Living With Environmental Change

LWEC Knowledge Exchange Guidelines

November 2012

Introduction 1

Target 2

Design 4

Engage 6

Facilitate 8

Share 10

Impact 12

Sustain 14

Evaluate 16

Notes 18

Abbreviations 23

Acknowledgements 24

Contents

LWECKnowledgeExchangeGuidelines|www.lwec.org.uk 1

The term ‘knowledge exchange’ (KE) refers to the exchange of information, ideas, expertise and people between researchers and research users such as policy-makers, businesses and members of the public. The overall aim of KE is to maximise and accelerate research impact.

EffectiveKEiscrucialtothesuccessoftheLivingWithEnvironmentalChange(LWEC)Partnership,whichaimsto“ensurethatdecision-makersingovernment,businessandsocietyhavetheforesight,knowledgeandtoolsneededtomitigate,adapttoandbenefitfromclimatechange.”

Byestablishingatwo-wayflowofknowledgebetweenresearchersandpotentialusersoftheirresearch,andensuringaclear,mutualunderstandingofneedsandpriorities,LWECinitiativeswillhaveamoremeaningfulimpactondecisions,actionsandbehavioursintheyearsahead.

TheseGuidelineshavebeendevelopedspecificallytoaidtheKEprocessacrossallactivitiesendorsedbytheLWECPartnership.Whilenotprescriptive,theyneverthelessaimtoinformandinspire,comprisinganextensivereservoirofideas,tipsandsuggestionsonhowKEcanbemosteffective,andarereinforcedbyarangeoffurtherinformationandreal-lifeillustrativecasestudies.

TheGuidelinesaredividedintothefollowingeightcomponents,eachofwhichrepresentsakeystageinasuccessfulKEprocess:

AlthoughtheGuidelinesareprimarilyaimedatpeopletakingdecisionsataprogrammelevel,itishopedthattheywillprovideusefulideasandprinciplesforanyoneinvolvedinKEandcomplementguidanceavailablefromothersources(e.g.ResearchCouncilsUK).Usingthemwillhelpresearchersandresearchuserstodevelopanunderstandingofeachother’sneedsandcapacities,andenablethemtoexchangereasonable,meaningfulquestionsandresponseswitheachother.

Fundamentally,KEistheprocessofensuringthattherightinsightsareconveyedtotherightpeoplebothintherightwayandattherighttime.TheseGuidelinesaredesignedtohelpyoutomakeithappen.

Introduction

Target Share

Design Impact

Engage Sustain

Facilitate Evaluate

The Guidelines are also available online at http://www.lwec.org.uk/ke-guidelines where additional case studies and Q&A features are included.

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Rightfromthestartofyourresearchprogramme,itisessentialtodevelopaclearviewofwhatyouneedtoachieveintermsofKE1andtoputanappropriatestructureinplacetorealiseyouraims:

• Goalsetting

Beclearandrealisticaboutwhatyourresearchprogrammeaimstoachieve,withrespecttoitshigh-level,broaderimpactaswellasinpurelyscientificterms.2

• Stakeholderidentification

Pinpointwhothekeyusers/stakeholdersareandconsiderhowthesevariousgroups/individualsarelikelytobenefitfrom(orbeaffectedby)yourresearch.Youcan,forinstance,harnesstriedandtestedstakeholdermappingandanalysistechniquestohelpthisprocess.3

• Programmegovernance

Whenestablishingamanagementgroupforyourprogramme,ensureanappropriatebalanceofresearchersandrelevantusers(i.e.avoid‘tokenism’).Usethisopportunitytogainacleareroverallpictureofthekeyneedsandprioritiesofpotentialusersofyourresearchandofotherstakeholders;thisinformationwillbeofenormousvalueinenablingyoutooptimiseandrefinetheKEobjectivesyouset.

• KECo-ordinator

IdentifyandappointaKECo-ordinatorforyourprogrammewhoiseitheradedicatedKEspecialistorsomeoneinthemanagementteamwiththeappropriatecredentials(e.g.someonewithstrongfacilitationskills,agoodunderstandingofimpactandgoodrelationshipswithpotentialresearchusers).LettheLWECDirectorateknowwhothispersonis.

1. Target

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CaseStudy–InvolvingStakeholdersinProgrammeGovernanceEnabling stakeholders to play an active role in programme governance can maximise the impact of your research. Professor Dan Laffoley, Chair of the International Ocean Acidification Reference User Group, outlines the crucial contribution this Group is making to efforts to confront ocean acidification, the ‘evil twin’ of climate change.

“Oceanacidificationhasonlyreallybeenonresearchers’radarforsevenoreightyears,butitspotentialseriousnessmeansthere’snotimetoloseingettingtogripswiththechallengesitpresents.

Wesimplycan’taffordnottotaketheviewsandneedsofpolicy-makersandindustryfullyintoaccount.

Thatmeansdispensingwiththetraditionalacademicmodelofinvolvingstakeholdersinanintermittent,unstructuredwayandperhapsfindingoutonlyafterresearchhasbeencompletedthatalltherightquestionsmaybeweren’tbeingaskedintherightcontextinthefirstplace.Apriorityoftheoceanacidificationcommunityhasbeentogetallinterestedpartiestoengagewitheachotherandtalkthesamelanguagefromdayone,andespeciallytosecurestakeholderinputtohelpshapetheresearchagenda.

TheReferenceUserGroupisthekeyvehiclefordoingthis.InitiallysetupaspartofanEUinitiative,itnowalsoembracesnationalprogrammessuchastheUKOceanAcidificationResearchProgramme.Its30-plusmembersaredrawnfromgovernment,industry,conservationgroupsandtheacademic/scientificcommunityinEuropeandtheUS.AnAnnualMeetingissupplementedbyemailcontact,plusbilateralmeetingsandexchangeswithasmallercoreofourmostactiveandenthusiasticmembers.

Aswellasaforumforopendiscussion,theGroupprovidestheperfectplatformforsharingperspectivesstemmingfromdatageneratedbyresearchprojects.

AcoretaskhasbeenidentifyingtherightpeopletoparticipateintheGroupandengagingwithsomesectorsthatmaritimeresearchershaven’tcloselyinteractedwithinthepast.It’sbeenvitaltoconveyclearlyhowbecomingpartoftheGroupcanbenefitthesesectorsandtousetheGrouptobuildacloserrelationshipwiththem.Anotherongoingchallengeistokeepmemberorganisationsfullyengagedevenwhenoceanacidification‘champions’withinthemhavemovedon.

TheGroupgeneratesallkindsofspin-offbenefitstoo.In-kindcontributionsfrommembershaveoverrecentyearsincludedtheuseofashiptohelptransportanddeployexperiments.TheGroupalsoplayedamajorroleinproducingtheguide‘OceanAcidification:TheFacts’,withmembersensuringthatthispublicationaddressedtherightquestionsinaneffectiveformat,avoiding‘sciencespeak’.

Withoutdoubt,theGroupismakingarealdifferenceinhelpingtomeettheurgentneedforeffectivecommunicationofnewknowledgeinthisfast-developingfield.”

• Trainingneeds

Pinpointwho,withinyourresearchteam,needstrainingtodevelopthenecessarymotivation,skillsandexpertisetoensurethatongoingKEbetweenresearchersandusers/stakeholdersreallyisachieved.

• Projectproposals

Asyourprogrammedevelops,ensurethatanassessmentcriterionforprojectproposalssubmittedtoyourresearchprogrammeistheextenttowhichtheneedsandprioritiesofresearchuserswillbeaddressed.4Atwo-stageselectionprocesscanbeusedtohelprefineproposalsfromaKEperspective.5

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Developadetailed,well-tailoredKEplanthatcandeliveryourgoalsandisfullyembeddedwithintheoverallresearchprogramme:

• Strategyformulation

DeviseanoverarchingKEstrategyandassociatedactionplanthatwillbemonitoredandreportedonalongsideotheraspectsofprogrammeplanningandmanagement.6PuttinginplacesuchastrategywillcreateclearexpectationsintermsofwhattheminimumKErequirementsare,withrespecttouserengagement,disseminationmechanismsetc.(SeeNote6foradetailedlistofitemsthatastrategycancoverandexamplesofexistingKEstrategies.)ForactivitiesfundedbytheResearchCouncils,aKEstrategywillhelptodirect,informandfacilitateindividualprojects’‘pathwaystoimpact’plans.

• Resourceallocation

Foranaverageresearchprogramme,allocateaminimumof5%ofoverallfundstoKEactivities.7

(NB:thisKEfundingisoverandabovewhatwillbeawardedviaindividualproject‘pathwaystoimpact’plans.)Forsomeprogrammes,though,andespeciallythosewithasignificant‘applied’element,aconsiderablylargerpercentagemaybeappropriate.Whencalculatingtheleveloffundingneeded,itisvitalnottounderestimatethetimeandeffortrequiredforengagingwithstakeholdersandrelationship-building.AlsocontinuetoexploreopportunitiestosecureadditionalfundingforKEactivities.

