cbr 301: using community-based research to affect public policy
TRANSCRIPT
CBR 301:CBR 301:Using Community-Based Research Using Community-Based Research
to Affect Public Policyto Affect Public Policy
Starting Points:Research into Policy Action
Assumptions:
you’ve done some good CBRyou’ve identified unmet needs, gaps or barriers in
existing services, problems that need solvingat best, you’ve identified possible solutions to
those problems so you’ve shown that policy or programme action
is needed – and you may be able to point the way to the kind of policy and programme response needed
now what?
Focus of This Workshop - How to translate community-based research into policy change
Upon completion of this workshop you will be able to:
1. Submit research findings to those who need to know about them – and can act on them
2. Identify the policy implications of the findings3. Develop concrete/workable policy alternatives
in preparation for presenting to government 4. Apply effective strategies and tactics for
getting policy alternatives into action
Connections to Other Workshops
This is a basic overview in a series of workshops on ensuring CBR has policy impact
- CBR 308 looks at how the government policy process works and the creation of recommendations for policy decisions and implementation
- CBR 310 is about how to effectively write up and present those alternatives in the language of the policy trade
Warm-up
How many people have been involved in CBR projects? - those who have been involved in an actual CBR project those who may not have been directly involved in the
research itself, but know a lot about a particular project those who haven't yet done or been involved in CBR
directly
Briefly introduce yourself: what organization or sector you are from? why you need to know more about policy analysis and
knowledge exchange – do you have a particular project in mind to roll out?
what is the most important policy issue facing your organization or sector?
Recap: Community-Based Research
process-oriented
ethical review
sound methods
social action outcomes
joint dataownership
collaboration
community relevance
capacity enhancing
CBR
Defining Features of CBR
The ‘C’ of CBR means:
communities identify problems and issues for research
community people are involved in all stages of designing and actually undertaking the research
community mobilization is one goal of the research
another is sustainable capacity building
Defining Features of CBR Cont’d
to identify problems and opportunities for change
to yield knowledge that can be acted on –so ensuring your research has impact is always one goal
this includes in public policy – identifying areas where new or changed government policy is needed
Potential of CBR
Findings and implications of research …
new needs or gaps in existing services identified
community preferences or priorities determined
barriers to getting services or support innovations or ‘best practices’pilot test workssystemic inequities uncovered
Potential of CBR Cont’d
What can be done with this knowledge?
service providers adapt or expand services, govts fund
policy or resource allocations reflect community priorities
program or policy changes to reduce barriersother providers take them up adapt and generalizepolicy changes to address systemic basis
Exercise 1: Identifying the Policy Potential of CBR
In a group discuss CBR projects that you know or have been involved in that showed:
how existing policies or programs were contributing to the particular problem being researched?
key gaps where new govt programmes were needed? where existing programmes were not working well or did not
have enough resources? did some show where changes in existing policy were
needed?
Pick one good example of research with real policy potential and fill out what this potential is
Have someone report your example – and its policy potential – to the group
Turning Research into Policy Action
What needs to happen to get governments to act on the research & evidence you have found?
1. Policy makers need to know about the research and its implications – your knowledge exchange strategy
2. They need to understand the basis of the problem – which sometimes means even acknowledging that there is a problem
3. They need to have concrete policy solutions or alternatives that will address whatever the problem is – which means you need to know how public policy process works
4. They need the political will to act – which sometimes/often means they need to be forced to act
First Stage: Identify Policy Implications of Research
What does the research show about:
how existing policy/programmes are addressing the problem
unmet or unrecognized needs policy or programme barriers to access or
quality delivery possible policy solutions to the problem
First Stage: Identify Policy Implications of Research
You know what needs to be done → then the challenge becomes how to make sure the necessary policy change actually happens
In fact, you should be thinking about policy implications from the very start of designing the research process – since the point of CBR is to support change
What Is Public Policy?
Very hard to define – because public policy affects almost all aspects of society and social life
A public policy is a deliberate decision made by government(s) that addresses identified objectives and concerns for the public good.
There can be considerable debate about what exactly is the ‘public good’ and how that is determined
What Is Public Policy?
Often thought of as working to achieve goals considered to be in the best interests of society
• clean air, economic growth, a good health care system
• there is, of course debate on every issue like this – economic growth at the cost of a poor environment or social inequality? sustainable growth or the best market performance this year?
• does this mean everybody in society or does policy need to be targeted?
