Research and planning are ongoing throughout a period of policy development or change.
• You should expect to change your overall plans, your strategy, or your tactics as you learn more
about the community, your opponents, the issue, and anything that might effect planning.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 16
Preparation includes…
• Studying the issue or problem a new policy or a policy change would affect (e.g., how water quality
affects children's health outcomes).
• Gathering data on public opinion (e.g., survey local households).
• Documenting complaints of those affected (e.g., ask unemployed residents about barriers to
getting new jobs).
• Defining the issue in neutral terms.
• Outlining the facts, myths, and values associated with the issue.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 17
Preparation includes…
• Finding out:
• The results of previous research about the issue or problem .
• How similar issues have been resolved through policy decisions in other places.
• Who, how, and the extent to which the community is affected by the issue.
• The perceived “ideal” situation for those affected by the issue.
• What people believe is perpetuating the issue, true or not.
• The actions people think need to be taken to mitigate or resolve the issue.
• Thinking about possible policy solutions to the issue, whether new policy or changed policy.
• Requesting accountability from policy-makers.
• Demonstrating the benefits of a new or changed policy.
• Speaking up about how an issue affects you or your community.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 18
In brief: monitoring & evaluating policy development or change
• Clearly state what indicators will signify "success."
• Describe how measures of success will be obtained (e.g., records; interviews with those
affected, etc.).
• Describe how data will be analyzed.
• Describe how the planning group will make sense of the results.
• Describe how those affected by the issue will engage in interpreting information.
• Describe how the information will be used to develop a new or improve an existing policy.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 19
When it’s time to stop policy development or policy change efforts
• If you have been unsuccessful at negotiating a favorable new policy, policy change, or
ensuring implementation of that new policy or policy change.
• If the results of monitoring and evaluation indicate either problems in implementation or
results (i.e., the issue is not being resolved).
• If opposition is significant:
• Postpone action.
• Mediate differences with opponents.
• Make a deal or a compromise to achieve part of your policy change goal.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 20
An overview of planning, generally speaking
Planning is a method of trying to ensure that the resources available now and in the future
are used in the most efficient way to obtain explicit objectives.
• The five steps in planning: VMOSA
• Vision
• Mission
• Objectives
• Strategic Plans
• Action (Operational) Plans
• Why would you use VMOSA?
• To give your organization structure and direction.
• To help build consensus about what to do and how to do it.
• To focus your organization's efforts.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 21
VMOSA
• How would you use VMOSA?
• As a practical strategic planning tool.
• As a guide that moves you from a vision for the future → actions → outcomes.
• As an ongoing process.
• When you would use VMOSA?
• If you’re a new organization.
• If you have a new initiative or project.
• If you’re in a new phase of an ongoing effort.
• If you want to breathe life into an older initiative..
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 22
Vision and Mission
• Vision statements for future ideal conditions in your community
• "Healthy adolescents"
• "Healthy babies"
• "Caring parents"
• "A community of hope"
• "Safe sex"
• "Teen power"
• "Caring relationships“
• Mission: what you want to accomplish
• “We want to build a healthy community through a comprehensive initiative that promotes
jobs, education, and housing.”
• “We want to promote adolescent health and development through community support and
education about and training in prevention.”
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 23
Objectives
• Objectives: What will be accomplished and when you want it to be accomplished
• “By 2020 we will increase the number of adults who report caring activities with a child not
their own by 40%.”
• “By 2025 we will want to decrease the number of reported cases of child abuse and neglect
by 25%.”
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 24
Strategic Plans & Action (Operational) Plans
• Strategic plans: how you will reach your objectives
• “By enhancing experiences and competence.”
• “By providing education and training.”
• “By removing barriers.”
• “By increasing support and resources.”
• “By making outcomes matter.”
• Action (operational) plans: who will do what, by when, at what costs
• Action steps (what will be done).
• People responsible (by whom).
• Date completed (by when).
• Resources required (costs).
• Collaborators (who should know).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 25
Overview of strategic & operational planning
• What is the difference between strategic and operational (action) planning?
• The operational plans put the strategic plan into action.
• Strategic planning refers to a long-term vision, goals, and objectives.
• Operational planning is managerial and shorter term.
• Strategic planning usually has a 5–10 year horizon, sometimes even longer.
• Operational planning often has a one-year time horizon; the time frame is usually the same as
the budgeting cycle of the organization.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 26
Overview of strategic & operational planning cont’d…
• What is the difference between strategic and operational (action) planning?
• Operational planning deals with day-to-day implementation.
• Strategic plans, once completed and agreed upon, tend to stay relatively constant throughout
their agreed term.
• Operational plans are dynamic, open to change if situations change or targets are not being
met, and are revised if circumstances change (e.g., an unexpected epidemic or a natural
disaster).
• Strategic planning is essential to ensure that developing or changing policies is necessary.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 27
Overview of participatory strategic planning
• Involves and engages as many people in the community as possible especially women, people with
disabilities, people who have been marginalized or disenfranchised from past planning, etc.
• Involves representation from all groups affected by or concerned with the issue.
• Encourages community ownership and leadership of the planning effort.
• Makes sure a wide range of ideas and information are considered in developing the strategic plan.
• Involves and engages key people particularly - opinion leaders, trusted community figures.
• Provides credibility to your organization and policy.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 28
Overview of participatory strategic planning cont’d…
• Participatory strategic planning takes time and effort, and may result in changing ideas
about the issue or proposed policy (s):
• It will pay huge dividends in the long run.
• You should try to make the lives of participants as easy as possible.
• Do what you say you'll do, completely, and on time.
• Be unfailingly pleasant and cooperative, even in difficult situations.