• Co-design

Encouragingstakeholderadviceandinputonthedesignofyourprogramme,eitherattheoutsetoratappropriatepointsduringitscourse,willhelpensurenotjustthattheeventualfindingswillbeofreal-worldbenefitbutalsothattheyareconveyedinamannermostlikelytoencouragetake-up.

• Sandpits

Sandpitsandsimilarforumscanbeusedtohelpbuildcollaborationswithusers/stakeholdersandotherresearchersintheco-designofnewresearchprogrammes.

• Building-inflexibility

Whereverpossible,designKEplanssothattheyincorporatetheflexibilitytoadjusttoemergingneedsandprioritiesofresearchusersandotherstakeholders,aswellastochangingcircumstances.8SplittingfundingacrossdifferentphasesofaprogrammecanhelpyoutorespondbettertoevolvingKEneeds.

• Reservebudget

Ifpossible,keepsomeresourceinreservesothatyoucanrespondtoanynewquestionsandneedsthatemergeasengagementwithusers/stakeholderscontinues.Forinstance,theremaybeanurgentandunforeseenneedtointerpretandcommunicatenewknowledgegeneratedbyyourresearch.Havingadequateresourcesavailablewillhelpincentiviseyourresearcherstodothis.

• Thinkinginnovatively

DonotbeafraidtoexperimentwithnovelapproachestoKE–thiscanbevitalinenablingyourresearchtostandoutfromthecrowdandappealtonewaudiences.However,whendevelopingyourplan,itisessentialtotakeintoaccountthefundingyouhaveavailableaswellasthelikelypreferencesofthestakeholdersyouareengagingwith.

2. Design

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KEQ&A–ShapingProgrammeswithStakeholderInputThe AVOID research programme provides key advice to the UK public sector on avoiding dangerous climate change brought about by greenhouse gas emissions. Dr Maria Noguer, the programme’s Knowledge Integrator, explains how developing a clear understanding of stakeholders’ knowledge needs from the outset has underpinned the success of the initiative.

Q:HowimportanthasitbeenforAVOIDtoestablishmechanismsenablingresearchuserstotellyouwhattheyneedfromtheprogramme?

A:Absolutelyfundamental.Ouraimistoinformpolicydecisionsandequipgovernmentwithup-to-datescientificevidencereinforcingtheUK’snegotiatingpositionatConferenceoftheParties(CoP)eventsheldundertheUnitedNationsFrameworkConventiononClimateChange.Thekey,then,istodelivertheinformationthatpolicy-makersrequireandintheformtheyneedit.Timescalesarecrucialtoo.WehavetoproducedeliverablesforspecificCoPeventsbutsometimestheremaybeanurgent,ad-hocneedforaparticularpieceofinformationandtheturn-roundtimemaybeverytight.It’sessentialwerespondeffectivelyinthosesituationstoo,sowemusthavemechanismsinplacethatenableswift,clearcommunicationofstakeholderrequirements.

Q:AtwhatpointinAVOID’sdevelopmentdidyoustartengagingwithstakeholdersandcanvassingtheiropinions?

A:Rightfromthestart.WeincludedkeygovernmentrepresentativesontheAVOIDSteeringGroupandalsousedacombinationofasurveyandtelephoneinterviewstogatherinputfromaround50individuals.TherawdatageneratedwascarefullyanalysedtoproducestructuredfindingsthatwecouldusetohelpfirmupspecificresearchobjectivesforAVOID.

Q:Whatdidyoudotoensureagoodresponseratetothesurvey?

A:Wemadeitavailableinbothwrittenandonlineformats.Wealsophysicallyphoneduparoundtenindividualswhoseviewsweconsidereditessentialtogatherandwefilledinthesurveywiththemtomaketheprocesseasier.

Q:Howdoyouensurecloseco-operationwithprimarystakeholdersonanongoingbasis?

A:Aswellasconductingknowledgeintegrationdiscussionswiththem,probablythemostimportantstephasbeentheappointmentofadedicatedProgrammeOfficerwithinDECCwhoseremitistoworkwithAVOIDandmaintainastronglinkwiththeprogramme.That’sprovedinvaluable.

Q:Howhaveyourespondedtoyourstakeholders’requirementsintermsofthewayyoucommunicatetheresultsofyourresearchtothem?

A:We’velistenedverycarefullytoexactlywhattheywantandwetailorouroutputstotheirindividualneeds.Aswellasissuingreports,holdingseminarsandprovidingone-to-onebriefings,weproducebrochuresandconcise‘keypoints’flyerswhicharesupplementedwithemailbulletinscontaininglesstime-criticalinformation.Wecompileourdistributionlistsfortheseoutputsincloseco-operationwitheachofourstakeholders.Wealsoproducepresentationslidesthatallofourstakeholderscanuse.

Q:Whatwouldbeagoodexampleofthewayyourproactiveapproachtostakeholderengagementhasreallypaiddividends?

A:TheCopenhagenAccord,whichwas‘takennoteof’atthe15thCoPin2009,recognisedthatclimatechangeisoneofthegreatestchallengestodayandthatactionsshouldbetakentokeepanytemperatureincreasesbelow2°C.WithintheAccord,severalcountriessubmittedemissionreductionpledges.Butourstakeholderswantedtoknowwhethertheemissionreductiontargetssubmittedbycountrieswouldactuallybesufficienttostaybelowa2°Cincrease.SoAVOID‘didthemaths’andrevealedthattheactionsweren’textensiveenough.ThiswasavitalfindingthatwouldinformtheUKpositionatsubsequentCoPmeetings.Ourabilitytoprovidetherightinformationintherightformatattherighttimewasadirectresultofthecloserelationshipanddeepunderstandingestablishedbetweentheprogrammeanditsstakeholders.

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ToachieveeffectiveKE,itiscriticaltofindwaysofestablishingadialogue,buildingrelationships,developingcollaborationsandcreatingacultureoftrustandsharedpurposewithpotentialresearchusersandotherstakeholders:

• Balancedrepresentation

WhendesigningandimplementingyoursuiteofspecificKEactivities,ensurethattheneedsandviewsofalllikelyresearchusersaresystematicallyrepresentedandincludethoseusersindecisionsaboutwhatyourprogrammeneedstoachieve.Thiswillenhancenotonlytheimpactbutalsothelegitimacyofyourresearchprogrammebyclearlydemonstratingthatyouvaluestakeholders’viewsateverypointintheprocess.(Seealso‘Stakeholderidentification’onp.2andtheCaseStudyonp.3.)

• Stakeholdermotivation

PinpointwhatspecificissuesandconcernsmotivatestakeholdersasthiscanhelpyoutodeviseandtailorspecificactivitiesthatwillencouragetheirongoingengagementinboththeKEprocessandtheresearchprogrammeasawhole.

• Using‘knowledgebrokers’

Theuseof‘knowledgebrokers’asintermediaries,drawneitherfromtheresearchcommunityorfromyourstakeholders,canmakeamajorcontributiontothedevelopmentofeffectivecommunicationsbetweenyouandkeytargetgroupsandtothecultivationofaclose,positiveandenduringrelationshipwiththem.9Theirroleistofacilitateinteractionsbetweentheresearchandresearchusercommunitiesandtoputresearchresultsintocontext,usinglanguagethatcanreadilybeunderstoodbyresearchusersandotherstakeholders.

• InvolvingCivilSocietyOrganisations(CSOs)

CSOssuchasNon-GovernmentalOrganisations(NGOs)canplayakeyroleasintermediariesbetweenyouandresearchusersingovernment,businessandelsewhere.TheseCSOsoftenhavegoodoutreachanddisseminationmechanismsalreadyinplacethatcanbeutilisedtohelpyouachieveyourKEobjectives.

• Integrationintoresearchteams

Encourageresearchuserstojoinresearchteamsasco-investigatorsortositonadvisorypanels.

• Rangeofknowledge

Ensureyouunderstand,respectandcriticallyevaluatethecontributionthatotherdisciplines

3. Engage

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CaseStudy–UnderstandingandHarnessingStakeholderMotivationMobilising stakeholders to make key contributions can be fundamental to the success of LWEC initiatives. The challenge for the Demonstration Test Catchment programme, exploring the scope for new farming practices to cut pollution of rivers and groundwater, was to pinpoint how farmers might be motivated not just to support the initiative but actually to participate directly. Bob Harris of Defra explains how analysing the motivations of different types of farmer helped bring them on board.

