living with environmental change partnership (2012) knowledge exchange guidelines
DESCRIPTION
Guidelines for effective knowledge exchange developed for the Living with Environmental Change partnership by Mark Reed, Ana Attlee, Lindsay Stringer and Ioan Fazey with Susan Ballard (with inputs from John Holmes and a number of reviewers)TRANSCRIPT
Living With Environmental Change
LWEC Knowledge Exchange Guidelines
November 2012
Introduction 1
Target 2
Design 4
Engage 6
Facilitate 8
Share 10
Impact 12
Sustain 14
Evaluate 16
Notes 18
Abbreviations 23
Acknowledgements 24
Contents
LWECKnowledgeExchangeGuidelines|www.lwec.org.uk 1
The term ‘knowledge exchange’ (KE) refers to the exchange of information, ideas, expertise and people between researchers and research users such as policy-makers, businesses and members of the public. The overall aim of KE is to maximise and accelerate research impact.
EffectiveKEiscrucialtothesuccessoftheLivingWithEnvironmentalChange(LWEC)Partnership,whichaimsto“ensurethatdecision-makersingovernment,businessandsocietyhavetheforesight,knowledgeandtoolsneededtomitigate,adapttoandbenefitfromclimatechange.”
Byestablishingatwo-wayflowofknowledgebetweenresearchersandpotentialusersoftheirresearch,andensuringaclear,mutualunderstandingofneedsandpriorities,LWECinitiativeswillhaveamoremeaningfulimpactondecisions,actionsandbehavioursintheyearsahead.
TheseGuidelineshavebeendevelopedspecificallytoaidtheKEprocessacrossallactivitiesendorsedbytheLWECPartnership.Whilenotprescriptive,theyneverthelessaimtoinformandinspire,comprisinganextensivereservoirofideas,tipsandsuggestionsonhowKEcanbemosteffective,andarereinforcedbyarangeoffurtherinformationandreal-lifeillustrativecasestudies.
TheGuidelinesaredividedintothefollowingeightcomponents,eachofwhichrepresentsakeystageinasuccessfulKEprocess:
AlthoughtheGuidelinesareprimarilyaimedatpeopletakingdecisionsataprogrammelevel,itishopedthattheywillprovideusefulideasandprinciplesforanyoneinvolvedinKEandcomplementguidanceavailablefromothersources(e.g.ResearchCouncilsUK).Usingthemwillhelpresearchersandresearchuserstodevelopanunderstandingofeachother’sneedsandcapacities,andenablethemtoexchangereasonable,meaningfulquestionsandresponseswitheachother.
Fundamentally,KEistheprocessofensuringthattherightinsightsareconveyedtotherightpeoplebothintherightwayandattherighttime.TheseGuidelinesaredesignedtohelpyoutomakeithappen.
Introduction
Target Share
Design Impact
Engage Sustain
Facilitate Evaluate
The Guidelines are also available online at http://www.lwec.org.uk/ke-guidelines where additional case studies and Q&A features are included.
LWECKnowledgeExchangeGuidelines|www.lwec.org.uk2
Rightfromthestartofyourresearchprogramme,itisessentialtodevelopaclearviewofwhatyouneedtoachieveintermsofKE1andtoputanappropriatestructureinplacetorealiseyouraims:
• Goalsetting
Beclearandrealisticaboutwhatyourresearchprogrammeaimstoachieve,withrespecttoitshigh-level,broaderimpactaswellasinpurelyscientificterms.2
• Stakeholderidentification
Pinpointwhothekeyusers/stakeholdersareandconsiderhowthesevariousgroups/individualsarelikelytobenefitfrom(orbeaffectedby)yourresearch.Youcan,forinstance,harnesstriedandtestedstakeholdermappingandanalysistechniquestohelpthisprocess.3
• Programmegovernance
Whenestablishingamanagementgroupforyourprogramme,ensureanappropriatebalanceofresearchersandrelevantusers(i.e.avoid‘tokenism’).Usethisopportunitytogainacleareroverallpictureofthekeyneedsandprioritiesofpotentialusersofyourresearchandofotherstakeholders;thisinformationwillbeofenormousvalueinenablingyoutooptimiseandrefinetheKEobjectivesyouset.
• KECo-ordinator
IdentifyandappointaKECo-ordinatorforyourprogrammewhoiseitheradedicatedKEspecialistorsomeoneinthemanagementteamwiththeappropriatecredentials(e.g.someonewithstrongfacilitationskills,agoodunderstandingofimpactandgoodrelationshipswithpotentialresearchusers).LettheLWECDirectorateknowwhothispersonis.
1. Target
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CaseStudy–InvolvingStakeholdersinProgrammeGovernanceEnabling stakeholders to play an active role in programme governance can maximise the impact of your research. Professor Dan Laffoley, Chair of the International Ocean Acidification Reference User Group, outlines the crucial contribution this Group is making to efforts to confront ocean acidification, the ‘evil twin’ of climate change.
“Oceanacidificationhasonlyreallybeenonresearchers’radarforsevenoreightyears,butitspotentialseriousnessmeansthere’snotimetoloseingettingtogripswiththechallengesitpresents.
Wesimplycan’taffordnottotaketheviewsandneedsofpolicy-makersandindustryfullyintoaccount.
Thatmeansdispensingwiththetraditionalacademicmodelofinvolvingstakeholdersinanintermittent,unstructuredwayandperhapsfindingoutonlyafterresearchhasbeencompletedthatalltherightquestionsmaybeweren’tbeingaskedintherightcontextinthefirstplace.Apriorityoftheoceanacidificationcommunityhasbeentogetallinterestedpartiestoengagewitheachotherandtalkthesamelanguagefromdayone,andespeciallytosecurestakeholderinputtohelpshapetheresearchagenda.
TheReferenceUserGroupisthekeyvehiclefordoingthis.InitiallysetupaspartofanEUinitiative,itnowalsoembracesnationalprogrammessuchastheUKOceanAcidificationResearchProgramme.Its30-plusmembersaredrawnfromgovernment,industry,conservationgroupsandtheacademic/scientificcommunityinEuropeandtheUS.AnAnnualMeetingissupplementedbyemailcontact,plusbilateralmeetingsandexchangeswithasmallercoreofourmostactiveandenthusiasticmembers.
Aswellasaforumforopendiscussion,theGroupprovidestheperfectplatformforsharingperspectivesstemmingfromdatageneratedbyresearchprojects.
AcoretaskhasbeenidentifyingtherightpeopletoparticipateintheGroupandengagingwithsomesectorsthatmaritimeresearchershaven’tcloselyinteractedwithinthepast.It’sbeenvitaltoconveyclearlyhowbecomingpartoftheGroupcanbenefitthesesectorsandtousetheGrouptobuildacloserrelationshipwiththem.Anotherongoingchallengeistokeepmemberorganisationsfullyengagedevenwhenoceanacidification‘champions’withinthemhavemovedon.
TheGroupgeneratesallkindsofspin-offbenefitstoo.In-kindcontributionsfrommembershaveoverrecentyearsincludedtheuseofashiptohelptransportanddeployexperiments.TheGroupalsoplayedamajorroleinproducingtheguide‘OceanAcidification:TheFacts’,withmembersensuringthatthispublicationaddressedtherightquestionsinaneffectiveformat,avoiding‘sciencespeak’.
Withoutdoubt,theGroupismakingarealdifferenceinhelpingtomeettheurgentneedforeffectivecommunicationofnewknowledgeinthisfast-developingfield.”
• Trainingneeds
Pinpointwho,withinyourresearchteam,needstrainingtodevelopthenecessarymotivation,skillsandexpertisetoensurethatongoingKEbetweenresearchersandusers/stakeholdersreallyisachieved.
• Projectproposals
Asyourprogrammedevelops,ensurethatanassessmentcriterionforprojectproposalssubmittedtoyourresearchprogrammeistheextenttowhichtheneedsandprioritiesofresearchuserswillbeaddressed.4Atwo-stageselectionprocesscanbeusedtohelprefineproposalsfromaKEperspective.5
LWECKnowledgeExchangeGuidelines|www.lwec.org.uk4
Developadetailed,well-tailoredKEplanthatcandeliveryourgoalsandisfullyembeddedwithintheoverallresearchprogramme:
• Strategyformulation
DeviseanoverarchingKEstrategyandassociatedactionplanthatwillbemonitoredandreportedonalongsideotheraspectsofprogrammeplanningandmanagement.6PuttinginplacesuchastrategywillcreateclearexpectationsintermsofwhattheminimumKErequirementsare,withrespecttouserengagement,disseminationmechanismsetc.(SeeNote6foradetailedlistofitemsthatastrategycancoverandexamplesofexistingKEstrategies.)ForactivitiesfundedbytheResearchCouncils,aKEstrategywillhelptodirect,informandfacilitateindividualprojects’‘pathwaystoimpact’plans.
