Bridging Research and Policy

Maja de Vibe
September 1, 2002

BRIDGING RESEARCH & POLICY
Maja de Vibe, Ingeborg Hovland
and John Young
Working Paper 174
Results of ODI research presented in preliminary
form for discussion and critical comment
Overseas Development Institute
Bridging Research and Policy:
An Annotated Bibliography
Working Paper 174
Bridging Research and Policy:
An Annotated Bibliography
Maja de Vibe
Ingeborg Hovland
John Young
September 2002
Overseas Development Institute
111 Westminster Bridge Road
London
SE1 7JD
UK
ii
ISBN 0 85003 607 0
© Overseas Development Institute 2002
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or
otherwise, without the prior written permission of the publishers.
iii
Contents
Acknowledgements iv
Introduction v
Narrative Summary vi
1 The Political Context 1
1.1 The policy process 1
1.2 The current policy discourse 1
1.3 The information age 2
2 The Actors (Networks, Organisations, Individuals) 3
2.1 Networks and inter-organisational linkages 3
2.2 Organisational management, learning and change 4
2.3 Social psychology – perception and decision-making 4
3 The Message and Media 6
3.1 Knowledge management and research relevance 6
3.2 Interpersonal communication and advocacy 7
3.3 Marketing communication 7
3.4 Media communication and IT 8
Summaries in Alphabetical Order by Author 9
Indexes 63
Index A – by key themes 63
Index B – by academic discipline 68
Index C – alphabetical by author 73
iv
Acknowledgements
Maja de Vibe has recently completed the MSc Development Management programme at the
London School of Economics, and is currently starting as an APO in DFID's Governance
Department. Ingeborg Hovland has completed the MSc Violence, Conflict and Development at the
School of Oriental and African Studies, and is embarking on a PhD at SOAS’ Anthropology
Department. John Young is a Research Fellow working on research-policy linkages at the Overseas
Development Institute.
The authors would also like to acknowledge the suggestions and generous help with the bibliography
from Emma Crewe, and the faculty at LSE and SOAS. This research was undertaken in collaboration
with the Bridging Research and Policy Project of the Global Development Network, Washington,
with funding from the Department for International Development of the Government of the UK.
The Global Development Network was launched in 1999 to support and link research and policy
institutes involved in development. Its aim is to help them generate and share knowledge for
development and bridge the gap between the development of ideas and their practical
implementation.
Address: Global Development Network, Suite 1112, 2600 Virginia Avenue, NW Washington, DC
20037 USA. Tel: (202) 338-6350/6351 Fax: (202) 338-6826/6831 Website: http://www.gdnet.org
v
Introduction
This annotated bibliography contains summaries of 100 documents from various streams of literature
relevant to the issue of ‘Bridging Research and Policy’. It is part of ODI’s Bridging Research and
Policy Project. In order to facilitate access to the various summaries, the bibliography has been
divided into three key themes that roughly, though not completely, correspond to the three
dimensions elaborated in the framework paper ‘Bridging Research and Policy: Context, Links and
Evidence’ (Emma Crewe and John Young, 2002).
Since several good overviews of the literature on the research-policy link already exist (Sutton, ODI,
1999; Keeley and Scoones, IDS, 1999; Neilson, IDRC, 2001; Nutley, Walter and Davies, ESRC,
2002; Lindquist, forthcoming, 2003 from IDRC), this annotated bibliography does not seek to
replicate existing work. It aims instead to add value in two respects: Firstly, new subject areas have
been included, such as social psychology, marketing communication, and media studies. Secondly,
where appropriate the mainstream literature has been supplemented with alternative viewpoints that
in some way seek to challenge the status quo.
The first section of the bibliography provides a narrative overview of the literature within the three
themes and sub-themes. The second section contains the summaries, organised in alphabetical order,
by author. The third section provides three indexes:
Index A – by key themes (page 63)
Index B – by academic discipline (page 68):
1. Anthropology (including cultural studies and social anthropology)
2. Development management
3. Information and knowledge management
4. Marketing (including social/political marketing and marketing communication)
5. Media and communication
6. Organisational management
7. Political science (including political economy and policy studies)
8. Research methodologies
9. Social psychology
10. Sociology
Index C – alphabetical by author (page 73)
vi
Narrative Summary
Bridging research and policy
Traditionally, the link between research and policy has been viewed as a linear process, whereby a set
of research findings is shifted from the ‘research sphere’ over to the ‘policy sphere’, and then has
some impact on policy-makers’ decisions. At least three of the assumptions underpinning this
traditional view are now being questioned. First, the assumption that research influences policy in a
one-way process (the linear model); second, the assumption that there is a clear divide between
researchers and policy-makers (the two communities model); and third, the assumption that the
production of knowledge is confined to a set of specific findings (the positivistic model).
Literature on the research-policy link is now shifting away from these assumptions, towards a more
dynamic and complex view that emphasises a two-way process between research and policy, shaped
by multiple relations and reservoirs of knowledge (see e.g. Garrett and Islam, 1998; RAWOO,
2001). This shift reflects the fact that this subject area has generated greater interest in the past few
years, and already a number of overviews over the research-policy linkage exist (e.g. Keeley and
Scoones, 1999; Lindquist, forthcoming 2003; Neilson, 2001; Nutley, Walter and Davies; 2002;
Stone, Maxwell and Keating, 2001; Sutton, 1999). However, there is still a limited number of case
studies (but see for example Ryan, 1999; Puchner, 2001).
Following Carol Weiss (1977), it is widely recognised that although research may not have direct
influence on specific policies, the production of research may still exert a powerful indirect influence
through introducing new terms and shaping the policy discourse. Weiss describes this as a process of
‘percolation’, in which research findings and concepts circulate and are gradually filtered through
various policy networks. Some of the current literature on the research-policy link therefore focuses
explicitly on various types of networks, such as policy streams (Kingdon, 1984), policy communities
(Pross, 1986), epistemic communities (Haas, 1991), and advocacy coalitions (Sabatier and Jenkins-
Smith, 1999). Another angle taken by the research-policy literature focuses on guiding researchers
towards increasing the impact of their research (Coleman, 1991; Porter and Prysor-Jones, 1997;
Ryan, 2002).
The traditional question could be phrased: ‘How can research be transported from the research to
the policy sphere?’ Now, however, the question concerns research uptake pathways: ‘Why are some
of the ideas that circulate in the research/policy networks picked up and acted on, while others are
ignored and disappear?’ The answer to this seems to lie in a combination of several determining
influences, which can broadly be divided into three areas:
1. The political context
2. The actors (networks, organisations, individuals)
3. The message and media
1
1 The Political Context
The research/policy link has effects on political decisions and actions. In turn, the research/policy link
is shaped by the political context. Furthermore, the policy process and the production of research are
in themselves political processes, from the initial agenda-setting exercise through to the final
negotiation involved in implementation. In some cases the political strategies and power relations are
obvious, and are tied to specific institutional pressures. For example, ideas may be picked up and
used because those specific ideas are more likely to secure funding for a project. Similarly, ideas
circulating in the research/policy networks may be discarded by the majority of staff in an
organisation if those ideas elicit disapproval from the leadership.
The political context also consists of broader macro formations – ‘discourses’ or ‘paradigms’ – that
may exert a powerful influence over which ideas are noticed and which are ignored. It may be helpful
to view these formations as divided into three layers (following Raymond Williams): the dominant
discourse, the residual discourse, and the emerging discourse. Ideas and concepts may be picked up
and used because they are compatible with the dominant policy discourse, and therefore serve to
confirm and support present approaches. Other ideas may be recognised as stemming from a residual
discourse, and may therefore be used because of their familiarity, or dismissed as ‘old-fashioned’.
Yet other ideas may be noticed because they shape an emerging and alternative discourse, and may
thus be used by those who wish to challenge dominant ideas.
Other authors might be skeptical of the idea that there is only one ‘dominant discourse’, and might
be more prone to focus on the interaction between several societal structures and human
relationships, or the considerable ‘room for manoeuvre’ that exists both at a micro level (for
example, at different moments of the policy process), and at a macro level (for example, in the
present ‘information age’).
1.1 The policy process
The idea of a coherent ‘policy process’ provides a useful narrative for anyone involved in producing
or attempting to influence policies. The notion of a linear policy process is perhaps the easiest to
conceptualise and act on, and also the most amenable to providing explanations for policy failures
(Clay and Schaffer, 1984). However, the recent theme within social science of ‘who is telling the
story, and why’ has also filtered through to the literature on the policy process, and the story of a
linear policy process is increasingly seen to serve certain interests, and is further discredited as one of
the less realistic narratives (see overviews by Sutton, 1999; Keeley and Scoones, 1999). Counternarratives
are more prone to stress the political nature of the implicit assumptions and discourses
embodied in policy (Roe, 1991; Wood, 1985); the unpredictable and experimental life of policies
(Clay and Schaffer, 1984; Rondinelli, 1993); and the sometimes weak link between policy-making
and practice (Lipsky, 1979; Mosse, in van Ufford and Giri, forthcoming).
1.2 The current policy discourse
There are several ways of analysing a strong policy consensus and possibilities for voicing alternative
views. A few of the more frequently cited authors on this topic are Gasper and Apthorpe (1996) on
‘discourse analysis’, Hirschman (1970) on ‘exit, voice and loyalty’, Williams (1973) on ‘dominant,
residual and emergent formations’, Lukes (1974) on the ‘three dimensions of power’, and Chomsky
2
(1987) on the ‘framework of possible thought’. These provide a few of the possible approaches that
can be taken to develop an understanding of the current policy discourse.
The post Cold War-order has produced a remarkably consensual policy discourse within
development. The fall of the Soviet Union meant that liberal democracy and neo-liberal economics
became seen as the only realistic options for macro policy. At the same time the 1990s saw a reaction
against SAPs and the purely economic agenda of the Washington Consensus, and as a result the
Post-Washington Consensus emerged, emphasising the social aspects of development, the political
environment, and the role of institutions. This led to policies concerning good governance, civil
society and social capital, all of which fit well with the broader aims of liberal democracy and neoliberal
market policies (Leftwich, 1994; Mosley, Harrigan and Toe, 1995; Stern and Ferreira in
Kapur et al., 1997).
The rise and rise of NGOs in this period has brought a strong focus on participation, empowerment
and partnership (Henkel and Stirrat, in Cooke and Kothari, 2001). Although many NGOs may have a
different rationale and motivation from the Bretton Woods institutions, their practical
recommendations to a large extent mirror the macro policy discourse in areas such as building local
institutions, supporting civil society, and strengthening social capital.
1.3 The information age
The information age is variously described as a globalisation process that is inclusionary and
democratising (Giddens, 1990) or, alternatively, as an exclusionary dynamic that reinforces unequal
global power structures (Castells, in Carnoy et al., 1993).
Within this context, the production of research in itself becomes a political process, which can
potentially serve the interests of Western positions (Mohanty, 1988), or contribute to the
privatisation of information and the erosion of the public sphere (Elliot, in Boyd-Barrett and
Newbold, 1995). This does not only apply to research originating in the West but also to the political
strategies and relations surrounding the ‘Third World intelligentsia’ (Franco, in Williams and
Chrisman, 1994).
The effect of globalisation can also be seen in relation to the emphasis on transnational nature of
development policy co-ordination reflected also in the changes in form and structure of advocacy
networks attempting to influence policy in relation to the debate of an emerging ‘global civil society’
(Kaldor, Anheimer and Glasius, 2002).
3
2 The Actors (Networks, Organisations, Individuals)
The research/policy link is played out in the interface between the surrounding (political) structure
and the actors involved: networks, organisations/institutions, and individuals. Actors perceive and
remember circulating ideas in different ways, and choose to use, to store or to discard ideas on the
basis of various criteria. One of the first theories about such criteria was the rational economistic
model, or cost/benefit analysis. Another early theory was behaviourism’s stimulus-response model.
Since then several other approaches have emerged, providing different explanations as to why some
ideas are accepted, embraced and internalised instead of others. Although the explanations vary,
many of them in some way touch on the importance of elements previously ignored or labeled
‘irrational’, such as cultural values and understandings (both of organisations and of individuals), the
part played by informal and ‘non-linear’ decision-making processes, and the role of emotional
dynamics such as anxiety and memory (again, both in organisations and individuals).
The response to new ideas is also determined by existing views. It may be relatively easy for
networks, organisations and individuals to pay attention to research and ideas that conform to their
current views and approaches. Usually, it is more difficult to respond to new alternative ideas,
especially if these are in some way challenging and require some change. The change required might
be divided into two types: core changes and secondary changes. Core changes affect an organisation
or individual’s identity and values, and this kind of change is not likely to take place without a crisis
or very strong pressure. Secondary changes affect operational procedures, practices and resource
distribution, and are more likely to happen as a result of the influence of new ideas and research.
2.1 Networks and inter-organisational linkages
In the wider context of attempts to define the role of the state in neo-liberal economic theory, and
the emphasis on good governance and sector-wide programmes, networks have established
themselves as patterns of relations that are well suited to current policy processes (Keck and Sikkink,
1998). They also relate well to the present ideas of partnership and trust. In the literature on network
management, the starting point is often a view of policy-making as negotiation over ‘public action’.
Networks are seen as a relatively efficient means of handling such negotiations, and keywords are
therefore competition, coordination and cooperation (Kickert et al., 1997; Robinson et al., 1999).
From a management perspective, the role of networks in responding to new ideas is largely a
question of whether new ideas succeed in the official negotiation process or not. Thus, given the
power relations involved in agenda-setting, networks can easily serve to reproduce already dominant
ideas, and are therefore sometimes described as efficient means of ‘public management’ (see for
example Kickert et al., 1997) or means of ‘knowledge sharing’ (Struyk, 2000).
An alternative stream of literature emphasise the informal nature of networks, arguing that networks
are not a means of ‘public management’, but rather a potent means of challenging public
management through generating multiple unofficial and creative policy ‘interpretations’ (Stacey, in
Albert, 1995). Over time these informal interpretations become institutionalised, but once they are
recognised as official policy, the networks will already have started generating new unofficial ideas.
This perspective – associated with chaos theory – is more prone to emphasise the informal and nonlinear
aspect of negotiation processes over ideas, rather than the official narratives of competition,
coordination and cooperation.
4
2.2 Organisational management, learning and change
Mary Douglas (1986) introduced the idea that every institution has its own ‘thought-world’ – its past
experiences, symbols, trusted ideas, and ways of remembering and honouring these. This is worth
bearing in mind when considering why some organisations are more able than others to pick up and
use new ideas – for three reasons.
Firstly, it allows us to think of organisations as to some extent human in their decision-making
processes (Levitt and March, 1988). Organisational decisions are not automatically more rational
than individual decisions, and organisations, like people, can act in seemingly irrational ways. In an
attempt to capture this realisation, organisational literature has embraced the concept of
organisational culture and identity (see for example Smircich, 1983). It must be noted that Douglas
has also been criticised for the perhaps facile conflation of individual and organisational dynamics.
Secondly, the notion of an institutional thought-world highlights the fact that there is more to
organisations than meets the eye. Organisational change is not only an issue of changing the visible
formal procedures, but is rather a complex dynamic between formal and informal processes (Hailey
and Smillie, 2001). Since informal processes are less visible and predictable, organisational change
requires that the leadership is skilled both in observing organisational patterns, and in providing
support for staff when change inflicts on informal systems.
Thirdly, the organisational thought-world neatly pinpoints the interaction between organisations and
individuals. The institutional thought-world can have a strong consensual effect on the way its
members perceive and react to new ideas, i.e. a consensus-generating function (Douglas, 1986) and
even a fashioning of individual identity (Carr, 1998). The institutional thought-world can also
provoke feelings of disempowerment and protest among its members, and can constitute ‘resistant
subjects’ and saboteurs (chapters by Clegg and Lanuez and Jermier, in Jermier et al., 1994).
2.3 Social psychology – perception and decision-making
The link between research and policy is, at various stages of the process, shaped by individuals and
the way in which they perceive new ideas and choose to react. There are several theories within
social psychology that attempt to explain which factors determine individual perception and decisionmaking.
Broadly speaking these theories can be divided into three main approaches, corresponding
to the three views in the classic nature/nurture debate within psychology and sociology.| The first approach views ‘nurture’ as primary – or, using Tilly’s (2000) terms, the first approach
stresses the importance of socially acquired ideas. People react to new ideas based on the beliefs,
concepts, values and ideas that they have already acquired from their environment. The models
for decision-making outlined by Beach (1997) largely fall into this category: the recognition
model, the narrative model, the incremental model, and the moral/ethical model.| The second approach privileges ‘nature’. According to this perspective, people’s perception of
new ideas, and their reactions and decisions, are for a large part determined by instinctive needs
that all people are born with, e.g. needs for control and security. Several of the psychological
theories of learning and development (as outlined by e.g. Collin, in Beardwell and Holden, 2001)
rest on the assumption that people – from a very early age – have different instinctive preferences
for how they learn (activists, reflectors, theorists, and pragmatists).
5| The third approach builds on a nature/nurture dialectic in which individuals both shape and are
shaped by their environment. Tilly (2000) calls this the ‘relations’ approach because it sees
individual perception and decisions as the outcome of interpersonal and inter-group dynamics.
Beach’s (1997) discussion of how people attempt to align their frames of understanding with
other people’s frames might be an example of a relations approach.
6
3 The Message and Media
The degree of attention paid to circulating ideas is also determined by the way that those ideas are
presented. There are many academic fields that provide interesting contributions in this regard,
including the literature on interpersonal communication, advocacy and marketing communication,
media communication and IT, and knowledge management and research relevance. These fields have
gradually shifted away from various linear theories of communication (sender – message – channel –
recipient) towards more interactive models. The focus on interaction implies that there is no longer a
hierarchical and clearly defined relationship between the ‘sender’ and ‘recipient’, but rather that both
parties in a communication process occupy sender and receiver roles at different stages. Moreover,
both parties contribute to the content and meaning of the message. In other words, the message is
not fixed, but changes as it circulates between the different parties, since different actors will
understand and respond to the message in different ways.
The shift in focus away from the primacy of the sender, towards the importance of the interactive
response, has a lot to say for the research/policy link. Ideas may be picked up by actors precisely
because the actors respond to some ideas rather than to others. Whether or not a circulating idea is
able to elicit an engaged response from actors depends on a range of factors, such as the degree of
actor identification with the idea, the associated meanings evoked by the idea, the reaction to the
technological format of the idea, or the perceived credibility of the idea.
3.1 Knowledge management and research relevance
As knowledge is increasingly seen as an asset in its own right, a new field of study has emerged on
‘knowledge management’, or even ‘information accounting’ (McPherson, 1994), to complement the
already established field of ‘innovation diffusion theory’ (Rogers, 1995). Knowledge management
often focuses on the way information is handled within an organisation or network. It offers
recommendations on how researchers might disseminate their findings more effectively within policy
networks (Saywell and Cotton, 1999; NCDDR, 1996), or how NGOs might use information as an
important resource in advocacy work (Edwards, 1994; Meyer, 1997).
This literature can also be seen in relation to sociological and anthropological reflections on
knowledge as a social process. Knowledge is not a fixed entity that is passed unscathed from one
stage to the next, from researchers to policy-makers, or from NGOs to politicians. Instead
knowledge is a site of contestation (Long and Long, 1992), and knowledge management is
embedded in various power relations (Agrawal, 1995).
This has implications for research as a site for knowledge production. Research does not consist of a
set of neutral and objective messages, but shapes and is shaped by the context and different power
relations. Research becomes a site of contestation for example when different methods produce
different stories about reality. This expands the horizon of knowledge management to include not
only methodological concerns (which research methods and information systems are most
appropriate in which contexts) (Bryman, 2001), but also normative and ethical questions about who
decides whether knowledge is ‘representative’, how can researchers remain accountable to the
groups that they produce knowledge about, and whose interests do information systems serve (see
chapters by Fine et al., and Kennis and McTaggart, in Denzin and Lincoln, 2000).
7
3.2 Interpersonal communication and advocacy
Although most ideas in the information age are communicated in written form, often electronically,
the interpersonal aspect of communication is still extremely important. Firstly, face-to-face exchange
of ideas has an influence both on the way we perceive the ideas (they may seem more, or less,
credible depending on the way we perceive the other person) and on whether we remember the ideas
and make use of them. Secondly, even electronic communication is based on the notion of
interpersonal relations. When a person reads or receives a message, she or he will be influenced by
either a real or imaginary image of the ‘other person’ who wrote or sent the message.
This personal aspect of communication means that a wide range of factors come into play in addition
to the spoken or written words, and our understanding and evaluation of the message is duly
influenced by these other factors. This is summed up in Watzlawick’s (1978) phrase ‘one cannot not
communicate’; people, as opposed to machines, notice and respond to everything, ranging from the
way the other person is dressed, to the tone of their voice, or the lay-out of the document they are
reading. Moreover, people have ‘irrational’ emotions, and personal memories and experiences can
play a large part in the way we respond to a new idea. Psychoanalytic theories explain this in terms
of transference and projection (Chodorow, 1999). Not only the perception of ideas, but also the
‘acting out’ of these ideas is shaped by interpersonal relations. Goffman (1990) introduced the
concepts of front and back-stage performances to explain why people will voice slightly different
opinions in different contexts, and present themselves and their ideas in different ways depending on
the audience. ‘Official’ versions of ideas can differ substantially from the back-stage versions, and
some groups will not have access back-stage.
The literature charting NGOs’ increasing involvement in campaigning and advocacy work moves the
analysis of interpersonal communication up to a macro level (see e.g. Chapman and Fisher, 1999;
Edwards and Gaventa, 2001). This raises issues not only of how one presents oneself, but also of
how one claims to represent others. Questions of legitimacy and downward accountability become
important.
The research/policy link is in the advantageous position of being able to draw on both micro and
macro perspectives of interpersonal communication and advocacy, as its field ranges from individual
output and opinions to macro concerns for the distribution of ideas, power and resources on a global
level (cf. Hudson, in Lewis and Wallace, 2000).
3.3 Marketing communication
Following the marketing assumption that products are bought on the basis that they provide
solutions to problems (Lambin, 1996), it might be suggested that ideas are often picked up and used
because they too are seen to provide solutions to a particular problem at a particular time. This leads
on to the question of why people perceive certain products/ideas as ‘solutions’ rather than others,
and what makes information about a certain product/idea ‘stick’ in people’s minds (Gladwell, 2000,
has termed this the ‘stickiness factor’).
The literature on marketing communication provides some interesting insights on this issue. One of
the main principles of marketing is to get people to respond (Kotler et al., 1999; Varey, 2002). Once
a person or group responds to a product/idea they are engaged in the communication process, and
are far more likely to remember and potentially use the product/idea. There are several factors that
elicit a response from people. Kotler et al., (1999) divide these into rational (cost/benefit), emotional
(stirring up positive or negative emotions), and moral factors (appealing to a sense of right and
8
wrong). Importantly, a response – whether on rational, emotional or moral grounds – often refers to
the associated meanings of the product/idea, rather than the product/idea in and of itself. As
advertising experts realised a long time ago, people respond much more strongly to the associations
of a product rather than the product itself, and therefore advertisements aim to sell associations,
meanings, an image, and the identity that comes with it (Williamson, in Marris and Thornham, 1996).
This has interesting implications for the question of why researchers and policy-makers pick up on
certain ideas rather than others, since ideas are also ‘packaged’ in associated meanings, an image,
identities, and normative ideals. Ideas may thus succeed in eliciting responses – or fail to elicit any
response – precisely because of these factors rather than the content of the idea itself. These insights
are also starting to be picked up in the literature on social and political marketing (Bedimo et al.,
2002; Buurma, 2001; Lefebvre, in Bloom and Gundlach, 2001; Maarek, 1995; Price, 2001).
3.4 Media communication and IT
Media studies have gradually moved away from a focus on cultural hegemony (how the media
communicates dominant representations) to a more interactive model that emphasises the active role
of the audience (Newbold, in Boyd-Barrett and Newbold, 1995). The interactive model rejects the
view that the audience receives a message and understands it in the same way that the ‘sender’
intended it to be understood. Rather, every pronounced message is accompanied by a number of
‘silent messages’ (Mattelart and Mattelart, 1998), and the audience actively interprets these and fills
in the gaps. There are several theories about the influences on what the audience uses to fill the gaps
and thus reconstruct the message. Some emphasise the process of identification as audience members
seek to ‘find themselves’ in the message (see overview by Allor, in Boyd-Barrett and Newbold,
1995). Others underline the importance of the audience’s existing cultural and political beliefs, and
past experiences (Philo, in Marris and Thornham, 1996).
There are also several ‘silent messages’ in the technological format of the messages. Technology is
not a neutral tool that efficiently transmits information from one place to another. Bourdieu (1991)
has long been recognised for his insight that all language and communication is inseparably tied up in
power relations. Recent literature similarly emphasises that both media and information systems are
embedded in cultural and social relations (Norris, 2001; Volkow, in Avgerou, 1998), and that
technology is ‘translated’ in different ways between contexts (see McMaster et al., 1997 on actornetwork
theory). This means that the cultural surroundings and social relations – whether in an
organisation, a network or in the wider society – will shape the way media technology and IT are
perceived and used (or not used; cf Peterson, 1998, on the failure of IT in public bureaucracies in
Africa). In turn, this has profound effects on the way that communicated messages are perceived.
9
Summaries in Alphabetical Order by Author
Agrawal, A (1995) Dismantling the Divide Between Indigenous and Scientific Knowledge
This article discusses the current focus – especially within ‘people-centred’ development – on the use
of indigenous knowledge as a significant resource. Although Agrawal recognises that the challenge
to the monopoly enjoyed by ‘Western’ (scientific) knowledge is long overdue, he criticises the
assumption implicit in the new indigenous knowledge discourse that there is a clear divide between
indigenous and Western knowledge. This dichotomous classification of knowledge is bound to fail
for two reasons. Firstly, each body of knowledge is so heterogeneous that it cannot be clearly
separated from the other. Secondly, the indigenous versus Western classification assumes that
knowledge is a fixed system (in time, space and content). Instead, Agrawal argues that knowledge
creation is a fluid process that evolves in close interaction with the changing (political, institutional,
cultural, economic) context. Moreover, knowledge changes depending on the interests it serves and
the purposes for which it is used. Therefore, different strategies for systematising and disseminating
knowledge will not be ‘neutral’, but will benefit different social groups.
Publisher: Development and Change 26(3): 413–439
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Anthropology
Allor, M (1995) Relocating the Site of the Audience
Several theoretical approaches have been critical of the ‘passive recipient audience’ that is implied by
a linear approach to media communication. These critical approaches all analyse how the original
meaning of the message is changed in the process of communicating it to an audience. As the
audience engages with the message, they mould it and fill in gaps, so that the message in the end
acquires specific but widely different meanings.
1. Political economy shifts attention away from the purely personal level and onto a social level,
viewing communication as something that circulates within (and serves to sustain) social
structures. In engaging with the circulating communication, audiences simultaneously create
meanings on two planes: meanings for themselves, and meaning for capital.
2. Post-structuralist/psychoanalytic theory focuses on the way that communication is a process of
subject formation. When an audience is presented with a text, the process of reading is a process
of identifying and investing in certain identities.
3. Feminist criticism has developed reader-response theory, which starts from the observation that
‘the reader’ is not an ideal type; readers are different in terms of gender as well as a range of
other variables. Therefore, a communicative text will evoke widely different and unpredictable
responses from the various readers. Reader-response theory claims that the text has no stable
meaning in itself, but instead is given different meanings in the interaction with the reader.
4. Cultural studies examine the production of dominant representations in the media (the process of
encoding), and the audience’s response to these representations (the process of decoding).
Rather than assuming that the audience passively accepts the dominant representations, cultural
studies posits that the audience actively interprets them through different responses, ranging from
adoption to questioning or resistance. The responses are determined at several levels by the
audience’s cultural meanings, sub-cultures, social location, social practices, individual identities,
and fantasies.
Publisher: In Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. Arnold, London
Key theme: Message and media/Media communication and IT
Academic discipline: Media and communication
10
Anheimer, H, Glasius, M and Kaldor, M (2001) Introducing Global Civil Society
The authors argue that global civil society both feeds on and reacts to globalisation. Like global civil
society, ‘globalisation’ is also a new concept with different meanings. In every day usage it tends to
refer to the spread of global capitalism. In the social science literature it is usually defined as growing
interconnectedness in political, social, and cultural spheres as well as the economy, something which
has been greatly facilitated by travel and communication (see Held et al., 1999). It is also sometimes
used to refer to growing global consciousness, the sense of a common community of mankind
(Shaw, 2000; Robertson, 1990).
On the one hand, globalisation provides the bedrock for global civil society, the supply side of the
phenomenon that pushes it on. There does seem to be a strong and positive correlation between what
one might describe as ‘clusters of globalisation’ or areas of what Held et al., (1999: 21–5) call ‘thick
globalisation’ and clusters of global civil society.
On the other hand global civil society is also a reaction to globalisation, particularly to the
consequences of the spread of global capitalism and interconnectedness. Globalisation is an uneven
process which has brought benefits to many but which has also excluded many. It is those who are
denied access to the benefits of global capitalism and who remain outside the charmed circle of
information and communication technology who are the victims of the process and who organise in
reaction: the demand pull of global civil society. They are now also linking up with those in the
North who form a new kind of solidarity movement.
This new form of activism takes place against the background of the ‘development industry’ and the
spread of INGOs in the South for service delivery and development assistance. But is not only the
range and density of INGO networks that matter in relationship to globalisation. Our studies of
specific global issues show that global civil society is best categorised not in terms of types of actors
but in terms of positions in relation to globalisation. All three of the issue chapters in the Yearbook
adopt a similar categorisation of global civil society actors, as shown in the Table 1.4.
One way of defining or understanding global civil society is as a debate about the future direction of
globalisation and perhaps humankind itself.
(Excerpt taken from the Centre for Civil Society webpage www.lse.ac.uk/Depts/ccs/)
Publisher: Global Civil Society 2001, Oxford University Press
Key theme: Political context/Information age
Academic discipline: Political science
Beach, L R (1997) The Psychology of Decision-Making: People in Organisations
The book presents an overview of the psychology of decision-making. The author broadly
characterises decision making as a sequence of events: diagnosis, action selection, and
implementation.
The book describes a number of different naturalistic models that have emerged:| Recognition models (the role of situation recognition and policy in guiding behaviour).| Narrative models (the roles of scenarios, stories, and arguments for understanding the past and
present, forecasting the future and justifying decision making).| Incremental models (emphasis on remedying what is wrong with the present situation and
incremental implementation, with its focus on decision cycles driven by feedback about
progress).
11| Moral or ethical models (the role of morals and ethics in both proscribing unacceptable courses
of action and in prescribing actions that the decision maker is obliged or committed to
undertake).
The author also presents a theory – image theory – that seeks to capture the four naturalistic models
together with some additional issues from previous theories. The image theory assumes that decision
makers come to the decision with a store of knowledge that conveniently can be divided into three
categories, the three images. These are knowledge about what truly matters (beliefs and values),
what constitutes a desirable future (goals), and how to go about securing the future (plans).
One of the themes of the book is the importance of framing, which serves to tie an event to the
decision maker’s ongoing experience, thereby endowing the event with meaning. Because every
decision is seen ultimately as a social decision, people make efforts to understand others’ frames.
When they perceive differences between those frames and their own, they make efforts to align the
frame, through discussion and persuasion. The author further argues that when people have a history
of shared experience, they tend to frame situations similarly in the first place. In the same way,
organisations’ cultures, the beliefs and values shared, can promote similar frames and therefore
contribute to coordinated decision making.
The author describes the organisational version of the image theory as similar to that of the
individual. Thus, knowledge about the organisation’s culture is part of the individual’s value image,
knowledge about the organisation’s vision is part of the individual’s trajectory image, and knowledge
about the organisation’s strategic plan is part of the individual’s strategic image. When making
decisions for and about the organisation, the framing assures that these organisationally relevant
parts of the individual’s knowledge contribute to the decision process.
Publisher: Sage, London
Key theme: Actors/Perception and decision making
Academic discipline: Social psychology
Bedimo, A L, Pinkerton, S D, Cohen, D A, Gray, B and Farley, T A (2002) Condom
Distribution: A cost-utility analysis
Objective: To explore the cost-effectiveness of a condom distribution programme. Methods: We
conducted a cost-utility analysis of a social marketing campaign in which over 33 million condoms
were made freely available throughout Louisiana. Surveys among 275,000 African Americans
showed that condom use increased by 30%. Based on the estimated cost of the intervention and
costs of HIV/AIDS-associated medical treatment, we estimated the quality-adjusted life years
(QALYs) saved, and number of HIV infections averted by the programme. Results: The programme
was estimated to prevent 170 HIV infections and save 1909 QALYs. Over $33 million in medical
care costs were estimated to be averted, resulting in cost savings. Sensitivity analyses showed that
these results were quite stable over a range of estimates for the main parameters. Condom increases
as small as 2.7% were still cost-saving. Conclusion: Condom distribution is a community-level HIV
prevention intervention that has the potential to reach large segments of the general population,
thereby averting significant numbers of HIV infections and associated medical costs. The
intervention is easy to scale up to large populations or down to small populations. The financial and
health benefits of condom social marketing support making it a routine component of HIV
prevention services nationally.
(Abstract from INGENTA)
Publisher: International Journal of STD and AIDS 13(6): 384–392
12
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Berkout, F and Scoones, I (1999) Knowing how to change. Environmental policy learning and
transfer
New knowledge, changing expectations and practical experience are being applied by policy actors at
many different levels, in a process of ‘adaptive social learning’. Yet learning runs into numerous
obstacles and blockages. Knowledge is seen as a key ingredient of learning and shifts in
understanding may arise from multiple sites, resulting in either more fundamental reframing of policy
problems, sometimes challenging long-held conventional wisdoms, or more incremental changes
focused on more marginal instrumental changes. Whatever its source, new knowledge and the
prospect of change that it brings, frequently threatens existing policy relationships and structures of
power. Responses to scientific and practical knowledge are highly differentiated. Stephens identifies
two processes which she names ‘snowballs’ (the accumulation of research impacts within policy
elites) and ‘whispers’ (the reinterpretation of research findings in broader constituencies).
Environmental policy learning is most effectively achieved by adopting a more flexible and iterative
model of the policy process.
Publisher: Science and Technology Policy Research (STPR), UK
Full document: www.id21.org/society/insights30editorial.html
Key theme: Political context/Policy process
Academic discipline: Development management
Bourdieu, P (1991) On Language and Symbolic Power
Bourdieu has had a significant impact on media studies because of his argument that relations of
communication are always, inseparably, power relations. The agents or institutions involved in
communication have different degrees of ‘symbolic power’, i.e. the power to make people see and
believe certain visions of the world rather than others. Those with relatively high symbolic power are
able to present visions that people will conform to, or are even able to transform visions. The
symbols used (the cultural codes, the buzzwords, the presentation, etc) serve the function of creating
consensus and ‘glueing’ society together. However, the symbols will always serve the interests of
some groups rather than others, thus anyone who is able to launch or control symbols will also have
(political) power. The result is that any communication is closely linked to the relative symbolic
power that the communicator has to ‘construct visions of reality’.
Publisher: Polity in association with Basil Blackwell, Cambridge
Key theme: Message and media/Media communication and IT
Academic discipline: Sociology
Brown, D L (1995) Managing Conflict Among Groups
The importance of effective conflict management in organisations is increasing, symptomatic of
global trends. Relations among groups in organisations can be characterised by too much or too little
conflict, depending on their task, the nature of their differences, and the degree to which they are
independent. This proposition suggests that conflict managers should strive to maintain some
appropriate level of conflict, rather than automatically trying to reduce or resolve all disagreements.
Power differences between groups promote fear and ignorance that result in reduced exchange of
information between groups, and the potential for explosive outbursts, escalating conflict, or
escalating oppression. Evening the odds, at least in psychological terms, may be a prerequisite to
effective intervention in such a situation. Managers must cope with fear, ignorance, and their
consequences to effectively manage conflicts between unequal groups.
13
Societal differences institutionalised in the larger society may further complicate relations among
groups in organisations by introducing environmental events and long histories of tension. Managing
such differences may require invocation of environmental pressures and the development of counterinstitutions
that help the organisation deal with the effects of systemic discrimination in the larger
society. Environmental developments produce the seeds for organisational conflicts, but they also
offer clues to their management.
Publisher: In Kolb, D A, Osland, J and Rubin, I M (eds.) The Organisational Behavior Reader 6th
Edition, Prentice-Hall International
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Bryman, A (2001) Social Research Methods
Bryman’s comprehensive discussion of different research methods covers both quantitative and
qualitative approaches, as well as issues raised by attempts to break down the divide between the
two. In his chapter on qualitative research, he suggests several criteria for evaluating the findings.
The traditional criteria, borrowed from quantitative approaches, are reliability and validity:| Reliability: The degree to which a study can be replicated (external reliability), and the degree of
consensus among the research team (internal reliability).| Validity: The degree to which findings can be generalised (external validity), and the degree of
congruence between the researcher’s observations and theoretical ideas (internal validity).
Alternative criteria, developed specifically for qualitative research, are trustworthiness and
authenticity. Each of these has several sub-criteria.
Trustworthiness:| Credibility: The research has taken multiple accounts of social reality into consideration, for
example through triangulation (using more than one research method, source of data, and
theoretical perspective).| Transferability: Qualitative studies are not expected to be generalisable in the same way that
quantitative studies are. However, qualitative studies should provide readers with the possibility
of transferring findings where appropriate. This can be done through producing ‘thick
descriptions’ (following Geertz) that take into account the details that surround an event and the
several layers of understanding.| Dependability: The degree to which all stages of the research process (problem formulation,
selection of participants, fieldwork notes, data analysis decisions, etc) are transparent and open
to questioning. This is facilitated by researchers keeping complete and accessible records.
Authenticity:| Fairness: The degree to which the research fairly represents different viewpoints from the social
setting under research.| Ontological authenticity: The degree to which the research helps members of a social setting to
better understand their own environment.| Educative authenticity: The degree to which the research helps members to understand the
perspectives of other members.| Catalytic authenticity: The degree to which the research acts as impetus for social action.
The authenticity criteria have on the whole not been influential. They can be associated with action
research.
14
Publisher: Oxford University Press, Oxford
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Research methodologies
Buurma, H (2001) Public Policy Marketing: Marketing exchange in the public sector
Customer-oriented governments may use marketing tools to match their policy ‘products’ with
citizens’ requirements. However, these tools are not based on exchanges since governments, apart
from cost recovery, do not demand any reciprocation for their products. The concept of public
policy marketing could enable governments to ‘sell’ their policies to citizens, based on noncommercial
marketing exchanges specific to the context of public administration. Then, social
behaviour should be considered citizens’ reciprocation contributing to social effects the government
has aimed for. Thus public policy marketing, though not yet tested in practice, can be expected to
improve the implementation of those governmental policies in which citizen conduct is critical to
success.
(Abstract from INGENTA)
Publisher: European Journal of Marketing 35(11): 1287–1302
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Carr, A (1998) Identity, Compliance and Dissent in Organizations: A Psychoanalytical
Perspective
Much of the literature in organisation theory has yielded an image of the individual which could be
called ‘skilfully partial’. The viewpoints talk ‘about’ human agency without having a view ‘of’ human
agency, turning what is a ‘process’ into an ‘object’. Other viewpoints raise the same dichotomy,
without an underlying theoretic about the dynamic between the two. An example of this difficulty is
apparent in the literature that seeks to address the issues of compliance and dissent in organisations.
There is little in the way of explanation of the psychodynamics that are involved. This paper puts
forward an explanation of compliance and dissent in organisations and explains how these issues are
very much intertwined with the dynamic processes involved in the construction of individual identity.
This explanation recognises the importance of individual experiential histories, including those that
are specifically institutionally fashioned, such as gender and the primacy of work. Drawing upon
psychoanalytical theory (with some of its Frankfurt School and other variants), an essential lens is
provided through which the issues of compliance and dissent can readily be viewed and understood.
Results from recent studies are used to illustrate this different perspective, and the psychodynamics
that are put forward are discussed in terms of further implications for the field.
(Abstract from Organization)
Publisher: Organization 5(1): 81–99
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Castells, M (1993) The Informational Economy and the New International Division of Labour
Globalisation has been seen as an expansionary and inclusionary process. Castells argues that it is
now becoming an exclusionary process, due to the nature of the emerging global informational
economy. The highest value-added links in the chain of global production are concentrated in core
areas, along with the highest value production of information. These core areas cut across the
traditional First/Second/Third World divide, as the information age has made it possible to link core
areas in the ‘First World’ with metropolitan core areas in the ‘Third World’. The reason that this is
now an exclusionary process is because other areas, which might previously have been exploited by
15
the international division of labour, are now becoming irrelevant in the dynamics of the informational
economy. Castells calls these irrelevant areas the ‘Fourth World’, and argues that they can be found
both in the ‘First’ and in the ‘Third World’.
Publisher: In Carnoy, M, et al., The New Global Economy in the Information Age. Macmillan,
London
Key theme: Political context/Information age
Academic discipline: Political science
Chapman, J and Fisher, T (1999) Effective Campaigning
International non-governmental organisations are devoting more energy to policy influence work
without knowing much about what makes a campaign effective. Based on research conducted by the
new Economics Foundation, and focusing on case studies of child labour in India and the promotion
of breast feeding in Ghana, they recommend: (i) effective campaigns require a long-term commitment
and take place at many different levels: international, national/regional, and grassroots. To achieve
the reach and mix of skills required, collaboration is essential while individuals (or champions) with
drive and commitment are also key; (ii) campaigns are not enough on their own; implementation and
change at the grassroots should never be assumed and require additional activity; (iii) a narrow focus
can be effective in getting an issue formulated but problems caused by poverty are more complex; if
the campaign is not widened out at a later stage it is unlikely to achieve effective change; (iv)
effectiveness is an art not a science: but organisations can learn from past and present experience
using frameworks and other evaluative processes. In evaluating different structures for collaboration,
they identify three types: ‘pyramid’ (quick, helps get access to top level of policy, but can ignore
grassroots), ‘wheel’ (slow but good for information exchange and development of centres of
specialisation), ‘web’ (like a wheel but with no focal NGO, could be too slow for campaigning).
Publisher: New Economics Foundation, London
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Political science
Chodorow, N (1999) The Power of Feelings: Personal Meaning in Psychoanalysis, Gender,
and Culture
Psychoanalytic theories about how we communicate take as their starting point the different ways in
which we create ‘personal meaning’ when dealing with events. Humans have the need to gain a sense
of meaning and to manage new experiences that may be threatening. This is done through drawing
on our inner world, which harbours an array of possible reactions built on past experiences and
emotions. This inner reality is brought into interpersonal communication through transference and
projection.
First, transference can be described as ‘the private language of the self’, meaning that every person
imbues present relationships with feelings and reactions from past relationships. Second, projection is
the process whereby a person projects her/his own emotions or beliefs into the other person. This is
also called projective identification, as it makes it easier for us to identify with the other person, thus
facilitating communication for us. However, projection also serves to confuse communication, since
the other person is not always aware of which emotions or beliefs are attributed to them, and in turn
they engage in their own process of projection.
16
In sum, all people use transference and projection in order to create personal meaning when
communicating with someone else. An awareness of these processes may throw light on why people
experience relationships and messages so differently. It also highlights the importance of attempting
to understand the ‘private language’ of the person one is communicating with.
Publisher: Yale University Press, New Haven
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Social psychology
Chomsky, N (1987) The Manufacture of Consent
Chomsky argues that US policies are shaped by and in turn shape a ‘framework of possible thought’.
This framework consists of various tacit doctrines, (such as the idea underpinning US foreign policy
that Nicaragua poses a threat to the US). These doctrines are all the more effective in ‘engineering
consent’ because they are not debatable; certain terms (e.g. ‘peace’, ‘security’) seem so persuasive
and self-evident that opposition to them is unthinkable. Chomsky claims that dissident views are so
easily relegated to the periphery in US policy making precisely because these views are not able to
communicate with policy makers within the framework of possible thought, and are therefore
dismissed as impossible or morally dubious (‘anti-peace’, ‘anti-security’).
This highlights the necessity of understanding the framework and terms within which policy is made
thinkable, if one is to challenge a policy consensus.
Publisher: In The Chomsky Reader (edited by Peck, J). Serpent’s Tail, London
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Clay, E J and Schaffer, B B (1984) Room for Manoeuvre: An Exploration of Public Policy in
Agricultural and Rural Development
Clay and Schaffer start from the assumption that policies can actually make a difference and that
there are different policy choices; i.e. there is room for a manoeuvre. However, this does not mean
that policy is a case of linking intentions to implementation. In fact, Clay and Schaffer point out that
there is frequently a gap between policy aims and outcomes, and they claim that this clear divide is
upheld because it enables the group on each side (decision-makers versus implementers) to blame the
other group for policy failures.
They conclude by emphasising the importance of self-awareness in the policy process, in order to
avoid the decision/implementation dichotomy and to encourage responsible action at all stages of the
process. They also note the danger – especially in rural development – that policy making may
become ‘a mystique of elites’ (p.192), and therefore it is important to engage with the groups in
question. Finally they comment that ‘the whole life of policy is a chaos of purposes and accidents’
(p.192); however, this is not seen as an excuse for irresponsibility, but rather is used as an argument
for increased responsibility.
Publisher: Heinemann Educational Books, London
Key theme: Political context/Policy process
Academic discipline: Development management
17
Clegg, S (1994) Constitution of the Resistant Subject
The two general ingredients in this chapter are the relation between the interconnection of power
relationships and the constitution of subjectivity. One way of expressing this is through the
construction of a continuum of ‘the degree of intensiveness/extensiveness of the power relations
constitutive of the subject’. Drawing on the chapters in this volume it is possible to identify at least
three aspects of this dimension of power and subjectivity. There is, first, the question of individual
organisation. How coherently organised is the individual, in terms of their subjectivity, as a reflexive
agent in power relations? How coherently organised is the individual as one who seeks to enrol,
translate, interest or oppose others in their projects? Does the subject have sufficient self-cognisance
to be able to exercise this agency? Second, at the mid-point, there is the question of social
organisation. To what extent is the subject able to draw upon resources of social organisation greater
than the self, such as familial networks or an ecology of local community networks? Third, the most
extensive point is the question of solidaristic organisation: to what extent can the subject draw upon
consciously organised resources of a social movement or collective organisation in the pursuit of
their agency? Or, to put the question in another, equally appropriate way, to what extent does power
constitute the resources of human agency in terms of self, significant and generalised others?
(Summary taken from chapter)
Publisher: In Jermier, J M, Knights, D and Nord, W R (eds.) Resistance and Power in Organisations.
Routledge, London
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Coleman, D (1991) Policy Research – Who Needs It?
The relationship between government policymaking and policy research changes over time and
between governments. It seldom follows the orderly sequence of logical events which researchers
may like to imagine. In attempting to understand the relationship between the creation of knowledge
and its use by policymakers, it is essential to understand the needs and behaviour of politicians, the
pressures upon their time and the wide range of channels of information, informal as well as formal,
open to them and to their immediate advisers. Social policy research, partly because of its frequent
ambiguity and partiality, is particularly likely to be ignored by its official consumers in government.
Some social and economic questions are probably not capable of effective testing by research other
than by governments putting policies into effect on a national scale. Evaluation of such experiments
is difficult. More attention needs to be paid to the marketing of ideas by pressure groups and think
tanks. Governments can shop around for acceptable advice from a wide range of sources outside
academic life. Except in highly consensual political cultures, the only decisions which are made
primarily on the basis of research findings are politically unimportant ones. In considering the role of
policy research it is essential to keep the primacy of politics firmly in mind.
(Abstract taken from article)
Publisher: Governance 4(4): 420–455
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Collin, A (2001) Learning and Development
The article starts with a series of definitions of learning which essentially rest on the view that the
acquisition of knowledge facilitates change in perceptions and practice. These attributes are
increasingly important in the information age where people are expected to deal with change and
new technology, and become more skilled in problem solving and creative thinking.
18
One theory of learning (associated with Kolb) sees it as an integrated cognitive and affective process,
moving in a cyclical manner through concrete experience, to reflective observation, to abstract
conceptualisation, to active experimentation in decision-making and problem solving.
However, many people have a preference for a particular phase and do not complete the cycle.
Honey and Mumford, building on Kolb’s phases, identify four learning styles: ‘Activists’ learn best
when they are actively involved in concrete tasks; ‘reflectors’ learns best through reviewing and
reflecting upon what has happened and what they have done; ‘theorists’ learn best when they can
relate new information to concepts or theory; and ‘pragmatists’ learn best when they see relevance
between new information and real-life issues or problems.
Theories of learning are often linked to theories of (life-span) development. Erikson’s model of
personal development outlines different stages that each individual passes though. The critical factor
driving change from one stage to the next is the experience and resolution of a ‘crisis’. Kegan
develops a similar model which highlights that each transformation involves risk, a move away from
familiarity towards uncertainty.
Publisher: In Beardwell, I and Holden, L (eds.) Human Resource Management: A contemporary
approach. Pearson Education, Harlow
Key theme: Actors/Perception and decision making
Academic discipline: Social psychology
Douglas, M (1986) How Institutions Think
Mary Douglas’ seminal book is an anthropological study of the basis for collective action through
institutions. She moves away from the rationalist choice model that privileges the decision-making of
sovereign individuals, and which would view organisational decisions as the outcome of negotiations
between powerful individuals within the organisation. Instead she argues that organisational
decisions are largely shaped by the institutional ‘thought-world’. All institutions generate their own
world of images, symbols, ideas, and past experiences, and people in the institution to some degree
must accept this thought-world in order to function. Thus individuals’ decisions in an institution are
largely shaped by the institution as a whole. Moreover, the institutional thought-world orders
experience and memory, and exercises a relatively large degree of control over the way its members
perceive and react to new ideas. In Douglas’ term, institutions exercise ‘social control of cognition’.
Publisher: Syracuse University Press
Key theme: Actors/Organisational management
Academic discipline: Anthropology
Edwards, M (1994) NGOs in the Age of Information
In this article, Edwards links the rise of NGOs within the development field to the emergence of the
information age, and poses the question of whether NGOs have a comparative advantage in linking
information, knowledge and action in an efficient and relevant way. He suggests that NGOs have a
distinctive competence in this area due to three factors: 1. NGOs have direct access to fieldwork and
local accounts. 2. NGOs usually have offices that span the different levels of the global system, and
therefore information can flow easily between the grassroots, NGO local offices, NGO headquarters,
and NGO lobbying activity in global centres. 3. NGOs’ value base implies a democratic approach to
communication that emphasises openness, sharing and non-hierarchical communication channels.
NGOs rely on their distinctive competence in handling information for four main purposes. The first
and second purposes concern their own management systems and strategic plans, and their processes
of institutional learning. The third purpose is for advocacy. NGOs have realised that they have a far
19
greater chance to influence government and donor policy if they are able to make systematic use of
grassroots information in their advocacy work. The fourth purpose is one of accountability. NGOs
face increasing pressure to evaluate the impact of their work and to stand accountable to various
stakeholders, both upwards to donors and downwards to the communities in which they work. The
danger with multiple accountabilities is that upwards accountability may carry more weight than
downwards accountability, which in turn may result in a one-way information flow away from the
field rather than in both directions.
Edwards reviews possible barriers to information use in NGOs: internal organisational obstacles;
problems with representativity and the images that are used; and the gap between raw information
and knowledge. Possible solutions include organisational decentralisation, viewing information as an
integral part of all organisational processes, emphasising the need for information to be relevant, and
taking advantage of the opportunities provided by IT.
Publisher: IDS Bulletin 25(2): 117–124
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Development management
Edwards, M and Gaventa, J (eds.) (2001) Global Citizen Action
Edwards introduces this edited volume by pointing out that with the move away from the
‘Washington consensus’ we have new ideas about what partnership requires: strong social
infrastructure (including social capital); pluralistic governance and decision-making; partnerships
between public, private and civic organisations; and public support for international institutions. As
global governance becomes less state-based, the role of civil society is certain to grow. But many
NGOs are criticised for being unaccountable, illegitimate, and dominated by elites. NGOs with no
membership depend on research, experience and good links with partners to justify their growing
role as advocates. There is greater consensus on some campaigns (e.g. debt, landmines) than others
(trade, environmental, labour rights) due to conflicting interests. Better links are needed between
local and global levels, but it is also important, he advises, to build coalitions at national levels rather
than leapfrogging to officials in Brussels, for example. Information technology could allow more
democratic and horizontal coalitions and networks. On the other hand, since globalisation means that
certainty about solutions has become even more elusive, better research and dialogue is needed.
The various contributions assess efforts to influence the IMF or World Bank, and run global
campaigns to change development or corporate policy, and draw out the lessons learned. In one
chapter, Brown and Fox identify the key components of successful campaigns: (i) make the
campaign fit the target (different types of coalition and leadership are needed depending upon whose
interests are at stake); (ii) open up cracks in the system (e.g. identify sympathisers within the key
organisation); (iii) impact comes in different forms (so success and failure should be measured by
many different indicators); (iv) create footholds that give a leg up to those who follow (e.g. it is
easier to influence policy than ensure it is implemented but at least a policy standard creates
leverage); (v) leveraging accountability requires specifying accountability to whom (it is easier to
dismiss NGOs that can not point to genuine and specific grassroots constituencies); (vi) power and
communication gaps in civil society need bridges (‘chains’ of relatively short links can work more
effectively); (vii) the Internet is not enough to build trust across cultures (face-to-face negotiation is
required to create trust); (viii) small links can make strong chains (a few key individuals can bridge
chasms).
Patel, Bolnick and Mitlin write about housing rights to illustrate how a focus on local concerns and
processes, with international support, can be a potent recipe for influencing policy at all levels.
20
Harper asks ‘Do the Facts Matter?’ and demonstrates why they do. In a bid to raise profile and
funds, NGOs are tempted to exaggerate and simplify conclusions drawn from research and thereby
risk their credibility and undermine the efforts of others engaged in delivering more complex
messages. By demanding a total ban on child labour, for example, Christian detracted attention away
from organisations, like Save the Children Fund, who were recommending more complex strategies.
In some instances a ban has led to young girls seeking more abusive forms of work such as street
trading and prostitution. Chapman argues that different structures of collaboration are useful for
different purposes: a ‘pyramid’ can be dynamic and quick at getting access to the top; a ‘wheel’ is
good for developing specialisation and exchanging information.
Gaventa concludes that the lessons for global citizen action are that: (i) a diversity of approaches
should be embraced, (ii) action is needed at local, national and international levels with links between
them, (iii) networks and partnerships should be grounded in local realities, (iv) learning should
include participatory research and sophisticated policy analysis, (v) internal forms of governance
should be participatory, transparent and accountable.
Publisher: Lynne Rienner, Boulder
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Political science
Elliott, P (1995) Intellectuals, the ‘information society’ and the disappearance of the public
sphere
Elliott argues that the information society is not the democratic force that it is claimed to be. The
information society is seen as a process of democratisation by those who emphasise the increased
access to information and the expanded possibilities of two-way communication. Elliott points out
that access to information does not just depend on having the physical technology. Access is a matter
of power relations and the uneven distribution of rights and ability to mobilise one’s rights. The
present increase in information availability is linked to an increase in the privatisation of information,
meaning that information is no longer a right but a commodity. The information for which there is
highest demand – or which is demanded by the most powerful consumers – will be produced, rather
than information which is demanded by marginal groups or which runs counter to the interests of the
powerful actors in the information market. Therefore, Elliott suggests that the information society is
not a democratising force, but rather an erosion of the public sphere. It represents a shift away from
a society where people were involved as political citizens, to a society where people are involved as
consumption units.
Publisher: In Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. Arnold,
London
Key theme: Political context/Information age
Academic discipline: Political science
Fine, M, Weis, L, Weseen, S and Wong, L (2000) For Whom? Qualitative Research,
Representations, and Social Responsibilities
This essay is one of the opening chapters in Denzin and Lincoln’s comprehensive ‘Handbook of
Qualitative Research’. It engages with questions on how research represents the lives of the poor in a
time when the poor are increasingly becoming subjects of scrutiny by dominant institutions (the state
and its liberal policies, as well as the Third World development regime). This presents a new set of
dilemmas for the present generation of researchers, including questions of how to influence public
consciousness, how to link personal stories with social structures, and how to reframe both the
helpless-victim as well as the degenerate-victim images. The chapter explicitly states its normative
21
approach, which is centred on how to use research for the sake of social justice. They give several
suggestions on how this can be done:| The researcher needs to reflect on her or his own standpoint. This has the benefit of moving
away from the myth of the impartial observer, but at the same time carries the risk of flooding the
text with the Self rather than the Other.| Researchers need to be aware that they are usually instinctively drawn towards ‘great stories’
such as the unusual, the exotic, the bizarre, or the violent. At the same time researchers tend to
look for stories that confirm their own understandings. This dual bias brings with it the danger of
presenting an end product that over emphasises the extremes of the narratives.| The research has a greater chance of being representative if it attempts to combine ‘big stories’
(about the historical, cultural, political, economic circumstance of one group) with individual/ life
stories (to show effects at a personal level and to bring out some variation within the big story).| Research should ideally draw upon a range of methods in order to triangulate the findings.
Different research methods will reveal different versions of the story that the researcher is telling.| The researcher is usually in the privileged position of being mobile and thus having the
opportunity to leave a research site, group or topic after a period of time to carry on with
something else. This poses questions of accountability. Ideally, this requires that the researcher
adequately informs the research group of how the research will be used, invites the research
group to critically review the research findings, strives to stay accountable to them, and furthers
their cause through channels that she or he has privileged access to. In practice, however, there
are several obstacles to this.| Researchers should consider to what extent their analyses conform to or challenge the dominant
discourse. In turn, this means considering how the research might potentially be understood or
misunderstood by policy-makers from different political camps.
Publisher: In Denzin, N and Lincoln, Y (eds.) Handbook of Qualitative Research (2nd edition). Sage
Publications, Thousand Oaks
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Research methodologies
Franco, J (1994) Beyond Ethnocentrism: Gender, Power and the Third-World Intelligentsia
In a brief review of the development of the Latin American intelligentsia over the past half-century,
Franco notes that they have been constituted by a metropolitan and masculine discourse that they
have adapted to in order to catch the ‘metropolitan attention’. Not only has their intellectual
production relied on representations of women as symbolic virgins, mothers or whores, but the entire
process of intellectual production has been characterised by traits typically associated with
masculinity, such as public space, mobility, activity, and immortality. Thus research has been
occupied with the public and with (modern) production, rather than the private and reproduction,
and this has served to subordinate not only women but also the indigenous groups. Moreover, the
act of research and intellectual production becomes characteristic of ‘the masculine’ through being
framed as a quest for immortality and a confrontation between the pursuer and the pursued (i.e. the
writer and the reader).
When Latin American intellectual research has been revolutionary in character, this too is viewed as
eminently masculine, since the revolutionary is associated with the ideal-type militant who suppresses
feelings of weakness, and who is in many ways the diametric opposite of the feminine. The
revolutionary and counter-hegemonic discourses of the intelligentsia are built on conservative and
hegemonic gender relations. In sum, the constitution of the Latin American intelligentsia, in
interaction with the metropolitan attention, has served to embed the production of knowledge in the
sphere of domination and masculinity.
22
Publisher: Williams, P and Chrisman, L (eds.) Colonial Discourse and Post-colonial Theory, A
Reader. Harvester Wheatsheaf, New York
Key theme: Political context/Information age
Academic discipline: Political science
Garrett, J L and Islam, Y (1998) Policy Research and the Policy Process: Do the twain ever
meet?
This paper aims to contribute to the development of methodologies for evaluating the impact of
social science on policy choices and outcomes. Since it is almost impossible to trace a precise
pathway from specific research effort to policy decisions, evaluation of the impact of social science
research institutes should: (i) evaluate the quality and timeliness of research output, the contribution
of research to the policy debate, and the potential (rather than actual) impact of the research on
policy; (ii) evaluate contributions of research to ‘enlightenment’, and not only to policy change; (iii)
take into account the diverse ways in which research findings enter and influence the policy process,
(iv) perform evaluations over time to capture the different ways and different points in time at which
research influences policy actors and processes.
Research does not influence policy in a linear sequence. Outputs go into a general pool of
information that influences policy-makers; often they use it to help them define the scope of
problems and possible responses rather than dictate specific solutions. Information is sometimes
better received if produced internally by an internal ‘sponsor’. To make an impact researchers have
to understand policy-makers’ needs and how they make decisions; get the format, style and timing
right for the audience; make sure that the research is useful and rigorous; encourage public debate to
build up a consensus of opinion for action.
Publisher: Gatekeeper Series no. 74. International Institute for Environment and Development
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Gasper, D and Apthorpe, R (1996) Introduction: Discourse Analysis and Policy Discourse
Gaspr and Apthorpe provide a comprehensive overview of different approaches to policy as
discourse. Their starting point is to see policy discourse as ‘argumentation’, rather than as objective
and scientific statements. In other words, policies are ways of putting forward an argument about
what a particular situation (or what the world) is like, and what should be done about it.
Discourse analysis encompasses several strands. Some of the most important points from these
various streams include:| Policy discourse inevitably frames problems in a certain way, i.e. includes some aspects rather
than others. This approach to discourse analysis might focus on the specific concepts, tropes and
frames used in policies.| Policy discourse determines (and is determined by) a larger set of ‘rules’ about what is sayable
and thinkable. (For example, it is thinkable that participation is a good thing, but it is less
thinkable that participation is a bad thing.) This approach might focus more widely on the stories
and narratives that sustain policies, and the explicit or implicit rules of validation.| Policy discourse is not ‘just words’ but has material effects, as a change in discourse will have an
effect e.g. on the distribution of resources.
23
The idea of ‘emancipatory reading’ is introduced. Discourse analysis which focuses both on the text
and the context of policies can serve to draw attention to the argument that the policy is putting
forward (often under the cloak of neutrality and objectivity). This in turn can open up for debate and
increase the room for manoeuvre within policy-making.
Publisher: European Journal of Development Research 8(1): 1–15
Key theme: Political context/Current policy discourse
Academic discipline: Anthropology
Giddens, A (1990) The Consequences of Modernity
Modernity is inherently globalising. Giddens examines the globalising process through a sociological
lens, concentrating on the way social life is ordered across time and space (time-space distanciation).
Globalisation has rapidly increased the level of simultaneous local involvements and the interaction
across distance, meaning that the local is shaped by other local events and by the global, and the
global is shaped by multiple locals, at a much more intense rate than ever previously. This creates a
sense of ‘one world’, which has several effects. The global production process has spread out to
include all parts of the world in a global division of labour. This has enabled the diffusion of
production and communication technologies worldwide. It has also brought about shifts in the global
distribution of production and communication (for example, some of the advanced capitalist marketeconomies
of the West are now deindustrialising). The macro shifts brought about by globalisation
reach down to the local level through conditioning our way of perceiving the world and transforming
‘knowledge’; modernity in its present form would not be possible without, for example, the pool of
knowledge that we know as ‘the news’.
Publisher: Polity Press, Cambridge
Key theme: Political context/Information age
Academic discipline: Sociology
Gladwell, M (2000) The Tipping Point: How Little Things Can Make a Big Difference
This journalist’s analysis of what makes social epidemics happen draws on history, marketing
research and psychological studies. His main point is that small features can ‘tip’ a small trend into a
huge craze. A few individuals can make a big difference if they have the necessary qualities. The
following characters are usually key:| connectors – networkers, they know who to pass information to and are respected so will have
influence on key players;| mavens – information specialists, they acquire information and then educate others (a personality
type that is considered indispensable to marketing);| salesmen – powerful, charismatic and, most importantly, persuasive individuals: they are trusted,
believed and listened to where others would be ignored.
Tiny adjustments to information, whether conveyed in an advertisement or television programme,
can make all the difference to what he calls the ‘stickiness factor’. He points to psychological
research that shows that most people can remember up to seven-digit numbers but no more, that the
presenters make a bigger impression if they outline no more than three points, and that organising
more than 150 people to work effectively is an uphill struggle. Different presentations stick for
different audiences and only piloting it will reveal how they will react; pre-school children loved the
mixture of fantasy animals and real people in Sesame Street despite psychologists’ predictions that
they would find it confusing. Finally, he describes the ‘power of context’: small environmental
24
changes can have a big impact of people’s behaviour, e.g. crime dropped dramatically in New York
following a campaign to get rid of graffiti in the subway.
Publisher: Little, Brown and Company, London
Key theme: Message and media/Marketing communication
Academic discipline: Media and communication
Goffman, E (1990) The Presentation of Self in Everyday Life
Goffman’s focus on micro-sociology has contributed several useful concepts to the study of why
people act the way they do in different situations. He notes that people present several ‘versions’ of
themselves in everyday life depending on the context, as if they were engaged in different
performances for different audiences. He also notes that some of these performances are directly
contradictory, and that in fact people will be at pains to sustain a certain impression in one context
only to knowingly counter it when the context changes. Goffman compares this to play-acting, where
an ‘official’ version is acted out front-stage, while a wholly different performance plays itself out
when the actors come back-stage and step out of their formal roles. Back-stage is the place where
the official audience cannot gain access, and where secrets can be said out loud.
Goffman’s ideas have proved durable and have been applied to several fields where communication is
involved, including the behaviour of communities in PRA exercises.
Publisher: Penguin, Harmondsworth
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Sociology
Haas, E B (1991) When Knowledge is Power: Three Models of Change in International
Organisations
Frequently, informal networks are as important in linking research and policy, and effecting policy
change, as formal structures. Informal networks may take the form of advocacy coalitions, or
friendly relationships between researchers and decision-makers. Haas adds an important point to this
list by introducing the concept of ‘epistemic community’. An epistemic community consists of
colleagues who share a similar approach, or a similar position on an issue. They maintain contact
with each other across their various locations and fields, thus creating valuable channels for
information flow. These informal fora can be used to discuss and pass on alternative perspectives on
current issues, and if the network comprises prominent and respected individuals, pronouncements
from these can force policy-makers to engage with an issue. The conclusion is that such an epistemic
community provides a potent means of circumventing tedious public bureaucracies or the normal
chain of command, and it is also a counter-balance to the conservatism of policy networks.
Publisher: University of California Press
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Hailey, J and Smillie, I (2001) Managing for Change: Leadership and Strategy in Asian
NGOs
This book is about how some of the most successful non-governmental development organisations in
the world are managed. It deals with issues of growth, leadership and context, and questions the
usefulness of Western management doctrine. The case studies highlight the important role of learning
for the success and growth of NGOs. But the book questions the myth that NGOs are intrinsically
learning organisations. This is no simple process, and neither a formulaic one, readily adaptable from
25
blueprints and manuals. Rather it is seen as an ongoing informal process of action learning supported
by formal training, research and other management systems. Organisational learning is described as a
dynamic process that integrates the informal (dialogue, reflection and learning by doing) and the
formal (training courses, seminars, commissioned research, evaluations and documentations), with
learning as both an incremental and an experiential process.
In terms of the development of strategy, it is pointed out that fundamental strategies frequently take
sharp turns in directions as the result of a catharsis within the organisation, or one created by
external forces, and also in some cases as the result of opportunistic and entrepreneurial strategies.
The emergent and adaptive reality of strategy-making notwithstanding, NGOs everywhere are
pressed, especially by donors, for explicit, long-range strategic plans. This is a throwback to the
rationalist school of planning, and the authors emphasise that formal strategy is not the magic bullet
many have made it out to be, largely due to the volatile environment in which NGOs operate as well
as the trade-offs that exist between processes and individuals
Publisher: Earthscan, London
Key theme: Actors/Organisational management
Academic discipline: Development management
Henkel, H and Stirrat, R (2001) Participation as Spiritual Duty: Empowerment as Secular
Subjection
Henkel and Stirrat examine the ‘new orthodoxy’ within development that has as its mantras
‘participation’ and ‘empowerment’. This orthodoxy is shared not only amongst NGO practitioners,
but also amongst bilateral donor governments and multilaterals. One of the interesting points about
this orthodoxy, however, is that there is no systematic ideology sustaining it; i.e. different groups in
the development world are embracing participation and empowerment for different reasons, and
based on different rationales. The new orthodoxy of participation and empowerment is characterised
by several cross-cutting trends: a preference for bottom-up approaches; an assumption that people
can escape poverty if they are empowered; a focus on the marginal (women, the poor, ethnic
minorities); a celebration of ‘indigenous knowledge’; a distrust of the state; and trust in NGOs.
The authors trace the long theological and moral history of participation in the West, and suggest
that even though participation today appears completely secularised, it nevertheless has many traits
and associations that can be likened to religious experiences. As an illustration of this they outline
Robert Chambers’ beliefs in ‘the primacy of the personal’ and ‘new professionalism’.
Henkel and Stirrat argue that the ways in which participation and empowerment are operationalised
within development today, serve to incorporate people into a ‘modern’ Western mindset (with
overtones of centuries of Western theology and philosophy). Moreover, participatory and
empowering projects often (inadvertently) place people under closer surveillance, both as
‘participants’ in a development project and as ‘good citizens’ of a state. In both cases the
surveillance is seen as an effort to change not only people’s behaviour, but also their hearts and
minds. They conclude that although participation and empowerment are marketed as a radical shift
away from ethnocentrism and the ‘bad sides’ of modernity, it is more useful to see this new
orthodoxy as part of the current manifestations of the modernisation process.
Publisher: In Cooke, B and Kothari, U (eds.) Participation, The New Tyranny? Zed Books, London
Key theme: Political context/Current policy discourse
Academic discipline: Anthropology
26
Hirschman, A O (1970) Exit, Voice and Loyalty
Hirschman maps out three possible courses of action for people (whether in the family, a social
circle, a firm, an organisation, or a state): exit, voice, or loyalty. Loyalty refers to the choice or
pressure to conform to existing structures, policies and practices. Voice is the act of criticising
aspects of the status quo in order to try and change it ‘from the outside’, while still remaining within
the larger structures. Exit is the option of leaving in order to move to an alternative organisation or
state.
Policies can be shaped and influenced through all three strategies of exit, voice or loyalty. Certain
policies or policy domains may be more responsive to one of the three rather than the others. Thus
the potential influence of each of the courses of action depends on the context. However, an
organisation or policy field needs both voice and exit in order to change and stay healthy, and
Hirschman ends with the suggestion that his book may hopefully encourage the strategies of exit and
voice.
Publisher: Harvard University Press, Cambridge, Mass.
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Hudson, A (2000) Making the Connection: Legitimacy Claims, and Northern NGOs
International Advocacy
The article broadly deals with the shift of NGOs from a ‘development as delivery’ to a ‘development
as leverage’ approach. Although advocacy takes a variety of forms – from careful research and
policy advice, to parliamentary lobbying, to public campaigning and development education – the
overall goal is described as the attempt to alter the ways in which power, resources, and ideas are
created, consumed and distributed at a global level, so that people and organisations in the South
have a more realistic chance of controlling their own development. As UK NGOs increasingly move
into advocacy and policy work, they have to respond to a variety of challenges concerning issues of
legitimacy and related issues of accountability, governance, and effectiveness. Legitimacy questions
concern, first, the right of the NGO to speak to its target audience, perhaps on behalf of other groups
or interests; and second, the wisdom of NGOs moving closer towards an advocacy focus.
The author argues that in order to substantiate their claims to legitimacy, NGOs need to map out
their legitimacy chains. When legitimacy is claimed on the basis of representation, systems of
accountability need to be in place. When legitimacy is claimed on the basis of expertise and
experience, the relevance of southern operational experience to northern advocacy needs to be
demonstrated. In relation to this they have encountered challenges and criticisms. These challenges
question the effectiveness of their advocacy work, their legitimacy as advocates for development,
their accountability to those they are perceived as representing, and the suitability of their
governance structures for a development-as-leverage approach. Some of the criticisms claim that
they are not representative organisations in any obvious sense and poorly accountable.
Legitimacy is pointed to as important as it increases the persuasiveness of advocacy, which increases
its effectiveness. The author also suggests that southern partners and supposed beneficiaries are
increasingly questioning the legitimacy of northern NGOs advocating, supposedly on their behalf. At
the same time many NGOs defend their right to take positions on issues of international development
as long as they were developed though ‘real dialogue’ with southern partners. NGOs claimed
legitimacy for their advocacy work on a variety of bases: history; organisational structures;
principles, rights and values; and southern roots, and many NGOs carefully avoided claiming to
speak for the South or represent the South. The strength of their legitimacy claims is seen to depend
on the ability of the NGO to demonstrate the links, or legitimacy chains, between their operational
27
work and experience in the south and their advocacy work. Many NGOs are currently thinking about
how to develop more synergistic relationships between their operational work and their advocacy.
The author points out, however, that in general NGOs have been slow to restructure their
organisations in order to ensure appropriate downward accountability for advocacy and influencing.
Publisher: In Lewis, D and Wallace, T (eds.) New Roles and Relevance. Development NGOs and the
Challenge of Change. Kumarian Press, Hartford
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Development management
Hulme, D and Edwards, M (1997) NGOs, States and Donors: An Overview
In the opening chapter of their collection of essays on NGOs, states and donors, Hulme and Edwards
chart the rise of NGOs. Their opening question is whether the popularity of NGOs reflects genuine
recognition of their alternative approaches and special relationship with the grassroots, or,
conversely, whether the popularity is rather a sign that NGOs have now become fully
institutionalised into the mainstream ‘development industry’.
They link the NGO revolution to the wider ‘associational revolution’ of the past couple of decades.
They also place the rise of NGOs in the context of the ‘New Policy Agenda’ (comprising neo-liberal
economics and liberal democracy) adopted by Northern development agencies and donors in the
1990s, following the World Bank’s lead. Under the New Policy Agenda, NGOs have several
comparative advantages as efficient service deliverers, credible vehicles for democratisation, and
components of civil society.
The close link between the New Policy Agenda and NGOs illustrates the close relationship between
(Northern) donors and NGOs. Hulme and Edwards point out that there is a continuous danger of
cooption involved when one party funds the other, and that even though many NGOs pride
themselves on behaving independently of their donors, on balance it is clear that donors have far
greater influence over NGOs than vice versa.
Publisher: In Hulme, D and Edwards, M (eds.) NGOs, States and Donors: Too Close for Comfort?
Macmillan, London, in association with Save the Children
Key theme: Political context/Current policy discourse
Academic discipline: Development management
Humphreys, P (1998) Discourses Underpinning Decision Support
The fundamental task facing the decision maker is how to decide to go about developing a
prescription for action and get it implemented. The desire to take some action is generated from a
feeling that there is a lack (or gap) between the actual state of affairs (as perceived by the decision
maker) and some imaginable preferred state. The article presents a brief outline of the kind of
discourse which informs and constrains the operations at each of the five levels of the decision
making process along a continuum feeling – thinking/discussing – commitment to action.| Level 5: (top level): Exploring what needs to be talked about within a ‘small world’ defined by
the decision makers ‘unconscious thinking’ about the decision problem.| Level 4: Use of problem expressing discourse.| Level 3: Developing the structure of the problem within a frame.| Level 2: Exploring what-if questions| Level 1: Making best assessments.
28
The article attempts to challenge the way in which textbook accounts of decision-making normally
concentrate on modelling the decision problem while viewing participants in the decision-making as
mere accessories. Humphreys goes through various early decision-making theories, tracing this view
of participants as accessories: The legacy of ‘scientific management’ is described as the perpetuation
of the idea in management thinking that the organisation is something that can be acted upon or
transformed by management, also promoting management-centrism and the juridico-discursive model
of power. The ‘Human Relations School’ tempered the above approach, with a theory about the
need to release the autonomous subjectivity of the worker in such as way that it aligned with the
aspirations of the enterprise. This instigated a change of understanding of the operation and power in
organisations to something approaching a Foucauldian perspective, where power is understood as
continuous, disciplinary and anonymous.
In both these approaches, the structure is assumed to be pre-defined, and the history of how these
structures came about is generally ignored. Humphreys argues that it is necessary to recognise that
these structures are negotiated by the participants in the decision making process, and to beware of
the cases where the history of the constitution of these discourses is naturalised.
Publisher: In Berkeley, B et al., (eds.) Context-Sensitive Decision Support. Kluwer Academic
Publishers, Boston
Key theme: Actors/Perception and decision making
Academic discipline: Social psychology
Keck, M and Sikkink, K (1998) Activists beyond borders: advocacy networks in international
politics
In their book on the emergence of networks as mode of operation for advocacy groups in
international politics Keck and Sikkink deal with central issues of the network structure. They assess
the importance of the construction of ‘cognitive frames’, and of alignment of frames and the fitting
of issues appropriately depending on the context. They see the networks as both structured and
structuring, with focus on what they call the Boomerang pattern.
The boomerang pattern consists of the following idea that Transnational Advocacy Networks are
most likely to emerge around issues where; (i) the channels between domestic groups and their
governments are blocked, hampered or inefficient; and where (ii) activists or ‘political entrepreneurs’
believe that networking will further their missions and campaigns, and actively promote networks;
with the third element of (iii) conferences and other forms of international contact that create arenas
for forming and strengthening networks.
The authors also assess the number of complications and tensions that might be related to the
operation of these networks. Furthermore they also look at the different kinds of methods used by
the networks, grouping them in four: (i) information politics (ii) symbolic politics (iii) leverage
politics (iv) accountability politics.
Publisher: Cornell University Press
Key theme: Actors/Networks and inter-organisational linkages
Academic discipline: Development management
Keeley, J and Scoones, I (1999) Understanding Environmental Policy Processes: A Review
Policy is an inherently political process, rather than an instrumental execution of rational decisions,
where planning and implementation overlap. Different models are useful for analysing different
contexts: e.g. the linear model is useful for understanding environmental policies whereas an
emphasis on negotiation and incrementalism is more appropriate when looking at rural resource
29
management. They point to Foucault-inspired idea that policy is discourse, only understood if you
look at the relationship between knowledge and power, whereby a political problem is recast in the
neutral language of science. Their critique of technocracy, with its scientifically-driven policy
making, is that it glosses over the difficulties of choosing experts and works against democracy.
Science is value-laden socially-constructed knowledge and the result of competition between interest
groups. The scientific enterprise involves universalising, removing uncertainties, and hiding
assumptions. Given the growing public distrust of institutionalised science, greater reflexivity in the
interactions between scientific institutions and the public makes sense.
They review different ways of looking at policy change: (i) as interactions between different groups
with differing political interests – whether it is between competing groups, classes, or within the state
(or bureaucracies more generally). A case study of bureaucratic politics within the World Bank
illustrates how effective policy making is constrained (page 17); (ii) actor-oriented approaches:
policy communities and networks, interfaces, actor-network, epistemic communities,
entrepreneurs/saboteurs; (iii) as discourse, which is an ensemble of ideas communicated through
practices via coalitions, narratives, tropes, rhetoric etc. The differences between these approaches is
elegantly summarised (page 27–9). They try to fuse the best of all three: ‘structure and agency
continuous and recursively interact’. As to the future, building on the explosion of participatory
methods, they argue for new forms of participatory democracy with more inclusionary and reflexive
policy making.
Publisher: IDS Working Paper 89, Institute of Development Studies (IDS), Sussex
Full document: http://server.ntd.co.uk/ids/bookshop/details.asp?id=494
Key theme: Political context/Policy process
Academic discipline: Political science
Keeley, J and Scoones, I (2000) Knowledge, power and politics: the environmental policymaking
process in Ethiopia
This article casts light on how policy decisions are made in Ethiopia. It reveals a complex
environment in which policy debates are not resolved as a result of rational choices but are often
fudged as conflicts rage among ever-shifting networks of scientists, donors, ideologues and
bureaucrats. The study traces controversies characterising the evolution of rural development
policies. Those clinging to the original Maoist inspiration of the ruling party argue that massmobilisation
schemes can combat the long-term challenge of soil erosion. Others promote policies to
increase incentives for farmers to invest in their own land. Some look to off-the-shelf modern Green
Revolution technologies to avert the recurrent food crises, while others argue for low external input
solutions based on the principles of conservation agriculture.
The study looks at the types of knowledge about natural resources from which policy conflicts
emerge and how positions get established, challenged and excluded. Seemingly regardless of the
regime in power, agricultural extension policies in Ethiopia have offered more of the same: external
inputs (seeds and fertiliser) linked to credit programmes and mass mobilisation to check erosion. The
SG-2000 programme, launched in 1995 with support from the World Bank and international
scientists, chimed with a huge, ultimately unsuccessful, World Food Programme food-for work
scheme to build bunds and plant seedlings. In a political climate dominated by a government staking
its credibility on achieving food security, little space remained available for different views on
agricultural extension.
Ethiopia today, like past regimes, tends to authoritarianism, hierarchy, centralised rule and lack of
transparency. However, despite a political culture inheriting a bureaucratic mind-set antithetical to
30
bottom-up policies, debate goes on. More recently alternative types of policy process – participatory
and inclusive – have begun to emerge. The paper concludes by suggesting why these are happening
in some parts of Ethiopia but not others.
Other key features highlighted are:| The surprising commonality between policies of Green Revolution and environmental
rehabilitation enthusiasts, united by a misplaced belief in over-population and impending chaos.| Ideas of environmental degradation, which are central to policy narratives in Ethiopia, need to be
examined much more critically than is often the case.| Significant differences, as regionalisation policies come on stream, between Tigray (where
participatory approaches belatedly find an audience) and elsewhere where (much resented) topdown
orthodoxy prevails.| When actor networks are tightly formed and impenetrable, no amount of rational argument will
budge a policy from its pedestal.
The findings suggest that external actors and policy makers should:| recognise that funding of successful NGO participatory projects, together with the imaginative
creation of networks around these activities can create new policy spaces, and help reshape
official thinking| seize opportunities presented by decentralisation to promote effective and appropriate local
interventions.
(Summary taken from id21)
Publisher: The Journal of Modern African Studies 38(1): 89–120, Cambridge University Press
Full document: www.id21.org/society/s2ajk1g1.html
Key theme: Political context/Policy process
Academic discipline: Development management
Kennis, S and McTaggart, R (2000) Participatory Action Research
Participatory action research was originally an alternative ‘philosophy’ of social research that
emerged out of movements for community empowerment and development as social transformation
(cf. Freire and Latin American liberation theology). The approach was a reaction to conventional
social research, which was seen to sustain rather than challenge the status quo, and which served the
interests of the wealthy and powerful rather than ‘ordinary people’.
Some key features of participatory action research are:| There is a continuous dynamic between action and reflection.| The link is made between the individual participant and larger social processes.| The research process is ‘owned’ by the whole group, and it is assumed that social problems are
best analysed and dealt with by the community rather than individual researchers.| The research examines social practices, and is geared towards the practical aspects of putting
knowledge into use. Reality is investigated in order to change it.| The research process is seen as emancipatory in that it enables people to gain more control over
their own lives, rather than being subordinate to limiting social structures.
Participatory action research has branched out into several streams (action research, action learning,
participatory research, PRA, etc), many of which see it more as a methodological tool rather than a
philosophy of social transformation. Thus the label ‘participatory/action research’ does not
necessarily imply that the research has been carried out with the normative aim of social justice; it
31
could equally well imply that the researcher needed an efficient method of gathering data and/or the
conferred legitimacy that such a label brings. Kennis and McTaggart conclude that what makes
participatory action research ‘valuable research’ is not the particular technical methods used, but a
demonstrated concern with the relationship between theory and practice.
Publisher: In Denzin, N and Lincoln, Y (eds.) Handbook of Qualitative Research (2nd edition). Sage
Publications, Thousand Oaks
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Research methodologies
Kickert et al. (1997) A Management Perspective on Policy Networks
The article deals broadly with the idea of policy networks as an opportunity for public policy making.
It starts by explaining the move away from an anti-statist approach to an increasing recognition of
the need for government involvement. It is, however, also clear that government cannot reclaim its
post-war welfare state position as the central governing authority in society. These observations
necessitate reflection upon the relation between government and society. In social science this
reflection has contributed to the rise of a new idea which is becoming increasingly popular: the
concept of policy networks.
The concept ‘policy network’ connects public policies with their strategic and institutionalised
context: the network of public, semi-public, and private actors participating in certain policy fields.
The main argument of the book is that public policy is made and implemented in networks of
interdependent actors. Public management should therefore be seen as network management, and
interdependency is the key word in the network approach. Interdependency is based on the
distribution of resources between various actors, the goals they pursue and their perceptions of their
resource dependencies. Information, goals and resources are exchanged in interactions, these are
frequent and some formalisation and institutionalisation occurs. The policy networks take shape
around policy problems and/or policy programmes.
The authors seek to move away from the network analyses that focus on the failure and
incompetence of governments. They rather focus on the potentials of policy networks for problem
resolution and governmental steering. Network management is described as an example of
governance and public management in situations of interdependencies. It is aimed as coordinating
strategies of actors with different goals and preferences with regard to a certain problem or policy
measure, within an existing network of inter-organisational relations. Network management aims at
initiating and facilitating interaction processes between actors, creating and changing network
arrangements for better coordination.
Publisher: In Kickert, W, Klijn, E H and Koppenjan, J F M (eds.) Managing complex networks.
Sage, London
Key theme: Actors/Networks and inter-organisational linkages
Academic discipline: Development management
Kingdon, J W (1984) Agendas, Alternatives, and Public Policies
Kingdon argues that it is necessary to take into account the agenda-setting process that surrounds
and determines the policy-making process itself. Kingdon builds his framework around the ‘garbage
can’ model of decision-making (developed by Cohen, March and Olsen in the early 1970s), which
views organisations as choices looking for problems, and solutions looking for issues, rather than
32
vice versa. Kingdon identifies four factors that influence the movement of choices and solutions
within the agenda-setting process:
1. The problem stream denotes which issues are recognised as significant social problems. Citizens,
groups and journalists work actively within this stream to trigger interest in problems.
2. The policy stream refers to which advice is regarded as ‘good advice’. This changes in tandem
with the problem stream and with external events.
3. The political stream: both the problem stream and the policy stream operate within a political
environment characterised by elections, changes in government, changes in political champion
causes, and changes in public opinion.
4. Policy windows occur when there is an opening for new views. This is usually triggered by a
major event such as a crisis, a new international agreement, budget negotiations, or a prioritysetting
exercise. Policy windows provide the opportunity to have alternative issues and solutions
considered seriously.
In short, critical factors in this model of agenda-setting are timing, chance and external influence.
Problems and solutions may disappear or float to the top of the streams in a somewhat random
manner, which means that important decisions can be taken in various places and with varying
interest in relevant research. However, the role of external influences also indicates that research that
is circulated within policy networks may have a significant impact when it chances to address an
emerging issue at the right time and place.
Publisher: New York: Harpers Collins
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Kotler, P, Armstrong, G, Saunders, J and Wong, V (1999) Principles of Marketing, 2nd
Edition
The book provides a comprehensive introduction to marketing, using a practical and managerial
approach. Marketing is described as a process containing much more than selling or advertising, with
new challenges emerging constantly. Five main philosophies that guide marketing management are
outlined. These are: Production concept (goal to bring down prices, making products more
affordable); Product concept (higher quality products); Selling concept (promotion matters);
Marketing concept (determining needs and wants of target markets, comparative advantage);
Societal marketing (determine needs and wants, and customer satisfaction).
On societal marketing: Determine the needs and wants of the target market, and then deliver
satisfaction in a competitive way, improving the consumer and the society’s well being. This is a new
market philosophy, and questions the standard marketing approach in the face of environmental,
inequity and poverty problems. It tries to look at both consumer wants and long-run welfare. This
approach calls on firms to balance consumer wants, firm profits, and society welfare. Firms should
have ethical and environmental policies, and back these up with action, and sometimes there is a call
for ethical auditing exercises. There is furthermore a call for the need for debate and
counterarguments in the media, as well as a need for regulation.
Societal marketing is also described as one of five principles of enlightened marketing, together with:
Consumer-oriented marketing (the whole operation from the customer’s point of view); Innovative
marketing (real and innovative improvement to product and marketing); Value marketing (improving
long term value of products, rather than short term sale focus); Sense-of-mission marketing (the
company should define its mission in broad social terms).
33
Steps in developing effective communication: Identify the target audience (this determines the next
choices of strategy). Determine the communication objectives (be aware of the different stages the
buyer passes through awareness, knowledge, liking, preference, conviction and then purchase).
Design the message. Generally three types of appeals are used: rational (showing that the product
will fulfil the buyer’s self-interest and give expected benefit), emotional (stirring up negative or
positive emotions), or moral (appealing to the buyer’s sense of right and wrong). Select the message
format and the message source. Use eye-catching and novel images and tools, and bear in mind that
who promotes the message can have a significant impact.
The main idea is to get people to respond, and they will do so if they are motivated and if they see a
benefit. Therefore it is important to identify the benefits that you see the consumer having from the
product. It is important to put this message across in a memorable way, tapping on the motivations
that drive human consumption: functional, pleasure, self-identity, image, admiration, and altruism.
Also the message can build on an in-depth knowledge of the consumer’s own experience with the
product.
Publisher: Prentice Hall Europe
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Lambin, J (1996) Strategic Marketing Management
The book starts from the assumption that marketing is both a business philosophy and an actionoriented
process. Marketing is explained as rooted in the market economy and functioning of the
firm (improve market opportunities, achieve target market share), with the main role seen to be the
organisation of exchange and communication (supply/demand). Furthermore the book emphasises
the need to shift focus from marketing to market-driven management, in a context of increased
competition. With the process of globalisation, more competition, and better educated consumers,
mass-marketing techniques are coming of age, and customised marketing is seen as necessary. This
includes sensitivity to environmental and ethical demands and socio-cultural specificities. Marketing
should, importantly, be viewed as a process integrating different functions and not a separate entity
within the organisation.
Purchasing behaviour is seen as rational within the principle of limited rationality, i.e. within the
bounds of individual’s cognitive and learning capacities. For the buyer the product is seen as the
solution to a problem (process of problem solving). Products are seen to have a core functional
value, and a set of secondary values or utilities. The advertising information is important in clarifying
risk/value as relative to other products. There are various forms of buyer response to marketing:
gonitive (retained information and knowledge), affective (attitude and evaluation), and behavioural
(action).
The four main communication tools are: personal selling, advertising, sales promotion and public
relations. The communication process is outlined as follows:
Sender Encoding Media message Decoding
Noise (Distortion)
Feedback Response Receiver
Publisher: McGraw-Hill, UK
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
34
Lanuez, D and Jermier, J M (1994) Sabotage by Managers and Technocrats – Neglected
patterns of resistance at work
The central thesis of this chapter is that some managers and technocrats have sufficient motive to
sabotage the production of goods and services. We begin by citing illustrative examples of episodes
of managerial and technocratic sabotage. In reviewing the existing literature we find that low or
reduced personal control and the experience of negative affect at the workplace underlie many acts
of sabotage. We examine major societal and organisational forces that have eroded and redefined the
power and privileges of managerial and technocratic positions and find that managers and
technocrats have experienced increasing powerlessness and insecurity. We draw on neoclassical
economics, managerialist literature and modern social-class analyses to establish the plausibility of
the central thesis. As the interests, values and motives of managers and technocrats drift further from
alignment with those of capital elites who desire to maximise profit, a willingness to engage in forms
of deep opposition is more probable. Although it may seem counter-intuitive, we argue that for
reasons similar to those of workers, some managers and technocrats resist capitalist domination by
selecting sabotage responses. In closing sections, a typology of managerial/technocratic sabotage is
presented.
(Summary taken from chapter)
Publisher: In Jermier, J M, Knights, D and Nord, W R (eds.) Resistance and Power in Organisations.
Routledge, London
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Lefebvre, R C (2001) Theories and Models in Social Marketing
The article outlines the origins of the theory of social marketing, and describes more in detail the
current key theoretical approaches used in the field of social marketing. The theories presented in the
article are only some of the ones in use, and have a health bias, due to this being the area where
social marketing has been taken the furthest. Behavioural change is a complex process, with dozens
of theories, and often too focused on individual processes. Social marketing is not an alternative to
individual behaviour change strategies; rather it is a process to increase the prevalence of specific
behaviour among target audiences. Other theories that also need to be looked at by social marketers
include: motivational theories to inform message development, social network theories to inform
message dissemination, organisational development to inform coalition and partnership development
and management, political theories to inform policy alternatives.
The Health Belief Model: This model was originally designed to better understand why people did
not participate in health projects, and its tenets have found their way into social marketing projects.
As social marketers make choices about the theoretical models they use in their programs, this model
of understanding different predictors of various types of behaviours is useful. This has particularly
been the case in relation to addressing issues for at-risk populations who might not perceive
themselves as such, through the use of fear- or anxiety-arousing messages.
Theory of Reasoned Action: This theory is organised around the construct of behavioural and
normative beliefs, attitudes, intentions and behaviour. The most important predictor of subsequent
behaviour is one’s intention to act, influenced by one’s attitude towards engaging in that behaviour.
In social marketing this theory is applied, but often implicit and incomplete. Subjective norms and
referent, for example, are often important to social marketing programs, even though the theoretical
model might not be specifically used, and there is often little focus on how to change the attitudes
towards the behaviour.
35
Social cognitive theory: This theory explains behaviour in terms of triadic reciprocality in which
behaviour, cognitive and other interpersonal factors, and environmental events all operates
interacting determinants of each other. Changes in any of these three factors are hypothesised to
render change in the others. A key concept in this theory is observational learning. In contrast to
earlier theories this one views the environment as reinforcing and punishing behaviour, but also as a
milieu where one can watch actions of others and learn about the consequences of their behaviour.
The theory is seen as one of the most comprehensive attempts to explain human behaviour, and
points to the need to focus on attention, retention, production and motivational processes for
effective learning and performing of new behaviours.
The Transtheoretical Model of Health Behaviour Change: This is more popularly known as the
‘stages of change’ model, and has become one of the more frequently used models in social
marketing, applied by some as the theoretical model for marketing social change. The model
emerged from an analysis of leading theories of psychotherapy and behaviour change in which ten
distinct processes of change were identified. These suggest certain interventions that will be most
appropriate for moving people through stages of change. Some of these include consciousness
raising, self-re-evaluation, social liberation, and helping relationships. The most popular tools from
this model however are the stages themselves: precontemplation, contemplation, preparation, action,
maintenance, termination. What the model attempts to drive home to social marketers is that few
people are ready for action-oriented programs, and time must be invested to allow for people to
move through the earlier stages.
Diffusion of Innovations Theory: One of the points coming out from this theory is the fact that there
are different types of adopters of innovations in every target audience that are represented in certain
proportions and have unique motivations for adopting new behaviour. This is complemented further
by the focus on determinants of speed and extent of diffusion of innovations, and on the relative
effectiveness of different methods of dissemination of innovation. So far these ideas have not been
used to a large extent in social marketing, however, it has a value given that it is one of few
population-focused models available to social marketers. This involves a view of behavioural change
not just taking place at an individual level, but that there are indeed processes available to manage
widespread behaviour change.
Publisher: In Bloom, P N and Gundlach, G T (eds.) Handbook of Marketing and Society, Sage
Publications, London – New Delhi
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Leftwich, A (1994) Governance, the State and the Politics of Development
In this article, Leftwich outlines the current ‘good governance’ agenda as advocated by the World
Bank. He starts off by tracing the events that led to an interest in good governance: the experience of
structural adjustment programmes (SAPs) in the 1980s and the questions of why they did not
achieve everything that they set out to do; the expansion of the neo-liberal approach to include not
only economic issues but also specifically political ones; the collapse of communism and the
subsequent ‘monopoly’ enjoyed by Western liberal democracy; and finally, the impact of prodemocracy
movements.
Leftwich divides the good governance agenda into three aspects. The ‘systemic’ aspect of good
governance deals with the rules governing the distribution of power, and advocates a political system
with a minimal state that provides the enabling environment for an open market and democracy. The
‘political’ aspect specifies more closely what this means: free and regular elections, checks and
36
balances on power, structures of accountability, and pluralism. The ‘administrative’ aspect outlines
the need for reliable and accessible information, efficient and accountable public services, and a
transparent public administration.
Leftwich concludes that everybody can agree that the good governance agenda comprises many
‘good things’, but he argues that the project as a whole is nevertheless rather naïve because it fails to
recognise that good governance is a function of state capacity. He criticises the current version of
good governance for relegating the state to a peripheral role of creating an ‘enabling environment’,
and suggests that this turns the good governance agenda into a universal, managerial, and illusory
‘fix-it’.
Publisher: Development and Change 25(2): 363–386
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Levitt, B and March, M G (1988) Organisational Learning
This paper reviews the literature on organisational learning. Organisational learning is viewed as
routine-based, history-dependent, and target-oriented. Organisations are seen as learning by
encoding inferences from history into routines that guide behaviour. Within this perspective on
organisational learning, topics covered include how organisations learn from direct experience, how
organisations learn from the experience of others, and how organisations develop conceptual
frameworks or paradigms for interpreting that experience. The section on organisational memory
discusses how organisations encode, store, and retrieve the lessons of history despite the turnover of
personnel and the passage of time. Organisational learning is further complicated by the ecological
structure of the simultaneously adapting behaviour of other organisations, and by an endogenously
changing environment. The final section discusses the limitations as well as the possibilities of
organisational learning as a form of intelligence.
(Abstract from Annual Review of Sociology)
Publisher: Annual Review of Sociology 14: 319–340
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Lindquist, E A (1988) What Do Decision-Models Tell Us About Information Use?
Lindquist has argued that organisations or networks, for that matter, are often in different decision
modes – routine, incremental, or fundamental. Each involves a different level of scrutiny and debate
over the integrity of its policy underpinnings: (i) routine decision regimes focus on matching and
adapting existing programs and repertoires to emerging conditions, but involves little debate on its
logic and design, which is built into the programs and repertoires; (ii) incremental decision-making
deals with selective issues as they emerge, but does not deal comprehensively with all constituent
issues associated with the policy domain; and (iii) fundamental decisions are relatively infrequent
opportunities to re-think approaches to policy domains, whether as result of crisis, new governments,
or policy-spillovers. Where fundamental decisions are concerned, it is important to note that that
they are anticipated and followed by incremental or routine regimes. There is a connection to this line
of thinking with the agenda-setting model described just above. Decisions emanating from the
‘choice opportunities’ that arise as policy windows open, however briefly, may involve either limited
or significant change, or perhaps none at all.
If one believes that the vast majority of decision-making in a policy area over time is routine or
incremental, then there is a built-in bias against the use of research by policy-makers. There will be
37
greater interest in useful data and analysis that deals with incremental issues as they arise, and the
findings from ongoing research must achieve influence through enlightenment and percolation.
Conversely, the greatest demand for, and receptivity to, research comes in anticipation of
fundamental policy decisions, or following sharp regime shifts.
(Summary taken from Lindquist, forthcoming, Discerning Policy Influence: Framework for a
Strategic Evaluation of IDRC-Supported Research. To be published by IDRC. p. 19–20)
Publisher: Knowledge in Society 1(2): 86–111
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Linnerooth, J (1987) Negotiating Environmental Issues: A role for the analyst?
A fundamental element of environmental policy making is negotiation. Even in the adversarial
environment of the United States, regulatory agencies and other governmental decision makers
implicitly negotiate problem definitions and solutions with public stakeholders to avoid costly court
battles. These interactions are developing into more explicit negotiation forums with the growing
awareness that all participants can reduce procedural costs through direct cooperation rather than
confrontation. In the US, new institutions to accommodate negotiated policy making are therefore
evolving; these institutions are kin to the pluralistic committee structures found in much of Europe.
More cooperative forms of environmental policy making presents a challenge and an opportunity to
analysts. How can traditional forms of expertise, including the fact-finding and strategic decision
aids, be adapted to support the participants of a negotiation or even to improve the outcome of a
negotiated settlement? A challenge for designers of systems of ‘decision support’ is to find the
relevant links for adapting these systems to provide ‘negotiation support’.
In linking these concepts, it is important to understand the interrelationship between decision making
and negotiation, and particularly the institutional contexts in which they occur. This paper will
examine three separate contexts selected to illustrate the diversity of both concepts and ultimately
the diversity of tools that can potentially provide support. The first context is a multi-party,
adversarial process where the stakeholders interact only through indirect negotiation and where
decisions are taken in more formal court proceedings; the second context is an organisational
decision setting where positions are again implicitly negotiated, but internal to the organisation; the
third context is an explicit, around-the-table negotiation where the parties have a shared interest in
reaching an agreement. This latter context shows the successful use of a computer model in
providing support for a negotiation. This success, however, is tempered by the rather novel
conditions surrounding the case, and cannot be easily transferred to other negotiation contexts. It is
shown that political tradition and institutions can severely constrain, as well as present opportunities,
to the use of many types of decision and negotiation aids.
(Summary taken from chapter)
Publisher: In Hawgood, J and Humphreys, P C (eds.) Effective decision support systems. Gower,
Aldershot
Key theme: Actors/Perception and decision making
Academic discipline: Social psychology
Lipsky, M (1980) Street-level Bureaucracy: Dilemmas of the Individual in Public Services
Lipsky examines what happens at the point where policy is translated into practice, in various human
service bureaucracies such as schools, courts and welfare agencies. He argues that policy
implementation in the end comes down to the people who actually implement it (teachers, lawyers,
social workers). They are the ‘street-level bureaucrats’, and they exercise a large amount of influence
38
over how public policy is actually carried out. Lipsky suggests that they too should be seen as part of
the policy-making community.
He discusses several pressures that determine the way in which street-level bureaucrats implement
policies. These include the problem of limited resources, the continuous negotiation that is necessary
in order to make it seem like one is meeting targets, and the relations with (nonvoluntary) clients.
Some of the patterns of practice that street-level bureaucrats adopt in order to cope with these
pressures, are different ways of rationing the services, and ways of ‘processing’ clients in a
manageable manner.
Lipsky concludes that there are potentially means of changing street-level bureaucracies to become
more accountable to ‘clients’ and less stressful for the ‘bureaucrats’. One of the ways of doing this,
he suggests, is to move research from the ivory tower and onto the street, for example through
conducting research while running a social work centre at the same time.
Publisher: Russell Sage Foundation, New York
Key theme: Political context/Policy process
Academic discipline: Sociology
Long, N and Long, A (eds.) (1992) Battlefields of Knowledge
This collection of essays explores ‘knowledge encounters’ in everyday life through an actor-oriented
analysis, i.e. an analysis that privileges actors’ agency and also their different understandings of the
world. By extension, this means that any intervention in everyday life – such as policy
implementation – will be continuously negotiated and re-constructed by the various actors involved.
‘Battlefields of Knowledge’ provides an important contribution to the way knowledge is viewed.
Usually, knowledge is seen as a fixed entity (a list of facts, a set of recommendations), and there is a
clear divide between knowledge and action. The chapters in ‘Battlefields of Knowledge’, however,
view knowledge as a site of contestation and struggles over meaning. Any research (‘knowledge for
understanding’) or practical intervention (‘knowledge for action’) becomes imbued with various
different associations by the actors. The research/policy process is therefore not a case of meaning
transfer (as if knowledge were passed unscathed from one stage to the next), but rather a case of
meaning transformation (as the knowledge interacts with different actors and acquires new
meanings).
Publisher: Routledge, London
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Anthropology
Lukes, S (1974) Power: A Radical View
In his seminal book, Lukes outlines three dimensions of power. The first dimension is the power of A
to influence the behaviour of B. This exercise of power is observable and is tied to public conflicts
over interests. It is played out in public decision-making processes. Dahl’s classical study, ‘Who
Governs?’, defines power in this way.
The second dimension is the power of A to define the agenda, and thus to prevent B from voicing
her/his interests in the public negotiation and decision-making process. Potential issues and conflicts
are not brought into the open, to the benefit of A and to the detriment of B. This exercise of power
can be both overt and covert.
39
The third dimension is the power of A to define what counts as a grievance, and to mould B’s
perceptions and preferences in such a way that B accepts that she/he does not have any significant
grievances. The power to shape people’s thoughts and desires is the most effective kind of power,
since it pre-empts conflict and even pre-empts an awareness of possible conflicts. This dimension of
power can be played out for example in processes of socialisation, the control of information, and the
control of the mass media.
Publisher: Macmillan, London
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Maarek, P J (1995) Political Marketing and Communication
The book provides a thorough introduction to political marketing, its history, foundation, stages,
tools and their application as shown in politicians’ public relations efforts and electoral processes.
Furthermore the book covers campaign organisation, strategies and tactics, as well as media relations
in general on a local as well as a global level. The author also discusses the effects of political
marketing on political discourse, public opinion and voter participation.
Publisher: John Libbey, London-Paris-Rome
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Mattelart, A and Mattelart, M (1998) Theories of Communication, A Short Introduction
The first formal model within information theory was Claude Shannon’s mathematical model of
communication, developed in the 1940s, which laid out a linear schema of production, transmission,
channel, receiver, and destination. This model views technology as an instrument that is merely
inserted into (human) calculations, plans and predictions. The reaction to the mathematical model
came when social science researchers started emphasising the circular nature of communication.
Even the smallest situation of interaction is determined by so many variables that a linear schema can
only obscure more than it clarifies, and instead they suggest analysing interaction through looking at
different levels (such as the communication between the actual elements of the message, the
communication embodied in the human/social relations involved, the communication implied by
previous messages, the communication of the message in relation to wider society). This approach
argues that it is also necessary to take into account the large amount of ‘silent’ messages that
surround every pronounced message, such as the implicit understandings of gestures, space,
linguistic codes, time, ways of relating, and ways of disagreeing or reaching agreements. From this
perspective, both the ‘sender’ and the ‘receiver’ are equally important actors.
Publisher: Sage Publications, London
Key theme: Message and media/Media communication and IT
Academic discipline: Media and communication
Maxwell, S (2000) Is Anyone Listening?
This paper starts from the observation that there is a lot of research activity, with an uncertain impact
on policy. It briefly reviews various inputs into the debate on research/policy linkages, and highlights
the need to understand the policy process and to attempt to see issues from the policy-makers’
perspective. This includes the need to develop a more thorough understanding of policy that includes
policy implementation; ‘policy is what policy does’. It also touches on ways of making use of ‘policy
narratives’ and ‘epistemic communities’, as well as entrance points into the literature on
40
campaigning. The paper concludes that if researchers are to have an impact on policy, they need to
build up an understanding of how policy is made and how it is implemented.
Publisher: Paper prepared for GDN annual meeting in Tokoyo, December 2000. GDNet
Full document: (http://nt1.ids.ac.uk/gdn/tools/respol.htm)
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
McMaster, T, Vidgen, R T and Wastell, D G (1997) Technology Transfer: Diffusion or
Translation?
Diffusion theory developed in the 1960s and has had considerable influence on the way both
marketing and technology transfer have been analysed. Diffusion theory assumes that an innovation
(idea, practice, object, or technology) is communicated outwards through social systems, and that it
is a matter of time before the innovation becomes widely accessible. The speed at which the
innovation is diffused depends on its perceived advantages, its compatibility, its comprehensibility,
and also on the efficiency of the communication channels. The mass media provides a manifold
intensification of this process. Diffusion theory has been challenged by more recent theories, such as
actor-network theory (often associated with Bruno Latour), which stress the concept of translation
rather than diffusion. Actor-network theory distances itself from the view that innovation and
technologies are stable entities that are passed from person to person and then put into use. This
view predicates a separation between ‘society’ and ‘technology’, where technologies are seen as
independent of the different people they are transferred between. Instead, actor-network theory sees
technologies as parts of networks between actors. The technologies only ‘make sense’ when used by
an actor, and this actor will always have certain interests and roles. When technologies are
transferred within and between actor-networks, they make sense in different ways depending on the
way they are translated by the actors, and the way they used to sustain or challenge the network.
Publisher: In McMaster, T, Mumford, E, Swanson, E B, Warboys, B and Wastell, D, (eds.)
Facilitating Technology Transfer through Partnership. Chapman and Hall, London, on behalf of IFIP.
Key theme: Message and media/Media communication and IT
Academic discipline: Anthropology
McPherson, P K (1994) Accounting for the Value of Information
Traditionally, value has been accorded to whatever could be measured in monetary terms. Therefore
it is difficult to incorporate the value of information into traditional accounting and institutional
practices, given that information is an intangible asset and non-quantifiable in conventional economic
terms. This tension is becoming all the more apparent as information, intelligence and knowledge are
rapidly gaining importance relative to fixed assets. The value of information lies, for example, in
reducing uncertainty and risk, and in improving coordination and efficiency.
McPherson argues that it is necessary to develop methodology for assessing the value of information
within a system, as a rigorous method of accounting for information value will help convince those
who still adhere to the traditional view of value in monetary terms. He draws up a model for
assessing information value, which emphasises integrated value and multi-dimensional spatial
thinking. His article shows the importance of handling information as a valued asset both in its own
right, and as an integrated aspect of all other assets/technologies.
Publisher: Aslib Proceedings 46(9): 203–215
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Information and knowledge management
41
Meyer, C (1997) The political economy of NGOs and information sharing
To a large extent, information sharing is what nongovernmental organisations (NGOs) do, and the
costs of sharing information are falling dramatically. Joining politics and economics, this paper builds
an analytical framework to illuminate how these falling costs are affecting information-intensive
NGOs in Latin America. Case studies describe the various information-sharing outputs and inputs of
nonprofit, NGO production. I argue that the participatory activity of NGOs affects both political and
economic realms, and that as the costs of sharing information fall, NGOs will be a more powerful
link in the changing balance between states, markets, and civil society.
(Abstract from World Development)
Publisher: World Development 25(7): 1127–1140
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Development management
Mohanty, C T (1988) Under Western Eyes: Feminist Scholarship and Colonial Discourses
Mohanty examines how research on women in the Third World has been shaped by the interests and
standpoint of Western feminists who have taken the West as the primary referent. The research on
Third World women has frequently been characterised by representations of ‘the Third World
Woman’, a monolithic and passive subject who is variously presented as the victim of male violence,
the universal dependant, trapped in the patriarchal family, or subordinated by religious doctrines. The
Third World Woman serves as Other not only to men, but also as Other to the implicit selfrepresentations
of Western women. While the Third World Woman is ignorant, poor, traditionbound,
sexually constrained, and generally lacks agency, the Western woman is educated, modern,
has control over her body, and the freedom to make her own decisions. Mohanty seeks to show that
while Western feminist researchers may draw legitimacy from being members in a ‘global
sisterhood’, thus implying that they are well suited to represent Third World women and have the
same interests as them, this covers over the vast differences between different groups of women and
the power relations between these groups. She concludes that (feminist) scholarship is inherently
political, and that it is necessary to challenge the ideology that portrays research as a ‘disinterested’
inquiry.
Publisher: Feminist Review 30: 65–88
Key theme: Political context/Information age
Academic discipline: Anthropology
Mosley, P, Harrigan, J and Toe, J (1995) Aid and Power – Second Edition The World Bank
and Policy-based Lending
In the introduction to the second edition the authors point out some of the recent changes of
importance in terms of the operation of the World Bank and its role in shaping the development
arena and discourse. They point to the fact that the World Bank can be diagnosed as an institution
which suffers from a chronic ambiguity of, and conflict between, objectives. Over time it moves
uneasily between four major roles.
These, the authors argue, are (i) a financial intermediary between world capital markets and its own
borrowers – ‘the bank as a bank’; (ii) an instrument for the advancement of the interests of the rich
countries who are its majority shareholders; (iii) an evangelist seeking changes in the beliefs and
behaviour of developing countries’ governments; and (iv) an agent for the net transfer of resources
from rich to poor countries.
42
The authors argue that in the last 15 years the Bank has placed increasing focus on the role as
evangelist, with the introduction of policy-based lending with the aim to influence policy more
effectively. In a nutshell the story presented in the book, argues the authors, is about the conflict
between objectives (iii) and (iv) in the context of adjustment lending.
Publisher: Routledge, London
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Mosse, D (forthcoming) The Making and Marketing of Participatory Development
Mosse briefly outlines two traditional views of development policies: the instrumental view of policy
as problem solving, and the critical view that perceives policy to be a cover for state or institutional
power. These views both ask how policy influences and shapes practice. Mosse argues that it is more
useful to ask the reverse, i.e. how practice sustains and protects policies. Through analysing the
making of a participatory rural development project in India, he shows that the policies did not
primarily serve the function of guiding action. Rather, they served the vital function of interpreting
and legitimising the action that was taken. In other words, the policies were not turned ‘downwards’
to implementation and field activity, as commonly assumed, but instead were turned ‘upwards’ as
validating codes in relation to higher policy authorities.
The representations used in policy (in this case the system of representations surrounding
‘participatory development’) may even be seen as commodities that are marketed upwards and
outwards because this is the recognised currency to be used in exchanges with donors. In this way
policies can be used to secure funds and to garner higher political support. Policies as systems of
representations are also able to present one coherent version of reality. Although several divergent
voices and versions exist on the ground, policy as a system of representations is able to cover over
these differences and can thus define the project as a ‘success’ – a necessary criteria for the project
to be able to carry on.
In sum, Mosse suggests that the policy process is not a process where policy is followed by practice.
Rather, the policy process is a matter of practice needing to be followed up by policies, both in order
to interpret as well as justify the practice. Policies should be understood as interpretive frameworks
rather than as guides to action. Mosse concludes that ‘For policy to succeed it is necessary it seems
that it is not implemented, but that enough people firmly believe that it is.’
Publisher: In Quarles van Ufford, P and Giri, A K (eds.) A Moral Critique of Development: In
Search of Global Responsibilities. Routledge, London and New York.
Key theme: Political context/Policy process
Academic discipline: Anthropology
NCDDR (1996) Review of the literature on dissemination and knowledge utilisation
They offer some useful frameworks about the use of knowledge: (i) conceptual (which changes
attitudes), instrumental (changes practices), strategic (achieves goals, such as increase in power); (ii)
spread (one-way diffusion of information), choice (process of expanding access to sources),
exchange (interactions), implementation (increasing use of knowledge or changing attitudes and
practice). Ideas about how knowledge diffuses have not greatly changed over the years, for example,
that there is a cultural and needs gap between researchers and users, but information technologies
have transformed practice. The notion of learning taking place on a blank slate still prevails in many
schools, whereas constructivist theories point out the obvious fact that learners filter knowledge
through pre-conceived ideas and people make sense of ideas based on their prior experience. People
43
change their beliefs only when serious discrepancies emerge in their thinking and practice. The
source of information is more important than the content, for example people accept information
more readily from those they trust, e.g. dairy farmers trust each other more than experts.
Comprehensibility has more impact than quality. They also summarise key ideas from social
marketing, e.g. audience segmentation (dividing your audience into different groups and designing
different information, training, rewards etc.). Identity and cultural differences will also play their part
in deciding how information will be received.
Publisher: National Center for the Dissemination of Disability Research (NCDDR), USA
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Information and knowledge management
Neilson, S (2001) Knowledge Utilisation and Public Policy Processes: A Literature Review
For many social science researchers, influencing policy makers and/or decision makers is an intended
result or expectation of their research. Development researchers are no exception, least of all
because they want to know if their research has had an impact on people’s everyday lives in terms of
poverty, food insecurity, malnutrition or environmental sustainability. As a result, IDRC’s Evaluation
Unit is undertaking a study that will examine these main questions: (i) what constitutes policy
influence in IDRC’s experience; (ii) to what degree and in what way has IDRC-supported research
influenced public policy; and (iii) what factors and conditions have facilitated or inhibited the public
policy influence potential of IDRC-supported research projects. This study will serve two main
purposes: (i) to provide learning at the program level which can enhance the design of projects and
programs to increase policy influence where that is a key objective; and (ii) to create an opportunity
for corporate level learning which will provide input into strategic planning processes as well as
feedback on performance.
As part of the study, this paper presents the main bodies of work that address the issue of research
influence on policy. A considerable literature exists detailing the nature of policy processes, and on
whether and how research does or does not inform public policy. There are numerous frameworks
and/or models found within the literature to help explain or represent knowledge utilisation in
decision-making, as well as frameworks explaining how policy change occurs. The first section of the
literature review presents an overview of the knowledge utilisation literature including its views on
the use of knowledge and research in decision-making. The two most enduring findings from this
literature are discussed: (i) Caplan’s theory regarding the behavioural differences or ‘cultural gap’
between researchers and policy makers; and (ii) Weiss’ ‘enlightenment function’ of research. As well,
various ideas and meanings of ‘research’ and ‘use’ are also considered. The second section provides
a synopsis of the various policy process frameworks. These include: (i) linear; (ii) incrementalism;
(iii) interactive; (iv) policy networks; (v) agenda-setting; (vi) policy narratives; and (vii) policy
transfer.
Each of these conceptualisations has different implications for the extent to which research is able to
influence policy, and for how research could be designed to influence policy. Moreover, each has
different implications for who are considered to be the main decisions makers in society, and/or to
whom the research should be addressed. Further, while much of this literature reflects Northern or
developed country settings, some acknowledges the diversity of policy contexts throughout the
world.
The final section of this paper will address a number of issues. Few studies examine issues related to
research quality and/or completeness in terms of considering the analysis in relation to policy
development. Additionally, the notion of perceived influence brought forth by Diane Stone looks at
44
the use of inappropriate evaluation indicators, political patronage and the selective use of research for
legitimisation rather than policy development (Stone, personal communication, 2001). Krastev’s
concept ‘faking influence’ also recently emerged which addresses issues related to the idea that
perhaps it is not the strength of the research institution of or the research itself, but the weakness of
the other players that allows for ‘policy influence’. This posits the question, has this research, or
research institution, truly influenced policy, or is the research being utilised merely because policy
makers need solutions and these are the only available solutions? The issue of quality, along with the
issues of perceived influence and faking influence, lead us to question whether policy influence
should always be construed as a positive development outcome? Finally, this paper explores issues
associated with two new areas, which for the purpose of this paper will be called generally as ‘new
policy fields’ and ‘new policy environments’. New policy fields covers those fields related to such
things as information and communication technologies (ICTs), genetics and tobacco control. New
policy environments that encompass policy fields which may not be considered as new (i.e.,
economics, environment, health and education), but are being developed in newly independent states
(e.g., Ukraine, countries in Central Asia). The question here is how the policy processes in these
areas work to either facilitate or inhibit the use of research in new policy fields or new policy
environments.
(Introduction taken from paper)
Publisher: Evaluation Unit, IDRC, Canada
Full document: www.idrc.ca/evaluation/litreview_e.html
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Newbold, C (1995) Approaches to Cultural Hegemony within Cultural Studies
Newbold briefly charts the rise and decline of the hegemony approach within media studies/cultural
studies. Media studies focused primarily on psychological and sociological frames in the 1960s and
70s, studying the effects of media on audience attitudes and behaviour. Since then it has expanded its
scope, in interaction with cultural studies, to also include analyses of the wider cultural environment
within which media operates. The cultural effects theory suggests that the media is embedded in the
relations that constitute a particular society, working both to produce and reflect powerful interests
and social structures.
One of the big debates within this field has been concerned with the extent to which the media is an
ideological instrument that serves the interests of the elites, or whether it provides strategic spaces
for resistance and change of social systems. One approach to this question uses Gramsci’s concept of
hegemony, and views the media as communicating a dominant version of culture as if no other
version existed, i.e. portraying a certain vision of society as though it were simply ‘natural’ and not a
product of historical and political processes. This applies both to the symbolic codes used in media
communication, as well as to the way in which media communication is generated. The
‘naturalisation’ of the codes and the production process pre-empts further questioning. However,
media studies/cultural studies has brought this debate further by including a human experience
approach, which recognises the struggle over meaning involved, and the polysemic nature of the
message. The media may communicate culture, but this is not simply a process of pushing out the
dominant culture. Rather, the communication of culture is a process whereby culture is experienced
and lived out by the audience; culture, according to Raymond Williams, constitutes ‘structures of
feeling’.
Publisher: In Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. Arnold,
London
45
Key theme: Message and media/Media communication and IT
Academic discipline: Media and communication
Norris, P (2001) Digital divide? Civic engagement, information poverty and the internet in
democratic societies: Can the Internet change the national distribution of power and income?
Will the Internet transform conventional forms of democratic activism, or only serve to reinforce the
existing gap between the technologically rich and poor? Will it level the playing field for developing
societies, or instead strengthen the advantages of post-industrial economies? Will parties, interest
groups, and governments use the Net to encourage interactive participation, or will the technology
be used as another form of ‘top-down’ communications?
This book argues that the political role of the Internet reflects and thereby reinforces, rather than
transforms, the structural features of each country’s political system. In some, voluntary
organisations and community groups mobilise people into politics. In others, citizens often become
active via strong mass-branch party organisations. In yet others, grassroots social movements involve
people in protest politics, such as direct action to protect the environment. The Net becomes a
common resource which different agencies can use in the attempt to generate public support and to
influence the policy process. The Internet thereby alters the mobilising structure, providing new
points of access into the political system, creating new possibilities for collective action,
organisational linkage across distances, and informal networks.
Part I of the book sets out the theoretical framework in the Internet Engagement Model which
suggests that use of the new technology can be understood as the product of resources (like time and
money), motivation (like interest and confidence) and the structure of opportunities (such as how
social networks and political actors use the Internet). It locates the discussion within broader
theories of social communications and civic engagement. It distinguishes the global divide meaning
inequalities of Internet access between countries, the social divide between groups within societies,
and the democratic divide between those online who do, and do not, use political resources on the
Internet. Chapters 2 and 3 then discuss the trends in global access to the internet and the social
divisions in the online community, including gaps of gender, class and generation.
Part II compares the structure of opportunities for political use of the Internet, in terms of the news
environment, political parties and campaigns, civic society and the government. Part III then
examines the impact of attention to the Internet for news and political engagement, considers the
major explanations of net civic engagement, and evaluates the main policy options for reducing the
digital divide.
Much of the focus is on OECD countries, especially the United States and the 15 member states of
the European Union.
(Summary taken from http://ksghome.harvard.edu/~.pnorris.shorenstein.ksg/book1.htm)
Publisher: John F. Kennedy School of Government (KSG), Harvard University
Key theme: Message and media/Media communication and IT
Academic discipline: Political science
Nutley, S, Walter, I and Davies, H (2002) From Knowing to Doing: A framework for
understanding the evidence-into-practice agenda
This overview paper aims to map out the terrain of research utilisation and evidence-based practice
(RU/EBP) through examining six inter-related areas.
46
1. Types of knowledge. RU/EBP does not just require know-how, but also know-who and knowwhy.
This type of knowledge is often based on more tacit understanding – such as ‘craft
expertise’ – rather than explicitly systematic investigation.
2. Types of research utilisation. It is emphasised that research may be used in different ways,
ranging from instrumental use that results in practical/behavioural change, to conceptual use that
results in changes in understanding and attitude. Conceptual change is perhaps the most
important impact that research can have long-term.
3. Models of the process of utilisation. The shift from a linear model of research/policy linkages
(‘research into practice’) to a multi-dimensional model (‘research in practice’) is echoed in the
shift from researcher-as-disseminator to practitioner-as-learner.
4. Conceptual frameworks. Different conceptual frameworks are often used implicitly to frame the
RU/EBP problem in a specific way. The paper briefly outlines six possible conceptual
frameworks: diffusion of innovations, institutional theory, managing change in organisations,
knowledge management, individual learning, and organisational learning.
5. Main ways of intervening to increase evidence uptake. Broad-based approaches to securing longterm
change face three key challenges: cultural challenges when dealing with multiple cultures;
logistical challenges arising from difficulties with information systems and access to resources;
and contextual challenges linked to differences in learning among different groups.
6. Different ways of conceptualising what RU/EBP means in practice. Four different ‘types’ or
dimensions are suggested: i) the evidence-based problem solver, who has an individual and dayby-
day, case-by-case focus; ii) the reflective practitioner, who uses observational data to learn
from the past and adjust for the future; iii) system redesign, which emphasises the importance of
reshaping total systems, often in a centrally driven way; iv) system adjustment, which refers to
system level ‘single-loop’ learning.
Publisher: Discussion Paper 1, Research Unit for Research Utilisation, University of St Andrews.
Linked to the ESRC Network for Evidence-based Policy and Practice.
Full document: www.st-and.ac.uk/~cppm/KnowDo%20paper.pdf
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Peterson, S B (1998) Saints, Demons, Wizards and Systems: Why information technology
reforms fail or underperform in public bureaucracies in Africa
Peterson asserts that the great potential of IT for public administrative reforms in Africa has not been
realised, and reviews possible reasons for this. The focus is on both the actors involved and the
importance of the cultural environment. He argues that information systems development is a highly
personalised process, and therefore individuals can have significant impact both as promoters and as
saboteurs. Thus he classifies the various actors as saints (pro-reform), demons (anti-reform), and
wizards (IT specialists), and draws the conclusion that information systems development in Africa
often fails because there are too few saints, too many demons, and inappropriate wizards. The
cultural environment also plays a part. Since African bureaucracies may operate with personalised
authority structures and a certain lack of continuity over time, introducing IT systems may be
resisted by those who would lose power as information brokers, and reforms may be short lived.
This illustrates the highly contingent nature of information systems, and their embeddedness in
surrounding political structures and human relationships. Changes in information systems cannot be
pushed through without also considering the changes that will ensue in organisational lay-out, power
structures, and cultural understandings. Peterson concludes that information systems development is
a highly personalised, contingent and political process, and therefore should be treated as a craft
rather than a science.
47
Publisher: Public Administration and Development 18(1): 37–60
Key theme: Message and media/Media communication and IT
Academic discipline: Information and knowledge management
Philo, G (1996) Seeing and Believing
What leads people to accept or to reject the portrayal of an event in the news? Philo analyses a case
study of the television news coverage of the Miners’ Strike in the mid-1980s and the extent to which
the news was believed to be ‘true’ by the audience. The news coverage selectively focused on violent
incidents, portraying an image of the picket lines as primarily violent places. In Philo’s general
audience sample, 54% believed that picketing was indeed mostly violent. Some important reasons
given by the audience for believing the television story were the perceived credibility of the source
(historically and culturally mediated trust in the BBC), as well as the impact of the visual images –
seeing is believing. However, the remaining 46% of the audience sample did not accept the story as it
was portrayed by the news. One of the most important grounds for rejection was direct or indirect
experience of the issue, e.g. through having driven past picket lines or through knowing miners.
Another ground for rejection was comparison between the television coverage and other sources of
information, such as newspapers. In addition, some people were sceptical due to their perception of
the political agenda of the television news.
The portrayal of the miners’ strike as violent stuck in the minds of over half the sample audience,
strongly influenced by the visual images. Footage and photographs carry a lot of weight as credible
evidence in information societies, and are seen as more ‘neutral’ or ‘true’ than written reports.
However, this was not enough to make the news coverage stick as a credible story in all of the
sample audience. In sum, how people understand and interpret news depends on the extent to which
the news is compatible with their existing cultural/political beliefs, their direct and indirect
experience, and their ability to compare the television account with various other accounts.
Publisher: In Marris, P and Thornham, S (eds.) Media studies, A Reader. Edinburgh University
Press, Edinburgh
Key theme: Message and media/Media communication and IT
Academic discipline: Media and communication
Porter, R W and Prysor-Jones, S (1997) Making a Difference to Policies and Programs: A
Guide for Researchers
This guide to researchers presents a practical and collaborative approach to the three-way
communication between researchers, policy-makers and communities. It suggests specific actions
that researchers may take to communicate more effectively at different stages of the research process
(defining the questions, developing the proposal, conducting the study, communicating the results).
Suggestions include: involve potential users in defining the questions, establish relationships of trust,
clarify which decisions the research wants to influence, choose appropriate research methods,
involve users in data collection and analysis, communicate the results in appropriate ways to the
different groups involved, formulate clear recommendations.
Publisher: USAID, Washington
Key theme: Bridging research and policy/Theory
Academic discipline: Development management
48
Price, N (2001) The performance of social marketing in reaching the poor and vulnerable in
Aids control programmes
The article reviews evidence on the impact and effectiveness of condom social marketing
programmes (CSMPs) in reaching the poor and vulnerable with information, services and products in
the context of HIV/AIDS/STD prevention and control. Ideally, the success of CSMPs would be
judged by whether they contribute to sustained improvements in sexual health outcomes at the
population level. Given methodological and attribution difficulties, intermediary criteria are employed
to assess effectiveness and impact, focusing on changes in behaviour (including condom use) among
poor and vulnerable groups, and access by the poor and vulnerable to condoms, services and
information. It remains difficult to reach definitive conclusions about the extent to which CSMPs
meet the sexual health needs of the poor and vulnerable, due largely to reliance on sales data for
CSMPs monitoring and evaluation.
CSMPs (like many health programme strategies) have traditionally collected little information on
client profiles, health seeking behaviour, condom use effectiveness, and supply-side issues.
Recent data indicate that CSMPs are unlikely to be pro-poor in their early stages, in terms of the
distribution of benefits, but as CSMPs mature, then the inequities in access diminish, followed by
reduced inequities in condom use. The paper assesses the extent to which social marketing is
effective in improving access for the poor and vulnerable using a number of variables. In terms of
economic access, it is evident that low-income groups are particularly sensitive to CSMPs price
increases, and that a cost-recovery focus excludes the poorest. Convenience is significantly improved
for those who can afford to pay, and CSMPs appear to be addressing social and regulatory
constraints to access. Conventional CSMP monitoring systems make it difficult to assess the
effectiveness of behavioural change IEC strategies, although data on this dimension of social
marketing approach are beginning to emerge.
(Abstract from Health Policy and Planning)
Publisher: Health Policy and Planning 16(3): 231–239
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Pross, P (1986) Group Politics and Public Policy
In examining the policy process in the Canadian system of parliamentary governance, Pross found
that it was not sufficient to focus only on the decision-makers themselves. It is necessary to also take
into account the various interest groups and even the larger milieu that has an interest in policy areas
(such as health, transportation) and which exerts some kind of influence on the policy process. Pross
introduced the concept of ‘policy communities’ to incorporate these diverse actors into the analysis.
Within the policy community, he differentiates between the sub-government and the ‘attentive
public’. The sub-government consists of influential politicians, departments, strong interest groups,
and relevant international organisations. The attentive public is made up by any actors with an
interest in following current policy-making and implementation, such as less influential politicians
and departments, smaller interest groups, journalists, academics, and citizens in general.
The most interesting difference between the sub-government and the attentive public, is that the subgovernment
actors and institutions have a vested interest in the existing order. Therefore they will
usually support approaches that sustain the status quo. The attentive public, on the other hand, have
a greater interest in being critical of the status quo, and are therefore more likely to produce creative
ideas and novel approaches.
49
Publisher: Oxford University Press, Toronto
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Puchner, L (2001) Researching Women’s Literacy in Mali: A Case Study of Dialogue among
Researchers, Practitioners, and Policy Makers
In this article Puchner reflects on the dialogue between her as a researcher in Mali and other
practitioners and policy-makers. Her fieldwork in Mali revealed that the adult literacy programs she
observed had little impact; few women became literate, and those who did learn to read did not gain
any significant benefits from this. Puchner emphasised, in her research findings, that narrow literacy
programs therefore need to be reconsidered and changed. However, she experienced that dialogue
between her as a researcher and policy-makers and practitioners had little effect. In sum, the
research/policy dialogue was insufficient to bring about change. Puchner holds herself responsible for
this, and puts forward possible reasons and suggestions.| First, the research topic and process was initiated by her, and therefore based on her interests,
rather than being initiated by practitioners/policy-makers in Mali.| Second, the traditional format of the dissertation she was required to write up is not amenable to
communicating with practitioners/policy-makers, and the work of transforming it into shorter
articles takes a long time. She reasons that she should have written it in a different format.| Third, since she spent some of her time in Mali assisting practitioners, she understood the
difficulty of their situation, and was therefore a bit more hesitant to make controversial or
‘impractical’ policy recommendations. This was also linked to cultural differences between her as
an ‘outsider’ and the local practitioners/policy-makers.
She concludes that although her research may be of interest to other scholars in the field, it would be
far more useful if the research contributed to practice and policy. In order to bring this about, there
needs to be changes in the relationships between researchers, practitioners and policy-makers, so that
each of them incorporates the others in their own projects.
Publisher: Comparative Education Review 45(2): 242–256
Key theme: Bridging research and policy/Case studies
Academic discipline: Political science
RAWOO (2001) Utilisation of Research for Development Cooperation, Linking Knowledge
Production to Development Policy and Practice
This collection of lectures examines the utilisation of research results from different angles. They
draw on Carol Weiss’ concept of ‘knowledge creep’ and highlight that research is not present as a
ready packaged set of options for policy makers; rather, research is there as part of the constant
information stream (Waardenburg). They wish to move away from the linear model of knowledge
production, and instead draw up a model that charts interaction between promises, anticipation and
feedback, realisation, and overlapping ‘knowledge reservoirs’. The combined effect of this
interaction results in the co-production of knowledge. One of the main challenges emerging from this
model is to facilitate various actors’ access to knowledge reservoirs (Rip).
Other models following on from this include the participatory and the interactive models of
innovation processes. Both these models highlight the need for a shift from research centres to local
users in order to bring about user-led innovation processes, which value trust relationships, mutual
learning, and knowledge integration (Bunders). A case study from a community of slum-dwellers in
India is presented. The case study shows that it is both possible and useful to use the community
50
itself as the site of knowledge production, which entails locating the design and execution of research
processes within the community. The result in this case was a process where research and political
advocacy by the community and its outside partners fed into each other (Patel).
The epilogue emphasises that the shift away from a linear model reflects the new mode of production
of knowledge in our society. Research now has to be utilised through networks and dialogue. This
point is brought home through reference to a study of research utilisation among a group of policymakers.
This study found that the one decisive factor influencing research utilisation was that the
initiative had come from the policy-makers themselves and not from external researchers
(Waardenburg).
Publisher: Publication no. 21, Netherlands Development Assistance Research Council, The Hague
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Riley, P (1983) A Structurationist Account of Political Culture
The theory of structuration is proposed as a means of studying organisational culture. This paradigm
is used to investigate one of the most significant and fascinating aspects of culture – organisational
politics. This study compares organisational political symbols from two professional firms – one
routinised and one nonroutinised – in order to investigate the interrelationships of subcultures and to
identify the structures that govern the political nature of organisational culture. The results suggest
that organisational culture should be viewed as a system of integrated subcultures, not as a unified
set of values to which all organisational members ascribe.
(Abstract from Administrative Science Quarterly)
Publisher: Administrative Science Quarterly 28(3): 414–437
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Robertson, A F (1984) People and the State: An anthropology of planned development
In this book Robertson traces the emergence of the notion that development can be ‘planned’. He
maps the Western historical and cultural context of the current stress on planning, and shows how
planning has now become one of the principal means of exercising political power, especially by
modern states, and has been replicated almost all over the world. There are several interesting points
to note regarding the present ubiquitous discourse of planning development. Firstly, planning was
once a novel approach, but is now often regarded as routine and bureaucracy, and the political
power relations involved are therefore often hidden. Secondly, although development policies differ
across contexts, the wider notion that development can be planned is remarkably unitary; (at least in
the early 1980s when Robertson wrote his book; there is now an increasing focus on process
approaches to development).
A necessary precondition for planning is some degree of predictability. Development policies often
‘produce’ this predictability through using simplified models of reality. For example, Robertson
explores the models of ‘community’ used in development, and finds that they often portray the
community as a harmonious and homogenous group of people that will all react in the same way to
an external stimulus (such as policy implementation). This model enables policy-makers to draw up
coherent plans.
Robertson concludes with some reflections on the role of (anthropological) research in sustaining or
challenging the discourse of planning. He suggests that research which aims to make certain groups
51
(e.g. slum-dwellers) intelligible to certain other groups (e.g. policy-makers, academics) is corrupt.
Instead, research should attempt to engage in mutual explanation between groups, and broader
explanations for popular use (e.g. making the planning process more accessible and amenable to
change).
Publisher: Cambridge University Press, Cambridge
Key theme: Political context/Policy process
Academic discipline: Anthropology
Robinson, D, Hewitt, T and Harriss, J (1999) Why Inter-Organisational Relationships Matter
The chapter starts off by describing the way in which the development arena has moved from
practices referred to as serial monogamy to more complex and polygamous behaviours. With more
cooperation between aid agencies, a shift can be seen from aid-based to rules-based development.
Attention is turned more towards defining sector-wide programmes and macro level change. In interorganisational
terms, this might be described as a move from interaction generated by operational
needs, to attempts to build more enduring relationships. There are major challenges in place trying to
make sense of the underlying politics of the notion of cooperation, with focus on the real conflicts of
interest and agenda which persist in all areas, and how these are managed.
The process of negotiation over development lies at the heart of the idea of ‘public action’, as a
broad idea covering the purposeful manipulation of the public environment by a range of actors. This
perspective involves looking at what strategies for cooperation there are (collaboration, advocacy,
opposition), and choosing between them, as well as the development of skills for working with the
different strategies. The starting point is that there are three ‘ideal’ modes of inter-organisational
relationships: competition (market, firms), coordination (state, government at all levels), and
cooperation (civil society, NGOs, trade unions). The authors recognise that often there are
significant overlaps between what might be considered state, market and voluntary organisations,
and often they work together in various arrangements.
Competition: The institutional framework for organising competition is provided by the market, thus
the World Bank is pointed out as one of the principal proponents of competition as the basis for
development. The use of the term is broad, including competition for scarce resources, ideas,
constituencies, values and definitions of needs.
Coordination: The most common notion of coordination is rule-regulated and hierarchically
organised, generally associated with the state as a legitimate controller and coercer. In its positive
sense, coordination by the state is based on the notion of a liberal state deriving its legitimacy
through systems of elected representation. However, coordination, generally associated with
hierarchies, is a relationship of power, which can be used or abused. Coordination has been a key
form for organising development practice, but the context is changing, and the central actor, the
government, has changed from all encompassing provider to that of a regulator.
Cooperation: Cooperation tends to be associated with voluntary organisations, as non-hierarchical
and with all parties involved on an equal basis with each other. Cooperation assumes power based on
knowledge, expertise, and/or contribution, rather than power derived from hierarchy. On its positive
side it is seen as a process of consensus building and sharing in public action. However, as already
indicated, talk of cooperation frequently disguises power relations in the name of equality.
Publisher: In Robinson, D, Hewitt, T and Harriss, J (eds.) Managing Development: Understanding
Inter-organisational Relationships. Sage, London
52
Key theme: Actors/Networks and inter-organisational linkages
Academic discipline: Development management
Roe, E (1991) Development Narratives, Or Making the Best of Blueprint Development
Roe argues that development policies are often based on arguments, scenarios and narratives that do
not stand up to closer scrutiny. Frequently the narratives are directly contradicted by experience in
the field. In spite of this, the narratives persist and continue to inform policy-making. The most
obvious reaction is to dismiss the narratives as myths or ideologies, and to call for more rational
policy-making or a more learning-based process. However, Roe suggests that this will not have any
great effect, because the ideals of rationality and learning would not automatically fulfil the needs
that the narratives do, and thus are likely to be discarded in practice.
Instead, it is necessary to first try and understand why policy so often leans on narratives, and why
policy-making apparently ‘learns less and less’ over time, before attempting to reform it. Narratives
have several functions. Importantly, they are a way of dealing with the uncertainty and ambiguity that
characterises development activity. There is a strong pressure to produce and reproduce simplifying
narratives, especially in situations where difficult and ambiguous decisions have to be made.
Narratives are able to transform a chaotic reality into an ordered and comprehensible sequence of
events.
Roe suggests that the best way of reforming outdated narratives is to engage with them, either by
trying to improve the narrative itself, or by introducing counter-narratives (i.e. making the best of
blueprint development).
Publisher: World Development 19(4): 287–300
Key theme: Political context/Policy process
Academic discipline: Anthropology
Rogers, E (1995) Diffusion of Innovations
Rogers, perhaps the most widely known diffusion theorist, in his fourth book presents a
comprehensive overview of issues and problems related to diffusion. These include the generation of
innovations, socioeconomic factors, the innovation-decision process, communication channels,
diffusion networks, the rate of adoption, compatibility, trialability, opinion leadership, the change
agent, and innovation in organisations.
The book makes use of the important concepts of uncertainty and information. Uncertainty is the
degree to which a number of alternatives are perceived with respect to the occurrence of an event
and the relative probabilities of these alternatives. Uncertainty motivates an individual to seek
information. Information is a difference in matter-energy that affects uncertainty in a situation where
a choice exists among a set of alternatives. One kind of uncertainty is generated by an innovation,
defined as an idea, practice, or object that is perceived as new by an individual or another unit of
adoption. An innovation presents an individual or an organisation with a new alternative or
alternatives, with new means of solving problems. But the probabilities of the new alternatives being
superior to previous practice are not exactly known by the individual problem solvers. Thus, they are
motivated to seek further information about the innovation to cope with the uncertainty that it
creates.
Information about an innovation is often sought from near-peers, especially information about their
subjective evaluations of the innovation. This information exchange about a new idea occurs through
a convergence process involving interpersonal networks. The diffusion of innovations is essentially a
53
social process in which subjectively perceived information about a new idea is communicated. The
meaning of an innovation is thus gradually worked out through a process of social construction.
(Taken from the book’s preface)
Publisher: Free Press, New York
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Information and knowledge management
Rondinelli, D (1993) Development Projects as Policy Experiments: An adaptive approach to
development administration
Rondinelli argues that most development policies are based on the assumptions that reality is
manageable and that the future is predictable. This results in universal and ‘technical’ solutions to
development ‘problems’, and therefore many policies are inappropriate and far removed from the
reality they are trying to influence. Rondinelli suggests that a more helpful way of viewing
development policies is to approach them as ‘social experiments’. Experiments take into account the
underlying uncertainty and the necessity of trial and error in order to learn. Experiments also take
into account that the unexpected may happen, and that both problems and solutions may have to be
redefined along the way. Policy-making then becomes less a matter of prediction and
implementation, and more a matter of questions and discoveries. Rondinelli links this to wider
concerns about the importance of continuous learning, flexibility, and opportunities for local
ownership of the policy process.
Publisher: Routledge, London
Key theme: Political context/Policy process
Academic discipline: Development management
Ryan, J (1999) Assessing the impact of rice policy changes in Viet Nam and the contribution
of policy research
The marketing and policy research on rice of the International Food Policy Research Institute
(IFPRI) is described, and the conclusions and recommendations that emerged are discussed in the
context of the decision-making processes in Viet Nam. From extensive interviews the author
describes the perceptions of partners and stakeholders of the influence of the outcomes of the IFPRI
project. They show that the research was regarded as being of high quality, independent, rigorous,
and timely. A strong foundation of primary and secondary data gathering and analysis from Viet
Ham gave the modelling work on policy options a high degree of credibility among key
policymakers. Linking the spatial equilibrium model with income distribution analysis based on
national household surveys allowed IFPRI to satisfy policymakers that relaxing rice export quotas
and internal trade restrictions on rice would not adversely impact on regional disparities and food
security and would have beneficial effects on farm prices and poverty. These were major concerns of
policymakers prior to the project. The research on these and other policy options gave a degree of
confidence to policymakers that relaxing the controls would be in Viet Nam’s national interest. They
made these decisions earlier than would have been the case without the IFPRI research. A
framework for the evaluation of policy research and advice is described.
(Abstract taken from the paper)
Publisher: Impact Assessment Discussion paper 8. International Food Policy Research Institute
(IFPRI), Washington, DC
Key theme: Bridging research and policy/Case studies
Academic discipline: Political science
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Ryan, J (2002) Synthesis Report on Assessing the Impact of Policy-Oriented Social Science
Research
This report from a conference on the impact of research, notes that the key factors determining the
impact of research are: quality and perception as an honest broker; timeliness and responsiveness;
long-term in-depth collaboration; receptive policy environment; primary and secondary empirical
data and simple analysis; trade-offs between immediate and sustainable impacts; choice of partners;
consensus for change among stakeholders; cross-country experience. One participant (at their
conference) made the point that research is often used to confirm, rather than challenge, received
wisdom while another claimed that the element of surprise increases the value of research. Another
explained that when engaged in negotiation with policy-makers, it can be imperative to answer
questions with research findings within hours or even minutes. Strengthening the research and policy
capacity of developing country institutions was seen as a priority. A small consortium on Policy-
Oriented Social Science Research, led by the International Food Policy Institute, was decided upon.
Publisher: International Food Policy Research Institute (IFPRI), Washington, DC
Full document: www.ifpri.org/impact/iadp15.pdf
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Sabatier, P and Jenkins-Smith, H C (1999) The Advocacy Coalition Framework: An
Assessment
This chapter examines the link between research and policy in terms of an ‘advocacy coalition’
framework, which aims to take into account the importance of various coalitions between certain
policy-makers, influential actors and pressure groups. The coalitions form on the basis of shared
beliefs and values, as actors/institutions who share a similar perspective forge relationships with each
other. Advocacy coalitions therefore consist of various different actors, including different
government agencies, associations, civil society organisations, think tanks, academics, media
institutions, and prominent individuals.
There are competing advocacy coalitions within each policy domain, and in general one of these
coalitions will be dominant and wield greater power over the policy process than other coalitions.
Sabatier and Jenkins-Smith argue that research findings will inevitably be shaped by the competition
between the different coalitions. They also note that academics and think tanks have a far greater
chance of being heard when there are like-minded influential politicians in the dominant advocacy
coalition. When this is said, they see a productive and potentially influential role for research,
particularly in assisting coalitions to produce better arguments and to monitor the claims of their
opponents. While actors in advocacy coalitions do not usually relinquish their core values and beliefs,
they are open to changes of ‘secondary importance’ such as specific policy formulations, and it is
here that research has a role to play.
Publisher: In Sabatier, P (ed.) Theories of the Policy Process. Westview Press, Boulder
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Saywell, D and Cotton, A (1999) Spreading the Word. Practical guidelines for research
dissemination strategies
This book offers a literature review of sources that have provided insights on research dissemination
both in the UK and outside. They conclude that researchers should consider the potential impact of
their outputs much more carefully before producing reports. They identify organisational, practical
and psychological barriers to the effective dissemination of information and four explanations of how
55
information influences policy: the ‘rational’ model (making information available is sufficient); the
limestone model (information trickles like water through porous rock), the gadfly model (information
gets through because dissemination is prioritised as much as research itself), and insider model
(researchers exploit links with policy-makers).
While they found that non-UK researchers planned a strategy for disseminating information, the UK
researchers produced lengthy outputs for a homogenised audience with little strategy for influencing.
There should be more consultation between information producers and users of research on the types
of outputs and strategies required for dissemination. They argue for (and give examples of) the need
for dissemination plans, designing different kinds of outputs for different audiences and considering
dissemination from the beginning of a project rather than the end. Their very varied case studies
illustrate which dissemination strategies work in which contexts, ranging from very practical advice
about translating research outputs into local languages, to more abstract principles about how
dissemination can be useful if seen as a process of mutual learning. They also offer specific
suggestions to contractors and DFID as well as useful checklists of questions for researchers about
planning effective dissemination, plus advantages and disadvantages of different dissemination
‘pathways’ (e.g., manuals, networks, briefs…).
Publisher: Water, Engineering and Development Centre, Loughborough University
Key theme: Message and media/Knowledge management and research relevance
Academic discipline: Information and knowledge management
Shankland, A (2000) Analysing Policy for Sustainable Livelihoods
While the sustainable livelihoods (SL) framework has proved a valuable way of structuring microlevel
studies of livelihoods, it gives little guidance on how to link those findings with macro-level
issues or with policy analysis. Bottom-up livelihoods analysis is often seen as too context-specific to
guide policy making and top-down analysis misses the complexity. To bridge this gap, three elements
are needed: (i) a model of interactions between policy and livelihoods, (ii) a clearer understanding of
the role of social and political capital, (iii) an approach to policy analysis that draws on and feeds into
SL analysis.
Shankland’s suggestions about how to improve policy analysis are particularly useful. He emphasises
the need to distinguish between institutions (‘rules of the game’) and organisations (‘players’) and
analyse their relative strength as well as links with the public in respective countries. Implementation
is part of the policy process, he argues. Policies are broad statements of intent, while policy
‘measures’ take specific forms, e.g. laws, projects. Policy making works quite differently in different
sectors (e.g. scientific arguments are important in some, lobbying by professional groups are vital in
others). Furthermore, local conditions and power relations often limit or distort the channelling of
policy. The key characteristics of a policy measure are: design, commitment, resources, links
(between ‘champions’ of the measure), and time. He also offers a checklist for analysing policy for
sustainable livelihoods, with a detailed explanation of the questions, and suggested methodologies in
an annex.
Publisher: Research Report 49, Institute of Development Studies (IDS), University of Sussex
Key theme: Political context/Policy process
Academic discipline: Development management
56
Smircich, L (1983) Concepts of Culture and Organisational Analysis
This paper examines the significance of the concept of culture for organisational analysis. The
intersection of culture theory and organisation theory is evident in five current research themes:
comparative management, corporate culture, organisational cognition, organisational symbolism, and
unconscious processes and organisation. Researchers pursue these themes for different purposes and
their work is based on different assumptions about the nature of culture and organisation. The task
of evaluating the power and limitations of the concept of culture must be conducted within this
assumptive context. This review demonstrates that the concept of culture takes organisation analysis
in several different and promising directions.
(Abstract from Administrative Science Quarterly)
Publisher: Administrative Science Quarterly 28: 339–358
Key theme: Actors/Organisational management
Academic discipline: Organisational management
Stacey, R (1995) The Role of Chaos and Self-Organisation in the Development of Creative
Organisations
Drawing on chaos theory (transported from the physical sciences to social science issues), Stacey
discusses the possibilities of moving away from ‘equilibria’ models of organisation to models that
focus on nonlinear networks. He argues that the ‘nonlinearity’ of networks – e.g. the spontaneous
relations formed between people, the irregular sharing of information, the informal learning
processes that occur through interaction, etc – is precisely what makes networks such valuable sites
for innovation. In formal institutions, the networks that form often function as ‘shadow
organisations’ that creatively interpret and modify official strategies. More importantly, the informal
networks continuously generate new and alternative strategies. Those unofficial strategies that
survive and are picked up by various actors through the informal channels and networks, will
normally after a time become institutionalised, thus making them official. This reinforces the control
of the formal management and provides some stability. However, new unofficial ideas and responses
will already be forming. Stacey argues that this constant interaction between stable organisational
elements and unstable informal networks is vital if an organisation wishes to succeed.
Publisher: In Albert, A (ed.) Chaos and Society. IOS Press, Amsterdam
Key theme: Actors/Networks and inter-organisational linkages
Academic discipline: Organisational management
Stern, N and Ferreira, F (1997) The World Bank as an ‘Intellectual Actor’
Admirers and critics of the World Bank commonly agree on a surprising view of the institution: the
principal function of each loan is to serve as an ideological Trojan horse. It is the critic who will term
this ideological and having pejorative intent. The admirer will make the same point using different
language, speaking of the Bank as not mere bank but a ‘development agency’, citing the technical
assistance, training, and advice that it provides, as well as its contributions to development research.
Both critics and admirers see loans as lever and packaging for the transmission of those ideas.
The chapter provides an examination of the Bank as a source and a transmitter of thinking on
economic development. The main author (Stern) looks for originality and scientific power in the
Bank’s work as a creative centre of development studies. He also examines the way in which ideas
about development have been part of the Bank’s practical, operational life – including a large part of
‘operations’ that consists of doctrinal persuasion. Stern is unable to cite any significant, pioneering
scientific contribution. Loosening the criteria, however, he speaks of the Bank’s ‘intellectual
57
leadership’ with respect to structural adjustment during the 1980’s. But Stern admits, the Bank’s
analytical role was not pathbreaking, the underlying theories and views were not new.
(From Introduction to Volume 2)
Publisher: In Kapur, D, Lewis, J and Webb, R (eds.) The World Bank – Its First Half Century.
Brookings Institution, Washington, DC.
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Stone, D, Maxwell, S and Keating, M (2001) Bridging Research and Policy
This paper is about the relationship between research and policy – specifically about how research
impacts on policy, and about how policy draws on research. It might be thought that the relationship
is straightforward, with good research designed to be relevant to policy, and its results delivered in
an accessible form to policy-makers – and with good policy-making securely and rationally based on
relevant research findings. In fact, this is far from the case. As a taster, Box 1 gives ten reasons why
the link from research to policy might not be straightforward.
Sometimes research is not designed to be relevant to policy. Sometimes it is so designed, but fails to
have an impact because of problems associated with timeliness, presentation, or manner of
communication. Sometimes (probably quite often) policy-makers do not see research findings as
central to their decision-making. The relationship between research and policy is often tenuous, quite
often fraught.
To observe as much is not new. There are literatures on the question in many social science
disciplines – in political science, sociology, anthropology, and management, to name a few. Our
purpose here is to review some of these literatures and to draw out the implications for both
researchers and policy-makers. The starting point is a discussion of what is meant by ‘policy’ and the
‘policy process’. The rational, linear model of policy-making – which summarises a logical sequence
from problem definition, through analysis of alternatives, to decision, implementation, and review –
is the traditional approach. We will see shortly what is wrong with this. Accordingly, the paper
begins (Section 2) with a brief review of thinking on policy, presenting alternative models, and
setting out a framework for thinking about the interaction between research and policy. It then deals
successively with the challenge facing researchers (Section 3) and policy-makers (Section 4). Can the
range of advice already offered to researchers be extended? And can policy-makers be helped by new
ideas such as evidence-based policy-making and performance-based evaluations? The Conclusion
(Section 5) draws these threads together, suggesting that the impact of research is uncertain and
contingent on social and political context.
(Introduction taken from paper)
Publisher: An international workshop funded by DFID, Warwick University, 16–17 July
Full document: www.gdnet.org/pdf/Bridging.pdf
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Struyk, R (2000) Transnational Think Tank Networks: Purpose, Membership and Cohesion
This short paper provides a brief overview over issues related to think tank networks. Think tank
networks are different from public policy networks in that think tank networks are usually made up
of organisations with more or less the same interests and fundamental views. In this respect they are
similar to epistemic communities. Think tank networks are typically characterised by webs of
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relatively stable relationships and informal interactions based on these relations. They are also
generally non-hierarchical, and attempt to pool and share resources in a mutual manner.
Struyk lists four criteria that can be used to classify different types of networks: (i) Objective. This
can be for example efficient flow of knowledge among members, or specific spheres of influence; (ii)
Incentives for participation. The costs involved can be miniscule, or can increase as members are
required to attend conferences and contribute regularly. These different types of effort required also
bring different types of benefits, ranging from access to information to greater visibility and
influence; (iii) Basis for membership. Networks can be completely open, or restricted in various
ways; (iv) Network coherence. This refers to the degree to which the network manages to build
effective working relations and a sense of community amongst its members.
Struyk goes on to apply these criteria to various existing networks. He highlights the fact that twothirds
of the networks have a specifically regional focus, which may be an advantage as far as
knowledge sharing and policy influence are concerned.
Publisher: Urban Institute, Washington DC
Key theme: Actors/Networks and inter-organisational linkages
Academic discipline: Development management
Sutton, R (1999) The Policy Process: An Overview
The paper offers an introduction to analysis of the policy process. It identifies and describes
theoretical approaches in political science, sociology, anthropology, international relations and
management. It then reviews five cross-cutting themes: a) the dichotomy between policy-making and
implementation; b) the management of change, c) the role of interest groups in the policy process; d)
ownership of the policy process; and e) the narrowing of policy alternatives. The paper concludes
with a 21-point checklist of ‘what makes policy happen’. A glossary of key terms is also provided.
The key argument of the paper is that a ‘linear model’ of policy-making, characterised by objective
analysis of options and separation of policy from implementation, is inadequate. Instead, policy and
policy implementation are best understood as a ‘chaos of purposes and accidents’. A combination of
concepts and tools from different disciplines can be deployed to put some order into the chaos,
including policy narratives, policy communities, discourse analysis, regime theory, change
management, and the role of street-level bureaucrats in implementation.
Publisher: ODI Working Paper 118, Overseas Development Institute, London
Full document: www.odi.org.uk/publications/abswp118.html
Key theme: Political context/Policy process
Academic discipline: Political science
Tilly, C (2000) Introduction: Violence viewed and reviewed
In this brief introduction, Tilly outlines three broad approaches to explaining why people choose
certain actions: the ideas approach, the behaviour approach, and the relations approach. Tilly
concentrates on explanations of why people choose to use violence, but the three approaches are
transferable to other areas as well.
1. The ideas approach stresses the importance of people’s environment for how they perceive the
world and choose to act. People acquire beliefs, values, rules, and goals from their environment,
and consequently try to act out various socially acquired ideals.
2. The behaviour approach focuses on people’s motives, impulses, aggressive drives, and general
needs for domination, control, respect, and protection. Some proponents of this approach base
59
their arguments on evolutionary biology, while others refer more generally to psychological
theories.
3. The relations approach highlight interchanges between persons and groups. They claim that
people develop their identity and choices through various relations with others. This perspective
privileges an inevitable degree of unpredictability and creativity in people’s decision-making,
since interpersonal or inter-group relations are inevitably dynamic.
Publisher: Social Research 67(3)
Full document: www.newschool.edu/centers/socres/vol67/673intro.htm
Key theme: Actors/Perception and decision making
Academic discipline: Sociology
Varey, R J (2002) Marketing Communication – Principles and Practice
The book takes an interesting look at traditional marketing communication theory and seeks to
challenge the models used. It points to the relative stagnation in the understanding of communication
issues in marketing theory, and the need to draw lessons from communication and cultural theory in
order to arrive at a more useful and interesting approach to communications. The author is
particularly critical of the linear transmission (transactional) approach to communication (as seen for
instance in Kotler’s work). Furthermore, he emphasises that communication must be seen as a social
process consisting of individual and collective communicative activities, with tangible and intangible
exchanges in social relationships by creating, maintaining or altering attitudes and/or behaviours.
Whereas the traditional models emphasise individual behaviour, he points to the fact that identity,
meaning and knowledge do not arise in the individual’s mind in isolation from their environment.
Traditional marketing communication theory focuses on the individual, with a simple stimulusresponse
model. It considers primarily the effects of single messages or campaigns on identified
individuals. Audiences are seen as passive, with no active interpretation or power to challenge the
message content. Contemporised marketing communication theory focuses on cognitive and critical
perspectives on the cultural effects of advertising on social reality, beliefs, values, knowledge claims,
socialisation and hegemony. The theory assesses the cumulative effect of marketing communication
as central to meaning production in our post-industrial consumer society. This implies a view of
communities as interpretative using an interactive model. Meaning is not transferred or shared, but
jointly produced in social ‘interaction’.
In an assessment of the politics of communication models, the author argues that most of us are still
operating in outmoded instrumental-technical modes of communication in pursuit of control.
Communication is seen as a conduit for the transmission of information, but information conceptions
only work in situations in which consensus of meaning, ideas, identities, and construction of
knowledge can be taken for granted; far from the real world of today. The author argues,
furthermore, that language is contextual, and that we are responsible for creating our own context
for understanding. He also provides some indication as to what the key factors ensuring the success
of communicating a message are: communicator credibility, communicator attractiveness, and
communicator power.
Publisher: Routledge, London and New York
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
60
Volkow, N (1998) Strategic Use of Information Technology Requires Knowing How to Use
Information
Information technology is often promoted as the solution to most of the information and
communication problems that organisations face today. IT is marketed as a technology with the
competitive advantage in terms of increasing productivity and communication efficiency, and in
facilitating responsiveness. Volkow argues that these assertions are myths, and that use of IT is not
enough to improve performance. She looks at the importance of the wider national context as well as
the specific organisational history and management style. If organisations are to benefit from IT, they
have to consider to what extent their structures and practices are geared towards handling
information itself (quite apart from which technology is used), and how favourable the organisational
culture is for learning from errors.
She also points out that information systems are social systems. Therefore information systems
change must be developed in tandem with investment in the people who are to use the systems,
because they are at least as important to ensure the efficient working of the system as the technology
itself. The human element in the use of information and IT means that information systems are
inevitably ‘messy’ processes, and this is best dealt with if the people concerned are viewed as valid
contributors to the process, rather than attempting to rule them out through relying on top-down
implementation models.
Publisher: In Avgerou, C (ed.) Implementation and Evaluation of Information Systems in Developing
Countries. Proceedings of the Fifth International Working Conference of the International Federation
for Information Processing (IFIP) IFIP WG 9.4
Key theme: Message and media/Media communication and IT
Academic discipline: Information and knowledge management
Watzlawick, P (1978) One Cannot Not Communicate
Watzlawick disputes the notion that communication is a deliberate exchange of information that only
happens as a result of intentionality. Instead, he expands the concept of communication to include all
behaviour in the (physical or virtual) presence of another person. The tacit dimensions of
communication can be unintended, but still have an enormous impact on the reaction and subsequent
behaviour of the other person. Behaviour can only be ‘non-communicative’ if there is no other
person present in any way. Once another person is present in some way, all behaviour becomes
communicative; hence the axiom ‘one cannot not communicate’.
Publisher: Watzlawick interviewed by C Wilder, in Journal of Communication 28(4)
Key theme: Message and media/Interpersonal communication and advocacy
Academic discipline: Media and communication
Weiss, C (1977) Research for Policy’s Sake: The Enlightenment Function of Social Research
For a long time the perception of how research related to policy was strongly influenced by linear
and rational models, which focused on overcoming the distance between ‘knowledge-producers’
(researchers) and ‘knowledge-consumers’ (policy-makers). The assumption was that research is
directly useful to policies, and therefore the solution lies in engineering the flow of knowledge from
researchers so that it reaches policy-makers intact.
Weiss disputes the traditional model, and instead argues that social science research influences policy
in other and less direct ways. Importantly, research introduces new concepts and thus incrementally
alters the language used in policy-circles. Also, glimpses of new ideas and approaches may slightly
alter the perception and understanding of policy-makers and advisors. Therefore, even though
61
research findings are not directly employed in a specific policy, they still on the whole exert a
relatively powerful influence over the terms used and the way issues are framed and understood.
Weiss calls this the ‘enlightenment function’ of research. She also introduces another visual image to
describe the process, namely ‘percolation’, which refers to the way in which research findings and
concepts circulate and gradually infiltrate policy discourse.
Publisher: Policy Analysis 3(4): 531–545
Key theme: Bridging research and policy/Theory
Academic discipline: Political science
Williams, R (1973) Base and Superstructure in Marxist Cultural Theory
Williams develops a model for examining cultural formations in a society, in order to explore the
interplay between power relations manifested in cultural understandings (drawing on Gramsci’s
concept of hegemony) and in the everyday lived experience of these cultural understandings
(‘common sense’). Williams suggests that it is useful to approach this topic through looking for three
different forms of cultural formations: dominant, residual and emergent. Dominant cultural
formations control most of the field, but never all of it. Residual formations are carried over from the
past and are usually rooted in religious or rural practices. Emergent formations are those that present
previously unimaginable social practices (the classic example being the early feminist movement).
Residual and emergent formations can be either ‘alternative’ or ‘oppositional’. Alternative cultural
suggestions seek to adapt to the general framework of the existing dominant formation, whereas
oppositional trends seek – at least originally – to replace dominant practices.
Publisher: New Left Review 82
Key theme: Political context/Current policy discourse
Academic discipline: Political science
Williamson, J (1996) Decoding Advertisements
Since different product brands within any one category (deodorants, paper towels, chocolates, etc)
are not actually very different, the first thing an advertisement must do is to create a differentiation.
This is done through constructing an image attached to the commodity itself. The image (e.g.
‘French chic’) conjures up a range of properties that the commodity (e.g. a perfume) is then
implicitly associated with. This is a process of transferring meaning from one realm and attaching it
to a product. Advertisements attempt to transfer meaning for example through the way they locate
images next to each other on a page. This meaning transference only works if the target group are
able to understand the meanings of the implied associations (the associations of French chic), and are
able to make the meanings their own (identifying with the ideal type as desirable, and making it
confirm attributes of one’s own identity). In sum, advertisements work because they do not attempt
to sell a product; instead they sell an image, associations, meaning, ideal identity, and confirmed
identity.
Publisher: In Marris, P and Thornham, S (eds.) Media studies, A Reader. Edinburgh University
Press, Edinburgh
Key theme: Message and media/Marketing communication
Academic discipline: Marketing
Wood, G (1985) The Politics of Development Policy Labelling
Wood argues that all social communication makes use of ‘labelling’, and that development policies
are themselves eminent examples of this. Policies ascribe labels to groups and situations (e.g. ‘the
poor’, ‘the landless’, ‘the women’, etc), and this is an act of simplification that highlights one
62
dimension of people’s lives while covering over several other aspects. To a certain extent,
simplification and labelling are necessary in order to make sense of the world, and everyone who
communicates uses labels. But it is important to be aware that labels are also elements of a power
relationship in which whoever successfully imposes labels on a group has the means to (unwittingly)
control and regulate the situation.
Therefore, when analysing a policy process or a policy domain, it is useful to examine firstly whose
labels prevail, and secondly what type of policies the labels are seen to justify. In conclusion, Wood
suggests that research could aim at ‘democratising’ the labels used in development policies in three
ways. First, it is important to draw attention to those labels that enjoy a monopoly, and to examine
whose labels they are. Second, it is often possible to identify contradictory elements within the policy
labelling process, and such contradictions provide good opportunities for raising questions about the
issue. Third, research can produce alternative labels in order to encourage debate and to support a
more democratic policy process. Wood emphasises that this third step should ideally be undertaken
together with the groups in question, i.e. the target group or ‘beneficiaries’ of the policy.
Publisher: Development and Change 16(3): 347–373
Key theme: Political context/Policy process
Academic discipline: Anthropology
63
Indexes
Index A – by key themes
Bridging research and policy
page
Coleman, D (1991) ‘Policy Research – Who Needs It?’ Governance 4(4): 420–455. 17
Garrett, J L and Islam, Y (1998) ‘Policy Research and the Policy Process: Do the twain ever meet?’
Gatekeeper Series no. 74. International Institute for Environment and Development (IIED).
22
Haas, E B (1991) When Knowledge is Power: Three Models of Change in International
Organisations. US: University of California Press.
24
Kingdon, J W (1984) Agendas, Alternatives and Public Policies. New York: Harpers Collins. 31
Lindquist, E A (1988) ‘What Do Decision-Models Tell Us About Information Use?’ Knowledge in
Society 1(2): 86–111.
36
Maxwell, S (2000) ‘Is Anyone Listening?’ Paper prepared for GDN annual meeting in Tokoyo,
December 2000. GDNet (http://nt1.ids.ac.uk/gdn/tools/respol.htm)
39
Neilson, S (2001) Knowledge Utilisation and Public Policy Processes: A Literature Review. Canada:
Evaluation Unit, IDRC. (www.idrc.ca/evaluation/litreview_e.html)
43
Nutley, S, Walter, I and Davies, H (2002) ‘From Knowing to Doing: A framework for understanding
the evidence-into-practice agenda’. Discussion Paper 1, Research Unit for Research Utilisation,
University of St Andrews. Linked to the ESRC Network for Evidence-based Policy and Practice.
45
Porter, R W and Prysor-Jones, S (1997) Making a Difference to Policies and Programs: A Guide
for Researchers. Washington: USAID.
47
Pross, P (1986) Group Politics and Public Policy. Toronto: Oxford University Press. 48
Puchner, L (2001) ‘Researching Women’s Literacy in Mali: A Case Study of Dialogue among
Researchers, Practitioners, and Policy Makers’. Comparative Education Review 45(2): 242–256.
49
RAWOO (2001) Utilisation of Research for Development Cooperation, Linking Knowledge
Production to Development Policy and Practice. Publication no. 21, The Hague: Netherlands
Development Assistance Research Council.
49
Ryan, J (1999) ‘Assessing the impact of rice policy changes in Viet Nam and the contribution of
policy research’. Impact Assessment Discussion paper 8. Washington, DC: International Food Policy
Research Institute (IFPRI). (www.ifpri.org/impact/iadp8.pdf)
53
Ryan, J (2002) Synthesis Report on Assessing the Impact of Policy-Oriented Social Science
Research. Washington, DC: International Food Policy Research Institute (IFPRI).
54
Sabatier, P and Jenkins-Smith, H C (1999) ‘The Advocacy Coalition Framework: An Assessment’
in Sabatier, P (ed.) Theories of the Policy Process. Boulder: Westview Press.
54
Stone, D, Maxwell, S and Keating, M (2001) Bridging Research and Policy. An international
workshop, funded by DFID, 16–17 July. Warwick University. (www.gdnet.org/pdf/Bridging.pdf)
57
Weiss, C (1977) ‘Research for Policy’s Sake: The Enlightenment Function of Social Research’.
Policy Analysis 3(4): 531–545.
60
64
Part 1. The political context
1.1 The policy process
Berkout, F and Scoones, I (1999) ‘Knowing how to change, Environmental policy learning and
transfer’ Development Research Insights, 30: 1–2, June 1999. Science and Technology Policy
Research (STPR). (www.id21.org/society/insights30editorial.html)
12
Clay, E J and Schaffer, B B (1984) Room for Manoeuvre: An Exploration of Public Policy in
Agricultural and Rural Development. London: Heinemann Educational Books.
16
Keeley, J and Scoones, I (1999) ‘Understanding Environmental Policy Processes: A Review’ IDS
Working Paper 89, Institute of Development Studies (IDS), Sussex.
(http://server.ntd.co.uk/ids/bookshop/details.asp?id=494)
28
Keeley, J and Scoones, I (2000) ‘Knowledge, power and politics: the environmental policy-making
process in Ethiopia’ The Journal of Modern African Studies 38(1): 89–120.
(www.id21.org/society/s2ajk1g1.html)
29
Lipsky, M (1980) Street-level Bureaucracy: Dilemmas of the Individual in Public Services. New
York: Russell Sage Foundation.
37
Mosse, D (forthcoming) ‘The Making and Marketing of Participatory Development’ in Quarles van
Ufford, P and Giri, A K (eds.) A Moral Critique of Development: In Search of Global
Responsibilities. London and New York: Routledge.
42
Robertson, A F (1984) People and the State: An anthropology of planned development. Cambridge:
Cambridge University Press.
50
Roe, E (1991) ‘Development Narratives, Or Making the Best of Blueprint Development’. World
Development 19(4): 287–300.
52
Rondinelli, D (1993) Development Projects as Policy Experiments: An adaptive approach to
development administration. London: Routledge.
53
Shankland, A (2000) ‘Analysing Policy for Sustainable Livelihoods’ Research Report 49, Brighton,
UK: Institute of Development Studies (IDS), University of Sussex.
55
Sutton, R (1999) ‘The Policy Process: An Overview’. ODI Working Paper 118. London: Overseas
Development Institute (ODI). (www.odi.org.uk/publications/abswp118.html)
58
Wood, G (1985) ‘The Politics of Development Policy Labelling’. Development and Change 16(3):
347–373.
61
1.2 The current policy discourse
Chomsky, N (1987) ‘The Manufacture of Consent’ in J. Peck (ed.) The Chomsky Reader, Serpent’s
Tail: London.
16
Gasper, D and Apthorpe, R (1996) ‘Introduction: Discourse Analysis and Policy Discourse’.
European Journal of Development Research 8(1): 1–15.
22
Henkel, H and Stirrat, R (2001) ‘Participation as Spiritual Duty: Empowerment as Secular
Subjection’ in Cooke, B and Kothari, U (eds.) Participation, The New Tyranny? London: Zed Books.
25
Hirschman, A O (1970) Exit, Voice and Loyalty. Cambridge, Mass.: Harvard University Press. 26
Hulme, D and Edwards, M (1997) ‘NGOs, States and Donors: An Overview’ in Hulme, D and
Edwards, M (eds.) NGOs, States and Donors: Too Close for Comfort? London: Macmillan, in
association with Save the Children.
27
Leftwich, A (1994) ‘Governance, the State and the Politics of Development’ Development and
Change 25(2): 363–386.
35
Lukes, S (1974) Power: A Radical View. London: Macmillan. 38
Mosley, P, Harrigan, J and Toe, J (1995) Aid and Power – Second Edition The World Bank and
Policy-based Lending. London: Routledge.
41
Stern, N and Ferreira, F (1997) ‘The World Bank as an ‘Intellectual Actor’’ in Kapur, D, Lewis, J
and Webb, R (eds.) The World Bank – Its First Half Century. Washington, DC: Brookings Institution.
56
Williams, R (1973) ‘Base and Superstructure in Marxist Cultural Theory’. New Left Review 1(82): 3–
16, November-December 1973.
61
65
1.3 The information age
Anheimer, H, Glasius, M and Kaldor, M (2001) ‘Introducing Global Civil Society’ in Anheimer, H,
Glasius, M and Kaldor, M (eds.) Global Civil Society 2001. Oxford: Oxford University Press.
10
Castells, M (1993) ‘The Informational Economy and the New International Division of Labour’ in
Carnoy, M, Castells, M, Cohen, S S and Cardoso, F H (eds.) The New Global Economy in the
Information Age. London: Macmillan.
14
Elliott, P (1995) ‘Intellectuals, the ‘information society’ and the disappearance of the public sphere’ in
Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
20
Franco, J (1994) ‘Beyond Ethnocentrism: Gender, Power and the Third-World Intelligentsia’ in
Williams, P and Chrisman, L (eds.) Colonial Discourse and Post-colonial Theory, A Reader. New
York: Harvester Wheatsheaf.
21
Giddens, A (1990) The Consequences of Modernity. Cambridge: Polity Press. 23
Mohanty, C T (1988) ‘Under Western Eyes: Feminist Scholarship and Colonial Discourses’ Feminist
Review 30: 65–88.
41
Part 2. The actors (networks, organisations, individuals)
2.1 Networks and inter-organisational linkages
Keck, M and Sikkink, K (1998) Activists beyond borders: advocacy networks in international
politics. New York: Cornell University Press.
28
Kickert et al. (1997) ‘A Management Perspective on Policy Network’ in Kickert, W, Klijn, E H and
Koppenjan, J F M (eds.) Managing complex networks. London: Sage.
31
Robinson, D, Hewitt, T and Harriss, J (1999) ‘Why Inter-Organisational Relationships Matter’ in
Robinson, D, Hewitt, T and Harriss, J (eds.) Managing Development: Understanding Interorganisational
Relationships. London: Sage.
51
Stacey, R (1995) ‘The Role of Chaos and Self-Organisation in the Development of Creative
Organisations’ in Albert, A (ed.) Chaos and Society. Amsterdam: IOS Press.
56
Struyk, R (2000) Transnational Think Tank Networks: Purpose, Membership and Cohesion.
Washington DC: Urban Institute.
57
2.2 Organisational management, learning and change
Brown, D L (1995) ‘Managing Conflict Among Groups’ in Kolb, D A, Osland, J and Rubin, I M
(eds.) The Organisational Behavior Reader 6th Edition. Prentice-Hall International.
12
Carr, A (1998) ‘Identity, Compliance and Dissent in Organizations: A Psychoanalytical Perspective’.
Organization 5(1): 81–99.
14
Clegg, S (1994) ‘Constitution of the Resistant Subject’ in Jermier, J M, Knights, D and Nord, W R
(eds.) Resistance and Power in Organisations. London: Routledge.
17
Douglas, M (1986) How Institutions Think. New York: Syracuse University Press. 18
Hailey, J and Smillie, I (2001) Managing for Change: Leadership and Strategy in Asian NGOs.
London: Earthscan.
24
Lanuez, D and Jermier, J M (1994) ‘Sabotage by Managers and Technocrats – Neglected patterns of
resistance at work’ in Jermier, J M, Knights, D and Nord, W R (eds.) Resistance and Power in
Organisations. London: Routledge.
34
Levitt, B and March, M G (1988) ‘Organisational Learning’ Annual Review of Sociology 14: 319–
340.
36
Riley, P (1983) ‘A Structurationist Account of Political Culture’. Administrative Science Quarterly
28(3): 414–437.
50
Smircich, L (1983) ‘Concepts of Culture and Organisational Analysis’ Administrative Science
Quarterly 28: 339–358.
56
66
2.3 Social psychology – perception and decision-making
Beach, L R (1997) The Psychology of Decision-Making: People in Organisations. London: Sage. 10
Collin, A (2001) ‘Learning and Development’ in Beardwell, I and Holden, L (eds.) Human Resource
Management: A contemporary approach. Harlow: Pearson Education.
17
Humphreys, P (1998) ‘Discourses Underpinning Decision Support’ in Berkeley, B, Widmeyer, G,
Brezillon, P and Rajkovic, V (eds.) Context-Sensitive Decision Support. Boston: Kluwer Academic
Publishers.
27
Linnerooth, J (1987) ‘Negotiating Environmental Issues: A role for the analyst?’ in Hawgood, J and
Humphreys, P C (eds.) Effective decision support systems. Gower, Aldershot: Avebury.
37
Tilly, C (2000) ‘Introduction: Violence viewed and reviewed’ Social Research 67(3).
(www.newschool.edu/centers/socres/vol67/673intro.htm)
58
Part 3. The message and media
3.1 Knowledge management and research relevance
Agrawal, A (1995) ‘Dismantling the Divide Between Indigenous and Scientific Knowledge’.
Development and Change 26(3): 413–439.
9
Bryman, A (2001) Social Research Methods. Oxford: Oxford University Press. 13
Edwards, M (1994) ‘NGOs in the Age of Information’. IDS Bulletin 25(2): 117–124. 18
Fine, M, Weis, L, Weseen, S and Wong, L (2000) ‘For Whom? Qualitative Research,
Representations, and Social Responsibilities’ in Denzin, N and Lincoln, Y (eds.) Handbook of
Qualitative Research (2nd edition). Thousand Oaks: Sage Publications.
20
Kennis, S and McTaggart, R (2000) ‘Participatory Action Research’ in Denzin, N and Lincoln, Y
(eds.) Handbook of Qualitative Research (2nd edition). Thousand Oaks, US: Sage Publications.
30
Long, N and Long, A (eds.) (1992) Battlefields of Knowledge. London: Routledge. 38
McPherson, P K (1994) ‘Accounting for the Value of Information’. Aslib Proceedings 46(9): 203–
215.
40
Meyer, C (1997) ‘The political economy of NGOs and information sharing’ World Development
25(7): 1127–1140.
41
NCDDR (1996) Review of the literature on dissemination and knowledge utilization. USA: National
Center for the Dissemination of Disability Research (NCDDR).
42
Rogers, E (1995) Diffusion of Innovations. New York: Free Press. 52
Saywell, D and Cotton, A (1999) Spreading the Word. Practical guidelines for research
dissemination strategies. Loughborough, UK: Water, Engineering and Development Centre,
Loughborough University.
54
3.2 Interpersonal communication and advocacy
Chapman, J and Fisher, T (1999) Effective Campaigning. London: New Economics Foundation. 15
Chodorow, N (1999) The Power of Feelings: Personal Meaning in Psychoanalysis, Gender, and
Culture. New Haven: Yale University Press.
15
Edwards, M and Gaventa, J (2001) Global Citizen Action. Boulder, USA: Lynne Rienner. 19
Goffman, E (1990)(1959) The Presentation of Self in Everyday Life. Harmondsworth: Penguin. 24
Hudson, A (2000) ‘Making the Connection: Legitimacy Claims, and Northern NGOs International
Advocacy’ in Lewis, D and Wallace, T (eds.) New Roles and Relevance. Development NGOs and the
Challenge of Change. Hartford, US: Kumarian Press.
26
Watzlawick, P (1978) ‘One Cannot Not Communicate’ Watzlawick interviewed by C Wilder, in
Journal of Communication 28(4).
60
67
3.3 Marketing communication
Bedimo, A L, Pinkerton, S D, Cohen, D A, Gray, B and Farley, T A (2002) ‘Condom Distribution:
A cost-utility analysis’. International Journal of STD and AIDS 13(6): 384–392.
11
Buurma, H (2001) ‘Public Policy Marketing: Marketing exchange in the public sector’. European
Journal of Marketing 35(11): 1287–1302.
14
Gladwell, M (2000) The Tipping Point: How Little Things Can Make a Big Difference. London:
Little, Brown and Company.
23
Kotler, P, Armstrong, G, Saunders, J and Wong, V (1999) Principles of Marketing, 2nd Edition.
Prentice Hall Europe.
32
Lambin, J (1996) Strategic Marketing Management. UK: McGraw-Hill. 33
Lefebvre, R C (2001) ‘Theories and Models in Social Marketing’ in Bloom, P N and Gundlach, G T
(eds.) Handbook of Marketing and Society. London and New Delhi: Sage Publications.
34
Maarek, P J (1995) Political Marketing and Communication. London-Paris-Rome: John Libbey. 39
Price, N (2001) ‘The performance of social marketing in reaching the poor and vulnerable in Aids
control programmes’. Health Policy and Planning 16(3): 231–239.
48
Varey, R J (2002) Marketing Communication – Principles and Practice. London and New York:
Routledge.
59
Williamson, J (1996) ‘Decoding Advertisements’ in Marris, P and Thornham, S (eds.) Media studies,
A Reader. Edinburgh: Edinburgh University Press.
61
3.4 Media communication and IT
Allor, M (1995) ‘Relocating the Site of the Audience’ in Boyd-Barrett, O and Newbold, C (eds.)
Approaches to Media, A Reader. London: Arnold.
9
Bourdieu, P (1991) On Language and Symbolic Power. Cambridge: Polity Press in association with
Basil Blackwell.
12
Mattelart, A and Mattelart, M (1998) Theories of Communication, A Short Introduction. London:
Sage Publications.
39
McMaster, T, Vidgen, R T and Wastell, D G (1997) ‘Technology Transfer: Diffusion or
Translation?’ in McMaster, T, Mumford, E, Swanson, E B, Warboys, B and Wastell, D, (eds.)
Facilitating Technology Transfer through Partnership. London: Chapman and Hall, on behalf of
IFIP.
40
Newbold, C (1995) ‘Approaches to Cultural Hegemony within Cultural Studies’ in Boyd-Barrett, O
and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
44
Norris, P (2001) Digital divide? Civic engagement, information poverty and the internet in
democratic societies; Can the Internet change the national distribution of power and income?
Cambs, MA: John F. Kennedy School of Government (KSG), Harvard University.
45
Peterson, S B (1998) ‘Saints, Demons, Wizards and Systems: Why information technology reforms
fail or underperform in public bureaucracies in Africa’. Public Administration and Development
18(1): 37–60.
46
Philo, G (1996) ‘Seeing and Believing’ in Marris, P and Thornham, S (eds.) Media studies, A Reader.
Edinburgh: Edinburgh University Press.
47
Volkow, N (1998) ‘Strategic Use of Information Technology Requires Knowing How to Use
Information’ in Avgerou, C (ed.) Implementation and Evaluation of Information Systems in
Developing Countries. Proceedings of the Fifth International Working Conference of the International
Federation for Information Processing (IFIP) IFIP WG 9.4. US: NCP.
60
68
Index B – by academic discipline
1. Anthropology (including cultural studies and social anthropology)
page
Agrawal, A (1995) ‘Dismantling the Divide Between Indigenous and Scientific Knowledge’.
Development and Change 26(3): 413–439.
9
Douglas, M (1986) How Institutions Think. New York: Syracuse University Press. 18
Franco, J (1994) ‘Beyond Ethnocentrism: Gender, Power and the Third-World Intelligentsia’ in
Williams, P and Chrisman, L (eds.) Colonial Discourse and Post-colonial Theory, A Reader. New
York: Harvester Wheatsheaf.
21
Gasper, D and Apthorpe, R (1996) ‘Introduction: Discourse Analysis and Policy Discourse’.
European Journal of Development Research 8(1): 1–15.
22
Henkel, H and Stirrat, R (2001) ‘Participation as Spiritual Duty: Empowerment as Secular
Subjection’ in Cooke, B and Kothari, U (eds.) Participation, The New Tyranny? London: Zed Books.
25
Long, N and Long, A (eds.) (1992) Battlefields of Knowledge. London: Routledge. 38
McMaster, T, Vidgen, R T and Wastell, D G (1997) ‘Technology Transfer: Diffusion or
Translation?’ in McMaster, T, Mumford, E, Swanson, E B, Warboys, B and Wastell, D, (eds.)
Facilitating Technology Transfer through Partnership. London: Chapman and Hall, on behalf of
IFIP.
40
Mohanty, C T (1988) ‘Under Western Eyes: Feminist Scholarship and Colonial Discourses’ Feminist
Review 30: 65–88.
41
Mosse, D (forthcoming) ‘The Making and Marketing of Participatory Development’ in Quarles van
Ufford, P and Giri, A K (eds.) A Moral Critique of Development: In Search of Global
Responsibilities. London and New York: Routledge.
42
Robertson, A F (1984) People and the State: An anthropology of planned development. Cambridge:
Cambridge University Press.
50
Roe, E (1991) ‘Development Narratives, Or Making the Best of Blueprint Development’. World
Development 19(4): 287–300.
52
Wood, G (1985) ‘The Politics of Development Policy Labelling’. Development and Change 16(3):
347–373.
61
2. Development management
Berkout, F and Scoones, I (1999) ‘Knowing how to change, Environmental policy learning and
transfer’ Development Research Insights, 30: 1–2, June 1999. Science and Technology Policy
Research (STPR). (www.id21.org/society/insights30editorial.html)
12
Clay, E J and Schaffer, B B (1984) Room for Manoeuvre: An Exploration of Public Policy in
Agricultural and Rural Development. London: Heinemann Educational Books.
16
Edwards, M (1994) ‘NGOs in the Age of Information’. IDS Bulletin 25(2): 117–124. 18
Hailey, J and Smillie, I (2001) Managing for Change: Leadership and Strategy in Asian NGOs.
London: Earthscan.
24
Hudson, A (2000) ‘Making the Connection: Legitimacy Claims, and Northern NGOs International
Advocacy’ in Lewis, D and Wallace, T (eds.) New Roles and Relevance. Development NGOs and the
Challenge of Change. Hartford, US: Kumarian Press.
26
Hulme, D and Edwards, M (1997) ‘NGOs, States and Donors: An Overview’ in Hulme, D and
Edwards, M (eds.) NGOs, States and Donors: Too Close for Comfort? London: Macmillan, in
association with Save the Children.
27
Keck, M and Sikkink, K (1998) Activists beyond borders: advocacy networks in international
politics. New York: Cornell University Press.
28
Keeley, J and Scoones, I (2000) ‘Knowledge, power and politics: the environmental policy-making
process in Ethiopia’ The Journal of Modern African Studies 38(1): 89–120.
(www.id21.org/society/s2ajk1g1.html)
29
69
Kickert et al. (1997) ‘A Management Perspective on Policy Network’ in Kickert, W, Klijn, E H and
Koppenjan, J F M (eds.) Managing complex networks. London: Sage.
31
Meyer, C (1997) ‘The political economy of NGOs and information sharing’ World Development
25(7): 1127–1140.
41
Porter, R W and Prysor-Jones, S (1997) Making a Difference to Policies and Programs: A Guide
for Researchers. Washington: USAID.
47
Robinson, D, Hewitt, T and Harriss, J (1999) ‘Why Inter-Organisational Relationships Matter’ in
Robinson, D, Hewitt, T and Harriss, J (eds.) Managing Development: Understanding Interorganisational
Relationships. London: Sage.
51
Rondinelli, D (1993) Development Projects as Policy Experiments: An adaptive approach to
development administration. London: Routledge.
53
Shankland, A (2000) ‘Analysing Policy for Sustainable Livelihoods’ Research Report 49, Brighton,
UK: Institute of Development Studies (IDS), University of Sussex.
55
Struyk, R (2000) Transnational Think Tank Networks: Purpose, Membership and Cohesion.
Washington DC: Urban Institute.
57
3. Information and knowledge management
McPherson, P K (1994) ‘Accounting for the Value of Information’. Aslib Proceedings 46(9): 203–
215.
40
NCDDR (1996) Review of the literature on dissemination and knowledge utilization. USA: National
Center for the Dissemination of Disability Research (NCDDR).
42
Peterson, S B (1998) ‘Saints, Demons, Wizards and Systems: Why information technology reforms
fail or underperform in public bureaucracies in Africa’. Public Administration and Development
18(1): 37–60.
46
Rogers, E (1995) Diffusion of Innovations. New York: Free Press. 52
Saywell, D and Cotton, A (1999) Spreading the Word. Practical guidelines for research
dissemination strategies. Loughborough, UK: Water, Engineering and Development Centre,
Loughborough University.
54
Volkow, N (1998) ‘Strategic Use of Information Technology Requires Knowing How to Use
Information’ in Avgerou, C (ed.) Implementation and Evaluation of Information Systems in
Developing Countries. Proceedings of the Fifth International Working Conference of the International
Federation for Information Processing (IFIP) IFIP WG 9.4. US: NCP.
60
4. Marketing (including social/political marketing and marketing communication)
Bedimo, A L, Pinkerton, S D, Cohen, D A, Gray, B and Farley, T A (2002) ‘Condom Distribution:
A cost-utility analysis’. International Journal of STD and AIDS 13(6): 384–392.
11
Buurma, H (2001) ‘Public Policy Marketing: Marketing exchange in the public sector’. European
Journal of Marketing 35(11): 1287–1302.
14
Kotler, P, Armstrong, G, Saunders, J and Wong, V (1999) Principles of Marketing, 2nd Edition.
Prentice Hall Europe.
32
Lambin, J (1996) Strategic Marketing Management. UK: McGraw-Hill. 33
Lefebvre, R C (2001) ‘Theories and Models in Social Marketing’ in Bloom, P N and Gundlach, G T
(eds.) Handbook of Marketing and Society. London and New Delhi: Sage Publications.
34
Maarek, P J (1995) Political Marketing and Communication. London-Paris-Rome: John Libbey. 39
Price, N (2001) ‘The performance of social marketing in reaching the poor and vulnerable in Aids
control programmes’. Health Policy and Planning 16(3): 231–239.
48
Varey, R J (2002) Marketing Communication – Principles and Practice. London and New York:
Routledge.
59
Williamson, J (1996) ‘Decoding Advertisements’ in Marris, P and Thornham, S (eds.) Media studies,
A Reader. Edinburgh: Edinburgh University Press.
61
70
5. Media and communication
Allor, M (1995) ‘Relocating the Site of the Audience’ in Boyd-Barrett, O and Newbold, C (eds.)
Approaches to Media, A Reader. London: Arnold.
9
Gladwell, M (2000) The Tipping Point: How Little Things Can Make a Big Difference. London:
Little, Brown and Company.
23
Mattelart, A and Mattelart, M (1998) Theories of Communication, A Short Introduction. London:
Sage Publications.
39
Newbold, C (1995) ‘Approaches to Cultural Hegemony within Cultural Studies’ in Boyd-Barrett, O
and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
44
Philo, G (1996) ‘Seeing and Believing’ in Marris, P and Thornham, S (eds.) Media studies, A Reader.
Edinburgh: Edinburgh University Press.
47
Watzlawick, P (1978) ‘One Cannot Not Communicate’ Watzlawick interviewed by C Wilder, in
Journal of Communication 28(4).
60
6. Organisational management
Brown, D L (1995) ‘Managing Conflict Among Groups’ in Kolb, D A, Osland, J and Rubin, I M
(eds.) The Organisational Behavior Reader 6th Edition. Prentice-Hall International.
12
Carr, A (1998) ‘Identity, Compliance and Dissent in Organizations: A Psychoanalytical Perspective’.
Organization 5(1): 81–99.
14
Clegg, S (1994) ‘Constitution of the Resistant Subject’ in Jermier, J M, Knights, D and Nord, W R
(eds.) Resistance and Power in Organisations. London: Routledge.
17
Lanuez, D and Jermier, J M (1994) ‘Sabotage by Managers and Technocrats – Neglected patterns of
resistance at work’ in Jermier, J M, Knights, D and Nord, W R (eds.) Resistance and Power in
Organisations. London: Routledge.
34
Levitt, B and March, M G (1988) ‘Organisational Learning’ Annual Review of Sociology 14: 319–
340.
36
Riley, P (1983) ‘A Structurationist Account of Political Culture’. Administrative Science Quarterly
28(3): 414–437.
50
Smircich, L (1983) ‘Concepts of Culture and Organisational Analysis’ Administrative Science
Quarterly 28: 339–358.
56
Stacey, R (1995) ‘The Role of Chaos and Self-Organisation in the Development of Creative
Organisations’ in Albert, A (ed.) Chaos and Society. Amsterdam: IOS Press.
56
7. Political science (including political economy and policy studies)
Anheimer, H, Glasius, M and Kaldor, M (2001) ‘Introducing Global Civil Society’ in Anheimer, H,
Glasius, M and Kaldor, M (eds.) Global Civil Society 2001. Oxford: Oxford University Press.
10
Castells, M (1993) ‘The Informational Economy and the New International Division of Labour’ in
Carnoy, M, Castells, M, Cohen, S S and Cardoso, F H (eds.) The New Global Economy in the
Information Age. London: Macmillan.
14
Chapman, J and Fisher, T (1999) Effective Campaigning. London: New Economics Foundation. 15
Chomsky, N (1987) ‘The Manufacture of Consent’ in J. Peck (ed.) The Chomsky Reader, Serpent’s
Tail: London.
16
Coleman, D (1991) ‘Policy Research – Who Needs It?’ Governance 4(4): 420–455. 17
Edwards, M and Gaventa, J (2001) Global Citizen Action. Boulder, USA: Lynne Rienner. 19
Elliott, P (1995) ‘Intellectuals, the ‘information society’ and the disappearance of the public sphere’ in
Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
20
Garrett, J L and Islam, Y (1998) ‘Policy Research and the Policy Process: Do the twain ever meet?’
Gatekeeper Series no. 74. International Institute for Environment and Development (IIED).
22
71
Haas, E B (1991) When Knowledge is Power: Three Models of Change in International
Organisations. US: University of California Press.
24
Hirschman, A O (1970) Exit, Voice and Loyalty. Cambridge, Mass.: Harvard University Press. 26
Keeley, J and Scoones, I (1999) ‘Understanding Environmental Policy Processes: A Review’ IDS
Working Paper 89, Institute of Development Studies (IDS), Sussex.
(http://server.ntd.co.uk/ids/bookshop/details.asp?id=494)
28
Kingdon, J W (1984) Agendas, Alternatives, and Public Policies. New York: Harpers Collins. 31
Leftwich, A (1994) ‘Governance, the State and the Politics of Development’ Development and
Change 25(2): 363–386.
35
Lindquist, E A (1988) ‘What Do Decision-Models Tell Us About Information Use?’ Knowledge in
Society 1(2): 86–111.
36
Lukes, S (1974) Power: A Radical View. London: Macmillan. 38
Maxwell, S (2000) ‘Is Anyone Listening?’ Paper prepared for GDN annual meeting in Tokoyo,
December 2000. GDNet (http://nt1.ids.ac.uk/gdn/tools/respol.htm)
39
Mosley, P, Harrigan, J and Toe, J (1995) Aid and Power – Second Edition The World Bank and
Policy-based Lending. London: Routledge.
41
Neilson, S (2001) Knowledge Utilisation and Public Policy Processes: A Literature Review. Canada:
Evaluation Unit, IDRC. (www.idrc.ca/evaluation/litreview_e.html)
43
Norris, P (2001) Digital divide? Civic engagement, information poverty and the internet in
democratic societies; Can the Internet change the national distribution of power and income?
Cambs, MA: John F. Kennedy School of Government (KSG), Harvard University.
45
Nutley, S, Walter, I and Davies, H (2002) ‘From Knowing to Doing: A framework for understanding
the evidence-into-practice agenda’. Discussion Paper 1, Research Unit for Research Utilisation,
University of St Andrews. Linked to the ESRC Network for Evidence-based Policy and Practice.
45
Pross, P (1986) Group Politics and Public Policy. Toronto: Oxford University Press. 48
Puchner, L (2001) ‘Researching Women’s Literacy in Mali: A Case Study of Dialogue among
Researchers, Practitioners, and Policy Makers’. Comparative Education Review 45(2): 242–256.
49
RAWOO (2001) Utilisation of Research for Development Cooperation, Linking Knowledge
Production to Development Policy and Practice. Publication no. 21, The Hague: Netherlands
Development Assistance Research Council.
49
Ryan, J (1999) ‘Assessing the impact of rice policy changes in Viet Nam and the contribution of
policy research’. Impact Assessment Discussion paper 8. Washington, DC: International Food Policy
Research Institute (IFPRI). (www.ifpri.org/impact/iadp8.pdf)
53
Ryan, J (2002) Synthesis Report on Assessing the Impact of Policy-Oriented Social Science
Research. Washington, DC: International Food Policy Research Institute (IFPRI).
54
Sabatier, P and Jenkins-Smith, H C (1999) ‘The Advocacy Coalition Framework: An Assessment’
in Sabatier, P (ed.) Theories of the Policy Process. Boulder: Westview Press.
54
Stern, N and Ferreira, F (1997) ‘The World Bank as an ‘Intellectual Actor’’ in Kapur, D, Lewis, J
and Webb, R (eds.) The World Bank – Its First Half Century. Washington, DC: Brookings Institution.
56
Stone, D, Maxwell, S and Keating, M (2001) Bridging Research and Policy. An international
workshop, funded by DFID, 16–17 July. Warwick University. (www.gdnet.org/pdf/Bridging.pdf)
57
Sutton, R (1999) ‘The Policy Process: An Overview’. ODI Working Paper 118. London: Overseas
Development Institute (ODI). (www.odi.org.uk/publications/abswp118.html)
58
Weiss, C (1977) ‘Research for Policy’s Sake: The Enlightenment Function of Social Research’. Policy
Analysis 3(4): 531–545.
60
Williams, R (1973) ‘Base and Superstructure in Marxist Cultural Theory’. New Left Review 1(82): 3–
16, November-December 1973.
61
72
8. Research methodologies
Bryman, A (2001) Social Research Methods. Oxford: Oxford University Press. 13
Fine, M, Weis, L, Weseen, S and Wong, L (2000) ‘For Whom? Qualitative Research,
Representations, and Social Responsibilities’ in Denzin, N and Lincoln, Y (eds.) Handbook of
Qualitative Research (2nd edition). Thousand Oaks: Sage Publications.
20
Kennis, S and McTaggart, R (2000) ‘Participatory Action Research’ in Denzin, N and Lincoln, Y
(eds.) Handbook of Qualitative Research (2nd edition). Thousand Oaks, US: Sage Publications.
30
9. Social psychology
Beach, L R (1997) The Psychology of Decision-Making: People in Organisations. London: Sage. 10
Chodorow, N (1999) The Power of Feelings: Personal Meaning in Psychoanalysis, Gender, and
Culture. New Haven: Yale University Press.
15
Collin, A (2001) ‘Learning and Development’ in Beardwell, I and Holden, L (eds.) Human Resource
Management: A contemporary approach. Harlow: Pearson Education.
17
Humphreys, P (1998) ‘Discourses Underpinning Decision Support’ in Berkeley, B, Widmeyer, G,
Brezillon, P and Rajkovic, V (eds.) Context-Sensitive Decision Support. Boston: Kluwer Academic
Publishers.
27
Linnerooth, J (1987) ‘Negotiating Environmental Issues: A role for the analyst?’ in Hawgood, J and
Humphreys, P C (eds.) Effective decision support systems. Gower, Aldershot: Avebury.
37
10. Sociology
Bourdieu, P (1991) On Language and Symbolic Power. Cambridge: Polity Press in association with
Basil Blackwell.
12
Giddens, A (1990) The Consequences of Modernity. Cambridge: Polity Press. 23
Goffman, E (1990)(1959) The Presentation of Self in Everyday Life. Harmondsworth: Penguin. 24
Lipsky, M (1980) Street-level Bureaucracy: Dilemmas of the Individual in Public Services. New
York: Russell Sage Foundation.
37
Tilly, C (2000) ‘Introduction: Violence viewed and reviewed’ Social Research 67(3).
(www.newschool.edu/centers/socres/vol67/673intro.htm)
58
73
Index C – alphabetical by author
page
Agrawal, A (1995) ‘Dismantling the Divide Between Indigenous and Scientific Knowledge’.
Development and Change 26(3): 413–439.
9
Allor, M (1995) ‘Relocating the Site of the Audience’ in Boyd-Barrett, O and Newbold, C (eds.)
Approaches to Media, A Reader. London: Arnold.
9
Anheimer, H, Glasius, M and Kaldor, M (2001) ‘Introducing Global Civil Society’ in Anheimer, H,
Glasius, M and Kaldor, M (eds.) Global Civil Society 2001. Oxford: Oxford University Press.
10
Beach, L R (1997) The Psychology of Decision-Making: People in Organisations. London: Sage. 10
Bedimo, A L, Pinkerton, S D, Cohen, D A, Gray, B and Farley, T A (2002) ‘Condom Distribution:
A cost-utility analysis’. International Journal of STD and AIDS 13(6): 384–392.
11
Berkout, F and Scoones, I (1999) ‘Knowing how to change, Environmental policy learning and
transfer’ Development Research Insights, 30: 1–2, June 1999. Science and Technology Policy
Research (STPR). (www.id21.org/society/insights30editorial.html)
12
Bourdieu, P (1991) On Language and Symbolic Power. Cambridge: Polity Press in association with
Basil Blackwell.
12
Brown, D L (1995) ‘Managing Conflict Among Groups’ in Kolb, D A, Osland, J and Rubin, I M
(eds.) The Organisational Behavior Reader 6th Edition. Prentice-Hall International.
12
Bryman, A (2001) Social Research Methods. Oxford: Oxford University Press. 13
Buurma, H (2001) ‘Public Policy Marketing: Marketing exchange in the public sector’. European
Journal of Marketing 35(11): 1287–1302.
14
Carr, A (1998) ‘Identity, Compliance and Dissent in Organizations: A Psychoanalytical Perspective’.
Organization 5(1): 81–99.
14
Castells, M (1993) ‘The Informational Economy and the New International Division of Labour’ in
Carnoy, M, Castells, M, Cohen, S S and Cardoso, F H (eds.) The New Global Economy in the
Information Age. London: Macmillan.
14
Chapman, J and Fisher, T (1999) Effective Campaigning. London: New Economics Foundation. 15
Chodorow, N (1999) The Power of Feelings: Personal Meaning in Psychoanalysis, Gender, and
Culture. New Haven: Yale University Press.
15
Chomsky, N (1987) ‘The Manufacture of Consent’ in J. Peck (ed.) The Chomsky Reader, Serpent’s
Tail: London.
16
Clay, E J and Schaffer, B B (1984) Room for Manoeuvre: An Exploration of Public Policy in
Agricultural and Rural Development. London: Heinemann Educational Books.
16
Clegg, S (1994) ‘Constitution of the Resistant Subject’ in Jermier, J M, Knights, D and Nord, W R
(eds.) Resistance and Power in Organisations. London: Routledge.
17
Coleman, D (1991) ‘Policy Research – Who Needs It?’ Governance 4(4): 420–455. 17
Collin, A (2001) ‘Learning and Development’ in Beardwell, I and Holden, L (eds.) Human Resource
Management: A contemporary approach. Harlow: Pearson Education.
17
Douglas, M (1986) How Institutions Think. New York: Syracuse University Press. 18
Edwards, M (1994) ‘NGOs in the Age of Information’. IDS Bulletin 25(2): 117–124. 18
Edwards, M and Gaventa, J (2001) Global Citizen Action. Boulder, USA: Lynne Rienner. 19
Elliott, P (1995) ‘Intellectuals, the ‘information society’ and the disappearance of the public sphere’ in
Boyd-Barrett, O and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
20
Fine, M, Weis, L, Weseen, S and Wong, L (2000) ‘For Whom? Qualitative Research,
Representations, and Social Responsibilities’ in Denzin, N and Lincoln, Y (eds.) Handbook of
Qualitative Research (2nd edition). Thousand Oaks: Sage Publications.
20
Franco, J (1994) ‘Beyond Ethnocentrism: Gender, Power and the Third-World Intelligentsia’ in
Williams, P and Chrisman, L (eds.) Colonial Discourse and Post-colonial Theory, A Reader. New
York: Harvester Wheatsheaf.
21
Garrett, J L and Islam, Y (1998) ‘Policy Research and the Policy Process: Do the twain ever meet?’
Gatekeeper Series no. 74. International Institute for Environment and Development (IIED).
22
Gasper, D and Apthorpe, R (1996) ‘Introduction: Discourse Analysis and Policy Discourse’.
European Journal of Development Research 8(1): 1–15.
22
74
Giddens, A (1990) The Consequences of Modernity. Cambridge: Polity Press. 23
Gladwell, M (2000) The Tipping Point: How Little Things Can Make a Big Difference. London:
Little, Brown and Company.
23
Goffman, E (1990)(1959) The Presentation of Self in Everyday Life. Harmondsworth: Penguin. 24
Haas, E B (1991) When Knowledge is Power: Three Models of Change in International
Organisations. US: University of California Press.
24
Hailey, J and Smillie, I (2001) Managing for Change: Leadership and Strategy in Asian NGOs.
London: Earthscan.
24
Henkel, H and Stirrat, R (2001) ‘Participation as Spiritual Duty: Empowerment as Secular
Subjection’ in Cooke, B and Kothari, U (eds.) Participation, The New Tyranny? London: Zed Books.
25
Hirschman, A O (1970) Exit, Voice and Loyalty. Cambridge, Mass.: Harvard University Press. 26
Hudson, A (2000) ‘Making the Connection: Legitimacy Claims, and Northern NGOs International
Advocacy’ in Lewis, D and Wallace, T (eds.) New Roles and Relevance. Development NGOs and the
Challenge of Change. Hartford, US: Kumarian Press.
26
Hulme, D and Edwards, M (1997) ‘NGOs, States and Donors: An Overview’ in Hulme, D and
Edwards, M (eds.) NGOs, States and Donors: Too Close for Comfort? London: Macmillan, in
association with Save the Children.
27
Humphreys, P (1998) ‘Discourses Underpinning Decision Support’ in Berkeley, B, Widmeyer, G,
Brezillon, P and Rajkovic, V (eds.) Context-Sensitive Decision Support. Boston: Kluwer Academic
Publishers.
27
Keck, M and Sikkink, K (1998) Activists beyond borders: advocacy networks in international
politics. New York: Cornell University Press.
28
Keeley, J and Scoones, I (1999) ‘Understanding Environmental Policy Processes: A Review’ IDS
Working Paper 89, Institute of Development Studies (IDS), Sussex.
(http://server.ntd.co.uk/ids/bookshop/details.asp?id=494)
28
Keeley, J and Scoones, I (2000) ‘Knowledge, power and politics: the environmental policy-making
process in Ethiopia’ The Journal of Modern African Studies 38(1): 89–120.
(www.id21.org/society/s2ajk1g1.html)
29
Kennis, S and McTaggart, R (2000) ‘Participatory Action Research’ in Denzin, N and Lincoln, Y
(eds.) Handbook of Qualitative Research (2nd edition). Thousand Oaks, US: Sage Publications.
30
Kickert et al. (1997) ‘A Management Perspective on Policy Network’ in Kickert, W, Klijn, E H and
Koppenjan, J F M (eds.) Managing complex networks. London: Sage.
31
Kingdon, J W (1984) Agendas, Alternatives, and Public Policies. New York: Harpers Collins. 31
Kotler, P, Armstrong, G, Saunders, J and Wong, V (1999) Principles of Marketing, 2nd Edition.
Prentice Hall Europe.
32
Lambin, J (1996) Strategic Marketing Management. UK: McGraw-Hill. 33
Lanuez, D and Jermier, J M (1994) ‘Sabotage by Managers and Technocrats – Neglected patterns of
resistance at work’ in Jermier, J M, Knights, D and Nord, W R (eds.) Resistance and Power in
Organisations. London: Routledge.
34
Lefebvre, R C (2001) ‘Theories and Models in Social Marketing’ in Bloom, P N and Gundlach, G T
(eds.) Handbook of Marketing and Society. London and New Delhi: Sage Publications.
34
Leftwich, A (1994) ‘Governance, the State and the Politics of Development’ Development and
Change 25(2): 363–386.
35
Levitt, B and March, M G (1988) ‘Organisational Learning’ Annual Review of Sociology 14: 319–
340.
36
Lindquist, E A (1988) What Do Decision-Models Tell Us About Information Use? Knowledge in
Society 1(2): 86–111.
36
Linnerooth, J (1987) ‘Negotiating Environmental Issues: A role for the analyst?’ in Hawgood, J and
Humphreys, P C (eds.) Effective decision support systems. Gower, Aldershot: Avebury.
37
Lipsky, M (1980) Street-level Bureaucracy: Dilemmas of the Individual in Public Services. New
York: Russell Sage Foundation.
37
Long, N and Long, A (eds.) (1992) Battlefields of Knowledge. London: Routledge. 38
Lukes, S (1974) Power: A Radical View. London: Macmillan. 38
Maarek, P J (1995) Political Marketing and Communication. London-Paris-Rome: John Libbey. 39
75
Mattelart, A and Mattelart, M (1998) Theories of Communication, A Short Introduction. London:
Sage Publications.
39
Maxwell, S (2000) ‘Is Anyone Listening?’ Paper prepared for GDN annual meeting in Tokoyo,
December 2000. GDNet. (http://nt1.ids.ac.uk/gdn/tools/respol.htm)
39
McMaster, T, Vidgen, R T and Wastell, D G (1997) ‘Technology Transfer: Diffusion or
Translation?’ in McMaster, T, Mumford, E, Swanson, E B, Warboys, B and Wastell, D, (eds.)
Facilitating Technology Transfer through Partnership. London: Chapman and Hall, on behalf of
IFIP.
40
McPherson, P K (1994) ‘Accounting for the Value of Information’. Aslib Proceedings 46(9): 203–
215.
40
Meyer, C (1997) ‘The political economy of NGOs and information sharing’ World Development
25(7): 1127–1140.
41
Mohanty, C T (1988) ‘Under Western Eyes: Feminist Scholarship and Colonial Discourses’ Feminist
Review 30: 65–88.
41
Mosley, P, Harrigan, J and Toe, J (1995) Aid and Power – Second Edition The World Bank and
Policy-based Lending. London: Routledge.
41
Mosse, D (forthcoming) ‘The Making and Marketing of Participatory Development’ in Quarles van
Ufford, P and Giri, A K (eds.) A Moral Critique of Development: In Search of Global
Responsibilities. London and New York: Routledge.
42
NCDDR (1996) Review of the literature on dissemination and knowledge utilization. USA: National
Center for the Dissemination of Disability Research (NCDDR).
42
Neilson, S (2001) Knowledge Utilisation and Public Policy Processes: A Literature Review. Canada:
Evaluation Unit, IDRC. (www.idrc.ca/evaluation/litreview_e.html)
43
Newbold, C (1995) ‘Approaches to Cultural Hegemony within Cultural Studies’ in Boyd-Barrett, O
and Newbold, C (eds.) Approaches to Media, A Reader. London: Arnold.
44
Norris, P (2001) Digital divide? Civic engagement, information poverty and the internet in
democratic societies; Can the Internet change the national distribution of power and income?
Cambs, MA: John F. Kennedy School of Government (KSG), Harvard University.
45
Nutley, S, Walter, I and Davies, H (2002) ‘From Knowing to Doing: A framework for understanding
the evidence-into-practice agenda’. Discussion Paper 1, Research Unit for Research Utilisation,
University of St Andrews. Linked to the ESRC Network for Evidence-based Policy and Practice.
45
Peterson, S B (1998) ‘Saints, Demons, Wizards and Systems: Why information technology reforms
fail or underperform in public bureaucracies in Africa’. Public Administration and Development
18(1): 37–60.
46
Philo, G (1996) ‘Seeing and Believing’ in Marris, P and Thornham, S (eds.) Media studies, A Reader.
Edinburgh: Edinburgh University Press.
47
Porter, R W and Prysor-Jones, S (1997) Making a Difference to Policies and Programs: A Guide
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47
Price, N (2001) ‘The performance of social marketing in reaching the poor and vulnerable in Aids
control programmes’. Health Policy and Planning 16(3): 231–239.
48
Pross, P (1986) Group Politics and Public Policy. Toronto: Oxford University Press. 48
Puchner, L (2001) ‘Researching Women’s Literacy in Mali: A Case Study of Dialogue among
Researchers, Practitioners, and Policy Makers’. Comparative Education Review 45(2): 242–256.
49
RAWOO (2001) Utilisation of Research for Development Cooperation, Linking Knowledge
Production to Development Policy and Practice. Publication no. 21, The Hague: Netherlands
Development Assistance Research Council.
49
Riley, P (1983) ‘A Structurationist Account of Political Culture’. Administrative Science Quarterly
28(3): 414–437.
50
Robertson, A F (1984) People and the State: An anthropology of planned development. Cambridge:
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50
Robinson, D, Hewitt, T and Harriss, J (1999) ‘Why Inter-Organisational Relationships Matter’ in
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51
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52
Rogers, E (1995) Diffusion of Innovations. New York: Free Press. 52
Rondinelli, D (1993) Development Projects as Policy Experiments: An adaptive approach to
development administration. London: Routledge.
53
Ryan, J (1999) ‘Assessing the impact of rice policy changes in Viet Nam and the contribution of
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Research Institute (IFPRI). (www.ifpri.org/impact/iadp8.pdf)
53
Ryan, J (2002) Synthesis Report on Assessing the Impact of Policy-Oriented Social Science
Research. Washington, DC: International Food Policy Research Institute (IFPRI).
54
Sabatier, P and Jenkins-Smith, H C (1999) ‘The Advocacy Coalition Framework: An Assessment’
in Sabatier, P (ed.) Theories of the Policy Process. Boulder: Westview Press.
54
Saywell, D and Cotton, A (1999) Spreading the Word. Practical guidelines for research
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54
Shankland, A (2000) ‘Analysing Policy for Sustainable Livelihoods’ Research Report 49, Brighton,
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55
Smircich, L (1983) ‘Concepts of Culture and Organisational Analysis’ Administrative Science
Quarterly 28: 339–358.
56
Stacey, R (1995) ‘The Role of Chaos and Self-Organisation in the Development of Creative
Organisations’ in Albert, A (ed.) Chaos and Society. Amsterdam: IOS Press.
56
Stern, N and Ferreira, F (1997) ‘The World Bank as an ‘Intellectual Actor’’ in Kapur, D, Lewis, J
and Webb, R (eds.) The World Bank – Its First Half Century. Washington, DC: Brookings Institution.
56
Stone, D, Maxwell, S and Keating, M (2001) Bridging Research and Policy. An international
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57
Struyk, R (2000) Transnational Think Tank Networks: Purpose, Membership and Cohesion.
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61


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