Maximising the impact of research on development policy: Lessons from ODI’s RAPID Programme

1. Maximising the impact of research on development policy: Lessons from ODI’s RAPID Programme John Young Overseas Development Institute, London j.young@odi.org.uk

2. Outline • ODI & RAPID • Definitions • Policy processes • 8-steps to policy influence • Examples • Further information

3. RAPID programme in ODI • Promoting evidence-based development policy & practice • Through • Research • Advice • Public Affairs • Capacity-building • Working with: • researchers • policymakers • parliamentarians • southern think tanks for further information see: www.odi.org.uk/rapid / www.odi.org.uk/cspp

4. Research and evidence • Research: “any systematic effort to increase the stock of knowledge” • Evidence: “information or signs indicating whether a belief or proposition is true or valid” (OED)” • Research-based evidence: “research results which support or refute a proposition (hypothesis)”

5. Policy • Policy = A purposive course of action • Policy change can be: • Discursive: changes in concepts and terminology. • Attitudinal: changes in relationships between actors. • Procedural: changes in the way that policy actors do things. • Content: changes in the strategy or policy documents or budgets. • Behavioural: permanent changes in behaviour (& incentives).

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

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

8. Policy is chaos “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” Clay & Schaffer (1984), Room for Manoeuvre: An Exploration of Public Policy in Agricultural and Rural Development, Heineman Educational Books, London

9. Chronic Poverty in Uganda Kate Bird et al, Fracture Points in Social Policies for Chronic Poverty Reduction, ODI WP242, 2004 (http://www.odi.org.uk/publications/working_papers/wp242.pdf)

10. Policy makers are… …practically incapable of using research-based evidence because of the 5 Ss… • Speed • Superficiality • Spin • Secrecy • Scientific Ignorance Vincent Cable – Lib. Democrat MP & Shadow Minister of Finance More at: www.odi.org.uk/RAPID/Meetings/Evidence

11. Experience & Expertise Pragmatics & Contingencies Judgement Lobbyists & Pressure Groups Evidence Resources Values and Policy Context Habits & Tradition There are many other factors Source: Phil Davies Impact to Insight Meeting, ODI, 2005

12. 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 notions of evidence Source: Phil Davies Impact to Insight Meeting, ODI, 2005

13. 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

14. 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

15. 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

16. What researchers need to know • 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?

17. 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?

18. Policy entrepreneurs Networkers Storytellers Fixers Engineers

19. 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

20. Influencing policy in 6 steps 0. Define the policy objective 5a. Develop an action plan

21. 1. Define policy objective • Discursive: Client-focused services • Attitudinal: Farmers have good ideas • Procedural: Participatory approaches to service development • Content: UU20, UU25. New guidelines • Behavioural: Approach adopted for other sectors

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 2. Understand the context External Influences Socio-economic and cultural influences, donor policies etc

23. 2. Understand the context Small and Medium Scale Enterprise Policy Programme. Ministry of Finance. Egypt. www.sme.gov.eg

24. 3. Identify the key actors Use the Alignment Interest Influence Matrix (AIIM) to identify the critical stakeholders Map actors on the matrix Identify which are the most influential Who do you work with directly? High 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

25. 3. Identify the key actors

26. 4. Identify theory of change Project Team Impact Outcomes Other Actors Inputs Activities Outputs Outcomes Outcomes Impact Impact BehaviourChange

27. 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 4. Identify theory of change

28. 5. Develop a strategy Your influence on the force Your influence on the force Negative forces Positive forces 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 = ?

29. 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? 6. Establish competencies Skills and abilities Funding lines Commitment to positions Contacts and Partners Existing activities Other orgs relevant to the issue Resources: financial, technical, human Political and policy space Other groups or forces

30. 6. Establish competencies

31. 7. Develop an action plan • Planning workshops • Log frames • Outcome mapping • Project planning / resource management tools • Gantt charts • PRINCE2

32. 8. Develop MEL system • Strategy and direction: Logframes; Social Network Analysis; Impact Pathways; Matrices • Management: ‘Fit for Purpose’ Reviews; ‘Lighter Touch’ Quality Audits; Horizontal Evaluation; Appreciative Inquiry • Outputs: Peer review, quality standards, usability assessments (websites); network analysis; After Action Reviews • Uptake: Impact Logs; New Areas for Citation Analysis; User Surveys • Outcomes and impacts: RAPID Outcome Assessment; Most Significant Change; Innovation Histories; Episode Studies

33. Groundwater in India • A research project to improve access to ground-water in India involving researchers, policy makers and activists. • Used framework to analyse factors: • Developed strategy for final phase: • Less research • More communication • Developing champions in regional and national government • Local, Regional & National advocacy campaign

34. Conclusions • 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! To maximise the impact of research on development policy you need to:

35. RAPID support • Research – knowledge policy and power • Tools and approaches • Advisory work • Public affairs – “policy engagement” • Evidence-based policy in development network • “Projects”

36. Further information RAPID - www.odi.org.uk/rapid • Working Papers • Briefing Papers • Books • Case Studies • Tool kits ebpdn: www.ebpdn.org Contact: j.young@odi.org.uk