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Bridging Research, Policy and Practice


Promoting the use of research-based evidence in development policy ... 2.5 million households were added as eligible recipients after the first tranche. ... – PowerPoint PPT presentation

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Title: Bridging Research, Policy and Practice

Bridging Research, Policy and Practice
  • John Young ODI, London
  • Sudarno Sumarto SMERU, Indonesia

Addressing Poverty Pro-Poor Growth and Financial
Inclusion in Asia Pacific
  • Introduction to ODI, RAPID SMERU
  • Group work Policy influence stories
  • Some theory
  • How SMERU does it
  • Some tools for researchers
  • Group work Using the tools
  • Tools for organisations
  • How SMERU does it
  • Sources of further information.

  • Development Think Tank
  • 60 researchers
  • Research / Advice / Public Debate
  • Rural / Humanitarian / Poverty Aid / Economics
    / Policy Processes
  • DFID, Parliament, WB, EC
  • Civil Society

For more information see
  • Promoting the use of research-based evidence in
    development policy
  • Research / Advice / Public Affairs
  • Programmes
  • Research for Policy
  • Progressive Policymakers
  • Parliamentarians
  • Southern Think Tanks

for further information see
SMERU, Indonesia
  • Independent research and policy studies on
  • the impact of government programs and policies,
  • poverty, health, education, gender, labour, fuel
    costs labour market conditions etc
  • decentralization and impact on services etc.
  • Publications and public affairs.
  • NGO unit
  • provides research-based evidence to and
    facilitates NGO interaction
  • capacity building research methodology.

Civil Society Programme
  • More use of research-based evidence for policy
    and practice through
  • A Network of Think Tanks.
  • Capacity-development for the network and other
  • Research and learning from practical experience.
  • Global and national action-research projects.

for further information see
End of slide show, click to exit
Group work Stories of evidence and Policy Change
Stories of evidence and policy
  • Refresh your memory about your story
  • Find someone you dont know and tell each other
    your stories
  • Dont write anything down!
  • 2½ minutes each!
  • Use the story templates to interview and write
    each others story down
  • Make sure your images and messages are clear.
  • 5 minutes each!
  • Tell your partners story to everyone else at
    your table
  • 2½ minutes each!
  • Discuss among yourselves and identify 5 concrete
    actions emerging from these stories.
  • How might you apply these?
  • 10 minutes!

The theory and practice of bridging research and
  • Research any systematic effort to increase the
    stock of knowledge
  • Policy a purposive course of action followed by
    an actor or set of actors
  • Evidence the available information supporting
    or otherwise a belief or proposition
  • Evidence-based Policy public policy informed by
    rigorously established evidence.

Policy Processes
  • Identify the problem

Policy Processes
Chronic Poverty in Uganda
Kate Bird et al, Fracture Points in Social
Policies for Chronic Poverty Reduction, ODI
WP242, 2004 (http//
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 ignorance3

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
But 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
Factors influencing policy making
Source Phil Davies Impact to Insight Meeting,
ODI, 2005
Different Notions of Evidence

Source Phil Davies Impact to Insight Meeting,
ODI, 2005
Existing theory
  1. Linear model
  2. Percolation model, Weiss
  3. Tipping point model, Gladwell
  4. Context, evidence, links framework, ODI
  5. Policy narratives, Roe
  6. Systems model (NSI)
  7. External forces, Lindquist
  8. Room for manoeuvre, Clay Schaffer
  9. Street level bureaucrats, Lipsky
  10. Policy as social experiments, Rondinelli
  11. Policy Streams Windows, Kingdon
  12. Disjointed incrementalism, Lindquist
  13. The tipping point, Gladwell
  14. Crisis model, Kuhn
  15. Framework of possible thought, Chomsky
  16. Variables for Credibility, Beach
  • The source is as important as content, Gladwell
  • Linear model of communication, Shannon
  • Interactive model,
  • Simple and surprising stories, Communication
  • Provide solutions, Marketing 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

