Lessons from researchbased policy influencing

Lessons from researchbased policy influencing By Ajoy Datta, RAPID programme National Conference Lesotho 12 th April 2011

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 2

RAPID s double focus Understanding the research/policy/practice nexus Context Sectoral dynamics Actors (e.g. think tanks) Frameworks Types of knowledge Facilitating organisational engagement Knowledge management Monitoring, evaluation and learning Partnerships, networks and communities of practice Policy engagement strategies Research communication 3

Presentation plan 1. Lessons from our work studying CSOs using evidence to engage with policy 2. An approach to planning policy engagement modelled on the Outcome Mapping project mgmt methodology Evidence based on 100 case studies; several workshops; support to UK s Department for International Development; and tried and tested policy engagement tools

6 lessons from our work Policy processes and social realities are complex Research plays a minor role in policy and practice But it is possible for research to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary!

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

Policy Cycle Monitoring and Evaluation Political Vision Implementation Policy Formulation Decision Making Source: Involve Policy Proposals 7

Policy processes are... Donors Civil Society Political Vision Policy Formulati on Cabinet Decision Making Parliament Monitoring and Evaluation Policy Implementati on Ministries Private Sector 8

The six lessons Policy processes and social realities are complex Evidence plays a minor role in policy and practice But it is possible for research to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary!

Policy makers are practically incapable of using 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

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

The six lessons Policy processes and social realities are complex Research plays a minor role in policy and practice But it is possible for evidence to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary!

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

The six lessons Policy processes and social realities are complex Research plays a minor role in policy and practice But it is possible for research to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary!

An analytical framework External Influences Socio-economic and cultural influences, donor policies etc 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 six lessons Policy processes and social realities are complex Research plays a minor role in policy and practice But it is possible for research to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary!

Policy and social entrepreneurs Storytellers Engineers Networkers Fixers

The six lessons Policy processes and social realities are complex Research plays a minor role in policy and practice But it is possible for research to play a role Must understand landscape Policy and social entrepreneurs need a set of skills Intent is necessary

Conclusions To improve impact, may need to: focus more on policy establish different incentives 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

Bottom line issues You must reach policy-makers The quest for visibility versus substantive change Influence (including the process) must be informed by evidence Credibility Relevant to the context

Question and answer session Image: Leo Reynolds

So now what?

RAPID Outcome Mapping Approach Start by defining your policy objectives constantly review them during the process

The steps Start by defining your policy objectives constantly review them during the process

Types of objectives Discursive changes Procedural changes Content changes Attitudinal changes Behavioural changes

Problem Tree Analysis Agree on problem to be analysed Identify causes and effects Process promotes discussion and dialogue

The steps Start by defining your objectives constantly review them during the process

The RAPID Framework External Influences Socio-economic and cultural influences, donor policies etc 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

What you need to do What need to know What need to do How to do it Political Context: 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? Get to know the policymakers. Identify friends and foes. Prepare for policy opportunities. Look out for policy windows. 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. Work with them seek commissions Strategic opportunism prepare for known events + resources for others Build a reputation Action-research Pilot projects to generate legitimacy Good communication Build partnerships. Identify key networkers, mavens and salesmen. Use informal contacts

Policy Organisation Map Small and Medium Scale Enterprise Policy Programme. Ministry of Finance. Egypt. www.sme.gov.eg

Other tools Civil Society Index (CIVICUS) Country Policy & Institutional Assessment (World Bank) Democracy and Governance Assessment (USAID) Drivers of Change (DFID) Governance Questionnaire (GTZ) Governance Matters (World Bank Institute) Power Analysis (Sida) World Governance Assessment 1

The steps Start by defining your policy objectives constantly review them during the process

General level of alignment Identifying audiences AIIM Matrix 1. Identify all stakeholders 2. Map them onto the alignment / interest matrix 3. Identify who has power 4. Identify who you can influence High Low Develop enthusiasm to address topic Develop awareness and enthusiasm Low Interest in specific topic Learn in partnership Challenge existing beliefs High

AIIM: some examples

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

The steps Start by defining your policy objectives constantly review them during the process

Progress Markers Move from initial to more profound changes in behaviour Show transformation in a single boundary partner More informative than a single indicator

Example POLICY OBJECTIVE: Development of specific policy for vulnerable children ACTOR CURREN T BEHAVI OUR SHORT TERM CHANGE MEDIUM TERM CHANGE LONG TERM CHANGE Parliament ary Committee Chair on Children Interested but lacking evidence They start using us as a source of information We re called to parliamenta ry committee hearing Propose legislation to draft OVC policy DFID Social Policy Advisor Interested but sceptical Reads our position paper; Participate in NAC impact mitigation meetings Put pressure on relevant government ministries

The steps Start by defining your policy objectives constantly review them during the process

Research Possible influencing strategies Involving users in research governance Developing, joining, strengthening a network(s) Building/strengthening partnerships Working with the media (online, print, audio, visual) Academic research communications (journals and conferences) Online communications (blogs, emails) Publications (briefing papers, opinion pieces) Events (public and private meetings)

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

Assessing internal capacity Start by defining your policy objectives constantly review them during the process

SWOT Analysis 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? Strengths Opportunities Weaknesses Threats

Monitoring and Evaluating Start by defining your policy objectives constantly review them during the process

Developing an M&E plan 3 steps Define how you think change will happen Define indicators to measure Identify tools to collect data

Stories Stories of change 1. Situation 2. A change or challenge 3. Action 4. Result 5. Lesson

After Action Review An after action review asks 4 simple questions: What was supposed to happen? What actually happened? Why was there a difference? What can we learn from it? 15 minute team debrief, conducted in a rank-free environment.

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 For example: Log Frame (flexible) Outcome Mapping Journals or impact logs Internal monitoring tools 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: Policy entrepreneur questionnaire SWOT Internal performance frameworks For example: Publications, public relations Media and events Negotiation and advice Develop a network or coalition Research For example: Force Field Analysis

More research Develop a network or partnership Media strategy Academic research Online communications communications

It s just the beginning...

Question and answer session Image: Leo Reynolds