What is Public Policy II
Public policies operate at different levels:
high-level vision and goalsassociated strategic objectives – or
party/electoral priorities/promisesoperational workplans and activitiesresources and programmes to achieve
objectives
Public policy sets out the ‘what’ and ‘how’ of something that is to be done
What is Public Policy II
Policy works through a variety of instruments (e.g. laws, regulations, internal Ministry procedures, programme guidelines, expenditures, etc)
Often involves allocations of funds and resources
It involves three levels of govt and the complex interconnections between them – it is crucial to understand this jurisdictional and administrative complexity for every policy issue you are working on
Think of Policy Development as Process
A particular policy – or policy framework -- represents the result of decisions made on how best to address a particular objective or problem
Sometimes this can be a deliberate decision not to decide – not to address a particular issue
Think of Policy Development as Process
Within the public service there is a generally careful process of:
identifying objectivesassessing a range of possible actions to achieve
the resultanalyzing against number of factors –
effectiveness, cost, political context, public and community support, etc.
Think of Policy Development as Process
before choice is made about the most appropriate and workable means to the desired end
always trade-offs, compromise , different “publics” effected
increasingly complex, interconnected, horizontal
And of a Policy Development Cycle
Identify Issue(s)
Influence the Decision
Conduct Research & Consultation
Develop Options &
Recommendation
Implement (or Influence
Implementation)
Monitor and Evaluate
PUBLIC POLICY DEVELOPMENT:
KEY ELEMENTS
Timeframe of government’s business/election cycle –make the tough decisions early
Short attention span of politics, short shelf life of policy – “In two years, it’s not my problem”
Government’s policy agenda/priorities – where does this issue ‘fit’ within govt priorities
Government’s communications agenda/priorities – at crudest, how will action or non-action make the govt look? is this consistent with how govt wants to present itself
And of a Policy EnvironmentWhat drives political/public policy decisions?
And of a Policy EnvironmentWhat drives political/public policy decisions?
Current/prospective health of government finances – and costs and benefits of particular policy alternatives
Current/prospective economic cycle –view from Bay Street, global markets
Values, beliefs, ethics – find the social consensus
Stakeholders and interests – what competing interests and perspectives need to be taken into account?
Media attention/perspective, opinion polls – understand the public mood
Politicians, Public Servants and Public Policy “How the System Really Works”
The Players:
role of - and constraints on - legislators (Legislative branch)
Ministers and Cabinet make policy (Executive branch)
political staff in Ministers and Premier’s offices – very important
complex hierarchy of civil servants – Deputy Ministers, ADMs, Directors etc.
the courts
Politicians, Public Servants and Public Policy
The Process in Government
so many demands, so little time; intensely rivalrous
daily fire-fighting; often chaotic, reactive decision-making process
highly risk averse (all the more so with new emphasis on “accountability”)
critical role of central agencies – Finance, Cabinet Office
need to know who decides what, when
Exercise 2
Identify one issue – either that you have done or are planning to do CBR in or that is especially important for your community sector
The scenario is that you are just starting the planning process for CBR on that issue
The task is to analyze the key features of the policy environment for the issue that you need to be aware of
The deliverable is a two minute report outlining that policy environment to your research planning committee – the goal is to give the committee enough of an understanding of the policy environment to be able to plan out the research to have the most policy impact
Pick one person to make that report to the group
Ensuring your Research has Impact: 1. Knowledge Exchange
The first step in putting CBR into action = ensuring that policy makers and other key stakeholders know about your research and its implications
Need to have a knowledge exchange strategy:
who could benefit from this knowledge – who need to know?
not just policy sphere, but other community groups or service providers
how to get the info and analysis to them? in ways they can understand and use
The starting point is to know your audience – in fact, get them involved in initial research design
Ensuring your Research has Impact: 2. Customize
depending upon the purpose of your research and your findings, there can be several potential audiences
reporting back to community should always be one of the audiences report back meetings to check and
confirm findings have to think about translation and
context
Ensuring your Research has Impact: 2. Customize
If research shows how to improve or expand services, then the audience is service providers
consider customized summary with programme implications
present to conferences and other sectors forums
specific e mail and other roll –out get into specific Listserves and other networks
The main focus in this workshop is on CBR with policy implications – how to win policy change
Ensuring your Research has Impact: 3. Presentation
Write for specific audiences and environments
plain language always always short summaries – at best, customized to
audience and purpose use Web publications & other IT if you can use your findings as a hook – to get media attention,
meet politicians, etc. Describe your methods – tell your audience exactly what it is that you did to come up with your results.
Be descriptive & analytical. Use lots of quotes – with warning & permissionUse tables, charts, figures, models & diagramsContextualize – where does this data come from, who does it apply to Speak with confidence about your findings when you present them
Exercise: Getting Your CBR Out
Develop a knowledge exchange strategy for research in which you were involved or know about
Using the kind of analysis we have been discussing – • identify audiences•messages for each•potential means of dissemination•how to build ongoing relationships with that
audience, etc.
Appoint one person to make a two minute report outlining your Knowledge Exchange strategy
Getting CBR to policy makers
Good knowledge exchange to policy makers involve systematic outreach and follow up:
1. Identify people who could be making the decisions – audience again
2. Get findings & policy implications to them
3. As part of long-term strategy to build relationships with key policy makers in your spheres customized reports for policy audience
Getting CBR to policy makers
Create customized policy implications summaries know the policy environment and way of
thinking translate into terms they understand and with
concrete recommendations they can act on
Invest time in some solid policy analysis
We’ll see more on how to do this kind of analysis now
Policy analysis 101: Start by Scanning the Landscape
1. Generally start your research planning by scanning the policy environment for your field (just like you do a literature review of previous research on the issue)
2. Know what the current policy situation/environment is for your issue
to be able to develop realistic & workable alternatives
to be able to couch your argument/demand – your ‘ask’ – in ways that are understandable to policy makers -- and winnable
to analyze how/if your issue fits within existing policy framework and govt agenda
to avoid embarrassment if your options have been tried already and didn’t work or were rejected
Look widely: Comparative Policy Scanning
Great benefits to researching what policy alternatives have been tried or considered in other jurisdictions:
Looking for how other jurisdictions have addressed similar policy problem
Depending upon the issue – might mean other large cities, other prov, comparable countries
Can yield:
General ideas or options Examples of effective policies/programs that
could be adapted for your purposes Justification for your alternatives – e.g. if cost-
benefit was demonstrated elsewhere
Then Develop Policy Options I
Think of a wide range of factors such as :
How complex and big a policy change you are looking for
Impact (balancing criteria such as equity, efficiency, stability)
Cost – dig deeper here -- is it short-term, capital or operating, one-time or continuing, etc.?
Versus benefits – especially if preventative or cost-saving in the long run
Then Develop Policy Options I Cont’d ….
How do your recommendations and options fit with:
Government agenda and priorities
Electoral cycle, budget cycle and other timeframes
Your organization or movement’s values and communities’ interests
Developing Options IIWhat makes a policy option relevant?
It’s solidly grounded – your research evidence is clear and convincing
It’s a simple concept – it’s easy to understand
It’s a great story – it’s easy to explain, has a human dimension, has clear key messages
It works – it solves the problem
It reflects current or emerging values – it’s grounded in social consensus, it seems like the “right thing to do”
Developing Options II Cont’d What makes a policy option relevant?
It reflects “good government” – it shows political or community leadership to move towards social consensus
Its benefits outweigh its costs
Its investment can be justified – it’s cost-neutral or cost-effective
It’s a new way of doing things – it’s innovative
It “fits” – it delivers on the government’s policy, communications, and/or fiscal agenda
Developing Options III: Analyzing How it Could be Implemented
Consider the language of policy makers = instrument – what is used to implement the policy
Evaluate in terms of continuum of factors just discussed
Show the best means to achieve the policy objective
Developing Options III: Analyzing How it Could be Implemented
Least Intrusive and intensive
MostIntrusive and difficult
• Informal best practices (communities of practice, networks)• Self- regulation
• Formal information dissemination• Research and stakeholder funding• Administrative policy• Arm’s length relationships
• Tax, user fees, subsidy, other financial incentives• Standing and advisory committees• Program policy• Contracts (accountability, governance)• Non-arm’s length relationships
• Legislation,• Regulation• Restructuring (organizations, government)
Analyzing OptionsThe Concept of “pros/cons,” “benefits/costs”
For government, assessing cost-benefits of options is standard part of policy process and risk management tool
For you, posing recommendations/demands in these terms increases your credibility and usability
Analyzing OptionsThe concept of “pros/cons,” “benefits/costs”
Pros:
the benefits -- e.g., delivers a government commitment, equity, accountability/governance, social consensus, good messages
or what lessens riskCons
the costs or what increases risk, e.g., lack of “fit,”
inequity/disparate impact, inadequate resourcing (operating/capital costs, human), liabilities (financial, legal), complexity, lack of constitutional authority
Never neutral or non-political process
Developing RecommendationsWhat Turns a Policy Option into a Decision?