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
  • The RAPID Framework

An Analytical Framework
Case Studies
  • Detailed
  • Sustainable Livelihoods
  • Poverty Reductions Strategy Processes
  • Ethical Principles in Humanitarian Aid
  • Animal Health Care in Kenya
  • Dairy Policy in Kenya
  • Plant Genetic Resources
  • Summary
  • GDN x 50
  • CSPP x 20
  • Good news case studies x 5
  • Mental health in the UK

Animal Healthcare in Kenya
  • 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 research.
Dr Kajume
A Practical Framework
political context
Politics and Policymaking
Media, Advocacy, Networking
Research, learning thinking
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 evidence
  • Is it there?
  • Is it relevant?
  • Is it practically useful?
  • Are the concepts new?
  • Does it need re-packaging?
  • Links
  • Who are the key actors?
  • Are there existing networks?
  • How best to transfer the information?
  • The media?
  • Campaigns?
  • The political context
  • Is there political interest in change?
  • Is there room for manoeuvre?
  • How do they perceive the problem?

What you need to do
What need to know What need to do How to do it
Political Context
  • 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?
  • Get to know the others
  • Work through existing networks.
  • Build coalitions.
  • Build new policy networks.
  • Build partnerships.
  • Identify key networkers, mavens and salesmen.
  • Use informal contacts
  • Who are the stakeholders?
  • What networks exist?
  • Who are the connectors, mavens and salesmen?

Policy entrepreneurs
To influence policy you need
  • Clear intent
  • A thorough understanding of the context
  • A strategic approach
  • The right incentives / culture
  • The right skills in the team
  • To engage, engage, engage

End of slide show, click to exit
How SMERU influences policy and practice
EXPERIENCEA Case Study of Indonesias
Unconditional Cash Transfer
Institute Jakarta, Indonesia
CSPP Partners Workshop 2006 Canberra,
Australia 7 December 2006
  • Since the New Order era, domestic retail fuel
    price in Indonesia has been subsidized.
  • The fuel subsidy is regressive as consumption of
    each energy category increases with income.
  • The subsidy was not pro-poor because the poor
    benefited less from it, including the kerosene
  • Very high world price of oil in 2005 has made the
    subsidy balloon out of proportion.

The SMERU Research Institute
  • To ease the pressure on the state budget from the
    ballooning subsidy and to improve spending
    allocation, GOI has increased the fuel price
    twice in 2005
  • 1 March, by an average of 30 ? compensation
    program free education healthcare, rice for
    the poor, rural infrastructure.
  • 1 October, by an average of 120 ? compensation
    program, among others, unconditional cash
    transfer (UCT) to poor households.

The SMERU Research Institute
Brief Description of the UCT Program
  • The largest cash transfer program in the world,
    targeting more than 15 million households
    starting in October 2005.
  • Transfer of Rp 300,000 per beneficiary household
    per quarter for 1 year.
  • Eligibility was determined by a household census
    conducted by BPS using district-specific proxy
    means testing based on 14 indicators of poverty.
  • Delivery of the UCT is conducted through the post
    office by way of direct payment.
  • An additional 2.5 million households were added
    as eligible recipients after the first tranche.

The SMERU Research Institute
SMERU's Involvement in Evaluating UCT
  • SMERU carried out simulations on the likely
    impact of fuel price increase on poverty (based
    on Susenas 2004 data)
  • Baseline poverty head count (P0) 16.66
  • After oil price increase P0 22.05
  • Compensation through cash transfer
  • 100 correct targeting P0 17.87
  • 80 correct targeting P0 18.73
  • 50 correct targeting P0 20.05

The SMERU Research Institute
SMERU's Involvement in Evaluating UCT
  • SMERU conducted a rapid appraisal in Jakarta at
    the end of October 2005.
  • The results were then disseminated to
    policymakers through consultations and
    presentations of research findings.
  • Bappenas commissioned SMERU to conduct a larger
    evaluation, funded by the World Bank.
  • The larger evaluation was conducted in 5
    districts across Indonesia.

