research and policy in development rapid programme civil society partnerships programme context,...

Research and Policy in DevelopmentRAPID Programme Civil Society Partnerships Programme

Context, Evidence, & LinksAn analytical and practical framework to improve links between research and policy

John Young / Enrique MendizabalOverseas Development Institute, [email protected]


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?

Self Introductions

The RAPID Framework


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


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 seminarswww.odi.org.uk/rapid


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


Evaluate the results

The linear logical model…Identify the problem

Commission research

Analyse the results

Choose the best option

Establish the policy

Implement the policy


…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 strategies 1”

• “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, London2 - Omamo (2003), Policy Research on African Agriculture: Trends, Gaps, and Challenges, International Service for National Agricultural Research (ISNAR) Research Report No 213 - Surr (2003), DFID Research Review


Existing theory1. Linear model2. Percolation model, Weiss3. Tipping point model, Gladwell4. ‘Context, evidence, links’ framework, ODI5. Policy narratives, Roe6. Systems model (NSI)7. External forces, Lindquist8. ‘Room for manoeuvre’, Clay & Schaffer9. ‘Street level bureaucrats’, Lipsky10. Policy as social experiments, Rondinelli11. Policy Streams & Windows, Kingdon12. Disjointed incrementalism, Lindquist13. The ‘tipping point’, Gladwell14. Crisis model, Kuhn15. ‘Framework of possible thought’,

Chomsky16. Variables for Credibility, Beach17. The source is as important as content,

Gladwell

18. Linear model of communication, Shannon19. Interactive model, 20. Simple and surprising stories,

Communication Theory21. Provide solutions, Marketing Theory I22. Find the right packaging, Marketing II23. Elicit a response, Kottler24. Translation of technology, Volkow25. Epistemic communities26. Policy communities27. Advocacy coalitions etc, Pross28. Negotiation through networks, Sebattier29. Shadow networks, Klickert30. Chains of accountability, Fine31. Communication for social change,

Rockefeller32. Wheels and webs, Chapman & Fisher

www.odi.org.uk/rapid/lessons/theory

X


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

• The RAPID Framework


An Analytical FrameworkThe 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 policyand research communities – networks, relationships, power, competing discourses, trust, knowledge etc.


A Practical FrameworkExternal Influences political context

evidencelinks

Politics and Policymaking

Media, Advocacy, Networking Research,

learning & thinking

Scientific information exchange & validation

Policy analysis, & research

Campaigning, Lobbying


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?


What researchers need to doWhat 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


Policy entrepreneurs

Storytellers

Engineers

Networkers

Fixers


Practical ToolsOverarching 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


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.

ODI Case Studies


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


TEHIP, TanzaniaImpact

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


TEHIP, TanzaniaLessons• 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


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


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)


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


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!

1970s

1980s

1990s

2000s

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 research.

The Hubl StudyDr Kajume

Paravets in KenyaInternational Research


DELIVERI - Indonesia• Decentralised Livestock Services

in 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


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


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


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


Luck• Timing:

– REPELITA VI– Financial Crisis

• Misunderstandings– about implications– about “quality management”

• People and personalities– Donor– Dept of Livestock Services– Department of Agriculture

Your Case Studies

RAPID and the CSPP


RAPID & the CSPPRAPID• 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

Tools for Policy Influence


Practical ToolsOverarching 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


Stakeholder Analysis

Why:• To understand who

gains or lose from a policy or project.

• To help Build Consensus.

Steps:1. Identify Stakeholders

2. Analysis Workshop

3. Develop Strategies

Keep Satisfied

Engage Closely

Monitor (minimum effort)

Keep Informed

High

Power

Low

Low HighInterest


Forcefield Analysis

Steps: 1. Identify a specific

Change

2. Identify forces for and againsty change

3. Prioritise the forces

4. Develop Strategies to overcome opposing and reinforce supporting forces


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 ]


Policy Process Mapping

Agenda Formulation Implementation Mon & Eval. Government

Political Society

Bureaucracy

Civil Society

Private Sector

International

National & Local (& International)


Think Tanks – 3 Modes of Influence

www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html

Gas

SolidLiquid


Different Roles


Log Frame Approach• Goal

• Purpose

• Stakeholders

• Outputs

• Assumptions

• Indicators / MoVsThe DELIVERI Project• Log frame• Programme Design


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


Outcome Mapping: example

SMEs

National SME Policy

IDRC

National NGOs /think

tanks

International NGO

Bi/MultilateralDonors

Inter/National Media

Other businesses

/market


Communications strategy

• Identify the audience(s)

• Identify the message(s)

• Promotion

• Evaluate impact and

change as necessary

• Clear Strategy – Interactive – Multiple formats

How?

Who?

What?

The DELIVERI Project:• Information Strategy / Leaflet• Materials


Writing Effective Policy Papers IProviding 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]


How Networks Help: 6 Key Functions

1. Filters:

2. Amplifiers:

3. Convenors:

4. Facilitators:

5. Community builders:

6. Investor / Providers


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


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


Groundwater in India• 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


SMEPOL Project Egypt• An IDRC project to improve small and

medium scale enterprise policy in Egypt• Policy analysts & researchers • Used a range of tools:

– Policy Process Mapping – RAPID Framework– Stakeholder Analysis– Force-Field Analysis– SWOT

• To develop action plans for more evidence-based policy development


DFID Internal Policy Processes• To explore how policies formed and

promoted in DFID.• Small, informal workshop:

– 7 staff– Identified 8 recent policy initiatives– pair-wise ranking of success factors.

• Key factors in DFID:– Intellectual coherence & “evidence”– Congruence with White Papers– High-level support– Follow-up

Running Think Tanks

Influencing Policy in Latin AmericaIn Groups: Identify key constraints and opportunities in each dimension of the CEL Framework for Latin America

What do you need to be able to do this?

How can we help?


Further Information / Resources• ODI Working Papers

• Bridging Research and Policy Book

• Meeting series Monograph

• Tools for Policy Impact

• RAPID Briefing Paper

• RAPID CDROM

• www.odi.org.uk/rapid

research and policy in development rapid programme civil society partnerships programme context,...

Documents

policy research

policy slide

policy communities

lipsky policy

policy windows

economic policy

life of policy

research approaches