1. Generating and communicating science
information to support policy and
decision-making in forestry

2. The policy change
process
‘The whole life of policy is
a chaos of purposes and
accidents. It is not at all a
matter of the rational
implementation of the socalled decisions through
selected strategies.’
Clay and Schaffer (1984).

3. The gap between
knowledge and
practice
‘Constraints to successful
management of sustainable
forest management over
the years largely relate to
the adoption of
recommendations - not the
generation of ‘best
practice’. Dawkins & Phillip (1998).

4. Who needs to know?
Policy knowledge . . . is not effective if retained in the
hands of the producer.
Policy makers . . . do not generally go about seeking
knowledge to assist them in understanding every
decision they must make.
Policy knowledge . . . must be expressed,
communicated, channeled, explained or otherwise
distributed to policymakers if it is to affect policy
decisions' (Webber 1991).

5. Research for change…

6. Uptake / Adoption Curves
Research shows that when 10 to 25% of a target ‘population’
has adopted an innovation, the whole process becomes selfsustaining.
ONLY THEN DO ‘GOOD PRODUCTS SELL THEMSELVES’
Late
Majority
Early
Majority
Number
of
users
Pioneers
Early Adopters
Cumulative
Laggards
Frequency
Time

7. The Impact Pathway model
Inputs
(e.g. finance, staff, equipment,
systems, etc…)
Outputs
(e.g. publication, training,
databases)
Impacts
Outcomes
(e.g. forests and tree
resources are better
managed)
(e.g. reduced deforestation
and degradation)
SRF
4 system-level
outcomes

8. In fact it is probably more like this…
KASA: knowledge, attitudes,
skills, aspirations
From http://boru.pbworks.com/w/page/13774906/Learning-Selection-Change-Model

9. From Outputs to Impacts

10. Impact Pathway
The bushmeat issue
Keynote to CBD
(2001)
Liaison group
on NTFP
Bushmeat CBD
priority at COP 9
(2008)
Support from
African Parties
Scientific work:
PhDs, review,
papers, etc.
(2002-2008)
Liaison group
on bushmeat
(2009)
Recommendation
to SBSTTA (2010)
Scientific work
with actors
(2009-2011)
Tools, guidelines
(2012, OT)
Improved, more sustainable
practices (2012-)
COP 10 Decision
(2010)
Policy changes
(2011-2012)

11. Impact Pathway: inputs to outputs
Inputs: CRP6
5 components
15 research themes
+ Gender, Capacity building,
Sentinel landscapes
Original research and
capacity building with
research partners
Outputs
(e.g. publication, training,
databases)
Outcomes
(e.g. forests and tree
resources are better
managed)
Impacts
(e.g. reduced deforestation
and degradation)
SRF
4 system-level
outcomes

12. Research outputs
 Overall, the production
of science outputs is not
a major issue
but
 Publication results can
be improved in terms of
quality and quantity
 Other types of outputs
(e.g. capacity building,
gender) are not yet
adequately considered
and/or recorded
THINKING beyond the canopy

13. Research outputs: New (?) Thinking
 Original scientific pieces
10000
Number of citations
1000
H factor:
D. Tilman
N. Stern
B. Lomborg
51
19
09
100
in reputable journals with
good research partners
 Syntheses pieces
channeled through “big”
players (e.g. WB)
 Communication strategy
in place before publishing
•
10
1
1 4 7 10 13 16 19 22 25 28 31 34 37 40 43 46 49
Stern
Lomborg
Tilman
“Derived” products for nonscience users (policy briefs,
blogs, etc.)
 New incentive structures
for rewarding outputs
THINKING beyond the canopy

14. Impact Pathway: outputs to outcomes
Inputs: CRP6
5 components
15 research themes
+ Gender, Capacity building,
Sentinel landscapes
Original research
with partners
Outcomes
Outputs
(e.g.
publication, training, datab
ases)
(e.g. forests and tree
resources are better
managed)
Impacts
(e.g. reduced deforestation
and degradation)
Synthesis research
and outreach
SRF
4 system-level
outcomes

15. Outputs to outcomes
 We are generally able
to claim a few
significant outcomes
per year
but
 This is a painful
exercise
 Few of these outcomes
are real IPGs
 Supporting evidence is
somewhat scant and/or
attribution disputable
 Why?
• Improper project design
• Passive expectations of
•
•
•
•
outcomes
Inappropriate
communication or outreach
Lag time between outputs
and adoption
Change in donor or societal
interests
“It simply didn‟t work…”
THINKING beyond the canopy

16. Outputs to outcomes: “Forcing”
Opportunities






Project for change
Write for “impact”
Do not over-commit
Plan M&E properly
“Force” recognition
Work with the right
partners (research
partners for research;
development partners for
outcomes…)
 Use PIPA methods
(http://boru.pbworks.com/w/pa
ge/13774889/Background)
Improved certification schemes
-
FSC, UNEP, CIFOR; GEF funded
Brazil, Mexico, Cameroon
Preparation phase 2002-2004
-
-
Several stakeholder workshops
Agreement on what needs to change (e.g. SLIMF certification
standards)
Selection of right partners (CIFOR: backstopping research;
FSC-IC: develop approve standards; country partners and
certification bodies: develop and test new standards)
Implementation 2005-2009
-
Production of several outputs
-
Database for monitoring aspects of HCVF and biodiversity in
FSC certified forests
FSC step-by-step guide - Good practice guide to meeting FSC
certification requirements for biodiversity and HCV Forests in
SLIMF
Guide to markets for forest products and services for
smallholders
FSC guide to certification for smallholders
National SLIMF standards for Mexico, Brazil and Cameroon
-
- Outcome 2010: endorsement of the
new SLIMFs standards for the 3
countries by FSC
THINKING beyond the canopy

