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DFID/IDRC CCAA PROJECT ‘RESEARCH TO POLICY ADAPTATION’ (RPA)

Report from

RESEARCH REVIEW WORKSHOP

LILONGWE HOTEL, LILONGWE, MALAWI

26-28 APRIL 2010

Final draft, 15 June 2010

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Table of Contents

1 Introduction and overview ......................................................................................... 5

2 Day 1 - Monday 26 April ............................................................................................. 7

2.1 Welcome and introductions .................................................................................... 7

2.2 Key learning/inspirations and expectations/challenges .......................................... 7

2.3 Malawi case study.................................................................................................. 9

2.3.1 Introduction ..................................................................................................... 9 2.3.2 Key experiences with the policy processes ................................................... 10 2.3.3 Key findings on crop diversification case study ............................................. 10 2.3.4 Tentative Conclusions and Lessons .............................................................. 11 2.3.5 Q&A .............................................................................................................. 11

3 Day 2 - Tuesday 27 April .......................................................................................... 12

3.1 Case study: Policy perspectives on integrating indigenous knowledge in climate risk

management in Kenya ................................................................................................... 12

3.1.1 Background .................................................................................................. 12 3.1.2 Key highlights of the PAR‟s successes so far................................................ 13 3.1.3 Climate change in cross-sectoral policy processes ....................................... 13 3.1.4 Key actors and their roles ............................................................................. 13 3.1.5 Politics and interest of actors ........................................................................ 14 3.1.6 Constraints to integrating IK in policy debates ............................................... 14 3.1.7 Preliminary policy spaces.............................................................................. 14 3.1.8 Q&A .............................................................................................................. 15

3.2 Case study: Understanding policy processes in water and land use management

among agro-pastoralists in northern Kenya .................................................................... 15

3.2.1 PAR Findings ................................................................................................ 15 3.2.2 Scope of RPA Study and approach ............................................................... 15 3.2.3 Mapping of the adaptation policy context ...................................................... 16 3.2.4 Traditional Systems of land and water use management .............................. 16 3.2.5 Conflicts between local practices and sub-national/national policies ............. 16 3.2.6 Spaces for Policy Influence identified by policy makers and implementers ... 16 3.2.7 Identified spaces by the community .............................................................. 17 3.2.8 Q&A .............................................................................................................. 17

3.3 Case study: Adoption of weather information generation, packaging and

dissemination in Tanzania .............................................................................................. 17

3.3.1 Introduction: PAR research and RPA value addition ..................................... 17 3.3.2 Study Process ............................................................................................... 17 3.3.3 Policy Context ............................................................................................... 18 3.3.4 Narratives ..................................................................................................... 18 3.3.5 Politics and Interest....................................................................................... 18 3.3.6 Findings: Actors and Institutions ................................................................... 18 3.3.7 Policy Spaces ............................................................................................... 18

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3.3.8 Q&A .............................................................................................................. 19 3.4 Case Study: Mainstreaming Agrometeorological Advisory Services into the National

Agricultural Policy in Kenya ............................................................................................ 19

3.4.1 Introduction ................................................................................................... 19 3.4.2 Policy Context ............................................................................................... 19 3.4.3 Politics and Interest....................................................................................... 19 3.4.4 Actors and Institutions ................................................................................... 20 3.4.5 Policy Spaces ............................................................................................... 20 3.4.6 Challenges and Conclusion .......................................................................... 21 3.4.7 Q&A .............................................................................................................. 21

3.5 Case study: The adoption of malaria epidemic prediction model (MEP) for reducing

malaria incidence in Tanzania ........................................................................................ 22

3.5.1 Introduction ................................................................................................... 22 3.5.2 Objective of the client Participatory Adaptation Research project.................. 22 3.5.3 Narratives and evidence ............................................................................... 22 3.5.4 Politics and interests ..................................................................................... 22 3.5.5 Institutions and actors ................................................................................... 23 3.5.6 Policy spaces ................................................................................................ 23 3.5.7 Challenges .................................................................................................... 24 3.5.8 Q&A .............................................................................................................. 24

3.6 Case study: Adoption of the climate based malaria epidemic prediction model

(MEPM) for reducing malaria incidence in Kenya ........................................................... 24

3.6.1 Introduction ................................................................................................... 24 3.6.2 Policy Context ............................................................................................... 25 3.6.3 Narratives and Evidence ............................................................................... 25 3.6.4 Politics and Interest....................................................................................... 25 3.6.5 Actors and Institutions ................................................................................... 25 3.6.6 Policy Spaces ............................................................................................... 25 3.6.7 Challenges and Conclusions ......................................................................... 26 3.6.8 Q&A .............................................................................................................. 26

3.7 General discussion: What are we drawing out from the case studies? ................. 26

3.8 Presentations and discussion on the narratives for country case studies ............. 27

3.8.1 Risk, vulnerability, and productivity in Tanzania ............................................ 27 3.8.2 Crop diversification case study in Malawi ...................................................... 27 3.8.3 Indigenous knowledge and climate change in Kenya .................................... 28 3.8.4 The adoption of the MEP model for reducing malaria incidence .................... 28

4 Day 3 - Wednesday 28 April ..................................................................................... 29

4.1 Plenary discussion ............................................................................................... 31

4.1.1 MEP model for Tanzania and Kenya ............................................................. 31 4.1.2 Malawi‟s case of crop diversification ............................................................. 31 4.1.3 Kenya‟s cases of IK and pastoralists ............................................................. 32 4.1.4 Kenya‟s Case of risk, vulnerability and productivity ....................................... 32

4.2 Discussion on the conceptual framework ............................................................. 32

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4.3 Engagement strategy – plenary and group work .................................................. 33

4.3.1 Outline for possible engagement strategy for crop diversification case study (Malawi) ..................................................................................................................... 33 4.3.2 Outline for possible engagement strategy for malaria epidemic prediction model (Kenya and Tanzania) ..................................................................................... 34

5 Annexes .................................................................................................................... 35

This report was written and edited by Lars Otto Naess and Michael Chasukwa with inputs from RPA country teams and Leah Plati. Photo credits: Emily Polack (p. 1, 6, 7, 12) and Michael Chasukwa (p. 9, 15, 26, 29, 32)

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1 Introduction and overview

Research to Policy for Adaptation (RPA) is a project funded through the DFID/IDRC CCAA (Climate Change Adaptation in Africa) programme.

1 The project is run as a collaborative effort between IDS

and researchers at Chancellor College, Malawi, KIPPRA, Kenya and TanzaKesho Consult, Tanzania. It aims to increase the ability of CCAA programme partners in Eastern Africa to understand climate change adaptation policy processes at local and national scales, in order to maximise the use of research results in the formulation of adaptation policies in Africa. Increasing support for adaptation to national governments in Africa will give new opportunities, but also new challenges, for researchers and policy actors. The project is an attempt to identify pathways for adaptation researchers to better engage with relevant policy processes. The project started in March 2009, and is expected to finish autumn 2010. The main objective of the workshop, held in Lilongwe 26-28 April 2010, was to share and review draft findings from the RPA project case studies, undertaken in the three project countries Malawi, Kenya and Tanzania. The workshop brought together RPA project researchers with client CCAA programme researchers from the three project countries, IDS researchers, as well as DFID and IDRC staff. Key achievements and follow-up points from the workshop include:

Sharing and review of findings from case studies of the policy environment for seven ongoing CCAA programme partners in Malawi, Tanzania and Kenya. One additional case study is due to start shortly for a project on urban adaptation in Malawi. An important part of the project is to compare and contrast findings across the three countries.

The case studies will be revised on basis of the workshop review and further refined with the client CCAA partners, and will be published later on (in a book/journal format, e.g. book/edited journal and policy briefs)

RPA researchers and client CCAA partners working together to identify “policy spaces” for influence in relation to each of their projects. The client CCAA projects cover a range of adaptation areas. Feedback from CCAA partners suggest that the RPA project helps improve their ability to understand how they can reach their goals of policy influence. The policy engagement strategies for each project will be developed by RPA researchers in close collaboration with their partners, to make them as useful as possible for their policy goals

Policy engagement strategies for each of the case studies will feed into a guidance document for “bottom-up” adaptation policy analysis and engagement for other adaptation projects across Africa (and elsewhere), involving approaches, methods and tools.

This document includes a chronological record of key points from presentations and discussions during the three days of the workshop. The annexes provide (1) a workshop programme, (2) list of participants, (3) summary of RPA project case studies, (4) draft outline for an engagement strategy, and (5) facsimile of all case study presentations.

1 See http://www.idrc.ca/en/ev-94424-201-1-DO_TOPIC.html

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(l-r): Paul Guthiga, Lydia Ndirangu, Maria Onyango.

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2 Day 1 - Monday 26 April

(foreground, l-r): Kassim Kulindwa, Natu Mwamba, Emmanuel Mpeta.

2.1 Welcome and introductions

Blessings Chinsinga extended a warm welcome to the participants to Malawi. He called upon participants to participate actively as has been the case with other meetings since the inception of the project. He pointed out that as this was a review meeting, teams will present the work that has been done so far and individuals will help the teams in terms of how they should move forward as the project is coming to and end. Participants then introduced themselves. RPA Project Manager Lars Otto Naess introduced the project, including its goals, motivation, and ongoing case studies. He gave an overview of the theoretical background on policy processes and the concept of policy spaces.

2.2 Key learning/inspirations and expectations/challenges

The aim of this session, facilitated by Emily Polack and Lars Otto Naess, was to brainstorm on participants‟ experiences with the project so far, focusing on two key aspects:

The sources of inspiration and learning they had derived from working with the RPA project and/or the client CCAA projects, and

Key challenges and expectations for this meeting and the remainder of the project. Each participant was asked to discuss these two issues with at least one person they hadn‟t spoken to or worked with before, write down key points from the discussion on cards, and then put up the cards on two flipcharts for plenary discussion. The points raised are presented in table 1 below, grouped in some broad categories. As the table illustrates, a number of the points in both categories centred on the identification and application of policy spaces, engaging with various stakeholders, and the value and role of indigenous knowledge in government policymaking.

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Table 1. Learning/inspirations and key challenges/expectations identified by workshop participants Key inspirations and learning from working with the project

Key challenges and expectations from the workshop and the RPA project follow-up

Policy spaces

Learning methods for improved understanding of policy spaces for climate change adaptation

Understanding policy spaces‟ impact on climate change in rural areas

Understanding what is unique about policy spaces and processes for adaptation

Selection of policy spaces from field activities

Process of examining policy spaces is very enlightening for a policy analyst. I have always taken it for granted

Engaging with communities, researchers and policymakers

The interest of developing policies from research results in the involvement of PAR members

Informality in policy processes with key policy makers

Readiness of policy makers to get involved from the start.

Awareness and eagerness of communities in the projects

Interacting with farmers, the people that matter in climate change

PAR project implementers are extremely useful

The National Anti-Malaria campaign in Tanzania has a very high profile

Climate change is having severe impact on the livelihoods of people, and people appreciate that climate change is real

All the insights coming from the case studies are inspiring

Learned a lot from meeting and getting to know other researchers

Indigenous knowledge

Indigenous knowledge has the real key to climate adaptation and enhancing resilience of local communities.

Local communities have a lot of valuable knowledge regarding adaptation, which is yet to be documented.

Recognising the importance of indigenous knowledge.

Incorporation of the indigenous knowledge in modern day science

Mainstreaming indigenous knowledge into policy.

Policy spaces and engaging with communities, researchers and policymakers

To identify meaningful policy spaces

To learn more regarding policy implications in climate change adaptation knowledge sharing

The awareness level and eagerness of the local communities is becoming more intense towards the end of the study

It is a hard to influence policy if the policy makers are left out, challenge of including policymakers

Expect feedback from participants to enrich the study

To understand the process of developing policies from research results

Challenge of having resources for sustained policy engagement after project ends

This dialogue and experience from all the countries through their case studies can pave the way to influence changes in policies

Teasing out what policy is from local communities

Lack coordination between users (end) and the experts.

Challenge of mistrust between the end users and the meteorological officers

Climate change adding to existing problems of poverty and vulnerability, and effective policy is not easy to achieve and implement.

Strengthening cooperation and collaboration with the key actors, and streamlining agro-meteorological information and services for the benefit of the Kenya‟s economic growth

Rigorous campaigns not being conducted to bring the meteorological services to farming communities

Understanding stakeholders (actors) attitude (behaviour) is challenging.

Different mindset of scientists and policymakers Indigenous knowledge

Challenge of revival of indigenous knowledge

Challenge of removing the bottlenecks surrounding indigenous knowledge mainstreaming

How to bring Indigenous knowledge which is in the periphery of policy to the core of policy processes (lack of documentation)

Challenge of demystifying indigenous knowledge

Successful implementation of indigenous knowledge that have measurable outcome indicators

How to improve interaction with policy processes team for best results

Other

Challenge: How can we best draw out the lessons from the case studies?

How can we increase the cross-team learning?

Challenges in the implementation of case studies are shared and solutions found for those problems (challenges)

Stronger grasp on the depth of all projects

Time management of the project is crucial

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2.3 Malawi case study

2.3.1 Introduction

Blessings Chinsinga presented on behalf of the Malawi team. The presentation aimed at

Sharing experiences on the policy processes, engagement and implementation with the client Participatory Action Research (PAR) following the adoption of case studies, and

Presenting preliminary findings on the crop diversification case study adopted as the basis for engaging with the PARs on policy processes and influence within the context of their wider project.

The Malawian case study is based on a CCAA PAR project undertaken in both Tanzania and Malawi.

2 Two RPA case studies were originally designed as crop diversification in Malawi and soil and

water conservation and management in Tanzania. The Tanzanian case study was later replaced by a case study focusing on urban adaptation in Malawi (see Annex 3). The engagement with the PARs has been done through presentation of the CCAA policy project at the PARs annual review workshop, several brief meetings, dialogue session with the PARs on the KNOTS policy processes framework

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against the backdrop of PARs‟ experiences to date, as well as accompanying PARs and IDRC officials on a field visit to study sites.

2 The PAR project is entitled “Strengthening Local Agricultural Innovation Systems in Tanzania and Malawi to

the Challenges and Opportunities Arising from Climate Change and Variability”. See http://www.idrc.ca/en/ev-

127587-201_104141-1-IDRC_ADM_INFO.html.

3 KNOTS is the Knowledge Technology and Society Team at IDS. A review of the KNOTS framework for

understanding environmental policy processes can be downloaded from

http://www.research4development.info/pdf/ThematicSummaries/Understanding_Policy_Processes.pdf

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2.3.2 Key experiences with the policy processes

The project has a high profile at the district level, but PARs‟ sustained policy engagement efforts have been affected by instability in the offices of the DADO

4 and sheer office politics, including a

culture of allowances.

Several potentially useful structures for policy influence at the district level, namely, stakeholder panels and local council committee on agriculture have essentially been dormant due to the impasse in decentralization policy reforms.

Local government elections have been continuously postponed since May 2005, and their future hangs in limbo following recent sweeping amendments to the Local Government Act. However, the planning process still offers some hope.

Strong media linkages established by PARs have increased the project‟s visibility, culminating in several enquiries to PARs by a wide range of stakeholders.

Television Malawi is expected to launch a documentary programme on climate change, based on the results of the PAR project.

2.3.3 Key findings on crop diversification case study

The results from the learning plots have not been as expected for two consecutive growing seasons due to prolonged dry spells. The experiences have heightened the awareness about changing climatic patterns. Example quotes from the field include:

„magic beliefs about rains are no longer sustainable because of our experiences during the last two growing seasons‟

„the rains that we have had this year are no more than tears of king Pharaoh of Egypt‟

„it is no longer wise to believe that there are villagers with supernatural powers who can keep rains in their pockets and ration it accordingly‟

„it has never happened that the whole growing season goes by without our children enjoying roasted maize‟

Crop diversification is widely acknowledged as a strategy for cushioning against risks associated with climate change and variability by both farmers and officials. However, field studies show that farmers insist on livelihood diversification, and crop diversification is thus a quite narrow concept. Due to experiences with prolonged dry spells, irrigated agriculture is being promoted as an alternative livelihood strategy. The preference for irrigated agriculture is justified on basis of the fact that it is controllable by farmers, and not dependent on the vagaries of rain. The policy consensus among officials and farmers is that agricultural support programmes should be directed to small-scale irrigated agriculture and not rain-fed agriculture. Farmers have applied the techniques on the learning plots onto the irrigated land with highly positive results, and PARs have introduced learning plots on irrigated land. Further, the PARs have successfully lobbied for treadle pumps for use on the irrigated land which the Government of Malawi has supplied. At the same time, several challenges remain for crop diversification in general and the study sites in particular, including:

The politics surrounding the fertilizer subsidy programme

The politics of access to water for irrigated agriculture

The politics of marketing or more specifically market capture

4 District Agricultural Development Officer

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The increasing land pressures, making maize more attractive than alternative cereal crops

The labour intensity associated with alternative cereal crops, and the lack of lucrative markets for alternative cereals

The dignity associated with eating meals prepared with maize vis-a-vis those prepared with alternative cereals

2.3.4 Tentative Conclusions and Lessons

Policy-making is a political process, and hence the context in which policy processes take place matters a great deal. Policy influence and engagement are resource-intensive exercises, particularly in terms of time and finance, and success is greatly dependent on sustained efforts over a long period of time. Strategic engagement with influential policy makers in a relaxed and less formal environment is vital to the success of policy influence. Networking with influential policy makers through, for example, the NCG (National Consultative Group) and the media, is critical for project visibility which is a key step for policy influence.

The PARs‟ understanding of the basic language of policy processes from a political economy perspective is important in order for them to be in a position to identify policy relevant issues that would have ordinarily been left out. Backed up by the Outcome Mapping journal, this greatly demystifies policy making as a complex exercise. Further, PARs‟ basic understanding of the policy making processes architecture at different levels generally - and specifically to the sector of interest - is critical to identifying potential policy spaces, as well as to develop the ability to influence policy agenda setting processes.

Creating networks and coalitions is just as, if not more, important than generating new evidence in policy processes, especially against the backdrop of strategic understanding of the configuration of narratives, actor networks and interests in a particular policy sector. The ability of the PARs to adapt their research design and processes to the prevailing circumstances on the ground is critical to creating opportunities for policy influence.

2.3.5 Q&A

How is the PAR project working on the ground in terms of networking? The project works with Non-Governmental Organisations that are already working on the ground. For example, in Chikhwawa District, the project works with Evangelical Association of Malawi. The District Executive Committee is aware of the activities of this project and it provides technical assistance when need arises.

Since the learning plots have failed, is the PAR project going to continue? (Bernard Abong’o). The Learning plots have failed due to dry spell in last two years. However, farmers have managed to apply some of the skills and experiences to their irrigated plots. The project will still continue because farmers themselves have shown that they have the ability to apply the skills to where they think can work. The Malawi PAR is already working on the results. Even in the dry spell periods, some lessons have been learnt.

How did you choose millet and sorghum as crops for diversification? The Malawi PAR did not choose millet and sorghum as crops for diversification; they came from the discussions with farmers. The success is due to the fact that the techniques from the upland plots have been used in the irrigated plots. A situational analysis was done before the project started, depicting issues of understanding of climate change by the farmers, adaptation to climate change, constraints to adaptation to climate change, and understanding of vulnerability among others.

How do you use the NCG (National Consultative Group) to influence the technical groups that are already in existence? Is the NCG sustainable, or maybe it can be linked to the National Technical Committees already in place? The local cases can be used as evidence to make a case before

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the policy makers. The debates in the NCG feed into the National Technical Committees formally and informally because some of the members of the NCG are also members of National Technical Committees.

Is the fertiliser Subsidy Programme sustainable in the interest of crop diversification? Donors have supported the subsidy programme on condition that it is promoting crop diversification. The farmers are also being taught how to increase the use of manure, which is more sustainable than fertilisers.

Could you elaborate more on the narratives that you have found in the case studies? (Lars Otto Naess) The observation that the narratives have not been presented is correct. However, it should be known that data is there and the narratives are also available, only that data has not been analysed to that far. This is attributed to the logistical problem that saw the project not being funded for about four months. The main paper will incorporate narratives because as of now, the narratives have not been synthesized. The team has predominantly the local level narratives because it has been in contact with actors operating on the point of action more than technical people and policy makers.

Are the farmers using emerging spaces to negotiate with policy makers? Yes, farmers are using some of the emerging spaces to negotiate with policy makers. The media (both print and electronic) and the NCG (that is made up of fifteen people) are some of the spaces that have opened up for the usage of farmers. For instance, farmers have lobbied successfully for the treadle pumps using some of the spaces that have opened up for them.

3 Day 2 - Tuesday 27 April

(l-r): Peter Mvula, Mirriam Joshua, Ronald Mangani, Brown Gwambene, Blessings Chinsinga.

3.1 Case study: Policy perspectives on integrating indigenous knowledge in climate risk management in Kenya

3.1.1 Background

The draft case study was presented by Paul Guthiga, KIPPRA. The client Participatory Action Research (PAR) project is focusing on the application of indigenous knowledge (IK) in risk management in Kenya. Indigenous knowledge (IK) forms the basis for local decision-making in many

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rural communities. IK is not only important for the local communities, but has been recognized as important also for scientists and planners working to improve lives of local communities, such as in helping communities to cope with the effects of a changing climate. Managing climate risk puts a premium on the generation, interpretation and use of data and information in decision making at the community, regional, national and global level. Contrary to prevailing belief among scientists and planners, IK represents a distinctive intellectual tradition and not just myth or legend. Often when is put to test with data acquired scientifically, IK is found to perfom well. However, in many instances IK is not formerly recognized in the national climate risk management policies. The client CCAA PAR project on IK was conceived to address this gap in adaptation by exploring the avenues for merging IK and western knowledge for better management of climate risk.

