Building research and communications capacity for an open, fair and sustainable networked society: The APC Action Network

Building research and communications capacity for an open, fair and sustainable networked society: The APC Action Network 2010-12 Contact: Anriette Esterhuysen APC Executive Director PO Box 29755, Melville 2109, South Africa. Tel. +27 11 726 1692 (South Africa) Fax +27 11 726 1692 anriette@apc.org http://www.apc.org/ Karen Banks Strategic Technologies and Network Development Manager karenb@gn.apc.org APC: Research and communications capacity for an open, fair and sustainable networked society Page 1 of 38

Table of Contents Executive summary...3 1. Background...4 1.1 Positive Relationship Work: Organisational Case Study of the APC...4 1.2 Organisational assessment exercise 2009...5 1.3 IDRC support for institutional capacity in the APC from 2005-9...5 1.4 ICT policy research and advocacy in Africa and LAC 2007-2009...6 2. APC s strategic vision and key result areas for 2009-12...7 3. Goals and objectives of this initiative...9 4. The APC Action Research Network: Research capacity for an open, fair and sustainable networked society...9 4.1 Problem and justification: The role of research in the APC...9 4.2 Objectives...12 4.3 Methodology...13 4.3.1 Building research capacity...13 4.3.2 APC member learning and exchange fund...14 4.3.3 Strategic travel support...14 4.3.4 Network building and learning event...15 4.3.5 Network facilitation...15 4.3.6 Strategic Communication Support...15 4.4 Results and dissemination...16 5. Critical areas for networked societies: Affordable access, sustainable ICT use, good governance and the protection of privacy...16 5.1 Research and advocacy to promote sustainable ICT use in the ICT for D community...16 5.1.1 Research problem and justification...16 5.1.2 Objectives...18 5.1.3 Methodology...19 5.1.4 Results and dissemination...21 5.2 Supporting affordable access for all through open spectrum...23 5.2.1 Research problem and justification...23 5.2.2 Objectives...24 5.2.3 Methodology...24 5.2.4 Results and dissemination...26 5.3 Research learning and networking forum on cybercrime, privacy and security and how these intersect with human rights...28 5.3.1 Research Problem and justification...28 5.3.2 Objectives...30 5.3.3 Methodology...30 5.3.4 Results and dissemination...31 5.4 Building advocacy tools to improve governance: the open governance index...31 5.4.1 Research problem and justification...32 5.4.2 Objectives...32 5.4.3 Methodology...33 5.4.4 Results and dissemination...33 6. Documenting research and communications capacity...34 6.1 Extracting and sharing learning to support research communications for policy influence...34 6.1.1 Problem and justification...34 6.1.2 Objective...35 6.1.3 Methodology...35 6.1.4 Results and dissemination...35 6.2 Documentation of key impacts and contributions of APC in its first 20 years...35 6.2.1 Problem and justification...35 6.2.2 Objectives...36 6.2.3 Methodology...36 6.2.4 Results and dissemination...36 7. Project implementation and coordination...37 7.1 Project team...37 8. Budget...38 APC: Research and communications capacity for an open, fair and sustainable networked society Page 2 of 38

Executive summary The Association for Progressive Communications (APC) requests support to the amount of CAD 800,000 for two years from the International Development Research Centre (IDRC) for the implementation of research, research capacity building, research planning, and networking and advocacy for a fair and open and sustainable networked society as expressed in the APC strategic vision for 2009-12. This proposal outlines the APC network's strategy for 2009-12 and then presents research, learning and advocacy activities that we believe represent areas of common concern between APC and the IDRC. These activities are all rooted in implementing APC's strategic plan and will contribute to building an APC Action Research Network that draws on the APC's world-wide network of members and partners. The activities presented for support build on previous IDRC support to APC and draws on the IDRC supported case study done by Terri Willlard of the International Institute for Sustainable Development (IISD) that explored how IDRC contributed to APC capacity from 1996 to 2006. Activity will be clustered into three broad areas: Research capacity for an open, fair and sustainable networked society; Research and networking in four issues areas (sustainable ICT use, spectrum, open governance, and privacy, security and human rights) and, Documenting research and communications capacity in the APC. Specific objectives are to: i. Build research capacity and grow an APC Action Research Network of researchers uniquely located in organisations that can do national and regional advocacy supported globally by APC staff. (Africa, Asia, Latin America and the Caribbean - LAC) ii. Develop knowledge products that extract learning from APC's extensive experience in influencing policy and present it in a way that can assist other organisations and networks. (Based on experience in Africa and LAC but relevant globally) iii. Assess key impacts and contributions of APC in its first 20 years (Global) iv. Conduct research and build advocacy in two areas that are critical to an open and fair networked society: sustainable ICT use by civil society and the ICT for development sector; and, the potential of open wireless spectrum to extend affordable access to the internet. (Africa, Asia, Latin America and the Caribbean - LAC) v. Facilitate a learning forum on research into cybercrime, privacy and security and how these intersect with human rights in order to scope future research and advocacy that can contribute to securing and defending human rights on the internet. (Global) vi. Extending the PAN Asia Open Governance Index into Africa and Latin America and the Caribbean as a first phase to developing a global civil society driven evidencebased campaign to advocate for the use of the internet and other ICTs to strengthen democracy. (Africa, Asia, Latin America and the Caribbean - LAC) APC: Research and communications capacity for an open, fair and sustainable networked society Page 3 of 38

