1. Are you a Policy Entrepreneur?
How to promote pro-poor
policy & practice?
An ODI Workshop
London, 16th March 2004
John Young & Julius Court
Research and Policy in Development Programme

2. WS Purpose Share experiences;
Learn about evidence-based policy and practice in the UK and Developing Countries;
Try out some simple tools for policy analysis and action;
Learn about other tools and approaches which have been used elsewhere, and about where to access further information and resources;
Develop a personal action-plan to improve the impact of your own work.

3. WS Outline Share experiences about your own work;
The RAPID analytical framework;
Try it out out!
The RAPID action framework;
Try it out!
The policy entrepreneur questionnaire results;
Some useful tools;
Action planning;
Evaluation & sources of further information.

5. RAPID Programme Desk-based literature reviews
GDN project: 50 preliminary case studies
ODI project: 4 detailed case studies
Advisory work
Workshops and seminars

6. Existing theory www.odi.org.uk/rapid/lessons/theory 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
There are actually far more than he mentioned – 32 at the last count – but although they may provide a reasonable picture of policy making in developed countries, they don’t address many of the issues in developing countries – like the capacity of developed countries to interfere.
You can read all about them on our web site
If you want a good easy read – try The Tipping Point by Malcolm Gladwell. It’s about “Social Epidemics” – how ideas spread. It’s full of interesting stories and covers much of the ground:
The importance of different kinds of people (connectors, mavens & salesmen)
The stickiness factor (packaging and presentation to make things memorable)
The importance of context (what else is happening at the time influences how we behave)

7. 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, Lindquist
Social Epidemics, Gladwell
An initial review of the literature produced a long list of existing theory. Julius talked about these last time.
ODI working paper 174, 2002, Hovland, de Vibe and Young
Bridging Research and Policy: An Annotated Bibliography.

8. Reality Linear logical → dynamic, complex, two-way.
“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”
Traditionally, the link between research and policy has been viewed as a linear process, whereby a set of research findings is shifted from the ‘research sphere’ over to the ‘policy sphere’, and then has some impact on policy-makers’ decisions. Opinion is now shifting away from this model towards a more dynamic and complex view that emphasises a two-way process between research and policy, shaped by multiple relations and reservoirs of knowledge.
This was well described by Clay & Schaffer in their 1984 book “Room for Manoeuvre” about public policy in agriculture ……
And much research doesn’t even focus on the right problems. A recent ISNAR report concluded that …….. It blamed the policy research community-and the agricultural economics profession in particular for failing to address the real problems facing agricultural policymakers: “how to assess the operational feasibility of alternative policy options, and how to promote the feasibility of the most highly valued alternatives”
So the traditional question ‘How can research be transported from the research to the policy sphere?’ needs to be replaced by a more complex set of questions ‘Why are some of the ideas that circulate in the research/policy networks picked up and acted on, while others are ignored and disappear?’.
So we developed a framework and a methodology to guide our work.
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

10. Group Task 1
Discuss your own work & identify the main policy objectives, and the main factors that influence whether you achieve them.
Appoint a secretary to take notes!

12. Definitions
Research: “any systematic effort to increase the stock of knowledge” (NB: focus on science)
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

13. The Analytical Framework
External Influences
Socio-economic and cultural influences,
donor policies etc
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

14. Political Context: Key Areas
The macro political context (democracy, governance, media freedom; academic freedom)
The sector / issue process (Policy uptake = demand – contestation) [NB Demand: political and societal]
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

15. 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
Communication
Context: Demand & Contestation
The degree of demand and contestation matter greatly.
Demand:
Policymaker demand: (eg – initiating a review)
Societal demand: (focus on problems)
Contestation:
Ideology / Narrative
Vested Interests
In virtually all cases:
Policy uptake = demand – contestation
Evidence can change the policy narrative
(Need to think about how they can work to increase demand and reduce contestation.)

16. 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
Context: Demand & Contestation
The degree of demand and contestation matter greatly.
Demand:
Policymaker demand: (eg – initiating a review)
Societal demand: (focus on problems)
Contestation:
Ideology / Narrative
Vested Interests
In virtually all cases:
Policy uptake = demand – contestation
Evidence can change the policy narrative
(Need to think about how they can work to increase demand and reduce contestation.)

