Context, Evidence, & Links

1. Context, Evidence, & Links An analytical and practical framework to improve links between research and policy John Young / Enrique Mendizabal Overseas Development Institute, UK j.young@odi.org.uk

2. Programme • Introductions • The RAPID framework • ODI case studies • Your case studies • RAPID and the CSPP • The challenges of running a Think Tank • Influencing policy in Latin America • How can we help?

3. Self Introductions

4. The RAPID Framework

5. Overseas Development Institute • Britain’s leading development Think Tank • £8m, 60 researchers • Research / Advice / Public Debate • Rural / Humanitarian / Poverty & Aid / Economics (HIV, Human rights, Water) • DFID, Parliament, WB, EC • Civil Society For more information see: www.odi.org.uk

6. RAPID Programme • Research • Desk-based literature reviews • Bridging Research and Policy • Communications • Knowledge Management • GDN project: • 50 preliminary case studies • Phase II studies (25 projects) • ODI projects • 4 detailed case studies • HIV/AIDS • Advisory work • Workshops and seminars www.odi.org.uk/rapid

7. Definitions • Research: “any systematic effort to increase the stock of knowledge” • Policy:a “purposive course of action followed by an actor or set of actors” • Agendas / policy horizons • Official statements documents • Patterns of spending • Implementation processes • Activities on the ground

8. Identify the problem Commission research Analyse the results Choose the best option Establish the policy Implement the policy The linear logical model… Evaluate the results

9. …in reality… • “The whole life of policy is a chaos of purposes and accidents. It is not at all a matter of the rational implementation of the so-called decisions through selected strategies1” • “Most policy research on African agriculture is irrelevant to agricultural and overall economic policy in Africa2” • “Research is more often regarded as the opposite of action rather than a response to ignorance”3 1 - Clay & Schaffer (1984), Room for Manoeuvre; An Exploration of Public Policy in Agricultural and Rural Development, Heineman Educational Books, London 2 - Omamo (2003), Policy Research on African Agriculture: Trends, Gaps, and Challenges, International Service for National Agricultural Research (ISNAR) Research Report No 21 3 - Surr (2003), DFID Research Review

10. Linear model Percolation model, Weiss Tipping point model, Gladwell ‘Context, evidence, links’ framework, ODI Policy narratives, Roe Systems model (NSI) External forces, Lindquist ‘Room for manoeuvre’, Clay & Schaffer ‘Street level bureaucrats’, Lipsky Policy as social experiments, Rondinelli Policy Streams & Windows, Kingdon Disjointed incrementalism, Lindquist The ‘tipping point’, Gladwell Crisis model, Kuhn ‘Framework of possible thought’, Chomsky Variables for Credibility, Beach The source is as important as content, Gladwell Linear model of communication, Shannon Interactive model, Simple and surprising stories, Communication Theory Provide solutions, Marketing Theory I Find the right packaging, Marketing II Elicit a response, Kottler Translation of technology, Volkow Epistemic communities Policy communities Advocacy coalitions etc, Pross Negotiation through networks, Sebattier Shadow networks, Klickert Chains of accountability, Fine Communication for social change, Rockefeller Wheels and webs, Chapman & Fisher X Existing theory www.odi.org.uk/rapid/lessons/theory

11. The RAPID Framework Existing theory – a short list • Policy narratives, Roe • Systems of Innovation Model, (NSI) • ‘Room for manoeuvre’, Clay & Schaffer • ‘Street level bureaucrats’, Lipsky • Policy as social experiments, Rondene • Policy streams and policy windows, Kingdon • Disjointed Incrementalism, Lindblom • Social Epidemics, Gladwell

12. The political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. The links between policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. The evidence – credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc An Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

13. External Influences Campaigning, Lobbying Policy analysis, & research Scientific information exchange & validation A Practical Framework political context Politics and Policymaking Media, Advocacy, Networking Research, learning & thinking evidence links

14. What you need to know • The external environment: Who are the key actors? What is their agenda? How do they influence the political context? • The political context: Is there political interest in change? Is there room for manoeuvre? How do they perceive the problem? • The evidence: Is it there? Is it relevant? Is it practically useful? Are the concepts familiar or new? Does it need re-packaging? • Links: Who are the key individuals? Are there existing networks to use? How best to transfer the information? The media? Campaigns?