1. Background Several initiatives inform this proposal: the organisational case study of how IDRC contributed to capacity building through project support from 1996 to 2006 conducted by Terri Willard; an organisational assessment exercise conducted by eloise burke in 2009 proposed and supported by IDRC; institution strengthening project activity supported by IDRC during the period 2005-9; and; support for ICT (Information and Communications Technologies) policy research and advocacy in Africa and Latin America and the Caribbean from 2007-2009. 1.1 Positive Relationship Work: Organisational Case Study of the APC 1 This study, conducted by Terri Willard of the International Institute for Sustainable Development (IISD) in 2007 and completed in March 2008 explored what can be learned from IDRC support to APC from 1996 to 2006. The support consisted of a combination of grants for project implementation, collaboration, and for institutional strengthening, but was accompanied by the development of positive peer relationships between key staff of the two organisations. 2 The study explored a more informal approach to capacity building, where relationships characterized by a spirit of professional friendship became a determinant in capacity building. The study study concludes that The relationship between the two organizations is multifaceted; APC serves at times as a project implementer; or project collaborator; but also is considered a strategic partner in project activities; and, most important, a strategic ally in moving the ICT4D field forward. All aspects of the relationship have served to support the two organizations to become partners in learning, challenging each other s perspectives and advancing the field of ICT4D. 3 In going forward the study suggests that in shifting to a more explicit focus on organisational capacity building IDRC should consider that investment in capacities can lead to results; IDRC should strengthen its understanding of what constitutes organizational capacities ; IDRC needs to be more conscious of the difference between supporting an organization to achieve its own goals versus supporting an organization to achieve IDRC s goals. In project funding she says that IDRC needs to be more aware of potential underfunding of project management costs in budgets, where lack of such funds has the potential to adversely affect capacity to deliver on projects. 4 With regard to building research capacity, Willard recommends that IDRC's understanding of research capacity should encompass the full Bernard Mapping Research Capacity framework which identifies abilities to conduct research; to manage research activities; to conceive, generate and sustain research in a sector; to use research outcomes in policy or practice; and to mobilize research-related policy and programmes systems thinking. Willard found that IDRC staff often overlooked the last two areas although they are central to discussions of APC's capacity for research dissemination and systemic change through policy advocacy. 5 APC aims to integrate the use of the Bernard framework in the research capacity activity described below and one of the outputs focuses explicitly on research dissemination. 1 Positive Relationship Work: Organizational Case of Study of the Association for Progressive Communications (APC) by Terri Willard, IDRC, March 2008. http://www.idrc.ca/uploads/user-s/12524381271apc_full_case_study_report_- _Eng.pdf 2 Willard 2008, p. ii 3 Willard 2008, p. iii 4 Willard 2008, p. v 5 Willard 2008, p. v APC: Research and communications capacity for an open, fair and sustainable networked society Page 4 of 38

1.2 Organisational assessment exercise 2009 APC used the McKinsey framework to conduct a self-assessment for the Ford Foundation in 2005. However, with IDRC support, a much more in-depth assessment was conducted by an independent consultant, eloise burke in early 2009. Interviewing staff, members and directors of APC as well as donors and strategic partners, she gathered information on the following aspects of APC the organisation: Legitimacy; Leadership; Management and Administration; APC s Core business; APC s Resources (Human Resources, Physical resources, Financial resources) and External Relations and Communications. The report, attached as Appendix 1 concluded that APC derives its legitimacy from working locally, regionally and globally within and with diverse communities. It is recognized for its ICT policy influence and expertise and its strong international membership base. Its legitimacy is also grounded in its organisational structure that involves members in key decisions as well as joint programming initiatives. 6 Opportunities are managed through keen attention to programmes and projects that are designed to bring the strategic plan alive. Nevertheless, financial resources are limited leading to staffing challenges as well as gaps in responding to relevant opportunities. Sustainability of the organisation recognised as a primary challenge and is addressed on an ongoing basis. The main challenge for APC is to be resource-rich without compromising its values. The assessment carefully considered APC's nature as a virtual organisation and the challenges that this entails. It concluded that The organisation should be commended and promoted as a virtual organisation to be emulated. This proposal requests support for activities that will consolidate APC's sustainability and legitimacy through strengthening the capacity of APC members to conduct networked research that can lead to policy influence in areas relevant to a fair and open networked society. 1.3 IDRC support for institutional capacity in the APC from 2005-9 In 2005 the APC received a three-year Institutional Strengthening Programme (APC-INSPRO) grant from IDRC that made a significant contribution to strengthening capacity in several key areas. Institutional strengthening and capacity building results achieved include: The development of an APC wide activity monitoring and assessment system for staff, members and board to assess the relevance of activities to the strategic plan. The development of web-based online finance systems. Network building facilitated by more frequent face to face staff and member meetings. An integrated strategic planning process producing the APC 2009-12 strategy, linked to a mid-term assessment of the previous strategic plan (2004-8) and culminating in an updated 'theory of change' for APC. An innovative approach to staff capacity building based on peer learning and skills exchange which is now an integral element of all staff and member meetings A cross-programme approach to research allowing for greater integration of existing priorities (such as public participation in public policy processes, ICT access and gender equality) with emerging issues (such as environmental sustainability and ICTs). The membership exchange fund (MEF) a driver for collaboration, peer support, and knowledge sharing across the APC network. Securing ongoing legal advice to provide support on issues ranging from contract 6 APC Organisational Self-Assessment, prepared by eloise burke, August 2009, p. 5 APC: Research and communications capacity for an open, fair and sustainable networked society Page 5 of 38

