Section 10. Conducting Research to Influence Policy

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Learn methods and skills for conducting different forms of investigative research, as well as how to use such research to bring about specific policy changes.

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Imagine this scene: The county Finance Committee, made up of the financial officers of several towns in a rural county, is meeting at the courthouse in the county seat on a Monday evening. The county human service administrator has asked the directors of several human service agencies to present their cases for county funding to the board. With only five minutes apiece to speak, each of them knows that what she says could mean several thousand dollars to her organization.

As each director takes her turn, it seems that the most compelling information for members of the Committee is the number of people in the county, and in each of their towns, affected by the issue the agency addresses. The director of the teen parenting program begins her presentation, but is quickly interrupted by the chair of the Finance Committee. "I'm sure you do a great job," he says, "but we don't have a serious problem with teen pregnancy in this county."

The program director smiles, and responds, "As a matter of fact, over 25% of births in this county are to mothers under 20, and 78% of those mothers are unmarried. Over 50% of them are under 17. The majority of those are potential or actual high school dropouts, and the fathers are generally not in the picture. We're currently serving more than 50 teen parents in our residential program, counseling another 120 pregnant and at-risk teens, and we have a waiting list that's even longer."

As jaws on the Finance Committee drop, the director continues, "Mr. Chairman, in your town, with fewer than 5,000 people, nearly 40% of births are to teen parents. That translates to 30 to 40 a year, many of whom are enrolled in our program. Several gave me permission to tell you privately who they are, if you're interested."

The teen pregnancy program director had done her research: not only did she know the numbers of county residents affected by the issue, and have town figures on the tip of her tongue, but she had tracked down program participants who had some geographical or personal connection to local officials, including, as it happened, the chair of the Finance Committee himself. The program received a generous grant from the county, and, more important, the Finance Committee endorsed support services for teen parents and teen pregnancy prevention efforts in the county as a matter of policy. Would your organization have done as well?

This chapter of the Tool Box has focused on research, and its importance as a tool for your organization or initiative to accomplish its advocacy goals. Sometimes, that research has to be very specific in order to create or change policy. In this case, the program director anticipated the Committee's questions, and made sure he had done the research to address them. But she also went a step further, and connected the concerns of those his program served with committee members and other officials, making the issue a personal one for several of them. In this section, we'll examine how you can use research to bring about specific policies or policy changes.

What do we mean by conducting research to influence policy?

As we discussed in the opening section of this chapter, How to Conduct Research: An Overview, there are many different kinds of research. Each requires a different kind of research process, and each yields a different kind of information. Each is appropriate in a variety of situations, but it's important to match your research to your purposes.

Advocacy research has a specific purpose: to influence the formal and informal policies established by policymakers and others in power. Thus, it is important to collect good information and present it in a compelling manner.

The ideal is that your research will clearly show that the needs or problems you want to address are real and serious, and that the methods you recommend for addressing them have, in fact, been proven successful. When this ideal isn't quite realized, however, you may find that you have to adjust your approach to be persuasive - you may reframe the issue, for instance, or personalize it by collecting the testimony or stories of individuals affected. Whatever your approach, your goal is to make your research as compelling as possible, whether you're trying to increase funding for a local program, or to change the way the world deals with the gap between rich and poor countries.

Why conduct research to influence policy?

You might conduct research to influence policy for a variety of reasons, and some of them may be surprising.

To show that there's a need for funding or intervention (or both) on a particular issue

There are really two ways you might approach this goal.

There is always the danger here that your research will not support what you expect it to, or even that it will show the opposite. If that's the case, your choices are to ignore the research and forge ahead anyway, or to use the research to determine what the target population or the community actually needs. As we state so often in the Community Tool Box, it's important to face reality in a situation like this.

If you're certain that the need you anticipated is there, you may have to rethink the research you're doing to understand how it missed the obvious. If it's clear that the research was sound, then you may have to change your perception of the need, and show your commitment to the community by advocating for what will be of most benefit to it. Otherwise, you risk your credibility and your integrity.

To show that a need or issue exists and to assure it is actually addressed

The research you do can often be used to gain the backing of the public and/or policy makers for dealing with a particular issue. They may be surprised to learn how many people it affects, or how common it is in their communities (as in the example at the beginning of this section). In many cases, policymakers can use your research to champion something they already favor, but have no support for.