15. What researchers need to do • Work with them – seek commissions • Strategic opportunism – prepare for known events + resources for others • Get to know the policymakers. • Identify friends and foes. • Prepare for policy opportunities. • Look out for policy windows. • Who are the policymakers? • Is there demand for ideas? • What is the policy process? • Establish credibility • Provide practical solutions • Establish legitimacy. • Present clear options • Use familiar narratives. • Build a reputation • Action-research • Pilot projects to generate legitimacy • Good communication • What is the current theory? • What are the narratives? • How divergent is it? • Build partnerships. • Identify key networkers, mavens and salesmen. • Use informal contacts • Get to know the others • Work through existing networks. • Build coalitions. • Build new policy networks. • Who are the stakeholders? • What networks exist? • Who are the connectors, mavens and salesmen?

16. Policy entrepreneurs Networkers Storytellers Fixers Engineers

17. Practical Tools Overarching Tools - The RAPID Framework - Using the Framework - The Entrepreneurship Questionnaire Context Assessment Tools - Stakeholder Analysis - Forcefield Analysis - Writeshops - Policy Mapping - Political Context Mapping Communication Tools - Communications Strategy - SWOT analysis - Message Design - Making use of the media Research Tools - Case Studies - Episode Studies - Surveys - Bibliometric Analysis - Focus Group Discussion Policy Influence Tools - Influence Mapping & Power Mapping - Lobbying and Advocacy - Campaigning: A Simple Guide - Competency self-assessment

18. Conclusions • Policy processes are complex. • It is possible to understand enough… • to make sensible choices. • There are many well-known tools. • It is neither rocket-science nor fine art. • But it needs a systematic approach… • and work “outside the research itself”… • and enough resources.

19. ODI Case Studies

20. TEHIP, Tanzania • Policy change: In the way that local health policy and practice is planned and resources are allocated • Reasons: • Political leadership • International curiosity and support • Reliable and relevant quantitative data • EBP tools and skills introduced into policy process

21. TEHIP, Tanzania Impact The results of household disease surveys informed processes of health service reform which contributed to a 43 and 46 per cent reduction in infant mortality between 2000 and 2003 in the two districts in rural Tanzania where TEHIP was implemented

22. TEHIP, Tanzania Lessons • Multiple benefits from research and development funding and interaction • Global relevance can give credibility • Clear and decentralised decision making strategies favour EBP • Demographic data can help plan, monitor and evaluate

23. Coalition 2000, Bulgaria • Policy change: Introduced anti-corruption education in the national curricula • Reasons: • Pertinent issue in 2003-2004 • The EU is calling • Quantitative and qualitative evidence of corruption • Publicity (name a shame) and cooperation (pilots): Show and tell

24. Coalition 2000, Bulgaria • Lessons • CSOs filled the information gap • CSOs supported government initiatives • Credibility gained through partnerships (trust by association) • External support (prompted by credibility and results)

25. Case Studies • Sustainable Livelihoods: The Evolution of DFID Policy • The PRSP Initiative: Research in Multilateral Policy Change • The adoption of Ethical Principles in Humanitarian Aid post Rwanda • Animal Health Care in Kenya: Evidence fails to influence Policy • 50 GDN Case Studies: Examples where evidence has or hasn’t influenced policy

26. International Research The Hubl Study Paravets in Kenya • Professionalisation of Public Services. • Structural Adjustment → Collapse • Paravet projects emerge. • ITDG projects. • Privatisation. • ITDG Paravet network. • Rapid spread in North. • KVB letter (January 1998). • Multistakeholder WSs → new policies. • Still not approved / passed! • Professionalisationof Public Services. • Structural Adjustment • Privatisation • ITDG Paravet networkand change of DVS. • KVB letter(January 1998). • Multistakeholder WSs →new policies. 1970s 1980s 1990s 2000s ITDG projects – collaborative research. Dr Kajume

27. DELIVERI - Indonesia • Decentralised Livestock Servicesin Eastern Indonesia • 5 years (originally 10) • Public Service reform (in livestock sector) • Action-research + institutional development + policy reform • Surprisingly successful: “The DELIVERI programme has developed some useful models of institutional change in the context of decentralisation, making a government service more responsive to the needs of local people”1 1 DFID Country Strategy Paper for Indonesia September 2000 For more information see: www.deliveri.org

28. Political context • 1963 - 1995 centralised & bureaucratic • Policy “maintained” by senior bureaucrats • Services “delivered” by bureaucrats • Services “received” by farmers • Participation & decentralisation in Repelita VI • Senior champion • Long DFID involvement & successful pilot • Gradual budget squeeze • 1998 economic crisis → Political crisis • Sudden decentralisation → huge demand for new policies and practice