It reflects consensus or compromise – it’s the best deal
It works – it solves the problem or at least makes it go away
It manages risk well – it’s relatively “safe”
It can lead to more change – it’s incremental
It gives your community and the government an opportunity to engage - it carries the power of partnership
It “fits” – it delivers on the government’s policy, communications, and/or fiscal agenda
Developing Recommendations IIHow do You Describe the Key Elements of a Decision?
Reference the issue and how you’ve framed it – this solves the problem as we understand it
Translate the policy solution into a communication strategy – this is what it means
Explain the “why” - summarize and highlight the rationale, including the political benefit – this is why we’re recommending this
Analyze and acknowledge the risks – legal challenge, cost pressures, inequity/disparate impact, adverse public/media/community reaction, being off-message, stakeholder pressures (“floodgates”), timing, etc.
Exercise 3 – Develop a Policy Issue
Pick 1 issue per table in which CBR you were involved in or know about had clear and significant policy implications
Go through the kind of analysis we have been discussing – identify implications, understand the policy environment, analyze options, pick the most effective and winnable for your purposes
Work up concrete policy options that you can take to govt to put your alternative into action
Appoint 1 person to deliver 2 two minute report outlining your policy issue and why the option you have chosen should be adopted
Case Study
Erika Khandor
Street Health
CBR that identified barriers to homeless people with disabilities getting access to Ontario Disability Support Programme and piloted a model to overcome the barriers and a strategy to get results and recommended policy and programme actions to decision makers
Developing an Advocacy Strategy
Once you have developed concrete and workable policy options – how do you persuade decision makers in govt to act on them?
Developing an Advocacy Strategy:For Effective Policy Advocacy you Need
luck – “the right issue at the right time” -- but be ready to seize opportunities when they arise -- proactive opportunism
broad understanding of the issue and the political and public policy context in which it exists – emphasized earlier
relevance of your objective to the govt's needs, priorities, context, constraints
a winning style and approach -- likeability, civility, reliability
ability to provide tangible, practical, useful assistance and recommendations that government can understand and use (“do-it- yourself public policy.”
persistence
Social Movements and Political Change
The most effective advocacy campaigns – with the best chances of success – are part of wider coalitions and movements
Think of the really significant historical shifts in public policy and the role of govts – where did they come from?
employment equity would not have happened without strong women's and labour movements
Medicare and public health system was the result of long campaigns treatment and funds for HIV/AIDS were won by grass-roots organizing
All of these campaigns had effective policy demands and advocacy, but they also had collective strength and popular organizing behind them
Advocacy Strategy Planning Checklist
Overall strategic approach & objectives – what are you asking for?
Positioning and framing – how do your demands relate to govt, to allied movements and campaigns, to the wider political environment?
Key messages – adopting this policy will solve …
Targets (officials, ministers, political staff, parties or legislators)
Advocacy Strategy Planning Checklist
Implementing Tactics meetings, briefings, media, grassroots consultations, stakeholders
Timetable and staging (key decision-points etc.)
Feedback / evaluation / re-Positioning – be flexible
Management plan (who decides what)
Budget
Take the ‘Long View’
Think long-term but also look for immediate winnable issues to build momentum and hope but be careful of co-optation & short-term reforms
that deflect from long-term goals
Caledon’s “relentless incrementalism”Have good peripheral vision as well -- situate your issue in
relation to other comparable issues → to build coalitions the overall govt policy agenda -- back to ‘fit’
It is movements that win real change – not just individual advocacy campaigns, however good they are
Tactics I: Use Your Political Capital
Expertise you may know more about your issue – what it is and
how to solve it - than most government advisers you have done the research and have the specific data
Network and support how broad, diverse and connected your membership is your capacity to access, mobilize and activate
communities of citizens, voters and taxpayers
Tactics I: Use Your Political Capital
Leadership your record of creating vision and building trust past accomplishments and successes
Credibility and reputation – your profile lends credibility to you (and the government)
Passion – your commitment and energy for the issue
Contacts and connections at political and official levels and among
powerful community stakeholders who knows who in your organization or coalitions
Tactics I: Use Your Political Capital
It’s all about earning and widely spending your political capital ……
Tactics II: Build Coalitions
a movement trumps an individual group
coalitions are effective but harder to manage
choose your allies wisely
Tactics II: Build Coalitions
“usual suspects” coalitions good way to share expense and burden and show
relative breadth can be useful way to cross-fertilize and enrich
narrative and objectives can also get bogged down in same-old, same-old
“strange bedfellows” coalitions much greater political and media impact focus on what unites not what divides much more labour intensive and likely to be false
starts
Tactics III: Pubic Relations and Media
Understand the Media As business: news = circulation = advertisers Possible friend or foe Build relationships – understand reporters’ lives
tell a people storya picture is worth 1,000 wordsspin yes; misrepresentation nothey love you to do their work for them the “exclusive” Name your work or campaign
populist, marketing spin if you don’t, others will
Have a good spokesperson one voice, consistent message always accessible trained & experienced
Exercise
Pick one issue per table in which CBR you were involved in or know about had clear and significant policy implications
Using the advocacy planning checklist we have been discussing → develop a preliminary advocacy strategy for the issue
Appoint 1 person to deliver a 2 minute report outlining your policy issue and why the option you have chosen should be adopted
How will you know when you’ve won?
Refer back to your strategic goals
Build success indicators into your strategic planning: they might be very specific -- getting policy
recommendation X adopted by Y or they could be starting points in a long strategy --
getting the issue discussed and at least shifting the public policy agenda or framework
Be internally rigorous and honest: have we been achieving our objectives? what do we need to change about our policy demands or
advocacy to become successful?
Tips & Techniques for Policy Scans
Define problem/question as clearly as possible
Define scope of review e.g. child care policy in all prov? Just larger? Other
countries? quality comparisons between commercial and non-profit
provision how has child care been funded in other jurisdictions –
to help evaluate current govt proposalsDefine timeframe – how old is too old for info?Start on the phone – with experts -- but prepare
Tip: see phoning expert as an interview Have a sense of the nature of the issue before you call
Do some preliminary researchReview press clippings on the issue – library / internet
This isn’t just gathering info, but can also help you figure out where to look or help to clarify/refine your basic question
Appendix: Policy Scanning
To be able to take your findings effectively into the policy sphere, you need to know what the current policy situation/environment is for your particular issue:
Plan your research project so that it will have the most impact
Develop realistic & workable alternatives you can take to policy makers
Understand how/if your issue fits within the existing policy framework and govt agenda
Couch your argument/demand – your ‘ask’ – in ways that are understandable to policy makers -- and winnable
Policy Scanning Tips
Review policy framework for particular issue:
Policy guidelines, directives, programme manuals, etc. for particular programs
Ministry backgrounders for particular alternatives/issues
Task forces, commissions, federal-provincial and other reports can be useful background
Policy Scanning Tips
Understand legislative & regulatory framework for issue:
Not usually in great detail – or get a lawyer when you need them
Don't waste time reading legislation -- look for:compendiums and explanatory notes for Bills commercial and legal updating services
Ask the experts in Ministry or community
Policy Scanning Tips II
In the era of e-government:
Published docs will be on-line
Most Internet policy research will be quite focused/directed:
start from established Ministry sites, links pages of major organizations, etc.
Start from your own favouritesUse internal search engines on govt and
Ministry sites
one site/source will lead to another
Policy Scanning Tips II
Remember: most of the really relevant info on policy background and implementation is not published or is really hard to find
Use your contacts – who can advise who to callCall around the Ministry
directories are on line -- find the person who knows the issue & background
Ask them what key policy guidelines and reports are and where to find them
Policy Scanning Tips IIIConduct literature reviews:
Early in the process to help define research or policy issue Cultivate your academic or professional friends
Sources
general techniques of Internet searching -- Google, libraries & databases
Political science, policy, public admin, academic & professional journals and books
Professional & practitioner magazines/journals – e.g. social work
Resources & databases are not free → find & use a university or big library
Focus of This Workshop - How to translate community-based research into policy change
Having completed this workshop you are now able to:
1. Submit research findings to those who need to know about them – and can act on them
2. Identify the policy implications of the findings3. Develop concrete/workable policy alternatives
in preparation for presenting to government 4. Apply effective strategies and tactics for
getting policy alternatives into action
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