The SMERU Research Institute
SMERUs Policy Inputs
  • Convert the UCT to conditional cash transfers
    (CCT) on education, health, and nutrition
  • Improve targeting by reformulating criteria,
    strengthening local cadre, and empowering
    locally-specific poverty assessments
  • Develop cash for work or guaranteed employment
    scheme to improve rural infrastructure
  • Strengthen the supply sides of social services
    (health, nutrition, and education facilities)

The SMERU Research Institute
Results from SMERU's Inputs
  • The government will pilot test CCT in 2007
  • The government intensified its effort to increase
    the budget allocation for education and health

The SMERU Research Institute
What Worked?
  • Stakeholders trusted SMERUs credibility because
    of its evidence-based recommendations
  • SMERUs approach with govt and top level
  • Effective linkages and networking with
  • Maintenance of quality of research
  • Impartiality
  • Successful presentation of findings through

The SMERU Research Institute
Constraints Encountered
  • Political leverage
  • Lack of tools to understand the political context
    of policy change
  • Lack of lobbying skills opportunities
  • Lack of resources (human and financial) and time
    to monitor and follow-up the policy
    decision-making process
  • SMERU being associated with donors

The SMERU Research Institute
Thank You
The SMERU Research Institute
End of slide show, click to exit
Tools for bridging research and policy
Introducing some tools
  • Some simple tools for researchers
  • RAPID Framework
  • Outcome Mapping
  • Problem Situation Analysis (Tree Analysis)
  • Policy Process Mapping
  • Stakeholder Analysis
  • Force field analysis
  • SWOT analysis
  • Some examples
  • Some more complex tools (for donors)
  • Some tools for policymakers

A Practical Framework
political context
Politics and Policymaking
Media, Advocacy, Networking
Research, learning thinking
Policy entrepreneurs
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
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
RAPID Framework
Outcome Mapping
Problem Tree Analysis
  1. Discuss and agree the problem or issueto be
  2. Identify the causes of the focal problem
    (roots) and then the consequences(branches)

NB The discussion is the most important
thing as issues are debated factors are
arranged and re-arranged, often forming
sub-dividing roots and branches
Policy Process Mapping
  • General Context issues domestic and
  • Specific Policy Issues (i.e. the policy cycle)
  • 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
  • Sources M. Grindle / J. Court

Policy Process Mapping
Formulation Implementation
Civil Society
Stakeholder Analysis
  • Why
  • To understand who gains or lose from a policy or
  • To help Build Consensus.
  • Steps
  • Identify Stakeholders
  • Analysis Workshop
  • Develop Strategies

Forcefield Analysis
  • Identify what you want to achieve
  • Identify forces for and against change
  • Identify which are most important
  • Develop strategies to reinforce those for and
    overcome those against

SWOT Analysis
  • What type of policy influencing skills and
    capacities do we have?
  • In what areas have our staff used them more
  • 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 Weaknesses
Opportunities Threats
Skills and abilities Funding lines Commitment to
positions Contacts and Partners Existing
Other orgs relevant to the issue Resources
financial, technical, human Political and policy
space Other groups or forces
Communications strategy
  • Identify the audience(s)
  • Identify the message(s)
  • Promotion
  • Evaluate impact and
  • change as necessary
  • Clear Strategy
  • Interactive
  • Multiple formats

Writing Policy Papers
  • 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

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
  • Local, Regional National advocacy campaign

SMEPOL Project Egypt
  • Policy Process Mapping
  • RAPID Framework
  • Stakeholder Analysis
  • Force-Field Analysis
  • SWOT
  • Action Planning

Political Context Tools
  • Civil Society Index (CIVICUS)
  • Country Policy Institutional Assessment (World
  • Democracy and Governance Assessment (USAID)
  • Drivers of Change (DFID)
  • Governance Questionnaire (GTZ)
  • Governance Matters (World Bank Institute)
  • Power Analysis (Sida)
  • World Governance Assessment