“Farmerstendtobequiteconservativeinoutlook.Theycanbereticentwhenitcomestoembracingpotentialinnovations,gettinginvolvedingovernment-backedinitiativesandworkingwiththeacademiccommunity.Butsecuringtheirbuy-inwasessentialiftheprogrammewastomeetitsobjectives.Weneededaccesstofarmlandsowecouldsetuplong-termwatermonitoringequipment.Butwealsowantedtoprovideanumberoffarmerswithtestkitssotheythemselvescouldmeasurenitrateandotherpollutantlevelsontheirlandandkeepadetailedrecord.

Thekeywastodevelopaclearunderstandingofthepressuresandprioritiesfacingfarmersinthethreecatchmentareasweweretargeting.

Thenwecouldpinpointhowourprogrammemightcontributetowhattheysawastheirvitalinterests.Wehadtogotothemwithapictureofhowourinitiativewouldnotsimplybenefitagricultureingeneralbutalsoaddresstheirindividual,specificneeds.

Itsoonbecameobviousthatwemusttailorourmessageforeachregion.InCumbria,forexample,theagriculturalcommunityistypifiedbysmalllivestockfarmswhichhaveoftenbeeninthesamefamilyforgenerations.Wehadtoshowthatourprogrammewouldaidfarmers’stewardshipofthelandbyhelpingthemunderstandandultimatelymitigatetheimpactoftheiroperationsontheenvironment.

ButinEastAnglia,weadjustedourapproach.Here,theindustryisdominatedbybigarablefarmsrunbyagri-businesseswithaverysophisticatedcommercialoutlook.Underpinningtheirabilitytooperateprofitablyistheircompliancewithregulatoryframeworks.Sowehadtoconvincethemthatourprogrammewouldhelpthemimprovethelocalenvironmentatnodetrimenttotheiroverallbusiness.

It’sfairtosaythatdifferentiatingourmessagelikethiswasabsolutelycriticaltosecuringthefarmerinvolvementweneeded.

What’smore,toensureourcredibility,wehadtogetit‘rightfirsttime’intermsofhowweactuallydeliveredthosemessages.InCumbria,forinstance,weusedanintermediarywithexcellentlocalcontactswhocouldbuildrelationshipsandestablishtrust.We’renowabouthalfwaythroughourfive-yearprogramme.It’sbeengreattoseehowthefarmerswe’reworkingwithhaveembracedit.

Theyreally‘get’what’sinitforthem–andthat’sadirectresultofourdeterminationtotrulyunderstandwhatdrivesthem.”

andtypesofknowledge(suchaslocalknowledge)canmaketotheKEprocess,beyondthosemostobviouslyanddirectlyrelevanttoyourprogrammeanditspotentialimpacts.Takestepstoengagewithrepresentativesofthesedisciplinesandknowledgetypesatanearlystageinyourprogramme.

• Engagingindialogue

Developingaconstructive,productivedialoguebetweenresearchersandresearchusersisfundamentaltoestablishingasecureplatformforKE.Thekeyistoidentifyandimplementappropriatemechanismscapableofprovidinganon-hierarchical‘levelplayingfield’wheredifferent

partiescaninteractonaninclusive,collegiatebasisandfeelabletoexchangeopinionsandinformationfranklyandthoroughly.Acombinationofone-to-oneandgroup-leveldialogue,harnessingavarietyofspecificmechanisms,islikelytobeneededinamajorityofprogrammes.

• Ethicalimplications

Howeveryouchoosetoengagewithresearchusers,givecarefulconsiderationtowhattheethicalimplicationsmaybe.Forexample,whatmightbetheramificationsintermsofintellectualpropertyrights,therecording/attributionofcommentsorthepotentialforconflictsofinterest?

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Asyourprogrammeproceeds,itisimportanttolookforandtakeadvantageofopportunitiestoassistandstrengthenstakeholderengagementandinvolvement,andtoenhancethewholeKEprocess:

• Collaborativemindset

Promotingproductivecollaborationandeffectivelisteningbetweenresearchersandusers/stakeholderscanestablishacommonpurpose,facilitatetwo-waylearningandensurethecontinuedinvolvementofusers/stakeholdersintheresearchprocess.WorkingcloselywithstakeholdersmayalsoenableyoutopromoteKEbybuildingonsuccessfulnetworks/processestheyalreadyhaveinplace.Inaddition,establishingconnectionswithotherprogrammesandactivitiescanenablesignificantfindingsandimportantinformationtobesharedmorewidely.

• Methodsofcommunication

Encouragesuggestionsfromresearchusersandotherstakeholdersregardingthebestwaysofcommunicatingwiththem,asthiswillhelpyoutopinpointthemosteffectiveformatsandchannelsforexchanginginformationwithspecificgroups.10Furthermore,communicationmaterialsdevelopedwiththeinvolvementofstakeholdersaremorelikelytoachievetherighttoneandpitchandthereforemeettheneedsofthetargetaudience.Similarly,the‘reach’ofcommunicationmaterialscanincreasesignificantlyifstakeholdershelptodisseminatethem.

• Targetingandlanguage

Ensurethatallcommunicationmaterialsarewell-targetedattheintendeduser(s)andarewritten/presentedinanaccessibleway.11Whereverpossible,takecarethatthelanguageyouuseisstraightforwardandjargon-free,andthateveryoneclearlyunderstandsallterminologyused.Publicationsaimedatpolicy-makersand/

4. Facilitate

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CaseStudy–NurturingaSpiritofCollaborationEncouraging different stakeholder groups to work together and reach compromises can benefit from imaginative thinking and even the innovative use of technology. Dr Tim O’Higgins, Project Manager of the KnowSeas initiative, relates how a novel approach to conflict resolution helped to break down barriers between vested interests in the field of tidal energy.

“Decidingwheretositerenewableenergyinstallationscanoftenbecontentious.Developers,communitiesandlocalindustriesmayallhaveverydifferentagendas.Withalackofobviouscommonground,itcanbehardforthemtounderstandoneanother’sviewpoints,prioritiesandconcerns.UnderthebannerofKnowSeas(Knowledge-basedSustainableManagementforEurope’sSeas),wedecidedtolookforanewwayofaddressingtheproblem.ThecontextwastheidentificationoftidalenergysitesofftheMullofKintyrewheredeveloperscouldpotentiallylocatedeviceswhilsttakingtheconcernsoflocalfishermenandthetouristindustryintoaccount.

Couldweprovideanenvironmentwheredifferentpartieswouldhavetoworktogetherandinalighteratmospherethanatownhallmeetingorround-tableexchange?

Oursolutionwastotrialanoveldevice–aninteractive‘touchtable’.Agiantmapwasprojectedontothetopanddifferentsectionswerehighlightedasparticipantstouchedthemtoindicateplacesvitaltotheiractivitiesandinterests.Sitescouldthenbe‘traded’untilacompromisewasarrivedat,withdifferentoutcomesawardedasustainabilityscoreusingbespokecomputersoftware.This‘game-ification’ofadelicatetopicprovedahugesuccess.

Thefactthatdifferentpartieshadtositdownandlearnhowtousethetouchtabletogethergotthemthinkingasateamratherthanasdivergentinterestgroups.

Moreover,itwasfuntouse–whichmadeahugedifferencetothewholecharacterofthediscussion–andensuredthateveryonecouldvisualisemuchbetterwhatisobviouslyasensitiveandcontroversialissue.Thespiritofco-operationthatsoondevelopedreallyfacilitatedthetradingofmarinespacesandhelpedpromotegenuineunderstandingofeachother’spositions.We’venowwrittensimilaruseofatouchtableintoanumberofotherprojectswherestakeholderengagementisneeded,includingaforthcomingconservation-relatedprojectintheMorayFirthinvolvingstakeholdersfromtherenewables,fishing,tourismandbroaderenergysectors.

Ican’toveremphasisetheimpactthiskindofapproachcanhaveinfosteringaspiritofcollaborationthatmakesprojectgoalseasiertoachieve.”

orbusinessesandwrittenin‘plainEnglish’canbeeffectiveinhighlightingtheimpactsofresearch,bothduringtheprogrammeandwhenithasbeencompleted.CopiesofcommunicationmaterialscanbesenttotheLWECDirectorateforfurtherdissemination.

• Interpretingresearch

Involveacross-sectionofstakeholderstohelpdrawoutthekeypolicyandpracticeimplicationsofyourresearch.Thiscanbehighlyproductivenotjustatindividualprojectlevelbutalsoacrossallprojectssupportedbyaprogramme.Producingsynthesisreportsandorganisingtargetedworkshopscanbothbeeffectivewaysofachievingcross-programmeresults.

• Professionalcommunicators

Professionalcommunicatorscanhelptodesignqualitypublications,multimediaoutputsandnon-writtenmaterials(e.g.tools)whicharebettertargetedandaccessibletokeyaudiences.TheirskillsmayalsoenhancethoseofaKECo-ordinator(seep.2)inface-to-facecommunicationstoensureasufficientlyeffectiveprocessthatachievesagenuinetwo-wayexchangeofknowledge.Furthermore,throughtheirprofessionalnetworks/activities,greaterimpactmaybepossible.Itmightthereforebeworthsettingasidearealisticbudgetallocationforprofessionalhelp.