templates to tax. Revision of APC s bylaws and governance manual to clarify decision-making in the network and make governance more transparent. Analysing, and reviewing APC s resource mobilisation with the input of an external consultant to develop a plan for sustainable resource mobilisation. A second one-year project (still underway) that commenced in early 2009 builds on the earlier results through the following activities: Exploring mechanisms and models for long term financial sustainability and implementing APC's the resource mobilisation strategy developed in 2007-8 Research capacity development in the field of ICTs and environmental sustainability Documenting APC's experience as a global virtual organisation in order to develop a guide for other non-profit social change organisations on working virtually Initial planning for a guide on information dissemination and media relations to communicate for influence. This proposal builds on all of the above activities by building research capacity and networking the APC action research network - as a component of longer term sustainability, further research and research capacity building in the field of ICTs and environmental sustainability and producing communication outputs that capture and share APC's learning in working as a virtual organisation and influencing communications policy through research and advocacy. 1.4 ICT policy research and advocacy in Africa and LAC 2007-2009 One of the components of this proposal is a publication that will extract and share learning from two 'communications for influence' projects implemented by APC in East and West Africa and in the Andean region from 2007-2009. Both these projects, supported by IDRC, sought to integrate research, research communications, network-building and advocacy. 7 CILAC (Comunications for Influence in Latin America and the Caribbean) focused on access to affordable universal broadband by conducting research that identified obstacles to universal affordable access to ICT infrastructure in the Andean sub-region. It developed a sub-regional ICT policy advocacy network (AndinaTIC) 8 that is disseminating research and undertaking advocacy on ICTD and access to infrastructure at the sub-regional level to enable effective use of ICTs in development and governance. It produced a body of research on the implementation of telecom reform in the Andean region from a political perspective on sector performance, access and affordability and policy environments. 9 The research complemented and offered alternative perspectives to existing research. At the same time, a sub-regional ICTD network was developed. It is now active doing research, disseminating key information and advocating on improving access to infrastructure, enhancing the connection between e-strategies and poverty reduction strategies and taking forward the ICTD agenda. CICEWA (Communications for Influence in East and West Africa) linked advocacy, dissemination and research by building ICTD networks in Central, East and West Africa. It evolved from a discussion between APC and the Kenya ICT Action Network (KICTANet). Both organisations wanted to continue the research, dissemination and advocacy work in Africa that 7 CLAC: Communications for Influence in Latin America and the Caribbean http://www.apc.org/en/projects/communication-influence-latin-america-cilac-andean and CICEWA: Communications for Influence in East and West Africa http://www.apc.org/en/projects/communication-influence-central-east-andwest-afri 8 http://www.andinatic.org 9 http://www.apc.org/en/node/8929 APC: Research and communications capacity for an open, fair and sustainable networked society Page 6 of 38