In a different vein, you might be able to use your research to pressure policy makers to address an issue they'd prefer to ignore, for political or other reasons. Many politicians, for instance, managed to turn their backs on racism in the United States until the research of civil rights supporters showed that African-Americans were being systematically denied their constitutional rights in large parts of the country.

To assure that what's addressed is, in fact, what needs to be addressed

There are at least two kinds of circumstances where this is a concern:

To support or discredit a specific method or practice

You may be trying to create or change policy on anything from the use of a particular teaching method in an individual school, to an emphasis on treatment to address drug problems in a community, to the employment of the death penalty in a country.

For example, in Illinois, research showed that a large number of prisoners on death row had been mistakenly convicted, exonerated by careful detective work or by previously-unavailable DNA testing. As a result, largely because of the public's apparently justified fear of mistakenly executing the innocent, capital punishment in that state was suspended.

To identify and advocate for appropriate policy in a given situation

Research can and should demonstrate what has been successful elsewhere, and what might, therefore, be a good course of action in your situation. What has worked in similar communities to reduce teen pregnancy? How did the neighboring town get drug dealers off the street? Have other rural counties found effective ways to screen for and treat adult diabetes? The answer to questions like these will help you decide how to advocate for policy that leads to a solution to a community problem.

To point out incompetence or corruption in government, business, or elsewhere that affects the public interest

If you suspect - or know - that the public is being harmed economically or politically by incompetence, dishonesty, or corruption, investigative research may give you the facts you need to anger the public and policy makers enough not only to correct the situation, but to establish policies to keep it from recurring.

In the wake of the collapse of the giant energy corporation Enron in 2002, research conducted by the Justice Department and the Securities and Exchange Commission showed that Enron's accountant, Arthur Andersen, helped the company misrepresent its financial situation. As a result, a law was passed further regulating the activities of accountants, and new policy is still being made.

To protect the public health and safety

The necessary research here may range from an investigation of environmental or workplace safety standards, to lab research that shows a hitherto unsuspected benefit or harm from eating certain foods, to the influence of adequate street lights on reducing violent crime. Such research can support policies that set standards well in the safety zone and regulate dangerous substances or practices.

To give yourself a solid base for advocacy

Having solid research behind your advocacy both establishes your credibility and gives you substantive reasons for sponsoring what you're sponsoring. It helps to counter opposition arguments, and to address concerns and emotion-driven objections. Furthermore, it assures that you know what you're talking about, and aren't left mumbling when an opponent or a member of the public asks you to explain your argument.

To maintain your integrity, and make sure that you're doing the right thing

Your research should not only influence policy makers - it should influence you, too. Sometimes what you think you know isn't reality. If you really care about social change - change that addresses the real issues and actually improves life for a target group or a community or the world - you have to deal with what is, not with what you want to believe.

Sometimes, facing reality can be as difficult for advocates as for policy makers or members of the public who know that the death penalty reduces the murder rate, or that sex education in schools encourages teens to be sexually active, even though the research points in the opposite direction. To be true to your ideals, to maintain your integrity, you must be willing to accept what your research tells you, and act accordingly.

Who should conduct research to influence policy?

Virtually anyone can do at least some form of advocacy research, but not everyone has the training to set up studies or comparisons that hold up statistically, or the credentials to be taken seriously by policy makers and the public. Grassroots groups, for instance, which often include members of the group most affected by the issue being researched, are certainly more than capable of collecting information and doing investigative work. They may, in fact, be more effective than other researchers at gathering information from the target population. But, they may need to enlist partners with research expertise to make sure that their methods are appropriate, and that their findings are accepted.

Among those who might conduct research to influence policy:

If you're using think tank research, be sure you know the reputation of the group. Many think tanks have a political bias, and a few are not above ignoring evidence that disproves their contentions, or even skewing their research to make it conform to their ideology. While most are totally honest, it's important to understand the reliability of your sources.