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Harnessingspecificmechanismstoensureatwo-wayflowofknowledge,skillsandnewideaswillunderpinKEasyourprogrammegatherspace:

• Programmeevents

Createa‘community’ofresearchersandstakeholdersbyorganisingregulareventsthatbuildrelationshipsandaidinformation-sharingandthecreationofnewknowledgetogether.Ensuringthatthesamepeopleconsistentlyattendtheseeventswillhelpfacilitatethisprocess.Whenplanninganevent,makesureyouunderstandwhatwillmakeparticipantsfeelcomfortable,secureandcreative,whatwillreinforcetheirtrustintheprocessandhowyoucandeliveranenvironmentwhereideascanbechallengedconstructively.

• Targetedworkshops

Well-focusedworkshopscanprovidetheperfectmediumforsharingkeyinformationwithstakeholders–forexample,wherethereisaclearpolicyquestionoranindustrialissueonwhichyourprogrammehasproducedsignificantnewevidence.Keepworkshops(andmeetingsingeneral)assmallaspossible;wherelargerworkshopsareunavoidable,ensureplentyoftheworkisdonebysmallgroupsofparticipants.

• Goodfacilitation

Employingaprofessionalfacilitator(oramemberofyourteamwhohasundertakenrecognisedfacilitationtraining)canmaximisetheeffectivenessofaneventorworkshop.

• Townmeetings

Townmeetingsandsimilarforumscanbeusedtohelpyoubuildcollaborationsnotonlywithusers/stakeholdersbutalsowithotherresearchers.

• Informalinteraction

Duringformalmeetings,createopportunitiesforresearchersandusers/stakeholderstointeractlessformallyaswell–forexample,byensuringthatbreaksarelongenough,byincludingactivitieswherepeoplecanworktogetherinsmallgroupsorperhapsbyengineeringopportunitiesforthoseinvolvedtotalkwitheachotherenroutetoaprojectsiteetc.

• ‘Remote’contact

HarnesstechnologiesandmediasuchasSkype,video/teleconferencing,socialnetworkingandsecuresharedwebsitestoprovideforumsforongoing,low-costinteractionwithresearchusersandotherstakeholders,inordertosupplementregularface-to-facemeetings.Thisisespeciallyimportantwhendealingwithorganisations/individualslocatedinothercountries.

5. Share

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CaseStudy–TheValueofNon-WrittenMaterialSharing information and engaging with stakeholders in innovative and creative ways can add an extra dimension to KE activities. The Flood, Vulnerability and Resilience Study, for example, devised a giant game of ‘Flood Snakes and Ladders’ to highlight the major challenges facing flooded residents. Dr Beccy Whittle of Lancaster University describes how this novel solution provided a perfect platform for raising awareness and promoting a deeper understanding of the difficult issues involved.

“Forfloodedhouseholders,it’sonlyafterthenewscrewshavegonehomethatthestrugglereallystarts.Copingwiththephysical,financialandemotionalimpactsoffloodrecoverycanbealonghaul.Werecognisedthat,ifourstudyoftheeffectsofthe2007Hullfloodswastohavelastingvalue,wehadtohitonawayofconveyingthoseimpactstothoseinvolvedindisasterrecoveryandemergencyplanningaseffectivelyandrealisticallyaspossible.Clearly,creatinggenuineempathyandunderstandingwouldneedmorethanlongacademicreportsorworkshopsdominatedbyPowerPointpresentationsandtraditionalQ&Asessions.

Wewantedtohighlightreal-lifeexperiencesinanentertaining,hands-onwaythatstimulateddiscussionandmadeapermanentimpression.

Theideaofproducingthegamewasinspiredbyoneofthestudyparticipantsjokingthattheupsanddownsofrecoveringfromafloodwaslikeagameofsnakesandladders–youthinkyou’remakingprogressandthenyouhitanobstaclethatcanreallysetyouback.Inourgame,30tilesareplacedonthefloorandtheplayersrollagiantdice.Thetiletheylandonpresentsthemwithanauthenticpost-floodscenario–perhapssomethingtodowithclean-up,insuranceorfindingalternativeaccommodation–andtheymoveforwardorbackdependingonwhetherthescenarioispositiveornegative.

Playingthegamecertainlyhelpsyoutoseetheimpactoffloodingthrougharesident’seyes.Thepilotversionhasbeenusedasatrainingtoolbyanumberoforganisations,whichhavegainedimportantinsightsintotheexperienceoffloodrecovery.But,withthehelpoffundingfromtheCabinetOfficeandEPSRC,we’venowdevelopedadownloadableversiontoreachamuchwiderpoolofpotentialusers.It’sprovingthatnon-writtenmaterialreallycanaddthe‘wow’factortoanyKEprogramme.

ThegamehasalreadybeentriedoutbytheCabinetOffice,localauthorities,insurersandtheBritishDamageManagementAssociation.

Asimplifiedversionhasprovedagreatsuccessinschoolsandthegameisalsosparkingsimilarideasthatwecanapplytootherprojects.Forinstance,we’vedesignedaspecial‘floodsuitcase’containingarangeofteachingandlearningresourcestohelpyoungpeopleexploretherealityoffloodrecovery.

Ofcourse,thesnakesandladdersconceptcouldeasilybetailoredtootherdisasterscenariosaswellastowiderissuesrelatingtoclimatechange.”

• MakingconnectionsthroughLWEC

CollaboratingwithotherLWECactivitiesaswellasacrossprojectsinanindividualprogrammecanenablesignificantfindingsandimportantinformationtobesharedmorewidely.

• HarnessingLWEC

UseLWECevents,LWECFellowsandtheLWECwebsitetosharegoodpracticeinKEwithusers/stakeholdersandwithotherresearchers.MakethemostofcommunicationmaterialsandtrainingpackagesproducedbyLWECPartnerstohelpyouconveyyourscientificfindingstopolicy-makers.

• Tradejournalsandspecialistmedia

Tradejournalsandawholerangeofnon-mainstreammediapotentiallyprovideausefulchannelforconveyinginformationtoindustry,sodevelopingcontactsandbuildinglinkswithsuchpublicationscanbeagoodinvestmentofyourtime.

• Non-writtenoutputs

Demonstratenewtechniques,decision-supporttoolsandothernon-writtenresearchoutputsbytakingthemdirecttopotentialusersorshowcasingthematappropriateevents.

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6. Impact

Focusondeliveringtangibleresultsthatareofrealvaluetoasmanyofyourprogramme’sresearchusersandstakeholdersaspossible:

• ‘Quickwins’

Deliveringanumberofusefuloutcomesassoonaspractical(butwithoutcompromisingtherigourandintegrityofyourresearch)willhelpyougaintherespectandsecuretheongoingsupportofstakeholders,enablingyourprogrammetoachievemoreinthelongterm.Suchoutputsmightinclude:synthesisreports,briefings,accesstousefuldata,modelsandexpertisethatusersdidnothavebefore.

• Key‘influencers’

Identifykey‘influencers’whoarewell-connectedandhavetheabilitytodisseminateresearchfindingswidely.Planhowyoucanworkwiththemtomaximisetheimpactofyourresearch.

• Placements

Explorethescopeforprojectleadersandotherstoundertakeplacements,fellowshipsandworkshadowingwithinstitutionsandorganisationslikelytouseyourprogramme’sresearchoutputsandwherethereisastronglikelihoodthatKEmayleadtobeneficialimpacts.12

• Fundingneeds

Anticipatewhetheryoumayneedspecificfundingforinitiativesdesignedtointerpret,synthesiseandcommunicatefindingsfromyourprogrammeasawholeorfromitscomponentactivities.13Suchinitiativesoftenaddenormousvaluetoresearchoutputsbutneedtoberesourcedappropriately.Newcallsforproposalsfocusingonthistypeofactivity,ideallyalreadyidentifiedinyourKEstrategy,canbeworkedupandtakenforwardatkeypointsduringyourresearchprogramme.

• LWECobjectives

YourresearchprogrammecouldachievegreaterimpactthroughLWECbymeetingkeyneedsofbusinessand/orsociety,asidentifiedintheLWECPartnership’s‘sixchallenges’,aswellasbyansweringpolicyquestionsandcontributingtobroaderLWECinitiativessuchasClimateChangeImpactReportCards.14

• Goodtiming

Someresearchusers(especiallypolicy-makersandregulators)mayneedtoreceiveinformationand/oradvicefromyourprogrammetocoincidewithkeypointsinthepolicy/legislationdevelopmentprocess.15Inthiscontext,itisusefultoplaninadvancehowyoucanmakemeaningfulcontributionstothisprocessontimescalesof(i)days/weeks,(ii)monthsand(iii)years.GettingthetimingofKErightisalsocrucialtofunders,particularlywhenapotentiallycontroversialareaofresearchisbeingdeveloped.

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KEQ&A–TheBenefitsofWorkPlacementsPlacements, fellowships and work shadowing can strengthen research programmes in all kinds of ways, not least by helping to ensure that they effectively meet research users’ needs. Dr Carly Stevens recalls how, as a research scientist with The Open University, she undertook a five-month placement with Defra working on its Atmosphere and Local Environment (ALE) programme – to the benefit of both organisations.

Q:Howdidtheplacementcomeabout?

A:IrespondedtoanadvertdistributedviaNERC.Defrawantedsomeonetoworkin-housewiththeirALEteam’sAtmosphericEvidenceGroup,helpingtoevaluatetheimpactofairpollutiononecosystems.Itlookedinteresting–myareaofresearchspecialismisnitrogendepositionandtheeffectithasonplants.Furthermore,Defraisakeyfunderofmyresearchsothisseemedanexcellentopportunitytoforgeclosertieswiththemandtoworkonaprogrammewhich,throughthepolicydecisionsitinforms,feedsdirectlyintothe‘realworld’.TheOpenUniversitywereextremelysupportivetoo.Deliveringimpactisveryhighontheiragenda.

Q:Whatexactlydidtheplacementinvolve?

A:BetweenOctober2011andMarch2012,IspentalternateweeksupatDefrainLondon.MymaintaskwastoproduceaninternalreportassessingtheextenttowhichpastALEresearchhadhelpedDeframeetitsairpollutionpolicygoals,aswellassettingoutrecommendationsonhowfutureresearchcouldcontributetotheachievementofthosegoalsmosteffectively.Defraarenowtakinganumberoftherecommendationsforward.

Q:WhatdidDefrathinkan‘outsider’couldofferthatoneoftheirownemployeescouldn’t?

A:Basically,independenceandafreshperspectivefreefrompreconceptions.I’veneverbeenfundedbyALEandsohadn’tpreviouslyhadanyfeedintotheprogrammewhatsoever.ThatmeantIcouldevaluatepastresearchcompletelyobjectivelyandprovideatotallyunbiasedviewoffutureneeds.Infact,Defralearnedalotaboutthemselvesfromthewholeprocess.MyroleinvolvedinterfacingandbuildingrelationshipswithpeoplerightacrosstheDepartment.Asaresult,IcouldseescientificlinkagesbetweendifferentpartsofDefrathatperhapsweren’tsoobvioustoaninsider.

Q:Whatdidyoupersonallylearnfromtheexperience?

A:Beforemyplacement,Iwasquitenaïveintermsofhowthepolicyprocessactuallyworks.IfIspoketoaGovernmentDepartmenttoconveysomeresearchfindingstothem,Iusedtothink“right,that’sdone–that’llfeedstraightintoapolicyimpact.”NowI’mmuchmoreawareofjusthowcomplexpolicyformulationisandthedifferentstepsandstagesithastogothrough,andparticularlyofitsevidenceneedswithrespecttobothcontentandform.Icanseehowevidencehastobeframedandpresentedifit’stoattractattentionandstimulateinterest.It’svitaltorecognisethatGovernmentDepartmentsaredealingwithcolossalvolumesofinformationonadailybasis,soitreallyhelpsifwhatyousubmitisclear,relevantandthought-provoking.

Q:HowimportantwasittobeinapositiontoforgecloserelationshipswithindividualDefrastaff?

A:Itwasessential.ActuallybeingupthereatDeframadeallthedifferenceinensuringmyreportwasasinsightfulaspossible.Itmademeseethatyoucan’tdevelopacomprehensiveunderstandingofanorganisationandthewayitworkswithoutputtingthosepersonal,face-to-facelinksinplace.I’vealsobeenabletousemyimprovedunderstandingoftheprocessthroughwhichscienceturnsintopolicytobenefitTheOpenUniversityandmycurrentemployer,LancasterUniversity.Placementsclearlyhavehugepotentialtoreinforcethetwo-waybridgethatallowsknowledgeandunderstandingtoflowbetweenacademiaandgovernment.Ireallydidfindthewholeexperiencehugelyenjoyableandhighlyrewarding.

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7. Sustain

Takemeasuresthatwillensureengagementandimpactcanbesustainedbeyondthelifeoftheimmediateresearchprogramme/project:

• Determineneeds

Decidewhichaspect(s)ofKE(e.g.stakeholderinteraction,networks,sociallearning)needtobesustainedforthedurationoftheprogramme/projectandbeyond.Ensurethatyourstrategicplanningandimplementationbothreflectthisrequirement.

• ‘Legacy’arrangements

Putmechanismsinplacethatwillenabletheinterpretationandcommunicationoftheknowledgegeneratedbytheprogramme/projecttocontinue,evenwhentheresearchphasehasfinished.16

• Ongoingco-ordination

ConsideremployingKECo-ordinatorsandotherswhoareinsimilarrolesforanappropriateperiod(e.g.ayear)afteryourresearchprogrammeiscomplete.

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CaseStudy–LeavingaLegacyResearch initiatives will more easily maximise their impact if KE processes can continue after the research phase has been completed – and perhaps even after the whole initiative has drawn to an end. Dr Jo House of the University of Bristol describes how the QUEST (Quantifying and Understanding the Earth System) programme* made sure it left an influential legacy following its conclusion in autumn 2011.

“ThefundamentalaimofQUESTwastopulltogethermanydifferentstrandsofscienceandsoaidunderstandingofglobalenvironmentalchange.Startingin2006,itranforfiveyearsandsupportedamultitudeofmostlyUK-basedresearchprojects,withafocusonthreeprincipalareas:modellingintothefuture,interpretingpalaeoclimaticdataandunderstandinghumanimpactsontheglobalenvironment.

Aswithmanymajorresearchprogrammes,someoftheprojectsranliterallyrightuptotheveryendofQUEST.ItwasessentialtosetupmechanismsthatwouldallowustofeedrelevantoutputsthroughintoIntergovernmentalPanelonClimateChange(IPCC)reports,forexample.Otherkeypost-programmeaimsincludedorganisingthe‘finale’eventandproducingabookthatwouldbringallofQUEST’sprimaryfindingstogetherinone,accessibleplace.

Infact,somuchactivitywasneededthatQUEST’sresourceforKEhadtoberampeduptowardstheendoftheprogramme,continuingafteritended.

ThisincludedtakingonanadditionalliaisonofficerwithinthecoreQUESTteam.Aswellassupplementingstaffinglevels,though,itwasalsocriticaltokeepexistingteammemberstogether.Forinstance,myfive-yearcontractasScienceandPolicyOfficer,whichincludedstakeholderliaisonasoneofitsmainfunctions,wasextendedbyayearbeyondthelifeoftheprogramme.

ThiscontinuityofpersonnelwasvitaltomaximisingtheimpactandvalueofQUEST’sresearch.

Unlesswe’dbeenabletomaintaintheexperienceandexpertisewe’dbuiltup,plusofcoursetherelationshipswe’ddevelopedwithresearchersandresearchusersalike,itwouldhavebeenmuchharderforQUESTtoachieveitsKEgoals.Inparticular,we’redelightedthatthebook‘UnderstandingtheEarthSystem’waspublishedinAugust2012.Webelieveitwillbeofhugehelptopolicy-makersandstudents,aswellastoscientistsnotdirectlyinvolvedinthefieldofclimatechange.

GearingupKEactivitiestowardstheofficialendofQUESTandcontinuingthemafterwardshasn’tjustproveduseful–it’sbeencrucialtosecuringtheprogramme’slegacy.”

*NB:thisNERCprogrammewasnotanLWECinitiative.

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MonitoryourKEactivitiesandtheirimpact,learnlessonsfromyourexperiencesandusetheselessonstorefinefutureprogrammes/projects:

• Opportunitiesforreflection

Facilitateregularreflectionbothbyresearchersandbyusers/stakeholdersonwhathas(orperhapswhathasnot)provedeffectiveintermsofKEandenableeveryonetosharetheirconclusionswitheachother.17

• Impactevaluationmethods

UsetriedandtestedimpactevaluationmethodstoshedlightonwhichKEprocesseshaveprovedeffective.18

• Project-levelevaluation

MakesurethatprojectsfundedbyyourprogrammearerequiredtoevaluatetheirKEactivities’effectivenessandtoreportbackthefindingstoyouregularly,drawingonbothqualitativeandquantitativedata.OnepotentiallyusefulapproachistodevelopasuiteofindicatorsspecifictoyourprogrammethatcanbeusedtomonitorthesuccessofindividualKEactivities.Overall,project-levelreportingdatacanhelptoidentify(i)KEmechanismsthatappeartobe

particularlysuccessfuland(ii)projectsthatareeitherdoingwellorfallingshortwithrespecttoKE.Suchfindingscanbeusedtotargetassistancewhereitisneeded.