they have been involved in over the last few years. CICEWA conducted research to identify the political obstacles to extending affordable access to ICT infrastructure in Africa and to advocate their removal. As with CILAC the basic premise is that effective enhancement of development efforts in health, agriculture, governance and education cannot take place if basic access to infrastructure is not available or affordable. CICEWA benefited from the concrete experience in African policy environments developed through the APC Africa ICT Policy Monitor project (supported by IDRC) and the Catalysing Access to ICTs in Africa (CATIA) programme (supported by DFID). APC and KICTANet drew on the experience of their successes with the policy monitor and CATIA projects to bring an integrated approach to ICT policy research, dissemination and advocacy through the building of sub-regional networks. We operate using the principle of multi-stakeholder partnerships developed through the CATIA experience to engage in evidence-based policy change. A focus in both CILAC and CICEWA was raising public awareness to influencing policy through telling news stories that examine the policy knots that appear during research but for a variety of reasons don't become the primary focus of the formal research. This methodology which links researchers with journalists to collaborate to repackage often complex research into single issue accessible stories worked well. We plan to produce a publication that compiles the best stories, framed by an analysis of the policy contexts, and with a guide on how to use research-based story telling to raise awareness towards influencing policy. 2. APC s strategic vision and key result areas for 2009-12 10 APC members identified this strategic vision for the next four years: APC is a vibrant and participatory network and organisation. We are an innovative leader in achieving the creative and effective use of ICTs for justice, and participatory governance. APC members, and APC the organisation, have the resources we need to be effective and sustainable. APC works with people, communities, organisations, networks and movements working for justice and social inclusion. They have the access and capacity needed to effectively engage appropriate and emerging technologies towards achieving their goals. ICTs are used to realise environmental justice, to campaign to minimise the environmental cost of ICT production, use and disposal and to help communities manage the consequences of climate change. Information and communication rights are understood, recognised and guaranteed. The global information commons has expanded and access to knowledge eased through shared learning the use of non-restrictive licensing strategies, applications and methodologies. Openness, social inclusion, gender justice, and recognition of diversity are integrated into policy and practice in a way that makes a positive difference in people's lives. To achieve this APC's strategic priority areas for the next five years will be: advocating for affordable internet access for all, ICTs and the environment, building the information commons 11, defending internet rights, critical and creative engagement of emerging technologies from a social change perspective and improving governance, especially governance of the internet. Two crosscutting areas will be mainstreamed in each of these 10APC's previous strategic action plan, 2004-8 was based on the following strategic priorities: Promoting and facilitating strategic use of ICTs by civil society organisations; Strengthening APC and civil society organisations role and engagement in ICT policy processes; Growing and strengthening the network of CSOs promoting the use of ICTs for social justice and development. The crosscutting themes were: Sustainable development, with an emphasis on environmental sustainability; and Gender equality and women s empowerment, 11 The term commons comes from the Middle Ages and referred to the land or common grounds that villagers shared for collective needs such as grazing their animals. The information commons can be roughly defined as an open online space which is collectively built and where information and knowledge is freely shared. APC: Research and communications capacity for an open, fair and sustainable networked society Page 7 of 38

priority areas: openness, and, gender equality. Advocate for affordable internet access for all Make technology work for environmental sustainability Use emerging technologies for social change Build the information commons Secure and defend internet rights Improve governance, especially internet governance Priorities for the APC network include strengthening networking and collaboration within the network. This proposal responds to six of these, in total, eight priorities. Brief baseline descriptions of the contexts we will address follow below. See Appendix 2 for APC's strategic plan for 2009-12 which includes baseline descriptions and rationale for APC intervention in the areas we will work in. How APC implements its strategy 12 APC is both a network and an organisation. APC members are groups working in their own countries to advance the same mission as APC. In December 2008, APC had 52 members in 37 countries, the majority from developing countries. The membership define APC's strategic priorities every five years. APC has a small staff, each living in different countries and communicating day-to-day over the internet. APC's value and uniqueness come from the local perspectives and contact with grassroots organisations that we gain from our members and our professional activist staff and the fact that we operate as a truly virtual, international organisation. We organise our work in three programme areas: communications and information policy women's networking support strategic use of technology and capacity building APC values working with other people beyond our own network. We are aware of our own limitations as well as the power of networking. Where we lack knowledge or expertise and need to learn in order to better engage challenges, we form partnerships. 13 In all of APC's work we encourage people to network as a means of making other activities more sustainable. If people share their experiences and skills they have greater value over a longer period and often create a ripple effect. 12 For more information on APC see Appendix 6: APC organisational profile. 13 APC is highly respected. This respect comes from a range of different players and extends over technical, advocacy, and political aspects of its work. The evaluation has shown evidence of the varied partnerships that APC uses in its work. This is reflected not only in the number of partners named for the evaluation, but also in the way it has co-organised many of the events described in this evaluation. The ability to engage in such partnerships is itself an indirect reflection of the esteem that others have for the organisation and its work. Debbie Budlender in an independent evaluation of APC s policy programme (2007) APC: Research and communications capacity for an open, fair and sustainable networked society Page 8 of 38

