Seminar on Providing Policy Advice, September, 2000 Providing Policy Advice A Seminar for the...

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


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)


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


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


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


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


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


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




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




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



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


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


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


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


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


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?


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


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


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


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


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


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


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)


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


Sources of Policy Options

• Existing policy proposals – given alternatives; no-action alternatives

• Generic policy solutions

• ‘Modified’ generic policy solutions

• Custom made solutions

• Process options


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


Criteria for Evaluating Policy Options

EffectivenessPolitical Feasibility

AcceptabilityAppropriatenessResponsiveness

Administrative FeasibilityEfficiencyEquity

Equity


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


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?


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


ContextPolitical/Social/Administrative

Staffing Quantity/Attitude

Managerial Skills

Financial Resources

Physical Resources

Timing

Administrative Feasibility as a Criterion for Evaluating Policy Options


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


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


Displaying and Assessing Policy Options

Options

1 2 3 4Criterion

Effectiveness

Political Feasibility

AdministrativeFeasibility

Efficiency

Equity

High Medium Medium High

Low

Medium

High

Low


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

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