Policy Entrepreneurship: How to promote more informed policy & practice?

1. 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/

2. Self Introductions • 1 minute! • Name & organization • Country

3. 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

4. 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

5. 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

6. 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

7. Generic Policy Processes

8. 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

9. 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.

10. 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.

11. 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).

12. Reality II … Parallel Universes? • Speed • Superficiality • Spin • Secrecy • Scientific Ignorance Vincent Cable – MP on legislators & use of evidence: More at: www.odi.org.uk/RAPID/Meetings/Evidence

13. Any Questions?

14. 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!

15. 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

16. 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

17. 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

18. 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

19. 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)

20. Other models

21. Discussion • Any clarifications? • Does the framework make sense? • What is missing? • Is the framework useful? • What is OSI experience?

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, Advocacy, 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. What researchers 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? • 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. 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

27. 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

28. 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

29. 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.

30. 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.

31. 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

32. 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. 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

34. 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

35. Any Questions?

36. 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!

37. 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

38. Practical Tools Overarching Tools - The RAPID Framework - Using the Framework - The Entrepreneurship Questionnaire 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 - Competency self-assessment

39. Assessing Political Contexts

40. 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 ]

41. Mapping Policy Processes

42. Forcefield Analysis • Specific Change • Identify Forces • (Identify Priorities) • (Develop Strategies)

43. 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)

44. Who? How? Audience What? Message Promotion Communications strategy • Identify the audience(s) • Identify the message(s) • Promotion • Evaluate impact and change as necessary • Clear Strategy • Interactive • Multiple formats

45. 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

46. 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

47. Policy entrepreneurs Networkers Storytellers Fixers Engineers

48. Building policy entrepreneurs Xxxxxx Xxxxxxxx 45 25 35 45 Xxxxxx Xxxxxxxx 36 27 37 50 Xxxxxx Xxxxxxxx 26 34 43 47 Xxxxxx Xxxxxxxx 39 36 39 36 Xxxxxx Xxxxxxxx 40 29 37 44 Xxxxxx Xxxxxxxx 39 35 35 41 Xxxxxx Xxxxxxxx 22 38 43 47 Xxxxxx Xxxxxxxx 41 37 40 32 Xxxxxx Xxxxxxxx 39 36 39 36 Xxxxxx Xxxxxxxx 42 30 38 40 Xxxxxx Xxxxxxxx 36 36 37 41 Xxxxxx Xxxxxxxx 41 32 32 45 Xxxxxx Xxxxxxxx 38 37 35 40 Xxxxxx Xxxxxxxx 31 41 41 37 Xxxxxx Xxxxxxxx 37 26 37 48 Average 37 33 38 42 >44 = Low <30 = High <23 = V.High

49. 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]

50. Gas Liquid Solid Think Tanks – 3 Modes of Influence www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html