Policy Entrepreneurship:

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)

• Britains 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
Existing theory

• 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

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?
Vincent Cable MP on legislators use of
evidence

• Speed
• Superficiality
• Spin
• Secrecy
• Scientific Ignorance

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 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 gt 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 dont 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 Analytical Framework
External Influences Socio-economic and cultural
influences, donor policies etc
23
A Practical Framework
political context
Politics and Policymaking
Campaigning, Lobbying
Policy analysis, research
Media, Advocacy, Networking
Research, learning thinking
Scientific information exchange validation
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

• Get to know the policymakers.
• Identify friends and foes.
• Prepare for policy opportunities.
• Look out for policy windows.

• Work with them seek commissions
• Strategic opportunism prepare for known events
  resources for others

• 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

• 1970s
• 1980s
• 1990s
• 2000s

• 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!

28
Paravets in Kenya - Political Context

• 1970s
• 1980s
• 1990s
• 2000s

• 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.

29
Paravets in Kenya - Research

• 1970s
• 1980s
• 1990s
• 2000s

• 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.

ITDG projects collaborative action research.
30
Paravets in Kenya - Links

• 1970s
• 1980s
• 1990s
• 2000s

• 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.

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
Stakeholder Analysis

• Why
• Understand who gain or lose from a policy or
  project.
• Help Build Consensus.
• Steps
• Identify Stakeholders.
• Analysis Workshop.
• (Develop Strategies)

44
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
Engineers
Fixers
48
Building policy entrepreneurs
Xxxxxx Xxxxxxxx 45 25 35 45 Xxxxxx Xxxxxxxx
36 27 37 50 Xxxxxx Xxxxxxxx 26 34 43 47 Xxxx
xx Xxxxxxxx 39 36 39 36 Xxxxxx Xxxxxxxx
40 29 37 44 Xxxxxx Xxxxxxxx 39 35 35 41 Xxxx
xx Xxxxxxxx 22 38 43 47 Xxxxxx Xxxxxxxx
41 37 40 32 Xxxxxx Xxxxxxxx 39 36 39 36 Xxxx
xx Xxxxxxxx 42 30 38 40 Xxxxxx Xxxxxxxx
36 36 37 41 Xxxxxx Xxxxxxxx 41 32 32 45 Xxxx
xx Xxxxxxxx 38 37 35 40 Xxxxxx Xxxxxxxx
31 41 41 37 Xxxxxx Xxxxxxxx 37 26 37 48 A
verage 37 33 38 42
gt44 Low
lt30 High
lt23 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
Think Tanks 3 Modes of Influence
www.odi.org.uk/RAPID/Meetings/Evidence/Evidence_Se
ries.html
51
How were doing it in RAPID

• Clear Aim Outputs
• Building credibility with research/action
• Employing the right staff staff development
• Good internal systems (Mgt, Comms KM)
• Programme approach
• Strategic opportunism
• Research / practical advice / stimulating debate
• Engagement with policy makers practitioners
• Community of practice cf network
• Financial opportunism

52
RAPID Programme Plans

• Further research
• GDN
• HIV/AIDS
• Networks
• CSOs
• Engagement in the UK
• EBP
• Research Councils
• Evidence Network
• Global promotion and capacity-building
• PPA
• DFID
• Advisory work

53
Any Questions?
54
Networks

• Roles of Policy Networks
• Filtering
• Amplifying
• Investor / Provider
• Facilitator
• Convening
• Communities
• Policy Code Sharing
• Some networks net some networks work.

55
Group Discussion 3

• The APPC
• What do you want it to do?
• What is the added value?

56
Conclusions

• Research is essential but
• Other work is needed to ensure it contributes to
  the development and implementation.
• Clear lessons about how are emerging
• Political context is crucial understand it to
  maximize your chances
• Figure out what evidence is needed and how to
  package it for policy makers
• Collaborate with other actors

57
Other sources of information
Visit http//www.odi.org.uk/rapid or e-mail
rapid_at_odi.org.uk for a copy of the RAPID CD-ROM
58
Evaluation

• Please fill in the evaluation form