THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES

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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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 interconnect 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

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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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

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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THEORY OF CHANGE WHY AUSAID WORKS WITH CIVIL SOCIETY IN DEVELOPING COUNTRIES

THEORY OF CHANGE MODEL

Combat HIV/AIDS,
malaria & other
diseases

Global
partnerships for
development

Environmental
sustainability

Strong&equitable
Strong&equitable
community
community
Leadership
Leadership

Civil society
outcomes
Civilsociety
Civilsociety
delivers
delivers
humanitarian
humanitarian
relief&
relief&
supports
supports
humanitarian
humanitarian
protection
protection

CSdelivers
CSdelivers
essential
essential
services
services

Alternative
Alternative
solutions
solutions
piloted/
piloted/
scaledup
scaledup

CSusesgood
practice
development

Intermediate
outcomes

CSpromotes
genderequality
&otherforms
ofsocial
inclusion

AusAID &
Intermediaries
Engagement
activities

Improvedwellbeing&
Improvedwellbeing&
empowermentof
empowermentof
vulnerablegroupsand
vulnerablegroupsand
communities
communities

Amore
Amore
connected&
connected&
resilientsociety
resilientsociety

Integrating
genderequity
intoall
aspectsofour
work

CSmediates
CSmediates
conflictand
conflictand
strengthens
strengthens
partnerships
partnerships

Increased
institutional
capacity

CShavethe
skills&
knowledgeto
dotheirwork

Workingin
partnership
Provide
informationon
bestpractice

INGOs

AusAID
foundational
activities

www.ode.ausaid.gov.au

Critical
analysis
ofchoice
ofCS
partners
dono
harm
analysis

Provisionof
corefunding
Technical
assistance

Involvecivil
societyin
program
based/sector
wide
approaches
Facilitating
mobilizationof
resources

ANGOs

Engagewith
intermediariesincl.
ANGOs,contractors

Government
Government
betterconnected
betterconnected
withcommunity
withcommunity

Moreeffective
Moreeffective
policy&policy
policy&policy
implementation
implementation

CSprovidesa
CSprovidesa
voiceforthe
voiceforthe
marginalized
marginalized

CShelps
CShelps
peopleknow
peopleknow
rights&
rights&
whistleblows
whistleblows
onhuman
onhuman
rightsabuses
rightsabuses

CSorganisations
areinter
connected&
coordinated
Representative
civilsociety
involvedinsector
wideapproaches
andpolicy
dialogue

Sponsor
conference&
networking
events

CSraises
CSraises
sensitive/
sensitive/
hidden
hidden
issues
issues

Promote
accessto
information

Contractor
Build capacity of
intermediaries to
improve DE
Create domestic
enabling
environment to
support the aid
program

Work with
INGOs to
support/advoca
te for CS
overseas
Engagement
with ANGOs

CSisconnected
toglobal
networks

Work with
INGOS to
create and
enabling
environment
for CS
Facilitate
mobilization
of resources

Mechanism/
Modality

Respondto
Commonwealth
Government
directions
Analysisofcivil
societyand
politicaleconomy

CS
CS
connects
connects
communit
communit
ieswith
ieswith
govt.
govt.

Efficient&
Efficient&
accountable,
accountable,
responsive
responsive
privatesector
privatesector

CSkeepsthe
CSkeepsthe
government
government
accountable
accountable
tocitizens
tocitizens

CSkeepsthe
CSkeepsthe
privates
privates
sector
sector
accountable
accountable
tocitizens
tocitizens

M&E

allocation

CS
CS
provides
provides
feedback
feedback
todonor
todonor
govt.
govt.

Governmentsprivate
sector&donors
recognise thevalueof
civilsociety

Facilitate/
provideaccess
toinfo.
media/FOI

Createa
spacefor
civilsociety
atevents
Involve
civil
societyin
policy
dialogue

Workwithgovernment
toenablecivilsociety
participation
Workwithglobal&
regionalorganisations to
enableCSparticipation
Directsupport
fromAusAID

Contract
management

More
sustained
resource

CShasopportunityto
develop&scale
up/mainstream
alternativesolutions&
discourse

CShas
freedomto
operate

Learnfromcivil
societybeopen
tocritique

More
resources for
development

Donor,(including
Donor,(including
AustralianGovt.)
AustralianGovt.)
responsive
responsive

Donorsand
government
have
partnerships
withcivil
society

CShasagood
enabling
environment

Harmonistation
betweendonorsto
giveconsistent&
complementary
support
Supportexisting
civilsocietytodo
theirwork

Moreeffective
Moreeffective
accountable,
accountable,
transparent
transparent
government
government

Government
Government
respondstopublic
respondstopublic
pressure
pressure

Strong,vibrant&representativecivilsociety

Promote
involvementof
marginalized

Negotiation
ofobjectives

Amoreinformed
Amoreinformed
&responsive
&responsive
government
government

CSbuilds
CSbuilds
CSidentifies
CSidentifies
capacityof
capacityof
andresponds
andresponds
peopletotake
peopletotake topeoples
topeoples
chargeof
chargeof
needs
needs
theirlives
theirlives

Strengthened&
equitablecivilsociety
leadership
Civilsociety
have
CSorganisations
areaccountable,
enough
transparentand
resourcesto
representative
work

Small&largegrants

Mechanism/
modality

CSpromotes
CSpromotes
rulesoflaw
rulesoflaw
andaccess
andaccess
tojustice
tojustice

Informedand
Informedand
activecitizens
activecitizens

Global
outcomes
through
International
networksand
movements

Effective
governance &
law & justice

3. Donors willingness to take risks

Lessconflict
Lessconflict
betweenandwithin
betweenandwithin
communities
communities

Greater
social
inclusion &
equity

Improved
economic
opportunities &
livelihoods

Budget
negotiation
&
management

Design
Identify
appropriatecivil
Choose
societypartners
intermediaries

External
consultation
&
coordination
Strategy

Internal
coordination&
Communication
Policy

Bidfor
funding
tobudget

2. Predictable funding

Increased&
Increased&
equitableaccess
equitableaccess
toessential
toessential
servicesforall
servicesforall

More stable,
peaceful &
resilient
communities

A better
natural
environment

1. Recognise not all CS is the

Essential services:
reach the poor &
marginalised

4. Understand the context

Statesandotherdevelopmentactorsachievepositiveandsustainabledevelopmentoutcomes
Development
outcomes
which CSE
contributes

7.Partnerships

Improve
maternal
health

Reduce child
mortality

6. Locally generated demand

Gender equality
& empower
women

5. Mutual Respect & accountability

Universal primary
education

same

Eradicate
extreme poverty
& hunger