• Stakeholderfeedback

Conductsurveysorputothermechanismsinplacetosecurefeedbackfromstakeholderswhichcaninformyourevaluationofyourprogramme’sKEactivities.

• Peernetwork

Developanetworkof‘criticalfriends’and/ormentorswhocanprovideobjectiveinsightsandanalysisintotheeffectivenessofKEactivitiesandthewaythoseactivitieshavebeenimplemented.19

• Casestudies

Producecasestudieshighlightinghowandwhereoutputsfromyourresearchprogrammehavebeenusedbypolicy-makers,businesses,thegeneralpublicetc.RemembertoinformtheLWECDirectoratethatthesehavebeenproducedandindicateifanysimilarmaterialhasbeenproducedbyfundersofyourresearch.CasestudiesofsuccessfulKEprocessescanalsobesubmittedtoLWECaspotentialhotlinksforinclusionintheonlineversionoftheseKEGuidelines.20

8. Evaluate

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CaseStudy–ReportingandAssessingKEEvaluating KE at project level provides vital insights not just into the outcomes achieved but also into which processes worked well and which ones proved less productive. Jeremy Phillipson of Newcastle University recounts how an innovative but simple tool dubbed the Stakeholder Impact Analysis Matrix (SIAM) has helped the Relu Programme to generate evaluation data of both short and long-term value.

“TheindividualresearchprojectswithinReluhaveengagedwithseveralthousandstakeholdersintotal.BecausethewholeKEphilosophygoestotheheartofwhattheprogrammeisallabout,itwasessentialtodevelopawayoftrackingstakeholders’involvementintheresearchandpinpointingwhattheybroughttotheworkandwhattheytookawayfromit.Butweneededtocomeupwithamethodthatwouldn’tbetooonerousforanyoneinvolvedandwouldn’tproducecomplicateddatathatwastootime-consumingtounravel.SIAMwasthesolutionwearrivedat.

Toeachproject’sannualreportingform,wesimplyaddedatabletocapturedatadesignedtorevealtheKEeffectsproducedbyeachstakeholderrelationship.

Foreverystakeholder,theproject’sPrincipalInvestigatorwasaskedtoprovideinformationon:theexactnatureofthestakeholder’sinteractionwithandcontributiontotheproject;theamountoftimetheyputintoit;howthestakeholderimprovedtheproject’srelevanceandscientificquality;andfinallytheimpactoftheresearchonthestakeholder’sknowledgeandunderstanding,anditsultimateeffectonpolicyandpractice.

Inthisway,SIAMhasgeneratedanextensivedatabaseofinformationthatcanbeminedtoprovideproject-specificandcross-programmeinsights.

Forexample,analysishasrevealedhowtheroleofpublicsectorstakeholderstendstodiffersignificantlyfromthoseintheprivatesector.Whereastheformertendtomakeakeycontributioninhelpingtoshaperesearchobjectives,it’sgenerallythelatterwhoareattheforefrontofexecutingtheresearchitself.

Ofcourse,SIAMisalsoanexcellentstakeholdermappingtoolandcould,inyearsahead,allowaccurateevaluationoftheReluProgramme’slong-termimpactbyprovidingan‘audittrail’ofencountersandinteractionsbetweenstakeholdersandresearchers.

We’restillrefiningSIAMbutwe’reconvincedbothofitsvalueandofitspotentialtobeadaptedforusebyotherresearchprogrammes.”

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Notes

1. TheLWECpartnershipaimstodevelopacommunityofresearchersandresearchuserswhovaluetheinteractionsbetweeneachotherandwhoseektomaximisetheenvironmental,societalandeconomicvaluederivedfromLWECresearch.Toachievethisrequiresthedevelopmentofacultureinwhichresearchersregarduser/stakeholderengagementasacentralandintegralelementoftheresearchprocess.Similarly,researchusersconnectedwithLWECneedtobeabletoconsidertheirrelationshipswithLWECresearchersasakeymechanismforgeneratingandaccessingtheinformationandunderstandingnecessaryforthemtotakeanevidence-basedapproachtopolicy/decision-making.

ResearchCouncilinitiativestodeveloptheskillsnecessaryforresearcherstobeeffectiveinKEactivitiesinclude:

• NERC’sKEfundingschemesthatsupportco-operativetraining,peopleandknowledgeflowandnetworks.

• ESRC’sschemesforsupportinganddevelopingskills/capacityinKE.

• Inaddition,ResearchCouncilsUKhasaKnowledgeTransferPortalthatlistsschemestosupportsecondmentsandplacementsbetweentheresearchbaseandotherorganisations(seewww.rcuk.ac.uk/kei/ktportal/Pages/PeopleExchange.aspx).

2. NERC,forexample,hasissuedspecificguidanceonobjectivesettingbyprogrammes,highlightingtheneedto:

• Discussthebalanceofbasic,strategicandappliedobjectives,whichwillhelpdeterminethelevelandnatureofuserinvolvement.

• SetSMART(specific,measurable,achievable,relevantandtime-bound)targetsandobjectives,includinguser-focusedobjectives.

• Ensuretheprogramme’sExecutiveBoardregularlyreviewtheobjectives,e.g.toensuretheuser-focusedobjectivesarenotlostsightof.

• Settargetsforuser-focusedoutputsoftheprogramme(e.g.numberofcollaborationswiththeprivate/public/thirdsector)tohelpsecureuser‘buy-in’.

3. Detailedguidanceonstakeholdermapping/analysisisavailablefromarangeofsources(e.g.NERC,theReluProgramme,Defra).KeypointsmadebyNERC,forexample,includetheneedto:

• Brainstormallstakeholderswithapotentialinterest/involvementinyourprogramme.

• Identify‘key’stakeholderstobeconsideredforahigherlevelofconsultationandinvolvement.

• Identifyrelevantindividualsorgroupsofindividualswithineachorganisationandwhattypesofoutputdifferentstakeholderswillneed.

• Surveyallpotentialresearchuserstofindouthowtheywouldlikeprogrammeoutputstobepresentedanddisseminated.

Therearealsoawidevarietyoftechniquesthatcanbeemployed,suchasmatrixmapping,logframesandlogicmodels.

4. LWEC’sprinciplesofco-design/co-production/co-deliveryandfocusonresearchthataddresseskeydecision-makingissuesaroundenvironmentalchangeneedtobereflectedinthereviewingandselectingofprojectproposals,particularlywhenconsideringwhatconstitutes‘excellencewithimpact’.Forexample,when‘radicalinterdisciplinarity’isneededandwherethereisastrongfocusondevelopingsolutionstomessy,real-lifeproblems,carefulthoughtshouldbegiventopeerreviewandprojectselectionprocesses,thepeercommunityinvolvedandtheevaluationcriteria.

5. Inanumberofprogrammes,atwo-stageselectionprocesshasprovedeffectiveinenablingtherefinementofresearchprojectproposals.Forexample:

• IntheUKOceanAcidificationResearchProgramme,outlinebidswerefirstsievedandfinalbidswerethenrequestedfromasub-setoffirstroundapplicants,whowererequiredtoattendaworkshoppriortomakingfullbids.Theworkshopprovidedanopportunityforthefundingpartnerstosaywhattheywantedoutoftheprogrammeandsohelpensurethatproposalswoulddelivertherequirements.

• TheReluProgrammehasusedatwo-stageprocessinsomefundingcalls.Inthefirststage,outlineproposals(andmorerecently‘conceptnotes’)werereviewedbyanassessmentpanel,withfeedbackthengiventothoseshortlistedtogoforwardtothesecondstagetoenablethemtoimprovetheirproposals.

6. Therearemany‘goodpractice’examplesofsuchstrategiesandplanspreparedforexistingLWECprogrammes.(NB:thesevaryin

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emphasisdependingontheprecisepurposeofeachprogramme,e.g.theArcticResearchProgrammeplacessignificantemphasisonpublicengagement.)Forinstance:

• ArcticResearchProgrammefortheUK:Communication,Engagement&KnowledgeExchange–AStrategy2010-2016:www.nerc.ac.uk/research/programmes/arctic/documents/arctic-strategy.pdf

• UKOceanAcidificationResearchProgrammeKnowledgeExchangePlan:http://www.lwec.org.uk/sites/default/files/Ocean_Acidification.pdf

• BiodiversityandEcosystemServiceSustainability(BESS)Communication,EngagementandKnowledgeExchangeStrategy2011-2016:www.nerc-bess.net/documents/BESS_comms_strategy.pdf

AKEstrategyneedstoaddressthefollowingareasandtobeperiodicallyupdated:

• Aimsandexpectedoutcomes.

• Stakeholderanalysis.

