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RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Context, Evidence, & Links
An analytical and practical
framework to improve links
between research and policy
John Young / Enrique Mendizabal
Overseas Development Institute, UK
[email protected]
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Programme
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Introductions
The RAPID framework
ODI case studies
Your case studies
RAPID and the CSPP
The challenges of running a Think Tank
Influencing policy in Latin America
How can we help?
Self Introductions
The RAPID Framework
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Overseas Development Institute
• 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
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
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
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
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
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
The linear logical model…
Identify the problem
Commission research
Analyse the results
Choose the best option
Establish the policy
Implement the policy
Evaluate the results
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
…in 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 Africa2”
• “Research is more often regarded as the opposite of action
rather than a response to ignorance”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 - Surr (2003), DFID Research Review
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Existing theory
1.
X
2.
3.
4.
5.
6.
7.
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13.
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16.
17.
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
18. Linear model of communication, Shannon
19. Interactive model,
20. Simple and surprising stories,
Communication Theory
21. Provide solutions, Marketing Theory I
22. Find the right packaging, Marketing II
23. Elicit a response, Kottler
24. Translation of technology, Volkow
25. Epistemic communities
26. Policy communities
27. Advocacy coalitions etc, Pross
28. Negotiation through networks, Sebattier
29. Shadow networks, Klickert
30. Chains of accountability, Fine
31. Communication for social change,
Rockefeller
32. Wheels and webs, Chapman & Fisher
www.odi.org.uk/rapid/lessons/theory
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Existing theory – a short list
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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
• The RAPID Framework
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
An Analytical Framework
External Influences
Socio-economic and
cultural influences,
donor policies etc
The links between policy
and research communities –
networks, relationships, power,
competing discourses, trust,
knowledge etc.
The political context –
political and economic structures
and processes, culture, institutional
pressures, incremental vs radical
change etc.
The evidence – credibility, the
degree it challenges received
wisdom, research approaches
and methodology, simplicity of
the message, how it is packaged
etc
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
A Practical Framework
External Influences
Politics and
Policymaking
Campaigning,
Lobbying
Scientific
information
exchange &
validation
political context
Media,
Advocacy,
Networking
links
Policy analysis, &
research
Research,
learning &
thinking
evidence
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
What you 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 repackaging?
• Links: Who are the key individuals? Are there existing
networks to use? How best to transfer the information? The
media? Campaigns?
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
RAPID Programme
What researchers need to do
What researchers
need to know
What researchers
need to do
Political Context:
• Get to know the policymakers. • Work with them – seek
commissions
• Identify friends and foes.
• Strategic opportunism –
• Prepare for policy
prepare for known events
opportunities.
+ resources for others
• Look out for policy windows.
• Who are the policymakers?
• Is there demand for ideas?
• What is the policy process?
Evidence
• What is the current theory?
• What are the narratives?
• How divergent is it?
Links
• Who are the stakeholders?
• What networks exist?
• Who are the connectors,
mavens and salesmen?
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Establish credibility
Provide practical solutions
Establish legitimacy.
Present clear options
Use familiar narratives.
• Get to know the others
• Work through existing
networks.
• Build coalitions.
• Build new policy networks.
How to do it
• Build a reputation
• Action-research
• Pilot projects to generate
legitimacy
• Good communication
• Build partnerships.
• Identify key networkers,
mavens and salesmen.
• Use informal contacts
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Policy entrepreneurs
Storytellers
Engineers
Networkers
Fixers
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Practical Tools
Overarching Tools
- The RAPID Framework
- Using the Framework
- The Entrepreneurship
Questionnaire
Communication Tools
- Communications Strategy
- SWOT analysis
- Message Design
- Making use of the media
Policy Influence Tools
- Influence Mapping & Power Mapping
- Lobbying and Advocacy
- Campaigning: A Simple Guide
- Competency self-assessment
Context Assessment Tools
- Stakeholder Analysis
- Forcefield Analysis
- Writeshops
- Policy Mapping
- Political Context Mapping
Research Tools
- Case Studies
- Episode Studies
- Surveys
- Bibliometric Analysis
- Focus Group Discussion
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Conclusions
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Policy processes are complex.
It is possible to understand enough…
to make sensible choices.
There are many well-known tools.
It is neither rocket-science nor fine art.
But it needs a systematic approach…
and work “outside the research itself”…
and enough resources.