3. Goals and objectives of this initiative APC is requesting support from the IDRC for the implementation of research, research capacity building, research planning, and networking and advocacy for a fair and open and sustainable networked society as expressed in the APC strategic vision for 2009-12. Specific objectives are to: i. Build research capacity and grow the APC Action Research Network of researchers uniquely located in organisations that can do national and regional advocacy supported globally by APC staff. ii. Develop knowledge products that extract learning from APC's extensive experience in influencing policy and present it in a way that can assist other organisations and networks. iii. Assess key impacts and contributions of APC in its first 20 years iv. Conduct research and build advocacy in two areas that are critical to an open and fair networked society: sustainable ICT use by civil society and in particular in ICT for development; and, the use of wireless spectrum to address the access gap. v. Facilitate a learning forum on research into cybercrime, privacy and security and how these intersect with human rights in order to scope future research and advocacy that can contribute to securing and defending human rights on the internet. vi. Extend the PAN Asia Open Governance Index into Africa and Latin America and the Caribbean as a first phase to developing a global civil society driven evidence-based campaign to advocate for the use of the internet and other ICTs to strengthen democracy. Each of these objectives is linked to a activity area described below in sections 4 to 9. 4. The APC Action Research Network: Research capacity for an open, fair and sustainable networked society The APC Action Research network is a network of researchers located in or associated with APC members who focus on information society themes such as open access, building the information commons, mobile phones and the internet, ICTs and environmental sustainability, open governance, privacy, security, human rights, sexuality and sexual rights and the internet and strategic use of ICTs. APC is requesting support from the IDRC to strengthen the capacity of this network to conduct research on an ongoing basis, and, as part of the activities presented here, to do research on at least two emerging issues of relevance to open and fair networked societies. (See section 7 below). This activity responds to APC's eighth strategic priority: networking and collaboration within the APC. Networking and collaboration within the APC (APC KRA 8) APC members will work collaboratively, share information, experience and skill, to keep the APC a vibrant, participatory hub for the innovative use of strategic technology and networking for social justice and development. 4.1 Problem and justification: The role of research in the APC The integral role that research plays in APC's work is detailed in Appendix 3, APC's Theory of Change. Research informs advocacy and capacity building, and, capacity building in turn supports research. Network building is both an outcome of how APC does research, as well as a mechanism for conducting comparative research and for making sure that research links to APC: Research and communications capacity for an open, fair and sustainable networked society Page 9 of 38

advocacy that influences policy. Therefore it is important that APC engages in research capacity building and building networking among researchers, as well as linking researchers to advocacy and practitioner networks. Network building Research Communications and outreach Advocacy Capacity building Strategic communications and outreach is at the centre of how APC links research, advocacy, capacity and network building. We have learnt that unless research results are effectively packaged and communicated it will not reach target audiences or influence policy. We have also learnt that to build capacity we need tools and resources in the formats and languages suitable to the individuals and organisations we are working with. Assessment of APC research capacity and capacity building needs using the Bernard framework APC needs excellent capacity in all five categories suggested by Anne Bernard 14 in a concept paper she developed for the IDRC in 2005: conducting research; managing research activities; conceiving, generating and sustaining research in a sector; using research outcomes in policy or practice; and mobilising research-related policy and programmes systems thinking. Research in APC varies enormously. In some cases we work with established academic researchers. In others, we work with activist researchers within the APC network in participatory projects. A research process and book like Global Information Society Watch (GISWatch) our annual watchdog report on the state of the information society-- combines these two approaches some of the writers (notably those who produce the thematic reports) are real experts in their field, others (especially the country reporters) are primarily from civil society organisations active in ICT issues in their countries. For many when the publication was launched in 2007, it was the first time they had put their analysis of the state of ICT in their countries on paper. Since 2007, GISWatch has covered citizen participation in ICT policy processes, access to ICT infrastructure and access to online information and knowledge (to advance democracy). That the same authors are writing about these issues from a country perspective suggests that their understanding of a broad ICT policy environment should grow over time as they grapple with what, for some, may be new topics. As their understanding grows, so does their confidence and ability to engage in related policy and advocacy processes. For APC, this is the real value of GISWatch research. While some APC staff members have the capacity to manage research this is an area which we need to develop overall in the team. We understand this to refer to practical experience and 14 Mapping Capacity Development in IDRC, by Anne Bernard, 2005. http://www.idrc.ca/uploads/user- S/11635261961Mapping_Capacity_Development.doc APC: Research and communications capacity for an open, fair and sustainable networked society Page 10 of 38

