seminar on crafting policy papers, september, 2000 0 crafting policy papers a seminar for the...

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Seminar on Crafting Policy Papers, September, 2000

Crafting Policy Papers

A Seminar for the International Centre for Policy Studies,Kyiv, Ukraine, September, 2000

M. Paul BrownSchool of Public AdministrationDalhousie University,Halifax, Nova ScotiaB3H 3S7

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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

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Types of Policy DocumentationInternal Distribution

External Distribution

Briefing Notes

Departmental Policy Papers

Corporate Policy Papers

White Papers

Policy Statements

Green Papers

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European Commission: External Policy Papers

Green PapersGreen Papers

Communications, published…on a specific area. They are documents addressed to interested parties,organisations, and individuals, who are invited to participate in a process of consultation and debate. In some cases, they provide an impetus for subsequent legislation.

White Papers White Papers Documents containing proposal for action in a specific area. They often follow a Green Paper published to launch a consultation process….While Green Papers set out a range of ideaspresented for discussion and debate, White Paperscontain an official set of proposals in a specific policyarea and are used as vehicles for their development.

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Purpose of Communication Type of Policy Paper

Briefing NoteBriefing Note

Ministerial Policy PaperMinisterial Policy Paper

Corporate Policy PaperCorporate Policy Paper

Green Policy PaperGreen Policy Paper

White Policy PaperWhite Policy Paper

Policy StatementPolicy Statement

Alert superiors to immediateissue and possible response

Alert superiors to immediateissue and possible response

Provide ministerial superiors with analysis of need/opportunity, options, and indicated policy response

Provide ministerial superiors with analysis of need/opportunity, options, and indicated policy response

Provide corporate authoritieswith analysis of need/opportunity, options, and indicated policy response

Provide corporate authoritieswith analysis of need/opportunity, options, and indicated policy response

Assist superiors to alert public to emergent need /opportunity, and solicit suggestions on possible responses

Assist superiors to alert public to emergent need /opportunity, and solicit suggestions on possible responses

Assist superiors to inform public of proposed policy to meet a need or seize an opportunity, and seek feedback

Assist superiors to inform public of proposed policy to meet a need or seize an opportunity, and seek feedback

Assist superiors to inform the public of decided policy to meet a need/seize opportunity

Assist superiors to inform the public of decided policy to meet a need/seize opportunity

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Typical Components in Corporate Policy Documents

Ministerial Recommendation

Analysis Section

Communications Plan

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Components of Memorandum to Cabinet

MINISTERIAL RECOMMENDATION(MR)

3 pp. max

Issue One sentence summation of the question to be discussed and resolved by the ministers

Recommendation(s) Proposed course of action, usually derived from series of options, for which sponsoring minister is seeking support

Rationale Sponsoring minister’s principal arguments supporting the recommendation(s)

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Problems and Strategies Succinct description of (1) possible adverse consequences to the Government and criticism it might face should recommendation(s) be implemented(2) best means of handling of them

Political Considerations Description of principal political issues connected with the recommended course of action

Departmental Positions Positions for and against taken by concerned departments with respect to recommended course of action

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ANALYSIS SECTION

Usually 2-6, rarely 15 pp.

Background Brief review of the major developments that led the sponsoring Minister to bring the issue forward for decision

Considerations Description of the non-financial factorsconsidered when drafting the options

Options Thorough and balanced exploration of the pros and cons of each of the possible courses of action before Ministers and of the relevant financial information for each

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Considerations in the Memorandum to Cabinet

Considerations in the Memorandum to Cabinet

Possible adverse consequences:perceived inequitiesexcessive expectationscreation of new problemscriticisms that the option does not go far enoughopposition from a sector of the populationbacklash if the proposal failsperceptions of waste or overspendingperceptions of restrictions to basic freedomscriticism about duplication

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Financial Information in the MCFinancial Information in the MC

Provide Ministers with an understanding of the financial dimensions of what it is they are being asked to approve; emphasis on preferred option

State all future financial implications fully and clearly

Use the best information available. Characterize the relative reliability of estimates (e.g. fully costed, best guess)

Include present costs, incremental costs, personnel costs

Show source of funds if reallocations within existing referencelevels proposed

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COMMUNICATIONS PLAN

Explains how the minister intends to present and explain a decision to the publicin both the short and longer term

Properly planned communications crucial to success of any policy initiative

Key Elements

1. Communications Analysis2. Communications Tactics

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COMMUNICATIONS ANALYSIS

Public Environment Succinct but comprehensive description of likely reactions to proposal and why Summarise current public perceptions and sensitivities on issue and identify national and regional patternsStart with 1-2 paragraph summary of historical record, including recent developments