3.1.2 Key highlights of the PAR’s successes so far

The PAR has brought together a diverse team of actors who work together, including ICPAC, KMD, Maseno University, GLUK, KIPI, NMK, local community, and local administration.

It has won the confidence of the Nganyi community to share their information. Further, it has demystified and documented IK among the Nganyi, which has been compiled into a book. Several joint seasonal forecasts have been carried out, which have shown good convergence between the western science and IK.

The project has conducted University level training of some members from the community, as well as established a resource center

3.1.3 Climate change in cross-sectoral policy processes

Key policy processes relating to climate change in Kenya include:

• Vision 2030 (the nation development blueprint)

• Draft national policy for disaster management in Kenya (started in 1999 and completed in 2009)

• Draft national policy for disaster management in Kenya • National Land Policy

• National Climate Change Response Strategy (NCCRS)

• Strategy for revitalizing agriculture (SRA 2004-2014);

• Agricultural Sector Development Strategy (ASDS, 2009-2018).

• National agricultural research systems (NARS) policy

• Environmental policy (ongoing; started in 2007)

• National Water Policy (process started in 1999 and completed in 2002)

• National Water Storage Policy (draft)

3.1.4 Key actors and their roles

MEMR (The Ministry of Environment and Mineral Resources) is currently playing a key role in coordinating climate adaptation strategies. The office of the Prime Minister is also playing a key role in harmonizing climate policies within the government. The PM‟s office is a favorite choice for donor agencies supporting the government in its effort to implement climate adaptation strategies.

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The policies of government are often implemented through departments or parastatals under the ministries. KMD (Kenya Meteorological Department) is important for collecting, interpreting and disseminating climate information in Kenya. In an effort to make predictions relevant at the local level, KMD has adopted the RANET-Kenya which is part of the global RANET project.

5 RANET is a rural

communications project that seeks to transmit vital weather and climate information to rural communities using Internet and Radio. The project is geared towards addressing challenges that affect them, such as a food security and poverty reduction. So far the project has established three community FM radio stations, and more than 20 information centers. The Great Lakes University of Kisumu (GLUK) is in the process of starting courses in IK. KIPI (Kenya Industrial Property Institute) has an important role in protecting the intellectual property rights aspects of indigenous knowledge. NMK (National Museums of Kenya) is responsible for collecting, preserving, studying, documenting Kenya‟s past and present cultural and natural heritage.

3.1.5 Politics and interest of actors

At its inception, KMD had a strong orientation towards serving the aviation industry. The interest of KMD has later shifted to include a more integrated approach in using weather information for a wide range of uses. It is currently trying to package weather information for the different in a form that they can easily be interpreted and used. With the threat of climate change, weather information is treated with seriousness and the KMD is under increasing pressure to provide accurate, timely and user friendly information. Despite the increasing interest in weather information, the role of IK in climate risk is yet to attain significant interest at the national level. The politics around indigenous knowledge is closely intertwined with the history of colonization, which involved a disregard of local knowledge while advancing Western knowledge. Furthermore, indigenous knowledge is often surrounded by mystique and passed on informally to selected individuals in the society. There is some level of latent resistance among holders of IK to make their knowledge fully public.

3.1.6 Constraints to integrating IK in policy debates

Some people view indigenous knowledge among the Nganyi as spiritual or mystic knowledge, and hence not tractable. It is controlled by a few members of the community who hold it as privileged information. The PAR project has created a forum to try to demystify and document indigenous knowledge. There is also need to document and formally organize the knowledge so that it can be mainstreamed in the national climate risk management systems. The success of the PAR can be used as a flagship case to lobby the mainstreaming of IK in the national policies.

3.1.7 Preliminary policy spaces

Some of the policy spaces that may be available include:

The success of the PAR can provide an opportunity in itself to lobby for mainstreaming of IK in policy processes

RANET project under KMD, providing localized weather information transmission in local languages.

5 http://www.meteo.go.ke/ranet/index.html

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The joint preservation of the shrines by the NMK and community as a national heritage to ensure knowledge is preserved for the posterity.

There are several ongoing climate policy process in Kenya that provide an opportunity for introducing and ultimately integrating IK in the national policies (such as the National Climate Change Response Strategy, NCCRS)

3.1.8 Q&A

It was observed that the role of IGAD/ICPAC has not been incorporated in the discussion. It is the same with the role of National Council of Science and Technology. ICPAC is

The shift of paradigm has been across different means of livelihoods. We need localised predictions that are married with national policies.

What practical outcome indicators have you noted in the process of Indigenous Knowledge (IK) integration that can fast track the process? (Bernard Abong‟o). The team needs to do a stocktake of the outcome mapping indicators.

Have you considered the fact that IK indicators will be changing as climate will be changing as well? (Kassim Kulindwa). The team will be updating the indicators so that they are in line with the changes. The reviews will help to keep track of the indicators and make adjustments where necessary.

3.2 Case study: Understanding policy processes in water and land use management among agro-pastoralists in northern Kenya

The case study was presented by Lydia Ndirangu, KIPPRA. The study aims at establishing constraints and opportunities for the integration of local evidence in pastoral livelihood systems into formal policy-making processes. The study is being undertaken in Turkana District in Northern Kenya. The project builds on the PAR project “Enhancing Adaptive Capacity of Pastoralists to Climate Change-induced vulnerability in Northern Kenya”. The PAR project partners are Practical Action, National Environment Management Agency (NEMA). Kenyatta University.

3.2.1 PAR Findings

There are a number of promising local adaptive responses which are not supported by the existing policy frameworks. PAR researchers feel that there is need for increased understanding of the opportunities and constraints that may hinder integration of such evidence into policy-making processes.

3.2.2 Scope of RPA Study and approach

The research is undertaken at two sites, with agro-pastoralist and pure pastoralists. The study has adopted a top-down and bottom-up approach in mapping out actors and institutions, their associated narratives and interests in order to identify policy spaces and barriers to policy influence.

Top-down approach: Policy content analysis. This included interviews with policy makers in order to identify existing or lack of policy statements and measures put in place to facilitate policy implementation

Bottom-up approach: Interviewed actors in formal and informal implementing institutions where adaptive decisions are made. The aim was to assess the relative importance of the prevailing policies as a constraint or facilitator on decision making process at local levels, as well as identifying what drives practice

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3.2.3 Mapping of the adaptation policy context

National level policies include the Water Act, Draft land policy, Environment Management and Co-ordination Act, River Basin Development Authority Acts (various), Forest Act and Agriculture Act The study finds that poor integration of land and water use issues at planning stage resulting in duplication of projects and efforts. This often leads to sector conflicts and confusion among stakeholders. Local level:

Formal strategies: There are several measures, but the key ones are Water Resource Users Associations (WRUAs) provided under the Water Act

Traditional land and water use management: Pastoralism itself has been a way of adaptation but climate change making it untenable

3.2.4 Traditional Systems of land and water use management

Land is held in trust by the local councils. The narrative is that land is communally owned and it is therefore difficult for a Turkana to conceptualise private land ownership. Closest there is to private ownership is the „Ekwar’. This is land allocated by community to a family for production of folder. The family has exclusive access to such land. However, climate change, population growth and urbanisation are all impacting on sustainability of Ekwar. Another traditional method is the adakar‟ system of land management. This involves systematic movement of the pastoralists under the guidance of a renowned warrior called „Emuron‟. Emuron are traditionary very powerful and considered seers. They determine areas that should be grazed in wet and dry seasons. Insecurity and climate change are undermining sustainability of adakar system.

3.2.5 Conflicts between local practices and sub-national/national policies

Conservation efforts conflict with the pastoral system of nomadism. With land being held in trust by the local councils, there are no clear boundaries between where community responsibility starts and where that of the government ends. In addition, the local communities are not well versed with the formal land policy making processes. Communal land ownership makes it difficult to initiate development projects as some communities are suspicious about such initiatives. The Emuron can especially, interfere if not consulted and convinced about the benefits of a project. Diversion of water for cultivation during dry spells by agro-pastoralists against water resource management regulations. Institutional weaknesses, e.g. at the district level, the WRUAs and WSB take instructions from the head office bypassing the District Water Officer (DWO). However, water policy issues rests with the ministry and not the WRUAs/WSB.

3.2.6 Spaces for Policy Influence identified by policy makers and implementers

District steering group meetings: An invited and a bureaucratic space. A weakness here is weak grass-root representation. It is not clear who is responsible for passing on the recommendations of the DSG to the national level. Even when channelled to the national level, no action seems to be taken

The Interim National Boundaries Review Commission: Invited space. The land boundary related issues MPs have a lot of influence.

The Ministry of Water and Irrigation: A bureaucratic space available through WRMA and Catchment Advisory Committee

Frontline extension workers- Practical space - provides an opportunity for local people to influence policy. Weakness: The vastness and remoteness of Turkana constrains coverage and therefore policy/practice influence

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3.2.7 Identified spaces by the community

Media platforms

FBOs: Trusted, by the communities, have a good working relationship with government; they have resources to implement their programmes and have demonstrated commitment over the years. They participate in the invited policy space, the bureaucratic space and the practical space

NGOs: provide an effective practical space. They have a close association with local communities and therefore can pass down government policy messages and voice community policy concerns

Educated locals

Water User Associations

3.2.8 Q&A

How are the findings from the PARs feeding into policy spaces for policy engagement? (Blessings Chinsinga). Practical actions (visiting the sites) have been helpful in influencing the policymakers. The problem is that of logistics. Policy-makers are mostly reached by phone because they are practically not available for one on one discussion. They are working closely with the District Steering Committees which have also been instrumental. As they are local, they can also be used to influence national policies.

3.3 Case study: Adoption of weather information generation, packaging and dissemination in Tanzania

3.3.1 Introduction: PAR research and RPA value addition

The case study was presented by Kassim Kulindwa. This project is the outcome of the implementation of the client PAR project entitled Managing Risk, Reducing Vulnerability and Enhancing Agricultural Productivity under a Changing Climate. The overall objectives of the PAR project are to reduce vulnerability of the marginalized, to safeguard livelihoods, to increase flexibility in the management of vulnerable systems, and to enhance adaptability of smallholder farmers in the Greater Horn of Africa to face the challenges posed by climate variability and change.

3.3.2 Study Process

So far the study has involved (1) Review and development of case studies (after engaging with the PARs), (2) Design of study instruments, (3) Identification of stakeholders (in addition to the PAR and

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their boundary partners), (4) Field visits in Same, and consultation and engaging with PAR, communities, District and national level stakeholders, and (5) Report writing and sharing with the PAR and IDS for comments.

3.3.3 Policy Context

There are multiple interests driving policy in Tanzania. Before the 1990s, policy processes were monopolised by government and more linear and predictable. After the 1990s, policies began to have the look of national policies due to being participatory but at the same time also becoming more complex, multidimensional and unpredictable.

3.3.4 Narratives

Agricultural slogans: „Agriculture is the backbone of the Tanzanian economy‟; Siasa ni Kilimo (Politics is Agriculture); Kilimo cha Kufa na Kupona (Agriculture is a Matter of Life and Death). These slogans have recently been replaced by „kilimo kwanza’ (Agriculture first), which has been criticized by many as providing little new compared to the earlier slogans.

Climate change slogans: Climate change is real and has huge impacts on developing countries (NAPA). Climate change adaptation in the agriculture sector has a huge potential for avoiding food shortage (President). Weather forecasting has an important role for early warning (Director Division of Food Security)

3.3.5 Politics and Interest

The political position and institutional interest in climate change adaptation of most surveyed institutions draws from the national government position on climate change. Climate Change is a national priority, along with the current agricultural revival in the form of „kilimo kwanza‟. The district commissioner sees it as supporting district efforts to food security.

3.3.6 Findings: Actors and Institutions

PAR researchers‟ ambition is to successfully accomplish the project

Tanzania Meteorological Agency partners are interested in improving the effective weather information delivery

SAIPRO (Same Agricultural Improvement Program Trust Fund) works to improve food situation in

erratic weather areas of Same District. It sees the project as an opportunity to empower farmers and supporting their activities in the district

The Food Security Division of MAFC (Ministry of Agriculture and Cooperatives) is interested in improving the early warning system

3.3.7 Policy Spaces

Identified spaces are mainly practical, invited and bureaucratic policy spaces (including lobbying). Practical spaces include farm demonstration plots and pilot projects. Invited spaces include attending various meetings through invitation by NGOs e.g. policy fora, the Agriculture Working Group of the Development Partners, and the Agriculture Sector Consultative Group. Bureaucratic spaces are available through MDA processes, e.g. District Full Council and the Regional Consultative Council (RCC).

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3.3.8 Q&A

What narratives can be attributed specifically to this project and what narratives are general and do exist even without this project? (Ronald Mangani). The narratives have been there, but maybe it is just that now some are more dominant than others. The events unfolding in the environment (including the PAR) contribute to the determination of the narrative, that is to be more dominant than others. For example, kilimo kwanza may be dominant now because Tanzania is holding elections next year.

What invited spaces were explored/ initiated by the project and which ones already existed minus this project? (Ronald Mangani)

Did you explore the competing narratives to the ones you have? (Emily Polack). There are competing narratives, which will be discussed in the actual paper.

Comment (Emmanuel Mpeta). African Ministers have made a political commitment to make sure that timely meteorological services are provided. Their commitment is on making policies that are conducive to the provision of meteorological services.

3.4 Case Study: Mainstreaming Agrometeorological Advisory Services into the National Agricultural Policy in Kenya

3.4.1 Introduction

The case study was presented by by Joshua Laichena, KIPPRA (Kenya). The client CCAA PAR project is the Kenyan component of the project Managing Risk, Reducing Vulnerability and Enhancing Agricultural Productivity under a Changing Climate. The project is implemented by Kenya Meteorological Department in collaboration with KARI, MoA, ICRISAT and local community which has focused on agromet advisory services through forecast bulletins. The project is based on the premise that agriculture plays a major role in Kenya‟s economy and livelihoods of its people. The kind of agricultural activities undertaken and their success is however dependent on, among others, the soil and climatic/weather conditions prevailing in an area. In this regard, weather/climate conditions and patterns tend to influence the geographic distribution of agricultural practices in the country.

3.4.2 Policy Context

The current policy and institutional framework does not support provision of agro-met services for climate information. Historically, the Kenyan Meteorological Department (KMD) has a mandate for providing climate information, but it has had a bias toward aviation rather than agriculture. Agriculture and associated sectors have been inadequately served. The case study is geared towards understanding why agromet services development has not been effective; who are the actors, their interests and influence on policy processes; and the policy gaps and pathways that can be utilised in mainstreaming agromet weather advisories into the national agricultural policy.

3.4.3 Politics and Interest

In Kenya the agricultural policy formulating process is influenced by various factors, among them the partisan powers of the president; the linkages between ethnicity and agricultural production; the quest for rent extraction and patronage by favoured groups/individuals, and the expectations of accessing donor funds rather than on evidence based formulation process. For many years after independence, the government was the main actor until the introduction of agricultural reforms in the 1990s. The reforms brought about the involvement of other stakeholders such as the parliamentary caucuses; the donor community; and civil society organisations playing a major role in empowering grass root

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organisations, sourcing finances and advocating for issues that affect their members to be considered in policy formulation. The process is becoming increasingly consultative, especially after the introduction of the District Focus for Rural Development strategy. A number of stakeholders (parliamentarians, professionals, private sector, trade unions, financial institutions, industrialists and ASAL representatives among others) are therefore influencing the policy environment and a number of policy processes have been formulated based on this involvement e.g. the Economic Recovery Strategy for Wealth and Employment Creation (ERSWEC) and the Strategy for Revitalising Agriculture (SRA).

3.4.4 Actors and Institutions

The study found that there are many institutions/organisations dealing directly or indirectly with climate change at national and district levels. They have interventions in areas such as water conservation and management, soil fertility management and conservation, information dissemination about climate change impacts, research, relief, community development, advocacy, as well as crop and livestock production. Hence, their interests vary across the board. While many may not be aware that their activities are geared towards climate change adaptation, it would be crucial to enhance collaboration for sharing and supplementing each other‟s activities to avoid duplication. The main actors are the Ministry of Agriculture (for extension services), KARI (agricultural research), and KMD (for meteorology aspects). Other relevant actors are: Universities for capacity building and research, ALRMP; the Catholic Church; DRSRS for remotely sensed data acquisition, the media especially national stations for disseminating information; NGOs for advocacy, funding and mobilisation of people to act e.g. Action Aid, World Vision, Practical Action; and WMO for capacity building and research. At the local level, there are a number of actors involved in one way or the other in climate change and agromet services development. They include the CBOs, government departments at district and divisional levels, CDF, local leadership, provincial administration, NGOs, development associations and farmers groups. Despite the existence of a number of actors who can play major roles in agromet advisories and climate change, the study has revealed that there are currently very few champions, either individuals or institutions. This is probably due to the fact that agrometeorology has been inactive in Kenya for many years. Nevertheless, the study identified a few individuals and institutions that could be explored in championing agromet services in the country. They include the KMD, KARI, Ministry of Agriculture through its PS and Minister, the Prime Minister, Members of Parliament (MPs), the Catholic Church, KEPSA, KENFAP, ALRMP, European Union, World Bank, Office of the President, OXFAM. At the local level prominent farmers who through their farming activities, advocacy, technology adoption, and training of other farmers can be of considerable contribution.

3.4.5 Policy Spaces

There exist a number of pathways that can be used to influence policy making process to mainstream agromet services in Kenya. These include:

Seeking for presidential decree or executive authority where the president declares the need for having a certain policy in place.

Introducing private member‟s bill/motion in parliament

Through a national umbrella bodies such as the Kenya National Federation of Agricultural Producers (KENFAP).

Through Central Agricultural Board (CAB): This is a national level forum in the MoA that is chaired by the Minister in charge because some of the issues discussed require gazettement. Though it

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operates on top-down approach, it still provides a great avenue where touchy matters can quickly be considered within the policy environment.

Provincial Agricultural Board (PAB): This holds quarterly meetings with participation of DAOs, institutions under agriculture, Provincial officers, and PS in the MoA.

Quarterly provincial management meeting for the National Agricultural & Livestock Extension Programme (NALEP) which brings together managers in the livestock, agriculture, water and other related sectors to discuss matters of agricultural development. Its recommendations can therefore serve in promoting agromet services in Kenya.

District Steering Group (DSG), District Development Committee (DDC) and Sub-district and District Committees (Sub-DAC & DAC)

Extension service channel, the Church, the Media, Political leadership, NGOs, Stakeholders‟ forum and District Environmental Committee (DEC)

Other pathways include the provincial administration, professional bodies, civil society, farmers groups, field days/demonstrations and agricultural fairs and exhibitions

3.4.6 Challenges and Conclusion

The provision of agromet services have various requirements among them appropriate policy environment, collaboration between actors, effective interpretation and dissemination of forecasted information in ways that it is easily understood by end users in their applications. An analysis of the Kenyan situation, however, revealed that its development has lagged behind. There are a number of constraints, including:

lack of coordination;

ineffective information interpretation and dissemination;

limited capacity to handle agromet advisories effectively;

bias towards aviation rather than agriculture;

inadequate data gathering and information dissemination mechanisms;

lack of awareness of the relevance of agromet services in the midst of climate change;

lack of policy to coordinate the implementation of agromet services since the policy making process is lengthy and cumbersome;

Agromet services are not well known and understood by actors in the agricultural and climate change sectors and therefore only a few actors have direct interventions geared towards agromet development.

3.4.7 Q&A

Could you clarify on the power matrix especially on who was involved in categorising who has high influence (Power) and low influence (Power) (Emily Polack). The PAR teams and the people themselves were involved in the ranking of actors on who has much power and influence than others based on their experiences and perceptions.

How was power conceptualized? (Emily Polack). Power not being zero-sum game and that is why we have high and low influence and power.

Observation (Paul Guthiga). In the power and influence matrix, some institutions have power as far as knowledge is concerned but not necessarily influencing policy directions. Such institutions can only serve as suppliers of information (advisors). For instance, Kenya Meteorological Department has information but it operates within a ministry hence it is constrained.

What have the PARs done already and in your opinion, have they been successful or not? (Lars Otto Naess). This will need going through literature/reports from PARs.

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3.5 Case study: The adoption of malaria epidemic prediction model (MEP) for reducing malaria incidence in Tanzania

3.5.1 Introduction

The case study was presented by Natu Mwamba. The PAR project which the case study is based on is working to adapt the Malaria Epidemic Prediction (MEP) model to the Tanzanian situation. The MEP model was first developed by the Kenya Medical Research Institute (KEMRI) in 2001. The model uses climatic factors to detect an epidemic 2-4 months before its occurrence, thus providing sufficient lead time for interventions. It combines climate observations with medical research to better predict the onset of highland malaria outbreaks in Kenya, Tanzania and Uganda. The model has been tested and validated in some parts of Kenya and Tanzania.

