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

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.

4. RAPID Programme Desk-based literature reviews GDN project: –50 preliminary case studies –Phase II studies (25 projects) ODI project: –4 detailed case studies –HIV/AIDS Advisory work Workshops and seminars www.odi.org.uk/rapid

5. 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

6. 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

7. 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 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

9. Group Task 1 Discuss your own work - identify the main policy objectives & what you do to achieve them. Appoint a secretary to take notes!

11. 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

12. The 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. Other models

14. Some Key Questions The external environment: What are the major external influences (war on terror; EU accession)? Who are the key international donors & what impact do their policies have? What impact do donor research policies have? The political context: What is the nature of governance and democracy? What is the current policy narrative? Is there political interest in change? What is the capacity of and incentives in the bureaucracy (to use research)? The evidence: What is the quantity, quality and relevance of research? Are the concepts familiar or new? How are findings packaged and communicated? Does it matter? Links: What are the existing networks & intermediaries? Are links formal or informal; open or closed? How important are legitimacy and trust?

15. 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] Policy implementation and practice (bureaucracies, incentives, street level, participatory approaches) How policymakers think (narratives & policy streams) Decisive moments in the policy process (policy processes, votes, policy windows and crises) Context is crucial, but you can maximize your chances

16. 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 – interactive.

17. 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 (NB: our understanding remains limited)

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

20. 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!

22. The 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.

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

24. 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?

25. Putting it into practice 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

26. 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!

27. 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.

28. 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. International ResearchThe Hubl Study

29. 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

30. 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

31. 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

33. Towards a Policy Entrepreneurs Toolkit Toolkit for promoting evidence-based and pro- poor policy. The RAPID framework itself Useful tools for your work Approaches to organisational development Some examples of things we do? Discussion: –What tools do you know that work? –Examples of when they have been used?

34. Tools for applying the framework Overarching Tools - The RAPID Framework - Using the Framework 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 - Coalitions

35. Introduction – The Policy Process

36. 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 ]

37. Mapping Policy Processes AgendasFormulationImplementation Central Government Parliament Bureaucrats Civil Society State Government Implementation Civil Society

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

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

40. 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 (e.g. from Middle East) Interests Extent of Interests of Policymakers HighMediumLow Public Interests136 Personal Interests541 Special Interests613 Covers: The macro political context The sector / issue process Policy implementation and practice Decisive moments in the policy process How policymakers think

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

42. Writing Effective Policy Papers I Providing a solution to a policy problem Targeting a policy community Structural elements of a paper –Problem description –Policy options (& criteria for assessment) –Conclusion & Recommendations Key issues: Problem oriented, targeted, multidisciplinary, applied, clear, jargon-free. [Source: Young and Quinn, 2002]

43. Writing Effective Policy Papers II Option AOption BOption C EffectivenessVery PositivePositiveNo impact FlexibilityVery PositivePositive SustainabilityPositive Negative Political FeasibilityHighMediumLow Administrative Feasibility HighMediumLow TimeShortMediumLong CostHighMediumLow Criteria for Assessing Policy Options

44. 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: www.odi.org/rapid/www.odi.org/rapid/ See: www.wilder.org/www.wilder.org/ Lobbying Elected Officials (General)

45. More / Other Sources RAPID: http://www.odi.org/rapid/ http://www.odi.org/rapid/ Strategy Unit's Policy Tools section http://www.policyhub.gov.uk/tools/index.asp http://www.policyhub.gov.uk/tools/index.asp Mind Tools: http://www.mindtools.com/ http://www.mindtools.com/ DFID (Development Tools): http://www.dfid.gov.uk/ http://www.dfid.gov.uk/ Wilder Foundation (lobbying & advocacy for NPOs) http://www.wilder.org/ http://www.wilder.org/ CEDPA (advocacy & networking for NGOs) http://www.cedpa.org/ http://www.cedpa.org/

47. Task 3 – as Individuals Focusing on a specific piece of work where you are trying to influence policy or practice - do a Force-Field Analysis. Specify policy change Identify forces for & against Assess weightings Assess points of possible impact Identify ways of achieving impact

49. 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

50. Policy entrepreneurs Storytellers Engineers Networkers Fixers

51. 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 Building policy entrepreneurs <23 = V.High <30 = High

52. Policy process workshops 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.

53. ODIs Knowledge Management Strategy Building on existing processes: –Project management –Financial Systems –Web/Intranet –Tuesday Trading / Research Retreats Specific new actions: –To improve learning – AARs, Peer-Assists etc –To improve information systems – Intranet-linked databases & financial systems –Building KM into HR systems –Obtaining & applying resources for KM

55. Action Planning An Action Plan is a sequenced plan of specific actions to deliver defined objectives. It involves thinking through a series of questions: –What are your policy objectives? –What are the major forces? –Which ones can you engage with? –Who are the key players? –What resources do you have? –Are there any other issues? –How will you engage with the key players and what will you do?

56. Task 4 – as individuals Build on the force-field analysis you have already completed, to develop an action plan to deliver your policy objectives.

58. RAPID - Next steps Further research: –GDN Phase II studies –HIV/AIDS –How CSOs use research-based evidence –Action-research (does it work?) Institutionalisation within ODI Promotion, partnerships and capacity-building

59. Other sources of information: http://www.odi.org.uk/rapid

60. How you can help us Fill in the evaluation form Survey of other useful tools Opportunities for Action-Research Keep in touch