17. 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 don’t know whether and how donors can best promote use of evidence in policymaking (credibility vs backlash)
What we don’t know -
2. External Influences
It seems that big “incentives” can spur evidence-based policy – e.g. EU accession, PRSP processes. WTO
And some interesting examples of donors trying new things re. supporting research
But, we really don’t know whether and how donors can best promote use of evidence in policymaking (credibility vs backlash)

19. Group Task 2
Choose one of your own, or one of the teaching case studies, apply the framework and “identify the key factors in each dimension of the framework and what else may matter – and what you might want to know more about.
Appoint a secretary to take notes!

21. The Analytical Framework
External Influences
Socio-economic and cultural influences,
donor policies etc
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

22. Other models

23. The Analytical Framework
External Influences
Socio-economic and cultural influences,
donor policies etc
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

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

25. Using the framework
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?

26. Putting it into practice
What researchers need to know
What researchers need to do
How to do it
Political Context:
Evidence
Links
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
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?
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
Who are the stakeholders?
What networks exist?
Who are the connectors, mavens and salesmen?

27. 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!

28. Paravets in Kenya - political context
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 and change of DVS.
ITDG Paravet network and change of DVS.
KVB letter (January 1998).
Multistakeholder WSs → new policies.
1970s
1980s
1990s
2000s

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

31. Group Task 3
Choose one of your own, or one of the teaching case studies, and figure out what you would do to maximise the policy impact – NB learning more about the situation is a legitimate action!” .
Appoint a secretary to take notes!

33. Policy entrepreneurs
Storytellers
Networkers
Engineers
Fixers

34. Building policy entrepreneurs
Mark Watson
Alan Hudson
Barbara Adolph
Birgit La Cour Madsen
Christopher Floyd
Elizabeth Cromwell
Imran Aziz
John Hellin
Natasha Sharma
Nick Hall
Stuart Coupe
Suzie Arnott
Average
>44 = Low
<30 = High
Julius Court
John Young
<23 = V.High

36. Towards a PE Toolkit? An overview of what we think is useful?
Some examples of things we do?
Discussion:
What tools do you know that work?
Examples of when they have been used?

37. Specific Tools Overarching Tools Context Assessment 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

38. Mapping the Policy Process
Aim: Describe: Who makes decisions? How? What ways, formal and informal, are policies made?
Analyse: What are the different interests?
When: Need a comprehensive understanding. General.
Give you: Where are decisions made? Who are the Stakeholders? (NB: link to stakeholder analysis)
Arena: government, parliament, civil society, judiciary, private sector.
Level: local, national, international.
Steps: Process description (formal & informal) + political influence ratings.
Based on: Experience, literature, interviews, focus groups.
[Sources: M. Grindle / J. Court ]
BACKGROUND
Good News – Evidence can matter (e.g. bednets vs malaria). Other cases around Room. DFID Research Policy Study.
Bad News – But … often major gaps (e.g. HIV/AIDS). Resistance despite clear evidence.
How to bridge the gap?
Key Question: When does evidence matter? We still need a systematic understanding.
ODI RAPID / GDN Bridging Research and Policy Project – 50 case studies.
PAPER IN PRESS - Handout Exec Summary / Soon on web
CHALLENGE – Massive amount of work into 15 minutes

39. Mapping Policy Processes
Agendas
Formulation
Implementation
Central
Government
Parliament
Bureaucrats
Civil Society
State
BACKGROUND
Good News – Evidence can matter (e.g. bednets vs malaria). Other cases around Room. DFID Research Policy Study.
Bad News – But … often major gaps (e.g. HIV/AIDS). Resistance despite clear evidence.
How to bridge the gap?
Key Question: When does evidence matter? We still need a systematic understanding.
ODI RAPID / GDN Bridging Research and Policy Project – 50 case studies.
PAPER IN PRESS - Handout Exec Summary / Soon on web
CHALLENGE – Massive amount of work into 15 minutes

40. Context Assessment – Policy Process

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

42. Forcefield Analysis Specific Change Identify Forces
Identify Priorities
(Develop Strategies)

43. Policy process workshops (eg DFID)
Looking at internal policy processes in organizations and role of policy documents. (What works in DFID?)
How: (i) Small, informal workshop – 7 staff; (ii) Identify processes for assessment - 8;
(iii) participatory pair-wise ranking of factors influencing the success.
Worked quite well.
In DFID - agendas and processes rather than documents are key.

