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Seminar on Providing Policy Advice, September, 2000
Providing Policy Advice
A Seminar for the International Centre for Policy Studies,Kyiv, Ukraine, September, 2000
M. Paul BrownSchool of Public AdministrationDalhousie University,Halifax, Nova ScotiaB3H 3S7
Seminar on Providing Policy Advice, September, 2000
The Need for Improved Policy Capacity
What is Policy Capacity?
Factors
Restoring and Maintaining Human SecurityComplexity and Interdependence of ProblemsGlobalisation of Instruments
ability to structure the decision-making process, co-ordinate it throughout thegovernment, feed informed analysis into it, and ensure that the analysis is taken seriously (Polidano, 1999)
Seminar on Providing Policy Advice, September, 2000
Definitions of Public PolicyAuthor Definition
Dye (1972) What governments do or not do
Eyestone 1971) Relationship of government to its environment
Rose (1969) Long series of more or less related activities and their consequences
Friedrich (1963) Proposed course of action within a given environmentproviding obstacles or opportunities that the policy isproposed to utilise or overcome in an effort to reacha goal or objective
Jenkins (1978) Set of interrelated decisions concerning the selection ofgoals and the means of achieving them
Anderson (1984) Purposeful course of action in dealing with a problem or matter of concern
Seminar on Providing Policy Advice, September, 2000
A Working Definition of Public Policy
A proposed course of action by a govenrment to meet a need or seize an
opportunity expressed as preferred outcomes
linked to actual effects
Seminar on Providing Policy Advice, September, 2000
Key Functions in Policy Management
Theoretical ResearchApplied Research (Statistics & Quantitative Modelling)
Environmental Scanning, Trends Analysis, and ForecastingPolicy Analysis & Advice
Managing Consultations & RelationshipsCommunications
Program Design, Implementation, Monitoring & Evaluation
Seminar on Providing Policy Advice, September, 2000
A Competency Profile for Policy Analysts
• Knowledge• Technical Competencies• Intellectual Competencies
– cognitive capacity
– creativity
• Relationship Competencies– interpersonal relations
– communication
• Organizational• Personal Competencies
– stamina/stress resistance
– ethics and values
– self-improvement
Adapted From e: PRI “Generic Policy Analyst Draft Competency Profile
Seminar on Providing Policy Advice, September, 2000
Competencies of Policy Analysts
Knowledge:
familiar with legal framework, government priorities, pressing societal concerns appreciates collective and individual responsibilities of senior management and the cabinetunderstands structure, process and key players of government, Civil Service, and
own ministryunderstands components of policy-making process and inter-relationships
with central agencies, across ministries, with regional & local governments
knows links with external players--stakeholders, interest groups, external government organizations (e.g. EU)
understands impact of policy on home ministry, other ministriesknows how to develop policy and move an agenda forwardis familiar with latest research in the field
Adapted From : PRI “Generic Policy Analyst Draft Competency Profile
Seminar on Providing Policy Advice, September, 2000
Competencies of Policy AnalystsTechnical:knows when and how to use appropriate research and analytical toolskeeps up to date on technological changes and their impact on challenges/opportunities
Intellectual: (Cognitive Capacity)has agile, disciplined intellect developed by education and experiencethinks clearly, with ability to distil complexity into simple terms, go from abstract to
practicalthinks in a broad, strategic manner, discerns options, trends, symptoms, causes &
effects, sees interconnections, linkagesexercises good judgement in balancing and weighing competing interests, views,
information
Intellectual: (Creativity)responds to challenges and opportunities with innovative yet practical solutionsre-examines systematically, tests new ideas against old knowledge
Adapted From : PRI “Generic Policy Analyst Draft Competency Profile
Seminar on Providing Policy Advice, September, 2000
Competencies of Policy Analysts
Personal (Stamina/Stress Resistance)strives for balanced lifestyle, to ensure energy and enthusiasmcopes well with ambiguity, uncertainty, chaos, change, and tight deadlinesunderstands demands of peak periods in policy files
Personal (Ethics, Values)shows objectivity, professionalism, integrity, and honesty in dealing with people at
all levelsshows commitment to the government’s agenda, as in ability to explain policy
options, decisions
Personal (Self-Improvement)seeks out opportunities for continuous learning, both on the job and formal
Adapted From : PRI “Generic Policy Analyst Draft Competency Profile
Seminar on Providing Policy Advice, September, 2000
Competencies of Policy Analysts
Organizational:can set and meet priorities and deadlinescan get and give best information given deadlinescan balance timeliness and quality in meeting requirements of multiple projects
Relationships: (Interpersonal)works well independently and as team playerbuilds and maintains a network with stakeholders inside and outside governmentseeks out knowledge in professional, collaborative manneris diplomatic, empathetic, patientshares information as appropriate
Relationships: (Communication)adapts communication to audiencewrites clearly, from drafts to final productscommunicates well orally, listens actively
Adapted From : PRI “Generic Policy Analyst Draft Competency Profile
Seminar on Providing Policy Advice, September, 2000
Training for Improved Policy Analyst Competency
1. The legal framework, including the constitution, relevant acts and regulations
2. Government priorities, and major issues facing society
3. Government structures and processes key players interrelationships between central agencies, ministries, Prime Minister,
President, Rada, regional governments, city administrations relations with key external players, including NGOs, EU, donors, economic
partners
4. Steps in the policy process
5. Research techniques and analytical methods, including strategic planning applied research modeling environmental scanning trend analysis forecasting
Seminar on Providing Policy Advice, September, 2000
Training for Improved Policy Analyst Competency
6. Cost-benefit analysis
7. Managing policy relationships vertical horizontal external
8. Project management
9. Communications oral written
10. Leadership skills
11. Substantive policy concerns in specific fields
Seminar on Providing Policy Advice, September, 2000
What is policy analysis?