• If it's clear you're doing your best to be helpful, participants will likely return the favor.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 29
Overview of participatory strategic planning cont’d…
• Developing relationships means getting to know people to personalize the experience of
working together:
• Personal relationships are the key to developing or changing policy.
• All relationships should be reciprocal .
• Your contacts might develop into friends, or at least friendly acquaintances.
• Some relationships will remain collegial, but they should never be exploitative,; other people
should never be only a means to get what you want.
• If you concentrate on the relationship itself, its benefits will come naturally.
• The ideal new policy or policy change agents are broad-based coalitions
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 30
Overview of participatory strategic planning cont’d…
• Be aware that potential allies could also be opponents!
• Tactics used by opponents of policy development or change:
• Deflecting (e.g., this issue is not our responsibility).
• Delaying (e.g., long wait to review the plan).
• Denying (e.g., there is no real issue).
• Discounting (e.g., the issue not as bad as portrayed).
• Deceiving (e.g., claiming no data available on the issue).
• Dividing (e.g., try to get some planning group members to oppose other members).
• Dulcifying or appeasing (e.g., offer a less effective alternative).
• Discrediting (e.g., mischaracterizing or falsely labeling policy advocates).
• Destroying (e.g., effort to harm policy advocates through intimidation or worse).
• Dealing (e.g., encourage acceptance of a less effective alternative).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 31
Overview of participatory strategic planning cont’d…
• Find likely allies who will support your policy development or change efforts.
• Develop personal relationships with, for example:
• Members of interest groups affected by the issue.
• Individuals/organizations who share common values or engaged in related efforts.
• Policy makers, advocates, and lobbyists.
• Elected and appointed officials or their staff.
• Opinion leaders.
• Special interest groups.
• Clerics.
• Directors at other NGOs with a record of supporting related issues.
• The broadcast and print media.
• Aid and development agencies.
• Anyone who can provide the support you will need (e.g., sharing resources or financial
support).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 32
Overview of participatory strategic planning cont’d…
• Identify agents of new policy development or policy change efforts:
1. Determine who has the ability to develop or change policy.
2. Determine who can influence policymakers to develop or change a policy.
• Know with whom are they influential.
• Know their current interests.
• Know the past issues important to them.
• Know to whom they answer.
• Know how they achieved their position and who they need continued support from to
maintain their position
• Know why they should support your proposed policy or policy change.
• Know why they would work with you to accomplish your goal.
• Know how they benefit from their involvement.
• Know how the issue affects them or those they care about.
• Know how their support could (potentially) cost them.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 33
Overview of participatory strategic planning cont’d…
• How will you influence policy development or change and the broad goals you need to
achieve to be effective?
• Bring the issue to the attention of the public and decision makers.
• Frame the issues and new policy or change in terms of policy options.
• Influence the development of a policy or policy change.
• Assure effective implementation of new or changed policies.
• Assess the effects of new or changed policies and adjust as needed.
• How will you make your presence felt?
• Criticize unfavorable actions and express opposition publicly.
• Inform those responsible for a policy of its negative consequences.
• Establish an alternative program or system.
• Organize public demonstrations.
• File a formal complaint.
• Arrange a media exposé
• Initiate legal action
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 34
Overview of participatory strategic planning cont’d…
• Educate agents of policy development or change:
• Make brief presentations at local forums to increase the visibility of your issue to the public.
• Prepare fact sheets about the issue the policy development or change is to effect.
• Educate decision makers and their staff to present fact sheets and local survey results.
• Provide constructive feedback by proposing alternative policies.
• Give personal compliments, and public support.
• Personal connections will:
• Get your phone calls returned.
• Make your voice heard.
• Keep arguments civil.
• Maintain your credibility.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 35
Overview of participatory strategic planning cont’d…
• Consider the ways in which you can counter your opponents:
• Understand your opponents and their perspective/goal (s).
• Turn the opponents' discrediting tactics into an issue.
• Set the agenda or reframe the issue (e.g., not freedom from government, but freedom from
poverty).
• Publicly state your opponent's strategy (e.g., they are trying to deny the problem and pass
responsibility off to others).
• Keep opponents off balance (e.g., raise new charges against them).
• Learn from the past (e.g., understand the response to the proposed change elsewhere).
• Be willing to compromise (e.g., accept the best possible alternative).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 36
Overview of participatory strategic planning cont’d…
• Identify resources and assets to be used for new policy development or policy change:
• The number and kind of people who are available and committed to working on developing
new policy or changing an ineffective policy to resolve a problem or issue
• The financial resources you anticipate you might need.
• The financial resources that are currently available and their source.
• The communication technologies, facilities, and other material resources available.
• Additional information and support you might need.
• Other assets that can be used to support the effort including relationships with influential
policymakers and those who have spear headed similar efforts.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 37
Overview of participatory strategic planning cont’d…
• Review whether the planned policy goals and strategies fit the situation:
•
• Consider whether they are timed well (i.e., is this a good time to develop or change policy?).
• Consider whether they use available resources and allies (i.e., does it take advantage of the
group's strengths? Engage its allies? Deter opponents?).
• Consider whether they fit the group's style (i.e., are group members comfortable with the
approach?).
• Consider whether they are flexible (i.e., do they permit adjustments with changing
situations?).
• Consider whether they are likely to work (i.e., does it resolve the issue?).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 38
How a Kenyan community strategically planned new policy
• The issue:
• Many homes in the Komo area of Kenya did not have toilets and most residents lived far
from public restrooms.
• Children often relieved themselves outdoors, creating unsanitary environments for others in
the area.
• The negative consequences:
• Residents, especially young children were suffering from diarrhea and other waterborne
illnesses including worms and polio; some residents have died due to contaminated drinking
water.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 39
How a Kenyan community strategically planned new policy
• The solution:
• Komo community members raised the issue of sanitation in the area.
• Komo community members proposed new policies to be created, implemented, and
enforced to ensure a clean environment for all.
• The outcome:
• The Komo community was instrumental in the development of new policies ensuring a
basic necessity (toilets) and a clean environment for residents in the area.
• The Komo community was able to influence key agents to help develop new policies.
• The Ministry of Public Health and Sanitation not only developed and put new policies into
place, but also elevated these policies as national policies in Kenya.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 40
How a Kenyan community strategically planned new policy
• Recognizing there was a sanitation issue, Komo residents convened an inclusive, diverse
policy planning group consisting of:
• Individuals impacted by poor sanitation and contaminated water.
• Individuals interested in working on new policy development.
• Women, people with disabilities, other disenfranchised populations, and individuals in the
community affected by the sanitation issue which the new policies would address.
• Individuals in a position of authority (agents) who could help develop and promote new
policies.
• Like-minded community partners interested in resolving the issue through policy
development.
• The planning group listed who was affected by the poor sanitary conditions:
• A large percentage of Komo residents, mainly children were at risk of suffering from
diarrheal illnesses, worms, polio, and potentially, death.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 41
How a Kenyan community strategically planned new policy
• The Komo planning group prepared for policy planning by studying the issue:
• Gathered prior research performed by the Ministry of Public Health and Sanitation and
other organizations concerned about sanitation and water quality in Komo.
• Used Community Health Workers’ home visits and observations to gather objective (i.e.,
factual) information about Komo’s sanitation issue.
• Gathered public opinion data and documented residents’ complaints about sanitation during
Community Dialogue Days using focus groups or surveys.
• Requested accountability from both community members and elected officials.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 42
How a Kenyan community strategically planned new policy
• The Komo planning group’s research, as the basis for policy development, found:
• During the rainy season there was an increase in waterborne illnesses.
• Residents believed it should be illegal to relieve oneself in the environment.
• Residents believed there should be serious consequences for those who pose a threat to the
environment and other residents.
• Residents believed everyone must have a bathroom in their home or close to where they live,
work, and play.
• Residents believed there were factors which perpetuated the sanitation problem.
• There were physical barriers (i.e., long distances) to public bathrooms.
• It was more convenient for people to go behind the bushes (the response cost was less).
• People did not have a history of using bathrooms.
• People had limited knowledge of and skills in sanitation.
• Children should be taught to use the bathroom regularly and be rewarded for doing so.
• Adults should model using bathrooms correctly.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 43
How a Kenyan community strategically planned new policy
• The planning group based the need for a new policy on its research findings:
• Basic health sanitation practices were being ignored in Komo.
• Education about sanitation was limited in farm towns.
• Several of the laws on sanitation were not being enforced.
• Existing environmental conditions posed a threat to public health and safety.
• The planning group defined the issue in neutral terms and generated a short list of
possible policy related solutions based on knowledge about the issue and who it affected:
• The issue: there were too many children of local farmers who did not have access to
bathrooms.
• The planning group wanted a policy guaranteeing all children have a place to go to the
bathroom.
• The planning group wanted a policy assuring the correct use of bathrooms.
• The planning group wanted a policy fining those who do not use or misuse bathrooms.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 44
How a Kenyan community strategically planned new policy
• The planning group identified targets and outcomes of policy development:
• The primary targets of new policies were Komo residents, mainly the children.
• One new policy required the Ministry of Health to contribute financial aid to build
bathrooms.
• A second policy required Komo residents to correctly use bathrooms to keep a clean
environment.
• Komo residents decided that when policy became law:
• First-time violators must report to court and pay a fine.
• A repeat offender must pay two fine.
• A three-time offender would get jail time and an additional fine.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 45
How a Kenyan community strategically planned new policy
• The planning group identified potential allies of new policy development efforts:
• Members of the Komo community who were affected by the sanitation issue.
• Community Health Workers who promoted health in the area.
• Elected and appointed officials who could be contacted.
• Organizations who shared related efforts (e.g., WHO, APHIA Plus Kamili, USAID, et al.)
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 46
How a Kenyan community strategically planned new policy
• The planning group identified potential agents who could help in both policy
development and in getting the policy enacted into law:
• Community Health Workers -
• Link the Kenyan Ministry of Health and Sanitation to Komo residents.
• Health ambassadors who understand health information and health behaviors.
• Possess deep cultural knowledge of the people.
• Supportive of planning, implementation, and evaluation of local programs and policies.
• The area tribal Chief -
• Highly respected in society so his support was crucial.
• When the Chief speaks the community listens.
• Considered knowledgeable and always attending to the community’s needs
• Other agents of change identified were the Ministry of Public Health and Sanitation, and
other organizations which cared about the sanitation issue.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 47
How a Kenyan community strategically planned new policy
• The planning group discussed potential opponents of the policy development effort and
their possible tactics:
• Some Komo residents disagreed about the ways of approaching the sanitation issue, but this
was not direct opposition to policy development as everyone agreed policies pertaining to a
clean environment were needed.
• In tis case, it was unclear whether there were true opponents who might have resisted the
effort because of the consequences of the proposed policy.
• If there had been opponents their tactic might have been to deliberately delaying planning
and implementation of the policy; fortunately this did not happen.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 48
How a Kenyan community strategically planned new policy
• The planning group anticipated questions from potential opponents and had prepared
answers:
• Q: Why should people of influence support a new policy or policy change?
• A: This will make the environment healthier and improve health outcomes by preventing disease.
• A: Komo residents will be grateful and help them maintain their positions of influence.
• Q: How do Komo residents benefit?
• A: Diseases will be prevented.
• A; There will be an increase in Komo residents’ health and well-being, both adults and children.
• A: Cost-effectiveness because less time, effort, and money will be spent on hospital visits.
• A: Komo residents will be more productive in their daily activities.
• Q: How does the issue affect those in opposition or those they care about?
• A: Poor sanitation affects everyone because it increases the likelihood of waterborne illnesses.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 49
How a Kenyan community strategically planned new policy
• The planning group identified resources and assets that could be used to support new
policy development and implementation:
• 50 Community Health Workers committed to working on the sanitation issue by providing
education, skills training, support, etc. to Komo residents.
• Financial resources from the Kenyan Ministry of Public Health and Sanitation, USAID, and
APHIA Plus Kamili.
• Relationships with other organizations aiming to reduce this issue throughout Kenya.
• The planning group set the agenda for meeting with the Ministry of Public Health and
Sanitation by being clear about the policies it wanted developed:
• Protecting water quality and imposing penalties for waste or toxins to be introduced to the
local Ministry of Public Health & Sanitation in the Thika West District.
• Permit Community Health Workers to be mentors for local children.
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 50
How a Kenyan community strategically planned new policy
• The planning group was clear about how it wanted new policies to be implemented:
• The Ministry was to provide materials and support to build toilets where people live, work,
and play.
• The Ministry was to assure regulations for water safety and sanitation are strictly enforced.
• Community Health Workers were to educate community members about the cost and
benefits of water safety.
• Community Health Workers were to train the residents on how to use the restrooms.
• Community Health Workers were to communicate consequences for not using or misusing
toilets.
• The planning group determined that it would evaluate the new policy using one simple
metric:
• Whether policies to assure water safety and sanitation reduced instances of diarrheal diseases
and worms amongst children by comparing pre-policy data to post-policy data
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 51
Next time…
• Next time we’ll talk about operational (action) planning:
• Action steps (what will be done).
• People responsible (by whom).
• Date to be completed (by when).
• Resources required (costs).
• Collaborators (who should know/who should assist).
STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 52

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Lecture 9 strategic planning for iranian ng os - dr. jeff sheldon - march 2019

  • 1. Strategic Planning for Policy Development or Change in NGOs By: Dr. Jeff Sheldon Applied Research, Evaluation, and Learning | Technical Assistance | Community Development
  • 2. What we’ll be covering today… • NGO rights under Iranian law. • A quick review: what do we mean by policy? • The reasons why a policy might need to be developed or changed. • Why you might want to develop new or change existing policies. • Who should work at developing or changing policies? • Who should be involved in a policy planning group? • A few tips for both strategic and operational planning meetings. • Timing is everything: when do you start planning? • How do you develop or change policies? • Preparation (i.e., Research) and Planning are intertwined. • Preparation. • Monitoring & evaluating policy development or change. • When it’s time to stop policy development or policy change efforts. • An overview of planning, generally speaking. • VMOSÄ: Vision, Mission, Objectives, Strategic plan, & Action plan. • Overview of strategic & operational planning. • Overview of participatory strategic planning. • How a Kenyan community strategically planned new policy. • Next time… STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 2
  • 3. NGO rights under Iranian Law • Your right to plan new policies or policy change: • The Majlis and successive presidential administrations have created regulations specifying the rights provided to NGOs. • The 2005 directive: Regulations for the Establishment and Activities of NGOs established and continues your right to plan policy development or policy change. • What rights do the regulations provide to NGOs in Iran with operating licenses? • The right to provide consultation to government entities, including for the drafting of relevant laws. • The right to organize marches and demonstrations in order to advocate their positions. • The right to take legal action in pursuit of their objectives. • The right to own property. • The eligibility to apply for government grants. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 3
  • 4. A quick review: what do we mean by policy? • A policy is a deliberate system of principles to guide decisions and achieve rational outcomes. • A policy is a statement of intent, and is implemented as a procedure , protocol, or law. • Policies are generally made and adopted by a governance body including: • Official government policies. • Unofficial government policy. • Policies made by government bureaucracies and public services. • Policies of foundations and other private funders. • Policies of businesses. • Policies of the media. • Policies adopted by the community as a whole. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 4
  • 5. The reasons why a policy needs to be developed or changed • Basic needs are not being met (e.g., people are not receiving the health care they need). • People are not being treated fairly (e.g., women or people with disabilities do not have access to public places). • Resources are distributed unfairly (e.g., educational services are limited in neighborhoods of concentrated poverty). • Current policies or laws are not enforced or effective (e.g., the current laws on clean water are neither enforced nor effective). • Proposed changes in policies or laws would be harmful (e.g., A plan to eliminate flextime in a large business would reduce parents' ability to be with their children). • Existing or emerging conditions pose a threat to public health, safety, education, or well-being (e.g., new threats from terrorist activity). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 5
  • 6. Why you might want to develop new or change existing policies • A step on the road to changing social conditions and real community development. • To start a community conversation about an important issue(s). • It is easier than fighting the same battles over and over again (i.e., to resolve an issue). • It's the difference between sweeping problems under the rug, and cleaning them up so they don't appear again. • Saves you from constantly having to repeat your efforts. • Over the long term, actually changes people's minds and attitudes. • To have an effect on future generations. • It's usually the shortest road to permanent social change. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 6
  • 7. Who should work at developing or changing policies? • Organizations working with those affected by the policies in question, can all be effective in the right circumstances • Coalitions. • Non-Government Organizations that work with an issue. • Grass roots community initiatives. • Concerned professional groups with interest in the issue. • Concerned and determined individuals. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 7