3.5.2 Objective of the client Participatory Adaptation Research project

to transfer the MEP model to end users in East Africa and specifically sensitize major stakeholders

to enhance the capacity of policy makers to be able to use the model to develop useful early warnings of malaria epidemics

to enhance the capacities of vulnerable communities and groups to respond to these early warnings

3.5.3 Narratives and evidence

There is clear evidence that climate change will result in increased malaria incidence in highland areas of Tanzania, and the health sector has therefore been identified as a key vulnerable sector in Tanzania. The National Health Policy (2007) on prevention and control of endemic, epidemic and pandemic diseases has formulated special control programmes against malaria and other vector-borne diseases. One of the expected outcomes of the NMCP (National Malaria Control Programme) Medium Term Strategic plan 2008-2013 is to have an effective early detection and rapid response to malaria epidemics. These narratives are manifest in important national documents (NHP and NMCP Medium Term Strategic plan 2008-2013), which provides a platform for entry of the MEP model in the prevention of the malaria epidemic. The government asserts that malaria is the number one killer and therefore more effort needs to be exerted to eradicate it. Anti-malari slogans such as “Malaria Haikubaliki Tushirikiane Kuitokomeza” which loosely can be translated as “Malaria is unacceptable, working together we can eliminate malaria” is part of an anti-malaria campaign supported by the Tanzanian President, Jakaya Kikwete. The campaign was launched by the Tanzania MoHSW (Ministry of Health and Social Welfare) through a concert called Zinduka! (“Wake Up!”), aired live in TV and radio and also captured by print media. As the policy processes needs actors to be on the right place at the right time to be able to influence the process, this presents a good opportunity for the recognition of the MEP model in Tanzania. However, there is a distinct group of actors who are not in favour of the anti-malaria campaign because they see it as commercially driven, especially the use of Insecticide Treated Nets (ITN) and Indoor Residual Spraying (IRS).

3.5.4 Politics and interests

The President Tanzania, Hon. Jakaya Mrisho Kikwete, who is also the Head of the African Leaders Malaria Alliance (ALMA), launched and supports the Malaria Haikubaliki campaign in Tanzania.

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ALMA is a unifying agency meant to bring African leaders together to raise global awareness and support for the fight against malaria. The Tanzanian campaign is unique because it recruits advocates from all sectors, including business, sport, entertainment and religion. The politics and interests of the community at large have been highly stimulated because the campaign is supported by the National leader. In recognition of the importance of climate change the VPO (Vice President‟s Office), Directorate of Environment, is now mandated to present it to the NAPA annual implementation progress report for discussion at the Inter Ministerial Technical Committee (IMTC) and the cabinet. In order for the MEP model be accepted at district, regional and national levels it is of great importance to be officially known by the DMO, RMO and CMO as those offices are the initial paths for policy process. Support provided by Former US President Malaria Initiative, Bill and Melinda Gates Foundation, Global Fund, World Bank and others elevate Tanzania politically across the globe and therefore there is a great likelihood for more funds channeled to continue support in fighting the scourge. The PAR researchers had encountered resistance from a certain donor agency. They later found out that the country where the donor agency originated had scientists working on a (presumably competing) malaria prediction model.

3.5.5 Institutions and actors

The MoHSW provides the policy guidance for the Health sector. The Division of Health Promotion and Education system at the MoHSW focuses on risk communication, and has an advocacy role to the district council, regional and national levels and also to the politicians, especially the social welfare parliamentary committee. The power dynamics between the members of parliament and the cabinet ministers may sometimes not fully correspond.

The IHI (Ifakara Health Institute) works on health systems and is interested in environmental change, natural resource management and vulnerability to diseases such as malaria. The institute is very good at traditional trials and has been instrumental in the adoption of the current frontline malaria drug use. IHI has shown interest to be part of the pilot testing phase.

WHO is responsible for providing leadership on global health matters, shaping the health research agenda, setting norms and standards, articulating evidence-based policy options, providing technical support to countries and monitoring and assessing health trends. WHO can assist the MEP model in the formulation and development of the M&E guidelines and can also go to the field to ensure the rolling out process is done correctly.

The NMCP coordinates the malaria national initiative and it is willing to take part in the pilot testing phase. TMA is a very important boundary partner as it provides crucial climatic data for the MEP Model. The desire is to have TMA mainstream the climate data collection in its strategic plan for sustainability purposes.

The VPO is the custodian of the NAPA initiative and are now obliged to present the annual implementation process of the NAPA activities to the IMTC and finally the cabinet. Once the scientific community approves and accepts the MEP model, then next will be to up-scaling the model by piloting it at different areas for a period of time and finally packaging and dissemination of the model.

3.5.6 Policy spaces

The importance of using of workshops and seminars for policy makers has been underscored. This Bureaucratic policy space takes onboard the policy makers before a drafted bill/act reaches their offices

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The Parliament is an important policy space the project can utilize because the MPs whose constituencies are mostly affected will pressurize the authorities to take action. The VPO-Division of Environment can use this platform to sell the model when they present the NAPA.

The MEP project researchers can utilize the conceptual policy spaces whereby they meet other scientists in conferences, workshops, seminars and present their research results to the scientific community.

The media is another effective way of information dissemination. In March 2010 African journalists met in Dar es Salaam under the African Media and Malaria Research Network (AMMREN) and supported by the In-depth Effectiveness and Safety Studies of Anti-malarials in Africa (INESS

6). The African journalists promised to use their pen and voices to support the

scientific world in their „holy war‟ to eradicate malaria.

Such a forum can be an effective policy space for the presentation and to publicized the MEP model

3.5.7 Challenges

The major challenge for the implementation and up-scaling of the model is financial resources. At the moment the MEP model is funded by the IDRC project on CCAA which ends in 2011. The pilot testing phase will need reliable financial resources which are a constraint.

NMCP has no linkages to the NAPA. The strategies that were developed by the NAPA are not coordinated to what the NMCP has in its strategic plan.

The challenge that TMA faces is that they provide data and information on large areas (zones) which is not very meaningful for different sectors and users.

3.5.8 Q&A

Key issues raised in the discussion include:

The model being a solution to malaria is commercially driven.

The model should first be understood by internal players. It seems that many internal players have not fully understood the issues in the model that is being used.

3.6 Case study: Adoption of the climate based malaria epidemic prediction model (MEPM) for reducing malaria incidence in Kenya

3.6.1 Introduction

The case study was presented by Oswald Mashindano. The case study is based on the Kenyan component of the Malaria Epidemic Prediction (MEP) model (see section 3.3). A basic premise for the project is that climate change has altered weather and climate patterns, particularly rainfall intensity, rainfall distribution, temperature and humidity, thus increasing mosquito breeding ranges and consequently the risk of malaria transmission and epidemics. Mosquitoes now breed in the highlands where malaria was uncommon before. Malaria cases has increased by 300% in Kenya during 1997 -

6 INESS provides independent advice to policy makers in African countries and international level in relation to

anti-malarial policies

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98 epidemic (El Nino); 7 mill (23%) of Kenyans live in 15 Highland Districts which are at risk with malaria epidemics. There have been a number of responses in Kenya, including the establishment and strengthening of related Institutions, including NMCP, DOMC, and KEMRI, as well as the development of the climate based MEP-M such as the Andrew Githeko MEP-M by KEMRI.

3.6.2 Policy Context

Prior to the mid 1980s (economic and political reforms) and multiparty system, policy processes were mainly dictated from the center with limited participation of stakeholders, limited resistance and checkpoints, and mainly linear policy processes. Today, policy formulation involves wide consultation as an aspect of the democratic process, despite the fact that it is not without its problems

3.6.3 Narratives and Evidence

In Kenya, narratives have been guiding research programs and policy processes. A Joint statement by the Ministries of Public Health and sanitation and the Ministry of Medical Services that implementation of the previous National Malaria Strategy 2001 – 2010), the National Health Sector Strategic Plan (NHSSP II 2005-2010) and the Economic Recovery Strategy (2003 – 2007) has led to increased delivery of malaria control interventions. As a result of these achievements, Kenya is currently witnessing a general decline in malaria morbidity and mortality. These stories have stimulated more initiatives where the government has resolved to sustain these gains and scale up the interventions, in order to achieve the Global Malaria control targets of 2010 and MDGs targets and possible malaria elimination in the future.

3.6.4 Politics and Interest

Politicians are the most powerful and influential actors in Kenyan policy making process. The elites are sensitive and cautious to change. As a result, Kenya has been experiencing a long time lag before any research finds its way and influence existing policies. However, policy changes which serve the elites‟ interest will be fully supported.

3.6.5 Actors and Institutions

Policy Makers and Ministries, Departments and Agencies (MDAs)

The Parliament

PAR Boundary Partners (COHESU)

Researchers and Academia

Media

Development Partners (DPs)

3.6.6 Policy Spaces

Some opportunities have emerged in Kenya to allow policy spaces to open up and new actor networks to be created over time. The PAR Researchers‟ navigation through such policy spaces must bear in mind and consider the interests of different actors and champions along the way. These actors and champions come from different backgrounds, different political parties, and represent different constituencies, and therefore will have different expectations and interests which must be taken in to account to be able to win their sympathy and support.

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3.6.7 Challenges and Conclusions

The PAR has not been involving some of the key actors in the process

Publicity and validation of MEPM has therefore taken longer than needed

A number of pathways and policy spaces which PAR can make use of are available in Kenya

Non linear policy process dominates the linear process

3.6.8 Q&A

Questions that were addressed include:

What was the Baseline testing of MESP and validation of MEPM?

In your opinion, how do you think the climate change variability affected the mosquito breeding process?

How is the team taking into account the policy processes analysis consideration that the British media has bashed the model. Need to check with the PARs themselves.

To the whole group: what’s our understanding of narratives in our teams? This question was discussed turned into a group assignment (see below).

What are the challenges arising from this project? Scientists were really scientists by taking traditional approach of research; very technical and few understand the scientists. The scientists themselves argue that if they are to have their results accepted by the scientific fraternity, they need to be rigorous with scientific processes.

3.7 General discussion: What are we drawing out from the case studies?

(l-r): Joshua Laichena, Kassim Kulindwa.

After the case study presentations, there was a general round of discussion of some common elements and challenges around the case studies. Some of the main issues that came up during the discussion include:

The understanding of narratives as applied in the case studies seems to differ among the RPA researchers. A follow-up session on the understanding and analysis of narratives will follow to get a better handle of the narratives for each of the case studies. We need to understand the actor networks with their narratives. The narratives are not static and as such, the alliances of actors will keep on shaking up with time depending on the views/interests being held at that particular time.

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Discussion of the interface between the Policy Researchers studies‟ and wider PAR case studies is missing. The cases were developed as a tool to understand or study the wider PARs. They were supposed to feed into the understanding of the PARs. The engagement with the PARs by the Policy Researchers is supposed to be done in a participatory manner around the case studies.

As researchers, we should not take things for granted. We need to have good evidence to convince others that the results are really good. Pictures need to be backed up. The success of the PARs will influence politicians in the way policies will be formulated.

Evidence alone is not enough, however. According to the presentations, the Malaria model is a success, but why is the media continuously bashing it on the basis of lack of scientific evidence? The project aims at understanding this politics of pushing policy agenda. There are many good polices around but they fail to pass on the basis of other factors not that they are lacking evidence. The project aims at making the PARs understand that sometimes it is not that you need good results and evidence, but you also need to get your politics right if you are to push your results/evidence into policy discussions. Good results are necessary to influence policy direction, but not sufficient alone for policy makers to make policy moves. We need to explore and understand other factors if we are to push for major policy moves.

3.8 Presentations and discussion on the narratives for country case studies

3.8.1 Risk, vulnerability, and productivity in Tanzania

1. Agriculture first, Kilimo kwanza. Agriculture is the backbone to the economy of the country. This programme is supported by the Prime Minister. Counter narrative is that it is only a political slogan without real meaning, and that it is mainly a tool for use in the election campaign.

2. Climate change is real and has huge impacts for developing countries (NAPA), and urgent support is needed.

3. Climate change adaptation in the agricultural sector has huge potentials for avoiding food shortage (president)

4. Weather forecasting has an important early warning role- (MAFC). Counter narrative: there are very high uncertainties in the seasonal weather forecasting models due to spatial distribution around weather parameters.

3.8.2 Crop diversification case study in Malawi

Key narratives 1. Crop diversification is key

To cushion against Climate vulnerability

To ensure food and nutrition security. 2. Need to improve productivity on small farms

Through intercropping and crop diversification

Will improve soil quality 3. Crop diversification narrow hence need to go for livelihood diversification

irrigation

access to loans

livestock production

off-farm employment and income generation 4. Irrigation in drought-prone areas

key for crop diversification

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Green-belt initiative??? Counter-narratives 1. Market failure an impediment

Market for fruit in Mulanje?

Dairy farming of small ruminants in Chikhwawa?

Market for millet and sorghum? 2. Dignity of maize-based meals 3. Food security is equated to maize

Political view

Local view

3.8.3 Indigenous knowledge and climate change in Kenya

1. Indigenous knowledge is superstitious and backward/primitive. 2. IK is controlled by men: married men with at least two wives, passed on to sons (cultural barriers) 3. Reluctance to share IK knowledge with outsiders, especially women 4. IK confers the holders of the knowledge with a privileged position in society (It has economic

incentives) 5. 11 Nganyi sub-clans; each makes prediction and build consensus among themselves guided by the

leader (Chairman). 6. Pastoralism is backward, sedentary livelihoods are better. Counter narrative: It is an adaptation to the climate conditions 7. In pastoral areas land is communally owned; it cannot be allocated for exclusive use by individuals

3.8.4 The adoption of the MEP model for reducing malaria incidence

Narratives 1. National Health Policy (NAPA and NMCP) acknowledge the importance of effective detection and

rapid response to malaria epidemics 2. The government asserts that Malaria is No. 1 killer and therefore more effects need to be exerted

to eradicate it. 3. His Excellency the president of URTZ supports the anti-malaria campaign 4. WHO supports counters devising ways to cope with temperature changes

Who assists countries to improve preparedness, early recognition and effective early warning systems

Counter narrative The model is too simplistic (WHO). It is a weak model. Weaknesses include that it has few averaged parameters, and as such the model not robust enough. It lacks epidemiological parameters/patterns (Need other parameters), and it lacks minimum temperature data.

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4 Day 3 - Wednesday 28 April

Building on the previous day‟s discussion of narratives, participants split into groups to refine the discussion on the actors, interests and policy spaces. The group work was followed by plenary feedback and discussion. The following tables present a brief summary of each of the groups‟ feedback presentation. Tanzania and Kenya Malaria Epidemic Prediction (MEP) Model (summary)

Narratives Actors Interests (stated) Policy spaces

Effective and timely response to malaria epidemic will reduce the risk of malaria incidence

WHO, NMCP, (NIMR), Bill and Melinda Foundation, The Global Fund, Population Service International, Ministry of Health and Social Welfare, VPO

Early warning, control and elimination of malaria

Invited, practical, popular, conceptual, bureaucratic

Counter Narratives (model too simplistic, weak-few parameters, site epidemiology specific etc)

WHO and HIMAL (Researchers from London School of Tropical Medicine and Hygiene

Early warning, control and elimination of malaria; Superiority of Competing Models, employment

-

Indigenous knowledge and climate change (Kenya) ACTORS ROLE INTEREST POLICY SPACES

Nganyi Custodian of IK Climate prediction using IK for local decision making

Integration and harmonization of IK in KMD weather prediction (replication in other areas), Resource Center (practical spaces for showcasing

ICPAC Convener of PAR project Regional monitoring weather extremes

Helping IGAD countries to cope with extreme weather conditions

PAR Project Demystifying and documenting Helping communities

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IK Integrating IK and modern weather science Capacity building level (action research)

cope with changing climate

IK), Political goodwill of the local political leadership, Regional climate outlook forum (IGAD) to give opportunity for showcasing IK, and Western Kenya tourist circuit to provide visibility to the Nganyi culture and IK knowledge.

KMD-Nairobi KMD-Provincial Office

Scientific prediction enhances communication at local level

Climatic predictions

National Museums of Kenya

Identification and of conservation species Preservation of unique sites

Fulfilling their legal mandate

Local Political Leaders (MP, Speaker of the National Assembly)

Political support fundraising, e.g. raised funds for construction of community resource center.

Political support Political influence

Universities (University of Nairobi, Maseno University and GLUK)

Research and documentation Research/document/capacity building

Line Ministries (Agriculture, Health, Local FM radios, Local administration, Environment and Mineral Resources, Culture and Social Services)

Service provision e.g. information dissemination

Fulfilling government mandate

National Museums of Kenya (Kisumu Office)

Identification of new species Preservation of unique sites

Identification of new species Preservation of unique sites

Malawi case study: Crop diversification ACTORS INTEREST POLICY SPACES

Ministry of Agriculture and Food Security (Head Quarters and District Agriculture Development Officer)

Food security

Cushioning against Climate change and Vulnerability

Profession/career

Livelihood diversification (commercialization)

ADP (living document)

CAADAP processes

Green Initiative

DEC meeting/DDP process

NCG

NGOs (Evangelical Association of Malawi, Africare)

Food security

Cushioning against Climate change and Vulnerability

Poverty reduction

Impact for further funding

DEC meetings

NCG meetings

PAR/RPA meetings

Media

Local Communities (farmers, traditional leaders, religious leaders)

Food security

Cushioning against Climate change and Vulnerability

Livelihood diversification (commercialization)

Stakeholder panels

Village Action Plans and Area meetings/DDP process

Field days

Stakeholder panels (district, area, village)

Food security

Cushioning against Climate change and Vulnerability

Agricultural transformation

DEC meetings/DDP process

VAP and Area meetings/DDP process

Researchers (PARs, Research scientists)

Food security

Cushioning against Climate change

Conferences

Publications

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ACTORS INTEREST POLICY SPACES

and Vulnerability

Agricultural transformation

Livelihood diversification (commercialization)

Capacity building (scholarship)

Policy briefs

NCG meetings

Politicians Food security for votes Parliamentary committee on Agriculture and food security

Ministry of Agriculture and Food Security through subsidy program, ADP & CAADAP

Civil society advocacy

Media

NCG meetings

Local communities (farmers, traditional leaders, religious leaders)

Food security for subsistence Stakeholder panels

VAP and Area meetings/DDP process

Field days

4.1 Plenary discussion

4.1.1 MEP model for Tanzania and Kenya

Comment (Andrew Abong’o) IK is that of Africa origin which has been thought to be primitive. However, IK is useful to Vector biologists, Clinicians and Epidemiologists.

Are there major differences between the Tanzania and Kenya model? (Lars Otto Naess). There are no major differences.

4.1.2 Malawi’s case of crop diversification

Observation: Who said what is important in understanding the implications of narratives. (Kassim Kulindwa)

Are constraints narratives? (Kassim Kulindwa). They could be narratives so long as they are coming from the respondents (that is farmers in this case) and they are a basis of engagement with the policy makers and drawing of implications. Some narratives have implications on the working relationships between the external and internal actors of the community. Some narratives

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in the case if Malawi can be addressed by internal solutions whist other narratives need external solutions.

4.1.3 Kenya’s cases of IK and pastoralists

What are the policy issues from the narratives? (Marriam Joshua). Land owned by the pastoralists in communal.

Who says pastoralism is backward? (Marriam Joshua). The elite view pastoralism as backward. But the elite are coming to understand that pastoralism is the means of survival for the pastoralists which they have relied upon through out heir life.

Is it not a stylized fact to say ‘in pastoral areas land is owned by the community as such it cannot be allowed for exclusive use by individuals?(Ronald Mangani). Land becomes an issue when you are considering the agro-pastoralists in the discussion. Agro-pastoralists want to privatize land which is against the thinking of non-agro pastoralists. Agro-pastoralists are more commercial than non-agro pastoralists hence have the motive of maximising private interests.

4.1.4 Kenya’s Case of risk, vulnerability and productivity

Observation: The counter narrative „uncertainties due to spatial distribution of weather parameters‟ is also a counter narrative to the narrative „Kilimo kwanza‟ (Agriculture first). Kilimo kwanza is even strongly supported by the Prime Minister.

Observation (Andrew). Many things are now first priority as deduced from politicians talks/debates. What is really first because we have Health first, Agriculture first, and Education first.

4.2 Discussion on the conceptual framework

The goal of this session was to revisit the conceptual framework for the project in light of the case study presentations and the discussions over the past two days. Participants split into groups and discussed the key strengths and weaknesses as they saw them in each of the case studies. The table below provides a summary of the key points that was raised by the groups. Strengths Weaknesses

The conceptual theory unpacks complex interactions very well.

It brings out main key players in policy processes.

It represents complex policy interaction.

It provides a useful conceptual framework for addressing/analysing policy problems.

It shows interaction between different actors in the policy processes.

It can be used to explain anything. The conceptual framework is a “prostitute” (both a strength and a weakness)

It assists in thinking about the narratives, identifying the actors associated with each narrative. Matching each narrative to the actor and the interest helps us identify the convergence point. It is only at point of convergence that we can start influencing policy.

It indicates the policy direction on which actors can engage.

The conceptual framework does not explain causality.

It does not provide information on how to change the components of the framework, e.g. how to change narratives or power relations.

It is not in itself able to capture or explain complex latent relations. Institutional politics/interest may differ from those of departments or individuals within it (though this is captured through the actors/networks dimensions).

The conceptual framework is a “prostitute”. It can be utilised to explain anything (both a strength and a weakness)

May not be dynamic enough to capture changing relationships between actors, the politics/interests, narratives, and moving targets

Identifying/separating individual interests from those of the institution is time and financing resource consuming.

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Assumes interests and politics are static. This is being too simplistic with the dynamics of interests and politics.

The interaction between formal and informal policy processes not well captured by the conceptual framework.

Leaves out the role of institutions as rules of the game

Fails to capture a whole range of policy spaces particularly those bordering on informality.

4.3 Engagement strategy – plenary and group work

The final session of the workshop discussed engagement strategies, starting with a plenary session discussing the overall goals of the engagement strategies. Key issues discussed included:

The purpose of the engagement strategy was revisited. The key purpose is to assist client PAR projects in analysing and accessing policy spaces. It is the PAR who will access these policy spaces. The analogue of fishing was used as an illustration of the relationship between RPA and client PARs: RPA‟s role is to “teach [the PARs] how to fish, not catch the fish for them”.

Project-specific engagement strategies will feed into a “global” engagement strategy document synthesising experiences from each of the case studies

Engagement strategies will be dynamic guidance documents. Some key characteristics: short documents, using illustrative examples, providing guidance on available methods and tools (and some guidance on what will be the most effective for PARs to use)

It was highlighted that engagement strategies need to take into account the changing policy processes. In other words, they should not be so specific as to be out of date shortly after completion, but at the same time giving enough case-study specific information to be of use to the PARs.

The engagement strategy development would include learning from the case studies as well as the engagement that has taken place between RPA researchers and client PARs

Participants then split into groups and discussed possible outlines for the project-based engagement strategies (divided by country teams). Two of them are outlined below. This formed the basis for a draft engagement strategy developed after the workshop (see Annex 4).

4.3.1 Outline for possible engagement strategy for crop diversification case study (Malawi)

1 Introduction Philosophy of the policy processes approach From linearity to non-linearity Political economy approach: interactions among political, economic and social processes to promote pro-poor change Analytical framework: KNOTS Interactions among narratives, actors and interests Policy influence through policy spaces Framework appraisal: strengths and weaknesses

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2 Objectives of the Strategy To enable PARs apply the KNOTS analytical framework to policy processes To guide PARs in engagement with identified policy spaces To enhance the capacity of PARs in identifying policy spaces in a changing setup To enhance information sharing and skills transfers between PARs and other researchers 3 Principles of the Strategy Basic understanding of the policy making processes architecture at different levels generally - and specifically to the sector of interest (mapping of the policy landscape) Understanding of the basic language of policy processes from a political economy perspective Networking (alliances/coalitions) with influential policy makers and opinion leaders, both formally and informally Ability to adapt their research design and processes to the prevailing circumstances on the ground Sustained engagement with stakeholders – resource-intensive Effective and strategic communication of research findings based on a well-articulated communication strategy (policy briefs, conferences, oratory skills, etc) 4 Conclusion Recognise the dynamic nature of the process Recognise complementarities with other relevant approaches

4.3.2 Outline for possible engagement strategy for malaria epidemic prediction model (Kenya and Tanzania)

1 Introduction Context Definitions 2 Objectives and Rationale Understanding Policy Landscape Discussion of policy processes complexities (National) 3 Principles of Engagement Conceptual framework Understanding the components of the policy process (narratives/discourse, politics and Interests and Actors and Institutions). For each element interrogate the what, why and how of these components and provide some examples. 4 Identification of Policy Spaces Interrogate what, how and why of the spaces 5 Assumptions/Conditions of engagement

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5 Annexes

ANNEX 1:

PROGRAMME FOR THE DFID/CCAA PROJECT ‘RESEARCH TO POLICY ADAPTATION’ (RPA) RESEARCH REVIEW WORKSHOP

LILONGWE HOTEL, LILONGWE, MALAWI 26-28 APRIL 2010.

Day 1 – 26 April 2010

Welcome Remarks and introductions Blessings Chinsinga

Expectations, Challenges, Key learnings Lars Otto Naess and Emily Polack

Background of the Project Lars Otto Naess

Country Case Study Presentation Malawi (Blessings Chinsinga)

Day 2 – 27 April 2010

Case study presentation, Kenya Paul Guthiga

Case study presentation, Kenya Lydia Ndirangu

Tea break

Case study presentation, Tanzania Kassim Kulindwa

Case study presentation, Kenya Joshua Laichena

Case study presentation, Tanzania Natu Mwamba

Case study presentation, Tanzania Oswald Mashindano

General Discussion: What are we drawing

out from the case studies? All participants

Lunch break

Narratives video presentation

Group work on narratives for case studies All participants

Presentations of key narratives for case studies All participants

Plenary feedback on the narratives for the

case studies All participants

Day 3 – 28 April 2010

Group Work: refining actors and interests All participants

Group Work: refining policy spaces All participants

Plenary feedback All participants

Strengths and weaknesses of the conceptual framework All participants

Lunch

Engagement Strategy-Plenary, Group Work and

Feedback on Group Work All participants

Closing remarks Lars Otto Naess & Blessings Chinsinga

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ANNEX 2:

DFID/IDRC CCAA project ‘Research to Policy for Adaptation’ (RPA)

Research review workshop, 26-28 April, 2010 Lilongwe Hotel, Lilongwe, Malawi

First name

Surname Institutional Affiliation Country Email

1 Blessings Chinsinga Chancellor College, University of Malawi

Malawi kchinsinga@yahoo.co.uk

2 Paul Guthiga Kenya Institute for Public Policy Research and Analysis (KIPPRA)

Kenya pguthiga@kippra.or.ke

3 Brown Gwambene Institute of Resource Assessment, University of Dar es Salaam

Tanzania gwambene@gmail.com

4 Mirriam Joshua Chancellor College, University of Malawi

Malawi is madalitsojoshua@yahoo.com

5 Sammy Kinuthia Kenya Meteorological Department

Kenya kinuthia_07@yahoo.co.uk

6 Evans Kituyi IDRC Kenya ekituyi@idrc.or.ke

7 Kassim Kulindwa University of Dar es Salaam / Tanzakesho

Tanzania Kulindwa@gmail.com

8 Joshua Laichena. Kenya Institute for Public Policy Research and Analysis (KIPPRA)

Kenya jlaichena@kippra.or.ke

9 Ronald Mangani Chancellor College, University of Malawi

Malawi rmangani@yahoo.com rmangani@chanco.unima.mw

10 Oswald Mashindano University of Dar es Salaam / TanzaKesho

Tanzania omashindano@esrf.or.tz

11 Emmanuel Mpeta Tanzania Meteorological Agency (TMA)

Tanzania empeta@meteo.go.tz

12 Peter Mvula Chancellor College, University of Malawi

Malawi peter_mvula@hotmail.com petermvula58@yahoo.com

13 Natu Mwamba University of Dar es Salaam / TanzaKesho

Tanzania nmwamba@udsm.ac.tz

14 Lars Otto Naess IDS UK l.naess@ids.ac.uk

15 Lydia Ndirangu Kenya Institute for Public Policy Research and Analysis (KIPPRA)

Kenya lndirangu@KIPPRA.OR.KE

16 Benard Abong‟o Great Lakes University of Kisumu

Kenya b.abongo@gluk.ac.ke

17 Maria Onyango Great Lakes University of Kisumu

Kenya clajos2000@yahoo.com

18 Emily Polack IDS UK e.polack@ids.ac.uk

19 Howard Standen DfID Malawi h-standen@dfid.gov.uk

20 Medard Kahabi SAIPRO Trust Fund Tanzania saipro@habari.co.tz

21 Michael Chasukwa Chancellor College, University of Malawi

Malawi mmchasukwa@yahoo.co.uk

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ANNEX 3:

Summary of case studies and preliminary findings (April 2010)

1: Integrating indigenous knowledge in climate risk management in Kenya

The client CCAA PAR project, led by ICPAC, is aiming to help poor and vulnerable communities in western Kenya to adapt to climate change, using both modern climate science and the indigenous knowledge developed by local communities themselves. The assumption is that integration of formal and indigenous forecasts would enhance the resilience of vulnerable groups to the negative impacts of climate change. The aim of the RPA case study is to help maximise the impact of the research project by investigating, first, who are the actors in climate prediction and adaptation. Second, what are their interests and existing discourses? And third, how could researchers ensure their findings shape a supporting comprehensive policy framework? Preliminary findings indicate that despite the important role that indigenous knowledge (IK) plays in helping communities cope with climate variability, it remains on the fringes of policy debates. In general the main actors in the climate change policies such as the Ministry of Environment and Mineral resources do not rank IK highly in formulating their climate change strategies. There is a general perception that the western science in superior to indigenous knowledge in generating climate information. Furthermore, the knowledge is rather diffuse and in most cases it is a preserve and a privilege of a selected few people and is not shared openly. As a first step towards integrating IK to climate risk mitigation strategies, IK ought to be demystified and popularised among the key actors. The results of the PAR project which have shown a very good convergence between predictions based on Western science and IK would be a good starting point. The ongoing processes of developing climate change strategy offers opportunity to introduce IK into the policy process. RPA contact person: Dr Paul Guthiga, KIPPRA (p.guthiga@kippra.or.ke)

2: Enhancing Adaptation to Climate Change among Pastoralists in Northern Kenya

The aim of the client CCAA PAR project has been to establish constraints and opportunities for the integration of local evidence in agro-pastoral livelihood systems into formal policy-making processes. The study was carried out in two sites in Turkana District in Northern Kenya, led by researchers at ITDG and NEMA.

The RPA case study maps the national and local adaptation policy contexts as they relate to pastoralism and traditional adaptation strategies. Pastoralism itself has been an adaptation strategy in its own right, but increasingly becoming inadequate in the current climatic context, and having been undermined by inappropriate natural resource management policies. Analysis of institutions that drive change in policy and practice within this context and an assessment of the constraints on bottom-up policy shifts have begun to reveal relevant and appropriate policy spaces where policy processes could be more responsive to the adaptation needs of pastoralists. A range of policy influencing pathways have been identified, from strengthening the District Steering Group Committees, to collaborative enforcement of existing regulations on water resource use, to research feedback forums and community radio stations. These would likely give greater recognition and support for

RPA project stakeholder mapping exercise in Katilu village,

Turkana District, northern Kenya (Photo: KIPPRA)

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sustainable forms of land tenure and resource management, including a supportive framework for migration (transhumance), a critical strategy for securing water and grazing needs during drought. RPA contact person: Dr Lydia Ndirangu, KIPPRA (l.ndirangu@kippra.or.ke)

3: Adoption of a climate based malaria epidemic prediction model in Kenya

The client CCAA project is led the Kenya Medical Research Institute (KEMRI). Its main main objective is to transfer the Malaria Epidemic Prediction model (developed by KEMRI

7) to end users in Kenya and other

countries in East Africa and to sensitize major national level stakeholders. Researchers behind the model have so far had a high degree of success in integrating its lessons in government policies, but challenges remain. The RPA case study investigates the possible strategies required to link the model to policy processes in Kenya to increase the chances of its widespread adoption. The objective of the case study is to investigate the policy development process including major actors who facilitate or serve as obstacles to the adaptation of policy, in order to identify pathways for effective policy influence by the MEPM - PAR Researchers, and ultimately to come up with an Engagement Plan which can be used by the client CCAA researchers to navigate their outputs through the policy process. Among others, the study will try to determine entry points of the interventions which will facilitate the PAR project towards effective delivery of their messages to the relevant policy makers and other stakeholders. Significant emphasis is put in the case study at present on the need for positive cost- benefit analysis to demonstrate its advantage over existing models. The analysis revealed gaps in full information about the models effectiveness and applicability and need for upscaling being communicated sufficiently to key actors, despite very positive recognition for this utility by those familiar with it. One limitation of the model itself is its applicability to certain ecosystems. The WHO has stated a need for certain weaknesses to be overcome before they go further with it. Various strategies that could have improved awareness and uptake have been identified, such as collaborative research and greater involvement of policy makers from the outset, or packaging the outputs in a way that is tailored more carefully to target audiences. The Community Policy Strategy as implemented by Great Lakes University of Kisumu (GLUK) is one channel to strengthen bottom-up policy influence through strong community-based and tangible experiences of implementation, which sensitizes both communities and authorities, alongside other forms of „invited‟, „practical‟ and „conceptual/discursive‟ policy spaces. RPA contact person: Dr Oswald Mashindano, ESRF (omashindano@esrf.or.tz)

4: Transferring the malaria epidemic prediction model to Tanzania

The client CCAA project is the Tanzanian component to the project described in case Study 3 above. In Tanzania the project is led by the National Medical Research Institute (NIMR). Transferring the model developed in Kenya to Tanzania involves sensitization of major stakeholders on the effectiveness and availability of the model, as

7 The model, developed in 2001, uses climatic factors to detect an epidemic 2-4 months before its occurrence, thus providing

sufficient lead time for interventions. It combines climate observation with medical research to better predict the onset of

highland malaria outbreaks in Kenya, Tanzania and Uganda

Western Kenya (Photo: A. Githeko/KEMRI)

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well as enhancing the capacity of policy makers to be able to use the model to develop useful early warnings of epidemics, and the capacities of vulnerable communities and groups to respond to warnings. Building on experiences from the Kenya project described above, the RPA case study looks at the policy context for the model in Tanzania. The study has mapped the key actors and policy spaces in the health and meteorological sectors in Tanzania and the ways in which they constrain or facilitate policy development in these areas. In particular, the study is assessing the positionality of stakeholders towards the adoption of the model as an adaptation policy approach. Better coherence and coordination between climate change adaptation policy processes (NAPA) and existing Malaria prevention programmes and those working with the model will be critical to shifting these positions. Presenting the model in an accessible way in the right fora to the appropriate actors both at the local level (District Councils are important) and amongst national institutions up to Parliament are critical pathways to influence. Establishing the effectiveness of this model vis-a-vis other competitive models is also being highlighted as a critical strategy towards uptake. Further analysis on the more dynamic challenges to pursuing particular pathways is taking place including how the uptake and implementation of the model ensures recognition for and sensitivity to the knowledge and practices of communities for longer-term uptake and effectiveness. RPA contact person: Dr Natu Mwamba, University of Dar es Salaam (natumwamba@yahoo.co.uk)

5: Adoption of weather information generation, packaging and dissemination This case study builds on the client CCAA PAR project entitled Managing Risk, Reducing Vulnerability and Enhancing Agricultural Productivity under a Changing Climate being implemented in Ethiopia, Kenya, Sudan and Tanzania. In Tanzania, this project is led by PAR researchers from Sokoine University of Agriculture (SUA). Their study areas are in the semi-arid areas of the western Pare in Same District, Kilimanjaro Region. This project is founded upon the recognition that the way weather information is generated, packaged and disseminated has not been adequate in terms of providing farmers with relevant and timely information. Linking local indigenous rain forecasters with the Tanzania Meteorological Authority (TMA) has been an additional but significant dimension of the PAR project. Focusing on the adoption of weather information, the RPA case study maps agricultural, meteorological and other stakeholders in Tanzania who would facilitate the policy development process for the adoption of the weather information generation, packaging and dissemination approach. The project has already brought together a great many stakeholders in Same District, resulting in a decision-making forum for compiling forecasting information and packaging it alongside guidance on farming related decision-making. However with the exception of the Food Security Division of the Ministry of Agriculture and Food Security and Cooperatives, WWF and TMA, the rest of the stakeholders consulted for this case study were not aware of the existence of the PAR initiative being implemented. Many expressed their wish that it would be useful for them to be involved earlier on in the whole process. This case therefore assesses the effectiveness of the PAR approach to influencing change of perceptions of, and behaviour associated with, adaptation to climate change through workshops, farmer field schools (FFS), capacity building, communication and networking, scenario building, and the development of an intelligent decision making tool. From this, an analysis of key messages coming out of the project, and of the roles of different actors in realizing change, an engagement strategy seeks to set out existing and new policy spaces and who to target and how, with relevant and appropriate messaging. There is a focus on invited and bureaucratic spaces, with an emphasis on strong pilot projects to demonstrate model effectiveness. The strength of the narratives around agriculture as the backbone of the Tanzanian economy provides space for this type of adaptation initiative to gain recognition and uptake, particularly with the current drive on „Kilimo Kwanza‟ („Agriculture First‟) campaign. RPA contact person: Prof. Kassim Kulindwa, TanzaKesho consult (kulindwa@gmail.com)

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6: Mainstreaming agrometeorological advisory services into the national agricultural policy in Kenya

The client CCAA PAR project is the Kenyan component of the project Managing Risk, Reducing Vulnerability and Enhancing Agricultural Productivity under a Changing Climate (see case study 5 above). The project is

implemented by Kenya Meteorological Department in collaboration with KARI, MoA, ICRISAT and local community which has focused on agromet advisory services through forecast bulletins. Provision of agromet services requires an enabling policy environment, collaboration between actors, effective interpretation and dissemination of forecasted information in ways that it is easily understood by end users. This has been established through an in-depth review of agromet services (institutional arrangements and collaboration; data gathering, analyses and dissemination mechanisms employed) in other countries across the world. Evidently, agromet advisory services are poorly developed in Kenya and cannot provide appropriate and timely information for guiding agricultural development. This has resulted from a number of factors relating to policy and institutional issues governing research, data gathering, extension/training, and policies. This study identifies the constraints, actors, and possible pathways that can be harnessed in mainstreaming agromet advisories into the national agricultural policy. This will require a policy for popularising agromet services in the country as a major service in support of the Kenya‟s economic growth and including the provision of agromet advisory services in the operation mandate of key national institutions. Current constraints include: a limited capacity to handle agromet advisories effectively; bias towards aviation over agriculture; inadequate data gathering and information dissemination mechanisms; and a lack of awareness of the relevance of agromet services for climate change adaptation. The challenges presented in current policy processes include lengthy procedures, lack of effective follow-up mechanisms and poor information flows. Farmers also face many limitations in influencing policy. Despite a great number of actors who could play major

roles in agromet advisories and climate change in general, the study has revealed that there are currently very few champions – either individuals or institutions – to drive improvements and policy change. Overcoming this requires greater collaboration between the key institutions identified and more knowledge sharing fora. RPA contact person: Dr Joshua Laichena, KIPPRA (j.laichena@kippra.or.ke)

7: Crop diversification to reduce farmers’ vulnerability to climate change in Malawi

The main crop for farmers in Malawi has until recently been maize, but farmers are now diversifying their crops. Although it is not clear whether climate change is a motivation for farmers‟ changes, the client CCAA PAR research project (led by researchers at Chancellor College, University of Malawi) is supporting this change as maize crops are very vulnerable to current droughts and flash floods. Diversification could thus help reduce farmers‟ vulnerability to climate change.

The RPA case study addressing the client CCAA project‟s priority intervention – support to crop diversification – through determining to which extent lessons from such an adaptation strategy filter through to policy discussions at the district level, and whether and how researchers could feed local lessons into national level policy processes to integrate this knowledge into adaptation policies.

The RPA case study focuses on three key aspects. First, the extent to which the demonstration plots on which crop diversification is being carried out are influencing host communities and their neighbourhood to adopt the same on their individual plots. Second, the case study focuses on the extent to which lessons from

Members of the National Consultative Group (NCG) with RPA

researcchers and client PARs after the inaugural meeting (Photo:

Blessings Chinsinga/Malawi Team)

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community level would filter through to the district level policy discussions regarding crop diversification as a key strategy for protecting and boosting livelihoods in the context of changing climatic patterns. A third aspect that is being explored is the extent to which the PAR researchers will be in a position to feed lessons into the national level policy processes arising from the experiences on the ground for debate and for possible incorporation in the diversification policy.

The case study is raising some interesting insights about the challenges facing crop diversification as a strategy for cushioning negative effects of climate change and variability. The results suggest unequivocally that policy processes are not merely technical but also hugely politically imbued exercises. This means that national politics matter in shaping and influencing the nature and form of policy processes. While the crop diversification drive is an officially sanctioned policy position, the political imperative to ensure food security at the national level through the fertilizer subsidy programme is promoting maize at the expense of other crops. Farmers are, of course, issued with flexible coupons to access alternative seeds such as millet and sorghum but these are almost always never available at the designated outlets. Consequently farmers are motivated to plant maize because both the seed and fertilizers are readily available.

Crop diversification at the study sites is further affected by the politics of access to water and marketing. One of the villages is near to a multinational sugar corporation. Farmers in this village own land which is just adjacent to the corporation‟s sugar plantation where they practice irrigated agriculture benefiting from water overflows from the plantation. The gist of the problem is that the sugar corporation controls water flow the main river in accordance with the technical requirements to enhance the profitability of sugar production yet this is often a period at which the farmers need the water the most. In another village, workers at a canning factory have captured a lucrative pineapple market for the farmers which served as a key diversification strategy. The canning factory provided a lucrative market for the farmers but since two years the company has resorted to buying pineapples from vendors who sale at a higher price than it used to offer to the farmers. It appears that most of the vendors are agents of the canning factory workers. Farmers‟ negotiations with the company have not been successful. The company officials insist that if they have to restart buying pineapples directly from the farmers then it will have to be at a much lower price than that currently offered to the vendors.

Crop diversification is further being constrained by severe land constraints. Sorghum and millet as alternative cereals require a lot of land to yield as much as maize would on relatively smaller piece of land. In addition, food stuffs made from maize is widely considered by farmers as much more dignified than that made from alternative cereals and there are limited market opportunities to dispose of sorghum and millet in case of surplus production.

RPA contact person: Dr Blessings Chinsinga, Chancellor College (kchinsinga@yahoo.co.uk)

8: Urban-rural interdependence and the Impact of Climate Change in Malawi The client CCAA project, led by the Institute of Resource Assessment, University of Dar es Salaam, is focusing on the growing urban population and its implications for food demand in cities and the pressure it puts on rural food production in the context of climate change. The project is conducted in Malawi and Tanzania, aiming to examine rural-urban interdependencies, document community-level vulnerabilities and coping strategies, and offer communities, local governments and those involved in food supply systems alternatives for adapting to climate change and climate variability. The project is in its starting phase, which is an opportunity for the RPA case study to work in parallel with the client project both to understand the relevant policy processes and to develop policy engagement strategies. The exact focus of the case study will be worked out once the PARs have undertaken the situation analysis that will inform the nature of interventions that will actually be implemented. The nature of interventions is quite important in guiding the delineation of the focus of the case studies particularly in terms of tracking policy processes that would add value to the underlying goals and objectives of the project. The situation analysis should have been undertaken in March, 2010 but has been delayed due to circumstances beyond the control of the PARs. It is expected that the situation analysis will be undertaken by end of June, 2010. RPA contact person: Dr Blessings Chinsinga, Chancellor College (kchinsinga@yahoo.co.uk)

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ANNEX 4:

Outline for policy engagement strategies

Version 14 June 2010

Purpose and rationale

Why are we doing this? The purpose of developing policy engagement strategies is twofold:

first to advise the partner PAR projects how to better engage with their specific policy

environments, and second, to help develop a document for how adaptation researchers (in the

CCAA project and beyond) can improve their policy engagement. The rationale is that

improved use of lessons from adaptation research in policy – such as the research conducted

by the partner PAR projects – can help improve pro-poor adaptation to climate change. The

role of our project (RPA – Research to Policy for Adaptation) is to facilitate this process for

our clients, namely the CCAA PAR projects.

How can this be facilitated? The RPA project recognises that for researchers to promote

uptake of appropriate adaptation strategies in government policy, they need to develop policy

engagement strategies. The engagement strategies will build on the understanding we have

gained of the policy processes related to each of the CCAA PAR projects, which have helped

us identifying policy spaces for engagement. The next challenge is thus to develop a strategy

with the client PARs to help them make use of these spaces.

Our approach to policymaking. To understand policy processes, we need to understand how

power and resources are distributed and contested. The design and implementation of polices

are a struggle between different actors, with different access to resources and political power,

and with different views on problems and solutions. A successful strategy for policy

engagement thus requires the ability to frame the policy issue, as well as an understanding of

the dynamics of both formal and informal processes of policy and decision-making.

The RPA case studies are analysing the policy processes through three lenses: narratives and

evidence, actors and institutions, and politics and interests. Our approach is to use the

concept of policy spaces to identify areas for policy engagement: “opportunities, moments

and channels where citizens can act to potentially affect policies, discourses and decisions

and relationships that affect their lives and interests” (Gaventa, 2006: 26). These policy

spaces are identified through a series of case studies, and based on these, strategies for

changing and influencing policy can be achieved.

Policy engagement strategy – what we need to keep in mind

In practice, engagement strategies for policy spaces may take different forms and shapes, but

it will be centred around a document outlining the policy spaces and the different ways in

www.policyadapt.org

43

which they can be used by the PARs. From the discussion in Lilongwe, we need to keep

several things in mind:

As RPA researchers, we can only facilitate the process and advice on what the PARs can

do: the PARs themselves need to be behind the steering wheel. We don’t want it to be a

strategy we develop for the PARs; rather it should be something we develop with them as

clients to the RPA project. The document alone is necessary, but not sufficient – it is

crucial that the document must be a product of a process of discussion with the PARs.

Policy processes are changeable and dynamic. In the policy engagement strategies we

therefore need to get the right balance between detailed information and principles for

engagement. The engagement strategies need to be specific enough to give the necessary

insights to the policy spaces that are relevant for each of the case studies, but also general

enough to allow for changes, so that the engagement strategy does not get quickly

outdated.

The document itself must be user-friendly and self-explanatory, giving examples to

illustrate the points that are made – it should describe what is necessary while not

compromising accessibility for the PAR researchers who will use it. For an example of a

document developed for an NGO on policy spaces and how to engage with them, see

Tanner and Gaborit 2007).

The engagement strategies should aim to follow a common, agreed format, to make it

easy to synthesise them into a “global” document. At the same time, the format should be

flexible enough to allow for adjustments that are necessary to fit each of the projects.

Communication is key – as a support to the engagement strategies, we suggest that a

process of mentoring will be required. These could be in the form of “mentoring clinics”;

eight 30 min sessions through Skype or telephone which are available to client PAR

researchers. For each “clinic”, researchers will be asked to prepare a short background on

how they have been engaging with the policy spaces. These clinics will offer an

opportunity to discuss and reflect upon the engagement strategy challenges and successes

with staff from the RPA side. It will be an opportunity for PAR researchers to document

the engagement process and learn from it and to create short lesson pieces. This learning

can be shared with others who are concerned with policy influence around adaptation

through AfricaAdapt.

Draft outline for the engagement strategy document

Some of the elements identified through discussions at the Lilongwe workshop and in the

literature include the following. The outline follows a step-wise approach and can be seen as

a “guide to policy engagement”. It should be written in plain language and have as little

jargon as possible [note: the list of items is not exhaustive – more may be added under each

of the elements]

1. Introduction

- Problem description and background: why should researchers engage with policymakers?

www.policyadapt.org

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- Setting out the plan for the document

- Definitions of terms

- Outline of our approach to analysis of policy processes (political economy)

- Outline of the analytical framework (KNOTS)

2. Objectives and rationale

- To enable PARs apply the KNOTS analytical framework to policy processes

- To guide PARs in engagement with identified policy spaces: what do they need to keep in

mind?

- To enhance the capacity of PARs in identifying policy spaces in a changing setup

- To enhance information sharing and skills transfers between PARs and other researchers

3. Identification of policy spaces

- Short summary of key narratives, project approaches

- Short summary of approach to identifying policy spaces

- Elaboration of identified policy spaces (from case studies)

- Interrogate what, how and why of the spaces

- Understanding the context and describing the spaces

4. Principles for policy engagement

- Policy engagement needs a basic understanding of the policy making language and policy

architecture at different levels generally - and specifically to the sector of interest

(mapping of the policy landscape)

- Policy engagement means an ability to adapt their research design and research processes

to the prevailing policy circumstances (at different levels)

- Policy engagement means sustained interaction with stakeholders from the outset. This is

rewarding, but resource-intensive, and need detailed planning from the outset

- Communication is a key part of any policy engagement strategy. Effective and strategic

communication of research findings need to be based on a well-articulated

communication strategy (policy briefs, conferences, oratory skills, etc)

- What are the strategic choices, “do’s and don’ts” of policy engagement

- Different spaces need different strategies (Gaventa):

o Opening closed spaces through advocacy, transparency and accountability

o Using invited spaces through engagement, collaboration and negotiation

o Strengthening ‘claimed’ (or created) spaces through autonomy, mobilisation and

popular action

- Identify and clearly present the intended policy messages

- Specify the intention of messages, targets, benefits, winners, losers etc.

5. Key questions, tools and methods

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- From the case studies, which levels would the policy engagement strategies be most

effective? What should the concentrate on? (national, regional, local) Based on what

researchers have already done, how can they best build on that? Engagement strategies

should build on an understanding of what researchers already do well and not so well.

- What tools and methods have PAR projects used; what has worked and what hasn’t

- How can the researchers utilise different types of spaces?

- Tools for networking (building alliances/coalitions) with influential policy makers and

opinion leaders, both formally and informally. How can you link the different spaces

strategically? Building horizontal alliances to mobilise champions may help policy

engagement (Gaventa)

6. Conclusions / summary

- Recognise the dynamic nature of the process (policy spaces open and close continuously)

- Has the case study given new insights into policy engagement?

References

Court, J. et al. Policy Engagement: How Civil Society Can be More Effective. ODI RAPID.

Gaventa, J. 2006. Finding the Spaces for Change: a power analysis, in Eyben, R, Harris, C

and Petit, J. (eds) Power: exploring power for change. IDS Bulletin (37) 6. Brighton:

Institute of Development Studies)

Gaventa, J. Undated. From local to global: Citizen engagement in a new policy landscape.

ESRC Seminar Series: Mapping the public policy landscape (ppt presentation)

Start, Daniel and Ingie Hovland, 2004. Tools for Policy Impact: A Handbook for

Researchers.

Tanner, Thomas and Mauricio Gaborit. 2007. Children’s Voices in Disaster Policy Spaces.

Field Report: El Salvador. IDS, Brighton (pdf file)

Wheeler, Joanna. 2007. Creating Spaces for Engagement: Understanding Research and Social

Change. Development Research Centre, Citizenship. IDS. www.drc-citizenship.org

www.policyadapt.org

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ANNEX 5: Facsimile of workshop presentations

5/21/2010

1

Research to Policy for Adaptation

Linking African Researchers with Adaptation

Policy Spaces

Lars Otto Naess, IDS

Research review workshop, Lilongwe, 26-28 April 2010

DFID/IDRC Climate Change in Africa (CCAA) Programme

TanzaKesho

Consult Ltd

TKC

Project goal

“... increase the ability of CCAA programme

partners in East Africa to understand

climate change adaptation policy processes

at local and national level.”

Project motivation:

Challenges for adaptation

How to make them inform government policy? What tools

are available?

How are lessons taken up by policymakers? What are the

entry points?

How to fit findings into ongoing and emerging policy

processes of relevance to adaptation (PRSP, NAPA, sector

development plans, ...)

Pledges for increasing adaptation funding gives increasing

opportunies – and challenges – for governments

There is an increasing number of lessons coming from adaptation

case studies, but:

Project basics

Start March 2009

Three phases:

1. Project inception, training and research design

2. Case study research

3. Consolidating findings and engagement plans

Three country teams: Kenya, Malawi, Tanzania

o 8 case studies with client CCAA PAR projects

Case studies

Integrating indigenous knowledge in climate risk management in

Kenya

Enhancing Adaptation to Climate Change among Pastoralists in

Northern Kenya

Adoption of a climate based malaria epidemic prediction model in

Kenya

Transferring the malaria epidemic prediction model to Tanzania

Adoption of weather information generation, packaging and

dissemination in Tanzania

Mainstreaming agrometeorological advisory services into the national

agricultural policy in Kenya

Crop diversification to reduce farmers’ vulnerability to climate change

in Malawi

Urban-rural interdependence and the Impact of Climate Change in

Malawi

Target outcomes

PAR projects have a better understanding of

adaptation policy

A cadre of climate change adaptation policy-analysts

providing ongoing mentoring support to the PAR

clients

Strengthened capacity of project teams to conduct

action-oriented climate change adaptation policy

research

Policy engagement plans for CCAA PAR, findings

shared in a way that promotes their ability to

influence policy

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Policymaking – ‘traditional’ view

What is policy and how do we analyse

processes of policy change?

“Policy is rather like the elephant - you know

it when you see it but you cannot easily

define it” (Cunningham, 1963)

'The whole life of policy is a chaos of

purposes and accidents' (Clay and Schaffer,

1984: 192)

Not a neat, linear process – but a complex,

incremental and “messy” process

PAR project case studies – analytical

framework

What narratives and evidence in your research area?

What actors and institutions?

What interests?

Policy spaces: Research to policy influence

-expanding policy capacities

-broadening policy horizons

-affecting policy regimes

-developing new policy regimesWhat policy

spaces?

Helps raising important questions

Assists in “unpacking” policy

processes

Helps engage actors’ own experience

Focus on processes

Uncovering policy spaces

Relevance to policies for adaptation

Policy spaces: areas of policy influence

“opportunities, moments and channels where

citizens can act to potentially affect policies,

discourses and decisions and relationships

that affect their lives and interests”

(Gaventa, 2006: 26)

Invited spaces [e.g. formal policy consultations]

Popular spaces [e.g. protests, demonstrations]

Practical spaces [e.g. pilot field based projects]

Bureaucratic spaces [e.g. formal policymaking]

Conceptual spaces [e.g. where new ideas are

introduced into debate]

Policy spaces: types

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1

Understanding the

adaptation policy

context2

Mapping policy

processes and actors

3

Identifying policy

spaces for change

4

Designing strategies

for PAR policy

influence

Case study research process

The project is supporting ...

PAR research through case studies

analysing policy processes related to

their projects

PAR researchers to develop

engagement strategies

Efforts to expand research-policy

networks

Thank you

www.policyadapt.org

Presentation of preliminary findings -

guidelines

The aim of the client PAR, and how the case study is

adding value (short – no more than 1-2 minutes)

Policy context – case-specific literature review (short –

no more than 1-2 minutes)

What are the narratives and evidence

What are the politics and interests

Which are the actors and institutions

Policy spaces – which are the existing ones, and which

are missing?

Discussion of preliminary findings -

guidelines

How do the findings correspond to your own project

experience?

From the findings, which are the key ones of

interest to your project’s ability to influence policy?

Are there particular areas that from your project

experience may be elaborated or improved – if so,

which?

Are there perspectives that you think are missing? If

so, which?

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Policy Processes, Engagement, and

Preliminary Case Study Results

Event: CCAA Project Review WorkshopAuthors: Blessings, Ronald and PeterOrganization: Chancellor College, UNIMADate: 26th April, 2010

Outline of the Presentation

Introduction

Contextualizing the Projects

Preliminary Findings and Experiences

Policy Processes and Implementation

Experiences

Highlights on the Crop Diversification Case Study

Tentative Conclusions, Challenges and

Experiences

Introduction

The purpose of the presentation is twofold:

To share experiences on the policy processes,

engagement and implementation with the PARs

following the adoption of case studies since the

September 2009 Dar es Salaam Workshop using

the outcome mapping journal as a monitoring

framework

To share preliminary findings on the crop

diversification case study adopted as the basis for

engaging with the PARs on policy processes and

influence within the context of their wider project

Contextualizing the Projects

RPA and PAR researchers are engaging with each other on matters

of policy influence through a project titled: Strengthening Local

Agricultural Innovation Systems in Tanzania and Malawi to Adapt to

the Challenges and Opportunities Arising from Climate Change and

Variability

The specific objectives of the project are threefold:

Strengthen farmers’ capacity to access and use quality

information, training and products in order to adapt to climate

change and variability (CC&V)

Strengthen capacity of private and public stakeholders to make

agricultural innovation systems work more efficiently, equitably

and responsibly to CC&V

Learn and share lessons for scaling up successful strategies for

capacity strengthening (individuals, organizations and systems)

within the agricultural systems to adapt to CC&V

Contextualizing the Projects Cont’d

The main implementation strategy for the PAR is through

learning plots on which a wide range of technologies or

technology mix are demonstrated working with and

through farmers

The main goal of the learning plots is that the

differentiation in crop outlooks as well as productivity

levels of the sub-learning plots would inspire farmers to

adopt on their farms a set of technologies that would

better equip their households to adapt CC&V

Contextualizing the Projects Cont’d

Two RPA case studies were distinguished: crop diversification on the

Malawi side and soil and water conservation and management on

the Tanzanian side

The main objectives of the case studies were:

Examining the extent to which the learning plots are influencing

the host communities and their neighbourhoods to adopt the

same on their individual plots and whether the motivations driving

communities are related to climate change

Examining the extent to lessons from community level filter

through to the district, regional and national level policy

discussions as possible strategies for boosting livelihoods in the

context of changing climatic patterns

Examining the extent to which PAR researchers are able to feed

lessons from learning plots for debate and possible incorporation

into the relevant policies and strategies

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Contextualizing the Projects Cont’d

Engagement with the PARs on matters of policy influence is guided

by the political economy framework developed by the Knowledge,

Technology and Society (KNOTS) group at the Institute of

Development Studies (IDS), University of Sussex

PE approach to policy processes emphasizes on the importance of

understanding the political, economic and social processes that

promote or block pro-poor change as well as understanding the role

of institutions, power and the underlying context for policy processes

KNOTS framework is concerned with the dynamic interaction

between narratives, actor/networks and politics/interests as

articulated below

Politics/Interests

Actors/ Networks/Practices

DiscoursesNarratives

Figure I: KNOTS Policy Process Conceptual Framework

Contextualizing the Projects Cont’d

Policy processes are not only about gathering new

evidence but also creating new alliances, networks and

political configurations

Policy processes are less of a linear sequence but more

of a political process underpinned by a complex mesh of

interactions and ramifications between a wide range of

stakeholders who are driven and constrained by

competing interests and the contexts in which they

operate

The outcome mapping journal is to a great extent

inspired by the non-linearity of the policy processes

Findings: Policy Processes Experiences

Engagement with the PARs

Presentation of the CCAA policy project at the PARs

annual review workshop

Several brief meetings as a means for the RPA

researchers to get acquainted with the project within

the framework of policy processes

Dialogue session with the PARs on the KNOTS policy

processes framework against the backdrop of PARs’

experiences to date

Accompanied PARs and IDRC officials on a field visit

to study sites which was quite useful in terms of RPA

researchers fully understanding the project and

validating the outcome mapping journal framework

Findings: Policy Processes Experiences Cont’d

Worked together with PARs to constitute a National

Consultative Group (NCG)

Members are drawn from public, civil society and donor

agencies

Inaugural meeting of the NCG proved very useful in

terms of: 1) establishing contacts with some of the key

players in climate change policy issues; 2) identifying

some possible opportunities for policy influence; and 3)

illuminating on the relevance of the KNOTS policy

processes framework

Findings: Policy Processes Experiences Cont’d

PARs have done quite a good job in terms of establishing very good

working relationships with officials at the district but the engagement

with district level officials besides the office of the District Agricultural

Development has rather been limited

The project has a high profile at the district level but PARs’ sustained

policy engagement efforts have been affected by instability in the

offices of the DADO and sheer office politics (culture of

allowances???)

Several potentially useful structures for policy influence at the district

level, namely, stakeholder panels and local council committee on

agriculture have essentially been dormant due to the impasse in

decentralization policy reforms

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Findings: Policy Processes Experiences Cont’d

Local government elections have been continuously

postponed since May 2005 and their future hangs in

limbo following recent sweeping amendments to the

Local Government Act although the planning process still

offers some hope

Strong media linkages established by PARs have

increased the project’s visibility culminating in several

enquiries to PARs by a wide range of stakeholders

Television Malawi is expected to launch a documentary

programme on climate change based on the results of

the PAR project

Findings: Crop Diversification Case Study

The results from the learning plots have not been as expected for

two consecutive growing seasons due to prolonged dry spells

The experiences have heightened the awareness about changing

climatic patterns

‘magic beliefs about rains are no longer sustainable because of

our experiences during the last two growing seasons’

‘ the rains that we have had this year are no more than tears of

king Pharaoh of Egypt’

‘it is no longer wise to believe that there are villagers with

supernatural powers who can keep rains in their pockets and

ration it accordingly’

‘it has never happened that the whole growing season goes by

without our children enjoying roasted maize’

Findings: Crop Diversification Case Study Cont’d

Crop diversification is widely acknowledged as a strategy

for cushioning against risks associated with CC&V by

both farmers and officials

It is seen as a strategy for diversifying risk and strikingly

farmers insist on livelihood diversification; crop

diversification is a narrow concept

Experiences with prolonged dry spells are forcefully

promoting irrigated agriculture as an alternative

livelihood strategy

Preference for irrigated agriculture is justified for the fact

that it is controllable by farmers and not dependent on

the vagaries of rain

Findings: Crop Diversification Case Study Cont’d

Policy consensus among officials and farmers is that

agricultural support programmes should be directed to

small-scale irrigated agriculture and not rain-fed

agriculture

Farmers have applied the techniques on the learning plots

onto the irrigated land with highly positive results and

PARs have introduced learning plots on irrigated land

PARs have successfully lobbied for treadle pumps for use

on the irrigated land which the GoM has supplied

Findings: Crop Diversification Case Study Cont’d

Several challenges about crop diversification more generally and more

specifically to the study sites:

Politics of the fertilizer subsidy programme

Politics of access to water for irrigated agriculture

Politics of marketing or more specifically market capture

Increasing land pressures making maize more attractive than

alternative cereal crops

Labour intensity associated with alternative cereal crops

Lack of lucrative markets for alternative cereals

Dignity associated with eating meals prepared with maize vis-a-vis

those prepared with alternative cereals

Tentative Conclusions and Lessons

The preliminary findings unequivocally suggest that policy-making is a

political process, hence the context in which policy processes take

place matters a great deal

Policy influence and engagement are resource-intensive exercises,

particularly in terms of time and finance since success is greatly

dependent on sustained efforts over along periods of time

Strategic engagement with influential policy makers in a relaxed and

less formal environment is quite vital to the success of policy influence

Networking with influential policy makers through, for instance , the

NCG and the media is critical for project visibility which is a key step for

policy influence

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4

Tentative Conclusions and Lessons Cont’d

PARs’ understanding of the basic language of policy

processes from a political economy perspective is quite

important for them to be in a position to identify policy

relevant issues that would have ordinarily been left out

Backed up by the outcome mapping journal, this greatly

demystifies policy making as a complex exercise

PARs’ basic understanding of the policy making

processes architecture at different levels generally - and

specifically to the sector of interest - is critical to

identifying potential policy spaces as well as to develop

the ability to influence policy agenda setting processes

Tentative Conclusions and Lessons

Creating networks and coalitions is just as, if not more

important than generating new evidence in policy

processes especially against the backdrop of strategic

understanding of the configuration of narratives, actor

networks and interests in a particular policy sector

Ability of the PARs to adapt their research design and

processes to the prevailing circumstances on the ground

is quite critical to creating opportunities for policy

influence

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1

INTEGRATING INDIGENOUS KNOWLEDGE IN CLIMATE RISK

MANAGEMENT IN KENYA: POLICY PERSPECTIVES

DFID/CCAA project ‘Research to Policy for Adaptation’

Research review workshop 26-28 April, 2010

Lilongwe Hotel, Lilongwe, Malawi

Paul M. Guthiga, PhD

KIPPRA

26th April 2010

Outline of the presentation

Background (1)

• Indigenous knowledge (IK); institutionalized local knowledge built upon and passed on from one generation to the other by word of mouth

• Forms the basis for local decision-making in many rural communities

• IK is not only important for the local communities but also for scientists & planners working to improve lives of local communities

• IK has been recognized as important in helping communities to cope with the effects of changing climate

Background (2)

• Managing climate risk puts premium on generation, interpretation

and use of data & information in decision making at the community,

regional, national and global level

• Contrary to prevailing belief among scientists & planners;

– IK represents a distinctive intellectual tradition and not just myth or

legend

• Often when put to test with data acquired scientifically, IK is found

quite adequate

• However, in many instances IK is not formerly recognized in the

national climate risk management policies

• The IK PAR project was conceived to address;

– the adaptation gap by exploring the avenues for merging IK and

western knowledge for better management of climate risk

Background (4)

Highlight of PAR’s successes so far;

– Brought together a diverse team of actors o work together;

ICPAC, KMD, Maseno University, GLUK, KIPI, NMK, local

community, local administration etc

– Has won the confidence of the Nganyi community to share

information

– Demystified and documented IK among the Nganyi and

compiled it into a book

– Carried out several joint seasonal forecasts which have shown good convergence between the western science and IK

– University level training of some members of the community

– Establishment & setting up of a resource center

Problem Statement

• Urgent need to address the critical challenges posed by

climate change

• Synergies between IK & western climate knowledge are not

fully utilized

• There lacks a comprehensive policy framework to integrate

the two sources of knowledge at the national level

• Such a policy framework would be critical in mainstreaming

IK at all levels of climate risk management; local to national

• Policy pathways to mainstreaming & integrating IK in climate

risk management is not clearly understood;

– Who are the actors? What are their policy discourses? What are their

politics and interest? What policy spaces exists for integrating IK in

government policies?