• Resourceallocation
Foranaverageresearchprogramme,allocateaminimumof5%ofoverallfundstoKEactivities.7
(NB:thisKEfundingisoverandabovewhatwillbeawardedviaindividualproject‘pathwaystoimpact’plans.)Forsomeprogrammes,though,andespeciallythosewithasignificant‘applied’element,aconsiderablylargerpercentagemaybeappropriate.Whencalculatingtheleveloffundingneeded,itisvitalnottounderestimatethetimeandeffortrequiredforengagingwithstakeholdersandrelationship-building.AlsocontinuetoexploreopportunitiestosecureadditionalfundingforKEactivities.
• Co-design
Encouragingstakeholderadviceandinputonthedesignofyourprogramme,eitherattheoutsetoratappropriatepointsduringitscourse,willhelpensurenotjustthattheeventualfindingswillbeofreal-worldbenefitbutalsothattheyareconveyedinamannermostlikelytoencouragetake-up.
• Sandpits
Sandpitsandsimilarforumscanbeusedtohelpbuildcollaborationswithusers/stakeholdersandotherresearchersintheco-designofnewresearchprogrammes.
• Building-inflexibility
Whereverpossible,designKEplanssothattheyincorporatetheflexibilitytoadjusttoemergingneedsandprioritiesofresearchusersandotherstakeholders,aswellastochangingcircumstances.8SplittingfundingacrossdifferentphasesofaprogrammecanhelpyoutorespondbettertoevolvingKEneeds.
• Reservebudget
Ifpossible,keepsomeresourceinreservesothatyoucanrespondtoanynewquestionsandneedsthatemergeasengagementwithusers/stakeholderscontinues.Forinstance,theremaybeanurgentandunforeseenneedtointerpretandcommunicatenewknowledgegeneratedbyyourresearch.Havingadequateresourcesavailablewillhelpincentiviseyourresearcherstodothis.
• Thinkinginnovatively
DonotbeafraidtoexperimentwithnovelapproachestoKE–thiscanbevitalinenablingyourresearchtostandoutfromthecrowdandappealtonewaudiences.However,whendevelopingyourplan,itisessentialtotakeintoaccountthefundingyouhaveavailableaswellasthelikelypreferencesofthestakeholdersyouareengagingwith.
2. Design
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KEQ&A–ShapingProgrammeswithStakeholderInputThe AVOID research programme provides key advice to the UK public sector on avoiding dangerous climate change brought about by greenhouse gas emissions. Dr Maria Noguer, the programme’s Knowledge Integrator, explains how developing a clear understanding of stakeholders’ knowledge needs from the outset has underpinned the success of the initiative.
Q:HowimportanthasitbeenforAVOIDtoestablishmechanismsenablingresearchuserstotellyouwhattheyneedfromtheprogramme?
A:Absolutelyfundamental.Ouraimistoinformpolicydecisionsandequipgovernmentwithup-to-datescientificevidencereinforcingtheUK’snegotiatingpositionatConferenceoftheParties(CoP)eventsheldundertheUnitedNationsFrameworkConventiononClimateChange.Thekey,then,istodelivertheinformationthatpolicy-makersrequireandintheformtheyneedit.Timescalesarecrucialtoo.WehavetoproducedeliverablesforspecificCoPeventsbutsometimestheremaybeanurgent,ad-hocneedforaparticularpieceofinformationandtheturn-roundtimemaybeverytight.It’sessentialwerespondeffectivelyinthosesituationstoo,sowemusthavemechanismsinplacethatenableswift,clearcommunicationofstakeholderrequirements.
Q:AtwhatpointinAVOID’sdevelopmentdidyoustartengagingwithstakeholdersandcanvassingtheiropinions?
A:Rightfromthestart.WeincludedkeygovernmentrepresentativesontheAVOIDSteeringGroupandalsousedacombinationofasurveyandtelephoneinterviewstogatherinputfromaround50individuals.TherawdatageneratedwascarefullyanalysedtoproducestructuredfindingsthatwecouldusetohelpfirmupspecificresearchobjectivesforAVOID.
Q:Whatdidyoudotoensureagoodresponseratetothesurvey?
A:Wemadeitavailableinbothwrittenandonlineformats.Wealsophysicallyphoneduparoundtenindividualswhoseviewsweconsidereditessentialtogatherandwefilledinthesurveywiththemtomaketheprocesseasier.
Q:Howdoyouensurecloseco-operationwithprimarystakeholdersonanongoingbasis?
A:Aswellasconductingknowledgeintegrationdiscussionswiththem,probablythemostimportantstephasbeentheappointmentofadedicatedProgrammeOfficerwithinDECCwhoseremitistoworkwithAVOIDandmaintainastronglinkwiththeprogramme.That’sprovedinvaluable.
Q:Howhaveyourespondedtoyourstakeholders’requirementsintermsofthewayyoucommunicatetheresultsofyourresearchtothem?
A:We’velistenedverycarefullytoexactlywhattheywantandwetailorouroutputstotheirindividualneeds.Aswellasissuingreports,holdingseminarsandprovidingone-to-onebriefings,weproducebrochuresandconcise‘keypoints’flyerswhicharesupplementedwithemailbulletinscontaininglesstime-criticalinformation.Wecompileourdistributionlistsfortheseoutputsincloseco-operationwitheachofourstakeholders.Wealsoproducepresentationslidesthatallofourstakeholderscanuse.
Q:Whatwouldbeagoodexampleofthewayyourproactiveapproachtostakeholderengagementhasreallypaiddividends?
A:TheCopenhagenAccord,whichwas‘takennoteof’atthe15thCoPin2009,recognisedthatclimatechangeisoneofthegreatestchallengestodayandthatactionsshouldbetakentokeepanytemperatureincreasesbelow2°C.WithintheAccord,severalcountriessubmittedemissionreductionpledges.Butourstakeholderswantedtoknowwhethertheemissionreductiontargetssubmittedbycountrieswouldactuallybesufficienttostaybelowa2°Cincrease.SoAVOID‘didthemaths’andrevealedthattheactionsweren’textensiveenough.ThiswasavitalfindingthatwouldinformtheUKpositionatsubsequentCoPmeetings.Ourabilitytoprovidetherightinformationintherightformatattherighttimewasadirectresultofthecloserelationshipanddeepunderstandingestablishedbetweentheprogrammeanditsstakeholders.
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ToachieveeffectiveKE,itiscriticaltofindwaysofestablishingadialogue,buildingrelationships,developingcollaborationsandcreatingacultureoftrustandsharedpurposewithpotentialresearchusersandotherstakeholders:
• Balancedrepresentation
WhendesigningandimplementingyoursuiteofspecificKEactivities,ensurethattheneedsandviewsofalllikelyresearchusersaresystematicallyrepresentedandincludethoseusersindecisionsaboutwhatyourprogrammeneedstoachieve.Thiswillenhancenotonlytheimpactbutalsothelegitimacyofyourresearchprogrammebyclearlydemonstratingthatyouvaluestakeholders’viewsateverypointintheprocess.(Seealso‘Stakeholderidentification’onp.2andtheCaseStudyonp.3.)
• Stakeholdermotivation
PinpointwhatspecificissuesandconcernsmotivatestakeholdersasthiscanhelpyoutodeviseandtailorspecificactivitiesthatwillencouragetheirongoingengagementinboththeKEprocessandtheresearchprogrammeasawhole.
• Using‘knowledgebrokers’
Theuseof‘knowledgebrokers’asintermediaries,drawneitherfromtheresearchcommunityorfromyourstakeholders,canmakeamajorcontributiontothedevelopmentofeffectivecommunicationsbetweenyouandkeytargetgroupsandtothecultivationofaclose,positiveandenduringrelationshipwiththem.9Theirroleistofacilitateinteractionsbetweentheresearchandresearchusercommunitiesandtoputresearchresultsintocontext,usinglanguagethatcanreadilybeunderstoodbyresearchusersandotherstakeholders.
• InvolvingCivilSocietyOrganisations(CSOs)
CSOssuchasNon-GovernmentalOrganisations(NGOs)canplayakeyroleasintermediariesbetweenyouandresearchusersingovernment,businessandelsewhere.TheseCSOsoftenhavegoodoutreachanddisseminationmechanismsalreadyinplacethatcanbeutilisedtohelpyouachieveyourKEobjectives.
• Integrationintoresearchteams
Encourageresearchuserstojoinresearchteamsasco-investigatorsortositonadvisorypanels.
• Rangeofknowledge
Ensureyouunderstand,respectandcriticallyevaluatethecontributionthatotherdisciplines
3. Engage
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CaseStudy–UnderstandingandHarnessingStakeholderMotivationMobilising stakeholders to make key contributions can be fundamental to the success of LWEC initiatives. The challenge for the Demonstration Test Catchment programme, exploring the scope for new farming practices to cut pollution of rivers and groundwater, was to pinpoint how farmers might be motivated not just to support the initiative but actually to participate directly. Bob Harris of Defra explains how analysing the motivations of different types of farmer helped bring them on board.