44. Political Context Assessment Tool
Best for:
Systematically comparing national contexts
Thinking through political context issues
How to:
Representative from cross-section of experts
Individual – for thinking through
Covers:
The macro political context
The sector / issue process
Policy implementation and practice
Decisive moments in the policy process
How policymakers think
(e.g. from Middle East)
Interests
Extent of Interests of Policymakers
High
Medium
Low
Public Interests 1 3 6
Personal Interests 5 4
Special Interests

45. Research: Episode Studies
Look at a clear episode of policy change, assess the issues that influenced it and the relative role of research. Examples include:
The Adoption of PRSPs
Community-based Animal Health in Kenya
Sustainable Livelihoods in DFID
Principles in Humanitarian Response
More at:

46. Writing Effective Policy Papers I
Providing a solution to a policy problem
Targetting the policy community
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]
BACKGROUND
Good News – Evidence can matter (e.g. bednets vs malaria). Other cases around Room. DFID Research Policy Study.
Bad News – But … often major gaps (e.g. HIV/AIDS). Resistance despite clear evidence.
How to bridge the gap?
Key Question: When does evidence matter? We still need a systematic understanding.
ODI RAPID / GDN Bridging Research and Policy Project – 50 case studies.
PAPER IN PRESS - Handout Exec Summary / Soon on web
CHALLENGE – Massive amount of work into 15 minutes

47. Writing Effective Policy Papers II
Criteria for Assessing Policy Options
Option A
Option B
Option C
Effectiveness
Very Positive
Positive
No impact
Flexibility
Sustainability
Negative
Political Feasibility
High
Medium
Low
Administrative Feasibility
Time
Short
Long
Cost
BACKGROUND
Good News – Evidence can matter (e.g. bednets vs malaria). Other cases around Room. DFID Research Policy Study.
Bad News – But … often major gaps (e.g. HIV/AIDS). Resistance despite clear evidence.
How to bridge the gap?
Key Question: When does evidence matter? We still need a systematic understanding.
ODI RAPID / GDN Bridging Research and Policy Project – 50 case studies.
PAPER IN PRESS - Handout Exec Summary / Soon on web
CHALLENGE – Massive amount of work into 15 minutes

48. Communications strategy
Identify the message(s)
Identify the audience(s)
Assess specific information needs, likes and channels
Official / unofficial
Personal / impersonal
Develop and test material and media
Printed, AV, web, CD
Multi-use, multimedia, multichannel
Evaluate impact and change as necessary

49. Lobbying Elected Officials (General)
Targeting Officials:
Champions – Allies –Fence Sitters – Mellow Opponents – Hard Core Opponents
Inside vs Outside Lobbying:
Inside: Meetings – Analysis – Committees – Negotiating
Outside: Media – Constituency – Coalitions – Campaigns
Practical Tips
see:

50. Specific Tools: What Else?
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

52. Action Plans / Evaluation
List up to six things yo will do, or will do differently as a result of this workshop.
Fill in the workshop evaluation form

53. RAPID Partnership Programme
Purpose: Enhanced CSO capacity to use evidence to promote pro-poor policy
CSOs understand how research → policy
CSOs actively participate & link N & S Networks
Regional capacity to support CSOs is established
Knowledge on pro-poor policy issues is accessible
CSOs understand how research → policy:
Collaborative research on bridging research and policy issues
Collaboration with Government and CSOs in the UK to identify useful lessons from evidence-based policy making in the UK
Synthesis of results into demand-driven, user-tested information and training materials for CSOs
CSOs actively participate & link N & S Networks:
A collaborative study to identify CSOs and CSO networks in the North and South interested in improving their use of research-based evidence in pro-poor policy work;
A series of virtual and real meetings through ODI’s own and other policy-research networks to identify and discuss common policy issues;
A joint programme of analysis and action on one policy issue each year to build capacity and learn how local and international CSOs can work together effectively in networks;
Information, training and capacity building programmes to strengthen networking capacity for southern development policy institutes.
Knowledge on pro-poor policy issues is accessible
A survey of existing users of ODI information.
A demand assessment of CSOs.
A more strategic range of information materials for CSOs
An up-to-date database of partners & research interests
Improved knowledge management within ODI
Re-design of the ODI website, and better integration of ODI project and network sites
Active marketing of ODI’s information materials to CSOs.
An enhanced programme of public meetings and seminars for NGOs and other CSOs;
Training courses for staff from NGOs and CSOs
Regional capacity to support CSOs is established
A collaborative survey of regional PRIs & TTs.
Development of principles and guidelines for partnerships.
Small-scale collaborative projects.
Technical assistance and capital grants to strengthen organisational capacity;
Assistance to develop closer links with CSOs and promote e.g. public affairs programmes;
Assistance to develop information, training and capacity building programmes
We’ll be looking for southern partners!

54. Other sources of information: