SCIENCE TECHNOLOGYAND INNOVATION (STI)
POLICY MAKINGA SELF TRAINING RESOURCE MANUALUNESCO First Draft Report• Implemented by ATPS • August 2009.

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UNESCOAcknowledgements

UNESCOTable of Contents
Acknowledgements
Preface
How to use this manual

3
4
5

CHAPTER I

7
Introduction & Overview of the Concepts of Science, Technology and Innovation
7
Distinctions between Science, Technology and Innovation as well as their relationships with basic
Research and Development (R&D)
9
Implications for STI policy making and policy implementation – from R & D policy to
STI policy implementation
12
From R & D policy to STI policy, from S & T policy to STI -shift in emphasis
15
Why STI Policy is the necessary catalyst for Economic Development of Nations?
17
Designing coherent policies
18
Suitability of policy tools, and strategies.
19

CHAPTER 2

OverVIEW OF NECESSARY TOOLS TO ENSURE A SUCCESSFUL STI POLICYFORMULATION
Policy Mapping & Context Assessment Tools e.g. the Rapid Framework, Stakeholder Analyses,
Write-Shops, Force-Field Analyses, SWOT Analyses.
What Inﬂuences Research to Policy Uptake? The RAPID Framework
Why is a stakeholder perspective important?
Communication Tools (communication strategy, message design & media relations)
Policy Inﬂuence mapping Tools: [power mapping, lobbying and advocacy, campaigning,and DPSIR framework.]

22
22
29
41
43
47
55

CHAPTER 3

61
61
61
65

CHAPTER 4

70
70
71

CHAPTER 5

84
84

CHAPTER 6

92
92

Institutional aspects of sti policy making in africa
Institutional arrangement for successful STI policy formulation
Key sectors to consider in STI policy and the interactions between them

PUBLIC ENGAGEMENT IN STI POLICY FORMULATION
What is Public Engagement or involvement?

KEY STAGES IN STI POLICY FORMULATIONQUALITIES OF AGOOD SCIENCE TECHNOLOGY POLICY

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UNESCOPrefaceIn formulating public policies, policymakers are faced with two distinct situations. The ﬁrst and theideal situation, is for policymakers to jointly identify a desirable future condition, and then create
policies and take actions to move toward that desired future state, monitoring progress to allow fornecessary adjustments. The alternative, and less desirable, situation occurs when policymakers areunable to reach a consensus regarding a desirable future condition. The later instance which often applies tocomplex trans-disciplinary and trans-sectoral issues such as Science, Technology and Innovation (STI) policies, policymakers often try instead to move away from present situations judged as undesirable, even though
no consensus exists about the preferred alternative. Both scenarios contextualize the STI policymaking arenain developing countries. This training manual aims to provide a hands-on self training on basic principles of
STI policy formulation. The target readers are oﬃcials of government ministries, parastatals, R & D sectoral
policymakers, STI regulators and law makers in charge of policy making or policy related decision-making in
STI in the African context.
The manual is divided into six chapters.
Chapter One deals with an overview of the concepts of science, technology and innovation (STI).
It presents deﬁnitions of STI, its aims and objectives, distinctions between science, technology and innovation; and how these relate to basic Research and Development (R&D); implications for STI policy making
and policy implementation – from R&D policy to STI policy implementation : and why STI policy is the
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Prefacenecessary catalyst for economic development of nations. A few questions designed to test the trainees’ comprehension of the related concepts are presented.
Chapter Two presents an overview of necessary tools to ensure a successful STI policy formulation. It
comprises basic discussions on the selected tools for achieving a successful STI Policy, including:•

Policy mapping & context assessment tools;•

Data collection and analysis tools:•

stakeholder analyses, write-shops, force-ﬁeld analyses, SWOT analyses;•

Communication tools such as communications strategy, message design & media relations;•

Knowledge management & learning tools; and•Policy inﬂuence mapping tools such as power mapping, lobbying and advocacy, campaigning, and

DPSIR framework;
The chapter also includes key questions regarding the external environment, available evidence, the politicalcontext, and existing linkages, including: what the policymaker needs to know, do and how to do it. Some key
questions to test knowledge are presented.
Chapter three, deals with the institutional aspects of STI policy making in Africa. It presents the key sectors to consider various productive sectors (agriculture, energy, mining, tourism, research, industry, education, infrastructure, and the environment.) and the interactions between them. It introduces STI innovation
systems. If further explores the constraints and opportunities in moving from sector based policies to innovation systems based policies are presented.
Chapter four discusses engagement of the public in STI policy formulation. It deals with the timing,
purpose and objectives of public engagement, level of public involvement required, key stakeholders toconsider, basic principles of public involvement, public involvement and the key stages of STI policy making,stakeholder analyses – who to inform, engage, inform, collaborate with, basic skills for designing an eﬀective
public involvement program for STI policy making, factors aﬀecting eﬀectiveness of public involvement inpolicy making, principles for successful application of public involvement techniques in STI policy making,principles of minimizing conﬂicts of interest, and common mistakes in policy design – why public involvement is avoided?
Chapter ﬁve discusses the basic steps in STI policy formulation. The basic cycles in STI policy development that can help overcome the problem of involving the end-users are presented. Two policy formulation
model are presented.
Chapter six concludes with an identiﬁcation of characteristic of a good STI policy
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UNESCOHow to use this Manual
Course Design, delivery and evaluation
How to use this Manual succesfully
Self Assesment of Training

1.

Map key learning Intentions; Decide what you need

Needsfrom this course2.

Map key outcomes; What will you know at the end andhow you will measure it.

3.

Select key Training Modules; Which chapters are relevantTime Table to Complete
the Course

to your needs.

4.

Follow your course timetable5.

Evaluate and review

6.

Check outcomes against learning intentions

Design your own Course

Select relevant Training

strategy with timelines

Modules

Decide Learning
Intentions andexpected outcomesIntroduction and overview
Law, policy and institutional arrangements
Public Involvement
Screening
Scoping

Mid Terms self Assesment

Gather local

Impact analysis

Case Studies and

Mitigation and impact management

Map Institutional

Reporting

Strategies for STI

Review of EIA quality
Decision-making
Implementation and follow up
Project management
Social Impact Assessment

Self Evaluation
and Review

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Strategic Environmental Assessment
Future directions

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CHAPTER IINTRODUCTION & OVERVIEW OF THE CONCEPTS OF SCIENCE, TECHNOLOGYAND INNOVATIONTHIS CHAPTER WAS DESIGNED TO ENABLE YOU HAVE A GOOD UNDERSTANDING OF :•WHAT STI IS AND IS NOT•AIMS AND OBJECTIVES OF STI•

THE DISTINCTION BETWEEN SCIENCE, TECHNOLOGY AND INNOVATION AND HOW
THEY RELATE TO•BASIC RESEARCH AND DEVELOPMENT (R&D);•

IMPLICATIONS FOR STI POLICY MAKING AND POLICY IMPLEMENTATION – FROM R & D
POLICY TO STI POLICY, FROM S & T POLICY TO STI IMPLEMENTATION; ETC.

•

WHY STI POLICY IS THE NECESSARY CATALYST FOR ECONOMIC DEVELOPMENT OF NA
TIONS

•

INTERACTIVE QUESTIONS DESIGNED TO TEST TRAINEES’ COMPREHENSION OF THE
RELATED CONCEPTS DISCUSSED.

Copyright: Bigstock Photos
zed into meaningful patterns.
Technology can be most broadly deﬁned as the entities, both material and immaterial, created by the application of mental and physical eﬀort in order to achieve some value. In this usage, technology refers to tools andPage 7

UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation
machines that may be used to solve real-world problems. It is a far-reaching term that may include simple
tools, such as a crowbar or wooden spoon, or more complex machines, such as a space station.
Tools and machines need not be material; virtual technologies such as computer software and business methods, fall under this deﬁnition of technology (Science and Engineering Indicators, 2002).
The word “technology” can also be used to refer to a collection of techniques. In this context, it is the current
state of humanity’s knowledge of how to combine resources to produce desired products, to solve problems,
fulﬁll needs, or satisfy wants; it includes technical methods, skills, processes, techniques, tools and raw materials. When combined with another term, such as “medical technology” or “space technology”, it refers to thestate of the respective ﬁeld’s knowledge and tools.
Innovation is any new knowledge introduced into and utilized in an economic or social activity. Innovations
may be technical or social. Innovations may be by an individual or by a group.
For innovation to take place there must be continuous learning and the opportunities to learn depend on
the degree and type of interactions between and among the diﬀerent enterprises, organizations and related
sectors. Innovations are therefore not solely the product of organized research and development activities
undertaken within universities and research and development institutes. Neither can they be determined tobe successful unless they result in economic gain or savings or improvements in social wellbeing or services.
Everett Rogers, in his book, “Diﬀusion of Innovations” looks at how innovations are communicated, adopted
and adapted. In particular he draws the distinction between an inventor, the individual who generates a newidea, and the innovator, who disseminates the idea to those who implement it.
Distinctions between Science, Technology and Innovation as well as their relationships
with basic Research and Development (R&D)
The distinction between science and technology is not always clear. Science is the reasoned investigation or
study of phenomena, aimed at discovering enduring principles among elements of the phenomenal world byemploying formal techniques such as the scientiﬁc method (http://dictionary.reference.com/browse/science).
Technologies are not usually exclusively products of science, because they have to satisfy requirements suchas utility, usability and safety.
Technology is often a consequence of science and engineering — although technology as a human activity
precedes the two ﬁelds. The exact relations between science and technology in particular have been debatedby scientists, historians, and policymakers in part because the debate can inform the funding of basic and applied science. The issue remains contentious—though most analysts resist the model that technology simply
is a result of scientiﬁc research (Wise, 1985 and Guston, 2000).

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CHAPTER I
The earliest approach to the study of innovation was rooted in the “diﬀusion of innovation” theory which wasarticulated in the sixties and early seventies by Rogers and others (Engel, 1997). Later, a distinction was madebetween an innovation as an idea and a “technology” as a design for instrumental action (Rogers, 1986).
Social change was conceptualized as a process including three sequential stages: invention, diﬀusion andconsequences (Rogers and Shoemaker, 1971). The source of such innovations was taken to be scientiﬁc research and development. This approach is consistent with the linear or transfer of technology (TOT) modelof thinking on innovation. The limitation of such an approach has become increasingly clear (Roling, 1991).
However, linear models of technological innovation may be useful in describing key steps in the R&D process
and in documenting projects after the fact, but are not particularly helpful in understanding the process inreal time. According to Carlsson et. al. (1976) linear models can describe what happened but not how it happened, and tend to reinforce the belief in a kind of orderliness which does not exist.”•

Innovation Systems

The systems of innovation approach provides a conceptual framework to understand the complexities of theinnovation process, the institutional arrangements that aﬀect it, and contributes to broaden the scope of innovation policymaking.
A system of innovation consists of a network of economic agents together with the institutions and policies
that inﬂuence their innovative behaviour. As a conceptual framework, it refers to a notion of innovation as aninteractive process. In this process, enterprises, in continuous interaction with each other and supported byinstitutions and organizations, create, diﬀuse and use knowledge within an economic system. These organizations include: the enterprise, industry, associations, innovation and productivity centres, standard setting
bodies, research and development institutions, universities, vocational training centres and information
services. They share information and knowledge and with the support of banking and other ﬁnancing mechanisms bring new products, new processes and new forms of organization into economic use•

Research & Development

Research and Development, often called R&D, is a phrase that means diﬀerent things in diﬀerent applications. In the world of business, research and development is the phase in a product’s life that might be considered the product’s conception. That is, basic science must exist to support the product’s viability, and if
the science is lacking, it must be discovered - this is considered the research phase. If the science exists, thenturning it into a useful product is the development phase.
Speciﬁcally, R & D comprise creative work undertaken on a systematic basis in order to increase the stock ofknowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise
new applications (www.uis.unesco.org).

Page 9UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation
The earliest approach to the study of innovation was rooted in the “diﬀusion of innovation” theory which wasarticulated in the sixties and early seventies by Rogers and others (Engel, 1997). Later, a distinction was madebetween an innovation as an idea and a “technology” as a design for instrumental action (Rogers, 1986).
Social change was conceptualized as a process including three sequential stages: invention, diﬀusion andconsequences (Rogers and Shoemaker, 1971). The source of such innovations was taken to be scientiﬁc research and development. This approach is consistent with the linear or transfer of technology (TOT) modelof thinking on innovation. The limitation of such an approach has become increasingly clear (Roling, 1991).
However, linear models of technological innovation may be useful in describing key steps in the R&D process
and in documenting projects after the fact, but are not particularly helpful in understanding the process inreal time. According to Carlsson et. al. (1976) linear models can describe what happened but not how it happened, and tend to reinforce the belief in a kind of orderliness which does not exist.”•

Innovation Systems

The systems of innovation approach provides a conceptual framework to understand the complexities of theinnovation process, the institutional arrangements that aﬀect it, and contributes to broaden the scope of innovation policymaking.
A system of innovation consists of a network of economic agents together with the institutions and policies
that inﬂuence their innovative behaviour. As a conceptual framework, it refers to a notion of innovation as aninteractive process. In this process, enterprises, in continuous interaction with each other and supported byinstitutions and organizations, create, diﬀuse and use knowledge within an economic system. These organizations include: the enterprise, industry, associations, innovation and productivity centres, standard setting
bodies, research and development institutions, universities, vocational training centres and information
services. They share information and knowledge and with the support of banking and other ﬁnancing mechanisms bring new products, new processes and new forms of organization into economic use•

Research & Development

Research and Development, often called R&D, is a phrase that means diﬀerent things in diﬀerent applications. In the world of business, research and development is the phase in a product’s life that might be considered the product’s conception. That is, basic science must exist to support the product’s viability, and if
the science is lacking, it must be discovered - this is considered the research phase. If the science exists, thenturning it into a useful product is the development phase.
Speciﬁcally, R & D comprise creative work undertaken on a systematic basis in order to increase the stock ofknowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise
new applications (www.uis.unesco.org).

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CHAPTER I
There is considerable debate over what the ‘R’ is and what is the ‘D’ in research and development. Traditionally, research was broken into basic research and applied research, with basic research delving into basic
scientiﬁc principles and applied research looking for ways to use the basic science to better human lives.
Basic Research: The objective of basic research is to gain more comprehensive knowledge or understanding of
the subject under study without speciﬁc applications in mind. Although basic research may not have speciﬁc
applications as its goal, it can be directed in ﬁelds of present or potential interest. This is often the case withbasic research performed by industry or mission-driven agencies.
Applied Research: The objective of applied research, is to gain knowledge or understanding of a speciﬁc
recognized need. In industry, applied research includes investigations to discover new scientiﬁc knowledge
that has speciﬁc commercial objectives with respect to products, processes, or services. Development: Development is the systematic use of the knowledge or understanding gained from research directed toward
the production of useful materials, devices, systems, or methods, including the design and development ofprototypes and processes (National Science Board, 2008).
In other words, R&D has a special economic signiﬁcance apart from its conventional association with scientiﬁc and technological development. R&D investment generally reﬂects a government’s or organization’s
willingness to forgo current operations or proﬁt to improve future performance or returns, and its abilities to
conduct research and development.
In general, R&D activities are conducted by specialized units or centers belonging to companies, universities
and state agencies. In the context of commerce, “research and development” normally refers to future-oriented, longer-term activities in science, technology or innovation, using similar techniques to scientiﬁc researchwithout predetermined outcomes and with broad forecasts of commercial yield.

EXAMPLES OF R&D ACTIVITIESIn the ﬁeld of medicine, routine autopsy on the causes of death is the practice of medical care and is not R&D; special investigation of a particular mortality to establish the side
effects of certain cancer treatments is R&D. Similarly, routine tests such as blood andbacteriological tests carried out for doctors are not R&D, whereas a special programmeof blood tests in connection with the introduction of a new drug is R&D.

The keeping ofdaily records of temperatures or of atmospheric pressure is not R&D but the operation ofa weather forecasting service or general data collection. The investigation of new methodsof measuring temperature is R&D, as are the study and development of new systems andtechniques for interpreting the data (www.uis.unesco.org).
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UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation

Implications for STI policy making and policy implementation – from R & D policy to
STI policy implementation
Science & Technology Policies
A policy is a statement of intent, action or inaction by the public authority in response to the need to achievea pre-determined purpose, which may or may not be formally declared (CTA, 2000). This suggests thatpolicy is an intervention, implying that the expected output is an outcome which would not have been the
result without the policy intervention. It is worth noting that the word “inaction” is not redundant; its usage
recognizes the fact that sometimes what a government does or says is as important as what it does not do orsay. Thus, even in the event of no statement or action there will be deﬁnite (policy) consequences of a passive
stance taken by a government on development issues.
Scientiﬁc and technical knowledge and guidance inﬂuences not just policy related to science and technology,
but also many of today’s public policies as policymakers seek knowledge to enhance the quality of their decisions. Science and technology policy is concerned with the allocation of resources for and encouragement ofscientiﬁc and engineering research and development, the use of scientiﬁc and technical knowledge to enhance the nation’s response to societal challenges. Science, research and innovations are intricately linked tosocietal needs and the nation’s economy in areas such as transportation, communication, agriculture, education, environment, health, defense, and jobs. As a result, policymakers are interested in almost every aspect ofscience and technology policy. The three branches of government—executive, legislature, and judiciary—depending on each branch’s responsibility, use science and technology knowledge and guidance to frame policy
issues, craft legislation, and govern.
Because science and technical knowledge and guidance inﬂuences public policy decision making on manyother issues,it was once felt that science and technology policy did not need to be a separate ﬁeld of inquiry, but that view has evolved and the consensus now is that S&T policy is clearly diﬀerent from other public
policy issue areas. These diﬀerences include the rapidity of change in science and technology; novelty ofmany issues in science and technology; scale, complexity, and interdependence among technologies; irreversibility of many scientiﬁc and technological eﬀects; public worries about real or imagined threats to humanhealth and safety; and the challenges to deeply held social values (Nichols, 1979).
Aim of Science and Technology Policy: To establish an environment conducive to building up competences
and competitiveness and assist the nation to achieve highest added value, eﬃciency and productivity in thedelivery of goods and services through the use of science and technology.

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Strategic Objectives of the S&T Policya)Foster stronger S&T human resource baseb)

Develop a culture of innovation and creativityc)Create job opportunities and alleviate poverty

Science & Technology Policies
A policy is a statement of intent, action or inaction by the public authority in response to the need to achievea pre-determined purpose, which may or may not be formally declared (CTA, 2000). This suggests thatpolicy is an intervention, implying that the expected output is an outcome which would not have been the
result without the policy intervention. It is worth noting that the word “inaction” is not redundant; its usage
recognizes the fact that sometimes what a government does or says is as important as what it does not do orsay. Thus, even in the event of no statement or action there will be deﬁnite (policy) consequences of a passive
stance taken by a government on development issues.
Scientiﬁc and technical knowledge and guidance inﬂuences not just policy related to science and technology,
but also many of today’s public policies as policymakers seek knowledge to enhance the quality of their decisions. Science and technology policy is concerned with the allocation of resources for and encouragement ofscientiﬁc and engineering research and development, the use of scientiﬁc and technical knowledge to enhance the nation’s response to societal challenges. Science, research and innovations are intricately linked tosocietal needs and the nation’s economy in areas such as transportation, communication, agriculture, education, environment, health, defense, and jobs. As a result, policymakers are interested in almost every aspect ofscience and technology policy. The three branches of government—executive, legislature, and judiciary—depending on each branch’s responsibility, use science and technology knowledge and guidance to frame policy
issues, craft legislation, and govern.
Because science and technical knowledge and guidance inﬂuences public policy decision making on manyother issues,it was once felt that science and technology policy did not need to be a separate ﬁeld of inquiry, but that view has evolved and the consensus now is that S&T policy is clearly diﬀerent from other public
policy issue areas. These diﬀerences include the rapidity of change in science and technology; novelty ofmany issues in science and technology; scale, complexity, and interdependence among technologies; irreversibility of many scientiﬁc and technological eﬀects; public worries about real or imagined threats to humanhealth and safety; and the challenges to deeply held social values (Nichols, 1979).
Aim of Science and Technology Policy: To establish an environment conducive to building up competences
and competitiveness and assist the nation to achieve highest added value, eﬃciency and productivity in thedelivery of goods and services through the use of science and technology.

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UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation
Strategic Objectives of the S&T Policya)Foster stronger S&T and more coherent human resource baseb)Create and sustain a competitive productive sector.

c)Develop a culture of innovation and creativityd)Create job opportunities and alleviate povertye)

Build a Vibrant information societyf)Promote and commercialize IKS

g)Optimize the interaction between various actors towards the provision of technological prod
ucts and services to society.

The Six Pillars which S&T Policy should Address
1.

What are the basic needs, strengths and resources of the nation?

2.

How can S&T be applied to harness the Country’s material base and wealth?

3.

Which sectors and in what order should country stake its ﬁnancial and S&T resources?

4.

What are the country’s most urgent priority areas for technological skills and which are thebest models and facilities to provide?

5.

How can S&T assist country rationalize the scarce resources and balance its socio economic
impera tives?

6.

What strategies should Government and Private Sector employ to enhance development ofscience and technology?

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CHAPTER I
From R & D policy to STI policy, from S & T policy to STI Implementation - shift in emphasis
It has become increasingly clear that an eﬀective national system of innovation is required if a country is toharness the potential oﬀered by modern science and technology to its social and economic needs (Ahrens,2005). This awareness has replaced an earlier belief that heavy investment in scientiﬁc and technological research and the purchase of technology from abroad, were suﬃcient to achieve these goals.
Traditional S&T policy are mainly concerned with creation of new knowledge. Input indicators include R&D
budget, while output indicators include publications & patents. However, S&T strategies have shifted during the past decade from a NRS (national research system) perspective to an S T & I perspective. The lattercomprises a far broader set of actors than the traditional R & D and S&T perspectives. This system of thinking represents a signiﬁcant change from the conventional linear approach to research and development. It
provides analytical framework that explore complex relationships among heterogeneous agents, social andeconomic institutional opportunities.
There has been a process of evolution in the way practitioners and academics have dealt with Science, Technology and Innovation Policies (STIP). Science policy in the Western world was established in the immediate aftermath of World War II. Initially, the main area of intervention and action was just science. In the late1960s, technology emerged more clearly as an area of concern; due to budgetary constraints there was a need
to be more eﬃcient in the allocation of resources and to ameliorate the impact of technological change on theoverall economy and society. From the 1980s onwards, there has been a shift in government policy to a focus
on innovation policy. Christopher Freeman classiﬁed STI policies from an economic perspective.
He also deﬁned three periods, similar focus and time range:•

40s and 50s supply-side policies: focused on strengthening S&T capabilities, especially science.

•

60s and 70s demand-side policies: aiming at creating market needs for technology.

•

80s onwards: policies designed to provide eﬀective linkages between supply and demand, and to re
spond to a new technological paradigm based on information and communication technologies.

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UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation
Emerging S T & I policies lay more emphasis on the application and exploitation of knowledge with moreemphasis on economic productivity, share of high-tech companies, new markets, new start-ups, (entrepreneurial) skills of the labor force, etc. The ST&I perspective recognizes that innovation takes place throughout
the whole economy, and not all innovations have their origin in formal R & D or S&T nor are they all exclusively technical. According to Metcalfe (2000), technology involves much more than science, and innovation
involves much more than technology.
Innovation does not always involve the application of technology, as could be the case in organizational andservice innovations. Technology by itself is of no signiﬁcance unless it is translated into innovation. Innovation and diﬀusion are primarily economic and social processes which involve many other actors and behaviours besides those directly involved in the creation of technology itself. In the same line of argument, Dodgson and Bessant (1996) argue:“It is inadequate to think of innovation in ‘technological’ terms alone. The process of innovation involves
consideration of ﬁnance, marketing, organization, training, relationships with customers and suppliers, competitive positioning, as well as relationships between products and processes”
Based on the above, technology policy and science policy are best presented as aspects of a broader innovation policy.
What is innovation policy? Dodgson and Bessant wrote:“Innovation policies aim at improving the capacity to innovate of ﬁrms, networks, industries and entire
economies. Innovation is a process which involves ﬂows of technology and information between multiple
agents, including ﬁrms of all sizes and public and private research institutes. Innovation policy’s principal
aim is to facilitate the interaction and communication among these various actors. (…) Innovation policy istherefore diﬀerent from science policy, which is concerned with the development of science and the trainingof scientists, and from technology policy, which has as its aims the support, enhancement and developmentof technology”.
What should an innovation policy include? Most of taxonomies refer to technology policy, few to innovation
policy. Dodgson and Bessant (1996) organized the policy tools for innovation support under the following
headings (with examples in brackets):•

direct ﬁnancial support (grants, loans guarantees),•

indirect ﬁnancial support (venture capital),•

information (databases, consultancy services),

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CHAPTER I•

scientiﬁc and technical infrastructure (public research labs, research grants),•

educational infrastructure (general education and training system),•

public procurement (national or local governments),•

taxation (company, personal, tax credits for R&D),•

regulation (patents, environment control),•public enterprise (innovation by public-owned industries),•

political (regional policies, awards and honours for innovation),•public services (telecom, transport), and•trade (trade agreements, tariﬀs).

This classiﬁcation shows the wide variety of measures, both direct and indirect, that could be implemented.
Within this range of tools some are supply-oriented, others demand-oriented, and others aim to facilitate linkages between supply and demand.
Why STI Policy is the necessary catalyst for Economic Development of Nations?
According to Ahrens (2005) national policies for science, technology and innovation (ST&I) are now widely
recognised as having an important impact on a country’s growth and development prospects. This is because
science technology and innovation (S T & l) are major contributors to food security, poverty reduction, andeconomic growth, as has been proven in Asia since the early-1970s through the Green Revolution in agriculture.
The World Bank study of the diﬀerence between poverty and wealth in the development trajectories of Ghana
and South Korea shows the increasing importance of knowledge as a driver of growth of the global economy,
and how the ability of a society to produce, select, adapt, commercialize and use knowledge is a key to sustained
economic growth and improved living. In other words, what any society that must develop into a vibrant economic major income society must do is to ﬁrst place science, technology and innovation as the bedrock of its
society.

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UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation
However, developing countries often lack signiﬁcant ST&I capacity, yet all face the challenge of catching up
with more advanced economies if they are to compete eﬀectively in an increasingly globalized market place,to overcome their relative underdevelopment, and thus eventually to eliminate poverty within their societies.
ST&I policies have many diﬀerent components (Ahrens, 2005). They include measures to promote researchand technological progress directly, whether in regions, industrial sectors or national economies. But the relevant policies also embrace the institutional, organizational and politico-administrative measures needed tostrengthen national systems of innovation (Wagner et al., 2001), as well as to integrate such systems into a
country’s wider policy framework.
Designing coherent policies
It is becoming increasingly clear that the main reason for the diﬃculty in building up an adequate capacity
in science and technology (and moving up the scientiﬁc and technological ladder) is insuﬃcient government
capabilities and eﬀectiveness. To overcome any relative backwardness in economic development, developing
countries need to strengthen both their ST&I policies and their national systems of innovation. And to do this,they will need an eﬀective state apparatus for designing and implementing coherent innovation policies, establishing market institutions, and enforcing the rules and mechanisms of interaction.
S T & I policies in both developed and developing countries are embedded in a complex policy framework thatis often subject to pressures from a range of social groups. As a result, designing national S T & I policies usually
results in a policy mix that reﬂects diverse objectives and interests.
In order to ensure the coherence, consistence and eﬃciency of S T & I policies, policy makers should adhere toseveral principles that have emerged over the last decade as the result of analyses and increased understandingof how innovation processes and technological accumulation works.
These principles include a commitment to:•developing successful networks between the state, academic organizations and industry, to increase
the eﬃciency of the innovation system;•

fostering ﬂexible research organizations that can adapt and meet changes in research objectives overthe course of national economic development;•

self-sustainability, with an emphasis on temporary rather than permanent government support;•

competition among the organizations that form the innovation system, requiring a transparent(and predictable) market-oriented regulatory and legal framework;

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CHAPTER I•

a lack of bureaucratic rigidity in research organizations;•continuous evaluation;•techniques for risk analysis and risk management; and•ensuring subsidiarity, that is, ST&I issues should be handled by the lowest competent level – so deci
sions on diﬀusion activities, for example, can be taken at the regional level. The role of central govern
ment will be restricted to mission-oriented policies — which focus on the development selected tech
nologies considered to be strategic for a country — and to create a ‘level playing ﬁeld’.

•

The extent to which a country adheres to these principles — as well as their signiﬁcance for thatcountry — depends on the stage of development that it has reached, and the capacity of its
governance structures.

•

Functional and horizontal policies that can strengthen science, technological development andinnovation:•

developing and maintaining a market-friendly policy and regulatory environment that stimulates thetechnological eﬀorts of ﬁrms, and helps enhance technological capabilities;•

promoting a trade policy that facilitates technology transfer from abroad, including the encourage
ment of foreign direct investment (investment in a given country by foreign companies, setting up
production facilities, for instance), licensing arrangements (granting a ﬁrm, through payment, the useof a patent or trademark), ‘turn-key’ projects (industrial projects in which a contracted company is
responsible for the overall management of the investment project and the client only for the operation) and technical assistance;•

helping to provide an appropriate technological infrastructure, including an education system that is
responsive to business needs, and eﬀective public research organizations.

Suitability of policy tools, and strategies.
This depends on the stage of technological and economic development a country has reached. In countries
viewed as scientiﬁcally lagging or scientiﬁcally developing where capabilities remain low, governments may
choose to rely primarily on functional and horizontal policies. A functional policy is deﬁned by the activityof it governs (e.g Mining), whilst a horizontal policy is a broad-based approach to guide the more than one
speciﬁc activity , usually across similar levels of operations (e.g extractive industries). At this stage of develPage 19

UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation

opment, horizontal ST&I policies dominate, helping to identify sustainable areas of competitive advantage inthe economy. In tandem with the provision of technological infrastructure, such horizontal approaches help
to endow businesses with a ‘learning to innovate perspective’ — that is, they encourage capacity building in
the private sector as a basis for home-grown innovation.
At early stages of economic and technological development, selective interventions should be limited in
number. They should focus on strategic industries such as low-skill manufacturing industries, extractive
industries such as mining, and agriculture, all of which can help a country accumulate the know-how andcapabilities essential for pursuing more sophisticated policies.
This approach enables political authorities to improve their understanding of how to design sectoral policies,
to learn what kind of incentives work under which conditions, and to develop strategic capabilities that allow
them to formulate a new policy portfolio.
funding, and eﬀective mechanisms for implementation. And they must be formally linked to private sector
stakeholders who are engaged in indigenous innovation and technology transfer.Furthermore, macroeconomic and political stability — as well as a competitive market economy based onprivate property — seemto be essential for the success of policies supporting innovation. If they are not in place, or only exist in a
restricted form, companies will face uncertain expectations and high risks, and will be discouraged frominvesting in technological research and long-term innovation. At a higher stage of economic development,
policy making can begin to rely on activities that require specialized skills and more information. This applies
to the so-called scientiﬁcally proﬁcient countries, and even to those scientiﬁcally developing countries thathave evolved a more competent bureaucracy, as well as institutions that facilitate cooperation between thegovernment and organizations in the private sector.
At this stage, vertical policies can become key ingredients in S T & I. Vertical Policies govern several tiersof government and are often more eﬀective than horizontal policies because they cut across policy design toimplementation and sometimes monitoring and evalutation. However, they are also more diﬃcult to design
and put into practice.
Eﬀective ST&I policies must pursue clear strategic objectives, identify priorities for action, and demonstratea high level of coherence. They usually require a range of policy instruments, sustained public funding, andeﬀective mechanisms for implementation. And they must be formally linked to private sector stakeholders
who are engaged in indigenous innovation and technology transfer. Furthermore, macroeconomic and political stability — as well as a competitive market economy based on private property — seem to be essential
for the success of policies supporting innovation. If they are not in place, or only exist in a restricted form,
companies will face uncertain expectations and high risks, and will be discouraged from investing in techno-

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CHAPTER I
logical research and long-term innovation.
If a country’s economy is to be shifted on to a higher trajectory of development, a clear set of rules, regulations and S T &I policies is needed. Dynamic economic evolution results from systematic and continuing
investments both in learning, and in applying new skills and knowledge to economic and political exchanges.
This can only happen if a society is willing and able to acquire skills and knowledge in productivity-enhancing activities, to foster innovation, to act creatively and to take risks. The emergence of such characteristics
cannot be directly determined by the state. But governments can support the growth of an eﬃcient andﬂexible national system of innovation by establishing an appropriate governance structure — one that makes
ST&I policies more eﬀective, enhances collaboration between public and private sectors, and enforces stable,market-friendly rules and regulations.
Finally, if combined with a credible strategy for sharing the beneﬁts of growth — as South Korea, Taiwan and
Malaysia, for example, were able to pursue between the 1960s and the 1980s — ST&I policies may help in
ﬁghting poverty sustainably, facilitate the country’s economic growth and enhance the prospects of underprivileged groups in society.

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UNESCOIntroduction & Overview of the Concepts Of Science, Technology And Innovation

Quiz
1.

2.

3.

STI means......
a)Science, Technology and inventionb)

Science, Training for Innovationc)

Science, Technology and Innovation

What is the importance of STI policies to the economic development of a country?
a)

It encourages economic growthb)

It promotes peacec)

It enhances national pride

What are the challenges in developing a national system of innovation in develop
ing countries?

4.

a)Lack of educational literacyb)

Diversity of the populationc)

Functional and horizontal STI policies

What are the beneﬁts of STI policies in national development?
a)More coordinated and effective governanceb)

Attainment of Millennium development goalsc)More stable government

5. Give examples of activities that could constitute R & D in a speciﬁed sector

UNESCOa)

Genetically Modiﬁed Crops in agricultureb)

Curriculum development for primary educationc)

Gender empowerment programmes in health.

CHAPTER 2OVERVIEW OF NECESSARY TOOLS TO ENSURE A SUCCESSFUL STI POLICY FORMULATION

Identiﬁcation
Assesment

Enabling
organisational
cultureData capture

Utilisation

Apparent
incentives

Appropriate
mechanism

Fgorousplanning

AnlysysSuﬃcient
complianceAppropriate
mechanism

Dissemination

THIS CHAPTER COMPRISE BASIC DISCUSSIONS ON THE SELECTED TOOLS FOR ACHIEVING A
SUCCESSFUL STI POLICY, INCLUDING:•DATA GATHERING TOOLS: SURVEYS, KEY INDICATORS, STATISTICS FOR PLANNING
AND MONITORING•POLICY MAPPING & CONTEXT ASSESSMENT TOOLS E.G. THE RAPID FRAMEWORK,STAKEHOLDER ANALYSES, WRITE-SHOPS, FORCE-FIELD ANALYSES AND SWOTANALYSES.

•COMMUNICATION TOOLS SUCH AS COMMUNICATION STRATEGY, MESSAGE DESIGN &MEDIA RELATIONS.

•KNOWLEDGE MANAGEMENT & LEARNING TOOLS•POLICY INFLUENCE MAPPING TOOLS SUCH AS POWER MAPPING, LOBBYING AND AD
VOCACY, CAMPAIGNING AND DPSIR FRAMEWORK.

THE CHAPTER ALSO INCLUDES KEY QUESTIONS REGARDING THE EXTERNAL ENVIRONMENT,AVAILABLE EVIDENCE, THE POLITICAL CONTEXT, AND EXISTING LINKAGES BOTH FROM THE
DEMAND AND SUPPLY SIDES, INCLUDING:•

WHAT THE POLICYMAKER NEEDS TO KNOW?

•

WHAT THE POLICYMAKER NEEDS TO DO?

•

HOW TO DO IT•

KEY QUESTIONSPage 22

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

Data Gathering tools: Surveys, Key Indicators, Statistics for planning and monitoring

T
Surveyshere are many ways to get information. The most common research methods are: literaturesearches, talking with people, focus groups, personal interviews, telephone surveys, mail surveys, email surveys, and internet surveys. A literature search involves reviewing all readily
available materials. These materials can include internal company information, relevant trade

publications, newspapers, magazines, annual reports, company literature, on-line data bases, and any otherpublished materials. It is a very inexpensive method of gathering information, although it often does notyield timely information. Literature searches over the web are the fastest, while library literature searches cantake between one and eight weeks.
Talking with people is a good way to get information during the initial stages of a research project. It canbe used to gather information that is not publicly available, or that is too new to be found in the literature.
Examples might include meetings with prospects, customers, suppliers, and other types of business conversations at trade shows, seminars, and association meetings. Although often valuable, the information hasquestionable validity because it is highly subjective and might not be representative of the population.
A focus group is used as a preliminary research technique to explore peoples ideas and attitudes. It is often
used to test new approaches (such as products or advertising), and to discover customer concerns. A group of
6 to 20 people meet in a conference-room-like setting with a trained moderator. The room usually contains a
one-way mirror for viewing, including audio and video capabilities. The moderator leads the group’s discussion and keeps the focus on the areas you want to explore. Focus groups can be conducted within a couple
of weeks and costs vary. Their disadvantage is that the sample is small and may not be representative of the
population in general.
Personal interviews are a way to get in-depth and comprehensive information. They involve one person interviewing another person for personal or detailed information. Personal interviews can be expensive because of
the one-to-one nature of the interview. Typically, an interviewer will ask questions from a written questionnaire and record the answers verbatim. Sometimes, the questionnaire is simply a list of topics that the research wants to discuss with an industry expert. Personal interviews (because of their expense) are generally
used only when subjects are not likely to respond to other survey methods.
Telephone surveys are the fastest method of gathering information from a relatively large sample (100-400
respondents). The interviewer follows a prepared script that is essentially the same as a written questionnaire. However, unlike a mail survey, the telephone survey allows the opportunity for some opinion probing.
Telephone surveys generally last less than ten minutes.

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CHAPTER 2
Mail surveys are a cost eﬀective method of gathering information. They are ideal for large sample sizes, orwhen the sample comes from a wide geographic area. They cost a little less than telephone interviews, however, they take over twice as long to complete (eight to twelve weeks). Because there is no interviewer, there
is no possibility of interviewer bias. The main disadvantage is the inability to probe respondents for moredetailed information.
Email and internet surveys are relatively new and little is known about the eﬀect of sampling bias in internet
surveys. While it is clearly the most cost eﬀective and fastest method of distributing a survey, the demographic proﬁle of the internet user does not represent the general population, although this is changing. Before
doing an email or internet survey, carefully consider the eﬀect that this bias might have on the results.
Key Indicators
Key indicators are essential tools for tracking progress, supporting policy evaluation and informing the public. Since the early 1990s, such indicators have gained in importance in many countries and in international
fora. Environmental indicators have gained particular currency in recent years, due to global concerns about
Climate Change. Many OECD countries are also increasingly interested in using a reduced number of indicators selected from existing larger sets, to inform civil society and to support wider communication withthe public. To support such initiatives, the OECD identiﬁed in 2001 a shortlist of environmental indicatorsbuilding on previous work and on experience gained in using environmental indicators in its policy work.
These key indicators were selected from the core indicators included in the OECD Core Set of environmental
indicators and are closely related to other environmental indicators sets developed and used by the OECD.
Their selection took into account: their policy relevance with respect to major challenges for the ﬁrst decadeof the 21st century, including pollution issues and issues related to natural resources and assets; their analytical soundness; and their measurability.

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UNESCOOverview of necessary tools to ensure a successful sti policy formulation

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CHAPTER 2
CLIMATE CHANGE

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UNESCOOverview of necessary tools to ensure a successful sti policy formulation

CLIMATE CHANGE
Statistics for planning and monitoring
Statistical Signiﬁcance
What does “statistical signiﬁcance” really mean?
Many researchers get very excited when they have discovered a “statistically signiﬁcant” ﬁnding, without really understanding what it means. When a statistic is signiﬁcant, it simply means that you are very sure thatthe statistic is reliable. It doesn’t mean the ﬁnding is important or that it has any decision-making utility.
For example, suppose we give 1,000 people an IQ test, and we ask if there is a signiﬁcant diﬀerence between
male and female scores. The mean score for males is 98 and the mean score for females is 100. We use an
independent groups t-test and ﬁnd that the diﬀerence is signiﬁcant at the .001 level. The big question is, “So
what?”. The diﬀerence between 98 and 100 on an IQ test is a very small diﬀerence...so small, in fact, that its
not even important. Then why did the t-statistic come out signiﬁcant? Because there was a large sample size.
When you have a large sample size, very small diﬀerences will be detected as signiﬁcant. This means that you
are very sure that the diﬀerence is real (i.e., it didn’t happen by ﬂuke). It doesn’t mean that the diﬀerence islarge or important. If we had only given the IQ test to 25 people instead of 1,000, the two-point diﬀerence
between males and females would not have been signiﬁcant.
Signiﬁcance is a statistical term that tells how sure you are that a diﬀerence or relationship exists. To say thata signiﬁcant diﬀerence or relationship exists only tells half the story. We might be very sure that a relationshipexists, but is it a strong, moderate, or weak relationship? After ﬁnding a signiﬁcant relationship, it is important to evaluate its strength. Signiﬁcant relationships can be strong or weak. Signiﬁcant diﬀerences can belarge or small. It just depends on your sample size.
Many researchers use the word “signiﬁcant” to describe a ﬁnding that may have decision-making utility toa client. From a statistician’s viewpoint, this is an incorrect use of the word. However, the word “signiﬁcant”
has virtually universal meaning to the public. Thus, many researchers use the word “signiﬁcant” to describe adiﬀerence or relationship that may be strategically important to a client (regardless of any statistical tests). In
these situations, the word “signiﬁcant” is used to advise a client to take note of a particular diﬀerence or relationship because it may be relevant to the company’s strategic plan. The word “signiﬁcant” is not the exclusive
domain of statisticians and either use is correct in the business world. Thus, for the statistician, it may be wise
to adopt a policy of always referring to “statistical signiﬁcance” rather than simply “signiﬁcance” when communicating with the public.
One-Tailed and Two-Tailed Signiﬁcance Tests
One important concept in signiﬁcance testing is whether you use a one-tailed or two-tailed test of signiﬁcance. The answer is that it depends on your hypothesis. When your research hypothesis states the direction
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CHAPTER 2of the diﬀerence or relationship, then you use a one-tailed probability. For example, a one-tailed test would be
used to test these null hypotheses: Females will not score signiﬁcantly higher than males on an IQ test. Blue
collar workers are will not buy signiﬁcantly more product than white collar workers. Superman is not signiﬁcantly stronger than the average person. In each case, the null hypothesis (indirectly) predicts the directionof the diﬀerence. A two-tailed test would be used to test these null hypotheses: There will be no signiﬁcantdiﬀerence in IQ scores between males and females. There will be no signiﬁcant diﬀerence in the amount of
product purchased between blue collar and white collar workers. There is no signiﬁcant diﬀerence in strength
between Superman and the average person. The one-tailed probability is exactly half the value of the twotailed probability.
There is a raging controversy (for about the last hundred years) on whether or not it is ever appropriate to use
a one-tailed test. The rationale is that if you already know the direction of the diﬀerence, why bother doing any
statistical tests. While it is generally safest to use a two-tailed tests, there are situations where a one-tailed test
seems more appropriate. The bottom line is that it is the choice of the researcher whether to use one-tailed or
two-tailed research questions.
Procedure Used to Test for Signiﬁcance
Whenever we perform a signiﬁcance test, it involves comparing a test value that we have calculated to somecritical value for the statistic. It doesn’t matter what type of statistic we are calculating (e.g., a t-statistic, a chisquare statistic, an F-statistic, etc.), the procedure to test for signiﬁcance is the same.
•

Decide on the critical alpha level you will use (i.e., the error rate you are willing to accept).

•

Conduct the research.

•

Calculate the statistic.

•

Compare the statistic to a critical value obtained from a table.

If your statistic is higher than the critical value from the table:•

Your ﬁnding is signiﬁcant.

•

You reject the null hypothesis.

The probability is small that the diﬀerence or relationship happened by chance, and p is less than the criticalalpha level (p < alpha ).
If your statistic is lower than the critical value from the table:•

Your ﬁnding is not signiﬁcant.

•

You fail to reject the null hypothesis.

The probability is high that the diﬀerence or relationship happened by chance, and p is greater than the criticalalpha level (p > alpha ).
Modern computer software can calculate exact probabilities for most test statistics. If you have an exact probability from computer software, simply compare it to your critical alpha level. If the exact probability is lessthan the critical alpha level, your ﬁnding is signiﬁcant, and if the exact probability is greater than your criticalalpha level, your ﬁnding is not signiﬁcant. Using a table is not necessary when you have the exact probability
for a statistic

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UNESCOOverview of necessary tools to ensure a successful sti policy formulation
Policy Mapping & Context Assessment Tools e.g. the Rapid Framework, Stakeholder Analyses, WriteShops, Force-Field Analyses, SWOT Analyses.
Policy Mapping and Content Assessment Tools
The policy problem is not one of optimization; it is not feasible to specify all possible outcomes, rank theminsigniﬁcantly higher than males on an IQ test. Blue collar workers are will not buy signiﬁcantly more productthan white collar workers. Superman is not signiﬁcantly stronger than the average person. In each case, the null
hypothesis (indirectly) predicts the direction of the diﬀerence. A two-tailed test would be used to test these null
hypotheses: There will be no signiﬁcant diﬀerence in IQ scores between males and females. There will be no
signiﬁcant diﬀerence in the amount of product purchased between blue collar and white collar workers. Thereis no signiﬁcant diﬀerence in strength between Superman and the average person. The one-tailed probability isexactly half the value of the two-tailed probability.
There is a raging controversy (for about the last hundred years) on whether or not it is ever appropriate to use
a one-tailed test. The rationale is that if you already know the direction of the diﬀerence, why bother doing any
statistical tests. While it is generally safest to use a two-tailed tests, there are situations where a one-tailed test
seems more appropriate. The bottom line is that it is the choice of the researcher whether to use one-tailed or
two-tailed research questions.
Policy Mapping & Context Assessment Tools e.g. the Rapid Framework, Stakeholder Analyses, WriteShops, Force-Field Analyses, SWOT Analyses.
Policy Mapping and Content Assessment Tools
The policy problem is not one of optimization; it is not feasible to specify all possible outcomes, rank them interms of desirability, list all possible policy alternatives and then choose among them. Policy-making is a process of successive approximation to some desired objectives in which what is desired itself continues to change
under reconsideration. “A wise policy-maker consequently expects that his policies will achieve only part ofwhat he hopes and at the same time will produce unanticipated consequences he would have preferred to avoid.
If he proceeds through a succession of incremental changes, he avoids serious lasting mistakes in several ways.”(Lindblom, 1959).
Based on over ﬁve years of theoretical and case study research, Overseas Development Institute’s (ODI) Research and Policy in development programme has developed an analytical framework and practical tools that
can help researchers to do this. The RAPID Context, Evidence Links (CEL) framework can be used as a conceptual framework to help researchers and policy entrepreneurs understand the role that evidence-based research plays, amongst other issues, in inﬂuencing policy. But for this to happen more eﬀectively researchers
need to do three things:

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CHAPTER 2First, they need to develop a detailed understanding of:1.
the policymaking process – what are the key inﬂuencing factors, and how do they relate
to each other?
2.
the nature of the evidence they have, or hope to get – is it credible, practical and operationallyuseful? and3.
all the other stakeholders involved in the policy area – who else can help to get themessage across?
Second, they need to develop an overall strategy for their work – identify political supporters and opponents,
keep an eye out for, and be able to react to policy windows, ensure the evidence is credible and practically useful, and build coalitions with like-minded groups.
Third, they need to be entrepreneurial – get to know, and work with the policymakers, build long term programmes of credible research, communicate eﬀectively, use participatory approaches, identify key net workers
and salesmen and use shadow networks.

What Inﬂuences Research to Policy Uptake? The RAPID Framework

There are many types of research which inform the policies at many levels, some are data rich, others contain
informal collections of data and assessment for situational analysis. The link between research and policy, or
evidence and practice, is often viewed as a linear process, whereby a set of research ﬁndings or lessons shift
from the ‘research sphere’ over to the ‘policy sphere’, and then have some impact on policymakers’ decisions
and practical programmes. Reality tends to be much more dynamic and complex, with two-way processes between research, policy and practice, shaped by multiple relations and reservoirs of knowledge. Often it seems
that researchers, practitioners and policymakers live in parallel universes. Researchers cannot understand why
there is resistance to policy change despite clear and convincing evidence. Policymakers bemoan the inabilityof many researchers to make their ﬁndings accessible and digestible in time for policy decisions. Practitioners
often just get on with things.
The traditional question ‘How can research be transported from the research to the policy sphere?’ has been
replaced by a more complex question: ‘Why are some of the ideas that circulate in the research/policy networks
picked up and acted on, while others are ignored and disappear?’. ODI’s theoretical, case study and practicalwork has identiﬁed a wide range of inter-related factors, which determine whether research-based and otherforms of evidence are likely to be adopted by policymakers and practitioners.
These factors can broadly be divided into three overlapping areas:•
the political context;•
the evidence; and•the links between policy and research communities, within a fourth set of factors: the external
context. The interplay of these four areas is laid out in Figure 1.
The RAPID Framework. Framework for Research-Policy Linkages (Developed by Overseas Development Institute)

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UNESCOOverview of necessary tools to ensure a successful sti policy formulation

Political context
Politics andpolicymaking

Media
advocacy,
networkin

Links

Researchlearning and thinking

Evidence

Fig. 1 RAPID Framework. (Source:ordi.org.uk/rapid
Four components (PELE)•
Political context - Local, national•
Evidence - Credibility, communication•
Links - Networks, inﬂuence, interactions•
External environment - Regional, international
The framework should be seen as a generic, perhaps ideal, model. In some cases there will not be much overlap between the diﬀerent spheres; in others the overlap may vary considerably.
Political Context: Politics and Institutions
Research-policy links are dramatically shaped by the political context. The policy process and the productionof research are in themselves political processes from start to ﬁnish. Key inﬂuencing factors include:•
The extent of civil and political freedoms in a country;•
Political contestation, institutional pressures and vested interests;
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Page 31CHAPTER 2•

The attitudes and incentives among oﬃcials, their room for manoeuvre, local history,
and power relations.
In some cases the political strategies and power relations are obvious, and are tied to speciﬁc institutionalpressures. Ideas circulating may be discarded by the majority of staﬀ in an organization if those ideas elicit
disapproval from the leadership.

Evidence: Credibility and Communication
Policy inﬂuence is aﬀected by topical relevance and, as importantly, the operational usefulness of an idea; ithelps if a new approach has been piloted and the document can clearly demonstrate the value of a new option. A critical issue aﬀecting uptake is whether research has provided a solution to a problem.
The other key set of issues concern communication. The sources and conveyors of evidence, the way new
messages are packaged (especially if they are couched in familiar terms) and targeted, can all make a big
diﬀerence. For example, marketing is based on the insight that people’s reaction to a new product or idea isoften determined by the packaging rather than the content in and of itself. The key message is that communication is a very demanding process and it is best to take an interactive approach. Continuous interaction
leads to greater chances of successful communication than a simple or linear approach. However, althoughevidence clearly matters, there has been very limited systematic understanding of when, how and why evidence informs policy.

Links: Inﬂuence and Legitimacy
The third issue relates to the importance of links: of communities, networks and intermediaries (for example, the media and campaigning groups) in aﬀecting policy change. Some of the current literature focuses
explicitly on various types of networks, such as policy communities, epistemic communities, and advocacy
coalitions. While systematic understanding remains limited, issues of trust, legitimacy, openness and theformalization of networks have emerged as important. Existing theory stresses the role of translators andcommunicators. It seems that there is often an under-appreciation of the extent and ways that intermediaryorganizations and networks impact on formal policy guidance documents, which in turn inﬂuence oﬃcials.

External Inﬂuences
Finally, a synthesis of the RAPID framework emphasizes the impact of external forces and donors actions
on research-policy interactions. While many questions remain, key issues here include the impact of international politics and processes, as well as the impact of general donor policies and speciﬁc research-funding
instruments. Trends towards democratization and liberalization and donor support for civil society are having an impact. Much of the research on development issues is undertaken in the North, raising concerns of
relevance and beneﬁciaries’ access to the ﬁndings. A substantial amount of research in the poorest countries
is funded by international donors, which also raises a range of issues around ownership, whose priorities, useof external consultants and perceived legitimacy. As policy processes become increasingly global, this arena
will increase in importance.
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UNESCOOverview of necessary tools to ensure a successful sti policy formulation

When Does Evidence Inﬂuence Policy?
Emerging results from ODI studies seems to indicate that research-based and other forms of evidence are
more likely to contribute to policy if:•

It ﬁts within the political and institutional limits and pressures of policymakers, and resonateswith their assumptions, or suﬃcient pressure is exerted to challenge them;•

The evidence is credible and convincing, provides practical slutionsto pressing policy
prob lems, and is packaged to attract policymakers’ interest;•

Researchers and policymakers share common networks, trust each other, and communicate
eﬀectively.

But these three conditions are rarely met in practice. Although researchers and practitioners can control thecredibility of their evidence and ensure they interact with and communicate well with policymakers, theyoften have limited capacity to inﬂuence the political context within which they work. Resources are also limited, and researchers and practitioners need to make choices about what they do. By making more informed,
strategic choices, researchers can maximize their chances of policy inﬂuence.

What Can Researchers Do?
Evidence from ODI’s work so far provides preliminary recommendations in four areas, which are laid out inTable 1. The four components of the framework can provide the user with in-depth and valuable information
regarding policy windows, key policy actors and networks, gaps in the existing evidence, alternative means ofcommunication and trends and changes in the external environment. Thus, it presents some of the key questions that the researcher or policy entrepreneur should answer. However, it is important to recognize that theconditions of the political context, the evidence, the links and the external factors vary greatly according to
the particular situation.

Framework for Action
For each of the four components:
1.

What researchers need to know?

2.

What researchers can do?

3.

How to do it?

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CHAPTER 2
Table 1: How to aﬀect policy and practice
What researchers need to know

What researchers need to do

How to do it

Political Context:a)
Who are the policymakers?
b)Is there policymakerdemand for new ideas?
c)What are the sources /strengths of resistance?
d)What is the policymak
ing process?
e)What are the opportuni
ties and timing for input
into formal processes?

a)

Get to know the policy
makers, their agendas
and their constraints.
Identify potential supporters and opponents.
Plan and prepare foropportunities in regularpolicy processes.
Look out for – and react
to – unexpected policy
windows.

a)

Evidence:a)What is the current
theory?
b)What are the prevailingnarratives?
c)
How divergent is the new
evidence?
d)What sort of evidence
will convince policy
makers?

a)

Establish credibility overthe long term.
Provide practical solu
tions to problems.
Establish legitimacy.
Build a convincing caseand present clear policy
options.
Package new ideas infamiliar theory or narra
tives.
Communicate eﬀectively.

a)

Get to know the otherstakeholders.
Establish a presence inexisting networks.
Build coalitions withlike-minded stakehold
ers.
Build new policy net
works.

a)

b)
c)
d)

b)
c)
d)
e)
f)

Links:a)
Who are the key stakeholders?
b)
What links and networks
exist between them?
c)Who are the intermediar
ies, and do they haveinﬂuence?
d)
Whose side are they on?

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a)
b)
c)
d)

b)
c)
d)
e)

b)
c)
d)

e)

b)
c)

Work with the policy
makers.
Seek commissions.
Line up research pro
grammes with highproﬁle policy events.
Allow suﬃcient time andresources.
Reserve resources to beable to move quickly torespond to policy
windows.

Build up programmesof high quality work.
Clear strategy for com
munication from thestart.
Face-to-face communica
tion.
Action-research and
Pilot projects todemonstrate beneﬁts of
new approaches.
Use participatory ap
proaches to help
with legitimacy andimplementation.
Partnerships between
researchers, policymak
ers and policy end users.
Identify and link up key
net workers and salesmen.
Use informal contacts.

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

What researchers need to know

What researchers need to do

How to do itExternal Inﬂuences:a)
Who are main interna
tional actors in the policy
process?
b)
What inﬂuence do theyhave?
c)What are their aid priori
ties?
d)What are their research
priorities and mecha
nisms?
e)What are the policies ofthe donors funding the
research?

a)

a)

b)
c)
d)

Get to know the donors,
their priorities and con
straints.
Identify potential supporters, key individuals
and networks.
Establish credibility.
Keep an eye on donor
policy and look out forpolicy windows.

b)
c)
d)

Develop extensive background on international,
regional donor policies.
Orient communications
to suit donor priorities
and language.
Cooperate with donors
and seek commissions.
Contact (regularly) key
individuals.

Source: http://www.odi.org.uk/rapid/Links/

Who are Stakeholders?
Stakeholders are all those people who have a stake (or share) in a particular issue or system. Stakeholders canbe groups of people, organizations, institutions and sometimes even individuals. Other terms sometimes used
in a similar way to stakeholders are “actors” and “interest groups”. The word “actors” stresses that stakeholders are active and interact with each other. The use of the words “interest groups” indicates that people canbe grouped according to a common interest. Stakeholders can be at any level or position in society, from theinternational to the national, regional, household or intra-household level. Stakeholders include all those who
aﬀect and are aﬀected by policies, decisions or actions within a particular system. For example Table 2 shows
the diﬀerent institutional levels of possible stakeholders, actors and their possible interests.

Why is a stakeholder perspective important?
Development is not a linear process, which can be carefully designed with the use of a toolbox, but a longterm multi-stakeholder process in which pull and push factors, power relations and bargaining power
inﬂuence the ﬁnal outcomes. Policy process often fails because the stakeholders are not given enough consideration. Each stakeholder has a diﬀerent interest in the situation. Stakeholder analysis is becoming morecommon in policy process. It attempts to deal with stakeholders’ multiple and often conﬂicting views, interests and objectives. The term stakeholder analysis was ﬁrst used in management science for identifying andaddressing the interest of diﬀerent stakeholders in business.
Nowadays, stakeholder analysis is frequently used for:a)

Policy formulation,b)

Project formulation,

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CHAPTER 2
c)Implementation and evaluation as well as for understanding and analyzing complex
situations in natural resource management.

Stakeholder analysis is a way of understanding a system through its stakeholders. It looks at their interest, objectives, power and relationships. Stakeholder analysis will also show existing patterns of interaction between
stakeholders. It will show conﬂicts and can help ﬁnd ways to resolve them. By understanding the system, it
is possible to facilitate change. In a project setting, stakeholder analysis can help to improve performanceby helping to identify trade-oﬀs between diﬀerent stakeholders’ objectives, and the conﬂicts between them.
As a result, project eﬃciency and eﬀectiveness can be improved. By helping to evaluate policy and project
impacts e.g. the distributional, social and political impacts of policies and projects. It can highlight the needs
and interest of powerless people.

Diﬀerent types of stakeholders
A distinction can be made between diﬀerent types of stakeholders. Stakeholders can be either active or passive. An active stakeholder is one who is actively involved; these include decision makers in government,
academics, lobbyists, donor organizations policy analysts and advisers as well as advocates. Some distinguishbetween stakeholders and key stakeholders, others between active and passive or between primary and secondary stakeholders. Key stakeholders are those actors who are considered to have signiﬁcant inﬂuence on
the success of a project.
Primary stakeholders are the intended beneﬁciaries of a project.
Secondary stakeholders are those who perform as intermediaries within a project.
Active stakeholders are those who aﬀect or determine a decision or action in the system or project.
Passive stakeholders are those who are aﬀected by decisions or actions of others.
In considering stakeholders, it is sometimes helpful to consider their importance and inﬂuence. Important
stakeholders are those whose needs are important to a project or study. Inﬂuential stakeholders are those whohave the power to control decisions in an activity or who can inﬂuence others in the decision making process.
Importance and inﬂuence are not the same. For example, rural women farmers might have been identiﬁed as
an important stakeholder for equality purposes, but they may have traditionally little inﬂuence in decisionmaking processes.

Identifying stakeholders
Identifying stakeholders is an iterative process. New stakeholders are often identiﬁed by existing ones. To
avoid missing important stakeholders, it is important to review this regularly. Some stakeholders will be

Page 36

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

important at the beginning of the process but not at the end. Others may not be important at the start but
become more important later. The ﬁnal selection of stakeholders depends on the people responsible for theassessment. There is need to develop criteria for identifying who should be considered stakeholders. Suchcriteria might include, for example:•

Degree of economic, social or cultural reliance on the system•

Degree of eﬀort and interest in the management of the system•

Present or potential impact of the activities of the stakeholder on the system•

Historical and cultural relationship with the system•

Unique knowledge or skills for the management of the system or resources at stake•

Existing rights to land or other natural resource.

To carry out a SWOT Analysis, questions such as the following need to be answered:Strengths:a)What advantages does your company have?

b)

What do you do better than anyone else?

c)What unique or lowest-cost resources do you have access to?

d)What do people see as your strengths?

e)What factors mean that you “get the sale”?

Consider this from an internal perspective, and from the point of view of your customers and people in yourmarket. In looking at your strengths, think about them in relation to your competitors - for example, if all
your competitors provide high quality products, then a high quality production process is not a strength in
the market, it is a necessity.
Weaknesses:a)What could you improve?

b)

What should you avoid?

c)

What are people likely to see as weaknesses?

d)What factors lose you sales?

Again, consider this from an internal and external basis: Do other people seem to perceive weaknesses thatyou do not see? Are your competitors doing any better than you? It is best to be realistic now, and face any
unpleasant truths as soon as possible.
Opportunities:a)

Where are the good opportunities facing you?

b)

What are the interesting trends you are aware of?

c)

Useful opportunities can come from such things as:d)Changes in technology and markets on both a broad and narrow scale

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CHAPTER 2
CASE STUDY
Soil conservation andsoil fertility
management
identiﬁed aspriority reserach ﬁelds for
NRSP.
In 1999, thesepriorities werelinked withrecognitionof the need topromote existing knowledgeof low costsustainablesoil management methods,
suitable for
adoption bypoor smallholder farmers
often locatedin relatively
remote areas
on steep terrain.

Youth livelihood characterised & NRM policy inrelation to youth analysed& critiqued. R8211

Through inter-section withvarious national stakeholders, status of youth
policies and programmes
in Eastern Africa

Community-based methods forstrengthening social capital andlocal institutions developed andused to improve community
awareness and achieve agreement
for collective action on NRM
issues of steepe hillside lands insouth western Uganda R7856

workshop for
local professional
in SW Uganda
to evaluate soil
conservation
handbook.

Based on demand expressed by
local proffesionals & farmers,
techniques & information products promoted for soil conservation and fertility management forsteep hillside farming systems insouth eastern Uganda. R7517

Efﬁcancy rotation with mixed
species fallows of leguiminous
shrubs and cover crops to meet
N needs of maize and otherfood crops established. R 7056

1996

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1997

1998

1999

2000

Outcomesfrom R.
7856 determined.
R 8494
Building
on R7515,
R7856
and
R7962,
communication
products
developed andpromotedin Kenyaand
Uganda
R8400

Micro credit for small holder rainfed
farming & its role in promoting uptake of
improved crop, soil and land management
techniques that can beneﬁt livelihoods
tested and validated in western Kenya.
R7962

2001

2002

2003

2004

2005

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

Stakeholders Analysis – Approaches
1.

Strategic approach

A strategic approach to stakeholder analysis – also called “stakeholder analysis” is used to support thedesign, implementation and evaluation of a proposed project. The main purpose of this approach is toassist in the design and evaluation of projects. Some donors now require a stakeholder analysis as anintegral part of project preparation. A good example is the UK’s Department of International Development (ODA, 1995). This
type of stakeholder analysis
includes the drawing up
of matrices or checklists
which show the interests ofthe stakeholders and what
they can contribute to theproject, as well as identifying risks for successfulproject implementation due
to conﬂicts between stakeholder interests and projectinterest. These risks canthen be included directly inthe logical framework of the
project. Based on these risks
and assumptions the desired
type of stakeholder participation in the various stagesof the project cycle is identiﬁed as well as strategies forconsensus building.
The steps that are usually followed in this approach are:1.

Draw up a list of stakeholders

2.

Identify the interests of the stakeholders identiﬁed, in relation to the project or problem
area

3.

Evaluate the importance and inﬂuence of the stakeholders, and the implications of thisfor the project4.

Evaluate the implications for cooperation between stakeholders and the risks to theproject represent ed by the diﬀerent interests

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CHAPTER 2
5.

2.

Determine which stakeholders should participate in the project, when and how.

Scenario approach

A scenario approach to stakeholder analysis is used to look at complex situations and predict future situations
and scenarios. It looks at conﬂict of interest between stakeholders and trade-oﬀs between objectives. The aim
is to improve the understanding of natural resource problems, structural changes and policy issues. Rather
than starting with a project, this approach looks ﬁrst at an agreed problem. By exploring the stakeholders’interests and objectives, it is possible to understand their behaviour. This approach is not used to facilitate
project design and implementation. The people using this approach must also take up an ‘outsiders’ position.

3.

Participatory approach

A participatory approach to stakeholder analysis is needed if it is to be used for facilitating dialogue andnegotiating among stakeholders. The analysis of stakeholders’ interest, perceptions, relationships, knowledge
and experience should be done by the stakeholders themselves. The researchers or staﬀ become facilitatorsand have a speciﬁc role. Stakeholders can then use participatory methods to understand their diﬀerent interests, views and values. They can better understand how well they are organized to deal with particular problems, or not. It also allows them to develop commitment for collective action in future.
One such approach is called RAAKS – or “Rapid Appraisal of Agricultural Knowledge Systems” (Engel andSalomon, 1997). RAAKS consists of looking at the process of innovation from the diﬀerent perspectives ofthe diﬀerent stakeholders, through a series of iterative “windows” grouped in three major phases:a)Deﬁning the problemb)

Analyzing constraints and opportunitiesc)Planning strategies and actions

The A phase - deﬁning the problem - can be subdivided into 5 windows:a)Deﬁne objectivesb)

Identify relevant stakeholdersc)

Evaluate the diversity of objectives of the stakeholdersd)Evaluate the environmente)Redeﬁne the problem

The B phase – analyzing constraints and opportunities – can be subdivided into 7 windows:a)Analysis of impactb)

Analysis of the stakeholdersc)Analysis of the information networksd)Analysis of integration

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UNESCOOverview of necessary tools to ensure a successful sti policy formulatione)Analysis of tasksf)Analysis of coordinationg)

Analysis of communicationh)Synthesis of social organization

The C phase – planning strategies and actions – consists of 3 windows:a)Analyzing the possibilities for actionb)

Analyzing stakeholder potential: who can do what?

c)

Making agreements for a plan of action.

Write shops
A write shop is a very intensive process aimed at bringing together a range of relevant stakeholders - alongwith desktop publishing specialists - to produce a publication in a very short time. Write shops are an excellent way of bringing together diﬀerent groups (scientists, extension personnel, NGO staﬀ, policymakers,
farmers) with diﬀerent perspectives on the subject. Written materials can be produced in a very short timeby people who do not have the time to write extensively. With suitable preparation, it is possible to produce
material ready for the printer within a few days of the end of the write shop itself. The process enables comments and revisions from other participants (analogous to the peer review in conferences).

Detailed Outline of the Write shop Process
Preparation Before the write shop, a steering committee lists potential topics and invites resource persons
to develop ﬁrst drafts on each topic, using guidelines provided. These participants bring the drafts and various reference materials with them to the write shop.
Draft 1
During the write shop itself, each participant presents his/her draft paper, using overhead transparencies ofeach page. Copies of each draft are also given to all the other participants, who critique the draft and suggest revisions. After the presentation, an editor helps the author revise the draft. An artist can draw illustrations to accompany the text. The edited draft and artwork are then desktop-published to produce a second
draft. Meanwhile, other participants also present papers they have prepared. Each, in turn, works with theteam of editors and artists to revise and illustrate the materials.
Draft 2Each participant then presents their revised second draft to the group, also using transparencies. Again, theaudience critiques the work and suggests revisions. After the presentation, the editor and artist) again help
revise the paper and develop a third draft.

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CHAPTER 2
Draft 3
Towards the end of the write shop, the third draft is made available to participants for ﬁnal comments andrevisions.

Finalizing
The ﬁnal version can be completed, printed and distributed soon after the write shop.
A Good Example: The International Institute of Rural Reconstruction (IIRR) in the Philippines has produced around 20 information materials on various topics relating to agriculture, the environment andhealth. The write shop process was pioneered at IIRR.
Force Field Analysis (Understanding the Pressures for and against Change)
Force Field Analysis is a useful technique for looking at all the forces for and against a decision. In eﬀect, it
is a specialized method of weighing pros and cons. By carrying out the analysis you can plan to strengthen
the forces supporting a decision, and reduce the impact of opposition to it.
How to Use the Tool:
To carry out a force ﬁeld analysis, you can follow these steps:a)Describe your plan or proposal for change in the middle.

b)

List all forces for the change in one column, and all forces against the change in another column.

c)Assign a score to each force, from 1 (weak) to 5 (strong).

Once you have carried out an analysis, you can decide whether your project is viable. Where you havealready decided to carry out a project, Force Field Analysis can help you to work out how to improve its
probability of success. Here you have two choices:1.

To reduce the strength of the forces opposing a project, or

2.

To increase the forces pushing a project

Often the most elegant

Maping Out

solution is the ﬁrst.

PolicyExercise

Focus
Group

This is because try-

Scenario
Analysis

ing to force change
through may cause its
own problems. People
can be uncooperative
if change is forced on

Participatory
mopdeling

Advisisng

Democratisation
Participatory
Planning

Citizens
Juriesthem.
Key points: Force Field
Analysis is a usefultechnique for looking

Page 42

Consensus
Conferences

Reaching Consensus

UNESCOOverview of necessary tools to ensure a successful sti policy formulation
at all the forces for and against a plan.
It helps you to weigh the importance of these factors anddecide whether a plan is worth implementing. Where you
have decided to carry out a plan, Force Field Analysis helps
you identify changes that you could make to improve it.

SWOT Analysis
SWOT analysis came from the research conducted at Stanford Research Institute from 1960-1970. The background to
SWOT stemmed from the need to ﬁnd out why corporate
planning failed. The research was to ﬁnd out what could
be done about this failure (Humphrey, 2004). The SWOT
analysis is an extremely useful diagnostic toolthat combines internal and external inﬂuences and can beused for understanding and decision-making for all sorts of situations in business and organizations. SWOT
is an acronym for Strengths, Weaknesses, Opportunities, and Threats (SW are internal & OT are external; forthis reason the SWOT Analysis is sometimes called Internal-External Analysis). The SWOT analysis headings
provide a good framework for reviewing strategy, position and direction of a company or business proposition, or any other idea. Completing a SWOT analysis is very simple, and is a good subject for workshop
sessions. SWOT analysis also works well in brainstorming meetings. SWOT analysis can be used for policy
planning, business planning, strategic planning, competitor evaluation, marketing, business and product development and research reports. In other words, SWOT analysis can be used for all sorts of decision-making,and the SWOT template enables proactive thinking, rather than relying on habitual or instinctive reactions.
The SWOT analysis is useful when a very limited amount of time is available to address a complex strategic
situation. To carry out a
SWOT Analysis, questions such as the following need to be answered:Strengths:a)What advantages does your company have?

b)

What do you do better than anyone else?

c)What unique or lowest-cost resources do you have access to?

d)What do people see as your strengths?

e)What factors mean that you “get the sale”?

Consider this from an internal perspective, and from the point of view of your customers and people in yourmarket. In looking at your strengths, think about them in relation to your competitors - for example, if all
your competitors provide high quality products, then a high quality production process is not a strength in
the market, it is a necessity.

Weaknesses:
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CHAPTER 2
Table 3: SWOT Analysis Template

Strengths

Weaknesses

•
•
•
•
•
•
•
•

•
•
•
•
•
•
•
•
•

•
•
•
•
•
•
•

Advantages of proposition?
Capabilities?
Competitive advantages?
USP’s (unique selling points)?
Resources, Assets, People?
Experience, knowledge, data?
Financial reserves, likely returns?
Marketing - reach, distribution,awareness?
Innovative aspects?
Location and geographical?
Price, value, quality?
Accreditations, qualiﬁcations,certiﬁcations?
Processes, systems, IT,
communications?
Cultural, attitudinal, behavioural?
Management cover, succession?

•
•
•
•
•
•

Disadvantages of proposition?
Gaps in capabilities?
Lack of competitive strength?
Reputation, presence and reach?
Financials?
Own known vulnerabilities?
Timescales, deadlines and pressures?
Cash ﬂow, start-up cash-drain?
Continuity, supply chain
robustness?
Eﬀects on core activities, distraction?
Reliability of data, plan
predictability?
Morale, commitment, leadership?
Accreditations, etc?
Processes and systems, etc?
Management cover, succession?

Opportunities

Threats

•
•
•
•

•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

•
•
•
•
•
•
•
•
•
•
•

Market developments?
Competitors’ vulnerabilities?
Industry or lifestyle trends?
Technology development andinnovation?
Global inﬂuences?
New markets, vertical, horizontal?
Niche target markets?
Geographical, export, import?
New USP’s?
Tactics - surprise, major contracts, etc?
Business and product development?
Information and research?
Partnerships, agencies, distribution?
Volumes, production, economies?
Seasonal, weather, fashion inﬂuences?

Page 44

Political eﬀects?
Legislative eﬀects?
Environmental eﬀects?
IT developments?
Competitor intentions - various?
Market demand?
New technologies, services, ideas?
Vital contracts and partners?
Sustaining internal capabilities?
Obstacles faced?
Insurmountable weaknesses?
Loss of key staﬀ?
Sustainable ﬁnancial backing?
Economy - home, abroad?
Seasonality, weather eﬀects?

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

CASE STUDYSCIENCE, TECHNOLOGY & INNOVATION (STI ) POLICY REVIEW OF ANGOLA. A PRESENTATION TO THE COMMISSION
ON SCIENCE AND TECHNOLOGY FOR DEVELOPMENT AT
ITS 2008 SESSION, GENEVA. BY UNCTAD (UNITED NATIONSCONFERENCE ON TRADE & DEVELOPMENT) SECRETARIAT.
HTTP://WWW.UNCTAD.ORG/SECTIONS/WCMU/DOCS/
ECN162008P15_EN.PDF
SWOT Analysis Template

Strengths

Weaknesses•

Political will•

Civil war legacy•

Democracy•

Food insecurity•

Financial resources•

Enclave FDI•

Raised STI proﬁle•Innovation•

Existing mechanisms for support•

Education system•

Statistical data

Opportunities

Threats•

Market Treands•

Regional uncertainty•

Vast diverse zone•

Oil market volatility•

Diaspora•

Weak linkages•

Competing

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CHAPTER 2a)What could you improve?

b)

What should you avoid?

c)

What are people likely to see as weaknesses?

d)What factors lose you sales?

Again, consider this from an internal and external basis: Do other people seem to perceive weaknesses
that you do not see? Are your competitors doing any better than you? It is best to be realistic now, andface any unpleasant truths as soon as possible.

Opportunities:a)

Where are the good opportunities facing you?

b)

What are the interesting trends you are aware of?

c)

Useful opportunities can come from such things as:d)Changes in technology and markets on both a broad and narrow scalee)Changes in government policy related to your ﬁeld

f)Changes in social patterns, population proﬁles, lifestyle changes, etc.

g)

Local events

A useful approach for looking at opportunities is to look at your strengths and ask yourself whether these
open up any opportunities. Alternatively, look at your weaknesses and ask yourself whether you could
create opportunities by eliminating them.

Threats:a)What obstacles do you face?

b)What is your competition doing that you should be worried about?

c)

Are the required speciﬁcations for your job, products or services changing?

d)

Is changing technology threatening your position?

e)

Do you have bad debt or cash-ﬂow problems?

f)

Could any of your weaknesses seriously threaten your business?

Carrying out this analysis will often be illuminating - both in terms of pointing out what needs to bedone, and in putting problems into perspective.

Page 46

UNESCOOverview of necessary tools to ensure a successful sti policy formulation

Communication Tools (communication strategy, message design & media relations)
Communications strategy
Communication strategy tries to document who information will be disseminated to, and received from, allstakeholders in the activity (e.g. policy, project or programme). It identiﬁes the means/medium and frequency of communication between the diﬀerent parties. It is used to establish and manage on-going communications throughout a policy process, programme or project.
Checklist of a communication strategy:
1)

Has the information given to stakeholders met their requirements?

2)

Has the information received from stakeholders met the programme/project owner’s requirements?

3)

Has all the necessary information been disseminated?

4)

Have the roles and responsibilities of the individuals involved in the communication strategy been
understood by them?

5)

Have these roles been carried out satisfactorily?

Suggested content:
1)

List of stakeholders and their information requirements

2)

Communication mechanisms to be used (such as written reports, seminars, workshops, videos, emails, newsletters)

3)

Key elements of information to be distributed by the diﬀerent mechanisms - including frequency andinformation collection and collation

4)

Roles and responsibilities of key individuals responsible for ensuring communication is adequate /appropriate and timely

5)

Identiﬁcation of how unexpected information from other parties (including stakeholders) will behandled within the scope of the activity.

How to write a Communication Strategy
Drawing up a communications strategy is an art, not a science and there are lots of diﬀerent ways of approaching the task. What is provided below is only a guide. Whether your communications strategy is designed for a speciﬁc policy or for your organizational strategy, it should establish the following:a)

Objectivesb)

Audiencesc)

Messagesd)Tools and activitiese)

Resourcesf)Timescalesg)

Evaluation and amendment

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Objectives Your objectives are the key to the success of your communications strategy. Your communications
activity is not an end in itself but should serve and hence be aligned with your objectives. Ask yourself what
you can do within communications to help you achieve the core objectives. Aligning your communications
and objectives will also help to reinforce the importance and relevance of communications and thereby makea convincing case for the proper sourcing of communications activity within your operational frameworkthat would otherwise be put towards communicating with key stakeholders.
Messages
Strategic targeting and consistency is the key to your messages. Create a comprehensive case covering all the
key messages, and emphasize the diﬀerent elements of the case for diﬀerent audiences.
To maximize impact you should summarize the case in three key points which can be constantly repeated.
Remember that communications is all about storytelling: use interesting narrative, human interest stories andarresting imagery.
Tools and activities
Identify the tools and activities that are most appropriate to communicating the key messages to the audiences. These will be suggested by your audiences, messages, or a combination of the two. For example, an annual
report is a useful tool in corporate communications whereas an email newsletter lends itself well to internal
communications. Ensure that you tailor your tools and activities to the level of time and human and ﬁnancial
resources available.
Resources and timescales
The key rules to observe are always to deliver what you promise and never over promise. Use your resources
and timescales to set legitimate levels of expectations and outline the case for more dedicated resources.
Evaluation and amendment Consider performing a communications audit to assess the eﬀectiveness of yourstrategy with both your internal and external audiences. You should use open questions with appropriate
prompts and benchmarks and, if possible, get someone independent to do the work. Consider and discuss theresults carefully and use them to amend your strategy.
Examples of audiences to consider are your staﬀ, funders, key political targets and media. Questions you
should consider asking are:a)

What do you read/see/hear?

b)

What works/doesn’t work?

c)What do you want to see more of?

Page 48

UNESCOOverview of necessary tools to ensure a successful sti policy formulationd)What information do you need that you are not currently supplied with?

e)

How often do you want us to communicate with you?

d)

What information do you need that you are not currently supplied with?

e)

How often do you want us to communicate with you?

While drawing up your strategy, you should involve your team, and on a smaller scale, the entire organization. Feed the communications strategy into the organizational strategy to ensure maximum alignment andeﬃciency.
Audiences
You should identify those audiences with whom you need to communicate to achieve your organizational
objectives. The best audiences to target in order to achieve an objective may not always be the most obvious ones, and targeting audiences such as the media may not always help achieve your objectives. Everyone
would like a higher media and political proﬁle, yet activities aiming towards this may ultimately be selfserving and only communications driven, with no wider impact. They can even have a negative eﬀect if you
dedicate resources

Message design tips
According to Metcalfe (2002) there are three questions we ﬁnd useful when shaping messages, whatever thecommunication tactic – from signage to presentations to media releases:
What do you want to get across to a particular audience?
This is the objective and content – and often as far as many people get in designing their message. If you really want to deliver messages that are both useful and clear then the next two questions are critical. What does
your audience want to know about your topic? How will they beneﬁt from listening to you? You may need to
do some audience research to answer this question properly, but it will ensure that what you say is relevant.
What could the audience get wrong about your topic unless you stress the correct information? Exploring
this question will help you to clarify your message and avoid misinformation. When you have considered
your answers to the above three questions (your answers to questions 2 and 3 should shape what you originally wrote), you are ready to design your core messages.
Shaping your message•

Find out what people want to know: What you think is important, and what others think is im

portant may diﬀer greatly. Communicating information you consider critical is important but you need to
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CHAPTER 2
consider the concerns of aﬀected or interested groups.
•

Acknowledge uncertainties: This will help your long-term credibility as well as helping to educate
people about the nature of the issue, and technical information available.

•

Put information into perspective: It is important not to raise expectations beyond what can be deliv
ered or to minimize risks. People require enough information to enable them to make personal deci
sions.

•Take care when simplifying information: A ﬁne balance needs to be maintained between providing
too much complex information and providing too little.

Public and Media Relations
Before you learn more about public and media relations, you should get a basic impression of what they are.
According to McNamara (2008) public relations includes ongoing activities to ensure the organization has
a strong public image. Public relations activities include helping the public to understand the organizationand its products. Similar to eﬀective advertising and promotions, eﬀective public relations often depends ondesigning and implementing a well-designed public relations plan. The plan often includes the following:•

description of what you want to convey to whom,•

how you plan to convey it,•

who is responsible for various activities and by when, and•how much money is budgeted to fund these activities.

•

Similar to advertising and promotions, a media plan and calendar can be very useful, which speciﬁes
what media methods that are used andwhen.
Often, public relations are conducted
through the media, which include newspapers, television, magazines, Internet, etc.
Organizations usually have little control
over the message in the media, at least, notas much as they do in advertising. Regarding publicity, reporters and writers decide
what will be said. Regarding public relations, consider:•

What groups of stakeholders do
we want to appeal to and how?

•

What impressions do you wanteach of your stakeholders to have?

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What communications media do they see or prefer the most?

•What media is most practical for you to use in terms of access and aﬀordability?

•

What messages are most appealing to each stakeholder group?

Consider advertising, collaborations, annual reports, networking, TV, radio, newsletters, classiﬁeds, displays/
signs, posters, word of mouth, direct mail, special events, brochures, neighborhood newsletters, etc.

Knowledge Management & Learning Tools
What is “knowledge”?
Knowledge can be deﬁned as a body of information. The body of information might consist of facts, opinions, ideas, theories, principles, and models (or other frameworks). Knowledge also refers to a person’s stateof being with respect to some body of information. These states include ignorance, awareness, familiarity,
understanding, facility, and so on.
Knowledge can be categorized in many diﬀerent ways. Knowledge may be classiﬁed according to form—for
example, as scientiﬁc/technical knowledge or organizational/managerial knowledge, as well as codiﬁed/explicit (which is knowledge that has been written down in the form of scientiﬁc articles, books, and patents =information) and tacit/implicit knowledge (which is the knowledge people acquire during their life, education and at their job) (Hall, Sulaiman, Clark, Sivamohan, and Yoganand, 2002). Knowledge economy requires
trained / skilled people at all levels (farmers, scientists, policymakers) that are continuously learning & innovating.
In traditional perceptions of the role of knowledge in business organizations, tacit knowledge is often viewed
as the real key to getting things done and creating new value. Not explicit knowledge. Thus we often encounter an emphasis on the “learning organization” and other approaches that stress internalization of information (through experience and action) and generation of new knowledge through managed interaction.
Sources of knowledge - Knowledge is not only created through formal research but also gained from experiences. Knowledge sources may be external to a given agent within an innovation system—for example, a scientiﬁc journal article documenting a laboratory breakthrough, or a neighbour who introduces one to a new
way of achieving something. Others include public research organizations, private laboratories, universities,
practices and behaviors of individuals, households, and civil society organizations (Clark, 2002).
Dimensions of Knowledge
Diﬀerent frameworks for distinguishing between knowledge exist. One proposed framework for categorising
the dimensions of knowledge distinguishes between tacit knowledge and explicit knowledge. Tacit knowledge
represents internalised knowledge that an individual may not be consciously aware of how he or she accomplishes particular tasks. At the opposite end of the spectrum, explicit knowledge represents knowledge that

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the individual holds consciously in mental focus, in a form that can easily be communicated to others (Alavi& Leidner 2001).
A second proposed framework for categorising the dimensions of knowledge distinguishes between embedded knowledge of a system outside of a human individual (e.g., an information system may have knowledge
embedded into its design) and embodied knowledge representing a learned capability of a human body’s
nervous and endocrine systems.
A third proposed framework for categorising the dimensions of knowledge distinguishes between the
exploratory creation of “new knowledge” (i.e., innovation) vs. the transfer or exploitation of “establishedknowledge” within a group, organisation, or community. Collaborative environments such as communities ofpractice or the use of social computing tools can be used for both knowledge creation and transfer.

What is knowledge management?

According to Barclay and Murray knowledge management can be deﬁned as a business activity with two
primary aspects:a)Treating the knowledge component of business activities as an explicit concern of business reﬂectedin strategy, policy, and practice at all levels of the organization.
b)
Making a direct connection between an organization’s intellectual assets — both explicit [recorded]
and tacit [personal know-how] — and positive business results.
In other words knowledge management (KM) comprises a range of practices used to identify, create, represent, distribute and enable adoption of insights and experiences. Such insights and experiences compriseknowledge, either embodied in individuals or embedded in organisational processes or practice.
In practice, knowledge management often encompasses identifying and mapping intellectual assets within
the organization, generating new knowledge for competitive advantage within the organization, making vast
amounts of corporate information accessible, sharing of best practices, and technology that enables all of theabove.
KM eﬀorts typically focus on organisational objectives such as improved performance, competitive advantage, innovation, the sharing of lessons learned, and continuous improvement of the organisation. KM eﬀorts
overlap with Organisational Learning, and may be distinguished from by a greater focus on the managementof knowledge as a strategic asset and a focus on encouraging the exchange of knowledge. KM eﬀorts can help
individuals and groups to share valuable organisational insights, to reduce redundant work, to avoid reinventing the wheel per se, to reduce training time for new employees, to retain intellectual capital as employees turnover in an organisation, and to adapt to changing environments and markets (McAdam & McCreedy
2000; Thompson & Walsham 2004).

Why do we need to manage knowledge?

Ann Macintosh of the Artiﬁcial Intelligence Applications Institute (University of Edinburgh) has written a“Position Paper on Knowledge Asset Management” that identiﬁes some of the speciﬁc business factors, including:a)Marketplaces are increasingly competitive and the rate of innovation is rising.

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UNESCOOverview of necessary tools to ensure a successful sti policy formulationb)

Reductions in staﬃng create a need to replace informal knowledge with formal methods.

c)Competitive pressures reduce the size of the work force that holds valuable business knowledge.

d)

The amount of time available to experience and acquire knowledge has diminished.

e)

Early retirements and increasing mobility of the work force lead to loss of knowledge.

f)There is a need to manage increasing complexity as small operating companies are trans-nationalsourcing operations.

g)Changes in strategic direction may result in the loss of knowledge in a speciﬁc area.

To these paraphrases of Macintosh’s observations Barclay and Murray added that:a)
Most of our work is information based.
b)

Organizations compete on the basis of knowledge.

c)

Products and services are increasingly complex, endowing them with a signiﬁcant information com
ponent.
The need for life-long learning is an inescapable reality.

d)

In other words, knowledge and information have become the medium in which business problems occur. As
a result, managing knowledge represents the primary opportunity for achieving substantial savings, signiﬁcant improvements in human performance, and competitive advantage

Categorization of knowledge management approaches

There are many ways to slice up the multi-faceted world of knowledge management. However, it’s often useful to categorize them. In a posting to the Knowledge Management Forum, Karl-Erik Sveiby identiﬁed two“tracks” of knowledge management:a)Management of Information. To researchers in this track, according to Sveiby, “… knowledge = Ob
jects that can be identiﬁed and handled in information systems.”b)Management of People. For researchers and practitioners in this ﬁeld, knowledge consists of “… proc
esses, a complex set of dynamic skills, know-how, etc., that is constantly changing.”

However, Barclay and Murray made important distinctions in approaches to organizational knowledge management. They proposed a three-part categorization:(1) Mechanistic approaches,(2) Cultural/behaviouristic approaches, and(3) Systematic approaches to knowledge management.

Mechanistic approaches to knowledge management

Mechanistic approaches to knowledge management are characterized by the application of technology andresources to do more of the same better. The main assumptions of the mechanistic approach include:

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1.

Better accessibility to information is a key, including enhanced methods of access and reuse of docu
ments (hypertext linking, databases, full-text search, etc.)

2.

Networking technology in general (especially intranets), and groupware in particular, will be key
solutions.

3.

In general, technology and sheer volume of information will make it work.

Cultural/behaviouristic approaches to knowledge management

Cultural/behaviouristic approaches tend to view the “knowledge problem” as a management issue. Technology — though ultimately essential for managing explicit knowledge resources — is not the solution. These
approaches tend to focus more on innovation and creativity (the “learning organization”) than on leveraging
existing explicit resources or making working knowledge explicit.

Assumptions of cultural/behaviouristic approaches often include:
1.
2.

Organizational behaviors and culture need to be changed. In our information-intensive environ
ments, organizations become dysfunctional relative to business objectives.
Organizational behaviors and culture can bechanged, but traditional technology andmethods of attempting to solve the “knowledgeproblem” have reached their limits of eﬀective
ness. A “holistic” view is required. Theories of behavi uor of large-scale systems are often in
voked.
3. It’s the processes that matter, not the technology.
4. Nothing happens or changes unless a manager
makes it happen.

Systematic approaches to knowledge
management

Systematic approaches to knowledge manag
ment retain the traditional faith in rational
analysis of the knowledge problem: the problem canbe solved, but new thinking of many kinds is required. Some basic assumptions:1.

It is sustainable results that matter, not the proc
esses or technology or your deﬁnition of “knowl
edge.”

2.

A resource cannot be managed unless it is mod
eled, and many aspects of the organization’s
knowl edge can be modeled as an explicit resource.

3.

Solutions can be found in a variety of disciplines and technologies, and traditional methods of analy
sis can be used to re-examine the nature of knowledge work and to solve the knowledge problem.

4.

Cultural issues are important, but they too must be evaluated systematically. Employees may or may
not have to be “changed,” but policies and work practices must certainly be changed, and technology
can be applied successfully to business knowledge problems themselves.
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UNESCOOverview of necessary tools to ensure a successful sti policy formulation5.

Knowledge management has an important management component, but it is not an activity or disci
pline that belongs exclusively to managers.

Policy Inﬂuence mapping Tools: [power mapping, lobbying and advocacy,
campaigning, and DPSIR framework.]
Power Mapping:Someone who is interested and involved in promoting positive social changes, through service, advocacy
and other vehicles, often needs to think about context and relationships within the spheres she/he works.
Power mapping is a framework for addressing issues and problem solving through leveraging relationships
and networks. It is a conceptual strategy of determining whom you need to inﬂuence, exactly who can inﬂuence your target, and whom you can actually inﬂuence to start the dominoes in motion. This framework isbased on the assumption that networks of relationships (between individuals, organizations, institutions, etc.)
are critical resources, and that stronger networks yield stronger solutions. It is a valuable tool for individuals
actively working with communities, providing a simple framework and a set of tools to better understand andleverage relationships and networks. This process helps to teach participants the value of relational power as
an important dynamics in social organizing.

Steps to Power Mapping (Source: Bonner Curriculum: Power Mapping).
Step 1: Problem location: You can map around a problem, policy or a person or institution you think cansolve a problem. Identify a particular problem, policy or issue.
Step 2: Map major institutions: Identify key decision-making institutions or associations that are related tothat problem. Write these names on the newsprint in a ring around the problem.
Step 3: Map individuals associated with the institutions: Put the names of 2-3 individuals who are associat
ed with each of those institutions in the second ring (moving out concentrically) around the problem.
These can be people you know or don’t know.
Step 4: Map all other associations with these individuals: Think about people they know connected to thesekey individuals. The purpose of this is to help identify easier ways to access the individuals or institu
tions that could help solve the problem, by tapping into existing relationships between people. At thisstep, you can note any relationships that members in the group have with the people listed and any
information you have about them.
Step 5: Determine relational power lines: The next step is to step back and conceptually review the
networks that the group has mapped out. You can do this by drawing lines connecting people andinstitutions that have relations to each other. Some people will have many connections while others
may not have any.
Step 6: Target priority relationships: Analyze some of the relationships and connections elaborated andmake some decisions. One way to do this is to circle the few people that have the most relational

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power lines drawn to them. Another thing to consider may be a person or institution in the map that
doesn’t necessarily have many diﬀerent relational lines running to him/her/it but nonetheless has a
few critical ones and seems to hold a lot of inﬂuence.
Step 7: Make a plan: The next step is to create some action steps for what to do. What will people do next?
Create 3-5 steps.

Lobbying

Lobbying is the practice of inﬂuencing decisions made by government. It includes all attempts to inﬂuencelegislators and oﬃcials, whether by other legislators, constituents or organized groups. A lobbyist is a person
who tries to inﬂuence legislation on behalf of a special interest or a member of a lobby (Random House Unabridged Dictionary, 2006).
It can be argued that lobbying is undesirable because it allows people with particular interests which represent a minority to gain special access to law-makers and through contributions and favors have controversial
relationships with representatives. This is a danger to democracy as described in Article 22 of the Federalist
Papers. Though many see lobbying as a potential corruption to the system, others disagree. According to CTA(2002) lobbying and advocacy mainly aim to convince government oﬃcials and members of parliament tomake changes in laws, or to inﬂuence public opinion about an issue.

Advocacy

Advocacy is the pursuit of inﬂuencing outcomes — including public-policy and resource allocation decisions
within political, economic, and social systems and institutions — that directly aﬀect people’s current lives.
Therefore, advocacy can be seen as a deliberate process of speaking out on issues of concern in order to exert
some inﬂuence on behalf of ideas or persons. However, advocacy has many interpretations depending on theissue at stake, which can be diﬀerent from this initial value-neutral deﬁnition. Forms of advocacy There areseveral forms of advocacy. One of the most popular forms is social justice advocacy. Although it is true, theinitial deﬁnition does not encompass the notions of power relations, people’s participation and a vision ofa just society that promoted by social justice advocates. For them, advocacy represents the series of actions
taken and issues highlighted to change the “what is” into a “what should be”.
Those actions, which vary with the political, economical and social environment in which they are conducted, have several points in common. They:•
question the way policy is administered•participate in the agenda setting as they raise signiﬁcant issues•
target political systems “because those systems are not responding to people’s needs”•
are inclusive and engaging•
propose policy solutions•
open up space for public argumentation.

Some of the other forms of advocacy include:
1.
2.
3.

Ideological advocacy: in this approach, groups ﬁght, sometimes during protests, to advance theirideas in the decision-making circles.
Mass advocacy: is any type of action taken by large groups (petitions, demonstrations, etc.)
Interest-group advocacy: lobbying is the main tool used by interests groups doing mass advocacy. It is
a form of action that does not always succeed at inﬂuencing political decision-makers as it requires

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resources and organisation to be eﬀective.
4.

Bureaucratic advocacy: people considered “experts” have more chance to succeed at presenting theirissues to decision-makers. They use bureaucratic advocacy to inﬂuence the agenda, however at a
slower pace.

5.

Legislative advocacy: legislative advocacy is the “reliance on the state or federal legislative process” aspart of a strategy to create change.

6.

Media advocacy: This is the strategic use of the mass media as a resource to advance a social or public
policy initiative. In Canada for example, the Manitoba Public Insurance campaigns illustrate how
media advocacy was used to ﬁght alcohol and tobacco-related health issues.

7.

In a legal/law context: An ‘advocate’ is the title of a speciﬁc person who is authorized/appointed (insome way) to speak on behalf of a person in a legal process.

8.

In a political context: An ‘advocacy group’ is an organized collection of people who seek to inﬂuencepolitical decisions and policy, without seeking election to public oﬃce.

9.

In a social care context: Both terms (and more speciﬁc ones such as ‘independent advocacy’) are usedin the UK in the context of a network of interconnected organisations and projects which seek to ben
eﬁt people who are in diﬃculty (primarily in the context of disability and mental health).

10.

In the context of inclusion: Citizen Advocacy organisations (citizen advocacy programmes) seek tocause beneﬁt by reconnecting people who have become isolated. Their practice was deﬁned in two key
documents: CAPE, and Learning from Citizen Advocacy Programs. See Citizen Advocacy organisa
tions.

Advocacy groups
Advocacy is led by advocates or, when they are organized in groups as is the case most of the time, advocacy
groups. Advocacy groups are diﬀerent from political parties which “seek to inﬂuence government policy bygoverning.” They are “any organization that seeks to inﬂuence government policy, but not to govern.” Thisdeﬁnition includes social movements, sometimes network of organizations which are also focused on encouraging social change.
Social movements try to either inﬂuence governments or, like the environmental movement, to inﬂuencepeople’s ideas or actions.
a)Today, advocacy groups contribute to democracy in many ways. They have ﬁve key functions:b)

Give a voice to (misrepresented) citizen interests

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CHAPTER 2c)Mobilize citizens to participate in the democratic processd)Support the development of a culture of democracye)Assist in the development of better public policyf)Ensure governments’ accountability to citizens.

Transnational advocacy
Transnational advocacy refers to advocacy beyond countries’ borders. The phenomenon of globalization
draws a special attention to this type of advocacy. The core existence of networks such as World Advocacy or
the Advocacy Institute demonstrates the increasing importance of transnational advocacy and international
advocacy. Transnational advocacy networks are more likely to emerge around issues where external inﬂuenceis necessary to ease the communication between internal groups and their government.
Campaigning
Campaigns have been deﬁned in various ways, but basically a campain involves coordinated use of diﬀerent
methods of communication and education aimed at focusing attention on a particular problem, and its solution, over a period of time. A campain may take many forms (such as the charity campaign, sales campaign,
political campaign or image –type campagn).
Outline for a Campaign Plana)Analysis :a.
Topic;
b.
Situation;c.
Audience;d.
Sponsoring organizationb)Statement of Objectivesc)
The Plan:a.
Massage contentb.
Media and methodsc.
Timingd.
Schedule of activities and responsibilitye.
Evaluation strategies (during and after the campaign)f.
Budget

The following media can be used for campaigns:a.
Newspapers: ‘Africa-the garbage dump for Europe’b.
Posters: ‘Deadly danger to our health, our producers, our economy’c.
Audio-visual documentary and ‘white paper’d.
International seminare.
Advocacy and lobbying activitiesf.
Mobilization-collective actiong.
Pre-election timing
Campaign message
The message of the campaign is what ideas that the candidate wants to share with the audiance. For instance,
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UNESCOOverview of necessary tools to ensure a successful sti policy formulationin political campaigns, the message often consists of several talking points about policy issues. The points
summarize the main ideas of the campaign and are repeated frequently in order to create a lasting impression
with the audience.

DPSIR framework for State of Environment Reporting.

According to the Global International Water Assessment (GIWA) (2001) The DPSIR (Driving Forces-Pressures-State-Impacts-Responses) framework is used to assess and manage environmental problems.
Driving forces are the socio-economic and socio-cultural forces driving human activities, which increase or
mitigate pressures on the environment.
Pressures are the stresses that human activities place on the environment such as waste water.
State, or state of the environment, is the condition of the environment such as assessment of water or air quality.
Impacts are the eﬀects of environmental degradation such as biodiversity loss or economic damage.
Responses refer to the responses by society to the environmental situation such as cleaner production, regulations.

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CHAPTER 2This graphic below explains the DPSIR process

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UNESCOCHAPTER 3
INSTITUTIONAL ASPECTS OF STI POLICY MAKING IN AFRICA
THIS CHAPTER WILL DISCUSS NECESSARY INSTITUTIONAL ARRANGEMENTS FOR SUCCESSFULSTI POLICY FORMULATION IN AFRICAN COUNTRIES;•KEY SECTORS TO CONSIDER (RESEARCH, INDUSTRY, EDUCATION, INFRASTRUCTURE,
THE ENVIRONMENT, ETC.) AND THE INTERACTIONS BETWEEN THEM;•

FROM SECTOR BASED POLICIES TO INNOVATION SYSTEMS BASED POLICIES; CONSTRAINTS AND OPPORTUNITIES, ETC.

•

INTERACTIVE QUESTIONS AND ANSWERS – DESIGNED TO TEST THE TRAINEES’ COM
PREHENSION OF THE INSTITUTIONAL ARRANGEMENT FOR STI POLICY, KEY ACTORSAND THE SHIFT FROM SECTOR BASED POLICIES TO INNOVATION SYSTEM.

I

Institutional arrangement for successful STI policy formulation

nstitutional arrangements refer to agreements and organizational structures both within science, technology, and innovation (STI) agencies and between them. This can include forums that regularly bring
together STI planners and operations practitioners as well as agreements that promote involvement ofmanagement and operations practitioners in planning processes, or that promote a regional or interPage 61

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agency planning perspective within an operations environment. Institutions include rules and regulations
guiding STI policy formulation
New institutional arrangements are created for a number of reasons. This can include:•

the occurrence of a seminal event such as major national events;•

the introduction of new STI programs and policies;•

the response to new State or Federal mandates on STI; or•

to take advantage of new innovation of S&T.

Africa’s sluggish progress in meeting with formidable STI policy and Millennium Development Goals has
been attributed to inadequate capacity and poor institutional support systems (ATPS, 2007).
The important questions that could be used to address institutional issues in STI policy making in African
context are:•
What are the basic needs, strengths and resources of the region/country as the case may be?
•

How can S&T be applied to harness a country’s material base and wealth?

•

Which sectors and in what order should a country stake it’s ﬁnancial and S&T resources?

•

What are a country’s most urgent priority areas for technological skills and which are the best models
and facilities to provide?

•

How can S&T assist a country rationalize the scarce resources and balance its socio economic impera
tives?

•

What strategies should a country’s government and private sectors employ to enhance development ofscience and technology?

Building Institutional Arrangements

Some common strategies have emerged for building institutional arrangements that can better linkplanning and operations of agencies involved in STI.
Changing institutional relationships and behaviour
is a tremendous challenge and requires a sustained
eﬀort. But laying the groundwork for such change isvery important. Centers of excellence can be virtual
institutions, encompassing networks of scientists
from diﬀerent institutions in the same country oreven from diﬀerent countries. The important point isthat scientists join forces to work on a common set ofproblems. Physical facilities to support the work willundoubtedly be required. But this is not the same as
expecting that every scientist and researcher aﬃliatedwith a center of excellence has to reside in the same
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place or work in the same laboratory. Nor does it mean that only those scientists aﬃliated with a speciﬁc
institution can be considered part of a center of excellence.
It makes little sense to build STI capacity if the legal, institutional, regulatory, ﬁnancial, and economic conditions deter farmers, entrepreneurs, and investors from investing and innovating (World Bank, 2008). According to the US Department of Transportation (2008), the following approaches can highlight opportunities forexisting institutions to better coordinate planning and operations and prompt leaders to consider where new
institutional arrangements may be needed in STI policy making.

Designate an STI Stakeholder Forum on Regional Management and Operations
An increasing number of STI Stakeholder Forum could support interagency committees that deal directly
and regularly with the management and operations of regional STI systems. In hosting such committees, theSTI Stakeholder Forum facilitates a vital forum where inter-jurisdictional coordination, funding strategies,
and data sharing can be addressed. In addition, the STI Stakeholder Forum can use the committee’s diverse
operations expertise to inform management and operations issues in national/regional planning documents
and in the STI Stakeholder Forum’s annual work program.

Attract Stakeholders with Speciﬁc Regional Operations Programs
One way to achieve greater stakeholder participation in Stakeholder Forums is to focus discussions on speciﬁc operations concerns. This makes it clear to both operations practitioners and policy makers when theforum is within their area of expertise. Diﬀerent agencies involved in STI shall be responsible for the achievement of speciﬁc mandates.
Having identiﬁed the key stakeholders and organizations in STI policy making process, other issues to consider in the system mapping will include; the roles they should play, their skills and competencies; the missing link (actor and or competence); policies required to change the role of the public sector or to encourageothers to play diﬀerent roles or play existing roles more eﬀectively; the extent of linkage between organizations, the nature of the linkage and how they support each other.
Capacity building in STI needs to be revived and incorporated into agriculture and rural development, environment, education, training, private sector development, and infrastructure programs.

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Key sectors that may play important roles in STI policy making in Africa can be found in Figure 1 below:

Research &Developement
Industry

Education

Environment

STI HUB

Infrastracture

Private Sector

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Involve Regional/National Operations Forums in the Planning Process
There is the need to involve both regional and national STI operations collaborations which increasingly oﬀer
forums for integrated operations in policy making. They often provide a unique opportunity to bring together the public and private agencies that assist in planning and decision-making in issues relating to STI.
Beyond oﬀering a forum for coordination on operations issues, regional operations collaborations could
ensure coordinated inter-agency operations in STI planning process to address challenges over the longerterm. These organizations could function in integration of personnel from multiple agencies into focused
STI program implementation teams; integration of equipment through sharing of infrastructure, equipment,
personnel, data, and other transferable resources; and source of funding for coordinated operations activities,
both through pooled funds from participating agencies and through direct State, Federal, and Regional funding awards.

Reinforce Institutional Links by Integrating Operations into Project Design and Decision-making Process
Key stakeholders and operations practitioners in STI should be involved in project design and decisionmaking process at the earliest possible stage in order to ensure that policies that emanate thereof are mostrational, practicable, and do not conﬂict with regional/national operations strategies. Institutional relationships between planning and operating agencies are supported when practitioners collaborate during the earlystages of the project development process.

Key sectors to consider in STI policy and the interactions between them
ResearchResearch, which is a human activity based on intellectual application in the investigation of matter, aims at
the discovering, interpreting, and development of methods andsystems for the advancement of human knowledge on a wide
variety of scientiﬁc matters of our world. The key role ofresearch in STI policy therefore will be in the development of critical mass of science, technology and innovations suitable and relevant to the varied needs ofhumanity and which will be sustainable.

Industry
Industry refers to any kind of economic manufacturing
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UNESCOInstitutional aspects of STI policy making in africa
primary sector, largely raw material extraction industries such as mining and farming; the secondary sector,
involving reﬁning, construction, and manufacturing; the tertiary sector, which deals with services (such as
law and medicine) and distribution of manufactured goods; and the quaternary sector, a relatively new typeof knowledge industry focusing on technological research, design and development such as computer programming, and biochemistry. The key role of the industry therefore will be mainly in the production of STI
in form of goods and services for the betterment of humanity.

Education
Education is the process by which society deliberately transmits its accumulated knowledge, values, and skills
from one generation to another through institutions. This could be achieved through the diﬀerent levels of
education including primary, secondary, tertiary, adult, alternative, and indigenous education. Education’srole in STI is therefore to communicate and inform a wide range of audience on issues of STI which is transferred from one generation to another. It is therefore a very critical stakeholder in STI policy.

Infrastructure
Infrastructure refers to the basic physical and organizational structures needed for the operation of a society
or enterprise, or the services and facilities necessary for an economy to function. These structures support
a society and may include roads, water supply, sewers, power grids, telecommunications, schools, markets,
hospitals and so forth. Infrastructural facility is therefore a critical factor in STI policy because they provide
the necessary structures on which other stakeholders can function. Infrastructure provides a foundation forbusiness development as well as technological innovation (AAAS, 2009).

Environment
The environment encompasses all living and non-living things occurring naturally on earth or some region
thereof. It primarily refers to the ecological dimensions, but can also take account of social and economic
dimensions. STI policy can therefore only function under a conducive environment where actions are deliberately taken (or not taken) to manage human activities with a view to prevent, reduce or mitigate harmful effects on nature and natural resources, and ensuring that man-made changes to the environment do not have
harmful eﬀects on humans.

Government
Another major actor in the STI policy is the government which has authority and function to make and thepower to enforce laws, regulations, or rules. This singular role makes them signiﬁcant in STI policies of any
country or region. Typically, government refers to a civil government - local, state, or national but can also
include commercial, academic, religious, or other formal organizations that are governed by internal bodies.
Need for interaction between Actors

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All the key actors do not function in isolation. For an eﬀective and eﬃcient STI policy to be in place there isneed for linkages and synergies between all the key actors. This is because an actor may depend on anotheractor in order to achieve its objectives. For example, infrastructure facilitates the production of goods andservices. More speciﬁcally, roads (infrastructure) enable the transport of raw materials to a factory (industry),
and also for the distribution of ﬁnished products to markets. The industry and research sectors depend on
manpower produced by the educational sector in order to function while the industry depends on the research sector for their innovations, all interacting in a given human and material environment and under theambient of government laws, rules and regulations.
Therefore, bringing innovative ideas to market involves complex inter-linkages among industry, research,
infrastructure, academia, and government within multiple overlapping “innovation ecosystems” (NAS, 2009).
This ecosystems approach emphasizes the importance of creating and improving institutions to interweave
the diﬀerent parts of a nation’s innovation system. In the context of African countries, innovation can provide
a channel to both increase growth and reduce poverty. By applying knowledge in new ways to production
processes, more, better, or previously unavailable products can be produced at aﬀordable prices. Public policies to enhance pro-growth STI include improving higher education and creating new public–private partnerships as well as pursuing broad economic reforms that create the appropriate environment for investment
in and commercialization of research.

Shift from Sector based policies to innovation systems based policies; constraints and opportunities
Sector-based policies are characteristically noted for their unilateralism and are reductionist in approach.
This makes it diﬃcult to accommodate and consider what is done in other sectors no matter how closely related or inter-dependent they are. The approach has been the case of many African countries and has aﬀected
their overall performance and outputs. Innovation system stresses that the ﬂow of technology and information among people, enterprises and institutions is key to an innovative process. It contains the interaction
between the actors who are needed in order to turn an idea into a process, product or service on the market.
The innovation system model synthesizes and deﬁnes the core elements of innovation, their behavior and interaction. The power of this model makes it easier to understand complex issues and dynamics of innovation,
separate its elements and examine them is greater depth. It establishes a framework that helps to demystify
the innovation process and its driving forces, to reveal the unique innovation practices of market champions and understand what makes them so successful and unique. In order words, innovation systems policies
seeks to consider actors in the system, their characteristics, and what it takes them to function optimally in asynergistic manner.

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In an African context, moving from the sector based approach to the innovation system based approach will
dislodge some structures in the short term but will achieve much that is desired in the long run. This is because the transition to promoting innovation systems requires a total change in mindsets and in strategies fordoing the usual business. In most cases, African managers are not prepared to embrace this change becauseof the imminent status change that accompanies the restructuring. Again, some capabilities are usually required to accomplish this change and in some cases are lacking or inadequate in our system. Also, to change
from the sector based approach to the innovation system approach, policies at the sector level will need to bemerged, changed entirely, or discarded in order to achieve the later vision. This might generate some show ofpower and authority among the diﬀerent sectors involved even when such policies have only been duplicatedbefore.
For example, policies that promote the production of goods and services in the agricultural sector might justbe the same for policies that equally promote the production of goods and services
in the industry sector. Therefore, harmonizing these policies in an innovation system approach will deﬁnitely
lead to better interactions and production of goods and services by the diﬀerent sectors.

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QUESTIONS
Q1. WHAT IS INSTITUTIONAL ARRANGEMENT?
ANS1. INSTITUTIONAL ARRANGEMENTS REFER TO AGREEMENTS AND
OR GANIZATIONAL STRUCTURES BOTH WITHIN SCIENCE, TECHNOLOGY,
AND INNOVATION (STI) AGENCIES AND BETWEEN THEM.
Q2. WHY DO YOU NEED INSTITUTIONAL ARRANGEMENTS IN STI?
ANS2. FOR SEMINAL EVENT SUCH AS MAJOR NATIONAL EVENTS; THE
IN TRODUCTION OF NEW STI PROGRAMS AND POLICIES; THE RESPONSE
TO NEW STATE OR FEDERAL MANDATES ON STI; OR TO TAKEADVANTAGE OF NEW INNOVATION OF S&T.
Q3. WHAT ARE THE KEY STAKEHOLDERS IN STI POLICY?
ANS3. KEY STAKEHOLDERS IN STI POLICY INCLUDE RESEARCH, EDUCA
TION, INDUSTRY, INFRASTRUCTURE, GOVERNMENT, TRAINING, PRIVATESECTORS, ENVIRONMENT, NGOS, ETC.
Q4. WHAT IS INNOVATION SYSTEM?
ANS4. THE CONCEPT OF THE INNOVATION SYSTEM STRESSES THAT THE
FLOW OF TECHNOLOGY AND INFORMATION AMONG PEOPLE,
ENTERPRISES AND INSTITUTIONS IS KEY TO AN INNOVATIVE PROCESS.
IT CONTAINS THE INTERACTION BETWEEN THE ACTORS WHO ARE
NEEDED IN ORDER TO TURN AN IDEA INTO A PROCESS, PRODUCT ORSERVICE ON THE MARKET.
Q5. WHY DO YOU NEED INNOVATION SYSTEMS APPROACH RATHER THAN
SECTOR BASED APPROACHES?
ANS5. INNOVATION SYSTEMS POLICIES SEEK TO CONSIDER DIFFERENTACTORS IN THE SYSTEM, THEIR CHARACTERISTICS, AND WHAT MAKES
THEM FUNCTION OPTIMALLY IN A SYNERGISTIC MANNER?

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PUBLIC ENGAGEMENT IN STI POLICY FORMULATIONTHIS CHAPTER DEALS WITH THE FOLLOWING:
•
•
•
•
•
•
•

OBJECTIVES OF PUBLIC ENGAGEMENT
BASIC PRINCIPLES OF PUBLIC INVOLVEMENTTYPES OF PUBLIC INVOLVEMENTSTANDARDS FOR PUBLIC INVOLVEMENTBENEFITS OF PUBLIC INVOLVEMENTCHALLENGES TO PUBLIC INVOLVEMENTVALUE OF PUBLIC INVOLVEMENT IN EVALUATION

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P

What is Public Engagement or involvement?
ublic engagement or involvement is the process of two-way communication between citizen andgovernment by which government oﬃcials give notice and information to the public and use
public input as a factor in decision making. The model assumes that public input into the assessment of needs and solutions is a key factor in most decision making. Hence the need to obtain

documented input from the public, interest groups, environmental agencies, and citizen groups, electedoﬃcials and others who have participated in the planning processes, and a structure for providing responses
to issues, concerns, and questions raised by individuals and groups. In general, the purpose of the Public
Involvement Program (PIP) in STI policy formulation is to identify ways in which the public may participate
in the STI policy formulation planning process.
Evidence of public concern about science, technology and innovation has a long history (see, for example,
Mitcham and Mackay 1983; and Holton 1993). However, the need to involve the public more explicitly indecision making has been increasingly recognised (see, Irwin 1995; Buckingham-Hatﬁeld and Percy 1999).
To date there is no one, accepted, correct method to ensure eﬀective public engagement in policy formulation.
However, all these innovative forms of public involvement and dialogue share two characteristics:
1.

They are deliberative: participants interact, engage in considered debate and modify theirviews based on information, shared views and respect for diﬀerent perspectives.

2.

They are inclusive: that is they seek out the views of all that stand to be aﬀected by the decision, in particular, opinions are canvassed from previously excluded or hard to reach groups.

Ensuring that public engagement is eﬀective rests on three main elements:
1.

Objectives: setting out why public involvement is being sought. Where objectives are clearlystated and agreed the process engenders greater trust and is more likely to have a positive
outcome. Some institutions have been accused of engaging in dialogue simply because theyfelt they ought to do so, equally there is a suspicion that dialogue is at times used cynically tolegitimize previously determined ends.

2.

Legitimacy: ensuring the process is acceptable. It is important that the process adopted is seen
as fair by all participants. Too often participants suspect that their views may be ignored. Con
sequently it is important that clear links be established between public involvement and decision making.

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3.

Evaluation: identifying the quality of the process. The process of public involvement adopted
should ﬁt its purpose. It is important that consensus not be forced and that dialogue shouldtake place at an appropriate time in the decision making cycle. Public engagement should
involve appropriate people. This hinges on the objectives of the particular public involvement
process. For example, there may be a particular need to involve the disabled or other diﬃcult
to reach groups. Successful dialogue also appears to require an appropriate skills base andsuﬃcient resources. To be eﬀective, there must be enough trained process designers andfacilitators, and clients with the information necessary to recognize their own needs andwork eﬀectively with practitioners. Public involvement can take time and imposes ﬁnancial
costs.

However failure to engaging public heightens the risk of political, environmental, economic, ethical andsocial disasters, so that the cost of inaction may easily outweigh any other costs involved. (Twenty-ﬁve yearsof work by the United States Protection Agency, to develop environmental indicators was subsequently discarded as a result of the rejection of the indicators by the public. The work was subsequently re-initiated withpublic dialogue.
Objectives of Public Involvement in STI Policy Making
Although the practice of public involvement is evolving, during the past two decades consensus has emerged
about some fundamentals of good practice, including objectives, guiding principles, and general notions
about how to select tools for particular processes.
We often focus on process when we discuss public involvement, but the key objectives of good public involvement revolve around outcomes. Ultimately, the reason to use a decision model that incorporates public
involvement in STI policy making is to improve the decisions. In this context, a good decision is one that not
only incorporates good planning and engineering practices and results in eﬃcient use of resources but also
best reﬂects the interests of all stakeholders.
One important objective of a good public involvement process is the extent to which the process builds
consensus on the path to decision. In exchange for participation in a fair and open process, citizens often are
willing to support the outcome of the process even if their preferred alternative is not selected. This result,sometimes known as “informed consent,” is the desired outcome on highly controversial projects. It allows
projects to move forward even though all stakeholder desires are not accommodated. Involving citizens without informing them is dangerous.
Another objective of a good public involvement process in STI policy making is to inform citizens about issues, projections, the planning process, and budgetary and engineering constraints.

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A good public involvement process must also have as an objective the incorporation of citizen input into thedecision process. A “black box” that has public involvement inputs but no clear eﬀect on the outputs is not a
successful public involvement program. The STI policy decision-making process must be open and clear andmust reﬂect citizen input.

Basic Guiding Principles of public involvement (Principles for successful application of
public involvement techniques in STI policy making)
Several general principles guide a successful public involvement eﬀort in STI policy making. These include
the followings:
1.

When designing a good STI public involvement programs, distinguish public involvement frompublic relations and public information. Although the three are linked, their purposes are diﬀerent.
A public information campaign is a form of one-way communication between the agency and the
public, generally striving to inform the public about ongoing issues or developments. Public relations
programs usually involve the dissemination of information, but their emphasis is on the promotion ofa particular policy or solution.

2.

STI public involvement programs include many elements of both public information and public
relations, but they add another dimension. Essential to a good STI public involvement program isdynamic two-way communication, which promotes public feedback and uses that feedback to transform the decision process and outcome. Ideally, a public involvement practitioner acts as an “honest broker”—informing citizens about various options and constraints, providing opportunities for
citizens’ voices to be heard, and mediating diﬀerences. Practitioners who keep these distinctions inmind can avoid the pitfalls involved in “selling” a policy or a program. They also can avoid violating
legislative or agency structures against advocacy or lobbying.

3.

STI public involvement programs should be inclusive, involving decision makers and all interested
stakeholders. STI public involvement programs should include as many groups and individuals in
the community as practicable. Many of these groups and individuals will surface easily because they
are interested in the decision outcome. Some groups and individuals are more diﬃcult to reachbecause of cultural or economic isolation or because they are users of the facility who do not residein the immediate project area. The good practitioner of public involvement knows the community
and is proactive, seeking out groups and individuals, particularly those who will be aﬀected signiﬁ
cantly. This inclusiveness almost always includes a heavy emphasis on partnering—achieving mutual
understanding of the problem and formal or informal agreements to work together to ﬁnd andimplement a solution. Partnering activities can be conducted with other agencies, units of govern
ment, metropolitan planning organizations, toll agencies, neighborhood associations, and other

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third-party groups, such as chambers of commerce and environmental organizations. Partnering
makes sense conceptually and practically. In a world where resources are limited, partnering can rep
resent an eﬃcient and eﬀective approach to gathering citizen input and developing an implement able
solution.
4.

Communication with participants should be respectful. The attitude of public involvement practition
ers, agency oﬃcials, and members of the public should be one of mutual respect. Practitioners should
perfect the art of listening to constituents. All opinions should be given serious consideration, andinput always should receive prompt and respectful replies.

5.

STI public involvement activities should begin early and be proactive and ongoing through out theplan or project development. One key to a successful STI public involvement eﬀort is to begin theprocess of public dialogue early. The temptation to save time and resources by initiating public
involvement activities midway through the process should be avoided. Such an approach engenders
public distrust and often requires re-examination of some decisions. Appropriate public notice
should be given for all decisions; the notice should conform with or exceed local and federal
regulations.

6.

The STI decision process should be deﬁned, structured, and transparent. The decision process
should be clearly delineated at the start of each project. Participants should understand the process
and be aware of critical decision points where they can have inﬂuence. Of particular importanceis communicating to the public and advisory committees that public involvement is only one input
into a complex decision process. However, decision processes should be structured so that outcomes
reﬂect public input.

7.

Agencies involved in STI policy formulation should provide appropriate leadership to public
outreach eﬀorts. Whereas these agencies should ensure that public involvement programs are struc
tured as “honest brokering” programs with no predetermined outcomes, they also must give ap
propriate leadership to the process. An agency spokesperson or “champion” must be available toarticulate agency policy, perspectives, and operating procedures throughout the process. Ensuringprovision of adequate resources for public involvement, including staﬀ time and budget for
information materials and other outreach expenses, is also an essential aspect of agency leadership.
When agencies involved in STI policy formulation fail to take leadership; the public process
ﬂounders, and neither the public nor the agency is well served.

Types of Public Involvement
The most common (but often least eﬀective) form of public involvement in policy making process is the public hearing. Here, government representatives give a presentation on a proposed decision, and then the public
is asked to stand up and give short (1-3 minute) speeches indicating their thoughts on the proposal. Typically,
only critics come to such hearings. Although the government agency can get a feel for the extent and nature
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UNESCOInstitutional aspects of STI policy making in africaof the opposition, public hearings rarely give a good indication of overall public opinion, nor do they yield
good information about why people feel the way they do.
Thus, they do not contribute eﬀectively to problem solving or mutual cooperation. Other forms of public
participation may yield more helpful information, but they are all slower and/or more expensive. Advisorycommittees made up of citizens can better measure public opinion, though they require a level of commitment from the members that few people can provide. Also, citizen members often have diﬀerent values thanexpert committee members. These value diﬀerences often lead to inﬁghting, which may detract from thecommittee’s eﬀectiveness. Even though public participation can slow the decision making process down, it isoften legally required, and can avoid costly lawsuits at the other end if unpopular decisions are made without
adequate public input.
Ballot initiatives are another form of public participation, which have greatly increased in popularity in the
United States over the last decade. Ballot initiatives are proposed laws or constitutional amendments that are
initiated and voted upon by the public, not by a legislative body. While the ability to act as a legislature gives
the public much more power over public decisions, as the number of initiatives increases, more and more
people are voting on things they do not really understand. In addition, ballot initiatives often oversimplify
problems and do not weigh diﬀerent priorities against each other. While a legislature may have to balance
funding for education, health care, law enforcement, and other priorities, the public tends to look at initiatives on a case-by-case basis, without considering that choosing one thing may take away funds from something else. For that reason, ballot initiatives often do not yield eﬀective remedies to problems, despite their
popular support.
Standards for Public Involvement Processesi.

The International Association for Public Participation lists seven standards for public
participation:ii.

The public should have a say in decisions about actions that aﬀect their lives.

iii.

Public participation includes the promise that the public’s contribution will inﬂuence thedecision.

iv.

The process communicates the interests and meets the process needs of all participants.

v.

The process seeks out and facilitates the involvement of people potentially aﬀected by the pro
posed decision.

vi.

The process involves participants in deﬁning how they will participate--thus how the process
will be structured.

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vii.

The public participation process provides participants with the information they need to par
ticipate in a meaningful way.

viii.

The public participation process communicates to participants how their input aﬀected thedecision.

Other standards, suggested by the Co-Intelligence Institute include:i.

Involve all “relevant” parties.

ii.

“Empower the people’s engagement”--in other words, get them feeling “involved.”iii.

Utilize multiple “forms of knowing.” This includes rational, scientiﬁc methods, narrative(story-telling methods), intuitive methods, etc.

iv.

Ensure high-quality dialogue.

v.

Establish and on-going participatory process (as opposed to, for instance, a one-shot public
hearing).

vi.

Move from positions to interests, needs, and mutual solutions.

vii.

Help people feel fully heard.[2]Public Participation, Democratization, and Civil Society
Increasing public participation in governmental decision-making is also becoming a large part of democratization processes and the strengthening of civil society in regions trying to recover from violent conﬂict
and/or to make a transition to a more democratic form of government.
Public participation at the national level does not refer only to voting. It implies an open dialogue in whichcitizens have a voice in the decisions that aﬀect them. International law grants the right to public participation. However, in a report from the United States Institute of Peace, Vivien Hart writes, “This right packs amoral punch but it lacks legal teeth and eﬀective enforcement.”
However, even though governments may not be legally required to solicit public participation, it is often in
their best interest to do so. Public participation can be a powerful tool for legitimizing a new government.
Hart writes: “A claim of necessity for participation is based on the belief that without the general sense of“ownership” that comes from sharing authorship, today’s public will not understand, respect, support, andlive within the constraints of constitutional government.”
A striking example of this is in Zimbabwe, where the government short-circuited their democratization
process by failing to take advantage of public participation. In 1999, under pressure from opposition groups,
President Robert Mugabe reluctantly established a commission to draft a constitution. From a distance, it appeared to be a model process complete with public hearings, an outreach program of town hall meetings andother community activities, a multilingual media campaign, scientiﬁc polling, and an international conferPage 76

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ence. But, in reality, the president’s party controlled the constitutional commission. The commission drafted
the document and sent it to President Mugabe with no opportunity for further public comment. Mugabe
quickly forwarded it for a referendum vote without possibility of amendment. The electorate rejected the constitution by 54 to 46 percent. Hart writes that, “immediately after the vote Lewis Machipisa editorialized in
Africa News that this “’no’ vote is also a ‘no’ vote against the arrogance that we experienced from the government. They didn’t treat us as people who mattered.”
The example of Zimbabwe illustrates a problem that is often seen with public involvement in new democracies. Governments and institutions are capable of opening space for participation as a way to silence theircritics. A report from the Institute for Development Studies-Participation Group warns of the “policy mirage,
where the rhetoric around opportunities for policy change attracts many people to engage, but at the end of
the day much energy has been spent and the policy is still eternally postponed. “Hart writes, “Genuine public participation requires social inclusion, personal security, and freedom ofspeech and assembly. A strong civil society, civic education, and good channels of communication between
all levels of society facilitate this process. Only a considerable commitment of time and resources will makegenuine public participation possible.”

When seriously pursued, public participation can be remarkably helpful for
democratization. The classic example of this is South Africa:
In all, it took seven years, from 1989 to 1996, to achieve the ﬁnal constitution... Throughout these years,
outbreaks of violence threatened the process...From 1994 through 1996 the South African process became afull-scale demonstration of participatory constitution making. Until that time, the public had had no directrole in constitution making. Now their elected representatives in the assembly reached out to educate themand invite their views.
The educational eﬀort included a media and advertising campaign using newspapers, radio and television,
billboards, and the sides of buses; an assembly newspaper with a circulation of 160,000; cartoons; a web site;and public meetings; together these eﬀorts reached an estimated 73 percent of the population. From 1994
through 1996 the Constitutional Assembly received two million submissions, from individuals and many
advocacy groups, professional associations, and other interests.
Many argue that this eﬀective use of public involvement smoothed South Africa’s transition from apartheid
to democracy. Hart concludes, “At its best, participatory constitutionalism works and counteracts the arguments in support of elite negotiation as the sole eﬀective mode. At its worst, as in Zimbabwe, it provides only

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another guise for the exercise of raw power”.

Beneﬁts of Public Involvement
There is general agreement that a well-conceived and well-implemented public involvement program canbring major beneﬁts to the STI policy process and lead to better decision outcomes. Beneﬁcial results include
the following:1.

Public ownership of policies/sustainable and supportable decisions: By involving citizens
in the assessment of needs and solutions and identifying troublesome issues early, public
involvement can promote citizen “ownership” of STI policies. Although some science,technology and innovation projects have some negative eﬀects, citizens are more willingto accept these when they accept the need for the policy or project, participate in develop
ing the alternatives, and understand the technical and regulatory constraints. To the extent
that citizens are involved in the decision, their support will be sustained over time.

2.

Decisions that reﬂect community values: The public involvement model involves consultation
with many segments of the community. Because this is a more collaborative process,decisions inevitably are more reﬂective of community values.

3.

Eﬃcient implementation of decisions: Decision makers understand the concerns of the
public and can be more sensitive to those concerns in the implementation process.
The model strives to reduce the risks of litigation and avoid revisiting decisions, thereby
signiﬁcantly reducing costs.

4.

Enhanced agency credibility: The process of public involvement often transforms STI
agency culture by forcing agency decision makers to interact with their constituents.
As a result, stakeholders develop a better understanding of STI agency operations, andagency oﬃcials have a better understanding of public thinking. This mutual education
improves the agency’s relationship with the public.

Challenges to Public Involvement
The practice of public involvement in STI policy formulation continues to evolve and public involvement
practitioners must eﬀectively address a number of challenges to develop best practices.
1.

Removing Institutional Barriers. STI agencies must do more than give lip service to theimportance of public involvement. STI agencies must make serious commitment toinclude the public when making decisions and change their organizations and practices
to reﬂect that commitment. At a minimum, this means developing consistent policies
that validate the legitimacy of public involvement, dedicating budget and staﬀ to public
involvement. They also must commit to partnering with the public and other agencies

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to improve decision making. For many organizations this will involve a dramatic culturechange as agency employees from the top down adopt a new policy development andimplementation paradigm.
2.

Ensuring a Broad-Based Audience and Improving Communication Tools. Some audiences
are diﬃcult to reach for economic or cultural reasons. Some stakeholders live outside theproject area and are not targeted for involvement. Others choose not to participate becauseof lack of interest or time constraints. The growing trend to require public involvement in
STI decision making in both the public and the private sectors is beginning to overload the
public’s ability to respond. Many agencies are in the habit of structuring public involvement
opportunities around public meetings.
This concentration of resources on public meetings can lead to the overweighting of thevoices of activists and the distortion of community voice. Improved techniques must
be developed to respond to stakeholder time constraints, provide information to help people
accurately assess the importance of the issues to their quality of life, and attract and communi
cate eﬀectively with a broader audience. These include the use of electronic tools, masscommunication techniques, public opinion surveys, and baseline research.

3.

Dealing with Complexity. As technology and ﬁnancing mechanisms become more complex,
communicating clearly becomes more diﬃcult. In an age of sound bites and limited
attention spans, public involvement practitioners must develop ways to capture and maintainpublic attention and convey complex information, as well as receive complex feedback. In
particular, the Internet and new multimedia programs present promising options tocommunicate complex information eﬀectively and widely.

4.

Dealing Eﬀectively with Issues of Timing. A number of timing issues are obstacles to
conducting successful public involvement eﬀorts; developing eﬀective ways to deal withthese issues will be critical in the future. These issues manifest themselves in a variety ofways. STI policies typically are developed over long periods, and solutions take years to
implement. The length of time required for decisions on many projects makes it diﬃcult
to focus public attention on critical issues, particularly in high-growth areas.
These problems present a twofold challenge.
Public involvement practitioners need to develop innovative ways to sustain public interest
in STI information. Currently, many agencies involve the public only on a project-speciﬁc

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basis. Agencies need to develop more eﬀective ways of conducting ongoing outreach for
longer-term issues. In addition, STI agencies must continue their eﬀorts to streamline
the planning and decision processes. The need to address critical STI problems is driving thiseﬀort. But collapsing the time horizon for the decision process also will make it easier for the
public to have an eﬀective voice. Several quantitative evaluation processes that focus on meas
uring the performance of alternatives against a broad range of public values oﬀer highpotential in this arena.
5.

Developing Standards and Assessment Tools. A challenge to the profession is to develop
commonly accepted methods for evaluation of public involvement programs. STI agency
heads and managers consistently and correctly question the beneﬁts of costly public
involvement programs, which sometimes drive up the cost of planning and design.Typically,
public involvement practitioners argue that public involvement expenditures
are justiﬁed in that they prevent delays, lawsuits, and costly reassessment of policies.
But such a response has been insuﬃciently quantiﬁed. If public involvement programs
are to become a routine part of how agencies do business, consistent assessment methods
must be developed. Performance measures for public involvement should relate to how
well the expectations of participants were met, costs in relation to beneﬁts, and eﬀects on
decision making.

6.

Developing Professional Standards and Training Programs. Practitioners of public
involvement come from a wide variety of backgrounds. The practice must continue todraw strength from all of these contributors, and establishing basic standards to which all
public involvement practitioners can be assumed to adhere will be necessary. Training
programs or professional credentials or certiﬁcation likely will be necessary to implement
these standards. The goal should be to ensure adherence to a consistent set of best practices.

7.

Designing Strategies and Choosing Tools. Many resources are available to use in public
involvement programs. A key challenge for the practitioner is to assess the needs andaudience for each project and strategically choose the most appropriate tools. Every public
involvement eﬀort should begin with a project assessment by the study team. What are theobjectives of the plan or project? Who is the likely audience? What will be the level of impact
on the community? Any special barriers to communication should be assessed at this time.
Frequently it is useful to supplement the knowledge of the agency and the consulting
community with the input of public oﬃcials and community leaders.
On more important point is that it is often appropriate to conduct a series of community
interviews. Research to identify issues that should be addressed also can be helpful at thisPage 80

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stage. Once this information is collected, a public involvement plan can be formulated.
The plan should specify the tools and techniques most appropriate to the audience and theallocation of resources needed to support those tools and techniques. The plan should be sensitive to the diﬀerentiation within the audience and consideration should be given to the ap
propriate level of detail. The level of controversy of a policy will aﬀect the techniques used.

Value of public involvement and Evaluation
1.

Involving interested members of the community generally results in overall better STI
planning. Gathering input from the public can help staﬀ develop better technicalinformation that, in turn, can help policymakers make better-informed STI policies onbehalf of the community or region they represent. It is important that the community
understands how the planning process works and how they can contribute to the Long
Range Plan and the Uniﬁed Planning Work Program.
The public’s role is important in providing information that will help to avoid errors in oromissions of important facts.

Whenever interaction or outreach occurs, a mechanism for evaluating the eﬀectiveness of the discussion
needs to be provided. Several methods that can be used to obtain feedback from participants include:a)comment forms at meetings,b)workshops and displays;c)meeting evaluation forms,

d)citizen letters (and responses),e)telephone comments,f)internet email and recorded comments at public meetings.

All of this information should be maintained and made readily available to the public for on-going educational purposes and to establish an historical record. Programs and processes must be understood to develop
trust between the numerous “planning partners”. On-going evaluation of how well public involvement activities are performing shows which measures are ineﬀective and should be discontinued.
More eﬀective types of interaction can be implemented or expanded in scope as the process evolves. The STI
policy formulation process must be a dynamic process that establishes accountability to the public.

In Summary the public involvement in STI policy formulation process shouldobserve the followings:
Type of involvement•

A continuum --- shallow to deep – communications, consultations, engagement•

Engagement – deliberative process – working through of issues – searching for common
ground – mutual listening and public learning – values, values-based choices

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Who to involve•

Citizens – contribute values, priorities, choices•

Experts – contribute technical knowledge, not values•

Stakeholder groups – contribute technical knowledge; buy-in required

How to involve: Depends on stage of policy-making –•Agenda-setting: experts and stakeholders dominate•

Problem deﬁnition: engaging citizens can help frame the issues, propose options, map theboundaries of where change is possible (e.g. African STI) – Policy development•

consult with stakeholders and experts: the domain of the governing party – Implementation•

communicate the choices, links to input from citizens•

consult stakeholders – Evaluation: communicate with citizens, invite their feedback

Engagement is relevant when..
•Genuine role for citizens•

Policy-makers ready to invest in learning and listening•

Big conﬂicted choices and tradeoﬀs•

At stages of Problem Deﬁnition and setting of Broad Directions•

Value in Public learning …conditions and opportunities have to be created – no pre-deter
mined outcomes

Agricultural InnovationSystem

Innovation Systems from Framers’ Perspective (Goldman)
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VISION FOR THE NEXT DECADE

As we move into the next century, the demands of the public to be involvedin policy decisions will become more insistent. Decision makers need to apply the lessons learned during the past 20 years as we attempt to include thepublic in the complicated and technical process of arriving at policy solutions.
Public involvement programs should become a routine part of the development of all STI policy—not just project-speciﬁc, but routinely and seamlessly
incorporated into the way STI agencies do business.

As practitioners design public involvement strategies for STI policy formulation, there should be a common set of expectations about what constitutes
good practice. STI agencies should routinely set aside budgets for conducting public involvement programs within accepted parameters.

Citizens should accept their responsibilities—to put in the time and energy tounderstand the needs of and solutions to STI projects that affect them andtheir communities, and to accept the results of a fair and open process.
This new paradigm of a mutually respectful, fair, and open process constitutes the core of the committee’s vision for STI policy decision making for the
next decade.

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CHAPTER 5
KEY STAGES IN STI POLICY FORMULATIONTHIS CHAPTER PRESENTS:•

THE BASIC STEPS IN STI POLICY FORMULATION.

•

THE BASIC CYCLES IN STI POLICY DEVELOPMENT THAT CAN HELP OVERCOME THE
PROBLEM OF INVOLVING THE END-USERS ARE PRESENTED.

•TWO POLICY FORMULATION MODELS ARE PRESENTED.

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UNESCOKey stages in STI policy formulationIn formulating public policies, especially those dealing with science and technology, three aspects are
frequently overlooked in building the capacity of local communities to apply it to local problems.
•First, local communities must be active participants in the technology development process
and not merely passive recipients of technology developed for them by outsiders.
•

Second, entrepreneurship and marketing skills are critical but often overlooked capacities required for successful diﬀusion of appropriate technologies. Without them, technically superior
solutions will not be widely adopted and, therefore, will be of little use.

•

Finally, STI capacity building must ﬁt into broader eﬀorts to build the productive capacities
of countries because this puts STI capacities into use.

Without this demand, increasing the supply of appropriate technologies and technically proﬁcient workers will have little lasting impact. Local involvement, entrepreneurship, and eﬀective demand may seem likecommonsense ingredients, but experience suggests they are frequently overlooked, to the detriment of eﬀective STI capacity building eﬀorts.
The basic cycles in STI policy development that can overcome these defects include:A.

Isolating the problem: At this stage, the agency developing the policy decides which societal
needs, the proposed policy will address. For instance, it could be the problem of institutionalchanges in STI policy making. The agency then articulates how the changes can contributeto improvement in STI policies, especially in making it more relevant to the needs of thepeople. The agency sets system goals that will use institutional changes, for instance,
to target perceived deﬁciencies, identiﬁes areas in which more knowledge is needed
to evaluate performance, and decides on speciﬁc remedies such as accountability, quality
and improvement.

B.

Consulting Widely: In conjunction with other STI institutions, explore the causes ofpreviously reported deﬁciencies. Ask businesses, public and private organizations, andother STI leaders, about reasonable expectations regarding the proposed changes, andincorporate ideas into policy goals.

C.

Articulating Vision and Strategy: The STI leaders reveal its proposed policy decisions to
STI community, policy makers and the general public. The purpose and end-goals of
the policy are shared and speciﬁcs for implementation given, including resource
requirements, timelines, roles and responsibilities of various groups, and intermediate steps
if any.

D.

Gaining support of STI and Political leaders: Share details of the plan with STI related
institutions and political leaders. Approach the leaders by demonstrating how the policychange can achieve state objectives. Ascertain the potential contribution of leaders regarding
the policy development and then deﬁne tasks to be achieved and lines and rules ofcommunication among these groups.

E.

Educating the public: Present expected costs and beneﬁts to the state, private and public
institutions,

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F.

Disseminating Ideas: Distribute policy rational, guidelines, procedures, ﬁndings andoutcomes with all STI community and the larger society. Hold frequent dialogue with themto share their concerns and be prepared with a plan to counter resistance if any.

G.

Pilot testing and Trials: Identify aspects of the policy for a limited implementation.
Phase-in parts of the policy change and its requirements (programme requirements,
required funds and the number of indicators) over the ﬁrst few years.

H.

Examining and Reporting Results and Findings: Study the process of implementation andreport on successes, linking process to outcomes. Incorporate feedback into analysis anddistribute ﬁndings through a progress report.

I.

Statewide Dialoguing: Dialogue with institutions, leaders and stakeholders and consult
widely on the impacts and beneﬁts of the policy. Revisit the implementation and changes
necessary to successfully enact the policy change statewide.

J.

Implementing policy change: Enact the new policy- expand all the indicators statewide andinstitute additional funding requirements if necessary.

K.

Evaluating and Reviewing: Establish system for ongoing and periodic review and revisionof the policy.

Alternatively, the STI policy development can go through the following cycles:
A. Screening – this has to do with verifying whether the proposed STI policy will have adverse impacts on
the proposed beneﬁciaries. Screening process should determine whether a full impact assessment is necessary
or not. It should be part of policy development process and should be done before the new policy is formally
adopted.
Screening should in general involve::•
Policy team’s knowledge and experience including a lead oﬃcer•

previous consultations regarding the proposed STI policy change•

previous complaints, comments, evaluations and monitoring•

research and reports•

library and internet searches•

advice from internal and external specialists•

staﬀ with previous involvement on direct implementation of a similar STI policy.

Before starting the assessment it is important that time is spent in determining the purpose and the aims ofthis policy. This should include consideration of any speciﬁc objectives and how these will guide the operation or implementation of the policy. The following questions may be helpful:

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UNESCOKey stages in STI policy formulation•

What are the aims, purpose, or objectives of the STI policy?

•

Are there any other outcomes associated with the policy?

•

Who deﬁnes or deﬁned the policy?

•

Who carries out the policy?

•

What are the policy trying to achieve and for whom?

•

Who are the main stakeholders, what do they want?

•

Do the outcomes conﬂict with other objectives of the STI community?

•

Who or what might contribute or detract from the community’s ability to meet these out
comes?

•

Are there any customer groups or communities who are currently or might be prevented frombeneﬁting from the policy?

B. Scoping – This is used to identify the key issues of concern at an early stage in the policy development
process. Scoping should be carried out at an early stage in order to aid the identiﬁcation of possible alternatives. The scoping process should involve all stakeholders in the STI policy. The results of scoping will determine the scope, depth and terms of reference to be addressed within the STI policy development.
Scoping is generally carried out to identify the key issues and concerns of the interested parties to the STI
policy such as:•

Who is concerned?

•

What are their concerns?

•

Why are they concerned?

•

What is the threshold of concern where change becomes unacceptable?

•

When ineﬀective scoping occurs delays are caused by additional time being required to assess
unidentiﬁed impacts.

Scoping should be an ongoing exercise throughout the course of STI policy development and implementation.
C. Impact analysis - this is the process of identifying the full consequences of change before the change takes
place. This gives one the ability to spot problems before they arise, so as to develop contingency plans tohandle issues smoothly. This requires a detailed assessment of the issues involved, so as to forecast the characteristics of the main potential impacts.

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Impact analysis can be broken down into three overlapping phases:•
Identiﬁcation — to specify the impacts associated with each phase of thepolicy development process and the activities undertaken. This process begins during screen
ing and continues through scoping, which
identiﬁes the key issues and classiﬁes them into impact categories for further study. In the next phase, thelikely impacts are analysed in greater detail in accordance with terms of reference speciﬁcally established forthis purpose. Over time, a number of simple methodologies and tools have been developed foruse in impact identiﬁcation. These simple methods are of proven value for undertaking a systematic approachto impact identiﬁcation.
The most common formal methods used for impact identiﬁcation are:•checklists;•
matrices;•
networks;•
overlays and geographic information systems (GIS);•
expert systems; and•professional judgement
Prediction — to forecast the nature, magnitude, extent and duration of the main impacts. Once all the important impacts have been identiﬁed, their potential size and characteristics can be predicted. Impact prediction
or forecasting is a technical exercise. It utilises physical, socio-economic and cultural data to estimate thelikely characteristics and parameters of impacts (e.g. magnitude, spatial occurrence etc.). A range of methods
and techniques may be employed.
These can be a continuum from simple methods for impact identiﬁcation (described earlier) to advanced
methods, often involving the application of mathematical models. Examples of commonly used impact prediction tools are same as given under impact identiﬁcation.
Evaluation — to determine the signiﬁcance of residual impacts after taking into account how mitigation
will reduce a predicted impact. Once the impacts have been analysed, they are evaluated to determine theirsigniﬁcance. As noted earlier, the attribution of signiﬁcance begins early, during screening and scoping, andextends throughout the STI policy development process. Following impact identiﬁcation and prediction,
impact evaluation is the formal stage at which a ‘test of signiﬁcance’ is made.
A systematic process should be followed in evaluating signiﬁcance, distinguishing between ‘as predicted’ and‘residual’ impacts. While step one involves evaluating the signiﬁcance of ‘as predicted’ impacts to deﬁne therequirements for mitigation and other remedial actions, step two involves evaluating the signiﬁcance of the‘residual’ impacts, i.e. after mitigation measures are taken into account. This test is the critical measure ofwhether or not a proposal is likely to cause signiﬁcant impacts.
D. Monitoring and evaluation: Establish system for ongoing and periodic review and revision of the policy.
In the words of the multi-award winning Harvard scientist, Professor Edward O. Wilson...
“Thanks to science and technology, access to factual knowledge of all kinds is rising exponentially while
dropping in unit cost. It is destined to become global and democratic. Soon it will be available everywhereon television and computer screens. What then? The answer is clear: synthesis. We are drowning in information, while starving for wisdom. The world henceforth will be run by synthesisers, people able to put
together the right information at the right time, think critically about it, and make important choices wisely.”
Wilson, E. (1998) Consilience: the unity of knowledge, Abacus, London, p 300.
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UNESCOKey stages in STI policy formulation
The Six Challenges of Aid M&E: Problems arise at each stage of the M&E data cycle

Research shows that even though everyone agrees that doing M&E is a good idea, in practice, problems arise
at each stage of the M&E Data Cycle. The cycle can stop turning for any one of six common reasons…

2.

The problem with M&E data identiﬁcation…

3.

The problem with M&E data capture…

4.

The problem with M&E data analysis…

5.

The problem with M&E information dissemination…

6.

The problem with M&E information utilization…

7.

The problem with M&E system assessment…

Right from the planning stage of new projects, the identiﬁcation of what performance data is required
is conceptually diﬃcult. More often than not, project planners delegate the detailed M&E planningto the implementation team, assuming that they will have more clarity on what performance data isrelevant once they are on the ground. However, implementation team members tend to be technicalpeople whose primary role is the delivery of project outputs. The deﬁnition of indicators and otherperformance data is not their core business. They frequently see M&E as an additional responsibil
ity…an imposition!

Even if the critical step of identifying appropriate performance data can be taken, M&E plans are
frequently unsuccessful because of staﬀ non-compliance with reporting protocols. In situations where
overstretched staﬀ are faced with ambiguous reporting requirements or complex/diﬃcult tools, data
capture tends to become a low priority.

A surprisingly common situation occurs where captured data is accumulated but is never analysed
to draw out meaningful features and trends in the data. The main reason for this is reported to be theskill required for data analysis, and for critical reﬂection.

Analysing captured data is pointless unless the analysis is disseminated to people who can beneﬁt
from it. While this seems obvious, M&E systems frequently fail because the mechanisms for moving
information around tend to be cumbersome. The paper-based reports required by many stakeholders
often require the same information to be bundled up over and over in diﬀerent formats on diﬀerent
schedules.

Unless M&E information can be used for learning or accountability, the preceding steps in the M&E
Data Cycle have wasted time and resources. But for information to be used by busy people it must be
made available in a timely and relevant form. It must be clear how it can help them do their job better.
The incentive for using the information must be clear.

Research suggests that not only is M&E of a project rarely done well, but M&E of M&E systems israrely attempted at all. This ‘meta-M&E’ is necessary if we are to ensure that our M&E activities areuseful, but it is unlikely to occur unless our organizational culture values critical inquiry and reﬂec
tion.

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CHAPTER 5
CASE STUDY: THE BIOSAFETY BILL IN KENYAOn December 9, 2008 the Kenyan Parliament passed the 2008 Biosafety Bill, comprehensive legislation that governs research, ﬁeld testing, commercialization and imports ofbioengineered crops. USAID supported a coalition of stakeholders led by the USAIDfunded Program for Biosafety Systems (PBS) that worked to advance the bill throughParliament. PBS and local partners reviewed the bill, conducted a series of outreach activities to members of parliament and other key policy makers, including study tours andpolicy brieﬁngs, and helped launch a National Biotechnology Awareness Strategy. PBS
also helped develop biosafety regulations and guidelines that will be implemented underthe bill and provided training to Kenyan regulators.
Kenya is the most advanced country in East Africa in terms of GMO research, with crops
engineered to be insect or virus-resistant already in the pipeline. Any biosafety law eventually adopted in Kenya should also help neighbouring countries optimise their own
biotechnological practices. Indeed, many were relying on a ‘wait and see’ approach tobiosafety regulation - looking to Kenya to take the ﬁrst steps.
As host to the meeting at which the Cartagena Protocol on Biosafety was opened forsignature in 2000, Kenya was the ﬁrst country to sign up. Ratiﬁcation followed in 2003,
and the Biosafety Bill was drafted in 2005 to bring Kenya’s law and practice in line withthe protocol. Meanwhile, three countries in Africa now grow and use GM crops, this isaccording to the latest report on the global status of commercialized biotech/GM crops
2008, which shows that the number of countries planting biotech crops in Africa havemarginally grown to three from one country, South Africa in 2007. In 2008, Burkina Faso
(Bt Cotton) and Egypt (Bt Maize) joined the exclusive clubs of countries growing andcommercializing biotech crops.
Globally, the number of countries planting biotech crops have soared to 25 and the global hectarage of biotech crops rose by 9.4% above previous year or 10.7 million hectare
increase, reaching 12.5 million hectares. This rise is 74-fold hectares rise since 1996, making biotech crops the fastest adopted crop technology. 2008 also saw a new biotech crop,
RR sugar beet become ﬁrst commercialized in the US and Canada. Egypt, Burkina Faso
Bolivia, Brazil and Australia introduced for the ﬁrst time biotech crops that have beencommercialized in other countries. The number of crop farmers increased by 1.3 million
in 2008, reaching 13.3 million globally in 25 countries, notably 90% or 12.3 million were
small and resourcepoor farmers in developing countries.

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THE PBS APPROACH

T

o support the development and implementation of national biosafety systems, PBS works
through a variety of partner–driven activities andinitiatives including training workshops, a competitive grants program, biosafety policy analysis
and policy development, and consultative guidance on biotechnology product development.
These activities are designed and implemented inclose collaboration with PBS regional coordinatorsand partners located in Asia and Africa. To help
our partner countries meet their national goals for
agricultural production and food security, publichealth, biodiversity conservation, and economic
growth, PBS.

provides assistance as those countries develop and implement eﬀective biosafety
policies and procedures,.

helps strengthen their existing capacity for
conducting scientiﬁcally sound risk assess
ments,.

fosters science-based decisionmaking at
each stage of product development anduse, and.

encourages regional collaboration andinformation exchange among stakeholders
involved in biotechnology and biosafety
and helps increase understanding of bio
technology applications and issues.
While PBS gears its strategic objectives on theneeds and goals of its speciﬁc partner countries, itfocuses on four overarching global components:

and regional regulatory approaches for genetically
modiﬁed organisms (GMOs) by developing decision models to assist regulatory agencies. Working to generate new information, provide analysis
of practical problems and cases, and make recommendations regarding national and regional
regulatory systems and decisionmaking.

Capacity Building & Communication

Maintaining an active program of training, education, and capacitybuilding activities in biosafety
to ensure that the people involved in biosafety
decisionmaking are competent and conﬁdent
enough to use the best available science to assessplanned releases of GMOs and genetically modiﬁed (GM) food products.

Risk Assessment Research

Providing a mechanism for competitive grants on
biosafety research in Asia and Africa through the
Biotechnology-Biodiversity Interface (BBI) grants
facility.

Regulatory Approval Strategies

Providing biosafety guidance for product development and helping institutions comply withregulatory requirements; working with regulatory
agencies to assist them in developing review, approval and inspection processes, and in creating
global resources for training and outreach.

Policy Development and Implementation
Evaluating the implications of diﬀerent country

PBS is an IFPRI-managed program that supports our partner countries in Africa and Asia
in the responsible development and safe use of agricultural biotechnology. PBS eﬀectively
addresses biosafety through an integrated program of research, capacity development, andoutreach. PBS is funded by the U.S. Agency for International Development (USAID).
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CHAPTER 6QUALITIES OF A GOOD SCIENCE INNOVATION POLICYThis chapter identiﬁes the characteristic of a good STI policyInnovation perspective to generation of knowledge and information by science represents a signiﬁcantchange from the conventional linear approach to research and development. It builds on complex relationship among heterogeneous agents, social and economic institutions and endogenously determined
technological and institutional opportunities. Science innovation system is an interactive process inwhich enterprises/organizations/institutions in interaction with each other and supported by organizationand institutions play key roles in bringing new products, processes, new forms of organization into social andeconomic use. It employs several assumptions such as;.

Innovation takes place everywhere in the society and therefore brings elements of a knowledge
system and connecting them around common goals promote economic development;

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UNESCOQualities of a good science innovation policy.

Innovation is an interactive process and is embedded in the prevailing economic structure andthis determine what is to learnt and where innovation is going to take place.

.

Heterogeneous agents are involved in innovation process, and formal research is a part of thewhole innovation processes;.

Innovation takes place where there is continuous learning and opportunity to learn is a function of the intensity of interaction and others. Innovation feeds into policy and on the other
hand is inﬂuenced by policy. Policy is therefore an important component of innovation
process. It is crucial for learning and innovative process as they provide conducive, regulated
and stable atmosphere. Policy environment determine not only the operations and innovative
performance of agents/actors, but signiﬁcantly inﬂuence the behaviours, attitude, interaction
and cooperation among actors/agents in science innovation process. Therefore formulating agood and favourable science innovation policy is an imperative.
Given the above scenario, the development of science innovation policy is primarily an interactive process which encapsulates in sharing of information, ideas, formulating concepts andframework, utilizing research and evaluation and a range of relevance analysis. Ideally, it explores interdepend ence and relationship of disciplines, myriad of inputs and related policies.
Thus a good science innovation policy is characteristically.

.

Evidence base: Synthesized and credible science, technical knowledge and information
should inform science innovation policy formulation: The fact that innovation takes place at
diﬀerent places, at diﬀerent time and space leaves the challenge of ensuring credibility and ac
curacy (in terms of source and validity) and suﬃcient articulation to direct course of action by
policy makers. This is department on eﬀective linkages between researchers/stakeholders andpolicy maker. A cooperation and advocacy style is usually adopted to foster the process.

.

Borne out of consensus among stakeholders (consensus-base): Policy environment forscience inno vation is a democratic and decentralized one. Science innovation process is not
represented by one individual or organizations and this means a wide range of opinion, andideas as to the required response and appropriate cause of action. Each actor/ organization
does not represent the view/opin ion of the others. Consequently policy makers arepresented with an overaheling volume of information and sorting them out to know which
information is most appropriate in addressing a particular issue could be challenging.
Consensus is achieved with group of scientist/stakeholders coming together on stakeholder
platform to debate on pertinent issues based on available evidence. Consultation, advisingand advocating tools is best employed in arriving at a consensus.

.

Problem-oriented: Focused and clearly stated: A good policy is speciﬁc in terms of what it is,what it has to addressed and how the policy addresses the issues: It is presented in simple
and succinct terms, void of ambiguous words that could lead to variance in interpretationand compliance.

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CHAPTER 6.

Incorporates policy instrument: Science innovation policy should essentially incorporate
polic instruments (programs, projects, framework and strategies) to facilitate implementationand evalua tion of its impact/beneﬁt.

.

Public advocacy: Inputs and support from the public/society is crucial for eﬀective policy
formulation and implementation. Generally, people tend to ignore policies that they are do
not know or have par ticipated in.

.

Context speciﬁc; Innovation processes are context speciﬁc and historically determined.
A good sci ence innovation is formulated and implemented around the prevailing socioeconomic, socio-politi cal, trade conditions and natural resource base.

.

Create, foster links and strengthen stakeholder innovativeness: Policy is linked to action
facilitating networking, information and knowledge sharing, interactive learning, access tofunding, market development and entrepreneurship. Multi-stakeholders capacity building
should be advocated and interaction between research, private, civil society organizations
and others should be emphasized and nurtured from onset.

.

Role speciﬁcation: Innovation process is a multi-stakeholders process represent varied interest
values and capability. A good science innovation policy should delineates and streamline
roles, alliances and partnership; and framework requisite for stakeholder participation in
implementing policy.

.

Inclusive: A good science innovation policy adopts holistic approach to addressing
issues. Often is sues are addressed in isolation resulting to partial solution to identiﬁed prob
lems/priority
REFERENCES

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