Research, policy and practice: A practioner’s perspective

1. Research, policy and practice: A practioner’s perspective 21 April 2010, University of Southampton Jeff Knezovich, ODI j.knezovich@odi.org.uk

2. Presentation outline • ODI, the RAPID Programme and the context in which we work • Six lessons about policy influence • The RAPID Outcome Mapping Approach (ROMA) to policy influence

3. The Overseas Development Institute (ODI) • UK’s leading think tank on international development and humanitarian issues • Staff: 160 staff including 75 researchers • Functions: research, advice and public debate • Issues: Rural, Humanitarian, Poverty & Aid, Economics, Policy Processes • For more information see www.odi.org.uk

4. Understanding the research/policy/practice nexus Facilitating organisational engagement RAPID’s double focus • Political context • Social and cultural factors • Type of evidence/ knowledge • Mapping stakeholders • Self-positioning • Developing strategies • Managing knowledge • Collaboration and innovation • Communication • Monitoring, evaluation and learning

5. The gap betweenresearch and policy gap Research Policy Bridge

6. No gap between research and policy Crowded Technocratic networks Universities Research Political parties Ideological think tanks NGOs Internal think tanks Regulatory bodies Think tanks UN Think tanks Lobbies Policy Public think tanks Executive corporations Map

7. How do think tanks work? “Oxbridge” The Media Applied research centres in universities Internal think tanks, ideological centers, interest groups, NGOs, lobbies “Independent Think tanks” Consultancies Chief scientific advisors, Academic/Opinion leaders Political parties Source: Mendizabal, E. and Sample, K. (2009) Think tanks and political parties in Latin America. IDEA: Sweden.

8. What functions dothink tanks play? • Promote the adoption and implementation of policies based on research. • But also: • Create and promote spaces for debate/ sounding boards for policy-makers • Develop the capacity and train future generations of policy-makers • Legitimise and support narratives and policies • Channel funds into political parties and other partisan groups

9. How do we influence?

10. Discursive changes To achieve what? Procedural changes Content changes Attitudinal changes Behavioural changes

11. Visibility and/or substance?

12. What actually matters? • According to Andrew Rich, substantive influence: • Length of the process • Where decisions are made • Interest groups • Involved in the problem definition Marketing strategies only matter in terms of positioning your experts in the right policy spaces Source: Rich, A. (2004) Think tanks, public policy and the politics of expertise. Cambridge University Press.

13. Some challenges • Visibility can detract from substantive influence and even reduce credibility • Developing communication competencies could undermine research competencies • Research communication can contribute to ‘dumbing down’ the audience

14. 1. Visibility for what? • Visibility can be a good thing: • It can lead to more funds • It can lead to influence • But the visibility effort can undermine the capacity to bring about substantive influence

15. 1. Visibility can reduce credibility

16. 2. Researchers research

17. 3. ‘Dumbing down’

18. Some bottom line issues • We must command high quality research for substantive influence • We must reach policymakers (because long gone are the days when they came looking for research) • We must base our influence (including the process) on research • We must be credible • And we must be relevant to our context

19. Communicating for evidence-informed results • Recap: • ‘Evidence-informed’ implies that the audience or the person influenced bases their decisions or behaviours on research • The type of organisation that we are affects the type of influencing approaches we choose (but don’t forget research) • Results are not hits on our website –they are substantive changes in ‘policy’

20. So now what?

21. The six lessons

22. Commission research Analyse the results Choose the best option Establish the policy Implement the policy Evaluation Policy makers do not... Identify the problem

23. Cabinet Donors Policy Formulation Parliament Agenda Setting Decision Making Civil Society Ministries Monitoring and Evaluation Policy Implementation Private Sector Policy processes are...