Applied discipline Use multiple methods of inquiry, in the contextof argumentation & debate, to create, criticallyassess, and communicate policy-relevant information
Professional Work Apply a systematic analytical process to meeta need or seize an opportunity facing society
Help decision-makers, whether politicians orsenior managers, to take decisions that will allow them to achieve their objectives in an efficient and effective manner
Seminar on Providing Policy Advice, September, 2000
Critical Steps in Policy Analysis
Step 1 Verify, Define, & Detail Problem
Step 2 Establish Evaluation Criteria
Step 3 Identify Alternative Policies
Step 4 Evaluate Alternative Policies
Step 5 Display & Distinguish Alternative Policies
Step 6 Implement Preferred Alternative Step 7 Monitor the Implemented Policy
Step 8 Evaluate Policy Results
Seminar on Providing Policy Advice, September, 2000
Problem Definition
Phase in policy analysis where analysts search among competingformulations of the problem at hand for the one most likely tolead to effective action
Central guidance system for the process of policy analysis
Most crucial and difficult step in policy analysis
Seminar on Providing Policy Advice, September, 2000
An Approach to Problem Definition
Causality Why does this problem exist?Does it result from individual choices or fromfactors beyond individual control?
` Why are people concerned about it?
Severity & Incidence Who is affected?
How much of the population does or could theproblem affect?Who is most affected?What are the key elements in the pattern ofimpacts?Is one region affected more than others?How do key stakeholders define the problem?
Novelty Is the problem new? A Surprise? Re-emergent?
Seminar on Providing Policy Advice, September, 2000
Techniques for Problem Analysis• Classification analysis
– means of clarifying concepts and distinguishing between phenomena (pertinence, exhaustiveness, exclusiveness, consistency)
• Assumptional analysis – method for ensuring that any conflicting assumptions about a problem
have been identified, assessed, and synthesised/discounted
• Hierarchical analysis – method for assessing causes of problems (possible, probable, actionable)
• Synectic analysis– means of managing problems by identifying identical or similar problems
or solutions– direct, historical, spatial
Seminar on Providing Policy Advice, September, 2000
Classification Analysis: Household Production of Foodstuffs in Ukraine
Potatoes:199177.8199595.8Vegetables199133.8199572.7Meat199131.6199551.3Milk199126.5199545.0Eggs39.255.8
Item
Share of Total Production (%)
1991 1995
Potatoes
Vegetables
Meat
Milk
Eggs
77.8
33.8
31.6
26.5
39.2
77.8
95.8
72.5
51.3
45.0
39.2
55.8
Source: UNDP Human Development Report: Ukraine, 1997
Seminar on Providing Policy Advice, September, 2000
Synectic Analysis in Policy Problem Structuring
Indicators
Life Expectancy 1970at birth 1997
Infant Mortality 1970Rate (Per 1000 1997 live births) People Not Expected toSurvive to Age 60(%)(1997)
71.477.7
Source: U.N. Human Development Report, 1998: Progress in Survival *Includes FSU and CEE states
68.868.6
3726
20 6
251125
Eastern Europe & CIS
IndustrializedCountries
Seminar on Providing Policy Advice, September, 2000
Challenges in Problem Definition• Problems sometimes appear in forms not easily addressed --discontents,
concerns, frustrations, worries’• Unlike math & physics, policy problems are ‘ill-defined’/’ill-structured,
appearing in complex conflicting masses. They come as complexes with conflict
– decision- makers have different preferences
– consensus on objectives is illusive
– full range of alternatives their consequences is uncertain
• Problem definition is neither systematic nor scientific; involves ‘imaginative construction of reality, creativity, intuition, and serendipity’
• Policy problems appear as constellations; they ‘overlap, intersect and bump into one another
• Problem definition determines policy solutions
Seminar on Providing Policy Advice, September, 2000
Leadership in Problem Structuring• Make sure the problem is correctly stated• Make sure the problem statement contains an attainable,
measurable objective• Make sure different formulations of the problem have
been examined critically• Map the policy field in terms of values
Identify the ‘policy community’ (ministries, NGOs, media, external governmental players)
Identify key actors and determine the barriers they have set to problem definition and redefinition
Identify the normative and political objectives
Seminar on Providing Policy Advice, September, 2000
Techniques for Policy Research
• Anticipate• Establish a good filing system• Establish and use a network; build a team• Keep abreast of the news• Keep up on the theory• Be alert off the job; do constant problem-sensing• Get out of the office• Leave room to manoeuvre; be open to problem re-
