ausaid (2010) theory of change
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THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES 1
THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES EVALUATION OF AUSAIDS ENGAGEMENT WITH CIVIL SOCIETY
SEPTEMBER 2010
Civil society organisations and actors are important agents of development alongside the state and private sector. To support a country-led process of development, it is important for donors to identify the roles of all the development agents in their particular context and support those most strategically placed to further the development agenda in line with the donors interests. Working with the state alone is not enough to help AusAIDs partners achieve positive and sustainable development outcomes.
This theory was developed as a thinking exercise to inform an evaluation of AusAIDs engagement with civil society; it does not represent an official Australian government view. The theory of change was developed through a facilitated process involving the evaluation team, AusAID staff and representatives of Australian non-government organisation. It also drew on individual theories of change for five aid activities developed by AusAID program staff and their civil society partners in Papua New Guinea, the Philippines and Vanuatu.
The result of this process was a theoretical model (represented in a diagram) showing how AusAIDs activities with civil society produce short and long-term outcomes in an ideal circumstance. It is complemented by a set of assumptions about what internal and external factors need to be in place for the outcomes to be achieved. It those assumptions are found to be invalid, then the theory is less robust. This document describes the theoretical model and its assumptions.
How and why AusAID works with civil society
The strategic purpose of working with civil society for AusAID (and other donors) is to support the development of a strong, vibrant and representative civil society in order that it can contribute to improved development outcomes. This occurs through providing funding for activities, technical support, building institutional capacity, and supporting connections between civil society organisations. It also involves working with the partner government, private sector actors and other donors to recognise the value of civil society in development and to build an enabling environment for civil society contributions.
To work effectively with civil society, AusAID needs to understand the context its operating in through analysis of civil society and the political economy, and to have a clear sense of how working with civil society fits into its aid program strategies. Careful selection of civil
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2 THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES
society partners and intermediaries, appropriate processes for contract management and engagement with partners, are critical to how effective AusAIDs support will be.
Working with civil society also requires recognition that AusAID has to operate in different ways: recognising not all civil society organisations are the same and require different levels and types of support, responding to locally-generated demand for aid, and being willing to take risks. Enabling processes that AusAID can undertake to support the role of civil society in development include engagement through partnership approaches, providing long-term predictable funding, and a focus on mutual accountability.
AusAID can also support international non-government organisations in Australia and elsewhere to support the work of civil society in developing countries, by building their capacity to operate as intermediaries, partnering with them to advocate for civil societys role in development on the international stage, to work towards a greater enabling environment for civil society within developing countries, and facilitating their role in generating and allocating their own funding to civil society organisations for development activities.
What AusAIDs work with civil society achieves
The direct outcomes that AusAIDs work with civil society can achieve are to increase the capacity of civil society organisations to be effective agents of development through more resources to work and improved institutional capacity. AusAID can help civil society organisations to apply good development practice in their work including promoting gender equality and other forms of social inclusion. AusAID can also help civil society to be more representative, accountable and transparent to their communities, and to provide stronger and equitable leadership. Overall, this gives civil society organisations the opportunity to develop innovative development approaches and alternative development discourses, and the means to mainstream their discourse or scale-up their development activities.
AusAIDs other major outcomes in working with civil society is to help create more space for civil society organisations to contribute to development. This includes promoting the inclusion of civil society in sector-wide approaches and policy dialogue and facilitating specific measures (such as legislation) that provide both freedom and appropriate controls for civil society organisations to operate. AusAID can play an important role in promoting greater recognition among other development actors of the importance of including civil society in country-wide development processes and facilitating government-civil society or civil society-private sector partnerships. By helping civil society organisations to inter-connect and coordinate among themselves, as well as to connect to global networks, AusAID also helps them to create their own operating space.
Civil societys path-ways for contributing to development
By working with civil society, AusAID contributes towards the ability of civil society organisations to directly achieve a range of development results, and to be a part of working towards positive and sustainable development outcomes in their countries.
The theory of change identifies six pathways by which civil society contributes to development. Civil society organisations are not the only contributors to these pathways;
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THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES 3
however, often civil society brings different approaches and modes of operation and access to communities that give them a comparative advantage in pursuing these pathways to development. The relative strengths and operating space for civil society to pursue each of these development pathways varies according to the country context.
Delivering better services
Civil society organisations play an important role in delivering essential services to communities, and in delivering humanitarian relief and supporting humanitarian protection. In doing so, civil society organisations are in a unique position to pilot and deliver alternative solutions to service delivery challenges. The outcome of this pathway is increased and equitable access to services for all.
Reducing conflict
Civil society organisations promote rule of law and access to justice, at both community and national levels. The outcome of this pathway is less conflict between and within communities.