“Farmerstendtobequiteconservativeinoutlook.Theycanbereticentwhenitcomestoembracingpotentialinnovations,gettinginvolvedingovernment-backedinitiativesandworkingwiththeacademiccommunity.Butsecuringtheirbuy-inwasessentialiftheprogrammewastomeetitsobjectives.Weneededaccesstofarmlandsowecouldsetuplong-termwatermonitoringequipment.Butwealsowantedtoprovideanumberoffarmerswithtestkitssotheythemselvescouldmeasurenitrateandotherpollutantlevelsontheirlandandkeepadetailedrecord.
Thekeywastodevelopaclearunderstandingofthepressuresandprioritiesfacingfarmersinthethreecatchmentareasweweretargeting.
Thenwecouldpinpointhowourprogrammemightcontributetowhattheysawastheirvitalinterests.Wehadtogotothemwithapictureofhowourinitiativewouldnotsimplybenefitagricultureingeneralbutalsoaddresstheirindividual,specificneeds.
Itsoonbecameobviousthatwemusttailorourmessageforeachregion.InCumbria,forexample,theagriculturalcommunityistypifiedbysmalllivestockfarmswhichhaveoftenbeeninthesamefamilyforgenerations.Wehadtoshowthatourprogrammewouldaidfarmers’stewardshipofthelandbyhelpingthemunderstandandultimatelymitigatetheimpactoftheiroperationsontheenvironment.
ButinEastAnglia,weadjustedourapproach.Here,theindustryisdominatedbybigarablefarmsrunbyagri-businesseswithaverysophisticatedcommercialoutlook.Underpinningtheirabilitytooperateprofitablyistheircompliancewithregulatoryframeworks.Sowehadtoconvincethemthatourprogrammewouldhelpthemimprovethelocalenvironmentatnodetrimenttotheiroverallbusiness.
It’sfairtosaythatdifferentiatingourmessagelikethiswasabsolutelycriticaltosecuringthefarmerinvolvementweneeded.
What’smore,toensureourcredibility,wehadtogetit‘rightfirsttime’intermsofhowweactuallydeliveredthosemessages.InCumbria,forinstance,weusedanintermediarywithexcellentlocalcontactswhocouldbuildrelationshipsandestablishtrust.We’renowabouthalfwaythroughourfive-yearprogramme.It’sbeengreattoseehowthefarmerswe’reworkingwithhaveembracedit.
Theyreally‘get’what’sinitforthem–andthat’sadirectresultofourdeterminationtotrulyunderstandwhatdrivesthem.”
andtypesofknowledge(suchaslocalknowledge)canmaketotheKEprocess,beyondthosemostobviouslyanddirectlyrelevanttoyourprogrammeanditspotentialimpacts.Takestepstoengagewithrepresentativesofthesedisciplinesandknowledgetypesatanearlystageinyourprogramme.
• Engagingindialogue
Developingaconstructive,productivedialoguebetweenresearchersandresearchusersisfundamentaltoestablishingasecureplatformforKE.Thekeyistoidentifyandimplementappropriatemechanismscapableofprovidinganon-hierarchical‘levelplayingfield’wheredifferent
partiescaninteractonaninclusive,collegiatebasisandfeelabletoexchangeopinionsandinformationfranklyandthoroughly.Acombinationofone-to-oneandgroup-leveldialogue,harnessingavarietyofspecificmechanisms,islikelytobeneededinamajorityofprogrammes.
• Ethicalimplications
Howeveryouchoosetoengagewithresearchusers,givecarefulconsiderationtowhattheethicalimplicationsmaybe.Forexample,whatmightbetheramificationsintermsofintellectualpropertyrights,therecording/attributionofcommentsorthepotentialforconflictsofinterest?
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Asyourprogrammeproceeds,itisimportanttolookforandtakeadvantageofopportunitiestoassistandstrengthenstakeholderengagementandinvolvement,andtoenhancethewholeKEprocess:
• Collaborativemindset
Promotingproductivecollaborationandeffectivelisteningbetweenresearchersandusers/stakeholderscanestablishacommonpurpose,facilitatetwo-waylearningandensurethecontinuedinvolvementofusers/stakeholdersintheresearchprocess.WorkingcloselywithstakeholdersmayalsoenableyoutopromoteKEbybuildingonsuccessfulnetworks/processestheyalreadyhaveinplace.Inaddition,establishingconnectionswithotherprogrammesandactivitiescanenablesignificantfindingsandimportantinformationtobesharedmorewidely.
• Methodsofcommunication
Encouragesuggestionsfromresearchusersandotherstakeholdersregardingthebestwaysofcommunicatingwiththem,asthiswillhelpyoutopinpointthemosteffectiveformatsandchannelsforexchanginginformationwithspecificgroups.10Furthermore,communicationmaterialsdevelopedwiththeinvolvementofstakeholdersaremorelikelytoachievetherighttoneandpitchandthereforemeettheneedsofthetargetaudience.Similarly,the‘reach’ofcommunicationmaterialscanincreasesignificantlyifstakeholdershelptodisseminatethem.
• Targetingandlanguage
Ensurethatallcommunicationmaterialsarewell-targetedattheintendeduser(s)andarewritten/presentedinanaccessibleway.11Whereverpossible,takecarethatthelanguageyouuseisstraightforwardandjargon-free,andthateveryoneclearlyunderstandsallterminologyused.Publicationsaimedatpolicy-makersand/
4. Facilitate
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CaseStudy–NurturingaSpiritofCollaborationEncouraging different stakeholder groups to work together and reach compromises can benefit from imaginative thinking and even the innovative use of technology. Dr Tim O’Higgins, Project Manager of the KnowSeas initiative, relates how a novel approach to conflict resolution helped to break down barriers between vested interests in the field of tidal energy.
“Decidingwheretositerenewableenergyinstallationscanoftenbecontentious.Developers,communitiesandlocalindustriesmayallhaveverydifferentagendas.Withalackofobviouscommonground,itcanbehardforthemtounderstandoneanother’sviewpoints,prioritiesandconcerns.UnderthebannerofKnowSeas(Knowledge-basedSustainableManagementforEurope’sSeas),wedecidedtolookforanewwayofaddressingtheproblem.ThecontextwastheidentificationoftidalenergysitesofftheMullofKintyrewheredeveloperscouldpotentiallylocatedeviceswhilsttakingtheconcernsoflocalfishermenandthetouristindustryintoaccount.
Couldweprovideanenvironmentwheredifferentpartieswouldhavetoworktogetherandinalighteratmospherethanatownhallmeetingorround-tableexchange?
Oursolutionwastotrialanoveldevice–aninteractive‘touchtable’.Agiantmapwasprojectedontothetopanddifferentsectionswerehighlightedasparticipantstouchedthemtoindicateplacesvitaltotheiractivitiesandinterests.Sitescouldthenbe‘traded’untilacompromisewasarrivedat,withdifferentoutcomesawardedasustainabilityscoreusingbespokecomputersoftware.This‘game-ification’ofadelicatetopicprovedahugesuccess.
Thefactthatdifferentpartieshadtositdownandlearnhowtousethetouchtabletogethergotthemthinkingasateamratherthanasdivergentinterestgroups.
Moreover,itwasfuntouse–whichmadeahugedifferencetothewholecharacterofthediscussion–andensuredthateveryonecouldvisualisemuchbetterwhatisobviouslyasensitiveandcontroversialissue.Thespiritofco-operationthatsoondevelopedreallyfacilitatedthetradingofmarinespacesandhelpedpromotegenuineunderstandingofeachother’spositions.We’venowwrittensimilaruseofatouchtableintoanumberofotherprojectswherestakeholderengagementisneeded,includingaforthcomingconservation-relatedprojectintheMorayFirthinvolvingstakeholdersfromtherenewables,fishing,tourismandbroaderenergysectors.
Ican’toveremphasisetheimpactthiskindofapproachcanhaveinfosteringaspiritofcollaborationthatmakesprojectgoalseasiertoachieve.”
orbusinessesandwrittenin‘plainEnglish’canbeeffectiveinhighlightingtheimpactsofresearch,bothduringtheprogrammeandwhenithasbeencompleted.CopiesofcommunicationmaterialscanbesenttotheLWECDirectorateforfurtherdissemination.
• Interpretingresearch
Involveacross-sectionofstakeholderstohelpdrawoutthekeypolicyandpracticeimplicationsofyourresearch.Thiscanbehighlyproductivenotjustatindividualprojectlevelbutalsoacrossallprojectssupportedbyaprogramme.Producingsynthesisreportsandorganisingtargetedworkshopscanbothbeeffectivewaysofachievingcross-programmeresults.