professional knowledge of applying management principles, processes and procedures in the research context. It involves developing clear research briefs, drawing up research budgets, contracting researchers, supervising research and monitoring progress. If a larger research team is involved it also entails coordination and facilitating interaction among the researchers. We will address this gap in online and face to face capacity building during 2010-11 and also work with skilled research coordinators on funded projects so that they can mentor other staff. There are areas, such as evaluating gender in ICT initiatives and access to ICT infrastructure, where APC has amply demonstrated the capacity to conceive, generate and sustain research. For instance, APC's Gender Evaluation Methodology was conceived of almost ten years ago, has been tested by hundreds of organisations and research continues as the methodology is adapted for different contexts (rural ICT, software localisation, ICT policy advocacy, telecentres). Here Bernard refers to comprehensive disciplinary, sector or problem area expertise, coupled with strong and experience-based knowledge of the field, appropriate to engaging with, inventing and exchanging new ideas and to generating research. However, as APC tackles new issue areas in the broader ICT for development and social justice field, we will need capacity to do so effectively. This proposal will help us engage two such relatively new areas: ICTs and environmental sustainability and ICTs and privacy, security and cybercrime from a human rights perspective. Bernard's fourth area is the capacity to use research results e.g. in policy-making and implementation. APC has become progressively strong in this area and we are mindful of the need to ensure this is built into all research activities and feature in research planning. Bernard points out that this capacity to use research results has implications for intended users of the research such as practitioners and policy-makers. They need enough basic knowledge of the substance of the processes and/or technologies involved in the research so that they can apply it in their policy and/or practice environment. APC builds capacity in this respect through strategic communications, through capacity building activities, and through network building. For example, in trying to change how telecommunications regulators and policy makers regulated pricing of undersea fibre-optic cables in Africa APC undertook all the following activities: a public event bringing together a wide range of stakeholders in East Africa that was combined with a capacity building event for members of the media in March 2006 15 capacity building for regulators through a round table discussion held in July 2006 16 commissioned research from expert researchers on how access to the SAT 3 undersea cable was deployed in six countries 17 short versions of the research reports and one synthesised issue paper produced in print and distributed to policy makers 18 capacity and network building of civil society actors at a side event to an International Telecommunications Union conference in 2007 that also produced an advocacy output in the form of a statement of demand and proposed action by civil society, addressing policy makers 19. Bernard's final area is the capacity to create or mobilise research links to systemic policy formation or change, and to promote systems change. Here APC is strong in the areas we have been working for the last ten years: access to ICT infrastructure, a rights oriented approach to the internet, participation in ICT policy processes, and gender and ICTs. Bernard refers to to knowledge of the research area, particularly in relation to development 15 http://www.apc.org/en/news/policy/africa/submarine-cables-africa-and-monopolies-2006 16 http://fibreforafrica.net/main.shtml?x=5039240&als[myalias6]=regulators%20issue%20sat3%20statement %20&als[select]=4887798 17 http://www.apc.org/en/pubs/issue/case-open-access-communications-infrastructure-afr 18 http://www.apc.org/en/system/files/apc_sat3briefing_20080515.pdf; http://www.apc.org/en/pubs/issue/openaccess/africa/case-open-access-africa-mauritius-case-study 19 http://www.apc.org/en/news/openaccess/africa/statement-participants-civil-society-workshop-open APC: Research and communications capacity for an open, fair and sustainable networked society Page 11 of 38

problems/issues and dimensions of risk or benefit in dealing with the research problem at national, regional and/or global levels; and professional and practical knowledge of policy systems and processes in general and within the specific contexts relevant to research application appropriate to mobilizing and facilitating application. It requires people with capacities to think and act in terms of organizations as systems and individuals as part of coherent groups and able to work collaboratively with common goals. It includes capacities to: use results in policy and organisational systems; communicate research results/implications to policy-makers and implementers; advocate and mobilise within and across policy bodies and interest groups; network not simply be in a network with self-confidence as an active-listener, interlocutor, catalyst; disseminate skills and results of research to other communities; and think and act in institutional and systems change terms. APC's long term engagement in several global, regional and national policy spaces attests to our capacity at this level. In a case study of the World Summit on the Information Society Milton Mueller concludes that: There is no doubt that WSIS was a more substantive, inclusive and meaningful exercise in global governance because of the civil society mobilization pioneered by [the] CRIS [Campaign of which APC was also an important part] and managed so impressively by APC. APC s network of affiliated organisations involves and incorporates actors from nearly all communication-information policy issues, and its network contains an unusual degree of technical knowledge about the Internet and telecommunication. APC have put particular emphasis on broadening access to ICTs in the developing world. But they were never just an ICT4D group; they also promoted free expression rights, privacy rights and gender equality as well. [ ] when the WSIS debates shifted toward Internet governance APC alone was well prepared to handle it. That flexibility and scope, coupled with the facilitation and organising skills of APC s professional staff, accounts for its centrality and influence. 20 Our weakest areas in-house are aspects of the capacity to conduct research with reference to what Bernard describes as technical, disciplinary and/or sectoral knowledge, mastery of research methods and analytical skills appropriate to conducting either a current or an evolving research investigation. Research analysis and methods have already and will continue to be a feature of APC research capacity building. 4.2 Objectives The overall goal is to build research capacity and grow the APC Action Research Network of researchers who are, uniquely, located in organisations that can do national and regional advocacy supported globally by APC staff. The research network is expected to operate for at least five years to start with, and building and strengthening the network will be an iterative and continuous process. Specific objectives of this activity for 2010 and 2011 are to: build research, networking, communication and advocacy support for the APC Action Research Network specifically in two thematic areas: sustainable use of ICTS and open spectrum for development. Research initiatives into these two areas are presented in section 7 of this proposal. facilitate learning and networking among researchers who have worked on privacy, 20 Mueller, M. et al. (2007) Democratising Global Communication? Global Civil Society and the Campaign for Communication Rights in the Information Society in International Journal of Communication, 1 (2007), pp. 267-296. APC: Research and communications capacity for an open, fair and sustainable networked society Page 12 of 38

