Are you a Policy Entrepreneur

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• Are you a Policy Entrepreneur?
• How to promote pro-poor
• policy practice?

An ODI Workshop London, 16th March 2004
John Young Julius Court Research and Policy in
Development Programme www.odi.org.uk/rapid/
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WS Purpose

• Share experiences
• Learn about evidence-based policy and practice in
  the UK and Developing Countries
• Try out some simple tools for policy analysis and
  action
• Learn about other tools and approaches which have
  been used elsewhere, and about where to access
  further information and resources
• Develop a personal action-plan to improve the
  impact of your own work.

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WS Outline

• Share experiences about your own work
• The RAPID analytical framework
• Try it out out!
• The RAPID action framework
• Try it out!
• The policy entrepreneur questionnaire results
• Some useful tools
• Action planning
• Evaluation sources of further information.

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RAPID Programme

• Desk-based literature reviews
• GDN project
• 50 preliminary case studies
• Phase II studies (25 projects)
• ODI project
• 4 detailed case studies
• HIV/AIDS
• Advisory work
• Workshops and seminars

www.odi.org.uk/rapid
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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
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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.
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Reality

• Linear logical ? dynamic, complex, two-way.
• 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

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
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Group Task 1

• Discuss your own work - identify the main policy
  objectives what you do to achieve them.
• Appoint a secretary to take notes!

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Definitions

• Research any systematic effort to increase the
  stock of knowledge (NB focus on science)
• 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

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The Analytical Framework
External Influences Socio-economic and cultural
influences, donor policies etc
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Other models
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Some Key Questions

• The external environment What are the major
  external influences (war on terror EU
  accession)? Who are the key international donors
  what impact do their policies have? What impact
  do donor research policies have?
• The political context What is the nature of
  governance and democracy? What is the current
  policy narrative? Is there political interest in
  change? What is the capacity of and incentives in
  the bureaucracy (to use research)?
• The evidence What is the quantity, quality and
  relevance of research? Are the concepts familiar
  or new? How are findings packaged and
  communicated? Does it matter?
• Links What are the existing networks
  intermediaries? Are links formal or informal
  open or closed? How important are legitimacy and
  trust?

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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
• Policy implementation and practice
  (bureaucracies, incentives, street level,
  participatory approaches)
• How policymakers think (narratives policy
  streams)
• Decisive moments in the policy process (policy
  processes, votes, policy windows and crises)
• Context is crucial, but you can maximize your
  chances

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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 interactive.

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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
• (NB our understanding remains limited)

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External Influence

• Big incentives can spur evidence-based policy
  e.g. EU accession, PRSP processes.
• And some interesting examples of donors trying
  new things regarding supporting research
• But, we really dont know whether and how donors
  can best promote use of evidence in policymaking
  (credibility vs backlash)

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Group Task 2

• Choose one of your own, or one of the teaching
  case studies, apply the framework and identify
  the key factors in each dimension of the
  framework and what else may matter and what you
  might want to know more about.
• Appoint a secretary to take notes!

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The Analytical Framework
External Influences Socio-economic and cultural
influences, donor policies etc
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A Practical Framework
political context
Politics and Policymaking
Campaigning, Lobbying
Policy analysis, research
Media, Advertising, Networking
Research, learning thinking
Scientific information exchange validation
evidence
links
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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?

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Putting it into practice

• 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?

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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!

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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.

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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.
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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.
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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

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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

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Towards a Policy Entrepreneurs Toolkit

• Toolkit for promoting evidence-based and pro-poor
  policy.
• The RAPID framework itself
• Useful tools for your work
• Approaches to organisational development
• Some examples of things we do?
• Discussion
• What tools do you know that work?
• Examples of when they have been used?

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Tools for applying the framework
Overarching Tools - The RAPID
Framework - Using the Framework
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 - Coalitions
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Introduction The Policy Process
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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

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Mapping Policy Processes
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Stakeholder Analysis

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

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Forcefield Analysis

• Specific Change
• Identify Forces
• (Identify Priorities)
• (Develop Strategies)

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Political Context Assessment Tool

• Best for
• Systematically comparing national contexts
• Thinking through political context issues
• How to
• Representative from cross-section of experts
• Individual for thinking through

• Covers
• The macro political context
• The sector / issue process
• Policy implementation and practice
• Decisive moments in the policy process
• How policymakers think

