1. Bridging Research and Policy East Asia Development Network Workshop Jakarta, July 2004 John Young & Cokro Leksmono Overseas Development Institute, UK rapid@odi.org.uk

2. Workshop Outline Introductions The BR&P Project, RAPID Programme Lessons and an analytical framework Key factors affecting linkages in the region A practical framework to improve links What you do Some tools and more information

3. The GDN BR&P Project To improve understanding of Research-Policy links and provide practical advice to researchers and policy makers: –Increased awareness among policy-makers of the value of research –Enhanced understanding of how to imporve research-policy links –Lessons, recommendations and practical tools for researchers and policy makers

4. The BR&P Project 3 years, $5m Phase I: –Literature Review –Preliminary Case Studies –Surveys –A framework for further research Phase II: More detailed research Phase III: Information and Training

5. The BR&P Project

6. RAPID Programme Research –Desk-based literature reviews Bridging Research and Policy Communications Knowledge Management –GDN project: –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. Existing theory 1.Linear model 2.Percolation model, Weiss 3.Tipping point model, Gladwell 4.Context, evidence, links framework, ODI 5.Policy narratives, Roe 6.Systems model (NSI) 7.External forces, Lindquist 8.Room for manoeuvre, Clay & Schaffer 9.Street level bureaucrats, Lipsky 10.Policy as social experiments, Rondinelli 11.Policy Streams & Windows, Kingdon 12.Disjointed incrementalism, Lindquist 13.The tipping point, Gladwell 14.Crisis model, Kuhn 15. Framework of possible thought, Chomsky 16.Variables for Credibility, Beach 17.The source is as important as content, Gladwell 18.Linear model of communication, Shannon 19.Interactive model, 20.Simple and surprising stories, Communication Theory 21.Provide solutions, Marketing Theory I 22.Find the right packaging, Marketing II 23.Elicit a response, Kottler 24.Translation of technology, Volkow 25.Epistemic communities 26.Policy communities 27.Advocacy coalitions etc, Pross 28.Negotiation through networks, Sebattier 29.Shadow networks, Klickert 30.Chains of accountability, Fine 31.Communication for social change, Rockefeller 32.Wheels and webs, Chapman & Fisher www.odi.org.uk/rapid/lessons/theory

9. Existing theory – a short list ODI working paper 174, 2002, Hovland, de Vibe and Young Bridging Research and Policy: An Annotated Bibliography. 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

10. 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 strategies 1 Most policy research on African agriculture is irrelevant to agricultural and overall economic policy in Africa 2 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

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

12. Political Context: Key Areas The macro political context (democracy, governance, media freedom; academic freedom) The degree of demand for, and contestation research-based evidence How policymakers think (narratives & policy streams) Policy implementation and practice (bureaucracies, incentives, street level, room for manoeuvre, participatory approaches) Decisive moments in the policy process (policy processes, votes, policy windows and crises) Context is crucial, but you can maximize your chances

13. Evidence: Relevance and credibility Key factor – did it provide a solution to a problem? Relevance: –Topical relevance – What to do? –Operational usefulness – How to do it? : Credibility: –Research approach –Of researcher > of evidence itself Strenuous advocacy efforts are often needed 2-way communication

14. Links: Feedback and Networks Feedback processes often prominent in successful cases. Trust & legitimacy Networks: –Epistemic communities –Policy networks –Advocacy coalitions The role of individuals: connectors, mavens and salesmen

15. External Influence Big incentives can spur evidence-based policy – e.g. EU accession, PRSP processes. And some interesting examples of donors trying new things re. supporting research But, we really dont know whether and how donors can best promote use of evidence in policymaking (credibility vs backlash)

16. Any Questions?

17. Group Task 1 For the EA region: What are the key factors affecting … –The impact of your Institutes Work? –Research policy interaction in the region generally Appoint a secretary to take notes!

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

19. Other models

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

21. 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?

22. What researchers need to do What researchers need to know What researchers need to do How to do it Political Context: Evidence Links Who are the policymakers? Is there demand for ideas? What is the policy process? What is the current theory? What are the narratives? How divergent is it? Who are the stakeholders? What networks exist? Who are the connectors, mavens and salesmen? Get to know the policymakers. Identify friends and foes. Prepare for policy opportunities. Look out for policy windows. Work with them – seek commissions Strategic opportunism – prepare for known events + resources for others 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 Get to know the others Work through existing networks. Build coalitions. Build new policy networks. Build partnerships. Identify key networkers, mavens and salesmen. Use informal contacts

23. Paravets in Kenya 1970s 1980s 1990s 2000s ­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!

24. Paravets in Kenya - Political Context 1970s 1980s 1990s 2000s ­Professionalisation of Public Services. ­Structural Adjustment collapse of services. ­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! ­Professionalisation of Public Services. ­Structural Adjustment ­Privatisation ­ITDG Paravet network and change of DVS. ­KVB letter (January 1998). ­Multistakeholder WSs new policies.