Building more connected communities
Civil society organisations connections into communities enable them to play a role in building the capacity of people to take charge of their lives, and in promoting strong and equitable community leadership. The outcome of this pathway is a more connected and resilient society
Enhancing social inclusion, fostering informed and active citizens
The nature of civil society organisations makes them well-placed to promote social inclusion, by identifying and responding to peoples needs, and in providing a voice for the marginalised in society. The outcomes of this pathway are improved well-being and empowerment of vulnerable groups and communities, and a more informed and responsive government.
Making governments more effective, accountable and transparent
Civil society organisations play a role in keeping governments and private sector organisations accountable to citizens. This includes helping people know their rights and reporting on human rights abuses. Civil society can also provide the means to bring sensitive or hidden issues onto the national agenda. This is not always a contentious role; civil society facilitates connections between communities and government, and provides feedback to government on development issues.
These actions can lead to governments and private sectors (and donors) that are better connected to communities and respond to public pressure, and ultimately more effective policy and implementation. The outcomes for this pathway are informed and active citizens, more effective, accountable and transparent government, and more effective, accountable and responsive private sector.
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4 THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES
Shared development outcomes that civil society contributes to
Through these six pathways, civil society contributed along with government and other development actors to positive and sustainable development outcomes, including:
> essential services reach the poor and marginalised
> a better natural environment
> more stable, peaceful and resilient communities
> improved economic opportunities and livelihoods
> greater social inclusion and equity
> effective governance and law and justice.
Theory of change assumptions
The logic of how AusAIDs activities lead to intermediate and long-term outcomes is based on certain assumptions about how civil society works and relates to the state, and how AusAID relates to civil society.
The central premise of this theory of change, that working with civil society is necessary to support development, rests on the assumption that the hegemony of state is a given in our partner countries, that civil society and government should and are willing to work together in pursuing development outcomes, and that a strong and vibrant civil society is desirable, necessary and indispensible for sustainability development.
If the nature of state-society relations is as assumed, then next major assumption is that bilateral donors have a role in engaging with civil society, and that civil society wants to work with bilateral aid donors.
The theory of change also assumes that AusAID understands the nature of civil society and how it works in different contexts, recognises that all civil societies are not the same and can distinguish between elements of civil society that are positive and negative forces for development. It assumes that, for the most part, the civil society that AusAID works with will not be subject to elite capture, is unified in purpose and value, and represents the poor and marginalised. Crucially, it assumes that AusAID and its civil society partners have shared values.
The theory of change has implicit assumptions about the way AusAID relates to its civil society partners. It assumes that AusAID will manage its involvement with civil society to ensure it does no harm.
> AusAID has established effective ways of supporting civil society and is willing and able to act in accordance with agreed principles of engagement
> AusAID will not depoliticise civil society and is comfortable with supporting the alterative voice of civil society
> AusAIDs support for international NGOs does not place them in competition with development countries civil societies for funding.
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THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES 5
www.ode.ausaid.gov.au
It is clear that some of these assumptions are likely to be wrong to some extent. Several, if wrong, have serious implications for the achievement of AusAIDs objectives.
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6 THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES
THEORY OF CHANGE MODEL
Strong,vibrant&representativecivilsociety
Integratinggenderequity
intoallaspectsofour
work
AusAIDfoundational activities
AusAID & IntermediariesEngagement activities
Greater social
inclusion & equity
Improved economic
opportunities & livelihoods
Improved economic
opportunities & livelihoods
Reduce child mortality
Combat HIV/AIDS, malaria & other
diseases
Environmental sustainability
Universal primary education
Essential services: reach the poor &
marginalised
Effective governance & law & justice
Moreeffectiveaccountable,transparentgovernment