ODI Case Studies
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
TEHIP, Tanzania
• Policy change: In the way that local
health policy and practice is planned
and resources are allocated
• Reasons:
– Political leadership
– International curiosity and support
– Reliable and relevant quantitative data
– EBP tools and skills introduced into
policy process
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
TEHIP, Tanzania
Impact
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 the two districts
in rural Tanzania where TEHIP was
implemented
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
TEHIP, Tanzania
Lessons
• Multiple benefits from research and
development funding and interaction
• Global relevance can give credibility
• Clear and decentralised decision making
strategies favour EBP
• Demographic data can help plan, monitor
and evaluate
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Coalition 2000, Bulgaria
• Policy change: Introduced anticorruption education in the national
curricula
• Reasons:
– Pertinent issue in 2003-2004
– The EU is calling
– Quantitative and qualitative evidence of
corruption
– Publicity (name a shame) and
cooperation (pilots): Show and tell
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Coalition 2000, Bulgaria
• Lessons
– CSOs filled the information gap
– CSOs supported government initiatives
– Credibility gained through partnerships
(trust by association)
– External support (prompted by credibility
and results)
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Case Studies
• Sustainable Livelihoods: The Evolution
of DFID Policy
• The PRSP Initiative: Research in
Multilateral Policy Change
• The adoption of Ethical Principles in
Humanitarian Aid post Rwanda
• Animal Health Care in Kenya: Evidence
fails to influence Policy
• 50 GDN Case Studies: Examples where
evidence has or hasn’t influenced policy
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Paravets in Kenya
1970s - Professionalisation of Public
Services.Research
International
- Structural Adjustment → Collapse
- Paravet projects emerge.
1980s - ITDG projects
projects.– collaborative research.
- Privatisation
Privatisation.
- ITDG Paravet network
network.and change of DVS.
1990s
- Rapid spread in North. The Hubl Study
Dr Kajume
- KVB letter (January 1998).
- Multistakeholder WSs → new policies.
2000s
- Still not approved / passed!
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
DELIVERI - Indonesia
• Decentralised Livestock Services
in Eastern Indonesia
• 5 years (originally 10)
• Public Service reform (in livestock sector)
• Action-research + institutional development
+ policy reform
• Surprisingly successful: “The DELIVERI programme has
developed some useful models of institutional change in the
context of decentralisation, making a government service
more responsive to the needs of local people”1
1 DFID
Country Strategy Paper for Indonesia September 2000
For more information see: www.deliveri.org
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Political context
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1963 - 1995 centralised & bureaucratic
Policy “maintained” by senior bureaucrats
Services “delivered” by bureaucrats
Services “received” by farmers
Participation & decentralisation in Repelita VI
Senior champion
Long DFID involvement & successful pilot
Gradual budget squeeze
1998 economic crisis → Political crisis
Sudden decentralisation → huge demand for new
policies and practice
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Evidence
• Radical new idea (in Indonesia)
• Specific concerns (legal / welfare /
corruption / quality / professional)
• Preference for word-of-mouth or
sophisticated visual information
• Baseline study to illustrate need +
evidence from elsewhere
• Practical action-research + good M&E
• > 20% “investment” in communication:
hands-on engagement, visits, leaflets,
video, multimedia
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Links
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Senior internal champion
Steering Committee
Farmers & Service staff working together
Informal networks through peers
The K20
Planning Bureau Department of
Agriculture
• Rakontechnis
• Other Programmes (P4K, SfDM)
• The media
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Luck
• Timing:
– REPELITA VI
– Financial Crisis
• Misunderstandings
– about implications
– about “quality management”
• People and personalities
– Donor
– Dept of Livestock Services
– Department of Agriculture
Your Case Studies
RAPID and the CSPP
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
RAPID & the CSPP
RAPID
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The role of evidence in policy processes;
Improved communication and information systems;
Better knowledge management and learning;
Approaches to institutional development for EBP
CSPP
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CSOs, evidence and policy processes;
Regional and national consultations;
Useful information on current development policy issues;
Collaboration in Southern and Northern policy networks
Tools for Policy Influence
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Practical Tools
Overarching Tools
- The RAPID Framework
- Using the Framework
- The Entrepreneurship
Questionnaire
Communication Tools
- Communications Strategy
- SWOT analysis
- Message Design
- Making use of the media
Policy Influence Tools
- Influence Mapping & Power Mapping
- Lobbying and Advocacy
- Campaigning: A Simple Guide
- Competency self-assessment
Context Assessment Tools
- Stakeholder Analysis
- Forcefield Analysis
- Writeshops
- Policy Mapping
- Political Context Mapping
Research Tools
- Case Studies
- Episode Studies
- Surveys
- Bibliometric Analysis
- Focus Group Discussion
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Stakeholder Analysis
Why:
•
•
To understand who
gains or lose from a
policy or project.