24. The six lessons

25. Experience & Expertise Pragmatics & Contingencies Judgement Lobbyists & Pressure Groups Evidence Resources Values and Policy Context Habits & Tradition What is most influential for policymakers? Source: Phil Davies Impact to Insight Meeting, ODI, 2005

26. Policy Makers’ Evidence Researchers’ Evidence • ‘Scientific’ (Context free) • Proven empirically • Theoretically driven • As long as it takes • Caveats and qualifications • Colloquial (Contextual) • Anything that seems reasonable • Policy relevant • Timely • Clear Message Different notionsof evidence Source: Phil Davies Impact to Insight Meeting, ODI, 2005

27. The six lessons

28. Health Care in Tanzania “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.” TEHIP Project, Tanzania: www.idrc.ca/tehip

29. The six lessons

30. Thepolitical context– political and economic structures and processes, culture, institutional pressures, incremental vs radical change etc. Theevidence– credibility, the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc Thelinksbetween policy and research communities – networks, relationships, power, competing discourses, trust, knowledge etc. An analytical framework External Influences Socio-economic and cultural influences, donor policies etc

31. 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

32. 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? • Build a reputation • Action-research • Pilot projects to generate legitimacy • Good communication • Establish credibility • Provide practical solutions • Establish legitimacy. • Present clear options • Use familiar narratives. • 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?

33. The six lessons

34. Policy and social entrepreneurs Networkers Storytellers Fixers Engineers

35. The six lessons

36. Conclusions To improve impact, may need to: • focus more on policy than research • establish different incentives / culture • establish different systems • spend more on communications • engage with different actors • produce different products • be ready to seize unexpected policy opportunities and move very fast

37. The ROMA and Communications More research Develop a network or partnership Media strategy Academic research communications Online communications

38. 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

39. Policy Formulation Agenda Setting Decision Making Monitoring and Evaluation Policy Implementation The importance of the policy cycle

40. Social network analysis UNICEF Economic Policy Advisor Save the Children UK, Economic & Poverty Policy Officer DFID Social Development Advisor Amhara Regional State Budget Office Head Children & Youth Bureau Head, Ministry of Children & Youth Head of Social & Labour Affairs, Congressional Standing Committee Head of PRSP Technical Committee in Min. of Finance & Econ. Policy Division Head, Ministry of Education Children's Rights Club Representative Kebele Women's Association Federation Officer Amhara School PTA Representative Ethiopia Employers Association

41. Alignment, Interest and Influence Matrix (AIIM) High Map actors on the matrix Identify which are the most influential Who do you work with directly? Develop enthusiasm to address topic Learn in partnership General level of alignment Develop awareness and enthusiasm Challenge existing beliefs Low Interest in specific topic Low High

42. AIIM: some examples

43. Discursive changes Types of policy objectives Procedural changes Content changes Attitudinal changes Behavioural changes

44. Force Field Analysis Your influence on the force Negative forces Positive forces Your influence on the force MEF Funds Plan: Minister of Trade puts forward pro-poor trade and complementary policy programme to the cabinet by April 2008 2 4 4 5* Time CSOs 1 2 1 3 ? Public demand ? 2 2 ? ? ? ? ? ? ? Total = ? Total = ?

45. What type of policy influencing skills and capacities do we have? In what areas have our staff used them more effectively? Who are our strongest allies? When have they worked with us? Are there any windows of opportunity? What can affect our ability to influence policy? SWOT Analysis

46. OUTCOME MAPPING:Building Learning and Reflection into Development ProgramsSarah Earl, Fred Carden, and Terry Smutylo http://www.idrc.ca/en/ev-9330-201-1-DO_TOPIC.html The Three Stages

47. For example: • RAPID Framework • Drivers of Change • Power Analysis • SWOT • Influence Mapping • Force Field Analysis • For example: • AIIM • Stakeholder analysis • Influence Mapping • Social Network Analysis • Force Field Analysis Start by defining your policy objectives – constantly review them during the process • For example: • Progress Markers • Opportunities and Threats timeline • Policy Objectives • AIIM • Force Field Analysis • For example: • Log Frame (flexible) • Outcome Mapping • Journals or impact logs • Internal monitoring tools • For example: • Force Field Analysis • For example: • Policy entrepreneur questionnaire • SWOT • Internal performance frameworks • For example: • Publications, public relations • Media and events • Negotiation and advice • Develop a network or coalition • Research

48. Additional materials • Think tanks and political parties in Latin America • http://www.idea.int/publications/thinking_politics/upload/Think-Tanks_overview_English_inlay.pdf • ‘RAPID Knowledge’ in Journal of Public Administration and Development • http://works.bepress.com/cgi/viewcontent.cgi?article=1004&context=diane_stone • M&E of research influence • http://www.odi.org.uk/resources/download/1751.pdf • Learning oriented competency framework • http://www.odi.org.uk/RAPID/Tools/Toolkits/KM/docs/5_competencies.pdf • Evidence based policy in development network www.ebpdn.org