• Professionalcommunicators
Professionalcommunicatorscanhelptodesignqualitypublications,multimediaoutputsandnon-writtenmaterials(e.g.tools)whicharebettertargetedandaccessibletokeyaudiences.TheirskillsmayalsoenhancethoseofaKECo-ordinator(seep.2)inface-to-facecommunicationstoensureasufficientlyeffectiveprocessthatachievesagenuinetwo-wayexchangeofknowledge.Furthermore,throughtheirprofessionalnetworks/activities,greaterimpactmaybepossible.Itmightthereforebeworthsettingasidearealisticbudgetallocationforprofessionalhelp.
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Harnessingspecificmechanismstoensureatwo-wayflowofknowledge,skillsandnewideaswillunderpinKEasyourprogrammegatherspace:
• Programmeevents
Createa‘community’ofresearchersandstakeholdersbyorganisingregulareventsthatbuildrelationshipsandaidinformation-sharingandthecreationofnewknowledgetogether.Ensuringthatthesamepeopleconsistentlyattendtheseeventswillhelpfacilitatethisprocess.Whenplanninganevent,makesureyouunderstandwhatwillmakeparticipantsfeelcomfortable,secureandcreative,whatwillreinforcetheirtrustintheprocessandhowyoucandeliveranenvironmentwhereideascanbechallengedconstructively.
• Targetedworkshops
Well-focusedworkshopscanprovidetheperfectmediumforsharingkeyinformationwithstakeholders–forexample,wherethereisaclearpolicyquestionoranindustrialissueonwhichyourprogrammehasproducedsignificantnewevidence.Keepworkshops(andmeetingsingeneral)assmallaspossible;wherelargerworkshopsareunavoidable,ensureplentyoftheworkisdonebysmallgroupsofparticipants.
• Goodfacilitation
Employingaprofessionalfacilitator(oramemberofyourteamwhohasundertakenrecognisedfacilitationtraining)canmaximisetheeffectivenessofaneventorworkshop.
• Townmeetings
Townmeetingsandsimilarforumscanbeusedtohelpyoubuildcollaborationsnotonlywithusers/stakeholdersbutalsowithotherresearchers.
• Informalinteraction
Duringformalmeetings,createopportunitiesforresearchersandusers/stakeholderstointeractlessformallyaswell–forexample,byensuringthatbreaksarelongenough,byincludingactivitieswherepeoplecanworktogetherinsmallgroupsorperhapsbyengineeringopportunitiesforthoseinvolvedtotalkwitheachotherenroutetoaprojectsiteetc.
• ‘Remote’contact
HarnesstechnologiesandmediasuchasSkype,video/teleconferencing,socialnetworkingandsecuresharedwebsitestoprovideforumsforongoing,low-costinteractionwithresearchusersandotherstakeholders,inordertosupplementregularface-to-facemeetings.Thisisespeciallyimportantwhendealingwithorganisations/individualslocatedinothercountries.
5. Share
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CaseStudy–TheValueofNon-WrittenMaterialSharing information and engaging with stakeholders in innovative and creative ways can add an extra dimension to KE activities. The Flood, Vulnerability and Resilience Study, for example, devised a giant game of ‘Flood Snakes and Ladders’ to highlight the major challenges facing flooded residents. Dr Beccy Whittle of Lancaster University describes how this novel solution provided a perfect platform for raising awareness and promoting a deeper understanding of the difficult issues involved.
“Forfloodedhouseholders,it’sonlyafterthenewscrewshavegonehomethatthestrugglereallystarts.Copingwiththephysical,financialandemotionalimpactsoffloodrecoverycanbealonghaul.Werecognisedthat,ifourstudyoftheeffectsofthe2007Hullfloodswastohavelastingvalue,wehadtohitonawayofconveyingthoseimpactstothoseinvolvedindisasterrecoveryandemergencyplanningaseffectivelyandrealisticallyaspossible.Clearly,creatinggenuineempathyandunderstandingwouldneedmorethanlongacademicreportsorworkshopsdominatedbyPowerPointpresentationsandtraditionalQ&Asessions.
Wewantedtohighlightreal-lifeexperiencesinanentertaining,hands-onwaythatstimulateddiscussionandmadeapermanentimpression.
Theideaofproducingthegamewasinspiredbyoneofthestudyparticipantsjokingthattheupsanddownsofrecoveringfromafloodwaslikeagameofsnakesandladders–youthinkyou’remakingprogressandthenyouhitanobstaclethatcanreallysetyouback.Inourgame,30tilesareplacedonthefloorandtheplayersrollagiantdice.Thetiletheylandonpresentsthemwithanauthenticpost-floodscenario–perhapssomethingtodowithclean-up,insuranceorfindingalternativeaccommodation–andtheymoveforwardorbackdependingonwhetherthescenarioispositiveornegative.
Playingthegamecertainlyhelpsyoutoseetheimpactoffloodingthrougharesident’seyes.Thepilotversionhasbeenusedasatrainingtoolbyanumberoforganisations,whichhavegainedimportantinsightsintotheexperienceoffloodrecovery.But,withthehelpoffundingfromtheCabinetOfficeandEPSRC,we’venowdevelopedadownloadableversiontoreachamuchwiderpoolofpotentialusers.It’sprovingthatnon-writtenmaterialreallycanaddthe‘wow’factortoanyKEprogramme.
ThegamehasalreadybeentriedoutbytheCabinetOffice,localauthorities,insurersandtheBritishDamageManagementAssociation.
Asimplifiedversionhasprovedagreatsuccessinschoolsandthegameisalsosparkingsimilarideasthatwecanapplytootherprojects.Forinstance,we’vedesignedaspecial‘floodsuitcase’containingarangeofteachingandlearningresourcestohelpyoungpeopleexploretherealityoffloodrecovery.
Ofcourse,thesnakesandladdersconceptcouldeasilybetailoredtootherdisasterscenariosaswellastowiderissuesrelatingtoclimatechange.”
• MakingconnectionsthroughLWEC
CollaboratingwithotherLWECactivitiesaswellasacrossprojectsinanindividualprogrammecanenablesignificantfindingsandimportantinformationtobesharedmorewidely.
• HarnessingLWEC
UseLWECevents,LWECFellowsandtheLWECwebsitetosharegoodpracticeinKEwithusers/stakeholdersandwithotherresearchers.MakethemostofcommunicationmaterialsandtrainingpackagesproducedbyLWECPartnerstohelpyouconveyyourscientificfindingstopolicy-makers.
• Tradejournalsandspecialistmedia
Tradejournalsandawholerangeofnon-mainstreammediapotentiallyprovideausefulchannelforconveyinginformationtoindustry,sodevelopingcontactsandbuildinglinkswithsuchpublicationscanbeagoodinvestmentofyourtime.
• Non-writtenoutputs
Demonstratenewtechniques,decision-supporttoolsandothernon-writtenresearchoutputsbytakingthemdirecttopotentialusersorshowcasingthematappropriateevents.
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6. Impact
Focusondeliveringtangibleresultsthatareofrealvaluetoasmanyofyourprogramme’sresearchusersandstakeholdersaspossible:
• ‘Quickwins’
Deliveringanumberofusefuloutcomesassoonaspractical(butwithoutcompromisingtherigourandintegrityofyourresearch)willhelpyougaintherespectandsecuretheongoingsupportofstakeholders,enablingyourprogrammetoachievemoreinthelongterm.Suchoutputsmightinclude:synthesisreports,briefings,accesstousefuldata,modelsandexpertisethatusersdidnothavebefore.
• Key‘influencers’
Identifykey‘influencers’whoarewell-connectedandhavetheabilitytodisseminateresearchfindingswidely.Planhowyoucanworkwiththemtomaximisetheimpactofyourresearch.
• Placements
Explorethescopeforprojectleadersandotherstoundertakeplacements,fellowshipsandworkshadowingwithinstitutionsandorganisationslikelytouseyourprogramme’sresearchoutputsandwherethereisastronglikelihoodthatKEmayleadtobeneficialimpacts.12
• Fundingneeds
Anticipatewhetheryoumayneedspecificfundingforinitiativesdesignedtointerpret,synthesiseandcommunicatefindingsfromyourprogrammeasawholeorfromitscomponentactivities.13Suchinitiativesoftenaddenormousvaluetoresearchoutputsbutneedtoberesourcedappropriately.Newcallsforproposalsfocusingonthistypeofactivity,ideallyalreadyidentifiedinyourKEstrategy,canbeworkedupandtakenforwardatkeypointsduringyourresearchprogramme.