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Objectives

• Overall objective was to identify policy opportunities

through which IK can be integrated to enhance climate

risk management

• Specific objectives;

i. Analyze the roles and interests of different actors in climate risk

management

ii. Establish historical and contemporary discourses that have

influenced climate risk management policies in Kenya

iii. Identify existing and potential policy spaces for integrating IK

and western science in climate risk management strategies

An Overview of climate related policies in Kenya (1)

• Frequent occurrence of climate related disasters have led to

the recognition of the climate risk in several policy processes;

– Both sectoral and cross-sectoral policies

• Climate change is increasingly being recognized by the state,

as a major threat to development

• Several sectoral and cross-sectoral policies are being

implemented

• The MEMR is leading some of the process but the PM’s office is

also heavily involved

• A comprehensive National Climate Change Response Strategy

(NCCRS) is under preparation; co-coordinated at the MEMR

Climate change in cross-sectoral policy processes (1)

• Vision 2030 (the nation development blueprint)

– Explicitly recognizes adaptation to climate change; “Kenya will also enhance

disaster preparedness in all disaster-prone areas and improve the capacity for

adaptation to global climatic change”.

• Draft national policy for disaster management in Kenya (started in 1999

and completed in 2009)

– To institutionalize response to national disasters (including those arising from

climate change)

– Recognizes the central role of climate change in National Strategy for Disaster

Management

– Details ways of dealing with the climate-related disasters

– It encompasses a full continuum from prediction, preparedness, relief and

rehabilitation, mitigation and prevention

– It aims to increase and sustain resilience of vulnerable communities to hazards

through diversification of their livelihoods and coping mechanisms

Climate change in cross-sectoral policy processes (2)

• Draft national policy for disaster management in Kenya

• Practical measures include;

– Establishment of a National Disaster Management Authority

– Dissemination of weather and climate information to rural

communities ;Radio Internet project (RANET); Relevant for IK

– Development of climate reporting in Kenya ; Kenya Network of

Journalists and Meteorologists (KENJOM).

– Enhancement of the capability of the Kenya Meteorological

Department (KMD)

• National Land Policy

– It recognizes the need for establishing a legal, policy and

institutional frameworks for the prevention and management of land-related disasters such as flooding

Climate change in cross-sectoral policy processes (3)

• National Climate Change Response Strategy (NCCRS)

– Currently being developed

– It’s the most comprehensive national level adaptation policy

for the country

– Its expected to chart way forward on adaptation and mitigation strategies

• Others include;

– The 5-year Medium term plans (MTP); sets a 5 year development

agenda for the country (current MTP 2008-2012)

– The medium term expenditure framework (MTEF); which prioritizes

budget allocations between different sectors of the economy

– Constituency development fund (CDF); provide funds at the constituency level and allows the communities prioritize projects

for funding

– ETC

Climate change in sectoral policies (1)

• Strategy for revitalizing agriculture (SRA 2004-2014);

– The overall goal; transform subsistence farming to commercial farming

– Deal directly or indirectly deal with climate change adaptation issues especially on developing & promoting adoption of new farming technologies

• Agricultural Sector Development Strategy (ASDS, 2009-2018).

– It builds on SRA and aims at aligning development of agriculture with that of the Vision 2030

• National agricultural research systems (NARS) policy– Coordinate agric research systems to facilitate improvement of the

agriculture sector

– Under this policy process, climate change adaptation by different institutions could be promoted and coordinated

• Environmental policy (ongoing; started in 2007)– However an overall environmental management and coordination Act

(EMCA, 1999) is in existence

– The National Environmental Management Authority formed under the EMCA (1999) is the lead agent on climate change related issues

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Climate change in sectoral policies (2)

• National Water Policy (process started in 1999 and completed in

2002)

– Led to a new water legislation (Water Act, 2002)

– Devolved management of water resources to regional boards &

created several institutions in the water sector

• National Water Storage Policy (draft)

– Kenya is a water scarce country

– It basically addresses the issue f publicly funded water storage

infrastructure by either communities or the State particularly the

institutional arrangements for the implementation

Research Methods

• Stakeholder analysis;

– Stakeholders (actors) identification

– Stakeholder interests and influence on policy issues.

– Sources; Key informants, documents and interviews.

• Narrative policy analysis

– Identifying positions in policy debate

– Actor views and position on issues

– Sources; policy documents, news articles, interviews with actors

• Actor analysis

– Involved obtaining actor’s perception.

– Actor’s assumptions on facts, links and goals in relation to the policy problem.

– Sources; documents, interviews and participatory working

sessions.

Actors (1)

• Key government ministries;

– Ministry of Environment and Mineral Resources (MEMR),

– Ministry of Special Programs,

– Ministry of Agriculture,

– Ministry of Science and Technology and

– Office of the Prime Minister

• MEMR is currently playing a key role in coordinating climate

adaptation strategies.

• The office of the prime minister is also playing a key role in

harmonizing climate policies within the government.

• PM office is a favorite choice for donor agencies supporting the

government in its effort to implement climate adaptation

strategies

Actors (2)

• The policies of government are often implemented through

departments or parastatals under the ministries;

– Kenya Meteorological Department (KMD),National Museums of

Kenya (NMK), Kenya Industrial Property Institute, National

Environmental Management Authority (NEMA), Universities etc

• KMD plays a key role in collecting, interpreting and

disseminating climate information in Kenya;

– information from the international weather information

systems &

– Thinly dispersed network of local weather stations in the

country

• The department faces a challenge in terms of accurately

predicting weather information at the local level

Actors (3)

• The predictions are made at rather macro-level (regional),

with huge variability with a region

• In an effort to make predictions relevant at the local level,

KMD has adopted the RANET-Kenya which is part of the

global RANET project.

• RANET is a rural communications project that seeks to transmit

vital weather and climate information to rural communities

using Internet and Radio.

• The project is geared towards addressing challenges that

affect them such as a food security and poverty reduction.

• The project has established three community FM radio

stations so far and more than 20 information centers.

Actors (4)

• The Great Lakes University of Kisumu (GLUK) is in the process of

starting courses in IK;

– Key for creating human resources necessary to articulate this

knowledge and help mainstream it in national processes

• KIPI has an important role in protecting the intellectual property

rights aspects of indigenous knowledge

• NMK is responsible for collecting, preserving, studying,

documenting Kenya’s past and present cultural and natural

heritage.

• Therefore NMK has a key responsibility to preserve the

indigenous knowledge & heritage sites.

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Politics and interest of actors (1)

• At its inception, KMD had a strong orientation towards serving the aviation industry

– Weather stations established in all the major airports.

– For a long KMD was hosted under the Ministry of Transport and Communication.

• The shift to the MEMR was largely driven by the current Minister (Hon Michuki)

• The interest of KMD has shifted to include a more integrated approach in using weather information for a wide range of uses

• The KMD is currently trying to package weather information for the different in a form that they can easily interpreted and used

• With the threat of climate change, weather information is treated with seriousness and the KMD is under pressurexpected to provide accurate, timely and use friendly information.

Politics and interest of actors (2)

• Despite the increasing interest in weather information, the role

of IK in climate risk is yet to attain interest at the national level

• The politics around indigenous knowledge is closely

intertwined with the history of colonization which involved

degradation of the local knowledge while advancing the

western knowledge

• Furthermore, the indigenous knowledge is often mystified and

passed on informally to a selected individuals in the society

• There is some level of latent resistance among holders of IK to

make their knowledge fully public

Discourses of actors (1)

The community

• The Nganyi are a clan found amongst the Banyore community

who reside in the Western province of Kenya

• The community has developed advanced methods of weather

prediction through observing nature

• The art of rain making is viewed as privileged knowledge that is

maintained within specific families and it is passed on from father to son

• For IK to be utilized at a wider scale, the latent fear among the holders of knowledge has to be overcome

Others;

Being synthesized

Constraints to integrating IK in policy debates (1)

• Some people view indigenous knowledge among the Nganyi is spiritual or mystic knowledge hence not tractable

• It is controlled by a few members of the community who hold it as privileged information

• The PAR project has created a fora for it demystification and documentation

• It’s more localized and focused on local situations. There is also need to document and formally organize the knowledge so that it can be mainstreamed in the national climate risk management systems.

• The success of the PAR can be used as a flagship case to lobby the mainstreaming of IK in the national policies

Preliminary policy spaces

• The PAR itself; its success provide opportunity to lobby for mainstreaming of IK in policy processes

• RANET project under KMD; localized weather information transmission in local language

• Joint preservation of the shrines by NMK & community as a national heritage to ensure knowledge is preserved for the posterity

• There are several ongoing climate policy process in Kenya that provide an opportunity for introducing and ultimately integrating IK in the national policies.

– For example, the National Climate Change Response Strategy (NCCRS)

THANK ALL FOR LISTENING

5/21/2010

1

Enhancing Adaptation to Climate

Change among Pastoralists in

Northern Kenya

Research Review Workshop

Lilongwe

26th-28th April 2010

KIPPRA

Lydia Ndirangu

Policy Processes Research

Aims at establishing constraints and

opportunities for the integration of local

evidence in pastoral livelihood systems into

formal policy-making processes

Study areas

Turkana District in Northern Kenya

PAR partners: Practical Action, NEMA. Kenya

University

Motivating questions

Why do adaptation policy statements (where

they exist) say one thing, but quite another is

observed in the field?

How do the realities at the micro-level get fed

into the policy making process?

PAR finding

promising local adaptive responses

But not supported by the existing policy

frameworks

Need for increased understanding of the

opportunities and constraints that may hinder

integration of such evidence into policy-

making processes

Conceptual Framework

for understanding the process of policy

making =>‘policy processes’

To understand opportunities and constraints

to policy influence=> and ‘policy spaces’

Scope and methods

Two sites─ agro-pastoralist and pure

pastoralists

adopted a top-down and bottom-up approach

in mapping out

actors and institutions

their associated narratives and interests in order

to identify policy spaces and barriers to policy

influence

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2

The top-down approach Policy content analysis

Interviews with policy makers in order to identify existing or lack of policy statements and measures put in place to facilitate policy implementation

The bottom-up approachInterviewed actors in formal and informal implementing institutions where adaptive decisions are made

• Aimed at assessing relative importance of the prevailing policies as a constraint or facilitator on decision making process at local levels, as well as identifying what drives practice

Mapping of the adaptation policy context

National levelWater policy

Land policy

Legislations & Policies impacting on both– Water Act

– Environment Management and Co-ordination Act

– River Basin Development Authority Acts (various)

– Forest Act and

– Agriculture Act

Low integration of land and water use issues at planning stage resulting in duplication of projects and efforts

• Leads to sector conflicts and confusion among stakeholders

Mapping of the adaptation policy context

at the local level

Formal strategies

Several measures but key:

Water Resource Users Associations (WRUAs) provided under the Water Act• WRUA is to promote dialogue between water

users and the Government

Traditional land and water use managementPastoralism itself has been a way of adaptation• CC making it untenable

Traditional systems

Land held in trust by the local councils

Difficult for a Turkana to conceptualise

private land ownership

Closest there is to ‘Ekwar’

• Family land allocated by community

• Folder trees—access exclusive to family

– Protected i.e. cannot cut them

– Impact of climate change and population growth and

urbanisation impacting on sustainability of Ekwar

‘adakar’ system of land mgt

• Systematic movement of the pastoralists under

the guidance of a renowned warrior called

‘Emuron’

• Emuron - traditionary very powerful, a seer

• Determines areas that should be grazed in wet

and dry seasons

• Insecurity making this system untenable

– Cannot move to areas neighbouring hostile tribes even

though greener

Conflicts between local practices and

sub-national/national policies

Conservation efforts conflict with the pastoral system of nomadism

With land being held in trust by the local councils, where does community responsibility begin and where does that of the government start

The local communities are not well versed with the formal land policy

Communal land ownership makes it difficult to initiate development projects as some communities are suspicious about such initiatives

• And the power of the Emuron

Diversion of water for cultivation during dry spells by agro-pastoralists against water resource management regulations

Institutional weaknesses, e.g. at the district level, the WRUAs and WSB take instructions from the head office bypassing the District Water Officer (DWO). However, water policy issues rests with the ministry and not the WRUAs/WSB

5/21/2010

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Mapping of policy processes and actorsWhose voices matter in land and water use

management

Constraints to adoption of adaptive

policies

High levels of illiteracy and poverty

Traditions e.g. emuron

The very arid conditions prevent even good

meaning farmers to adhere to policy e.g.

keeping 30m off water banks; keeping off

pastoralists from water catchment areas

Use of international org. & ignore CBOs,

FBOs

Spaces for Policy Influence identified by policy

makers and implementers

District steering group meetings: An invited and a bureaucratic space for policy influence

But weak grass-root representation

Not clear who is responsible for passing on the recommendations of the DSG to the national level

But even when channelled to the national level, no action seems to be taken

The Interim National Boundaries Review Commission -- land boundary related issues MPs have a lot of influence on outcomes of this invited space

The Ministry of Water and Irrigation: A bureaucratic space available through WRMA and Catchment Advisory Committee

Frontline extension workers- Practical spacethe interaction between the extension workers and communities provides an opportunity for local people to influence policy

The vastness/remoteness of Turkana constrains coverage and therefore policy/practice influence

Identified spaces by the community

Media platforms – raise grass root voices

FBOs: Trusted, by the communities, have a good working relationship with government; they have resources to implement their programmes and have demonstrated commitment over the years

They participate in the invited policy space, the bureaucratic space and the practical space

The NGOs also provide an effective practical spaceHave a close association with local communities and therefore can pass down government policy messages and voice community policy concerns

Identified spaces by the communityCivic education seminars

Grass-root involvement- local pastoral development organizations. However, most of these groups are still weak and would need capacity development for advocacy and governance

Enforcement – the community expressed the need to work together with enforcement agents

Weak enforcement leads to people ignoring the rules governing land and water use

Research feedback forums - communities expressed the need to get feedback from policy research in order to get better understanding of policy issues Local Administration (Chiefs) office- Chief’s barazas provide a platform for government position as well as feedback from the community

The chief represents the local people and therefore should be empowered to enable him/her communicate policy issues adequately

Community-based vernacular radio stations can play a vital role in promoting policy statements. Past experiences of radio dissemination of early warning information have been successful

Use the educated local people to pass on their concerns: due to high illiteracy and low level of awareness, some community members choose to rely on their own educated people who are perceived to better articulate local issues

Water User Associations- are mandated by the community to manage water issues. In addition, they receive training on management of water resources from ministry of water and through NGOs working in the area

5/21/2010

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Conclusions

Although communities are not entirely ignorant of formal policies affecting water and land use in the area, only a few seemed to know and understand the policies well

Erosion of the traditional natural resource management system threatens to weaken the voice of the pastoralist in influencing policy matters affecting their resources

Weal relationships and low interaction between various actors in water and land sector also affects the understanding and subsequent application of policy and the management strategies

A high presence of both NGOs and FBOs is significant –trusted actors who can form an interface between policy and practice

5/21/2010

1

Adoption of weather information generation,

packaging and dissemination

Research review workshop

Prof Kassim Kulindwa

TanzaKesho Consult Ltd

26/04/2010

Outline

Introduction

The aim of the client PAR and value addition

The study process

Policy context

Narratives and evidence

Politics and interest

Actors and institutions

Policy spaces

Introduction: PAR research and RPA

value addition

This project is the outcome of the implementation of the

project titled Managing Risk, Reducing Vulnerability and

Enhancing Agricultural Productivity under a Changing

Climate. Whose overall objectives areThe overall aim of this project is to ‘reduce vulnerability of the

marginalized,

safeguard livelihoods,

increase flexibility in the management of vulnerable systems, and

enhance adaptability of smallholder farmers in the Greater Horn of

Africa to face the challenges posed by climate variability and change.

This will be achieved through Enhancing the overall information base on

impacts of climate variability among others

Introduction: RPA value addition

To investigate the policy development process including major

actors to adaptation policy in order to identify pathways for

effective policy influence

To determine entry points to our (RPA) intervention towards

facilitating the PAR researchers to effectively deliver their

messages to the relevant policy makers and other stakeholders

To identify additional policy spaces that will be used to

deliver policy messages developed by PARs

Develop policy engagement strategy which will be used

by the PAR researchers to navigate their research outputs

through the policy process.

Introduction: The study process

It review and development of case studies (after engaging

the PAR severally)

Design of study instruments

Identification of stakeholders (apart from PAR and their

boundary partners

Field visits in Same farm and consultation and engaging

with PAR, communities, District and national level

stakeholders

Report writing and sharing with PAR & IDS for comments

Policy context

What drives policy in Tanzania are multiple interests.

Before 1990s policy processes were monopolised by

government and more linear and predictable

Post 1990s policies began to have the look of national

policies due to being participatory but also becoming

more complex, multidimensional and unpredictable Eg.• The National Land Policy took took 5 years, while its bill took 10

years to prepare and get accepted in 2005. Main actors incl. NGOs

for gender equality& pastoralists rights, academics, government

and donors on low profile

• The NGO policy took about 5 while the bill took only 1 year to be

developed and passed. Actors incl. Donors, NGOs, international

institutions and government

5/21/2010

2

RESULTS: Narratives‘Agriculture is the backbone of the Tanzanian economy’

Siasa ni Kilimo (Politics is Agriculture),

Kilimo cha Kufa na Kupona (Agriculture is a Matter of Life and

Death)

The above not fulfilled

‘kilimo kwanza’ (Agriculture first)

Victim of previous unfulfilled policies

climate change is real and has huge impacts to Developing

Countries -NAPA

climate change adaptation on the agriculture sector has huge

potentials for avoiding food shortage – President

Weather forecasting has and important early warning role –

Director Division of Food Security

Findings: Politics and Interest

Political position and institutional interest in climate

change adaptation of most surveyed institutions draws

from the national position Climate Change is a national

agenda and the current agricultural revival in the form of

‘kilimo kwanza’!

District commissioner sees it as supporting district

efforts to food security

FAO in Tanzania supports the project and urges that

use of approach by farmers is of utmost importance.

Findings: Actors and Institutions

PAR researchers ambition to successfully accomplish

the project

TMA partners interested in improving on effective

weather information delivery

SAIPRO works to improve food situation in erratic

weather areas of Same District. It sees the project as

opportunity to empower farmers and supporting its

activities in the district

The Food Security Division of MAFC interesting in

improving early warning system

Policy Spaces

Mainly practical, invited and bureaucratic policy spaces, lobbying

Practical spaces;- farm demonstration plots and pilot projects

Invited spaces;- attending various meetings through invitation by NGOs e.g. Policy forum, Agriculture working group of the Development Partners , Agriculture sector consultative group,

Bureaucratic spaces;- through MDA processes e.g. District

Full Council, Regional Consultative Council (RCC)

Lobbying;- government and parliament

Media

Thank you for your attention.

1

Mainstreaming Agrometeorological Advisory Services into the National Agricultural

Policy

Mr. J. Laichena

Kenya Institute for Public Policy Research and Analysis (KIPPRA)

OVERVIEW

Introduction

Policy Context

Narratives and Evidence

Politics and Interest

Actors and Institutions

Policy spaces

Conclusion and Recommendation

Introduction

Agriculture plays a major role in Kenya’s economy and livelihoods of its people.