Moreeffectiveaccountable,transparentgovernment
Eradicate extreme poverty
& hunger
More stable, peaceful & resilient
communities
Governmentrespondstopublic
pressure
Governmentrespondstopublic
pressure
Informedandactivecitizens
Informedandactivecitizens
Increased&equitableaccess
toessentialservicesforall
Increased&equitableaccess
toessentialservicesforall
Sponsorconference&networkingevents
Small&largegrants
Harmonistationbetweendonorstogiveconsistent&complementary
support
Workwithgovernmenttoenablecivilsociety
participation
Createaspaceforcivilsocietyatevents
Negotiationofobjectives
Provideinformationonbestpractice
RespondtoCommonwealthGovernmentdirectionsAnalysisofcivilsocietyand
politicaleconomy
Contractmanagement
Policy
Bidforfundingtobudget
Alternativesolutionspiloted/scaledup
Alternativesolutionspiloted/scaledup
CShavetheskills&
knowledgetodotheirwork
Civilsocietyhave
enoughresourcesto
work
Governmentsprivatesector&donors
recognise thevalueofcivilsociety
CSorganisationsareaccountable,transparentandrepresentative
CShasagoodenabling
environment
CSpromotesgenderequality&otherforms
ofsocialinclusion
CSorganisationsareinter
connected&coordinated
CSusesgoodpractice
developmentIntermediate outcomes
Global partnerships for
development
Improve maternal
health
Gender equality & empower
womenStatesandotherdevelopmentactorsachievepositiveandsustainabledevelopmentoutcomes
CSmediatesconflictandstrengthenspartnerships
CSmediatesconflictandstrengthenspartnerships
CShasfreedomtooperate
Amoreconnected&
resilientsociety
Amoreconnected&
resilientsociety
Lessconflictbetweenandwithin
communities
Lessconflictbetweenandwithin
communities
Improvedwellbeing&empowermentof
vulnerablegroupsandcommunities
Improvedwellbeing&empowermentof
vulnerablegroupsandcommunities
A better natural
environment
Identifyappropriatecivilsocietypartners
Externalconsultation
&coordination
Internalcoordination&Communication
Strategy
Budgetnegotiation
&management
Technicalassistance
Involvecivilsocietyinprogram
based/sectorwide
approaches
Representativecivilsociety
involvedinsectorwideapproaches
andpolicydialogue
Strengthened&equitablecivilsociety
leadershipDonorsandgovernment
havepartnershipswithcivilsociety
Increasedinstitutionalcapacity
CSpromotesrulesoflawandaccesstojustice
CSpromotesrulesoflawandaccesstojustice
Amoreinformed&responsivegovernment
Amoreinformed&responsivegovernment
Strong&equitablecommunityLeadership
Strong&equitablecommunityLeadership
Workinginpartnership
Learnfromcivilsocietybeopen
tocritique
Promoteaccessto
informationSupportexistingcivilsocietytodo
theirwork
Workwithglobal®ionalorganisations toenableCSparticipation
Moreeffectivepolicy&policyimplementation
Moreeffectivepolicy&policyimplementation
Governmentbetterconnectedwithcommunity
Governmentbetterconnectedwithcommunity
Donor,(includingAustralianGovt.)
responsive
Donor,(includingAustralianGovt.)
responsive
Efficient&accountable,responsive
privatesector
Efficient&accountable,responsive
privatesector
Civilsocietydelivers
humanitarianrelief&supports
humanitarianprotection
Civilsocietydelivers
humanitarianrelief&supports
humanitarianprotection
CriticalanalysisofchoiceofCS
partners donoharm
analysis
Development outcomes which CSE contributes
CSisconnectedtoglobalnetworks
CSbuildscapacityof
peopletotakechargeoftheirlives
CSbuildscapacityof
peopletotakechargeoftheirlives
CSidentifiesandrespondstopeoples
needs
CSidentifiesandrespondstopeoples
needs
CSprovidesavoiceforthemarginalized
CSprovidesavoiceforthemarginalized
CShelpspeopleknow
rights&whistleblowsonhuman
rightsabuses
CShelpspeopleknow
rights&whistleblowsonhuman
rightsabuses
CSraisessensitive/hiddenissues
CSraisessensitive/hiddenissues
CSconnectscommunitieswithgovt.
CSconnectscommunitieswithgovt.
CSkeepsthegovernmentaccountabletocitizens
CSkeepsthegovernmentaccountabletocitizens
CSkeepstheprivatessector
accountabletocitizens
CSkeepstheprivatessector
accountabletocitizens
CSprovidesfeedbacktodonorgovt.
CSprovidesfeedbacktodonorgovt.
CSdeliversessentialservices
CSdeliversessentialservices
Provisionofcorefunding
Promoteinvolvementofmarginalized
CShasopportunitytodevelop&scaleup/mainstream
alternativesolutions&discourse
Facilitatingmobilizationof
resources
Chooseintermediaries
Engagewithintermediariesincl.ANGOs,contractors
Design
Facilitate/provideaccess
toinfo.media/FOI
M&E
Globaloutcomesthrough
Internationalnetworksandmovements
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Work with INGOs to
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Engagement with ANGOs
Work with INGOS to create and enabling
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INGOsContractor DirectsupportfromAusAIDANGOs
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Mechanism/modality
Create domestic enabling
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www.ode.ausaid.gov.au
How and why AusAID works with civil societyWhat AusAIDs work with civil society achievesCivil societys path-ways for contributing to developmentDelivering better servicesReducing conflictBuilding more connected communitiesEnhancing social inclusion, fostering informed and active citizensMaking governments more effective, accountable and transparent
Shared development outcomes that civil society contributes toTheory of change assumptionsTHEORY OF CHANGE MODEL
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