security, cybercrime and human rights in policy and regulation with a view to scoping further research in Africa and Latin America and the Caribbean build the capacity of the network to undertake future networking and advocacy activity beyond 2011. 4.3 Methodology We aim to achieve the above objectives by implementing six inter-related activities. i. Building research capacity: mentoring and support for researchers by experts in the field and APC staff. ii. Member Learning and Exchange: Diversification of the APC Member Exchange Fund (MEF) to include communication, networking and advocacy support to members who are actively engaged in the APC Action Research Network iii. Strategic Travel Support: Diversification of the APC Strategic Travel Fund (APCSTF) to support members of the network to participate in events and processes that allow maximum opportunity for communication, advocacy and networking around research outcomes iv. Network building and learning forum: Learning events that bring together members of the research networks to share knowledge, strengthen networks, define advocacy strategies v. Network facilitation: Development of online spaces and tools, learning and knowledge sharing platforms and facilitated support of their use by the network vi. Strategic communication support: Integration of a strategic communications component into the two research initiatives presented in Section 7. The approach will be two-fold: a) providing support that is specific to the two research networks prioritised for the 2010-2011 period and b) developing cross-network interaction and learning around common areas such as research methodologies, knowledge sharing systems, tools and platforms, online interactive learning spaces, face to face learning events and so on. 4.3.1 Building research capacity All activities will contribute in some way towards building research capacity. Capacity can be built through on-line communication, through face to face learning exchanges and events, through knowledge sharing platforms, and through participation in strategic events. We will provide targeted mentoring and guidance, from research experts throughout the research process, for the two thematic areas prioritised for 2010-2011 (see Section 7): Promoting sustainable ICT use in the ICT for D community Supporting affordable access for all through open spectrum We will use an online learning platform, to convene learning events in conducting research and we will convene pre-event workshops during the Network Building and Learning Forum which forms part of this proposal. The five elements of the Bernard Framework will be considered in all the capacity building efforts. Outcomes: Increased capacity among participating researchers and within the APC Action Research Network as a whole to conduct and manage research that An increase in the ability of research to produce well-designed and rigorously executed research on issues relevant to the networked society Behavioural and policy change that results from research outcomes being communicated effectively to the right people Debate and dialogue leading to advocacy on key issues informed by specialised APC: Research and communications capacity for an open, fair and sustainable networked society Page 13 of 38

knowledge gained in what in some cases are relatively new areas for many researchers. Stronger capacity in the APC to use research results and to link research to systemic policy formation 4.3.2 APC member learning and exchange fund The APC Member Learning and Exchange Fund (MEF) supports member driven skills and knowledge sharing and planning for collaborative action. The MEF does this through the provision of small grants for approved applications, the implementation of which is then supported and facilitated by APC staff. With support from IDRC through the INSPRO I project, the MEF has diversified its objectives, and has grown significantly in size, geographic reach and impact during the last few years. In 2010 and 2011, the MEF's purpose will expand to include communication, networking and advocacy support to members who are actively engaged in the APC Action Research Network. The MEF will provide small grants (seed funds) to members that will allow them to communicate the outcomes of research undertaken in activities 4. (Promoting sustainable use in the ICT for D Community) and 5. (Supporting affordable access for all through open spectrum), strengthen networks and develop advocacy strategies. Outputs Revised and expanded MEF criteria and application process Ten MEFs (five per year) supporting the development of communication strategies, networking and advocacy around research activities 4. and 5. Report on member exchanges including highlights, case studies, key learnings for inclusion in the annual APC Action research network report and contribution to the knowledge sharing platform Outcomes Increased awareness in the APC network and broader ICTD community about the research issues and the actions they can undertake to contribute to a more open, fair and sustainable society Strengthened network through more consistent engagement, discussion and shared learning 4.3.3 Strategic travel support Timely participation in policy processes that present opportunities to influence decision-making is a critical element of a successful advocacy strategy. 'Strategic travel' is a cost-effective means to communicate research outcomes, build strategic partnerships, initiate or strengthen networks and engage in the policy change process. Having the right person, with the appropriate knowledge and expertise, participate in a strategic event can make a significant difference in policy advocacy outcomes. APC launched a strategic travel fund in 2005. The fund is designed to facilitate member participation in processes and events that contribute to the achievement of APC's strategic priorities. The fund allows members of the network to build capacity to more fully engage in activities and processes APC has prioritised, and support them connecting local and 'on the ground' activities and processes, with regional and international processes. In 2010 and 2011, the Strategic Travel Fund will expand its purpose to support members of the network to participate in events and processes that allow maximum opportunity for communication, advocacy and networking around research outcomes. APC: Research and communications capacity for an open, fair and sustainable networked society Page 14 of 38

