Presentation on theme: "Action Research for Maximum Impact"— Presentation transcript:
1 Action Research for Maximum Impact John YoungCFHSS Congress 2006York University
2 The SeriesEffective Research for Development Policy: How researchers can maximize their influence on policy.Evidence and the Policy Making Process: How do policy makers access research, what constitutes evidence.Action Research for Maximum Impact: Some "good news" case studies, and practical research tools for practitioners.
3 This Workshop Can research influence policy? The RAPID CEL Framework Good news stories – what works?Some practical toolsGroup work: trying out the toolsSources of further information.
4 Agriculture in Africa“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”Clay & Schaffer (1984), Room for Manoeuvre: An Exploration of Public Policy in Agricultural and Rural Development, Heineman, London
5 Chronic Poverty in Uganda Kate Bird et al, Fracture Points in Social Policies for Chronic Poverty Reduction, ODI WP242, 2004
6 Health Policy in Tanzania “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 two districts in rural Tanzania.”TEHIP Project, Tanzania:
7 An Analytical Framework External InfluencesSocio-economic and cultural influences,donor policies etcThe political context – political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc.The links between policyand 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
8 Case Studies Sustainable Livelihoods: The Evolution of DFID Policy The PRSP Initiative: Research in Multilateral Policy ChangeThe adoption of Ethical Principles in Humanitarian Aid post RwandaAnimal Health Care in Kenya: Evidence fails to influence Policy50 GDN Case Studies: Examples where evidence has or hasn’t influenced policy
9 A Practical Framework External Influences political context evidence Politics and PolicymakingCampaigning, LobbyingPolicy analysis, & researchMedia,Advocacy, NetworkingScientific information exchange & validationResearch, learning & thinkingevidencelinks
10 What you need to knowThe 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?
11 What researchers need to do What researchers need to knowWhat researchers need to doHow to do itPolitical Context:EvidenceLinksGet to know the policymakers.Identify friends and foes.Prepare for policy opportunities.Look out for policy windows.Work with them – seek commissionsStrategic opportunism – prepare for known events + resources for othersWho are the policymakers?Is there demand for ideas?What is the policy process?Build a reputationAction-researchPilot projects to generate legitimacyGood communicationEstablish credibilityProvide practical solutionsEstablish legitimacy.Present clear optionsUse familiar narratives.What is the current theory?What are the narratives?How divergent is it?Get to know the othersWork through existing networks.Build coalitions.Build new policy networks.Build partnerships.Identify key networkers, mavens and salesmen.Use informal contactsWho are the stakeholders?What networks exist?Who are the connectors, mavens and salesmen?
14 International Research Paravets in Kenya1970s1980s1990s2000sProfessionalisation 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 / passedBut well established throughout the country!Professionalisation of Public Services.Structural AdjustmentPrivatisationITDG Paravet network and change of DVS.KVB letter (January 1998).Multistakeholder WSs → new policies.International ResearchITDG projects – collaborative research.The Hubl StudyDr Kajume
15 Livestock Services Indonesia 5-year £5m DFID-funded projectLong DFID involvement, successful pilot & senior government championField-level pilots, HRD and central policy componentsVery strong emphasis on engagement and communication1998 “Krisis Monitaire”Field-tested practical solutionsCritical mass of trained championsGood linkages with other programmesLuckFor more information:
16 Health Policy in Tanzania GoT strongly committed to improved services but hightly centralised and few resourcesTEHIP IDRC / CIDA / Government of Tanzania project since 1997: how can health services be more evidence-based?Local disease surveys informing local service planning+ improved resources (global projects)Ongoing surveys now annual process↓ child mortality of 40% by 2002, ↓ death rates yrs of 18% (cf no change elsewhere)TEHIP Project, Tanzania:
17 Critical factors Long involvement Understanding of the context Local champions & ownershipResearchers, policy makers and practitioners working togetherPractical (policy) solutionsEngagement with all stakeholders (ie including bureaucrats and communities)Effective communicationsFlexibilityPersonalitiesLuck
19 Practical Tools Overarching Tools Context Assessment Tools - The RAPID Framework- Using the Framework- The Entrepreneurship QuestionnaireContext Assessment Tools- Stakeholder Analysis- Forcefield Analysis- Writeshops- Policy Mapping- Political Context MappingCommunication Tools- Communications Strategy- SWOT analysis- Message Design- Making use of the mediaResearch Tools- Case Studies- Episode Studies- Surveys- Bibliometric Analysis- Focus Group DiscussionPolicy Influence Tools- Influence Mapping & Power Mapping- Lobbying and Advocacy- Campaigning: A Simple Guide- Competency self-assessment
20 Introducing some tools RAPID FrameworkProblem Situation Analysis (Tree Analysis)Stakeholder AnalysisPolicy Process MappingForce field analysisInfluence mappingSWOT analysis
22 Problem Tree AnalysisDiscuss and agree the problem or issue to be analysed.Identify the causes of the focal problem (roots) and then the consequences (branches)NB: The discussion is the most important thing: as issues are debated factors are arranged and re-arranged, often forming sub-dividing roots and branches
23 Stakeholder Analysis Why: Steps: To understand who gains or lose from a policy or project.To help Build Consensus.Steps:Identify StakeholdersAnalysis WorkshopDevelop StrategiesKeep SatisfiedEngage CloselyMonitor (minimum effort)Keep InformedHighPowerLowInterest
24 Policy Process Mapping General domestic and international context.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, internationalWhat is their Interest and Influence?Process matrix + political matrixPolitical and administrative feasibility assessment[Sources: M. Grindle / J. Court ]
25 Actors and processes Agenda setting Problem definition & analysis PolicytoolsSelectionImplementationEnforcementevaluationPublicScientistsIndustryCSOsMediaGovernmentSource: Yael Parag
26 Forcefield Analysis Identify what you want to achieve Identify forces for and against changeIdentify which are the most importantDevelop strategies to reinforce those for and overcome those against
27 SWOT AnalysisWhat type of policy influencing skills and capacities do we have?In what areas have our staff used them more effectively?Who are our strongest allies?When have they worked with us?Are there any windows of opportunity?What can affect our ability to influence policy?StrengthsWeaknessesOpportunitiesThreatsSkills and abilitiesFunding linesCommitment to positionsContacts and PartnersExisting activitiesOther orgs relevant to the issueResources: financial, technical, humanPolitical and policy spaceOther groups or forces
28 SMEPOL Project EgyptAn IDRC project to improve small and medium scale enterprise policy in EgyptPolicy analysts & researchersUsed a range of tools:Policy Process MappingRAPID FrameworkStakeholder AnalysisForce-Field AnalysisSWOTTo develop action plans for more evidence-based policy development
29 Group Work:Stakeholder AnalysisPolicy MappingForcefield Analysis
30 Selected Bibliography Tools for Policy Impact:A Toolkit for Progressive Policymakers:Successful Communication:The TEHIP Case Study and website:The DELIVERI Case Study and Website:The Paravets in Kenya Case Study
31 RAPID Stuff ODI Working Papers Bridging Research and Policy Book Meeting series MonographRAPID Briefing PaperTools for Policy ImpactCommunication ToolsPolicymaker ToolsRAPID CDROM