Demand-side Tools
  • Increasing the pull for evidence
  • Require the publication of the evidence base
  • Require spending bids to provide evidence base
  • Submit government analysis to external expert
  • Provide open access to information
  • Facilitating better evidence use
  • Encourage better collaboration across analytical
  • Co-locate policy makers and internal analysts
  • Integrate analytical staff at all stages
  • Link RD strategies to departmental business
  • Cast external researchers more as partners than
    as contractors
  • Second more university staff into government
  • Train staff in evidence use

Source Abstracted from PIU 2000, Bullock et al
UK Government Tools
  • Overview and Checklist
  • 1. Impact Assessment and Appraisal guidance
    checklist for policy makers.
  • Strategy and Policy Evaluation
  • 2. Strategy Survival Guide
  • 3. Magenta Book Guidance notes on Policy
  • 4. Green Book Appraisal and evaluation in
    Central Government
  • 5. Regulatory Impact Assessment (RIA)
  • Ensuring Key Perspectives are Included
  • 6. Incorporating regional perspectives into
    policy making toolkit (Subnational)
  • 7. International Comparisons in Policy Making
  • 8. Gender Impact Assessment a framework for
    gender mainstreaming
  • 9. Managing risks to the public Appraisal
  • Testing Policy Ideas
  • 10. Policy Pilots
  • Public-orientated Tools
  • 11. Concern Assessment Tool
  • 12. Community Engagement How to Guide
  • 13. Connecting with Users and Citizens
  • Getting Better Advice and Evidence

End of slide show, click to exit
Group work Trying out some of the tools
Trying the tools
Working on one of the stories, try out one (or
more) of the tools
  • RAPID Framework (Page 12)
  • Stakeholder analysis (Page 24)
  • Force-field analysis (page 20)
  • Problem Tree (Page 22)
  • SWOT (Page 28)

Building effective organisations
The (changing) role of CSOs
  • Is huge Worth 12bn globally, reach 20 of
    worlds poor, provide 40 health education
    services in Ghana, Zimbabwe Kenya.
  • Is changing service provision ? policy
  • Can be very effective Globally, eg Jubilee 2000
    locally eg animal health in Kenya,
  • Is uncomfortable
  • with governments lack of trust
  • with donors emphasis on GBS policy
  • with academics/policy advisers weak evidence

Some examples
  • AFREPREN a network to promote pro-poor energy
  • CIPPEC works on Education, Fiscal Policy,
    Health, Transparency and Justice an Argentina.
  • Unnayan Onneshan works on pro-poor agricultural
    and trade policies in Bangladesh.
  • International Budget Project works to promote
    budget transparency and accountability
  • SMERU provides reseach-based evidence to NGOs
    and other actora and promotes public debate

How CSOs influence Policy
How CSOs influence Policy
Obstacles to CSO Engagement
Obstacles for Research
Key problems and solutions
External External
Difficult Political Contexts Campaigns Boomerangs Policy Pilots
Internal Internal
Weak understanding of political contexts Rigorous context assessments
Weak engagement Better strategies for engagement at all parts of the policy cycle
Inadequate use of evidence Collecting the right evidence for each situation (qualitative vs quantitative etc)
Weak communication Better communication publications, events, face-to-face
Isolation Collaboration with other CSOs, donors and government agencies Networks
Capacity constraints Systemic capacity-building of organisations and networks within their contexts
Organisational Capacity
  • Knowledge, Attitudes Practice
  • Policy entrepreneurs
  • Training mentoring etc
  • Organisational development
  • Finance, admin personnel systems
  • Strategic (action business) planning
  • Fundraising reporting
  • Building an organisational profile
  • Communications, Public Affairs and the Media

Learning KM
  • Learning before, during after
  • Peer Assist
  • Reflective Inquiry
  • After-Action Review
  • Collaboration Tools
  • E-discussions
  • Shared workspaces
  • Information management tools
  • Intelligent search engines
  • Incentives