All too often, the appointing official or body knows what he or it wants the commission's conclusion to be. Although these commissions are regularly packed with respected and well-known people - who may or may not be competent researchers themselves - and given research staffs and adequate budgets, their results are often ignored. If they confirm what was expected, the appointer merely says "I told you so," and continues to pay little attention to the issue. If, however, the commission's findings are contrary to expectations, they are often swept under the rug. and the appointer continues to pay little attention to the issue. Only if the media manages to point out the commission's research results and capture the public's interest, do such findings become a matter of real discussion and possible policy change.

Watchdogs always have an issue at hand, so the question of bias arises here. Bias, in this case, is often unconscious, and has to do with point of view. Media watchdogs on the left, for example, find the media biased toward the conservative end of the spectrum, while those on the right rail endlessly about the "liberal media." It is certainly possible for the media to be less than objective sometimes, and for a particular media outlet or media report to be biased in one direction or the other. It is even possible for the media to be liberal on one issue and conservative on another, but it is not possible for all the media to be both too liberal and too conservative at the same time. Some watchdogs tend to see conspiracy in every action that disagrees with their ideology. For an example of how watchdogs with different viewpoints can interpret evidence differently, see the web sites of FAIR, Fairness and Accuracy In Reporting, a liberal media watchdog, and the Media Research Center, its conservative counterpart.

When should you conduct research to influence policy?

The short answer here is whenever you want to have an effect on policy-making. There are some specific times, however, when research can be particularly useful.

In Massachusetts, literacy providers were able to secure not only a large increase in funding, but a complete reexamination of the funding process for adult education, by gathering the names of 13,000 people on waiting lists for adult literacy programs in all parts of the state.

How do you approach conducting research to influence policy?

The important question here is not how to do research - that's dealt with in the first seven sections of this chapter - but, rather, how to approach your research when you have a specific policy goal in mind. That means defining your policy goals clearly, taking your audience into account, and then researching and releasing your results with those considerations in mind.

Decide how you want to influence policy

There are a number of ways you may try to influence policy:

Consider whom you need to influence, and what they'll be swayed by

Understanding your audience and what they will respond to should constitute part of your research, make clear the kind of research that's therefore appropriate, and show you how best to present the conclusions of that research. Being able to speak forcefully and convincingly to exactly the policy makers and others you want to influence is a key to good advocacy research.

Most officials will respond to anything they have a personal connection with. If Uncle Joe is on welfare, or a friend's daughter has waged a long battle with schizophrenia, then they are apt to be interested in and sympathetic to the needs of low-income citizens or those with mental health problems. You can often gain the ear of an official through the intercession of a family member, friend, or neighbor who is affected by the policy area you're addressing. For that reason, it's useful to include looking for those kinds of connections in your research.

Use the evidence you already have

Do you need further research? If you already have enough appropriate information to back up your advocacy, you may not.

On the other hand, do you know enough to know the direction your research needs to take? If, for example, you've identified a problem, but don't know its cause, do you know how to find it, so you can advocate for addressing it? Or is finding the cause the direction your advocacy should take? (That's what much early AIDS advocacy was about - funding for medical research to find the cause of the disease.)

Use what you already know - about the direction you're moving in, about your target audience, and about the issue itself - to determine what else you should do.

Conduct the research itself

Consider both what you're trying to demonstrate and the background and assumptions of your target audience. These two considerations are equally important. You may have overwhelming evidence to support your conclusions, but if it isn't evidence your target audience will accept, it will do you little good.

Some ways to do your best to assure that your evidence is accepted:

Analyze your data

Depending on the type of research you've done, you may need to perform a statistical analysis, simply record and tabulate the numbers you've found, try to look behind numbers or other information to understand the context of the situation, use the "but why" or other techniques to find a root cause, etc.

Respect your results. Don't exaggerate or lie about them - not only is it unethical, but your opponents will make you pay eventually if you do. If they don't show what you expected, you have to figure out why. Did you look at the wrong factors? Did you collect the data badly? Did you collect the information that would actually tell you what you wanted to know? Is it possible that previous research doesn't apply to this situation? Or were you just dead wrong to begin with?

As discussed above, if you were wrong, your integrity demands that you accept that, and advocate for whatever will actually solve the problem or serve the best interests of the target population or the community.

Present your data in a way that will both reach and influence your target audience

First, some general guidelines for presenting information: