Transforming Research into Policy

Assoc Prof B. Lalljee, Head of Department and

Prof S. Facknath

Faculty of Agriculture, University of Mauritius

Introduction • There are many terms used to describe the

processes by which knowledge generated through research finds its way to those who need it – be they practitioners (farmers, engineers, health workers, community workers) or policymakers in government and other agencies.

• The terms ‘research communication’, ‘research dissemination’ and ‘research utilisation’ (or research into use) are familiar in the university and development research sectors.

Assumptions made by Researchers • A researcher, on publishing the research findings, assumes that the policy makers will:

- find the document; - understand its potential utility for their problem; - have time to read it; - be able to understand it; - be able to extract the appropriate meaning for their problems; - be able to understand the implications for action with respect to their problem; - understand the implications of how the implications for action might interact with others from other programmes; - have the ability, willingness time and resources to implement the actions; - understand how to measure the effects, and have the tools to do so; - have the ability, willingness time and resources to measure the outcomes; - have the ability to understand the outcomes as they emerge; - have the ability to understand the implications for follow-on research or actions (e.g., policy);

- be interested enough to make all this effort !

What is Research Uptake?

• Research Uptake (RU) does not refer simply to the one-way process of communicating research findings to potential end-users.

• It involves effective communication much further upstream – right from understanding end-user needs in the initial stages of project design, and in some cases even involving them in the research design, project implementation and adoption of research results.

• RU describes the entire process of doing research that has outcomes that have impact on the lives of people.

Why is research uptake management important?

• Career progression typically emphasises publication in academic journals or other scholarly publications.

• Preparing research evidence for lay audiences may not be a priority, or may not be an activity for which many researchers find time, or have the expertise.

• Increasingly, research funding agencies require evidence that this has been done.

To Use Intermediaries or Not

• It has been argued that there is a need for a bridge between the research and policy-making communities, comprising of applied social scientists, business analysis, etc.

• On the other hand, it has been argued that intermediaries can do more harm than good as a result of misinterpretation, vested interests and personal agendas.

• If no intermediaries are to be used, scientists have to have the expertise, the skills and the time to be able to communicate their results in a simple and non-technical manner.

• Not all scientists have these qualities, which need time and practice to develop.

Researchers need to build their capacity to fulfill multiple roles in policy formulation to:

• understand the needs of policymakers; • simplify and focus communications with the policymaking

community and the lay public; • attune engagement and communication to the timeframe,

jurisdiction and interests of policymakers; • increase familiarity and comfort with the policymaking

process; • provide timely, accurate data (in accessible and

understandable form); • serve as neutral and respected conveners of policy forums; • conduct research and analysis of findings in response to

questions raised by policymakers and other stakeholders; • Be open about accepting criticism and responding to it

positively.

Getting Research into Practice v/s

Getting Practice into Research

• The current model for most research is based on the assumption that researchers discover new things and then tries to market them to policy makers (‘Getting Research into Practice’).

• However it is equally important to start from the perspective of decision makers even before devising the research questions. This means ‘Getting Practice into Research’.

• The former approach may be appropriate for new and untried research problems, but for operational research (how an intervention is implemented), the second approach is more desirable, and should be embedded within the research programme.

Getting Practice into Research • When policy makers become involved in the research

process from generating the research agenda to participating in the research process (perhaps even including co-authoring publications), the co-produced research is proximal to the decision maker and can be readily taken up and implemented.

• Steps that researchers and policy advocates can take together to influence policy: – Describe a problem locally, so that it has policy relevance and

a local context in order to get the attention of local politicians and media.

– Provide policy-makers with reasonable and implementable solutions to the problem, so they have a way to act.

– Develop a convincing message that will resonate with the public and politicians.

– Convey that message and research data in a variety of ways, each timed to have maximum impact on the policy-making process.

An Example of A Relevant Initiative - DRUSSA

Development Research Uptake in SubSaharan African Universities (DRUSSA)

DRUSSA Project is based on 3 premises :

• Skills needed to implement research findings are different to the skills required to do the research, so the researcher may not be the best person for this task. It is better addressed institutionally, through the development of a Research Uptake Management scheme in the institution.

• Research uptake can take a lot of time and money, hence often is not part of the research project itself, and should be tackled at institutional level through a separate office/unit with its own staff and budget.

• Researchers need to be incentivised to continue with the uptake process after the research part is completed.

• The support of policymakers is very important in order to scale up and implement study findings.

• Even if changing national policy has not been the main aim of a study/programme, success or failure in terms of utilization of study results or maximizing their impact depends on the degree of importance given to it by government bodies or multilateral organisations.

• It seems to be more effective if : – the research is a priority for the policymakers and other

stakeholders

– The research is in line with national development plans and strategies

– the research establishment has good relations with the policymakers and they can

– agree on the research goals and findings.

