Turning Insight into Impact: Approaches and Tools

1. Research and Policy in Development Programme Turning Insight into Impact: Approaches and Tools DSA-BOND Conference 2005 John Young and Julius Court

2. Workshop Objectives • Share experiences about research-practice interfaces in international development ; • Discuss the latest worldwide research and practice in this area; • Share experiences about approaches to strengthen research-practice links & what works; • Identify tools to improve use of evidence in development practice.

3. Outline of the Workshop Part 1 (morning) • Introductions • Theory: Research-Practice Interface • Groups: Identification of Key Questions • Feedback & Discussion • Policy Entrepreneur Questionnaire Part 2 (after lunch) • Feedback: Policy Entrepreneur Questionnaire • Introduction to Toolkit • Groups: Tools and Approaches • Feedback & Discussion • Close

4. Self Introductions 30 Seconds! • Name • Organization

5. The Opportunity 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. IDRC TEHIP Project

6. HIV Prevalence Source: UNAIDS

7. Rationale Evidence can help … • Identify issues / problems for policymakers • Prioritize between issues • Develop strategies • Improve effectiveness of interventions • Assess whether a strategy is working

8. 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 National Systems of Innovation Existing theory – useful in DCs? www.odi.org.uk/rapid/lessons/theory

9. The RAPID Framework 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

10. …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 strategies1” • “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, 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

11. RAPID Programme • Research • Research-Policy Links • Communications • Knowledge Management • Advisory work • Workshops and seminars • Evaluations • CSO Partnership Programme www.odi.org.uk/rapid

12. 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 An Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

13. Political Context: Key Issues • The macro political context (democracy, governance, media freedom; academic freedom) • Policy uptake = demand – contestation) [NB Demand: political and societal. Power matters.] • How policymakers think (narratives & policy streams) • Policy implementation and practice (bureaucracies, incentives, 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

14. Evidence: Relevance and Credibility • Provides solutions 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

15. Links: Feedback and Networks • Engagement and feedback. • Trust & legitimacy • Networks • The role of individuals and champions: • connectors • mavens • salesmen

16. External Influence • Big “incentives” can spur evidence-based policy – e.g. 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)

17. Conclusions • (Action) Research is essential but… • Other work is needed to ensure it contributes to the development and implementation. • Clear lessons about how are emerging: • Political context is crucial – understand it to maximize your chances • Figure out what evidence is needed and how to package it for policy makers • Collaborate with other actors

18. Any Questions?

19. Group Work 1: What are the key factors affecting research - practice links in your work? From the handout …. • Which arena should we give most emphasis? • Are these the key questions? • What key questions is missing?

20. Feedback and Discussion

21. Any Questions?

22. Policy Entrepreneurship Questionnaire

23. Please don’t leave without handing in your questionnaires!

24. Tools and Approaches

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

26. 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?

27. What you need to do • Work with them – seek commissions • Strategic opportunism – prepare for known events + resources for others • Get to know the policymakers. • Identify friends and foes. • Prepare for policy opportunities. • Look out for policy windows. • 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? • Build partnerships. • Identify key networkers, mavens and salesmen. • Use informal contacts • Get to know the others • Work through existing networks. • Build coalitions. • Build new policy networks. • Who are the stakeholders? • What networks exist? • Who are the connectors, mavens and salesmen?

28. Skills of (pro-poor) policy entrepreneurs Networkers Storytellers Fixers Engineers

29. SMEPol Policy entrepreneurs Samer 36 32 35 48 Marwa Hussein 32 36 44 38 Marwa Bayomi 44 41 28 37 Sayeda Alid 35 34 41 40 Shereen Salman 39 39 31 26 Rasha 35 37 37 41 May Ghalwash 35 37 39 39 Haytham 34 33 44 39 Tarek Ahmed Fouad 35 38 42 35 Ahmed Abdel Razek 42 32 31 45 Maha Yousseft 38 32 30 50 Mohamed Hadil 44 42 33 31 Amel Ali 36 36 39 39 Heba 43 29 35 44 Khaled Abdel Rehim 42 27 36 45 Average 38 35 37 40 >44 = Low <30 = High <23 = V.High

30. Compared with others…

31. 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 An Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

32. 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

33. High Keep Satisfied Engage Closely Power Monitor (minimum effort) Keep Informed Low Low High Interest Stakeholder Analysis • Why: • To understand who gains or lose from a policy or project. • To help Build Consensus. • Steps: • Identify Stakeholders • Analysis Workshop • Develop Strategies

34. Forcefield Analysis • Identify what you want to achieve • Identify forces for and against change • Identify which are most important • Develop strategies to reinforce those for and overcome those against

35. 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 ]

36. Policy Process Mapping Group 1 – Government Group 2 – Political Society and Bureaucracy Group 3 – Civil Society, Private Sector and International

37. SMEPOL Project Egypt • Policy Process Mapping • RAPID Framework • Stakeholder Analysis • Force-Field Analysis • SWOT • Action Planning

38. DFID Policy Process Workshop • Looking at internal policy processes – what works in DFID. • Small, informal workshop with 7 staff. • Participatory pair-wise ranking of factors influencing the success of 8 policy processes. • Worked quite well. • In DFID - agendas and processes rather than documents are key

39. Who? How? Audience What? Message Promotion Communications strategy • Identify the audience(s) • Identify the message(s) • Promotion • Evaluate impact and change as necessary • Clear Strategy • Interactive • Multiple formats • The DELIVERI Project: • Information Strategy / Leaflet • Materials

40. 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]

41. 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

42. Struyk, 2002, Local Governance Institute, Open Society Network, Budapest 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

43. Group Work 2 • What approaches and tools do you use to inform practice? • What works? • Do you have any good examples of use of evidence in improving development practice?

44. 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