A Comparative Study on How to Develop an Evidence Based Approach to

Policy-making

Xiaoxuan LiInstitute of Policy and Management,

Chinese Academy of Science

Outline

Evidence-based policy making in UK2

3

4

Methods1

Policy making in China

Implications and Recommendations

About the

Project

March 2012, China-UK “Science and Innovation into Policymaking Seminar”

2013, SPF Project “Low Carbon Economy – a comparative study on how to develop an evidence based approach to policy-making ”

Research Team

China: Led by CASIPM, Participants: Energy Research Institute, NDRC; Reserves Assessment Centre for Mineral Resources, MLR; IPE, CAS.

UK: Science and Innovation British Embassy Beijing , Royal Society, CSaP, SPRU, Nesta, Go-Science.

Background1.1

Research Frame1.2

LiteratureResearch

Important reports: Modernizing government; Professional Policy Making for the Twenty First Century; Using Evidence to Improve Social Policy and Practice; Future directions for scientific advice in Whitehall; Shale gas extraction in the UK: a review of hydraulic fracturing; Onshore oil and gas exploration in the UK: regulation and best practice; Public perception of shale gas extraction in the UK: the impact of the Balcombe protest in July-August 2013; Fuel cycle stewardship in a nuclear renaissance; Nuclear Fission; UK Nuclear Fission Technology Roadmap: Preliminary Report

Important Books : Scientific Decision-making translation series, Xin Fang, Chunfa Wang; Think tank in China, Xufeng Zhu; The Process of Government in Contemporary China, Guanglei Zhu; Energy policy research in China, Bi Fan; National survey and assessment of shale gas potential resource, Dawei Zhang.

Seminar

General process of policy making in China; Science into general policy making in China Policy process and science into policy of Shale gas; Policy process and science into policy of nuclear energy. UK-China Seminar on Evidence-based Policy Making; Workshop on Low Carbon Economy: A comparative study on how to develop an evidence based approach to policy-making

Field Research

Research on the practice of UK’s EBP in 18 departments in UK, include Parliament, government, university, institution and enterprise

Daya Bay Nuclear Power Plant, the role of the company and the local government in the policy process in China; National energy research and development (experimental) center of shale gas, policy and technology of shale gas in China; Weiyuan, Sichuan, the role of the company and the local government in the policy process in China

Interview policy experts, managers of think tank, policy practitioners

1.3 Research Methods

Philosophy

Labor government was elected with the philosophy of ‘what matters is

what works’ in 1997. Its stance was anti-ideological and pragmatic.

1999, the central role of evidence in 21th century policy making was

confirmed

What is EBP

The concept of ‘evidence based policy’

UK government initiatives

The nature of Evidence

Sources: expert knowledge; existing domestic and international research; existing

statistics; stakeholder consultation; evaluation of previous policies; new research, if

appropriate; or secondary sources, including the internet and the analysis of the

outcome of consultation, costing of policy options and the results of economic or

statistical modelling.

Understanding of EBP: the rise of EBP2.1

Understanding of EBP: External Environment

Increasing emphasis on scrutiny and accountability in government

Complexity of policy environment

Professionalization of policy issues

Increasingly awareness and capability of public information accessRequirement of transparency and

open government Media explosions for

public views expression

External Environment

2.2

Promoting of the EBP concept – March, 1993, Modernizing government, white paper, put evidence in

the central role of policy making in 21 century

Organizational structure– July, 1998, the establishment of the Strategy Unit in Cabinet Office– June, 1999, the establishment of CMPS in Cabinet Office

Normative system– September, 1999, Cabinet Office, Professional Policy Making for the

Twenty First Century– November, 2000, CMPS, Better Policy-Making

Institutionalized mechanism – Staff training: Government professional skills (PSG) evaluation criteria– Information sharing: Home Office established NICE & SCIE

Advocated by the central government2.3

The core elements The Practice of UKParliament • The Commons Select Committees

• POST (brief report)• All-party Parliamentary Group

Government • Government Chief Scientific Adviser• Chief Scientific Adviser • Go-Science (foresight / horizon scanning)• Professional training, and Guidelines & policies

Supporting institutions

• Organizational structure: research center• Assessment and evaluation: REF in University etc.• Guidelines & policies

Public interests • Wide participation• Public debate mechanism

Network media • Sciencewise; Centers for sharing evidence

Information sharing mechanism

• The guarantee of the information sharing through the act and guidelines

• Sharing mechanisms (work meetings and informal discussions)

UK Practice2.4

Parliament

Science and Technology Committee (Lords)

The Commons Select Committees

Parliamentary Office of Science and

Technology

All-party Parliamentary Group

The role of parliament in government supervision

Final version: Energy National Policy

Statements

Energy Research Partnership published

Nuclear Fission

The parliament inquiry into DECC of the role of the government in improving the capacity

of research in nuclear energy

Science and Technology Committee (Lords):Nuclear Research and

Development Capabilities

Royal Society: Fuel cycle stewardship in a nuclear renaissance

DECC responded to the inquiry, and released the reports: Nuclear Energy Research and Development

Roadmap: Future Pathways & The UK’s Nuclear Future

Energy Research Partnership, etc.: UK

Nuclear Fission Technology Roadmap:

Preliminary Report

The parliament inquiry into government’s contribution to capacity building in nuclear research

The role of parliament in government supervision

Self-building of government

government

Chief Scientific Adviser system Supporting institutions

– Go-Science (foresight / horizon scanning)– more than 100 evidence and analysis experts

supporting Defra’s chief scientific adviser – Department affiliated research institutions

Guidelines and policies – Guidelines on the use of scientific and

engineering advice in policy making

Research institutions

Universities

Associations

Impact oriented evaluation: from RAE to REF

Diversified institutions: RS, RAE, ESRC,

Association…

Nesta: research center of evidence alliance

Universities: Multiple Research Center

Research institutions: different roles in advice

Scientists: guidelines

Supporting institutions

Public and

media

Guidelines– Standards for Advisory Practice, providing more

details for operation– Statutory procedural guarantees: Network review by

the relevant committees of the Parliamentary Build the communication platform for public,

scientists and government– Sciencewise

Negotiation mechanism in the community Independent polling organization

Public and media

Ideology of Communist Party of China

• Proceed from reality in all things, link theory with practice, seek truth from

facts , test and develop the truth in practice.