Issues Management Identify two or three most contentious issues, and indicate how these can be managed

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Target Audiences Identify priority target audiences and major stakeholder groups, both inside and outside the government

Identify position of each group with respect to recommended policy Identify communications vehicle matching needs of each group

Positioning Identify briefly the primary and secondary links between the proposed policy and the government’s corporate priorities and strategies

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Communications Objectives State briefly and precisely what will be achieved by communicating the message(s)

e.g. Inform interested publics

Achieve public understanding

Stimulate public discussion

Facilitate implementation

Respond to public criticism,

uncertainty

Messages Identify the essential idea or set of ideas to be communicated about the decision

Include those which link the policy to broaderpolicy and/or which integrate with appropriate corporate messages

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COMMUNICATIONS TACTICS

Strategic Considerations Outline best approach (high/low profile; state/regional) based on public environment

Identify communications opportunitiese.g Interest group support

Identify communications impedimentse.g. Media hostility Public indifference

Identify strategies to overcome obstaclesIdentify advance work requirements

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Briefings to Members of Parliament Outline strategy for briefing members

Follow-up Activities Describe long term media strategy and work-plan for follow up

Describe how public reaction will be monitored

Budget Identify funding and human resource requirements

Evaluation Criteria Identify methods for evaluating success of media strategy

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Inter-ministry Co-ordination List ministries consulted and describe roles each will play

Announcement Harmonise short and long term announcement strategies strategies as to:

ideal timingformat (e.g. minister’s speech)media strategy for announcementrole of other internal and external actors

Minister’s involvement Assess minister’s role in announcement processOutline public perception of minister inrelation to policy

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Key Considerations in Drafting Corporate Policy-Making Documents

Advocacy for decision-making is key

Ministers use the MC to•describe a particular policy context•outline the problem associated with the current situation•recommend solutions•convince colleagues to adopt recommendation

Stress relevance

Provide only • information that Ministers (not officials or analysts) require• key information, as dictated by constraints on ministerial time • true and plain disclosure of issue, with distinct options,

objectively and systematically evaluated

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Principles for Preparation of Policy Papers

True and plain disclosure of the issue under consideration, including all relevant facts and necessary background information

Clear articulation of the need for a change in policy direction

Distinct realistic options, objectively evaluated for financial and policy implications

Accurate assessment of expected impacts

Clear expression of the communications challenges

Enough information to allow officials to implement proposal if ratified

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Drafting the Corporate Policy Document: A Practical Style Guide

• Use plain, everyday language• Use short sentences and paragraphs• Use point form wherever appropriate• Avoid technical terms, jargon, or unfamiliar acronyms• Be concise, stick to key points, avoid digressions• Build arguments step-by-step• Rework every sentence until every word counts• Ruthlessly cut back, reread your draft, cut back again• Ask a colleague unfamiliar with the subject to read your final draft

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Critical Steps in Policy Analysis Components of the Memorandum to Cabinet--Ministerial Recommendation

Confirm, Define, & Detail the Problem

Identify Alternatives

Present and Assess Alternatives UsingEvaluation Criteria

Recommend Preferred Alternative

Implement Preferred Alternative

Monitor The Implemented Alternative

Evaluate Policy Results

Issue

Problems and Strategies

Recommendations

Political Considerations

Rationale

Departmental Positions

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Critical Steps in Policy Analysis Components of the Memorandum to Cabinet--Analysis Section



Present and Assess Alternatives Using Evaluation Criteria





Background

Financial Information

Considerations

Options

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Elements of the Briefing Note

Put in the form of question to give focusSpecify the reasons for the note

What is the status of …..?What is Agency X’s involvement in..?

Reflect the nature of the request is applicableThe note was requested by Person X in the Minister’s office.

Provide only recently developed information answering question posed in Issue

Ensure clarity and brevity

IssueIssue

Current StatusCurrent Status

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Options if:(1) the note is being written in order to getconcurrence with a recommended course of action(2) next steps have not been decided

Considerations if: necessary to outline contentious aspects of issue-include reactions from other parties/stakeholdersproposed course of action

Provide if :(1) next steps are not clear(2) approval to proceed is required

Next StepsNext Steps What is the department going to next, ifanything?What are other parties/stakeholders planning to do next?

Options/Considerations


RecommendationsRecommendations

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Provide details to the information provided in thecurrent status section

Provide a history, if necessary, on the issue itself

Keep to a maximum of 2 pages

Identify the name and contact information for the person best able to address questions about the issue

BackgroundBackground

Submitted BySubmitted By

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Critical Steps in Policy Analysis

Components of the Briefing Note



Present and Assess Alternatives UsingEvaluation Criteria





IssueCurrent Status


Recommendation(s)/

Next Steps

Background

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Components of the Green Policy Paper

What is the problem that requires action?What opportunity can be seized?

