Are you a Policy Entrepreneur? How to promote pro-poor policy & practice?

1. Are you a Policy Entrepreneur? How to promote pro-poor policy & practice? An ODI Workshop London, 16th 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. 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 Existing theory www.odi.org.uk/rapid/lessons/theory

6. 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.

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 strategies1” • “Most policy research on African agriculture is irrelevant to agricultural and overall economic policy in Africa2” 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 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 The Analytical Framework External Influences Socio-economic and cultural influences, donor policies 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 don’t 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 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 The Analytical Framework External Influences Socio-economic and cultural influences, donor policies etc

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

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 • 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?

26. Paravets in Kenya • 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! 1970s 1980s 1990s 2000s

27. Paravets in Kenya - Political Context • 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. 1970s 1980s 1990s 2000s

28. International Research The Hubl Study Paravets in Kenya - Research • 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. 1970s 1980s 1990s 2000s ITDG projects – collaborative action research.

29. International Research The Hubl Study Dr Kajume Paravets in Kenya - Links • 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. 1970s 1980s 1990s 2000s ITDG projects – collaborative action research.

30. 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

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

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

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 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 Criteria for Assessing Policy Options

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

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