17. Impact Pathway: outcomes to
impacts
Inputs: CRP6
5 components
15 research themes
+ Gender, Capacity building,
Sentinel landscapes
Original research
with partners
Outputs
(e.g.
publication, training, datab
ases)
Synthesis research
and outreach
Outcomes
(e.g. forests and tree
resources are better
managed)
Impacts
(e.g. reduced deforestation
and degradation)
???
SRF
4 system-level
outcomes

18. Outcomes to impacts: ouch!
 Quantification of impact



is difficult; all the more
for policy research
Attribution is generally
multiple and non
documented
Causality links between
outcomes and impacts
are weak or unclear
Lack of proper methods
to assess NRM and
policy research impacts
“The evidence of impacts of CGIAR
research on new or improved
management practices and on
natural resource management is
insignificant.”
(Science Council, 2006)
THINKING beyond the canopy

19. Outcomes to impacts: Some Hints
 Specific research
linking outcomes to
impacts
•
•
Systematic reviews
Long-term monitoring
experiments (Sentinel
Landscapes)
 New monitoring &

evaluation methods
Impact evaluation as
integral part of project
design
 Outcomes as impacts

on a different scale
Carefully disaggregate
impact:
•
•
Via adoption of specific
outputs by farmers
Via institutional
innovation or policyinfluence
 Increase our capacity in
research about impact
of research
THINKING beyond the canopy

20. How to foster
adoption and
implementation
of good
research based
practices and
policies?

21. Outreach and uptake efforts that
have little or no effect
Educational materials (distribution of
recommendations for changed practice;
including practical
guidelines, audiovisual materials, and
electronic publications)
Didactic educational meetings
(lectures like this one!!)
Pile of 855 guidelines in general practices in the Cambridge and
Huntingdon Health Authority : “The mass of paper we collected
represents a large amount of information, but it is in an unmanageable
form that does little to aid decision making”

22. Interventions of variable
effectiveness
 Audit and feedback (or any summary of


performance)
The use of local opinion leaders (practitioners
identified by their colleagues as influential)
Local consensus processes (inclusion of
participating practitioners in discussions problem focus & appropriateness of solutions)

23. Consistently effective outreach
efforts.





Educational outreach „visits‟
„Social‟ media (blogs, twitter, facebook, website).
Repeated reminders (manual or computerized).
Multifaceted interventions a combination that
includes two or more of the following: „audit‟ and
feedback, reminders, local consensus
processes, or marketing).
Interactive educational meetings (participation of
intended users in workshops that include
discussion or practice).
UNFF 4, Brazzaville 2004

24. Publications and impact?

25. Publications
Number of downloads /yr

26. Publications
Title
Realising REDD+: national strategy and policy options
Hutan pasca pemanenan: melindungi satwa liar dalam kegiatan hutan
produksi di Kalimantan
Moving ahead with REDD: issues, options and implications
Dari desa ke desa: dinamika gender dan pengelolaan kekayaan alam
Belajar dari Bungo: mengelola sumberdaya alam di era desentralisasi
Payments for environmental services: some nuts and bolts
Plantulas de 60 especies forestales de Bolivia: guia Ilustrada
Panduan singkat cara pembuatan arang kayu: alternatif pemanfaatan
limbah kayu oleh masyarakat
Atlas industri mebel kayu di Jepara, Indonesia
Partisipasi masyarakat dalam pembuatan kebijakan daerah di kabupaten
Tanjung Jabung Barat, Jambi: ketidakpastian, tantangan, dan harapan
Menuju kesejahteraan dalam masyarakat hutan: buku panduan untuk
pemerintah daerah
Riquezas da floresta: frutas, plantas medicinais e artesanato na América
Latina
Download
(2005 - 2011)
46,793
38,947
29,252
28,974
22,992
22,350
22,035
21,875
20,014
19,712
19,160
18,623

27. Impact on scientific publication

28. Web-based outreach
New Blog
4,000,000
3,374,799
3,500,000
3,000,000
2,500,000
2,000,000
1,500,000
Social Media
Page views
1,000,000
500,000
0
754,017
Launch of new CIFOR website
1st 2nd 3rd 4th 1st 2nd 3rd 4th 1st 2nd 3rd 4th 1st 2nd 3rd
2008 2008 2008 2008 2009 2009 2009 2009 2010 2010 2010 2010 2011 2011 2011
Quarter

29. Journalist workshops
• 2011: 2 media workshops in Indonesia trained 37
journalists (Bali & Central Kalimantan)
• 2012: 3 media workshops in Vietnam training 40
journalists + 12 editors – Workshops planned in Peru
and Papua

30. Conclusions
• Passive dissemination of information is generally
•
•
•
ineffective
Best practice for dissemination and promoting
effective diffusion is well known but seldom
implemented by research institutions
Applied and strategic research institutions must
reward success in uptake / adoption not just count
publications
Further empirical studies on the relative
effectiveness and efficiency of different
dissemination and uptake strategies is required –
build this into the research process

31. www.cifor.org/crp6
THINKING beyond the canopy