The kind of agricultural activities undertaken and their success is however dependent on, among others, the soil and climatic/weather conditions prevailing in an area

weather/climate conditions and patterns tend to influence the geographic distribution of agricultural practices in the country

Introduction cont.

climate also influences agricultural production through the inter-and-intra season variabilities reflected by droughts (water scarcity and high temperatures) and wetting (floods, clouds, rainfall, humidity, cold temperatures)

One way has been through the integration of meteorological forecasting information with agronomic knowledge in advising farmers on timely and best practices

In Kenya agrometeorological services have lagged behind

Introduction cont.

Among the possible reasons for this are policy and institutional issues governing research, weather forecasting and dissemination

Some local initiatives to promote agromet services have provided positive results to learn from

For instance, in 2008 KMD in collaboration with KARI, MoA and ICRISAT initiated an agromet project covering some districts (e.g. Mutomo in the previous Kitui and Mwingi districts)

Introduction cont.

Through the initiatives weather forecasts were downscaled to local situation and farmers advised on the right crop varieties to plant and when.

This created the need to mainstream agromet services in the national agricultural policy so that it becomes the mandate of parties concerned to offer agromet services in the whole country

2

Introduction cont.

This study therefore geared towards investigating factors that:

constrain the development of agromet advisory services;

who are the main and potential actors that can be involved in the policy formulation and implementation process,

What are their interests and influence;

Introduction cont.

pathways for influencing the policy formulation process; and

existing policy gaps that need to be addressed so as to enhancd the integration of agromet services into the national agricultural policy

Agromet Policy Context cont.

Agrometeorological service can however originate from farmers themselves as illustrated by the case in Ningxia, west China (see Stigter, 2007).

Therefore, its development should start by harmonising the agrometeorological practices existing in an area; then integrating them with science generated knowledge from other case studies, before dissemination and training of farmers can take place.

Policy Context cont

The main focus of agrometeorology is to provide information through advisory services to farmers in order to ensure timely and appropriate implementation of agricultural activities; as well as for planning purposes (Amien, 2004).

It has therefore found application in:

farming practices and management;

agricultural policy and planning;

research;

Policy Context cont

Effective agrometeorological services requires four support systems i.e. data, research, education/training/extension, and polices (Stigter, 2007).

The data support system comprises all that is used to generate information for the various end users and cuts across the atmospheric environment (climatological); agronomic; biological/phenological; soil; data on agricultural

Policy Context cont

yield, area and production used in modelling; and any other form of data e.g. GIS, remotely sensed and ecological data that adds value in generating the needed information (Huailing, 2009; Stefanski, 2004).

The research support system feeds the data system by carrying out studies on the environmental/agronomic and climatological aspects and is normally undertaken by research organizations, universities and other relevant bodies.

3

Policy Context cont

The training and extension support system deals with equipping the agents of information dissemination with the relevant tools and skills to enable effective delivery.

The policy support system provides the necessary environment and advice to the government about interventions for guiding agrometeorological services development.

Policy Context cont

There is therefore need for appropriate national policies that safeguard the limitations imposed on agrometeorological service systems by disabling institutional polices, changing institutional mandates, institutional failures, distinct subcultures within and between institutions, institutional attributes of key players (meteorologists, the scientists and extension workers), as well as by differences in disciplinary cultures and perspectives (Subbiah and Selvaraju, 2007).

Policy Context cont

The actor has primarily been the government for many years after independence until the introduction of agricultural reforms in the 1990s that brought about the involvement of several other stakeholders such as the parliamentary caucuses;

The process is increasingly becoming consultative especially after the introduction of the District Focus for Rural Development strategy with a number of stakeholders (parliamentarians, professionals, private sector, trade unions, financial institutions, industrialists and ASAL representatives among others) been involved in a number of policy processes

Conclusion of the Case study Review

The review illustrates the relevance of agrometeorological services in agricultural production especially in the context of changing climate.

The review further shows that agrometeorological services can be tailored to benefit farmers in the wake of changing climate but would require strengthened collaboration between actors;

institutionalisation of agro-met services; strengthening of data gathering, integration and sharing between actors;

Conclusion of the case study Review cont.

use of modern techniques/tools for data collection and analysis;

strengthened extension service and information dissemination mechanisms.

Aspects of institutional arrangement and collaboration are well illustrated in some of the case studies with positive impacts on agromet services provision though weak in others.

All these have implications for KMD operations in mainstreaming agromet services in Kenya.

Conclusion of the case study Review cont.

The most notable issue about the case studies is the lack of emphasis on policy issues especially the policy formulation processes and pathways followed.

This is unlike literature on institutional arrangements and collaboration between actors.

4

STUDY METHODOLOGY

The study was carried out at two levels:

National and district levels with Mwingi and Kitui being the focal districts.

The two districts were selected as a follow up to the climate change project implemented by KMD in collaboration with KARI, MoA, ICRISAT and local community which emphasised on agromet advisory services through forecast bulletins.

Mwingi District

Mwingi district is one of the 13 districts in Eastern province and has 9 administrative divisions

The district was curved out of Kitui district in 1992 and borders five districts: Kitui to the south, Mbeere and Meru South to the north, Machakos to the west, and Tana River to the east.

The 1999 Kenya population and housing census showed that the district had about 303,000 people and a population density of 30 persons per square kilometre

Mwingi District cont

The district is semi-arid covering an area of about 10,000 sqkm, with the greater part of the district being plains except in the north-eastern where it is hilly.

Attitude ranges from 400m on the plains to about 1700 m on the hilly regions.

The drainage system is controlled by Tana River catchment that is fed by several seasonal rivers flowing in north and north-west directions

Mwingi District cont

The climate is generally hot and dry for most of the year, with temperatures ranging between 26 and 34 degrees centigrade.

The annual average rainfall ranges between 500 and 700mm and is highly unpredictable from year to year.

The short rains are experienced between October and December and long rains between March and May.

Owing to rainfall unpredictability, agricultural production and food security have been affected for a number of years resulting in high dependence on emergency relief operations

Mwingi District cont Kitui District

Kitui district also lies in eastern province and occupies an estimated 20,402km2 part of which is covered by Tsavo east national park.

The district has 10 divisions and about 57 locations.

It borders Machakos and Makueni to the west, Mwingi to the north, Tana River to the east and Taita-Taveta to the south.

Temperatures are normally high in the range of 16oC to 34oC.

5

Kitui District Cont.

The district is characterised by arid and semi-arid climate that is hot and dry most of the time causing high evapotranspiration.

The annual rainfall ranges between 500mm and 1050mm depending on the relief of the area; and being erratic and unreliable.

The long rains fall in April/May while short rains in November/December.

Due to erratic nature, the long rains are less reliable.

Kitui District Cont.

Majority of the population is rural based and derive its livelihood from a variety of sources including agro-pastoralism, charcoal burning, sand harvesting among other subsistence activities.

However, due to climate variability and change (especially erratic rains) coupled with low agricultural productivity, agricultural production has been hampered leading to food shortage.

Findings

Evidently, agromet advisory services are poorly developed in Kenya and cannot provide appropriate and timely information for guiding agricultural development.

This has resulted from a number of factors relating to policy and institutional issues governing research, data gathering, extension/training, and policies.

Findings cont.

This study identifies the constraints, actors, and possible pathways that can be harnessed in mainstreaming agromet advisories into the national agricultural policy.

This will require a policy for popularising agromet services in the country as a major service in support of the Kenya’s economic growth and including the provision of agromet advisory services in the operation mandate of key national institutions.

Findings Cont.

This has been established through an in-depth review of agromet services (institutional arrangements and collaboration; data gathering, analyses and dissemination mechanisms employed) in other countries across the world.

Constraints

limited capacity to handle agromet advisories effectively;

bias towards aviation over agriculture;

inadequate data gathering and information dissemination mechanisms;

lack of awareness of the relevance of agromet services for climate change adaptation.

6

Challenges

lengthy procedures,

lack of effective follow-up mechanisms and

poor information flows.

Farmers also face many limitations in influencing policy and despite a great number of actors who could play major roles in agromet advisories and climate change in general there are currently very few champions – either individuals/institutions to drive improvements and policy change.

Challenges Cont.

Overcoming this requires greater collaboration between the key institutions identified and more knowledge sharing fora

Constraints to Agromet Services Development in Kenya

The slow pace of agromet services development in Kenya results from a number of factors as revealed through discussions and interviews.

Bias towards aviation than agricultural development

Since independence the Kenya Meteorological Department emphasis has been on providing weather forecasting for aviation purposes than for agricultural development. This was attributed to its placement under the Ministry of

Constraints to Agromet Services Development in Kenya

Weak collaboration between main actors

KMD, KARI and the Ministry of Agriculture are the main actors in the agro-meteorology sector. For effective agromet services strong collaboration in research, advisories development and dissemination is necessary.

Similarly, there is weak collaboration between KMD and MoA in interpretation of weather forecasts to ensure that appropriate information reaches the intended users (farmers). The generated weather forecasts are passed to the Ministry of Agriculture through letters and email for the ministry to interpret and disseminate.

Constraints to Agromet Services Development in Kenya

Failure to actualise MoUs between parties

The poor collaboration between actors emanates from institutional mandates and the failure to actualise Memorandum of Understanding between parties. For instance, in the 1980s KARI invited KMD officers at its stations countrywide for collaboration in data collection and integration in crop research studies. The initiative was however challenged by institutional mandates and aspirations leading to ineffective co-operation such that KARI undertakes research activities almost independently, and dedicates only 13 stations for agrometeorological data observations (Gathara, Personal comm.).

Constraints to Agromet Services Development in Kenya

Failure to involve other potential actors While KMD, MoA and KARI are the main players in agromet services development,

there are a number of potential actors who ought to play part owing to their undertakings in data gathering, climate change interventions, agricultural development, information dissemination, awareness creation and advocacy. They include the Department of Remote Survey and Remote Sensing (DRSRS) providing remotely sensing services that could provide real time data for areas not covered by KMD weather stations; KENFAP dealing with advocacy and policy matters; ALRMP in climate change adaptation and policy; national and local radio stations disseminating information to public; NGOS and faith based organisations supporting agricultural development and climate change mitigation among many others.

7

Constraints to Agromet Services Development in Kenya

Inadequate dissemination channels

KMD employs several mechanisms in disseminating weather forecast information. The challenge is that they are not well tailored for the farmer as end user. For example, the weather forecasts are passed through email or print outs to the Ministry of Agriculture which is mandated to interpret and package the forecasts to farmers through its extension service. This is irrespective of the fact that most extension personnel lack the capacity to interpret meteorological information.

KMD also issues weather bulletins through its website which require ICT and internet to access. Most rural areas have no internet access and majority of farmers are not knowledgeable on ICT to enable them use the facility effectively.

Constraints to Agromet Services Development in Kenya

Lack of feedback Mechanism

Agromet services require strong farmer-research-extension linkages to enable effective flow of information between parties. However, KMD relies on top-down approach in disseminating agromet advisories which has not provided room for feedback. It therefore lacks the mechanism of assessing the effectiveness of weather forecasts interpretation by extension service or ways of gathering views from farmers.

Constraints to Agromet Services Development in Kenya

Inadequate funding Funding has been a major constraint of agromet services development

in Kenya. First, effective agromet services development requires sufficient and reliable data obtained through a network of ground weather stations and remote sensing. For many years KMD relied on donor funding to maintain and equip its stations. With declining support many weather stations have been rendered non-functional.

KMD is unable to modernise its facilities for accurate data gathering and analysis; and cannot hold the National Agromet Coordination Committee (NACC) joint meetings with KARI, CBS and MoA to

discuss agriculture and climate issues.

Constraints to Agromet Services Development in Kenya

Inadequate data gathering and forecasting infrastructure

Before 1990, KMD had a network of over 2500 weather stations across the country collecting meteorological data through donor support. With dwindling financial support, it became difficult to maintain them and only about 1000 are operational

This has had implications on the spatial-temporal analysis of collected data and the accuracy of the products.

The distribution of agrometeorological stations is also skewed in favour of high potential areas, which makes it difficult to produce relevant forecasts and products for marginal areas.

Constraints to Agromet Services Development in Kenya

Inadequate technical capacity

Kenya lacks adequate skilled manpower in the field of agrometeorology because existing training programmes focus on general meteorology. The agrometeorology section is understaffed.

The study found that due to lack of emphasis on agrometeorology for many years, the few qualified staff had sought for alternative engagement. There are no meteorological officers at district and divisional levels who can collaborate with agricultural and extension personnel in interpreting and integrating weather information with agronomic knowledge.

Constraints to Agromet Services Development in Kenya

Inadequate number of extension personnel

In addition to lack of exposure to agrometeorological matters, the MoA extension service is characterised by insufficient number of extension personnel who can cater for the farmers’ base in the country. As a result it is not possible to provide extension service at every farm hold. Instead, there is a shift towards demand driven extension where farmers have to seek for such service.

8

Constraints to Agromet Services Development in Kenya

Lack of awareness about climate and agriculture Despite the fact that KMD initiated an agromet section in the 1970s,

there has been little attention on creating awareness among farmers on the role of agrometeorology in agricultural production. Hence, demand for such service has been low.

Despite the climate change farmers are unaware of the linkage between climate and agriculture or ways they can adapt to climate change through agromet services.

The awareness has limited farmers in knowing the right variety to plant given certain amount of moisture, when to undertake various agronomic activities, and interpretation of weather forecasts.

Constraints to Agromet Services Development in Kenya

Non-Demand Driven Research

For many years KARI has been the sole institution advancing agricultural research in Kenya. Though the research focuses on crops, livestock, soil fertility management issues deemed fit for agricultural development, the uptake of the technologies has remained low.

This is because the research was not demand driven and rarely considered the socio-economic aspects of farmers and their needs. The farmer-research-extension linkage in agromet initiatives in Kitui and Mwingi have shown that farmers have their particular needs based on resource endowment, environmental conditions, understanding and affordability of technologies among others that need to be factored in research development process.

Constraints to Agromet Services Development in Kenya

Ineffective interpretation of weather forecasts

Agrometeorology being a new discipline requires collaboration between actors in research, meteorology and extension in order to interpret and package the information in the most user-friendly manner for farmers through bulletins or other means. However, most of the information from KMD is passed to the divisional extension personnel with minimal or no interpretation. It is the duty of divisional extension to interpret it according to their understanding and advice farmers accordingly.

There is lack of fora to deliberate and interpret weather forecasts at the district level owing to lack of meteorological personnel.

Actors, Interests and Influence

The study found that there are many institutions/organisations dealing directly or indirectly with climate change at national and district levels.

They have interventions in areas of water conservation and management, soil fertility management and conservation, information dissemination about climate change impacts, research, relief, community development, advocacy, crop and livestock production, among others.

Hence, their interests vary across the board.

While many may not be aware that their activities are geared towards climate change adaptation, it would be crucial to enhance collaboration for sharing and supplementing each other’s activities to avoid duplication.

Actors, Interests and Influence

The study found that the main actors are the Ministry of Agriculture (for extension services), KARI (agricultural research), and KMD (for meteorology aspects).

Other relevant actors are Universities for capacity building and research, ALRMP, the Catholic Church, DRSRS for remotely sensed data acquisition, the media especially national stations for disseminating information; NGOs for advocacy, funding and mobilisation of people to act e.g. Action Aid, World Vision, Practical Action;, and WMO for capacity building and research.

Actors, Interests and Influence

At the local level there are a number of actors involved in one way or the other in climate change and agromet services development.

They include the CBOs, government departments at district and divisional levels, CDF, local leadership, provincial administration, NGOs, development associations and farmers groups.

However these actors have varying degree of influence, interest and power

9

Power/influence Matrix

High Influence – low power

Churches (e.g. Catholic Church)

Development Associations, Universities, World Vision, German Agro Action, ALIN, OXFAM, Civil Society, ICRISAT,

Low influence - low power

Local leadership (councillors & chiefs), CBOs, IDEP, Farmers groups, Farm Africa, women groups, NGOCAP, Friends of Kitui, Local NGOs (SASOL), GENESIS, CRS, CAFOD, TROCAIRE, DRSRS

Power/influence Matrix

Low influence – high power

CDF, WFP, Red Cross Kenya,

High influence – high power

MoA, KARI, KMD, Political Leadership, Provincial Administration, ALRMP, MoWI, NEMA, KEPSA, KENFAP, FAO, Action Aid, World Bank, EU,

Champions for Agromet Services

Despite that there exist a number of actors who can play major roles in agromet advisories and climate change in general; the study revealed that there are currently very few champions - individuals/institutions.

This is probably due to the fact that agrometeorology has been inactive in Kenya for many years. Nevertheless, through discussions and interviews we managed to identify a few individuals and institutions that could be explored in championing agromet services in the country.

Champions for Agromet Services

They include the KMD, KARI, Ministry of Agriculture through its PS and Minister, the Prime Minister, Members of Parliament (MPs), the Catholic Church, KEPSA, KENFAP, ALRMP, European Union, World Bank, Office of the President, OXFAM.

The European Union (EU) is a major donor to many development initiatives in the country and is therefore likely to influence what it feels will benefit small-scale farmers.

Champions for Agromet Services

The World Bank on the other hand has relationship with the parliament through financial support and could therefore influence it to act on certain issues deemed of need to public.

The Office of the President can champion agromet services through its executive authority by influencing policy formulation while OXFAM can motivate action through its regular policy briefs based on research findings.

Champions for Agromet Services

At the local level prominent farmers who through their farming activities, advocacy, technology adoption, and training of other farmers can be of considerable contribution.

10

Pathways for influencing the policy process at national level To overcome the lengthy and demanding process of policy

formulation, we sought for opinion on possible pathways that can be used in speeding up the process of mainstreaming agromet advisory services into agricultural policy.

It emerged that at the national level several pathways can be explored.

Pathways for influencing the policy process at national level Seeking for presidential decree or executive authority where the president

declares the need for having a certain policy in place.

The advantage of executive authority is that all concerned parties in the formulation process tend to accord the policy formulation process the necessary support such that it takes minimum time.

The challenge of it is that it may be passed but fail to get the necessary legal structures/ legal basis to support its implementation.

To take advantage of executive authority, strong advocacy is required based on numbers and facts/evidence, and should be backed by strong public support otherwise the policy will face problems during implementation.

Executive authority is however limiting if the policy issues being addressed touches on legal matters.

Pathways for influencing the policy process at national level Introducing private member’s bill/motion in parliament:

The draft policy can also be introduced to parliament through private member’s motion for debate.

It requires high support and political goodwill that can enable it pass in record time.

The challenge with the system is that if subjected to political inclination or lack of quorum for support, it may be defeated on the floor of the house.

Pathways for influencing the policy process at national level Through National umbrella bodies such as the Kenya National

Federation of Agricultural Producers (KENFAP) which is a federation of agricultural producers that is involved in strengthening farmers, lobbying and advocating for agricultural concerns, information and communication among others.

As a national body in agricultural arena with a lobbying and advocacy division, it stands better chance of advocating and lobbying for policies.

KENFAP is better placed to advance and lobby for the agromet services policy because:

Pathways for influencing the policy process at national level It holds statutory meetings at the various levels (from lowest at

farmers associations to the highest at Provincial Advisory Board (PAB)) where ideas are generated and discussion at policy level.

KENFAP also enjoys good links with KARI in the respective centres at district level that enables arising matters to be solved collaboratively and if not they are channelled to higher levels for intervention.

Similarly, KENFAP collaborates with KARI at the national level on issues of research and policy and through this channel it has enabled it to contribute to policy development regarding several agricultural issues in the country.

Pathways for influencing the policy process at national level KENFAP also collaborates with universities in research activities used to

inform policies.

It is also a member to the Kenya Private Sector Alliance (KEPSA). As a member it is able to contribute through debate on various issues during the quarterly meetings when agricultural issues worth policy address are discussed.

KEPSA also participates at the Prime Minister’s round table of discussions when various issues affecting the country are presented.

KENFAP through KEPSA could therefore take this advantage and ensure that the issue of agromet services is discussed during the forum.

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Pathways for influencing the policy process at national level Out of round table discussions the PM could advice technocrats to look

into agromet advisories issue.

Additionally, KEPSA participates in several other fora where it can forward its argument for agromet services for appropriate consideration. They include the departmental meetings of Parliament, the Speaker’s Round Table meeting where thorny policy issues are discussed, the Agricultural Sector Coordination Unit (ASCU) of the MoA. In the last two years KENFAP has been involved in several policy processes through ASCU that touches on targeted research, extension, livestock breeding, bio-safety and poultry production.

Pathways for influencing the policy process at national level Central Agricultural Board (CAB):

CAB is a national level forum in the MoA that is chaired by the Minister in charge because some of the issues discussed require gazettement.

It has provided a favourable atmosphere for agricultural policy development.

Though it operates on top-down approach where the information is passed to district level, it still provides a great avenue where touchy matters can quickly be considered within the policy environment.

Pathways for influencing the policy process at national level Provincial Agricultural Board (PAB):

PAB holds quarterly meetings with participation of DAOs, institutions under agriculture, Provincial officers, and PS in the MoA.

Though it is increasingly becoming difficult to hold such meeting due to financial challenges and the increasing number of people involved after the creation of new districts, the forum has potential to relay information to ministry head office for consideration.

Pathways for influencing the policy process at national level Quarterly provincial management meeting for the National

Agricultural & Livestock Extension Programme (NALEP)which brings together managers in the livestock, agriculture, water and other related sectors to discuss matters of agricultural development.

The deliberations inform the MoA of the conditions and requirements in promoting the agricultural sector.