• Implementationplandescribingindetailhoweachobjectiveandexpectedoutcomewillbeachievedandhowdifferentresearchusersandstakeholderswillbeengagedthroughouttheprogramme,consideringtheneeds/preferencesofdifferentstakeholdergroups.

• EstablishmentofresponsibilitiesforKE(i.e.considerwhowillbetaskedwithachievingeachoutcomedescribedintheimplementationplanandwhenyouexpecteachoutcometobeachieved).

• AllocationofappropriatefundingtoKEatprogrammeandprojectlevel.

• KElinksthatcanbeestablishedwithotherLWECactivities.

• ThedesiredKEcultureandskillsneededfortheprogrammeandhowtheywillbeachieved.

• Knowledgemanagementarrangementstosupporteffectiveaccessto,andsharingof,knowledgeandexpertise.

• Evaluationprocedurestobeusedduringandaftercompletionoftheprogrammeorprojectaspartofalearningcycle.

• Branding–someprogrammeshavefounditusefultothinkexplicitlyaboutthisinordertohelpfosterrelationshipsandcommunicate

researchoutcomesmoreeffectivelywithstakeholders.

KEstrategiesforindividualprogrammesshouldalsodescribethecontributiontheprogrammewillmakeacrossLWEC’ssixstrategicchallenges(climate,ecosystem,health,infrastructure,resourcesandsocietal;seewww.lwec.org.uk/challenges)bothingeneraltermsandspecificallyintermsofmeetinguserneeds.

7. SinceakeyaimofLWECactivitiesistoensureimpactoftheresearchintheusercommunitiestheyserve,sufficientresourcesneedtobeallocatedtoKEthatenableuptakeofresearchthroughsustainedengagementandinterventions.NERCprovidesaguidelineof5%ofprogrammebudgettobereservedforKE,comparedwithDFID’sguidelineof10%.

ActivitiestobecoveredbytheKEfundsmayinclude:

• StafftimetomanageKEactivities,undertaketheroleofknowledgebrokeretc.

• Workshopsandothernetworkingevents.

• Developmentandactivemaintenanceofcommunicationchannelssuchaswebsitesetc.

• Staffexchangeschemesbetweenresearchteamsandresearchuserorganisations.

• SchemeswherethosewhohavepreviouslymanagedKEprojectsmentorthosewithlessexperience.

• Integration/interpretationofresearchacrossprojects/programmestoanswercross-cuttinguserneeds.

• Preparationofreports,briefingnotesetc.aimedatspecificusergroups.

PreparationofaKEstrategyshouldincludeestimationoftheassociatedcostsanddecisionsonwhatfundingshouldbereservedatprogrammeandatprojectlevel.InordertoensurethatprojectsallocatesufficientfundstoKE,thismaybeemphasisedincallsforproposalsandmaybeasignificantfactorinproposals’evaluation.

8. Tobeabletoidentifyandrespondtonewuserneeds,regularcontactneedstobemaintainedbetweenresearchinitiativesandtherelevantusercommunities,aswellasbetweenprogrammeandprojectlevels.Specificmechanismstoachievethisinclude:

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• Buildingeffectivenetworksofconnectionsacrossresearchandusercommunities.Thisisparticularlyimportantforemergingpolicyareasorbusinesssectorsinwhichinnovationisfastmoving,whereconnectionsbetweenresearchersandpolicy-makers,forexample,maynotexist.Aparticularchallengeistherapidturnoverofstaff,requiringaproactiveapproachtomanagingtherelationshipandrenewingconnections.

• Ensuringprojectfundingmodelsrewardresearchersforbeingresponsivetouserneeds(e.g.intermsofadviceandanswerstoquestions).Potentialmodelsincludetheallocationofapercentageoftheresearchbudgettoprovidesuchsupport,orretainingfundscentrallywhichcanbebidforasneedsarise.

9. Therequiredknowledgebrokeringcapacitymaybeestablished:

• Withintheprogramme/activitymanagementteam.

• Asaroleundertakenbymembersofindividualresearchteams.

• Within‘user’organisations(i.e.askeypointsofcontactforengagement).

• Byexchangeofstaffbetweenresearchteamsand‘user’organisations,e.g.theReluProgramme’sworkshadowingandvisitingfellowshipsschemes–seewww.relu.ac.uk/gettinginvolved/

• Bymakinguseofexistingbodiesandinitiatives,e.g.theTechnologyStrategyBoard’sKnowledgeTransferNetworks–seehttps://connect.innovateuk.org/

Inpractice,severaloralloftheseapproachesmaybeusedwithinanindividualprogramme.

Importantskills/activitiesofknowledgebrokersinclude:

• Clearcommunication.

• Understandingoftheculturesofboththeresearchanddecision-makingenvironments.

• Abilitytogeneratetrustandbecredible.

• Facilitation,mediationandnegotiationabilities.

• Abilitytofindandassessrelevantresearchinavarietyofformats.

• Entrepreneurialabilities(networking,problemsolving,innovating).

Theaboveguidancehasbeensourcedfrom:Lomas,J.,2007.TheIn-betweenWorldofKnowledgeBrokering.BritishMedicalJournal,Vol.334,pp.129-132.

10. Somechannelsofcommunicationmaybeessentiallypassive(i.e.takingtheformofadisseminationmedium)ratherthanrepresentingactiveKE.Thefollowingarejustsomeexamplesofsuchmedia,whichcanneverthelessplayanimportantroleincommunicatinginformation:

• Shortfilms,e.g.theUKOceanAcidificationResearchProgramme’s12-minutefilm‘OceanAcidification:ConnectingScience,Industry,PolicyandPublic’(seewww.youtube.com/watch?v=_BPS8ctVW2s).

• Twitter,e.g.aguidetousingTwitterproducedbyRelu’sSustainableUplandsProjectisavailableathttp://www.lwec.org.uk/news/2011/august/get-tweeting-lwec-researchers-publish-guide-twitter

• Slideshare,whichcanactasausefulmeansofpostingPowerPointpresentationstothewebandsharingthemwithstakeholders(e.g.seewww.slideshare.net/lecmsr/sustainable-uplands-results-presentation-4496281).

• Scribd,whichcanbeusedtoshareprojectdocuments,publicationsandreportswithstakeholders(e.g.seewww.scribd.com/doc/59776981/Sustainable-Uplands-Newsletter-Summer-2011).

• YouTubeandVimeo,websiteswhereprojectvideoscanbeuploaded.

• Games,e.g.aReluprojectproducedRUFopoly,aboardgameillustratingissuesrelatingtotherural-urbanfringe.

• Publications,booksandPolicyNotes.

Itisimportanttoemphasise,however,thatothermoreintrinsicallyinteractivechannels(e.g.workshops,breakfastclubs,Q&Asessions)canalsoplayakeyroleinKE.Moreover,itisvitaltorecognisethat,inthemselves,activitiesdonotconstituteimpactunlesscarefulconsiderationisgiventowhatdifferencetheywillmakeandwhatwillchangeasaresultofthem.

11. NERC’sUrbanRegenerationandtheEnvironment(URGENT)Programme,forexample,producedauserfriendlydigestofresearchoutcomesparticularlytargetedatlocalauthorityenvironmentalhealth,planningandtechnical/engineeringdepartmentsandincluding:

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• Web-basedenvironmentalinformationsystemsforplanners.

• Informationonmaintainingbiodiversityinurbanenvironments.

• Acost-effectivemethodofscanningandmappingsitestoassisttherisk-basedmanagementofcontaminatedland.

• Newguidelinestoreducedamagetoarchaeologicallysensitiveareasduringregenerationandredevelopment.

• Informationonuseoftreesinurbanareastoimproveairquality.

• Anewcomputersystemtopredictwhenandwherearoadwillfreeze,savinglocalauthoritiesmoneyonunnecessarysalting.

• Informationonrivercontaminationandpollutionremoval.

Someofthesehaveinformedlocalauthoritypoliciesandpracticeand/orledtospin-outcompaniesorfurtherresearchsupportedbylocalauthoritiesthemselves.

12. TheReluProgramme,forinstance,hasaworkshadowingschemeinplace(seewww.relu.ac.uk/funding/WorkShadowsVisitingFellows/workshadowing.htm).SeealsothethirdbulletpointinNote1above.

13. Itisimportanttoconsiderthepotentialvalueofintegratingfindingsgeneratedacrossanumberofprojects.Theimplicationsofanyonepieceofnewknowledgemaywellnotbesignificanttoastakeholder:stakeholdersgenerallyrespondbesttobodiesofevidenceandlinesofargument,withthestrengthofaknowledgecommunitycountingmorethanthevoiceofasingleresearcher.Thefollowingareexamplesofeffectiveinitiativestoachieveintegrationandinterpretationofknowledgearisingacrossprojectsandprogrammes:

• ESRC’s‘evidencebriefings’,integratingresearchfindingsacrossESRC’sresearchportfolioandinterpretingittoaddresskeypolicyissues(availableatwww.esrc.ac.uk/publications/evidence-briefings/index.aspx).