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Communications strategy

• Identify the audience(s)
• Assess specific information needs, likes and
  channels
• Official / unofficial
• Personal / impersonal
• Identify the message(s)
• Promotion
• Develop and test material and media
• Printed, AV, web, CD / Multi-use, multimedia,
  multichannel
• Implement
• Evaluate impact and change as necessary

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Writing Effective Policy Papers I

• Providing a solution to a policy problem
• Targeting a policy community
• Structural elements of a paper
• Problem description
• Policy options ( criteria for assessment)
• Conclusion Recommendations
• Key issues Problem oriented, targeted,
  multidisciplinary, applied, clear, jargon-free.
• Source Young and Quinn, 2002

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Writing Effective Policy Papers II
Criteria for Assessing Policy Options
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Lobbying Elected Officials (General)

• Targeting Officials
• Champions Allies Fence Sitters Mellow
  Opponents Hard Core Opponents
• Inside vs Outside Lobbying
• Inside Meetings Analysis Committees
  Negotiating
• Outside Media Constituency Coalitions
  Campaigns
• Practical Tips
• See www.odi.org/rapid/
• See www.wilder.org/

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More / Other Sources

• RAPID
  http//www.odi.org/rapid/
• Strategy Unit's Policy Tools section
  http//www.policyhub.gov.uk/tools/index.asp
• Mind Tools
  http//www.mindtools.com/
• DFID (Development Tools)
  http//www.dfid.gov.uk/
• Wilder Foundation (lobbying advocacy for NPOs)
  http//www.wilder.org/
• CEDPA (advocacy networking for NGOs)
  http//www.cedpa.org/

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Task 3 as Individuals

• Focusing on a specific piece of work where you
  are trying to influence policy or practice - do
  a Force-Field Analysis.

• Specify policy change
• Identify forces for against
• Assess weightings
• Assess points of possible impact
• Identify ways of achieving impact

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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
• Building an organisational profile
• Communications, Public Affairs and the Media

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Policy entrepreneurs
Networkers
Storytellers
Engineers
Fixers
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Building policy entrepreneurs
Ashley Parashram 45 25 35 45 Bernard Lawer
Tetteh-Dumanya 36 27 37 50 Dan Start 26 34 43 4
7 David Redhouse 39 36 39 36 Enrique
Mendizabal 40 29 37 44 Gerry Power 39 35 35 41
Harinder Janjua 22 38 43 47 Karen
Iles 41 37 40 32 Lydia Richardson 39 36 39 36
Marta Foresti 42 30 38 40 Michael
Majale 36 36 37 41 Mike Albu 41 32 32 45 Moni
ca Blagescu 38 37 35 40 Patrick
Watt 31 41 41 37 Richard Graham 37 26 37 48
Average 37 33 38 42
gt44 Low
lt30 High
lt23 V.High
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Policy process workshops

• Looking at internal policy processes in
  organizations and role of policy documents. (What
  works in DFID?)
• How (i) Small, informal workshop 7 staff (ii)
  Identify processes for assessment - 8
• (iii) participatory pair-wise ranking of factors
  influencing the success.
• Worked quite well.
• In DFID - agendas and processes rather than
  documents are key.

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ODIs Knowledge Management Strategy

• Building on existing processes
• Project management
• Financial Systems
• Web/Intranet
• Tuesday Trading / Research Retreats
• Specific new actions
• To improve learning AARs, Peer-Assists etc
• To improve information systems Intranet-linked
  databases financial systems
• Building KM into HR systems
• Obtaining applying resources for KM

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Action Planning

• An Action Plan is a sequenced plan of specific
  actions to deliver defined objectives.
• It involves thinking through a series of
  questions
• What are your policy objectives?
• What are the major forces?
• Which ones can you engage with?
• Who are the key players?
• What resources do you have?
• Are there any other issues?
• How will you engage with the key players and what
  will you do?

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Task 4 as individuals

• Build on the force-field analysis you have
  already completed, to develop an action plan to
  deliver your policy objectives.

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RAPID - Next steps

• Further research
• GDN Phase II studies
• HIV/AIDS
• How CSOs use research-based evidence
• Action-research (does it work?)
• Institutionalisation within ODI
• Promotion, partnerships and capacity-building

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Other sources of information
http//www.odi.org.uk/rapid
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How you can help us

• Fill in the evaluation form
• Survey of other useful tools
• Opportunities for Action-Research
• Keep in touch