• LWECobjectives
YourresearchprogrammecouldachievegreaterimpactthroughLWECbymeetingkeyneedsofbusinessand/orsociety,asidentifiedintheLWECPartnership’s‘sixchallenges’,aswellasbyansweringpolicyquestionsandcontributingtobroaderLWECinitiativessuchasClimateChangeImpactReportCards.14
• Goodtiming
Someresearchusers(especiallypolicy-makersandregulators)mayneedtoreceiveinformationand/oradvicefromyourprogrammetocoincidewithkeypointsinthepolicy/legislationdevelopmentprocess.15Inthiscontext,itisusefultoplaninadvancehowyoucanmakemeaningfulcontributionstothisprocessontimescalesof(i)days/weeks,(ii)monthsand(iii)years.GettingthetimingofKErightisalsocrucialtofunders,particularlywhenapotentiallycontroversialareaofresearchisbeingdeveloped.
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KEQ&A–TheBenefitsofWorkPlacementsPlacements, fellowships and work shadowing can strengthen research programmes in all kinds of ways, not least by helping to ensure that they effectively meet research users’ needs. Dr Carly Stevens recalls how, as a research scientist with The Open University, she undertook a five-month placement with Defra working on its Atmosphere and Local Environment (ALE) programme – to the benefit of both organisations.
Q:Howdidtheplacementcomeabout?
A:IrespondedtoanadvertdistributedviaNERC.Defrawantedsomeonetoworkin-housewiththeirALEteam’sAtmosphericEvidenceGroup,helpingtoevaluatetheimpactofairpollutiononecosystems.Itlookedinteresting–myareaofresearchspecialismisnitrogendepositionandtheeffectithasonplants.Furthermore,Defraisakeyfunderofmyresearchsothisseemedanexcellentopportunitytoforgeclosertieswiththemandtoworkonaprogrammewhich,throughthepolicydecisionsitinforms,feedsdirectlyintothe‘realworld’.TheOpenUniversitywereextremelysupportivetoo.Deliveringimpactisveryhighontheiragenda.
Q:Whatexactlydidtheplacementinvolve?
A:BetweenOctober2011andMarch2012,IspentalternateweeksupatDefrainLondon.MymaintaskwastoproduceaninternalreportassessingtheextenttowhichpastALEresearchhadhelpedDeframeetitsairpollutionpolicygoals,aswellassettingoutrecommendationsonhowfutureresearchcouldcontributetotheachievementofthosegoalsmosteffectively.Defraarenowtakinganumberoftherecommendationsforward.
Q:WhatdidDefrathinkan‘outsider’couldofferthatoneoftheirownemployeescouldn’t?
A:Basically,independenceandafreshperspectivefreefrompreconceptions.I’veneverbeenfundedbyALEandsohadn’tpreviouslyhadanyfeedintotheprogrammewhatsoever.ThatmeantIcouldevaluatepastresearchcompletelyobjectivelyandprovideatotallyunbiasedviewoffutureneeds.Infact,Defralearnedalotaboutthemselvesfromthewholeprocess.MyroleinvolvedinterfacingandbuildingrelationshipswithpeoplerightacrosstheDepartment.Asaresult,IcouldseescientificlinkagesbetweendifferentpartsofDefrathatperhapsweren’tsoobvioustoaninsider.
Q:Whatdidyoupersonallylearnfromtheexperience?
A:Beforemyplacement,Iwasquitenaïveintermsofhowthepolicyprocessactuallyworks.IfIspoketoaGovernmentDepartmenttoconveysomeresearchfindingstothem,Iusedtothink“right,that’sdone–that’llfeedstraightintoapolicyimpact.”NowI’mmuchmoreawareofjusthowcomplexpolicyformulationisandthedifferentstepsandstagesithastogothrough,andparticularlyofitsevidenceneedswithrespecttobothcontentandform.Icanseehowevidencehastobeframedandpresentedifit’stoattractattentionandstimulateinterest.It’svitaltorecognisethatGovernmentDepartmentsaredealingwithcolossalvolumesofinformationonadailybasis,soitreallyhelpsifwhatyousubmitisclear,relevantandthought-provoking.
Q:HowimportantwasittobeinapositiontoforgecloserelationshipswithindividualDefrastaff?
A:Itwasessential.ActuallybeingupthereatDeframadeallthedifferenceinensuringmyreportwasasinsightfulaspossible.Itmademeseethatyoucan’tdevelopacomprehensiveunderstandingofanorganisationandthewayitworkswithoutputtingthosepersonal,face-to-facelinksinplace.I’vealsobeenabletousemyimprovedunderstandingoftheprocessthroughwhichscienceturnsintopolicytobenefitTheOpenUniversityandmycurrentemployer,LancasterUniversity.Placementsclearlyhavehugepotentialtoreinforcethetwo-waybridgethatallowsknowledgeandunderstandingtoflowbetweenacademiaandgovernment.Ireallydidfindthewholeexperiencehugelyenjoyableandhighlyrewarding.
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7. Sustain
Takemeasuresthatwillensureengagementandimpactcanbesustainedbeyondthelifeoftheimmediateresearchprogramme/project:
• Determineneeds
Decidewhichaspect(s)ofKE(e.g.stakeholderinteraction,networks,sociallearning)needtobesustainedforthedurationoftheprogramme/projectandbeyond.Ensurethatyourstrategicplanningandimplementationbothreflectthisrequirement.
• ‘Legacy’arrangements
Putmechanismsinplacethatwillenabletheinterpretationandcommunicationoftheknowledgegeneratedbytheprogramme/projecttocontinue,evenwhentheresearchphasehasfinished.16
• Ongoingco-ordination
ConsideremployingKECo-ordinatorsandotherswhoareinsimilarrolesforanappropriateperiod(e.g.ayear)afteryourresearchprogrammeiscomplete.
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CaseStudy–LeavingaLegacyResearch initiatives will more easily maximise their impact if KE processes can continue after the research phase has been completed – and perhaps even after the whole initiative has drawn to an end. Dr Jo House of the University of Bristol describes how the QUEST (Quantifying and Understanding the Earth System) programme* made sure it left an influential legacy following its conclusion in autumn 2011.
“ThefundamentalaimofQUESTwastopulltogethermanydifferentstrandsofscienceandsoaidunderstandingofglobalenvironmentalchange.Startingin2006,itranforfiveyearsandsupportedamultitudeofmostlyUK-basedresearchprojects,withafocusonthreeprincipalareas:modellingintothefuture,interpretingpalaeoclimaticdataandunderstandinghumanimpactsontheglobalenvironment.
Aswithmanymajorresearchprogrammes,someoftheprojectsranliterallyrightuptotheveryendofQUEST.ItwasessentialtosetupmechanismsthatwouldallowustofeedrelevantoutputsthroughintoIntergovernmentalPanelonClimateChange(IPCC)reports,forexample.Otherkeypost-programmeaimsincludedorganisingthe‘finale’eventandproducingabookthatwouldbringallofQUEST’sprimaryfindingstogetherinone,accessibleplace.
Infact,somuchactivitywasneededthatQUEST’sresourceforKEhadtoberampeduptowardstheendoftheprogramme,continuingafteritended.
ThisincludedtakingonanadditionalliaisonofficerwithinthecoreQUESTteam.Aswellassupplementingstaffinglevels,though,itwasalsocriticaltokeepexistingteammemberstogether.Forinstance,myfive-yearcontractasScienceandPolicyOfficer,whichincludedstakeholderliaisonasoneofitsmainfunctions,wasextendedbyayearbeyondthelifeoftheprogramme.
ThiscontinuityofpersonnelwasvitaltomaximisingtheimpactandvalueofQUEST’sresearch.
Unlesswe’dbeenabletomaintaintheexperienceandexpertisewe’dbuiltup,plusofcoursetherelationshipswe’ddevelopedwithresearchersandresearchusersalike,itwouldhavebeenmuchharderforQUESTtoachieveitsKEgoals.Inparticular,we’redelightedthatthebook‘UnderstandingtheEarthSystem’waspublishedinAugust2012.Webelieveitwillbeofhugehelptopolicy-makersandstudents,aswellastoscientistsnotdirectlyinvolvedinthefieldofclimatechange.
GearingupKEactivitiestowardstheofficialendofQUESTandcontinuingthemafterwardshasn’tjustproveduseful–it’sbeencrucialtosecuringtheprogramme’slegacy.”
*NB:thisNERCprogrammewasnotanLWECinitiative.
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MonitoryourKEactivitiesandtheirimpact,learnlessonsfromyourexperiencesandusetheselessonstorefinefutureprogrammes/projects:
• Opportunitiesforreflection
Facilitateregularreflectionbothbyresearchersandbyusers/stakeholdersonwhathas(orperhapswhathasnot)provedeffectiveintermsofKEandenableeveryonetosharetheirconclusionswitheachother.17
• Impactevaluationmethods
UsetriedandtestedimpactevaluationmethodstoshedlightonwhichKEprocesseshaveprovedeffective.18
• Project-levelevaluation
MakesurethatprojectsfundedbyyourprogrammearerequiredtoevaluatetheirKEactivities’effectivenessandtoreportbackthefindingstoyouregularly,drawingonbothqualitativeandquantitativedata.OnepotentiallyusefulapproachistodevelopasuiteofindicatorsspecifictoyourprogrammethatcanbeusedtomonitorthesuccessofindividualKEactivities.Overall,project-levelreportingdatacanhelptoidentify(i)KEmechanismsthatappeartobe
particularlysuccessfuland(ii)projectsthatareeitherdoingwellorfallingshortwithrespecttoKE.Suchfindingscanbeusedtotargetassistancewhereitisneeded.