definition
Seminar on Providing Policy Advice, September, 2000
A Spectrum of Generic Policies/Policy Instruments
Voluntary Instruments
Mixed Instruments
CompulsoryInstruments
Level of Statement InvolvementLow High
Fam
ily
& C
omm
unit
y
Pri
vate
Mar
kets
Info
rmat
ion
& E
xhor
tati
on
Sub
sidi
es
Tax
es &
Use
r C
harg
es
Reg
ulat
ion
Pub
lic
Ent
erpr
ises
Sta
te P
rovi
sion
(Source: Howlett & Ramesh, 1995:82)
Seminar on Providing Policy Advice, September, 2000
Innovation for Program/Service Delivery
Sale of state-owned assetsRelaxation of state monopoliesContracting out of servicesPrivate profit/non-profit provision of servicesMixed investment projectsExtending private sector practices into the
public sectorReduced subsidies & increased charges
Seminar on Providing Policy Advice, September, 2000
Sources of Policy Options
• Existing policy proposals – given alternatives; no-action alternatives
• Generic policy solutions
• ‘Modified’ generic policy solutions
• Custom made solutions
• Process options
Seminar on Providing Policy Advice, September, 2000
Practical Steps for Developing Policy Options
• Do not expect to find a perfect policy alternative• Do not contrast a preferred policy with ‘dummy’
alternatives• Do not play favourites with alternatives
– evaluate all alternatives in terms of all the goals
• Ensure that alternatives are mutually exclusive• Avoid alternatives that involve everything• Try to ensure that alternatives are consistent with available
resources
Seminar on Providing Policy Advice, September, 2000
Criteria for Evaluating Policy Options
EffectivenessPolitical Feasibility
AcceptabilityAppropriatenessResponsiveness
Administrative FeasibilityEfficiencyEquity
Equity
Seminar on Providing Policy Advice, September, 2000
Effectiveness as a Criterion for Evaluating Policy Options
Key criterion in evaluating policy options
•Technical rationality (Dunn: 1994:274)•Feasibility (Potter, 1998) •Adequacy--(Patton & Sawicki, 1993: 210)
Measurement-- typically in units of goods or services, or the monetary equivalent
Seminar on Providing Policy Advice, September, 2000
Political Feasibility as a Criterion for Evaluating Policy Options
Element Criteria
Actors Who are the individuals and groupsconcerned about this problem?
Who is likely to oppose/support this alternative?
Beliefs & Motivations What does each actor believe about
the problem and proposed alternative?
\What do the actors need/want?
Seminar on Providing Policy Advice, September, 2000
Political Feasibility as a Criterion in Evaluating Policy Options
Actors/stakeholdersActors/stakeholders
Beliefs and Motivations
Beliefs and Motivations
Effectiveness Effectiveness
Resources Resources
Decision SitesDecision Sites
Source: Weimer & Vining, 1993
Seminar on Providing Policy Advice, September, 2000
ContextPolitical/Social/Administrative
Staffing Quantity/Attitude
Managerial Skills
Financial Resources
Physical Resources
Timing
Administrative Feasibility as a Criterion for Evaluating Policy Options
Seminar on Providing Policy Advice, September, 2000
Efficiency (Cost-Benefit) as a Criterion for Evaluating Policy Options
• Structure/Define the Problem• Specify the Objectives• Specify the Alternatives• Develop Forecasting Information• Identify Target Groups & Beneficiaries• Estimate Costs and Benefits• Discount Costs and Benefits• Estimate Risks and Uncertainties• Choose Decision Criteria• Make Recommendation
Seminar on Providing Policy Advice, September, 2000
Equity as a Criterion for Evaluating Policy Options
Just and fair distribution of goods and services, costs and benefits to members of society
Key attributes: residence, location, income, class, race, ethnicity, age, sex
CharacteristicsTypesHorizontal Equal treatment of equals
Vertical Distribution of goods and services to those in unequal circumstances
Intergenerational Impacts on future generations
Source: Patton & Sawicki, 1993:217-18
Seminar on Providing Policy Advice, September, 2000
Displaying and Assessing Policy Options
Options
1 2 3 4Criterion
Effectiveness
Political Feasibility
AdministrativeFeasibility
Efficiency
Equity
High Medium Medium High
Low
Medium
High
Low
Seminar on Providing Policy Advice, September, 2000
Displaying and Assessing Policy Options
Criterion
Effectiveness
Political Feasibility
AdministrativeFeasibility
Efficiency
Equity
Effectiveness in addressing the issue
Consistency with government prioritiesPublic perception
Effects on taxpayersImpacts on the private sector
Complexity and timing of implementationFiscal impact on government
Constraints raised by legal, trade, or jurisdictional issues
Economic cost-benefitEnvironmental cost-benefit
Disproportionate impact on groups or regions