Policy Processes in 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

End of slide show, click to exit
How SMERU does it
The SMERU Research Institute
Institute Jakarta, Indonesia
CSPP Partners Workshop 2006 Canberra,
Australia 7 December 2006
What is SMERU?
  • SMERU is an independent research institute that
    undertakes research and policy studies on socio-
    economic, poverty, decentralization, and
    vulnerability issues considered most urgent and
    relevant for the welfare of the people of
  • SMERU adopts both quantitative and qualitative
    research methods to carry out these studies

The SMERU Research Institute
What is SMERU?
  • SMERU engages in policy dialogues and provides
  • SMERU enhances the capacity of NGOs through
    training and discussions
  • Organizes workshops, seminars, and discussions
    as part of the sharing and networking process
  • Regularly publishes papers, reports, and
    newsletters and maintains a website to
    disseminate research findings

The SMERU Research Institute
How and Why SMERU Was Set Up?
  • In October 1998, SMERU (previously known as the
    Social Monitoring Early Response Unit) was
    established with a mandate to carry out
    independent, reliable, real-time monitoring of
    the social impact of the crisis unfolding in
  • It was funded by AusAID, ASEM, and USAID, and
    with logistical and administrative support from
    the World Bank.
  • SMERU's mandate from its stakeholders came to an
    end by December 2000
  • The core group of staff and researchers continued
    SMERU's existence as an independent institution
    for research and policy studies under the name of
    The SMERU Research Institute

The SMERU Research Institute
Initial Sources of SMERUs Core Funding (Year
  • AusAID
  • The Ford Foundation
  • DFID (ended in 2005)
  • Commissioned research projects and training

Other Sources of Funding
The SMERU Research Institute
How Does SMERU Operate?
  • Planning
  • Based on strategic planning and Vision 2010
  • Administrative and financial matters in
    consultation with its management and staff, and
    occasionally with the Board of Governors
  • Research matters in consultation with designated
    research teams
  • Reporting
  • Project Consultative Committee Meetings and BOG
    meetings quarterly and biannual reports

The SMERU Research Institute
Maintenance of Academic Credibility
  • Peer review/refereed journals
  • Linkage with universities, research institutes,
    development organizations
  • Participation in local and international
    seminars, conferences, and workshops through
    presentations of papers and attendance as

The SMERU Research Institute
Maintenance of Independence
  • SMERU does not belong to any entity
  • No kickback remains impartial, transparent and
  • Third party agreement SMERU has the right to
    co-own the data and publish the research findings
  • Research outcome is not influenced by political
    or religious and other entities, and is not being
    controlled by any entity
  • Not driven by donors agenda

The SMERU Research Institute
Engagement with Policy Processes
  • Interacting, organizing seminars and workshops,
    disseminating SMERUs publications, research
    findings and recommendations, sending
    memorandum/policy briefs to relevant high-ranking
    government officials, donors, and other
  • Establishing networks and collaboration/coalition
    with CSOs, and lobbying with MPs

The SMERU Research Institute
Engagement with Policy Processes
  • Disseminating information/research findings
    towards forming better-informed CSOs
  • Providing free access to all SMERUs
    publications, reports, working papers, and NGO
    Database through the SMERU Website
  • Linking SMERUs website to others

The SMERU Research Institute
  • Developing trust and credibility through better
    research quality
  • Understanding and dealing with other influencing
    contextual factors in bridging research to policy
  • Striving to be financially sustainable by
    maintaining the research quality to win the trust
    of stakeholders and donors
  • Balancing consultancy work and SMERUs own
    research agenda
  • Widening networks and linkages
  • Facilitating linkages and cooperation among CSOs,
    enhancing capacity and promoting public

The SMERU Research Institute
Thank You
The SMERU Research Institute
End of slide show, click to exit
Conclusions and sources of more information
  • It is possible to improve the impact of research
    on policy if you
  • really, really want to do it
  • understand the (esp. political) context
  • use a strategic approach
  • establish the right incentives / culture
  • develop the right skills in the team
  • engage, engage, engage
  • There are some good tools
  • There are a growing number of organisations who
    can help

Civil Society Programme
Further Information
  • ODI
  • RAPID -
  • CSPP
  • or contact John Young
  • or contact Sudarno Sumarto