Nick Hooton 22 nd June 2007

1. Supporting policy change through research: The experiences of the Smallholder Dairy Project in Kenya Nick Hooton 22nd June 2007

2. Why this presentation? • This ACIAR project goes beyond research activities – Objective 5 is to: • Promote awareness and uptake of the pro-poor policy, institutional and investment options emerging from the project amongst stakeholders, decision makers, investors and market actors in the pig industry in Vietnam. • But when and why does research actually result in changed policy and practice? • How can such influence be achieved for the ACIAR project? • Lessons from a recent collaborative project in Kenya may help with a strategy for this.

3. What I will talk about • Outline of dairy marketing policy issues in Kenya • What was the Smallholder Dairy Project? • What did it achieve? • How did it achieve this? • Case study from ILRI/ODI policy process project • What lessons can be drawn and help towards achieving Objective 5 and the overall aim of the ACIAR project?

4. The dairy sector in Kenya • Very important agricultural sub-sector • Predominantly based on smallholder production with informal marketing by small-scale traders • >86% of all marketed milk is sold as ‘raw’ (unprocessed) milk to consumers • Based on strong consumer demand for raw milk • Some 800,000 dairy-cow owning households • Employing some 350,000 full time employees • Majority of all dairy marketing jobs (over 40,000 jobs) are in the informal sector • Poor consumers access affordable milk • Milk is invariably boiled before use, eliminating bacterial public health concerns

5. Policy environment – pre 2004 • Dairy policy based on industrial cold-chain model • Sales of raw milk prohibited in urban areas • Kenya Dairy Board (KDB) are main regulators • But make-up did not reflect range of sector stakeholders • KDB and others harassed and arrested small traders • Small traders were unlicensed and unable to access training on milk handling • There were perceived concerns about poor milk quality and public health risks • Powerful private sector actors (processors) put pressure on KDB to stamp out informal trade

6. Policy environment - now • Positive engagement by KDB with small-scale milk vendors • Training and certification, with incentive system • Working with partners to help establish business development services to informal sector • A new Dairy Policy in parliamentary process • Explicitly recognises role of small traders • Commits to engaging with informal sector for training and quality improvement • Transition of KDB to be stakeholder-managed

7. How did this change happen? • A key role was played by the Smallholder Dairy Project • Conclusion of a detailed study by ODI/ILRI on influences leading to the policy change

8. What was the Smallholder Dairy Project (SDP)? • A collaborative research and development project (1997-2004) jointly implemented by • Ministry of Livestock and Fisheries Development • Kenya Agricultural Research Institute • International Livestock Research Institute • Goal • Improved access by poor dairy farmers to goods, services and output markets, and by other farmers to agricultural knowledge services • Purpose • Policies and institutions to support: a) dairying by the poor and b) effective agricultural knowledge systems in support of the poor

9. SDP evidence about the sector • Produced wide-ranging & robust evidence on: • Economic importance of informal sector • Livelihoods and employment • Consumer demand underlying market structure • Actual public health risks & how they can be reduced • Practical training and support for informal traders • Nutritional benefits for poor consumers • Evidence implied a different model for dairy marketing policy in Kenya, with a key role for informal sector • ‘Bridging the regulatory gap’ and including raw milk markets in the development strategy

10. SDP strategy to influence policy • All activities based on the research evidence • Collaborative approach meant continual communication of evidence from start of project • Steering committee of key industry stakeholders • Project manager within Ministry of Livestock • Regular presentation of evidence to stakeholder meetings • Field visits • Use of media • High level Policy Forum • Links with advocacy-focused NGOs to allow evidence to be more actively promoted

11. SDP’s influencing strategy

12. Key factors 1: • “Ownership” – developed by government in collaboration with ILRI and DFID. • Effective partnerships • Built over time • But opportunistic where appropriate • Good working relationships • Continuity • Shared vision and objectives

13. Key factors 2: • Communication: • Throughout project – from inception to end • To wide range of actors • Strategic and ‘multi-pronged’ • Production of variety (‘hierarchy’) of materials for different audiences • Policy briefs produced and actively used • Opportunistic

14. Key factors 3: • Awareness of political and economic environment and role/incentives of key actors to act on the results of the research. • Sensitivity to conflicts in the interpretation of evidence – keeping talking to those opposed to change. • Close links to underlying government policies and strategies. • An evolving strategy to take account of all these

15. Key factors 4: • Participatory approaches • Made evidence relevant and developed practical solutions • Pilot testing of interventions. • Enabled KDB to test new approaches in collaboration with NGO and research partners • Flexible project arrangements – ability to focus on key issues that emerged and evolved

16. And the ACIAR project? • A different sector in a different country • But certain principles are still likely to enable the research to inform policy choices: • Maintaining close partnerships • Involves significant time and effort • Ensuring research meets the demands of all relevant stakeholders and their concerns • Policy makers, small-scale and large-scale farmers, consumers, input and output suppliers, service deliverers etc • Participatory approaches wherever possible • Communication at all stages to all relevant stakeholders, using diverse means

17. More information • Smallholder Dairy Project • www.smallholderdairy.org • ILRI/ODI project on policy change processes • www.pppppc.org • ODI “Research and Policy in Development” (RAPID) Programme • www.odi.org.uk/rapid