• Stakeholderfeedback
Conductsurveysorputothermechanismsinplacetosecurefeedbackfromstakeholderswhichcaninformyourevaluationofyourprogramme’sKEactivities.
• Peernetwork
Developanetworkof‘criticalfriends’and/ormentorswhocanprovideobjectiveinsightsandanalysisintotheeffectivenessofKEactivitiesandthewaythoseactivitieshavebeenimplemented.19
• Casestudies
Producecasestudieshighlightinghowandwhereoutputsfromyourresearchprogrammehavebeenusedbypolicy-makers,businesses,thegeneralpublicetc.RemembertoinformtheLWECDirectoratethatthesehavebeenproducedandindicateifanysimilarmaterialhasbeenproducedbyfundersofyourresearch.CasestudiesofsuccessfulKEprocessescanalsobesubmittedtoLWECaspotentialhotlinksforinclusionintheonlineversionoftheseKEGuidelines.20
8. Evaluate
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CaseStudy–ReportingandAssessingKEEvaluating KE at project level provides vital insights not just into the outcomes achieved but also into which processes worked well and which ones proved less productive. Jeremy Phillipson of Newcastle University recounts how an innovative but simple tool dubbed the Stakeholder Impact Analysis Matrix (SIAM) has helped the Relu Programme to generate evaluation data of both short and long-term value.
“TheindividualresearchprojectswithinReluhaveengagedwithseveralthousandstakeholdersintotal.BecausethewholeKEphilosophygoestotheheartofwhattheprogrammeisallabout,itwasessentialtodevelopawayoftrackingstakeholders’involvementintheresearchandpinpointingwhattheybroughttotheworkandwhattheytookawayfromit.Butweneededtocomeupwithamethodthatwouldn’tbetooonerousforanyoneinvolvedandwouldn’tproducecomplicateddatathatwastootime-consumingtounravel.SIAMwasthesolutionwearrivedat.
Toeachproject’sannualreportingform,wesimplyaddedatabletocapturedatadesignedtorevealtheKEeffectsproducedbyeachstakeholderrelationship.
Foreverystakeholder,theproject’sPrincipalInvestigatorwasaskedtoprovideinformationon:theexactnatureofthestakeholder’sinteractionwithandcontributiontotheproject;theamountoftimetheyputintoit;howthestakeholderimprovedtheproject’srelevanceandscientificquality;andfinallytheimpactoftheresearchonthestakeholder’sknowledgeandunderstanding,anditsultimateeffectonpolicyandpractice.
Inthisway,SIAMhasgeneratedanextensivedatabaseofinformationthatcanbeminedtoprovideproject-specificandcross-programmeinsights.
Forexample,analysishasrevealedhowtheroleofpublicsectorstakeholderstendstodiffersignificantlyfromthoseintheprivatesector.Whereastheformertendtomakeakeycontributioninhelpingtoshaperesearchobjectives,it’sgenerallythelatterwhoareattheforefrontofexecutingtheresearchitself.
Ofcourse,SIAMisalsoanexcellentstakeholdermappingtoolandcould,inyearsahead,allowaccurateevaluationoftheReluProgramme’slong-termimpactbyprovidingan‘audittrail’ofencountersandinteractionsbetweenstakeholdersandresearchers.
We’restillrefiningSIAMbutwe’reconvincedbothofitsvalueandofitspotentialtobeadaptedforusebyotherresearchprogrammes.”
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Notes
1. TheLWECpartnershipaimstodevelopacommunityofresearchersandresearchuserswhovaluetheinteractionsbetweeneachotherandwhoseektomaximisetheenvironmental,societalandeconomicvaluederivedfromLWECresearch.Toachievethisrequiresthedevelopmentofacultureinwhichresearchersregarduser/stakeholderengagementasacentralandintegralelementoftheresearchprocess.Similarly,researchusersconnectedwithLWECneedtobeabletoconsidertheirrelationshipswithLWECresearchersasakeymechanismforgeneratingandaccessingtheinformationandunderstandingnecessaryforthemtotakeanevidence-basedapproachtopolicy/decision-making.
ResearchCouncilinitiativestodeveloptheskillsnecessaryforresearcherstobeeffectiveinKEactivitiesinclude:
• NERC’sKEfundingschemesthatsupportco-operativetraining,peopleandknowledgeflowandnetworks.
• ESRC’sschemesforsupportinganddevelopingskills/capacityinKE.
• Inaddition,ResearchCouncilsUKhasaKnowledgeTransferPortalthatlistsschemestosupportsecondmentsandplacementsbetweentheresearchbaseandotherorganisations(seewww.rcuk.ac.uk/kei/ktportal/Pages/PeopleExchange.aspx).
2. NERC,forexample,hasissuedspecificguidanceonobjectivesettingbyprogrammes,highlightingtheneedto:
• Discussthebalanceofbasic,strategicandappliedobjectives,whichwillhelpdeterminethelevelandnatureofuserinvolvement.
• SetSMART(specific,measurable,achievable,relevantandtime-bound)targetsandobjectives,includinguser-focusedobjectives.
• Ensuretheprogramme’sExecutiveBoardregularlyreviewtheobjectives,e.g.toensuretheuser-focusedobjectivesarenotlostsightof.
• Settargetsforuser-focusedoutputsoftheprogramme(e.g.numberofcollaborationswiththeprivate/public/thirdsector)tohelpsecureuser‘buy-in’.
3. Detailedguidanceonstakeholdermapping/analysisisavailablefromarangeofsources(e.g.NERC,theReluProgramme,Defra).KeypointsmadebyNERC,forexample,includetheneedto:
• Brainstormallstakeholderswithapotentialinterest/involvementinyourprogramme.
• Identify‘key’stakeholderstobeconsideredforahigherlevelofconsultationandinvolvement.
• Identifyrelevantindividualsorgroupsofindividualswithineachorganisationandwhattypesofoutputdifferentstakeholderswillneed.
• Surveyallpotentialresearchuserstofindouthowtheywouldlikeprogrammeoutputstobepresentedanddisseminated.
Therearealsoawidevarietyoftechniquesthatcanbeemployed,suchasmatrixmapping,logframesandlogicmodels.
4. LWEC’sprinciplesofco-design/co-production/co-deliveryandfocusonresearchthataddresseskeydecision-makingissuesaroundenvironmentalchangeneedtobereflectedinthereviewingandselectingofprojectproposals,particularlywhenconsideringwhatconstitutes‘excellencewithimpact’.Forexample,when‘radicalinterdisciplinarity’isneededandwherethereisastrongfocusondevelopingsolutionstomessy,real-lifeproblems,carefulthoughtshouldbegiventopeerreviewandprojectselectionprocesses,thepeercommunityinvolvedandtheevaluationcriteria.
5. Inanumberofprogrammes,atwo-stageselectionprocesshasprovedeffectiveinenablingtherefinementofresearchprojectproposals.Forexample:
• IntheUKOceanAcidificationResearchProgramme,outlinebidswerefirstsievedandfinalbidswerethenrequestedfromasub-setoffirstroundapplicants,whowererequiredtoattendaworkshoppriortomakingfullbids.Theworkshopprovidedanopportunityforthefundingpartnerstosaywhattheywantedoutoftheprogrammeandsohelpensurethatproposalswoulddelivertherequirements.
• TheReluProgrammehasusedatwo-stageprocessinsomefundingcalls.Inthefirststage,outlineproposals(andmorerecently‘conceptnotes’)werereviewedbyanassessmentpanel,withfeedbackthengiventothoseshortlistedtogoforwardtothesecondstagetoenablethemtoimprovetheirproposals.
6. Therearemany‘goodpractice’examplesofsuchstrategiesandplanspreparedforexistingLWECprogrammes.(NB:thesevaryin
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emphasisdependingontheprecisepurposeofeachprogramme,e.g.theArcticResearchProgrammeplacessignificantemphasisonpublicengagement.)Forinstance:
• ArcticResearchProgrammefortheUK:Communication,Engagement&KnowledgeExchange–AStrategy2010-2016:www.nerc.ac.uk/research/programmes/arctic/documents/arctic-strategy.pdf
• UKOceanAcidificationResearchProgrammeKnowledgeExchangePlan:http://www.lwec.org.uk/sites/default/files/Ocean_Acidification.pdf
• BiodiversityandEcosystemServiceSustainability(BESS)Communication,EngagementandKnowledgeExchangeStrategy2011-2016:www.nerc-bess.net/documents/BESS_comms_strategy.pdf
AKEstrategyneedstoaddressthefollowingareasandtobeperiodicallyupdated:
• Aimsandexpectedoutcomes.
