Policy Entrepreneurship: How to promote more informed policy & practice? Chisinau, Moldova 17 June 2004 John Young and Julius Court Research and Policy in Development Programme Overseas Development Institute, London www.odi.org.uk/rapid/ Self Introductions • 1 minute! • Name & organization • Country Workshop Purpose & Outline Purpose: • Improved capacity to analyse the context of research and use simple approaches and tools to improve impact on policy and practice. Outline: • • • • • • • • Introductions Theory (& Reality) Research-Policy Links in the EE/FSU Region The RAPID Framework & Lessons A Strategy for Action Some Tools Maximising Influence Evaluation & Conclusion Overseas Development Institute (ODI) • • • • Britain’s 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 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 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 Generic Policy Processes 1. Problem Definition/ Agenda Setting 2. Constructing the Policy Alternatives/ Policy Formulation 6. Evaluation The Policy Cycle 5. Policy Implementation and Monitoring 3.Choice of Solution/ Selection of Preferred Policy Option 4. Policy Design Existing theory 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 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 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 Existing theory – a short list • • • • • • • • Policy narratives, Roe National Systems of Innovation, (NSI) ‘Room for manoeuvre’, Clay & Schaffer ‘Street level bureaucrats’, Lipsky Policy as social experiments, Rondenelli Policy streams and policy windows, Kingdon Disjointed Incrementalism, Lindblom Social Epidemics, Gladwell ODI working paper 174, 2002, Hovland, de Vibe and Young Bridging Research and Policy: An Annotated Bibliography. 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 ODI working paper 174, 2002, Hovland, de Vibe and Young Bridging Research and Policy: An Annotated Bibliography. 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 • “(in CEE countries) The climate surrounding public sector reforms has become increasingly more complex and interconnected.” 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 – Gabor Peteri (foreword to Managing Think Tanks by Ray Struyk). Reality II … Parallel Universes? Vincent Cable – MP on legislators & use of evidence: • Speed • Superficiality • Spin • Secrecy • Scientific Ignorance More at: www.odi.org.uk/RAPID/Meetings/Evidence Any Questions? Group Task 1 For the EE/FSU region: • What are the key factors affecting … – The impact of your Institutes’ Work? – Research policy interaction in EE/FSU? Appoint a secretary to take notes! The 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 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. Power.] • How policymakers think (narratives & policy streams) • Policy implementation and practice (bureaucracies, incentives, street level, 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 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 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 External Influence • Big “incentives” can spur evidence-based policy – e.g. EU accession, 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) Other models Discussion • • • • • Any clarifications? Does the framework make sense? What is missing? Is the framework useful? What is OSI experience? The 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 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 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 repackaging? • Links: Who are the key individuals? Are there existing networks to use? How best to transfer the information? The media? Campaigns? What researchers need to do What researchers need to know What researchers need to do Political Context: • 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. • 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? • • • • • 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. How to do it • Build a reputation • Action-research • Pilot projects to generate legitimacy • Good communication • Build partnerships. • Identify key networkers, mavens and salesmen. • Use informal contacts Programme Pt II • • • • • • The framework in action – a case study Group Work – what works for you? Implications for TTs Tools & Approaches What we do Networks Paravets in Kenya 1970s - Professionalisation of Public Services. - Structural Adjustment → collapse. - Paravet projects emerge. 1980s - ITDG projects. - Privatisation. - ITDG Paravet network. 1990s - Rapid spread in North. - KVB letter (January 1998). - Multistakeholder WSs → new policies. 2000s - Still not approved / passed! Paravets in Kenya - Political Context 1970s - Professionalisation of Public Services. - Structural Adjustment → collapse of services. - Paravet projects emerge. 1980s - ITDG projects. - Privatisation Privatisation. - ITDG Paravet network network.and change of DVS. 1990s - Rapid spread in North. - KVB letter (January 1998). - Multistakeholder WSs → new policies. 2000s - Still not approved / passed! Paravets in Kenya - Research International Research 1970s - Professionalisation of Public Services. - Structural Adjustment → collapse of services. - Paravet projects emerge. 