  • 8. Who should be involved in a policy planning group? • Individuals directly impacted by or likely to be impacted by the issue. • Influential people from groups affected by the issue. • Individuals interested in working on developing new or changing existing policy. • Women, people with disabilities, people who have been disenfranchised or marginalized in prior planning processes, et al. • Individuals in a position of authority (agents) who could help develop and promote a new policy. • Like-minded community partners interested in resolving the issue. • Members of grassroots organizations. • Members of ethnic and cultural groups. • Different sectors of the community: media, the business community, religious groups, schools, youth organizations, social service organizations, health organizations, et al. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 8
  • 9. A few tips for both strategic and operational planning meetings • Be inclusive by making sure everyone’s voice is heard and contributions acknowledged. • Create a safe, comfortable environment. • Prepare for possible conflict. • Be efficient; don’t waste people’s time. • Record what happens. • Communicate the outcomes of planning meetings. • Support and encourage planning group members. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 9
  • 10. Timing is everything: when do you start planning? • There are particular times when the political or psychological climate is right for developing or changing policies increasing the likelihood of success: • During election years. • Something important is at stake, either for policymakers or for you. • Government, funder, or other organizational policies are blocking beneficial interventions or necessary fundamental community change. • When the public has become fed up with the policies of a particular institution and that entity might be convinced to develop or change its policies out of self-interest. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 10
  • 11. Timing is everything: when do you start planning? Cont’d… • There are particular times when the political or psychological climate is right for developing or changing policies increasing the likelihood of success: • When there's a deadline for adding input to or making a policy decision. • When the issue first arises. • When an issue is already under discussion, especially for the first time. • When an issue is at crisis point and it's clear the current policy isn't working. • When a particular event or circumstance puts your target population at risk. • When public opinion has reached critical mass and is behind you. • When there is a specific debate about an issue. • When a new publication draw attention to an issue. • When new information changes perceptions about an issue. • When the issue is brought to public attention. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 11
  • 12. How do you develop or change policies? • All policy development or change starts with someone’s assumption that the current situation is unacceptable due to a lack of a policy or the current policy is ineffective. • Policy development or change is difficult and time-consuming, and it may look discouraging. • Developing or changing policies is one of the most difficult, but most effective means of changing your community or society for the better. • With work and dedication, new policy development or policy change is possible - it happens all the time, usually because (extra)ordinary people care enough to persist. • Policy development and change requires relationships with policy makers and those who can influence policy makers. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 12
  • 13. How do you develop or change policies? Cont’d… • Based on knowledge about the issue or problem and who it effects, specify the type and context of policies to be developed or changed at the most logical level (i.e., city, province, tribal, or national): • Public laws and ordinances (e.g., a local ordinance to assure shelter for all who need it). • Regulatory policies (e.g., a law that seeks to protect water quality and impose penalties for waste or toxins flowing into water sources). • Executive orders from elected officials. • Business policies and organizational rules and bylaws (including NGOs). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 13
  • 14. How do you develop or change policies? Cont’d… • The fundamental guidelines for developing new or changing existing policies are the 8 P's: • Preparation-conducting research and becoming expert on both the issue and existing policies (as applicable). • Planning-using participatory strategic and operational planning processes. • Personal contact -with policy makers, other change agents, and anyone else you have to deal with. • Pulse of the community-knowing what the community's attitudes are, what citizens will accept, where to start in order to be successful. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 14
  • 15. How do you develop or change policies? Cont’d… • The fundamental guidelines for developing new or changing existing policies are the 8 P's: • Positivism-framing policy changes and their outcomes in a positive light. • Participation-including everyone affected by or concerned with the issue in planning and implementing policy change. • Publicity-for your effort in general and for your suggested policy changes - and the reasons for them - in particular. • Persistence-monitoring and evaluating your actions, and keeping at it for as long as necessary. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 15
  • 16. Preparation (i.e., Research) and Planning are intertwined • As you learned in Topic Three, to develop new or change existing policy, and to do it well you have to prepare by conducting research. • To reiterate what you already know, you conduct research to get to know as much as possible about the issue and, as applicable, existing policies. • It is unwise to plan without having conduct research, but planning also includes more research. • New information may keep coming to light in the course of research and planning. • Research and planning are ongoing throughout a period of policy development or change. • You should expect to change your overall plans, your strategy, or your tactics as you learn more about the community, your opponents, the issue, and anything that might effect planning. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 16
  • 17. Preparation includes… • Studying the issue or problem a new policy or a policy change would affect (e.g., how water quality affects children's health outcomes). • Gathering data on public opinion (e.g., survey local households). • Documenting complaints of those affected (e.g., ask unemployed residents about barriers to getting new jobs). • Defining the issue in neutral terms. • Outlining the facts, myths, and values associated with the issue. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 17
  • 18. Preparation includes… • Finding out: • The results of previous research about the issue or problem . • How similar issues have been resolved through policy decisions in other places. • Who, how, and the extent to which the community is affected by the issue. • The perceived “ideal” situation for those affected by the issue. • What people believe is perpetuating the issue, true or not. • The actions people think need to be taken to mitigate or resolve the issue. • Thinking about possible policy solutions to the issue, whether new policy or changed policy. • Requesting accountability from policy-makers. • Demonstrating the benefits of a new or changed policy. • Speaking up about how an issue affects you or your community. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 18
  • 19. In brief: monitoring & evaluating policy development or change • Clearly state what indicators will signify "success." • Describe how measures of success will be obtained (e.g., records; interviews with those affected, etc.). • Describe how data will be analyzed. • Describe how the planning group will make sense of the results. • Describe how those affected by the issue will engage in interpreting information. • Describe how the information will be used to develop a new or improve an existing policy. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 19
  • 20. When it’s time to stop policy development or policy change efforts • If you have been unsuccessful at negotiating a favorable new policy, policy change, or ensuring implementation of that new policy or policy change. • If the results of monitoring and evaluation indicate either problems in implementation or results (i.e., the issue is not being resolved). • If opposition is significant: • Postpone action. • Mediate differences with opponents. • Make a deal or a compromise to achieve part of your policy change goal. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 20
  • 21. An overview of planning, generally speaking Planning is a method of trying to ensure that the resources available now and in the future are used in the most efficient way to obtain explicit objectives. • The five steps in planning: VMOSA • Vision • Mission • Objectives • Strategic Plans • Action (Operational) Plans • Why would you use VMOSA? • To give your organization structure and direction. • To help build consensus about what to do and how to do it. • To focus your organization's efforts. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 21
  • 22. VMOSA • How would you use VMOSA? • As a practical strategic planning tool. • As a guide that moves you from a vision for the future → actions → outcomes. • As an ongoing process. • When you would use VMOSA? • If you’re a new organization. • If you have a new initiative or project. • If you’re in a new phase of an ongoing effort. • If you want to breathe life into an older initiative.. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 22
  • 23. Vision and Mission • Vision statements for future ideal conditions in your community • "Healthy adolescents" • "Healthy babies" • "Caring parents" • "A community of hope" • "Safe sex" • "Teen power" • "Caring relationships“ • Mission: what you want to accomplish • “We want to build a healthy community through a comprehensive initiative that promotes jobs, education, and housing.” • “We want to promote adolescent health and development through community support and education about and training in prevention.” STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 23
  • 24. Objectives • Objectives: What will be accomplished and when you want it to be accomplished • “By 2020 we will increase the number of adults who report caring activities with a child not their own by 40%.” • “By 2025 we will want to decrease the number of reported cases of child abuse and neglect by 25%.” STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 24
  • 25. Strategic Plans & Action (Operational) Plans • Strategic plans: how you will reach your objectives • “By enhancing experiences and competence.” • “By providing education and training.” • “By removing barriers.” • “By increasing support and resources.” • “By making outcomes matter.” • Action (operational) plans: who will do what, by when, at what costs • Action steps (what will be done). • People responsible (by whom). • Date completed (by when). • Resources required (costs). • Collaborators (who should know). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 25
  • 26. Overview of strategic & operational planning • What is the difference between strategic and operational (action) planning? • The operational plans put the strategic plan into action. • Strategic planning refers to a long-term vision, goals, and objectives. • Operational planning is managerial and shorter term. • Strategic planning usually has a 5–10 year horizon, sometimes even longer. • Operational planning often has a one-year time horizon; the time frame is usually the same as the budgeting cycle of the organization. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 26
  • 27. Overview of strategic & operational planning cont’d… • What is the difference between strategic and operational (action) planning? • Operational planning deals with day-to-day implementation. • Strategic plans, once completed and agreed upon, tend to stay relatively constant throughout their agreed term. • Operational plans are dynamic, open to change if situations change or targets are not being met, and are revised if circumstances change (e.g., an unexpected epidemic or a natural disaster). • Strategic planning is essential to ensure that developing or changing policies is necessary. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 27
  • 28. Overview of participatory strategic planning • Involves and engages as many people in the community as possible especially women, people with disabilities, people who have been marginalized or disenfranchised from past planning, etc. • Involves representation from all groups affected by or concerned with the issue. • Encourages community ownership and leadership of the planning effort. • Makes sure a wide range of ideas and information are considered in developing the strategic plan. • Involves and engages key people particularly - opinion leaders, trusted community figures. • Provides credibility to your organization and policy. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 28
  • 29. Overview of participatory strategic planning cont’d… • Participatory strategic planning takes time and effort, and may result in changing ideas about the issue or proposed policy (s): • It will pay huge dividends in the long run. • You should try to make the lives of participants as easy as possible. • Do what you say you'll do, completely, and on time. • Be unfailingly pleasant and cooperative, even in difficult situations. • If it's clear you're doing your best to be helpful, participants will likely return the favor. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 29
  • 30. Overview of participatory strategic planning cont’d… • Developing relationships means getting to know people to personalize the experience of working together: • Personal relationships are the key to developing or changing policy. • All relationships should be reciprocal . • Your contacts might develop into friends, or at least friendly acquaintances. • Some relationships will remain collegial, but they should never be exploitative,; other people should never be only a means to get what you want. • If you concentrate on the relationship itself, its benefits will come naturally. • The ideal new policy or policy change agents are broad-based coalitions STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 30
  • 31. Overview of participatory strategic planning cont’d… • Be aware that potential allies could also be opponents! • Tactics used by opponents of policy development or change: • Deflecting (e.g., this issue is not our responsibility). • Delaying (e.g., long wait to review the plan). • Denying (e.g., there is no real issue). • Discounting (e.g., the issue not as bad as portrayed). • Deceiving (e.g., claiming no data available on the issue). • Dividing (e.g., try to get some planning group members to oppose other members). • Dulcifying or appeasing (e.g., offer a less effective alternative). • Discrediting (e.g., mischaracterizing or falsely labeling policy advocates). • Destroying (e.g., effort to harm policy advocates through intimidation or worse). • Dealing (e.g., encourage acceptance of a less effective alternative). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 31
  • 32. Overview of participatory strategic planning cont’d… • Find likely allies who will support your policy development or change efforts. • Develop personal relationships with, for example: • Members of interest groups affected by the issue. • Individuals/organizations who share common values or engaged in related efforts. • Policy makers, advocates, and lobbyists. • Elected and appointed officials or their staff. • Opinion leaders. • Special interest groups. • Clerics. • Directors at other NGOs with a record of supporting related issues. • The broadcast and print media. • Aid and development agencies. • Anyone who can provide the support you will need (e.g., sharing resources or financial support). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 32