To help Build
Consensus.
High
Keep
Satisfied
Power
Monitor
(minimum
effort)
Steps:
1. Identify Stakeholders
2. Analysis Workshop
3. Develop Strategies
Engage
Closely
Keep
Informed
Low
Low
High
Interest
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Forcefield Analysis
Steps:
1. Identify a specific
Change
2. Identify forces for and
againsty change
3. Prioritise the forces
4. Develop Strategies to
overcome opposing
and reinforce
supporting forces
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Policy Process Mapping
• General Context issues – domestic and international.
• Specific Policy Issues (i.e. the policy cycle)
• Who are the Stakeholders? (Stakeholder analysis)
– Arena: government, parliament, civil society,
judiciary, private sector.
– Level: local, national, international
• What is their Interest and Influence?
• Process matrix + political matrix
• Political and administrative feasibility assessment
[Sources: M. Grindle / J. Court ]
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Policy Process Mapping
Agenda
Formulation
Implementation
Government
Political Society
Bureaucracy
Civil Society
Private Sector
International
National & Local (& International)
Mon & Eval.
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Think Tanks – 3 Modes of Influence
Gas
Liquid
Solid
www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Series.html
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Different Roles
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Log Frame Approach
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Goal
Purpose
Stakeholders
Outputs
Assumptions
Indicators / MoVs
The DELIVERI Project
• Log frame
• Programme Design
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Outcome Mapping
• Focuses on:
– changes in behaviour
– how programs “facilitate” rather
than “cause” change
• Recognizes the complexity of
development processes
• Looks at “logical links” between
interventions and outcomes
• Locates programme goals within
the broader development context
• Encourages innovation and risktaking
• Involves program staff and
partners throughout
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Outcome Mapping: example
Bi/Multilateral
Donors
International
NGO
IDRC
National SME
Policy
Other
businesses
/market
National NGOs
/think tanks
SMEs
Inter/National
Media
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Communications strategy
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Identify the audience(s)
Identify the message(s)
Promotion
Evaluate impact and
change as necessary
• Clear Strategy
– Interactive
– Multiple formats
Who?
How? What?
The DELIVERI Project:
• Information Strategy / Leaflet
• Materials
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Writing Effective Policy Papers I
Providing a solution to a policy problem
• The policy community
• The policy process
• Structural elements of a paper
– Problem description
– Policy options
– Conclusion
• Key issues: Problem oriented, targeted, multidisciplinary,
applied, clear, jargon-free.
[Source: Young and Quinn, 2002]
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
How Networks Help: 6 Key Functions
1. Filters:
4. Facilitators:
2. Amplifiers:
5. Community
builders:
3. Convenors:
6. Investor /
Providers
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
For effective policy advocacy…
• Need to be able to:
– Understand the political context
– Do credible (action)research
– Communicate effectively
– Work with others
• Need organisational capacity
– Staff
– Internal processes
– Funds
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
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
Struyk, 2002, Local
Governance Institute,
Open Society
Network, Budapest
• Building an organisational profile
– Communications, Public Affairs and the Media
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Groundwater in India
• 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
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
SMEPOL Project Egypt
• An IDRC project to improve small and
medium scale enterprise policy in Egypt
• Policy analysts & researchers
• Used a range of tools:
–
–
–
–
–
Policy Process Mapping
RAPID Framework
Stakeholder Analysis
Force-Field Analysis
SWOT
• To develop action plans for more
evidence-based policy development
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
DFID Internal Policy Processes
• To explore how policies formed and
promoted in DFID.
• Small, informal workshop:
– 7 staff
– Identified 8 recent policy initiatives
– pair-wise ranking of success factors.
• Key factors in DFID:
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–
–
–
Intellectual coherence & “evidence”
Congruence with White Papers
High-level support
Follow-up
Running Think Tanks
Influencing Policy in Latin
America
In Groups: Identify key constraints and
opportunities in each dimension of the CEL
Framework for Latin America
What do you need to be able
to do this?
How can we help?
RAPID Programme
Research
and PolicyPartnerships
in DevelopmentProgramme
Civil Society
Further Information / Resources
• ODI Working Papers
• Bridging Research and
Policy Book
• Meeting series Monograph
• Tools for Policy Impact
• RAPID Briefing Paper
• RAPID CDROM
• www.odi.org.uk/rapid

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