1980s - ITDG projects projects.– collaborative action research. - Privatisation Privatisation. - ITDG Paravet network network.and change of DVS. 1990s - Rapid spread in North. The Hubl Study - KVB letter (January 1998). - Multistakeholder WSs → new policies. 2000s - Still not approved / passed! Paravets in Kenya - Links International Research 1970s - Professionalisation of Public Services. - Structural Adjustment → collapse of services. - Paravet projects emerge. 1980s - ITDG projects projects.– collaborative action research. - Privatisation Privatisation. - ITDG Paravet network network.and change of DVS. 1990s - Rapid spread in North. The Hubl Study Dr Kajume - KVB letter (January 1998). - Multistakeholder WSs → new policies. 2000s - Still not approved / passed! Paravets in Kenya - Lessons • 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 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 When and how to use it • Historical analysis of a policy event – Identify the event – Elaborate the history – critical events, key people – Review context, evidence and links at key moments – Identify & prioritise the influences • Current analysis & strategic planning – Identify key players – “Workshop” the issues & develop a strategy for maximising impact A current example • 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 Any Questions? Group Discussion 2 • Influencing policy: What do you do? – Stories – Successes and Failures – Specific Approaches that work – What works in different contexts Appoint a secretary to take notes! Implications for Think Tanks • Need to be able to: – Understand the political context – Do credible research – Communicate effectively – Work with others • Need organisational capacity – Staff – Internal processes – Funds Practical Tools 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 Assessing Political Contexts 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 ] Mapping Policy Processes Agendas Central Government Parliament Bureaucrats Civil Society State Government Implementation Civil Society Formulation Implementation Forcefield Analysis • Specific Change • Identify Forces • (Identify Priorities) • (Develop Strategies) Stakeholder Analysis High Why: Keep Satisfied • Understand who gain or lose from a policy or project. Engage Closely Power • Help Build Consensus. Monitor (minimum effort) Steps: Keep Informed • Identify Stakeholders. •Analysis Workshop. Low Low High Interest • (Develop Strategies) Communications strategy • • • • Identify the audience(s) Identify the message(s) Promotion Evaluate impact and change as necessary • Clear Strategy – Interactive – Multiple formats Who? How? What? Policy process workshops (eg DFID) • 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 Meetings • Does evidence matter – Halpern, Millstone • The political context – Cable, Court • The role of research – Spray, Young • NGO campaigns – Forsyth, Simms • Think-tanks – Bentley, Maxwell, Garnett • Using knowledge effectively – Cheuk, Borton • Policy entrepreneurship – Maxwell, Pettifor • International policies – Desai, Wilks More at: www.odi.org.uk/RAPID/Meetings Policy entrepreneurs Storytellers Engineers Networkers Fixers Building policy entrepreneurs Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Xxxxxx Xxxxxxxx Average 45 36 26 39 40 39 22 41 39 42 36 41 38 31 37 37 25 27 34 36 29 35 38 37 36 30 36 32 37 41 26 33 35 37 43 39 37 35 43 40 39 38 37 32 35 41 37 38 45 50 47 36 44 41 47 32 36 40 41 45 40 37 48 42 >44 = Low <30 = High <23 = V.High Managing Think Tanks • • • • • • • Type, Focus and Niche Staff and Motivation Quality Control Communication Getting the most from your board Fund-raising Financial Management (surprisingly little on policy influence in different contexts) [Source: Struyk, 2002] Think Tanks – 3 Modes of Influence Gas Liquid Solid www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html How we’re doing it in RAPID • • • • • Clear Aim & Outputs Building credibility with research/action Employing the right staff & staff development Good internal systems (Mgt, Comms & KM) Programme approach: – – – – Strategic opportunism Research / practical advice / stimulating debate Engagement with policy makers & practitioners Community of practice cf network • Financial opportunism RAPID Programme Plans • Further research – – – – GDN HIV/AIDS Networks CSOs • Engagement in the UK – EBP – Research Councils – Evidence Network • Global promotion and capacity-building – PPA – DFID – Advisory work Any Questions? Networks • Roles of Policy Networks – Filtering – Amplifying – Investor / Provider – Facilitator – Convening – Communities • Policy Code Sharing • Some networks net; some networks work. Group Discussion 3 • The APPC – What do you want it to do? – What is the added value? Conclusions • 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 Other sources of information: Visit http://www.odi.org.uk/rapid or e-mail rapid@odi.org.uk for a copy of the RAPID CD-ROM Evaluation • Please fill in the evaluation form