• Seeking truth from facts is the core element

The process of the scientificness and democracy of decision-making since China adopted the reform and opening-up policy

• 1980 , Deng Xiaoping The Party and State Leadership System Reform

• 1986 , Wan Li, The democracy and scientificness of decision-making is

an important topic of political reform

• 2003, the State Council, the program for comprehensively implementing

government administration in accordance with the law

• 2006, "Eleventh Five-Year Plan" states the goal of sound decision-

making mechanism in government

The policy concept in China3.1

The increasing supervising of The National People's Congress• Specific Inquiry： institutionalized, standardized and normalized

Well-informed public and increasing participation in public policy• Sunshine Act• environmental impact assessment of Large-scale project• PX project, Nuclear waste processing station project

Increasing role of network media

• Strong pressure from public and media• Platform for information sharing and spreading

3.2 The policy environment in China

3.3 Policy-making process: Legislation

3.3 Policy-making process: Report on the work of Government

3.3 Policy-making process: Policy and regulation

3.4 Supporting institutions for policy in China: Think Tank

Supporting institutions for policy in China: Science & Technology research institutions

3.4

PublicMedia

Main participant in policy-making

Information dissemination platform

Current Situation & Trend

Increasing awareness and capability of public information access

EIA of major projects Policy consultation Increasing role of network media public opinion pressure

-seepage control project in the old Summer Palace Platform for the public interests & information dissemination The two-way transmission of information between the

government and the public become possible Joint-working of experts and public

-experts produce professional knowledge, public produce public opinion pressure

Public and Media3.5

Shale gas

government Strong support from the government

• Implementation of shale gas plan led by state-owned enterprises, like the petroleum, petrochemical

Problems • Patching policy: Subsidy policy of shale gas in China VS The Crude

Oil Windfall Profit Tax Act in US

Supporting institutions

Research supporting of shale gas is mainly from enterprise. • National Energy shale gas development (experimental) center in the support of

Petroleum Exploration and Development Research Institute• PetroChina and other state-owned enterprises have their own Exploration and

Development Institute• Key Laboratory of Strategic Evaluation of Shale-gas Resources in China University of

Geosciences (Beijing), which in the support of MLR Lack of supporting from the independent research institution

• lack of independent and authoritative reports( like, RS & RAE, Shale gas extraction in the UK: a review of hydraulic fracturing )

• Need more basic research, and the integration of science into shale gas policy

Public How to assure the public be properly informed about shale gas exploitation

Conclusions from the two cases3.6

Nuclear energy

government Strong support from the government

• human resource and technology support for the implementation of long-term development planning

Problems, e.g.:• Infeasible requirements like: “zero risk in nuclear energy

development”• lack of technical standards

Public and media

How to guarantee the participation of the public• Short duration for public consultation (Jiangmen nuclear project)• being made public in a simplistic way (Jiangxi Pengze nuclear event)• lack of effective organizing, consultation and advice is mainly sought

from individuals • Findings of the consultation are not made public

How to assure the impartiality and objectivity of the media• “salt panic” after the Fukushima nuclear accident• -media credibility is declining • - the information distortion of some media mislead the public

Conclusions from the two cases3.6

Led by governmentGuidelines and PoliciesOrganizational structure in governmentNetworkRobust normative systems

Science &Technology playing a full role in decision makingjoint-working of GCSA & CSAStrengthen the role of academic community in policy making through impact assessment

(like in REF)diversified supporting institutions Institutionalized mechanism

The philosophy of decision-making in China is identical to UK’s policy conceptUK and China are facing similar challenges in globalization and low carbon

development China policy making is developing in a more scientific and democratic way, with the

same aim of EBP

There are similarities between the concept of EBP in UK and the governance in China

Basic experience of UK’s EBP

4 Implications and recommendations

4 Implications and recommendations

1. Improving the role of the people's congresses at all levels, in the monitoring of

policy implementation and policy evaluation, to promote the transparency of

government work, and the demand for "evidence" in policy process.

2. Further enhance the awareness of science in decision-making of government

through the staff training and the construction of institutionalized working

mechanism, and also strengthen the self-building in the academic community,

which aims to improve the quality of research provided for policy making.

3. Improving information sharing mechanism to protect data sharing. To promote the

effective communication between policy makers and the evidence providers by

broaden communication channels, build bridges, etc.

Recommendations

4 Implications and recommendations

4. Improve the effective supporting of academic community through the impact

assessment of the community and guarantee the independence, scientificity, and

high quality of its research.

5. Establish the effective mechanism of assuring the media as a bridge between the

public and the government and collecting the attitude of public, key stakeholders,

and policy enforcement personnel, and other frontline staff as evidence in policy

process.

6. In order to develop evidence-based policy making in China, emphasis should be

given to methods construction and the institutionalization, standardization of

activity in integrating science into policy.

7. Promoting the leading role of comprehensive academic and research institutions

in putting science into policy, and to drive the scientific community to provide

evidence positively.

Recommendations

THANK YOU！