• Stakeholderanalysis.
• Implementationplandescribingindetailhoweachobjectiveandexpectedoutcomewillbeachievedandhowdifferentresearchusersandstakeholderswillbeengagedthroughouttheprogramme,consideringtheneeds/preferencesofdifferentstakeholdergroups.
• EstablishmentofresponsibilitiesforKE(i.e.considerwhowillbetaskedwithachievingeachoutcomedescribedintheimplementationplanandwhenyouexpecteachoutcometobeachieved).
• AllocationofappropriatefundingtoKEatprogrammeandprojectlevel.
• KElinksthatcanbeestablishedwithotherLWECactivities.
• ThedesiredKEcultureandskillsneededfortheprogrammeandhowtheywillbeachieved.
• Knowledgemanagementarrangementstosupporteffectiveaccessto,andsharingof,knowledgeandexpertise.
• Evaluationprocedurestobeusedduringandaftercompletionoftheprogrammeorprojectaspartofalearningcycle.
• Branding–someprogrammeshavefounditusefultothinkexplicitlyaboutthisinordertohelpfosterrelationshipsandcommunicate
researchoutcomesmoreeffectivelywithstakeholders.
KEstrategiesforindividualprogrammesshouldalsodescribethecontributiontheprogrammewillmakeacrossLWEC’ssixstrategicchallenges(climate,ecosystem,health,infrastructure,resourcesandsocietal;seewww.lwec.org.uk/challenges)bothingeneraltermsandspecificallyintermsofmeetinguserneeds.
7. SinceakeyaimofLWECactivitiesistoensureimpactoftheresearchintheusercommunitiestheyserve,sufficientresourcesneedtobeallocatedtoKEthatenableuptakeofresearchthroughsustainedengagementandinterventions.NERCprovidesaguidelineof5%ofprogrammebudgettobereservedforKE,comparedwithDFID’sguidelineof10%.
ActivitiestobecoveredbytheKEfundsmayinclude:
• StafftimetomanageKEactivities,undertaketheroleofknowledgebrokeretc.
• Workshopsandothernetworkingevents.
• Developmentandactivemaintenanceofcommunicationchannelssuchaswebsitesetc.
• Staffexchangeschemesbetweenresearchteamsandresearchuserorganisations.
• SchemeswherethosewhohavepreviouslymanagedKEprojectsmentorthosewithlessexperience.
• Integration/interpretationofresearchacrossprojects/programmestoanswercross-cuttinguserneeds.
• Preparationofreports,briefingnotesetc.aimedatspecificusergroups.
PreparationofaKEstrategyshouldincludeestimationoftheassociatedcostsanddecisionsonwhatfundingshouldbereservedatprogrammeandatprojectlevel.InordertoensurethatprojectsallocatesufficientfundstoKE,thismaybeemphasisedincallsforproposalsandmaybeasignificantfactorinproposals’evaluation.
8. Tobeabletoidentifyandrespondtonewuserneeds,regularcontactneedstobemaintainedbetweenresearchinitiativesandtherelevantusercommunities,aswellasbetweenprogrammeandprojectlevels.Specificmechanismstoachievethisinclude:
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• Buildingeffectivenetworksofconnectionsacrossresearchandusercommunities.Thisisparticularlyimportantforemergingpolicyareasorbusinesssectorsinwhichinnovationisfastmoving,whereconnectionsbetweenresearchersandpolicy-makers,forexample,maynotexist.Aparticularchallengeistherapidturnoverofstaff,requiringaproactiveapproachtomanagingtherelationshipandrenewingconnections.
• Ensuringprojectfundingmodelsrewardresearchersforbeingresponsivetouserneeds(e.g.intermsofadviceandanswerstoquestions).Potentialmodelsincludetheallocationofapercentageoftheresearchbudgettoprovidesuchsupport,orretainingfundscentrallywhichcanbebidforasneedsarise.
9. Therequiredknowledgebrokeringcapacitymaybeestablished:
• Withintheprogramme/activitymanagementteam.
• Asaroleundertakenbymembersofindividualresearchteams.
• Within‘user’organisations(i.e.askeypointsofcontactforengagement).
• Byexchangeofstaffbetweenresearchteamsand‘user’organisations,e.g.theReluProgramme’sworkshadowingandvisitingfellowshipsschemes–seewww.relu.ac.uk/gettinginvolved/
• Bymakinguseofexistingbodiesandinitiatives,e.g.theTechnologyStrategyBoard’sKnowledgeTransferNetworks–seehttps://connect.innovateuk.org/
Inpractice,severaloralloftheseapproachesmaybeusedwithinanindividualprogramme.
Importantskills/activitiesofknowledgebrokersinclude:
• Clearcommunication.
• Understandingoftheculturesofboththeresearchanddecision-makingenvironments.
• Abilitytogeneratetrustandbecredible.
• Facilitation,mediationandnegotiationabilities.
• Abilitytofindandassessrelevantresearchinavarietyofformats.
• Entrepreneurialabilities(networking,problemsolving,innovating).
Theaboveguidancehasbeensourcedfrom:Lomas,J.,2007.TheIn-betweenWorldofKnowledgeBrokering.BritishMedicalJournal,Vol.334,pp.129-132.
10. Somechannelsofcommunicationmaybeessentiallypassive(i.e.takingtheformofadisseminationmedium)ratherthanrepresentingactiveKE.Thefollowingarejustsomeexamplesofsuchmedia,whichcanneverthelessplayanimportantroleincommunicatinginformation:
• Shortfilms,e.g.theUKOceanAcidificationResearchProgramme’s12-minutefilm‘OceanAcidification:ConnectingScience,Industry,PolicyandPublic’(seewww.youtube.com/watch?v=_BPS8ctVW2s).
• Twitter,e.g.aguidetousingTwitterproducedbyRelu’sSustainableUplandsProjectisavailableathttp://www.lwec.org.uk/news/2011/august/get-tweeting-lwec-researchers-publish-guide-twitter
• Slideshare,whichcanactasausefulmeansofpostingPowerPointpresentationstothewebandsharingthemwithstakeholders(e.g.seewww.slideshare.net/lecmsr/sustainable-uplands-results-presentation-4496281).
• Scribd,whichcanbeusedtoshareprojectdocuments,publicationsandreportswithstakeholders(e.g.seewww.scribd.com/doc/59776981/Sustainable-Uplands-Newsletter-Summer-2011).
• YouTubeandVimeo,websiteswhereprojectvideoscanbeuploaded.
• Games,e.g.aReluprojectproducedRUFopoly,aboardgameillustratingissuesrelatingtotherural-urbanfringe.
• Publications,booksandPolicyNotes.
Itisimportanttoemphasise,however,thatothermoreintrinsicallyinteractivechannels(e.g.workshops,breakfastclubs,Q&Asessions)canalsoplayakeyroleinKE.Moreover,itisvitaltorecognisethat,inthemselves,activitiesdonotconstituteimpactunlesscarefulconsiderationisgiventowhatdifferencetheywillmakeandwhatwillchangeasaresultofthem.
11. NERC’sUrbanRegenerationandtheEnvironment(URGENT)Programme,forexample,producedauserfriendlydigestofresearchoutcomesparticularlytargetedatlocalauthorityenvironmentalhealth,planningandtechnical/engineeringdepartmentsandincluding:
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• Web-basedenvironmentalinformationsystemsforplanners.
• Informationonmaintainingbiodiversityinurbanenvironments.
• Acost-effectivemethodofscanningandmappingsitestoassisttherisk-basedmanagementofcontaminatedland.
• Newguidelinestoreducedamagetoarchaeologicallysensitiveareasduringregenerationandredevelopment.
• Informationonuseoftreesinurbanareastoimproveairquality.
• Anewcomputersystemtopredictwhenandwherearoadwillfreeze,savinglocalauthoritiesmoneyonunnecessarysalting.
• Informationonrivercontaminationandpollutionremoval.
Someofthesehaveinformedlocalauthoritypoliciesandpracticeand/orledtospin-outcompaniesorfurtherresearchsupportedbylocalauthoritiesthemselves.
12. TheReluProgramme,forinstance,hasaworkshadowingschemeinplace(seewww.relu.ac.uk/funding/WorkShadowsVisitingFellows/workshadowing.htm).SeealsothethirdbulletpointinNote1above.
13. Itisimportanttoconsiderthepotentialvalueofintegratingfindingsgeneratedacrossanumberofprojects.Theimplicationsofanyonepieceofnewknowledgemaywellnotbesignificanttoastakeholder:stakeholdersgenerallyrespondbesttobodiesofevidenceandlinesofargument,withthestrengthofaknowledgecommunitycountingmorethanthevoiceofasingleresearcher.Thefollowingareexamplesofeffectiveinitiativestoachieveintegrationandinterpretationofknowledgearisingacrossprojectsandprogrammes:
• ESRC’s‘evidencebriefings’,integratingresearchfindingsacrossESRC’sresearchportfolioandinterpretingittoaddresskeypolicyissues(availableatwww.esrc.ac.uk/publications/evidence-briefings/index.aspx).