Outputs Strategic events (related to the thematic research areas addressed by this proposal) participated in by network members Reports of event participation including key achievements, networking contacts, impact log (impact of participation) and follow-up action Research outcomes communicated to broader audiences including decision-makers Report on output and outcomes of strategic travel for inclusion in the annual APC Action research network report and contribution to the knowledge sharing platform Outcomes Wider audiences including policy makers learn of research outcomes and make use of them in their decision-making Strengthened network through engagement and relationship building with event participants Researchers and APC increase their resource mobilisation opportunities through engagement and relationship building with event participants 4.3.4 Network building and learning event APC will convene a network building and learning event in late 2010 that will bring together the APC Action Research Network with IDRC and APC partners, and relevant experts to share knowledge, strengthen networks and define future activities in the field of privacy and security and human rights in internet policy and regulation. This event is described as a separate activity below in Section 8. 4.3.5 Network facilitation This activity involves facilitation of the APC Action Research Network through providing appropriate on-line spaces and tools (including interactive on-line learning and meeting platforms). Many of the researchers already know one another, and have collaborated in some form in the past. This increases the chances of this network to succeed. While the primary target group of the network will be APC members, we will draw other researchers with expertise in the area into the network to provide a richer resource and sharing base. Outputs APC Action Research Network knowledge sharing platform that provides access to: project documents; research design templates; research ouputs; database of experts in relevant areas; annotated lists of resources; calendar of strategic events; member exchange and travel fund participant reports Interactive online learning platform More informed researchers More effective sharing of learning Outcomes Formation of research agendas targeted to address common concerns through more effective communication of research outcomes across regions Better linkages between research and advocacy at national, regional and global levels Research and knowledge sharing networks take on further research in their respective areas (ICTs, sustainability and climate and open spectrum) 4.3.6 Strategic Communication Support Dissemination of outcomes and outputs will be carried out by APC in formats that are appropriate to the audience to reach e.g. we may use news articles to reach the tens of thousands of monthly visitors to the APC website. Big picture results will be captured in our APC: Research and communications capacity for an open, fair and sustainable networked society Page 15 of 38

annual reporting. APC's public information is disseminated in English, French and Spanish. 4.4 Results and dissemination Improved capacity to conduct and manage research will improve research outputs. A cohort of researchers distributed among APC's members around the world will be strategically positioned to link research to advocacy at national and regional and global levels in the longer term. 5. Critical areas for networked societies: Affordable access, sustainable ICT use, good governance and the protection of privacy APC will implement four broad activities that focus issues critical in networked societies. Two of these are research initiatives that will be implemented by the APC Action Research Network: research linked to advocacy to promote sustainable ICT use by the ICT for development sector, and, research and communication of research outputs to promote the use of open spectrum to expand internet access. The other two activities will enable networking and learning and foster linkages between regions: a networking and learning forum that will create an opportunity for capacity building and for presenting completed research on privacy, security and human rights and for scoping future research, and, an initiative that will include Africa and LAC in the Asian Open Governance Index project supported by IDRC's PAN Asia programme. 5.1 Research and advocacy to promote sustainable ICT use in the ICT for D community This activity relates to APC's third strategic priority and will generate the research needed to create some basic tools and resources that have the potential to launch a campaign that can transform the ICT for development community into leaders of an emerging movement of environmentally conscious ICT use. Making technology work for environmental sustainability (APC KRA3) APC will raise awareness of the environmental cost of the production, use and disposal of ICTs and promote policies and projects that use sustainable consumption models. In a world increasingly affected by climate change, we will support the use of ICTs to help people whose lives and livelihoods are under threat to adapt to and mitigate the effects of climate change. As an ICT-focused network, we will reduce our own carbon footprint. APC is currently implementing research capacity development as part of an IDRC supported institutional strengthening and capacity development project that will end in January 2010. We have been working with a small group of members with an interest in ICTs and environmental sustainability to gather information on available research and analyse emerging research needs. An online workshop delved into some of the methodological issues and identified further capacity building needs. An output of this process has been a broad scoping of future research priorities which informs the research and advocacy presented here. 5.1.1 Research problem and justification The relationship between ICTs and environmental sustainability is complex and multifaceted. ICTs can have both positive (mitigating) and negative effects on climate change, which can be both direct and indirect. It is beginning to attract the attention of the ICT for development APC: Research and communications capacity for an open, fair and sustainable networked society Page 16 of 38