29. Evidence • Radical new idea (in Indonesia) • Specific concerns (legal / welfare / corruption / quality / professional) • Preference for word-of-mouth or sophisticated visual information • Baseline study to illustrate need + evidence from elsewhere • Practical action-research + good M&E • > 20% “investment” in communication: hands-on engagement, visits, leaflets, video, multimedia

30. Links • Senior internal champion • Steering Committee • Farmers & Service staff working together • Informal networks through peers • The K20 • Planning Bureau Department of Agriculture • Rakontechnis • Other Programmes (P4K, SfDM) • The media

31. Luck • Timing: • REPELITA VI • Financial Crisis • Misunderstandings • about implications • about “quality management” • People and personalities • Donor • Dept of Livestock Services • Department of Agriculture

32. Your Case Studies

33. RAPID and the CSPP

34. RAPID & the CSPP RAPID • The role of evidence in policy processes; • Improved communication and information systems; • Better knowledge management and learning; • Approaches to institutional development for EBP CSPP • CSOs, evidence and policy processes; • Regional and national consultations; • Useful information on current development policy issues; • Collaboration in Southern and Northern policy networks

35. Tools for Policy Influence

36. Practical Tools Overarching Tools - The RAPID Framework - Using the Framework - The Entrepreneurship Questionnaire Context Assessment Tools - Stakeholder Analysis - Forcefield Analysis - Writeshops - Policy Mapping - Political Context Mapping Communication Tools - Communications Strategy - SWOT analysis - Message Design - Making use of the media Research Tools - Case Studies - Episode Studies - Surveys - Bibliometric Analysis - Focus Group Discussion Policy Influence Tools - Influence Mapping & Power Mapping - Lobbying and Advocacy - Campaigning: A Simple Guide - Competency self-assessment

37. High Keep Satisfied Engage Closely Power Monitor (minimum effort) Keep Informed Low Low High Interest Stakeholder Analysis • Why: • To understand who gains or lose from a policy or project. • To help Build Consensus. • Steps: • Identify Stakeholders • Analysis Workshop • Develop Strategies

38. Forcefield Analysis • Steps: • Identify a specific Change • Identify forces for and againsty change • Prioritise the forces • Develop Strategies to overcome opposing and reinforce supporting forces

39. Policy Process Mapping • General Context issues – domestic and international. • Specific Policy Issues (i.e. the policy cycle) • Who are the Stakeholders? (Stakeholder analysis) • Arena: government, parliament, civil society, judiciary, private sector. • Level: local, national, international • What is their Interest and Influence? • Process matrix + political matrix • Political and administrative feasibility assessment [Sources: M. Grindle / J. Court ]

40. Policy Process Mapping National & Local (& International)

41. Gas Liquid Solid Think Tanks – 3 Modes of Influence www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html

42. Different Roles

43. Log Frame Approach • Goal • Purpose • Stakeholders • Outputs • Assumptions • Indicators / MoVs • The DELIVERI Project • Log frame • Programme Design

44. Outcome Mapping • Focuses on: • changes in behaviour • how programs “facilitate” rather than “cause” change • Recognizes the complexity of development processes • Looks at “logical links” between interventions and outcomes • Locates programme goals within the broader development context • Encourages innovation and risk-taking • Involves program staff and partners throughout

45. Outcome Mapping: example Bi/Multilateral Donors IDRC International NGO National SME Policy Other businesses /market National NGOs /think tanks SMEs Inter/National Media

46. Who? How? Audience What? Message Promotion Communications strategy • Identify the audience(s) • Identify the message(s) • Promotion • Evaluate impact and change as necessary • Clear Strategy • Interactive • Multiple formats • The DELIVERI Project: • Information Strategy / Leaflet • Materials

47. Writing Effective Policy Papers I Providing a solution to a policy problem • The policy community • The policy process • Structural elements of a paper • Problem description • Policy options • Conclusion • Key issues: Problem oriented, targeted, multidisciplinary, applied, clear, jargon-free. [Source: Young and Quinn, 2002]

48. How Networks Help: 6 Key Functions • Filters: • Amplifiers: • Convenors: 4. Facilitators: 5. Community builders: 6. Investor / Providers

49. For effective policy advocacy… • Need to be able to: • Understand the political context • Do credible (action)research • Communicate effectively • Work with others • Need organisational capacity • Staff • Internal processes • Funds

50. Struyk, 2002, Local Governance Institute, Open Society Network, Budapest Organisational development tools • Knowledge, Attitudes and Practices: • The entrepreneurship questionnaire • Training & mentoring etc • Knowledge Management • Organisational development • Finance, admin & personnel systems • Strategic (action & business) planning • Fundraising & reporting • Building an organisational profile • Communications, Public Affairs and the Media