• TheReluProgramme’s‘briefingpapers’,integratingfindingsfromacrosstheprogrammetoaddresskeypolicyissues(availableatwww.relu.ac.uk/news/briefings.htm).Reluhasalsoorganisedworkshopsand
eventslinkingacrossprojectsandinvolvingstakeholderstoevaluateemergingfindingsfromtheprogramme’sresearch.
• TheChangingWaterCycleprogrammehasestablishedcross-themeworkinggroupscomprisingresearchersanduserstohelpintegrationacrosstheprogrammeaswellasthedeliveryofhigh-levelsciencegoals.Fundshavebeensetaside,whichtheworkinggroupscanbidinto,forintegrationandsynthesisofresearchresultsastheyaregeneratedoverthelifeoftheprogramme.Asciencemanagementteamappointedtoruntheprogramme(includingtheworkinggroups)hasaresourceforfacilitatingKE.
14. LWECiscurrentlydevelopingthesereportcardsforclimatechangeimpactsalongthelinesofthosedevelopedbytheMarineClimateChangeImpactsPartnership(seewww.mccip.org.uk/annual-report-card.aspx).
15. Policy-makers’(and,indeed,others’)needsforadvice/inputsonshorttomediumtimescalesmaybroadlybedistinguishedasfollows:
• Lessthanoneweek(e.g.aquestionarisingfromaMinister).
• Oneweektosixmonths,typicallyrequiringashortstudytogeneratenewinformationorsynthesise/interpretexistinginformation.Lead-intimeisgenerallyafewweeks.
Responsesmayberequiredorally(particularlyinresponsetothemoreurgentquestions),asashortreportorbriefingnote,orintheformofameetingorworkshopwhereissuescanbeexploredandanunderstandingofthepolicyimplicationscanbeestablishedjointlybetweenresearchersandpolicy-makers.ResearchersworkingonLWECactivitiesmaybethepreferredsourceofsuchadvicebecausetheyareworkingatthecuttingedgeofpolicy-relevanttopics.
Inadditiontothisresponsivemodeofinteraction,itmayalsobeusefulforresearchersworkingonLWECactivitiestotakeamoreproactiveroleinidentifyingnewfindingsarisingfromtheirresearchwhichpolicy-makersshouldbeawareof.Tofulfilthisroleeffectivelywillrequireresearcherstohaveagoodawarenessofthepolicycontexttowhichtheirresearchrelates,andfortheretobeeffectivechannelsofcommunicationtotransmittheirmessagestotherelevantpolicypeople.
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16. Forexample,LandandWaterAustralia’sapproachtoextractingcontinuingvaluefromknowledgeassetsisoutlinedintheir2005publication‘ManagingInformationandKnowledgeforAdoptionOutcomes’availableatlwa.gov.au/files/products/land-and-water-australia-corporate/pr050969/pr050969.pdf
17. ExamplesofLWECactivityreviewsofKEexperienceinclude:
• ‘CommonKnowledge?AnExplorationofKnowledgeTransfer’–aReluProgrammebriefingpaperreviewingtheprogramme’sKEexperienceandapproachesinthebroadercontextofKEinotherprogrammes(availableviawww.relu.ac.uk/news/briefings.htm).
• ‘TellingStories:AccountingforKnowledgeExchange’–aReluProgrammebriefingpaperonitsKEexperienceandapproaches,includingitsengagementwithawiderangeofstakeholders(availableviawww.relu.ac.uk/news/briefings.htm).
• ‘AdventuresinScience’–aReluProgrammebriefingpaperoninterdisciplinarityandKEintheprogramme(availableviawww.relu.ac.uk/news/briefings.htm).
18. TheLWECDirectoraterecommendsresourcesdevelopedbytheReluProgramme.LWECLandUseFellowJeremyPhillipsonishappytosharethesetohelpothersdeveloparobustevaluationprocedure.TheProgramme’sbriefing‘TellingStories:AccountingforKnowledgeExchange’(availableviawww.relu.ac.uk/news/briefings)describeshowtheprogrammecapturesandevaluatestheimpactsofitsresearchprojects.TheprogrammehasalsodevelopedtheSIAM(StakeholderImpactAnalysisMatrix)tooltotracktheinvolvementofstakeholdersinReluProgrammeresearch,toseewhattheybringtoitandwhattheytakeaway.(Seep.17formoreaboutthistool.)
19. ThedevelopmentoftheLWECKEGuidelinesbroughttogetheranetworkofresearchersandpeoplefromLWECpartnerorganisations,allofwhomhadsomeresponsibilityfororinvolvementinKE.ManycontributorsofcasestudiesandothermaterialstotheseGuidelineshavealsoprovidedcontactdetailsandprofilesinthe‘People’sectionoftheLWECwebsiteandarewillingtobecontactedforfurtheradvice/guidance.TheaimsoftheemergingLWECKECommunityaretoprovideopportunitiesforlearningfromeachotherandtocontinuallyimproveKEpracticeforgreaterimpact.
20. NERC’sScienceImpactsDatabaseisapubliclyaccessible,searchablerepositoryofcasestudiesshowingthepolicy,economic,socialandpracticalimpactsofNERC’sscienceinvestments(seesid.nerc.ac.uk/).
LWECisalwayskeentocapturestoriesforitswebsite(seewww.lwec.org.uk/stories);contactLWECifyouhaveoneforinclusion.
*****
GeneralguidanceavailablefromtheResearchCouncilsandtheirfundedprogrammesincludesthefollowing:
• ResearchCouncilsUK’sKnowledgeTransferPortalprovidesagatewaytoResearchCouncils’activitiesandschemesinknowledgetransfer(seewww.rcuk.ac.uk/kei/ktportal/Pages/PeopleExchange.aspx).
• ESRC’s‘impacttoolkit’providesinformationforresearchprojectmanagersondevelopinganimpactstrategy,promotingKE,publicengagementandcommunicatingeffectivelywithstakeholders(seewww.esrc.ac.uk/funding-and-guidance/tools-and-resources/impact-toolkit/index.aspx).
• NERC’s‘ScienceintoPolicy’bookletdescribesgoodpracticeininformingpolicy-making(seewww.nerc.ac.uk/publications/corporate/documents/science-into-policy.pdf).
• TheReluProgramme’sapproachtoKEandstakeholderengagementispresentedin‘CommonKnowledge?AnExplorationofKnowledgeTransfer’(seewww.relu.ac.uk/news/briefings.htm).
• TheSustainableUrbanEnvironmentProgramme’s‘ISSUESGuidetoKT’isdesignedtohelpresearchersunderstandthemethodsbehindcreatingimpactbeyondacademiaandthereasonswhyKEshouldbeanimportantconsiderationatallstagesofaresearchproject(seewww.urbansustainabilityexchange.org.uk/ISSUESGuidanceNotes.html).
• NERCguidanceonpreparing‘pathwaystoimpact’isavailableatwww.nerc.ac.uk/funding/application/pathwaystoimpact.asp
LWECKnowledgeExchangeGuidelines|www.lwec.org.uk 23
Abbreviations
DECC: TheDepartmentofEnergyandClimateChange
Defra: TheDepartmentforEnvironment,FoodandRuralAffairs
DFID: TheDepartmentforInternationalDevelopment
EPSRC: TheEngineeringandPhysicalSciencesResearchCouncil
ESRC: TheEconomicandSocialResearchCouncil
LWEC: LivingWithEnvironmentalChange
NERC: TheNaturalEnvironmentResearchCouncil
Relu: RuralEconomyandLandUse
LWECKnowledgeExchangeGuidelines|www.lwec.org.uk24
Acknowledgements
LWECwouldliketoextendsincerethankstoeveryonewho,eitherdirectlyorindirectly,contributedmaterialthathasenabledproductionoftheseGuidelines.
Specialthanksaredueto:
• JohnHolmes,NERC/LWECFellow,forundertakingthefirstphaseofworkontheGuidelines.
• MarkReed,AnnaEvely,IoanFazeyandLindsayStringerfromtheReluProgramme’sSustainableLearningProject,whoseextensiveempiricalresearchhasprovidedthefoundationonwhichtheseGuidelinesarebased.
• ManyotherrepresentativesfromLWECactivitieswhogenerouslycontributedexamplesfromtheirownexperienceanddonatedtheirtimetoaninformalpeerreviewprocess.
• FaithCulshawofNERCandSusanBallardofLWECwho,inconjunctionwithprofessionalwriterandeditorBarryHague,haveledtheGuidelines’developmentintoparallelprintedandonlineresourcesdesignedtobeeasytoaccessandupdateasrequired.
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