  • 33. Overview of participatory strategic planning cont’d… • Identify agents of new policy development or policy change efforts: 1. Determine who has the ability to develop or change policy. 2. Determine who can influence policymakers to develop or change a policy. • Know with whom are they influential. • Know their current interests. • Know the past issues important to them. • Know to whom they answer. • Know how they achieved their position and who they need continued support from to maintain their position • Know why they should support your proposed policy or policy change. • Know why they would work with you to accomplish your goal. • Know how they benefit from their involvement. • Know how the issue affects them or those they care about. • Know how their support could (potentially) cost them. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 33
  • 34. Overview of participatory strategic planning cont’d… • How will you influence policy development or change and the broad goals you need to achieve to be effective? • Bring the issue to the attention of the public and decision makers. • Frame the issues and new policy or change in terms of policy options. • Influence the development of a policy or policy change. • Assure effective implementation of new or changed policies. • Assess the effects of new or changed policies and adjust as needed. • How will you make your presence felt? • Criticize unfavorable actions and express opposition publicly. • Inform those responsible for a policy of its negative consequences. • Establish an alternative program or system. • Organize public demonstrations. • File a formal complaint. • Arrange a media exposé • Initiate legal action STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 34
  • 35. Overview of participatory strategic planning cont’d… • Educate agents of policy development or change: • Make brief presentations at local forums to increase the visibility of your issue to the public. • Prepare fact sheets about the issue the policy development or change is to effect. • Educate decision makers and their staff to present fact sheets and local survey results. • Provide constructive feedback by proposing alternative policies. • Give personal compliments, and public support. • Personal connections will: • Get your phone calls returned. • Make your voice heard. • Keep arguments civil. • Maintain your credibility. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 35
  • 36. Overview of participatory strategic planning cont’d… • Consider the ways in which you can counter your opponents: • Understand your opponents and their perspective/goal (s). • Turn the opponents' discrediting tactics into an issue. • Set the agenda or reframe the issue (e.g., not freedom from government, but freedom from poverty). • Publicly state your opponent's strategy (e.g., they are trying to deny the problem and pass responsibility off to others). • Keep opponents off balance (e.g., raise new charges against them). • Learn from the past (e.g., understand the response to the proposed change elsewhere). • Be willing to compromise (e.g., accept the best possible alternative). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 36
  • 37. Overview of participatory strategic planning cont’d… • Identify resources and assets to be used for new policy development or policy change: • The number and kind of people who are available and committed to working on developing new policy or changing an ineffective policy to resolve a problem or issue • The financial resources you anticipate you might need. • The financial resources that are currently available and their source. • The communication technologies, facilities, and other material resources available. • Additional information and support you might need. • Other assets that can be used to support the effort including relationships with influential policymakers and those who have spear headed similar efforts. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 37
  • 38. Overview of participatory strategic planning cont’d… • Review whether the planned policy goals and strategies fit the situation: • • Consider whether they are timed well (i.e., is this a good time to develop or change policy?). • Consider whether they use available resources and allies (i.e., does it take advantage of the group's strengths? Engage its allies? Deter opponents?). • Consider whether they fit the group's style (i.e., are group members comfortable with the approach?). • Consider whether they are flexible (i.e., do they permit adjustments with changing situations?). • Consider whether they are likely to work (i.e., does it resolve the issue?). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 38
  • 39. How a Kenyan community strategically planned new policy • The issue: • Many homes in the Komo area of Kenya did not have toilets and most residents lived far from public restrooms. • Children often relieved themselves outdoors, creating unsanitary environments for others in the area. • The negative consequences: • Residents, especially young children were suffering from diarrhea and other waterborne illnesses including worms and polio; some residents have died due to contaminated drinking water. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 39
  • 40. How a Kenyan community strategically planned new policy • The solution: • Komo community members raised the issue of sanitation in the area. • Komo community members proposed new policies to be created, implemented, and enforced to ensure a clean environment for all. • The outcome: • The Komo community was instrumental in the development of new policies ensuring a basic necessity (toilets) and a clean environment for residents in the area. • The Komo community was able to influence key agents to help develop new policies. • The Ministry of Public Health and Sanitation not only developed and put new policies into place, but also elevated these policies as national policies in Kenya. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 40
  • 41. How a Kenyan community strategically planned new policy • Recognizing there was a sanitation issue, Komo residents convened an inclusive, diverse policy planning group consisting of: • Individuals impacted by poor sanitation and contaminated water. • Individuals interested in working on new policy development. • Women, people with disabilities, other disenfranchised populations, and individuals in the community affected by the sanitation issue which the new policies would address. • Individuals in a position of authority (agents) who could help develop and promote new policies. • Like-minded community partners interested in resolving the issue through policy development. • The planning group listed who was affected by the poor sanitary conditions: • A large percentage of Komo residents, mainly children were at risk of suffering from diarrheal illnesses, worms, polio, and potentially, death. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 41
  • 42. How a Kenyan community strategically planned new policy • The Komo planning group prepared for policy planning by studying the issue: • Gathered prior research performed by the Ministry of Public Health and Sanitation and other organizations concerned about sanitation and water quality in Komo. • Used Community Health Workers’ home visits and observations to gather objective (i.e., factual) information about Komo’s sanitation issue. • Gathered public opinion data and documented residents’ complaints about sanitation during Community Dialogue Days using focus groups or surveys. • Requested accountability from both community members and elected officials. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 42
