Transcript Bridging Research and Policy

Making Knowledge Count
Maximising the value of
Research for Development
John Young: ODI, London
[email protected]
Overseas Development Institute
• Development Think Tank
• 60 researchers
• Research / Advice /
Public Debate
• Rural / Humanitarian / Poverty & Aid /
Economics / Policy Processes
• DFID, Parliament, WB, EC
• Civil Society
For more information see: www.odi.org.uk
RAPID Group
• Promoting evidence-based
development policy & practice
• Through
–
–
–
–
Research
Advice
Public Affairs
Capacity-building
• Working with:
–
–
–
–
researchers
policymakers
parliamentarians
southern think tanks
for further information see: www.odi.org.uk/rapid / www.odi.org.uk/cspp
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”
• Evidence: “the available information
supporting or otherwise a belief or
proposition”
• Evidence-based Policy: “public policy
informed by rigorously established
evidence”.
Policy Processes
Identify the problem
Commission research
Analyse the results
Choose the best option
Establish the policy
Implement the policy
Evaluation
Policy Processes
Cabinet
Donors
Policy
Formulation
Agenda
Setting
Parliament
Decision
Making
Civil Society
Monitoring and
Evaluation
Private
Sector
Ministries
Policy
Implementation
Chronic Poverty in Uganda
Kate Bird et al, Fracture Points in Social Policies for Chronic Poverty Reduction, ODI WP242, 2004
(http://www.odi.org.uk/publications/working_papers/wp242.pdf)
…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 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
Factors influencing policy making
Experience &
Expertise
Pragmatics &
Judgement
Contingencies
Lobbyists &
Pressure
Groups
Habits &
Tradition
Evidence
Resources
Values and
Policy
Context
Source: Phil Davies Impact to
Insight Meeting, ODI, 2005
Different Notions of Evidence
Researchers’
Evidence
• ‘Scientific’ (Context
free)
Policy Makers’
Evidence
• Colloquial (Contextual)
• Proven empirically
• Anything that seems
reasonable
• Theoretically driven
• Policy relevant
• As long as it takes
• Timely
• Caveats and
qualifications
• Clear Message
Source: Phil Davies Impact to Insight Meeting, ODI, 2005
Existing theory
1.
X
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
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
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 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
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
An Analytical Framework
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.
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
Case Studies
• Detailed:
– Sustainable Livelihoods
– Poverty Reductions Strategy
Processes
– Ethical Principles in
Humanitarian Aid
– Animal Health Care in Kenya
– Dairy Policy in Kenya
– Plant Genetic Resources
• Summary
–
–
–
–
GDN x 50
CSPP x 20
Good news case studies x 5
Mental health in the UK
Animal Healthcare in Kenya
1970s
1980s
1990s
Professionalisation of Public
Services. Research
International
Structural Adjustment → collapse of services.
Paravet projects emerge.
ITDG projects
projects.– collaborative research.
Privatisation
Privatisation.
ITDG Paravet network
network.and change of DVS.
Rapid spread in North.
The Hubl Study
Dr Kajume
KVB letter (January 1998).
2000s
Multistakeholder WSs → new policies.
Still not approved / passed!
A Practical Framework
External Influences
Politics and
Policymaking
Campaigning,
Lobbying
Scientific
information
exchange &
validation
political context
Media,
Advocacy,
Networking
links
Policy analysis, &
research
Research,
learning &
thinking
evidence
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 evidence:
• Is it there?
• Is it relevant?
• Is it practically useful?
• Are the concepts new?
• Does it need re-packaging?
The political context:
• Is there political interest in
change?
• Is there room for
manoeuvre?
• How do they perceive the
problem?
Links:
• Who are the key actors?
• Are there existing networks?
• How best to transfer the
information?
• The media?
• Campaigns?
What you need to do
What need to know
Political Context:
• Who are the policymakers?
• Is there demand for ideas?
• What is the policy process?
Evidence
• What is the current theory?
• What are the narratives?
• How divergent is it?
Links
• Who are the stakeholders?
• What networks exist?
• Who are the connectors,
mavens and salesmen?
What need to do
How to do it
• Get to know the policymakers. • Work with them – seek
commissions
• Identify friends and foes.
• Strategic opportunism –
• Prepare for policy
prepare for known events
opportunities.
+ resources for others
• Look out for policy windows.
•
•
•
•
•
Establish credibility
Provide practical solutions
Establish legitimacy.
Present clear options
Use familiar narratives.
• Get to know the others
• Work through existing
networks.
• Build coalitions.
• Build new policy networks.
• Build a reputation
• Action-research
• Pilot projects to generate
legitimacy
• Good communication
• Build partnerships.
• Identify key networkers,
mavens and salesmen.
• Use informal contacts
Policy entrepreneurs
Storytellers
Engineers
Networkers
Fixers
Practical Tools for EBP
Overarching Tools
- The RAPID Framework
- Using the Framework
- The Entrepreneurship
Questionnaire
Communication Tools
- Communications Strategy
- SWOT analysis
- Message Design
- Making use of the media
Policy Influence Tools
- Influence Mapping & Power Mapping
- Lobbying and Advocacy
- Campaigning: A Simple Guide
- Competency self-assessment
Context Assessment Tools
- Stakeholder Analysis
- Forcefield Analysis
- Writeshops
- Policy Mapping
- Political Context Mapping
Research Tools
- Case Studies
- Episode Studies
- Surveys
- Bibliometric Analysis
- Focus Group Discussion
Evaluating Policy Impact
• Classical case studies…
– IFPRI, IDRC
– Can capture depth and
diversity
– Overestimate
role of research
• Episode Studies…
–
–
–
–
ODI
Focus on policy change
Historical
Underestimate role of
research
Other Approaches
•
•
•
•
•
•
•
Citations
Tracking ideas
Social Network Analysis
Most Significant Change
“Impact Box”
Peer review
Expert review
Outcome Mapping
OUTCOME
MAPPING:
Building Learning
and Reflection
into Development
Programs
Sarah Earl, Fred
Carden, and Terry
Smutylo
http://www.idrc.ca/en/ev-9330-201-1-DO_TOPIC.html
RAPID Outcome Assessment
• An approach which combines
– Literature Review
– Case Study
– Episode Study
– Retrospective Outcome Mapping
•
•
•
•
To identify critical factors
Participatory
Involves all stakeholders
With ILRI / CGIAR
The PPPPPC Project
• ODI/ILRI/ILRI Partners.
• Purpose:
– To identify and institutionalise approaches to
research that more directly lead to pro-poor
policy outcomes.
– To develop better methods for evaluating the
impact of research (ROA)
• Case Studies:
– Policy focused research (SDP)
– Research “around” a policy change (KUA)
– Research with no policy impact (Ethiopia)
• Policy Engagement