ausaid (2010) theory of change

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;



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.



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.




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.


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&regionalorganisations 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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More resources for development

More sustained resource

allocation

Facilitate mobilization of resources

Work with INGOs to

support/advocate for CS overseas

Build capacity of intermediaries to

improve DE

Engagement with ANGOs

Work with INGOS to create and enabling

environment for CS

INGOsContractor DirectsupportfromAusAIDANGOs

Mechanism/Modality

Civil society outcomes

Mechanism/modality

Create domestic enabling

environment to support the aid

program


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

ausaid (2010) theory of change

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