25. Paravets in Kenya - Research 1970s 1980s 1990s 2000s ­Professionalisation of Public Services. ­Structural Adjustment collapse of services. ­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! ­Professionalisation of Public Services. ­Structural Adjustment ­Privatisation ­ITDG Paravet network and change of DVS. ­KVB letter (January 1998). ­Multistakeholder WSs new policies. ITDG projects – collaborative action research. The Hubl StudyInternational Research

26. 1970s 1980s 1990s 2000s ­Professionalisation of Public Services. ­Structural Adjustment collapse of services. ­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! ­Professionalisation of Public Services. ­Structural Adjustment ­Privatisation ­ITDG Paravet network and change of DVS. ­KVB letter (January 1998). ­Multistakeholder WSs new policies. ITDG projects – collaborative action research. International ResearchThe Hubl Study Dr Kajume Paravets in Kenya - Links

27. Political stagnation, professional protectionism Practical evidence invisible to policy makers Powerful individuals, professional interests Bad timing - ITDG missed the boat – twice! A Tipping Point New champions Collaborative policy-research Paravets in Kenya - Lessons

28. What should ITDG have done? Learned more about the political context Involved more policy makers earlier Collected more empirical data & used it better Seized the chance in 1989 Involved non-livestock policy makers Controlled the club Looked for champions Involved bilaterals and multilaterals

29. When and how to use it Historical analysis of a policy event –Identify the event –Elaborate the history – critical events, key people –Review context, evidence and links at key moments –Identify & prioritise the influences Current analysis & strategic planning –Identify key players –Workshop the issues & develop a strategy for maximising impact

30. A current example to maximise impact of DFID forest/ground water research project in India Researchers, policy makers and activists Used framework to analyse factors in water sector in India Developed strategy for final phase: –Less research –More communication –Developing champions in regional and national government –Local, Regional & National advocacy campaign

31. Policy entrepreneurs Storytellers Engineers Networkers Fixers

32. >44 = Low Policy Entrepreneur Scores <23 = V.High <30 = High Herman Joseph Kraft37302954 Vijay Kanapathy18324654 Hach Sok28384044 Prof Ragayah Hj Mat Zin40263648 Average

33. Ashley Parashram45253545 Bernard Lawer Tetteh-Dumanya36273750 Dan Start26344347 David Redhouse39363936 Enrique Mendizabal40293744 Gerry Power39353541 Harinder Janjua22384347 Karen Iles41374032 Lydia Richardson39363936 Marta Foresti42303840 Michael Majale36363741 Mike Albu41323245 Monica Blagescu38373540 Patrick Watt31414137 Richard Graham37263748 Average37333842 >44 = Low Policy Entrepreneurs in UK <23 = V.High <30 = High

34. Any Questions?

35. Group Task 2 What do you do to ensure the policy impact of your work –Stories – Successes and Failures –Specific Approaches that work in specific contexts What could do you do to improve the policy impact of your work? –Specific actions youll take when you get home Appoint a secretary to take notes!

36. Implications for Think Tanks Need to be able to: –Understand the political context –Do credible research –Communicate effectively –Work with others Need organisational capacity –Staff –Internal processes –Funds

37. 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 Struyk, 2002, Local Governance Institute, Open Society Network, Budapest

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

39. Stakeholder Analysis A stakeholder is a person who has something to gain or lose by the outcomes of a planning process or project. Purpose: Identify the needs and concerns of different stakeholders. Should be done early in project planning stage. Benefit: To gain understanding / build consensus, To communicate the benefit of the proposed project, To build strong, inclusive public involvement campaign.

40. Keep Satisfied Engage Closely Monitor (minimum effort) Keep Informed High Power Low High Interest Stakeholder Analysis Why: Understand who will gain or lose from a policy or project. Help Build Consensus. Steps: Identify Stakeholders. Analysis Workshop. (Develop Strategies)

41. Forcefield Analysis Developed by Lewin (1951) Done by identifying the driving forces and obstacles or restraining forces to change. Can help identify the relative priority of factors on each side of the issue. Benefit : to inform decision-making to gain a comprehensive view of the different forces to analyze the possibilities for influencing policy

42. Forcefield Analysis Process: Identify a specific change you want to achieve Identify supporting and opposing forces (Identify Priorities) (Develop Strategies)

43. SWOT Analysis Purpose: Can assess the internal forces that determine your organisations potential to carry out a strategy (the Strengths and Weaknesses), Assess the external forces that will help or hinder you (the Opportunities and Threats), Helps organisations to be realistic about how much they can achieve given limited resources and understand where they are likely to be able to have most impact.

44. Strengths ThreatsOpportunities Weaknesses Skills and abilities Funding lines Commitment to positions Contacts & Partners Existing Activities Other orgs relevant to issue Resources: financial, technical, human Political and policy space Other groups or forces Existing Activities SWOT Analysis Stages: Write clear policy influence aim, Brainstorm of ideas, Assess internal capacity, Assess external environments, Wrap-up with action oriented discussion

45. Any Questions?

46. Group Task 3 Try a stakeholder analysis: Select a current research project aiming for policy impact. Identify the stakeholders. Classify them by power and interest Identify one powerful, interested stakeholder Decide how you will engage with them Appoint a secretary to take notes!

47. Other sources of information: RAPnet: www.gdnet.org/rapnet RAPID: www.odi.org.uk/rapid