Conceptual Framework for Research Utilisation (GRIPP Report, JSI Europe, 2007)

Key Players

• The key players can be categorised into two broad groups:

• External players

– International researchers

– Donor(s)

• Internal players

– Local scientists

– Policy makers

– Implementing bodies

– End Users

Role of External Players

• Their roles are earmarked from the start

• Their roles usually end once the study findings are known and disseminated.

Local players

• Local researchers/programme

• Policymaker

• National body/association

• Implementing organisation

• End Users

Role of Internal Players • Should take ownership of the processes required to

implement research into policy or practice. • There has to be close collaboration between researchers,

policymakers and implementers so that together they can develop a sustainable system with the right policies and practices in place.

• The appropriate infrastructure and systems should exist so that the policies can be set in motion.

• The implementers have to be open to accepting the new policies.

• The implementers have to ensure that personnel are suitably trained to introduce or change practices on a wider scale. If the appropriate skills base does not exist on a nationwide scale for instance, it may require revision of education policies to ensure that over the years the skills gap is reduced.

• On a micro level, it may mean obtaining resources to train people within an organisation or transferring personnel with the requisite skills to where the skills gap exists.

Key Points in the Research to Policy Framework

• Involvement of stakeholders in the study right from the beginning and maintaining good inter-personal relationships with them is important for enabling the scale up and utilisation of research results. In the case of policy makers, this ensures that the study findings are accepted and used by policymakers in decision making.

• For research having strong international research groups, close collaboration with local researchers is imperative, particularly in the scale up and utilisation phase, where the latter take a more prominent role than the international researchers.

• The credibility of a study’s findings is enhanced if backed by findings from other

studies, and ensures better uptake by policy makers, who are wary of new ideas. • Timing of the research and the release of the findings is an important factor that

may affect scale up and utilisation of research results, e.g. research on climate change just after a devastating cyclone or an intense drought period. Policy makers are more ready to act on the study findings, if it is a priority issue for them at that time.

• Communication activities are important for ensuring the right messages get to the right persons at the right time. The dissemination should be a well-targeted activity so that information is provided to those who need to know about it and it should be presented in a way that can be comprehended by the audience.

Key Points in the Research to Policy Framework • The media should be engaged wherever possible in disseminating

information and they need to be educated on the right messages to be conveyed, especially in cases where a sensitive issue is being dealt with. The research budget should include resources to allow for media involvement.

• Where the study is based on a sensitive issue, policymakers may be

reluctant to be seen supporting study findings if they there is a danger of alienating their voters and/or involves huge public spending. Where this is anticipated, extra steps should be taken to help politicians develop strategies for addressing the issue in a way that will help them win their voters’ support for initiatives to address the issue.

• The nature and extent of donor involvement in a study and its scale up is

important. It may affect the study, uptake of its findings or it may even give a different angle to the study’s findings.

• At times, even with a strong research-based evidence, and consequent

policy development, insufficient resources and/or confidence of the end-user may hamper uptake, e.g. implementation of organic farming in Mauritius.

UoM Research Strategy Research Uptake Engagement & Community Outreach

• Goal 1: University-local communities engagement

• Actions:

• Dissemination of research findings to end-users in lay terms in the local media including use of websites and use of social media (blogs, facebook, twitter)

• Promote research uptake by end-users

• Include the voice of the local communities in the university research agendas through meetings, workshops.

• Engage citizens & students through community involvement

• Develop courses, mini-projects and dissertations addressing important community issues

• Prepare and empower learners outside the campus environment

• Create broad public awareness of the University’s mission and contributions

• Provide expert contributions to public debate and policy-making, and leading the engagement agenda in the Republic of Mauritius

• Outputs: Practical applications of applied research at community level; Number of outreach workshops, extension activities including meetings and open days; Number of brochures, flyers, fact-sheets; Number of dissertation projects and mini-projects addressing community issues; Number of research findings adopted by end-users.

• Goal 2: To apply current knowledge of the University to the country’s evolving needs

• Actions:

• Increase institutional private sector and alumni involvement

• Foster engagement with our communities of interest

• Extend our range of continuing personal and professional development programmes

• Develop long-term, sustainable relationships with the community, through a focused and proactive engagement policy

• Promote technology transfer

• Outputs: Number of new educational programmes (workshops, short courses, seminars, etc); Number of new research projects; Number of projects offering turn-key solutions for the society; Number of professional development programmes; Number of joint activities with local stakeholders; Number of research projects scaled up to pilot and industrial scale.

Conclusion • If properly carried out, research uptake ensures a

win-win situation for all.

• Research uptake should be about more than just supplying research findings, even if it is inclusive and participative.

• It should also be about stimulating demand for research more broadly, such that policy makers themselves are motivated to seek out research.

• It should serve as a platform for broader national development issues.

Thank you for your attention

What are the potential barriers to uptake of research?

What would enhance uptake of your research?