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Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Context, Evidence, & Links An analytical and practical framework.

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Presentation on theme: "Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Context, Evidence, & Links An analytical and practical framework."— Presentation transcript:

1 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Overseas Development Institute Britains 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

9 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme …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 Africa 2 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 X

11 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

12 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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.

13 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme A Practical Framework External Influences political context evidence links Politics and Policymaking Media, Advocacy, Networking Research, learning & thinking Scientific information exchange & validation Policy analysis, & research Campaigning, Lobbying

14 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

16 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Policy entrepreneurs Storytellers Engineers Networkers Fixers

17 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 hasnt influenced policy

26 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme ­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 Study Dr Kajume Paravets in Kenya International Research

27 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

28 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 High Interest

38 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

39 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Policy Process Mapping National & Local (& International)

41 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Think Tanks – 3 Modes of Influence www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html Gas SolidLiquid

42 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Different Roles

43 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Log Frame Approach Goal Purpose Stakeholders Outputs Assumptions Indicators / MoVs The DELIVERI Project Log frame Programme Design

44 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme Outcome Mapping: example SMEs National SME Policy IDRC National NGOs /think tanks International NGO Bi/Multilateral Donors Inter/National Media Other businesses /market

46 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 / LeafletInformation Strategy Leaflet Materials

47 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme How Networks Help: 6 Key Functions 1.Filters: 2.Amplifiers: 3.Convenors: 4. Facilitators: 5. Community builders: 6. Investor / Providers

49 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

51 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

52 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

53 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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

54 Running Think Tanks

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

56 What do you need to be able to do this?

57 How can we help?

58 Research and Policy in Development RAPID Programme Civil Society Partnerships Programme 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


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