• TheReluProgramme’s‘briefingpapers’,integratingfindingsfromacrosstheprogrammetoaddresskeypolicyissues(availableatwww.relu.ac.uk/news/briefings.htm).Reluhasalsoorganisedworkshopsand

eventslinkingacrossprojectsandinvolvingstakeholderstoevaluateemergingfindingsfromtheprogramme’sresearch.

• TheChangingWaterCycleprogrammehasestablishedcross-themeworkinggroupscomprisingresearchersanduserstohelpintegrationacrosstheprogrammeaswellasthedeliveryofhigh-levelsciencegoals.Fundshavebeensetaside,whichtheworkinggroupscanbidinto,forintegrationandsynthesisofresearchresultsastheyaregeneratedoverthelifeoftheprogramme.Asciencemanagementteamappointedtoruntheprogramme(includingtheworkinggroups)hasaresourceforfacilitatingKE.

14. LWECiscurrentlydevelopingthesereportcardsforclimatechangeimpactsalongthelinesofthosedevelopedbytheMarineClimateChangeImpactsPartnership(seewww.mccip.org.uk/annual-report-card.aspx).

15. Policy-makers’(and,indeed,others’)needsforadvice/inputsonshorttomediumtimescalesmaybroadlybedistinguishedasfollows:

• Lessthanoneweek(e.g.aquestionarisingfromaMinister).

• Oneweektosixmonths,typicallyrequiringashortstudytogeneratenewinformationorsynthesise/interpretexistinginformation.Lead-intimeisgenerallyafewweeks.

Responsesmayberequiredorally(particularlyinresponsetothemoreurgentquestions),asashortreportorbriefingnote,orintheformofameetingorworkshopwhereissuescanbeexploredandanunderstandingofthepolicyimplicationscanbeestablishedjointlybetweenresearchersandpolicy-makers.ResearchersworkingonLWECactivitiesmaybethepreferredsourceofsuchadvicebecausetheyareworkingatthecuttingedgeofpolicy-relevanttopics.

Inadditiontothisresponsivemodeofinteraction,itmayalsobeusefulforresearchersworkingonLWECactivitiestotakeamoreproactiveroleinidentifyingnewfindingsarisingfromtheirresearchwhichpolicy-makersshouldbeawareof.Tofulfilthisroleeffectivelywillrequireresearcherstohaveagoodawarenessofthepolicycontexttowhichtheirresearchrelates,andfortheretobeeffectivechannelsofcommunicationtotransmittheirmessagestotherelevantpolicypeople.

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16. Forexample,LandandWaterAustralia’sapproachtoextractingcontinuingvaluefromknowledgeassetsisoutlinedintheir2005publication‘ManagingInformationandKnowledgeforAdoptionOutcomes’availableatlwa.gov.au/files/products/land-and-water-australia-corporate/pr050969/pr050969.pdf

17. ExamplesofLWECactivityreviewsofKEexperienceinclude:

• ‘CommonKnowledge?AnExplorationofKnowledgeTransfer’–aReluProgrammebriefingpaperreviewingtheprogramme’sKEexperienceandapproachesinthebroadercontextofKEinotherprogrammes(availableviawww.relu.ac.uk/news/briefings.htm).

• ‘TellingStories:AccountingforKnowledgeExchange’–aReluProgrammebriefingpaperonitsKEexperienceandapproaches,includingitsengagementwithawiderangeofstakeholders(availableviawww.relu.ac.uk/news/briefings.htm).

• ‘AdventuresinScience’–aReluProgrammebriefingpaperoninterdisciplinarityandKEintheprogramme(availableviawww.relu.ac.uk/news/briefings.htm).

18. TheLWECDirectoraterecommendsresourcesdevelopedbytheReluProgramme.LWECLandUseFellowJeremyPhillipsonishappytosharethesetohelpothersdeveloparobustevaluationprocedure.TheProgramme’sbriefing‘TellingStories:AccountingforKnowledgeExchange’(availableviawww.relu.ac.uk/news/briefings)describeshowtheprogrammecapturesandevaluatestheimpactsofitsresearchprojects.TheprogrammehasalsodevelopedtheSIAM(StakeholderImpactAnalysisMatrix)tooltotracktheinvolvementofstakeholdersinReluProgrammeresearch,toseewhattheybringtoitandwhattheytakeaway.(Seep.17formoreaboutthistool.)

19. ThedevelopmentoftheLWECKEGuidelinesbroughttogetheranetworkofresearchersandpeoplefromLWECpartnerorganisations,allofwhomhadsomeresponsibilityfororinvolvementinKE.ManycontributorsofcasestudiesandothermaterialstotheseGuidelineshavealsoprovidedcontactdetailsandprofilesinthe‘People’sectionoftheLWECwebsiteandarewillingtobecontactedforfurtheradvice/guidance.TheaimsoftheemergingLWECKECommunityaretoprovideopportunitiesforlearningfromeachotherandtocontinuallyimproveKEpracticeforgreaterimpact.

20. NERC’sScienceImpactsDatabaseisapubliclyaccessible,searchablerepositoryofcasestudiesshowingthepolicy,economic,socialandpracticalimpactsofNERC’sscienceinvestments(seesid.nerc.ac.uk/).

LWECisalwayskeentocapturestoriesforitswebsite(seewww.lwec.org.uk/stories);contactLWECifyouhaveoneforinclusion.

*****

GeneralguidanceavailablefromtheResearchCouncilsandtheirfundedprogrammesincludesthefollowing:

• ResearchCouncilsUK’sKnowledgeTransferPortalprovidesagatewaytoResearchCouncils’activitiesandschemesinknowledgetransfer(seewww.rcuk.ac.uk/kei/ktportal/Pages/PeopleExchange.aspx).

• ESRC’s‘impacttoolkit’providesinformationforresearchprojectmanagersondevelopinganimpactstrategy,promotingKE,publicengagementandcommunicatingeffectivelywithstakeholders(seewww.esrc.ac.uk/funding-and-guidance/tools-and-resources/impact-toolkit/index.aspx).

• NERC’s‘ScienceintoPolicy’bookletdescribesgoodpracticeininformingpolicy-making(seewww.nerc.ac.uk/publications/corporate/documents/science-into-policy.pdf).

• TheReluProgramme’sapproachtoKEandstakeholderengagementispresentedin‘CommonKnowledge?AnExplorationofKnowledgeTransfer’(seewww.relu.ac.uk/news/briefings.htm).

• TheSustainableUrbanEnvironmentProgramme’s‘ISSUESGuidetoKT’isdesignedtohelpresearchersunderstandthemethodsbehindcreatingimpactbeyondacademiaandthereasonswhyKEshouldbeanimportantconsiderationatallstagesofaresearchproject(seewww.urbansustainabilityexchange.org.uk/ISSUESGuidanceNotes.html).

• NERCguidanceonpreparing‘pathwaystoimpact’isavailableatwww.nerc.ac.uk/funding/application/pathwaystoimpact.asp

LWECKnowledgeExchangeGuidelines|www.lwec.org.uk 23

Abbreviations

DECC: TheDepartmentofEnergyandClimateChange

Defra: TheDepartmentforEnvironment,FoodandRuralAffairs

DFID: TheDepartmentforInternationalDevelopment

EPSRC: TheEngineeringandPhysicalSciencesResearchCouncil

ESRC: TheEconomicandSocialResearchCouncil

LWEC: LivingWithEnvironmentalChange

NERC: TheNaturalEnvironmentResearchCouncil

Relu: RuralEconomyandLandUse

LWECKnowledgeExchangeGuidelines|www.lwec.org.uk24

Acknowledgements

LWECwouldliketoextendsincerethankstoeveryonewho,eitherdirectlyorindirectly,contributedmaterialthathasenabledproductionoftheseGuidelines.

Specialthanksaredueto:

• JohnHolmes,NERC/LWECFellow,forundertakingthefirstphaseofworkontheGuidelines.

• MarkReed,AnnaEvely,IoanFazeyandLindsayStringerfromtheReluProgramme’sSustainableLearningProject,whoseextensiveempiricalresearchhasprovidedthefoundationonwhichtheseGuidelinesarebased.

• ManyotherrepresentativesfromLWECactivitieswhogenerouslycontributedexamplesfromtheirownexperienceanddonatedtheirtimetoaninformalpeerreviewprocess.

• FaithCulshawofNERCandSusanBallardofLWECwho,inconjunctionwithprofessionalwriterandeditorBarryHague,haveledtheGuidelines’developmentintoparallelprintedandonlineresourcesdesignedtobeeasytoaccessandupdateasrequired.

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