Its recommendations can therefore serve in promoting agromet services in Kenya.

Pathways for influencing policy process at District and Local Levels In addition to pathways identified at national level, a number of other

potential pathways were identified at the local and district level. These pathways use the bottom-up approach and they include:

District Steering Group (DSG), which brings together stakeholders at the district level. Membership is drawn from agricultural stakeholders including departmental heads in government ministries, NGOs, faith based organisation, politicians, local NGOs, opinion leaders,. The DSG is chaired by the District Commissioner (DC) or and meets monthly. The deliberations are passed to the provincial level for consideration and action.

Pathways for influencing policy process at District and Local Levels District Development Committee (DDC) is another avenue

chaired by the District Commissioner and handles all development matters in the district.

It is attended by heads of government departments who report on progress made in various fields of development.

Though not a very common avenues for all stakeholders, it can be used to pass recommendations to the provincial level.

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Pathways for influencing policy process at District and Local Levels Sub-district and District Committees (Sub-DAC & DAC):

These comprise meetings at division, district and provincial levels.

They are attended by the agricultural stakeholders in the respective levels during which deliberations of improving agriculture is deliberated.

Participation cuts across government departments, ALRMP and other major stakeholders such as NGOs supporting agricultural development, and farmers’ representative from every location..

Pathways for influencing policy process at District and Local Levels Extension service channel: the ministry of Agriculture extension service

stretches from the divisional to national level.

Information gathered or passed to the extension service finds its way to the District Agricultural Officer (DAO) who in turn communicates to the Provincial Agricultural Officer (PAO).

Through the hierarchical order, the information is passed from the PAO to Directors at MoA headquarters, then to the Permanent Secretary and eventually the Minister in the ministry.

The challenge with the system is that it is report based and whatever is addressed may fail to elicit attention up the hierarchy.

Pathways for influencing policy process at District and Local Levels Church: There are several churches in Mwingi and Kitui

districts advocating various issues touching on community faith, health, agricultural, environmental etc.

They are used by NGOs and government departments to create awareness and pass information to public.

However, churches can also be an excellent pathway for informing policy about what is most needed in a society.

Pathways for influencing policy process at District and Local Levels Through advocacy during normal church activities the

information may reach those in policy.

Equally, the church may initiate a process of gathering views and passing them through its hierarchy to reach the top level audience dealing with policy formulation. For instance, the Catholic Church has its wing the Justice and Peace Commission which gathers and compiles views from followers and relays them to relevant government institutions. Through this way it is able to influence the policy environment.

Pathways for influencing policy process at District and Local Levels Media is another locally and nationally based pathway for influencing

policy.

At local level several FM radio stations are operational broadcasting a variety of information to public and farmers as well.

Though media (radio and published articles) can channel relevant information to influence policy, they have mostly been used to relay information to farmers (top-down approach).

The limitation with media as a pathway is the tendency to twist information in order to make it marketable as it can disorient the intended information.

Pathways for influencing policy process at District and Local Levels Political leadership: including the councillors and Member of Parliament

(MP).

Political leadership is instrumental in the development of rural areas in Kenya.

The advantage of political leadership is that if it champions a course, there is high likelihood for success due to the massive influence they have on the political landscape.

However, the pathway is rarely used since leaders are out of reach by many especially at grass root level. Political leadership is also known to champion only issues with weight on the political front.

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Pathways for influencing policy process at District and Local Levels NGOs: Kitui and Mwingi by virtue of their needy situation have

attracted a number of national and international NGOs.

Among them the Red Cross Kenya, German Agro Action, Action Aid, Farm Africa, and SASOL among others dealing with various activities such as soil and water conservation, relief, food security and livestock development. Most NGOs operate for a period of time and leave after the project/programme is over.

While a few have policy divisions that take up issues observed from areas of intervention and pass them to relevant government departments, most are concerned with their primary goal.

Pathways for influencing policy process at District and Local Levels Stakeholders’ forum: Stakeholders’ forum is organised at district and provincial levels

bringing together NGOs, farmers, government departments and CBOs to deliberate on common issues affecting agricultural development.

Though important it may lack effective follow up on the deliberations to ensure they are implemented.

District Environmental Committee (DEC): the committee deals with environmental and related issues. It is chaired by the DC and attended by NEMA, MoA personnel, farmers and other stakeholders. The MoA could pick the issue of agromet services and recommend it as a strategy for coping with climate change as well as enhancing environmental sustainability for production.

Thank you

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1

Research to Policy for Adaptation

The Adoption of Malaria Epidemic Prediction Model

(MEP) for Reducing Malaria Incidence: Tanzania Case

Study

Natu E. Mwamba

Research Review Workshop, Lilongwe, 26-28 April 2010

TanzaKesho Consult Ltd

TanzaKesho

Consult Ltd

TKC

Outline1. Introduction

2. Objectives of the PAR project

3. Objectives of the RPA project

4. RPA value addition

5. RPA project implementation process

6. Narratives and evidence

7. Politics and interests

8. Institutions and actors

9. Policy spaces

10. Challenges

1. Introduction

A Malaria Epidemic Prediction (MEP) model was

developed by the Kenya Medical Research

Institute (KMRI) in 2001.

The model uses climatic factors to detect an

epidemic 2-4 months before its occurrence, thus

providing sufficient lead time for interventions.

It combines climate observation with medical

research to better predict the onset of highland

malaria outbreaks in Kenya, Tanzania and

Uganda.

The model has been tested and validated in some

parts of Kenya and Tanzania

2. Objective of the PAR project

This Participatory Adaptation Research (PAR)

project‘s main objective is to transfer the MEP

model to end users in East Africa and

specifically sensitize major stakeholders

to enhance the capacity of policy makers to be

able to use the model to develop useful early

warnings of malaria epidemics

to enhance the capacities of vulnerable

communities and groups to respond to these

early warnings

3. Objective of the RPA case study

The overall objective of this case study is to

understand the activities being undertaken by

the PAR project, investigate the policy

development process, identify policy spaces

and to come up with an engagement strategy

which will enable the PAR researcher

effectively deliver their messages to the

relevant policy makers and other stakeholders

in Tanzania

4. RPA value addition

The RPA‘s intention is to determine the entry point

towards facilitating the PAR project deliver its

messages to the relevant policy makers and other

stakeholders that may result into actual action being

taken on the ground through direct influence by

demonstration and through policy development

processes.

This is expected to influence policy and bring about

the desired change in terms of adaptation to climate

change with respect to health impacts particularly the

malaria epidemic

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5. RPA project implementation process

After the Belinda workshop the RPA team visited the

PAR team in Tanga and noted that PAR researchers

have been part of policy process by providing data in

the review of the National anti-malaria policy, working

on malaria vaccine trials

However, the PAR project was not officially known to

the district authorities and they agreed to inform the

district about the project.

The activities to be done by the TZ PAR team i.e.

data collection, training and workshop were on-going.

The main challenge was obtaining long term medical

data for 20-30 years ago

5. RPA project implementation process cont/..

Other stakeholders visited during field work were very

positive on the information about the MEP model but

they were very cautious on the validation of the science

behind the model.

The stakeholders were willing to be part of the most

crucial phase that is the validation pilot testing phase

They indicated that for the model to be accepted it

should be tested on pilot trials for at least 5-6 cycles

The current national environment is conducive for the

MEP model to strive but it has to be scientifically

accepted first.

The PAR researchers need to work hard on collecting

reliable data, fine tuning the model and pilot testing

6. Narratives and evidence

Climate change will result into increased

malaria incidence in highland areas (NAPA,

Stern review).

One of the reason NAPA identified the

Ministry of Health and Social Welfare as a

vulnerable sector was because of the

increase in malaria cases due to higher

temperature across the country resulting

emergence of highland malaria.

6. Narratives and evidence cont/…

The National Health Policy (2007) on prevention and

control of endemic, epidemic and pandemic diseases

has formulated special control programmes against

such diseases as Malaria

One of the expected outcomes of the NMCP Medium

Term Strategic plan 2008-2013 is to have an effective

early detection and rapid response to malaria

epidemics.

These narratives in the form of important national

documents NHP and NMCP Medium Term Strategic

plan 2008-2013 have put in place a platform for easy

entry of the MEP model in the prevention of the malaria

epidemic.

6. Narratives and evidence cont/…

The government asserts that malaria is the number one

killer and therefore more effort need to be exerted to

eradicate it.

―Malaria Haikubaliki Tushirikiane Kuitokomeza” which

loosely can be translated as ―Malaria is unacceptable,

working together we can eliminate malaria” anti-malaria

campaign supported by H.E. the President of United

Republic of Tanzania Jakaya Mrisho Kikwete and

directed by the Tanzania MoHSW was launched thru a

concert called Zinduka! (―Wake Up!‖) which was aired

live in TV and radio and also captured by print media (13/2/2010)

The new campaign has also inspired 18 popular musicians

to collaborate on a song about malaria—the largest

compilation yet in Tanzanian history

Tanzania Cries Zinduka! ("Wake Up!") to Malaria

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6. Narratives and evidence cont/…

This high profile anti-Malaria campaign provides a

trajectory for the MEP model to be known by the like

mind actors and institutions so as to have support

during the important pilot testing phase which will

justify and validate the science behind the model.

Policy process sometimes needs actors to be on the

right place at the right time to be able to influence the

process and in Tanzania this is the right environment

and time for the recognition of the MEP model

However, there is a distinct group of actors who are

not in favour of the anti-malaria campaign because

they see it as commercially driven especially the use

of Insecticide Treated Nets (ITN) and Indoor ResiduealSpraying

(IRS)

6. Narratives and evidence cont/…

WHO recognizes the urgent need to support countries

in devising ways to cope with changing temperatures

and patterns of rainfall which alters the geographical

distribution of insect vectors that spread infectious

diseases such as malaria and dengue.

WHO assists countries to improve preparedness,

early recognition, and effective and timely response to

epidemics as forecasting for early warning of

epidemic will reduce the risk of malaria incidence.

7. Politics and interests His Excellency the President of United Republic of

Tanzania Hon. Jakaya Mrisho Kikwete, who is also the

Head of the African Leaders Malaria Alliance (ALMA)

launched and supports the Malaria Haikubaliki

campaign in TZ. ALMA is a unifying agency meant to

bring African leaders together to raise global awareness

and support for the fight against malaria.

The TZ campaign is unique because it recruits

advocates from all sectors business, sport,

entertainment and religion.

The politics and interests of the community at large

have been highly stimulated because the campaign is

supported by the National leader.

7. Politics and interests cont/..

In recognition of the importance of climate change

the VPO – Directorate of Environment is now

mandated to present it NAPA annual

implementation progress report for discussion at

the Inter Ministerial Technical Committee (IMTC)

and the cabinet.

In order for the MEP model be accepted at

district, regional and national levels it is of great

advantage to be officially known by the DMO,

RMO and CMO as those offices are the initial

paths for policy process.

7. Politics and interests cont/..

Support provided by Former US President

Malaria Initiative, Bill and Melinda Gates

Foundation, Global Fund, World Bank and

others elevate Tanzania politically across the

globe and therefore there is a great likelihood

for more funds channeled to continue support in

fighting the scourge.

The PAR researchers had encountered

resistance from a certain donor agency and to

find out later that the country where the donor

agency originated had scientists working on

some malaria prediction model.

8. Institutions and actors

The MoHSW provide the policy guidance for the

Health sector

The Division of Health Promotion and Education

system at the MoHSW focuses on risk communication

and has an advocacy role to the district council,

regional and national levels and also to the politicians

especially the social welfare parliamentary committee.

The power dynamics between the members of

parliament and the cabinet ministers may sometimes

not correspond

The IHI works on health systems and is interested in

environmental change, natural resource management

and vulnerability to diseases (Malaria etc)

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8. Institutions and actors cont/..The institute is very good at traditional trials and has

been instrumental in the adoption of the current frontline

malaria drug use. IHI has shown interest to be part of

the pilot testing phase

WHO is responsible for providing leadership on global

health matters, shaping the health research agenda,

setting norms and standards, articulating evidence-

based policy options, providing technical support to

countries and monitoring and assessing health trends

WHO can assist the MEP model in the formulation and

development of the M&E guidelines and can also go to

the field to ensure the rolling out process is done

correctly

8. Institutions and actors cont/..

NMCP coordinates the malaria national initiative and it

is willing to take part in the pilot testing phase

TMA is a very important boundary partner as it provides

crucial climatic data for the MEP Model. The desire is to

have TMA mainstream the climate data collection in its

strategic plan for sustainability purposes

VPO is the custodian of the NAPA initiative and are now

obliged to present the annual implementation process of

the NAPA activities to the IMTC and finally the cabinet

Once the scientific community approves and accepts

the MEP model, then next will be to up-scaling the

model by piloting it at different areas for a period of time

and finally packaging and dissemination of the model.

9. Policy spaces

The use of workshops and seminars for policy makers

have been underscored, this Bureaucratic policy space

takes aboard the policy makers before a drafted bill/act

reaches their offices

The Parliament is one important policy space the project

can utilize because the MPs whose constituencies are

mostly affected will pressurize the authorities to take

action. The VPO- Division of Environment can use this

platform to sell the model when they present the NAPA.

The MEP project researchers can utilize the conceptual

policy spaces whereby they meet other scientists in

conferences, workshops, seminars and present their

research results to the scientific community.

9. Policy spaces cont/…Active participation in high profile anti-malaria campaigns

The media is another effective way of information

dissemination. In March 2010 African journalist met in

DSM under the African Media and Malaria Research

Network (AMMREN a network of African journalists and scientists

working together to reduce the burden of malaria) and supported

by Indepth Effectiveness and Safety Studies of Anti-

malarials in Africa (INESS provides independent advice to policy

makers in African countries and international level in relation to anti-

malarial policies). African journalists concluded and promised

to use their pen and voices to support the scientific world

in their ‗holy war‘ to eradicate malaria.

Such a forum can be an effective policy space for the

presentation and to publicized the MEP model

10. Challenges

The major challenge for the implementation and up-

scaling the model is financial resources. At the

moment the MEP model is funded by the IDRC

project on CCAA which ends in 2011. The pilot testing

phase will need reliable financial resources which are

a constraint.

NMCP has no linkage to NAPA. The strategies that

were developed by NAPA are not coordinated to what

the NMCP has in its strategic plan.

The challenge that TMA faces is that they provide

data and information on large areas i.e. zones and

this is not very meaningful for different sectors/users

in the economy.

5/21/2010

1

Adoption of the Climate Based Malaria

Epidemic Prediction Model (MEPM) for

Reducing Malaria Incidence in Kenya

by

Oswald Mashindano

TanzaKesho Consult

Research review workshop, Lilongwe, 26-28 April 2010

TanzaKesho

Consult Ltd

TKC

Outline

IntroductionObjectives of PAR ProjectsResearch to Policy for Adaptation (RPA)

Why RPA?The Project Process (RPA Engagementwith PAR)

Policy ContextNarratives and EvidencePolitics and InterestsActors and InstitutionsPolicy SpacesChallenges and Conclusions

Introduction (1)

Climate change has altered weather and climate patterns

particularly rainfall intensity, rainfall distribution, temperature and humidity

Thus, increasing mosquitoes breeding and therefore malaria transmission and epidemics

Mosquitoes gradually breed in the highlands where malaria was uncommon

Malaria cases has increased by 300% in Kenya during 1997 - 98 epidemic (El Nino)

7 mill (23%) of Kenyans live in 15 Highland Districts which are at risk with malaria epidemics

Introduction (2)

There have been a number of responses in Kenya

Establishment and strengthening of related Institutions eg NMCP, DOMC, KEMRI etc

Development of climate based MEP-M such as the Andrew Githeko MEP-M by KEMRI

MEPM was in response of the changing distribution of mosquito breeding and malaria transmission in Kenya highlands

Objectives of PAR Projects

Thus, the aim of the PAR Researchers is to develop a robust MEPM which can be used for early detection and/or prediction of malaria epidemic, so that

the necessary warning and alert is delivered

resources are mobilized and

other necessary preparation are made

save life of the people and resources

Role of Research to Policy for

Adaptation (1)

Many malaria prediction models are not linked to policy because they are not validated

The KEMRI MEPM is one such modelYet, this link is important if the model is to

be transferred to end users in EA There is therefore a need to demonstrate

its usefulness or robustness (cost–benefit)The existing gap between research (MEPM)

and the policy process is what puts the current study into context

The MEPM project does not visibly link with the policy process

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Role of Research to Policy for

Adaptation (2)

Thus, the RPA initiatives are intended to complement the PAR activities by

Understand the MEP-Model

Identifying major actors in Kenya who will facilitate the policy development process

Identify the entry points and pathways which can be used by PAR researchers to effectively deliver their messages

Identify additional policy spaces that will be used as avenues for delivering policy messages developed by PARs

Developing an Engagement Plan which PAR researchers can use as a tool to disseminate their research products

Research Review Workshop in Dar–TZThe model uses climatic factors to detect

an epidemic 2 to 4 months before its occurrence, thus providing sufficient lead time for interventions

The model has been tested and validated in some parts of Kenya and Tanzania

Knowledge Competition – That, some scientists from international organizations campaign against MEPM

RPA Engagement with PAR Researchers (1)

RPA Engagement with PAR Researchers (2)

Field Survey in Kisumu – 23-25 November 2010

Discovered that KEMRI Management was marginally utilized

Encouraged the PAR Researchers to make use of KEMRI Management and fully involve important stakeholders

Already PAR Researchers have spoken to the Chairman of the KEMRI Management Board and the Minister of Public Health and Sanitation who has shown interest

Recent MEPM fine-tuning and validation process involved the Ministry and other users in all major stages

The final results are very robust

It will be difficult or impossible to challenge the results again

The project update meeting scheduled from 28th-29th April 2010 in Nairobi where major partners are invited

Dar-es-Salaam Meeting – 22 Dec 2010: Discussed draft reports with PAR Researchers

RPA Engagement with PAR Researchers (3)

Policy Context (1)

Prior to the mid 1980s (economic and political reforms) and multiparty system policy process was mainly dictated from the center with

Limited participation of stakeholders

Limited Resistance and checkpoints

Mainly linear policy process

Example: After independence, KANU which was mostly dominated by Kikuyu and Luoethnic groups, promoted capitalism and banned its major opposition party, the Kenya People’s Union (KPU) – to avoid tribalism

Policy Context (2)

Today, policy formulation involves wide consultation as an aspect of the democratic process, despite the fact that it is not without its problems

Dominated by Non Linear policy processes

The policy cycle entails

problem identification; research and analysis of the problem; stakeholders’ consultation and preparation of the cabinet paper; approval by the Cabinet and finally the Parliament approval

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Narratives and Evidence (1)

In Kenya narratives have been guiding research programmes and policy processes

A Joint statement by the Ministries of Public Health and sanitation and the Ministry of Medical Services that implementation of the previous National Malaria Strategy 2001 – 2010), the National Health Sector Strategic Plan (NHSSP II 2005-2010) and the Economic Recovery Strategy (2003 – 2007) has led to increased delivery of malaria control interventions. As a result of these achievements, Kenya is currently witnessing a general decline in malaria morbidity and mortality

Narratives and Evidence (2)

These narratives have stimulated more initiatives where the government has resolved to sustain these gains and scale up the interventions

In order to achieve the Global Malaria control targets of 2010 and MDGs targets and possible malaria elimination in the future.

This is what has led to a consultative process towards preparation of the 2009 – 2017 National Maria StrategyThe repeated statement by both political executives and researchers that East Africa is experiencing outbreaks of malaria in highland areas where there is little experience with the disease

Has triggered a series of research initiatives around this problemThe ongoing MEP Model is the outcome of that

Politics and Interest (1)

Politicians are the most powerful and influential in Kenyan policy making process

The elites are sensitive (and cautious) to changes

Thus, Kenya has been experiencing a long time lag before any research finds its way and influence existing policies

Policy changes which serve their interest will fully be supported

Politicians opposing each other on the issue of MAU Forest

Actors and Institutions (1)

Policy Makers and Ministries, Departments and Agencies (MDAs)

The Parliament

PAR Boundary Partners (COHESU)

Researchers and Academia

Media

Development Partners (DPs)

Policy Spaces (1)

Some opportunities have emerged in Kenya to allow policy spaces to open up and new actor networks to be created overtime

This is an opportunity for the PAR Researchers despite counter narratives along the way; resistance; oppositions; non linear processes etc.

Great Lakes University of Kisumu recommended invited policy spaces, practical spaces and conceptual and/or discursive spaces

Kenya Red Cross Society (KRCS) recommended the Invited Policy Spaces, Popular Policy Spaces, Practical Policy Spaces and Conceptual and/or Discursive Policy Spaces

The World Health Organization (WHO) is advocating for Practical Policy Spaces where pilot field based projects initiated by researchers can provide some opportunities for 'witnessing' by policymakers

Policy Spaces (2)

The existing policy spaces in Kenya are not without hurdles

The PAR Researchers’ navigation through such policy spaces must bear in mind and consider the interests of different actors and champions along the way

These actors and champions come from different backgrounds, different political parties, represent different constituencies etc, and therefore will have different expectations and interests which must be taken in to account to be able to win their sympathy and support

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Challenges and Conclusions

There are number of challenges the PAR

Researchers need to address

They include the fact that PAR has not been

involving key actors in the process

Publicity and validation of MEPM has therefore

taken long

A number of pathways and policy spaces which

PAR can make use of are available in Kenya

Non linear policy process dominates the linear

process