  • 43. How a Kenyan community strategically planned new policy • The Komo planning group’s research, as the basis for policy development, found: • During the rainy season there was an increase in waterborne illnesses. • Residents believed it should be illegal to relieve oneself in the environment. • Residents believed there should be serious consequences for those who pose a threat to the environment and other residents. • Residents believed everyone must have a bathroom in their home or close to where they live, work, and play. • Residents believed there were factors which perpetuated the sanitation problem. • There were physical barriers (i.e., long distances) to public bathrooms. • It was more convenient for people to go behind the bushes (the response cost was less). • People did not have a history of using bathrooms. • People had limited knowledge of and skills in sanitation. • Children should be taught to use the bathroom regularly and be rewarded for doing so. • Adults should model using bathrooms correctly. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 43
  • 44. How a Kenyan community strategically planned new policy • The planning group based the need for a new policy on its research findings: • Basic health sanitation practices were being ignored in Komo. • Education about sanitation was limited in farm towns. • Several of the laws on sanitation were not being enforced. • Existing environmental conditions posed a threat to public health and safety. • The planning group defined the issue in neutral terms and generated a short list of possible policy related solutions based on knowledge about the issue and who it affected: • The issue: there were too many children of local farmers who did not have access to bathrooms. • The planning group wanted a policy guaranteeing all children have a place to go to the bathroom. • The planning group wanted a policy assuring the correct use of bathrooms. • The planning group wanted a policy fining those who do not use or misuse bathrooms. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 44
  • 45. How a Kenyan community strategically planned new policy • The planning group identified targets and outcomes of policy development: • The primary targets of new policies were Komo residents, mainly the children. • One new policy required the Ministry of Health to contribute financial aid to build bathrooms. • A second policy required Komo residents to correctly use bathrooms to keep a clean environment. • Komo residents decided that when policy became law: • First-time violators must report to court and pay a fine. • A repeat offender must pay two fine. • A three-time offender would get jail time and an additional fine. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 45
  • 46. How a Kenyan community strategically planned new policy • The planning group identified potential allies of new policy development efforts: • Members of the Komo community who were affected by the sanitation issue. • Community Health Workers who promoted health in the area. • Elected and appointed officials who could be contacted. • Organizations who shared related efforts (e.g., WHO, APHIA Plus Kamili, USAID, et al.) STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 46
  • 47. How a Kenyan community strategically planned new policy • The planning group identified potential agents who could help in both policy development and in getting the policy enacted into law: • Community Health Workers - • Link the Kenyan Ministry of Health and Sanitation to Komo residents. • Health ambassadors who understand health information and health behaviors. • Possess deep cultural knowledge of the people. • Supportive of planning, implementation, and evaluation of local programs and policies. • The area tribal Chief - • Highly respected in society so his support was crucial. • When the Chief speaks the community listens. • Considered knowledgeable and always attending to the community’s needs • Other agents of change identified were the Ministry of Public Health and Sanitation, and other organizations which cared about the sanitation issue. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 47
  • 48. How a Kenyan community strategically planned new policy • The planning group discussed potential opponents of the policy development effort and their possible tactics: • Some Komo residents disagreed about the ways of approaching the sanitation issue, but this was not direct opposition to policy development as everyone agreed policies pertaining to a clean environment were needed. • In tis case, it was unclear whether there were true opponents who might have resisted the effort because of the consequences of the proposed policy. • If there had been opponents their tactic might have been to deliberately delaying planning and implementation of the policy; fortunately this did not happen. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 48
  • 49. How a Kenyan community strategically planned new policy • The planning group anticipated questions from potential opponents and had prepared answers: • Q: Why should people of influence support a new policy or policy change? • A: This will make the environment healthier and improve health outcomes by preventing disease. • A: Komo residents will be grateful and help them maintain their positions of influence. • Q: How do Komo residents benefit? • A: Diseases will be prevented. • A; There will be an increase in Komo residents’ health and well-being, both adults and children. • A: Cost-effectiveness because less time, effort, and money will be spent on hospital visits. • A: Komo residents will be more productive in their daily activities. • Q: How does the issue affect those in opposition or those they care about? • A: Poor sanitation affects everyone because it increases the likelihood of waterborne illnesses. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 49
  • 50. How a Kenyan community strategically planned new policy • The planning group identified resources and assets that could be used to support new policy development and implementation: • 50 Community Health Workers committed to working on the sanitation issue by providing education, skills training, support, etc. to Komo residents. • Financial resources from the Kenyan Ministry of Public Health and Sanitation, USAID, and APHIA Plus Kamili. • Relationships with other organizations aiming to reduce this issue throughout Kenya. • The planning group set the agenda for meeting with the Ministry of Public Health and Sanitation by being clear about the policies it wanted developed: • Protecting water quality and imposing penalties for waste or toxins to be introduced to the local Ministry of Public Health & Sanitation in the Thika West District. • Permit Community Health Workers to be mentors for local children. STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 50
  • 51. How a Kenyan community strategically planned new policy • The planning group was clear about how it wanted new policies to be implemented: • The Ministry was to provide materials and support to build toilets where people live, work, and play. • The Ministry was to assure regulations for water safety and sanitation are strictly enforced. • Community Health Workers were to educate community members about the cost and benefits of water safety. • Community Health Workers were to train the residents on how to use the restrooms. • Community Health Workers were to communicate consequences for not using or misusing toilets. • The planning group determined that it would evaluate the new policy using one simple metric: • Whether policies to assure water safety and sanitation reduced instances of diarrheal diseases and worms amongst children by comparing pre-policy data to post-policy data STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 51
  • 52. Next time… • Next time we’ll talk about operational (action) planning: • Action steps (what will be done). • People responsible (by whom). • Date to be completed (by when). • Resources required (costs). • Collaborators (who should know/who should assist). STRATEGIC PLANNING FOR POLICY DEVELOPMENT OR CHANGE 52