What is the specific purpose of the consultation?

What are the key dimensions of the phenomenon?

Introduce the Issue/Opportunity


State the ObjectiveState the Objective

Scope The Phenomenon

Scope The Phenomenon What terms should be used to describe them?

What have been the key developments to date, particularly the most recent?

What is the context (e.g. economic, reform requirements) in which action is beingconsidered?

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Components of the Green Policy Paper Identify and clarify the impact of the problem/opportunity on society or government objectives

Provide explicit questions, with respect to:

Identify the Issues orImplications

Identify the Issues orImplications

Specify the Key DiscussionQuestions

Specify the Key DiscussionQuestions The nature of the need/opportunity

Possible solutions to overcomebarriers

Possible implementation issues/scenarios

Display any relevant statistical information

Clarify the barriers that need to be overcome

Detail the origins and dimensions of the issue(s)

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Components of the Green Policy Paper

40-60 pages, single space,including annexes

Outline Possible Optionsand/or Principles for Action

Outline Possible Optionsand/or Principles for Action

LengthLength

Identify principles which might underlie policy choice, and/or list 3-4 discrete options

Summarize the ExistingPolicy Baseline

Summarize the ExistingPolicy Baseline

Identify existing domestic policy in the area of concern Summarise any relevant ‘benchmark’ policy initiatives

in other jurisdictions

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An E.U. Green Policy Paper Sample: Public Sector Information: A Key Resource for Europe

“Public information in Europe is often fragmented and dispersed and so in many instances it is less than intended….The ready availability of public information is an absolute prerequisite for the competitiveness of European industry.”

Undertake a broad public consultation involving all actorsconcerned with a view to examining the main issues at stake and also to triggering a political discussion at European level

Public sector information as a key resource for EuropeThe information society and the public sector



State the Objective

State the Objective

Scope the Phenomenon

Scope the Phenomenon

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“different Member States and the EU apply different rules and have different practices with respect to access to public information”

Do different conditions for access topublic sector information in the MemberStates create barriers at European level?

If so, what elements are concerned: requirement of an interest, exemptions, time, quantity?

What solutions can be proposed?

Specify the Key Discussion Questions

Specify the Key Discussion Questions

Identify the Issues/ Implications

Identify the Issues/ Implications

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Current legislation and policy in Member States on access to public sector informationCurrent European Commission action relating to public sector information Current situation in the US: the legal framework

Summarize the Existing Policy Baseline

Summarize the Existing Policy Baseline

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Components of the White Policy Paper

What is the specific purpose of the course of action launched by the paper?

What need or opportunity was significant enough to warrant a policy response?

What are the elements of the proposed plan? strategy? program?

What are the principles on which this response is based?

Identify the Need/Opportunity


Establish the Objectives

Establish the Objectives

Detail the ProposedInitiative(s)

Detail the ProposedInitiative(s)

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Components of the White Policy Paper

20-60 pages, single spaced,including annexes

Outline the Implementation

Scenario


Scenario

What is the time line by which thespecific elements of the plan, strategy, or program will be executed?

LengthLength

What agencies will be involved?

What resources are provided?

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An E.U.White Policy Paper Sample: A White Paper on Food Safety

“Consumer confidence has been badly affected by thevarious food alerts and crises of recent years and months.”

“By restoring and maintaining the confidence of European consumers in the safety of food in the E.U., the programme launched by this White Paper will not only effectively increasethe quality of everyday-lives of Europeans, it will also boost the competitiveness of the European food industry.”



Establish the Objective(s)Establish the Objective(s)

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An E.U.White Policy Paper Sample: A White Paper on Food Safety

Detail the Proposed Initiative(s)

Detail the Proposed Initiative(s)

Major White Paper Initiatives:1. A European Food Authority, with a mandate to:

Establish risk assessments through scientific advice Develop and operate food safety monitoring and surveillance

programs, and disseminate findingsBecome the automatic first port of call for scientific information on

food safety and nutritional issuesOperate the rapid alert system

2. An 80 item action plan for an improved and more coherent legislative framework covering all aspects of food products from “farm to table”3. A comprehensive legislative framework to improve the quality of controls at Community levels, and consequently raise food standards across the E.U.4. An improved dialogue with consumers to inform them of emerging food safety concerns, including improved labeling5. A more active effort by the European Community to keep international bodies abreast of European Developments in food safety

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Seminar on Crafting Policy Papers, September, 2000The E.U.White Paper Sample: A White Paper on Food Safety


Scenario


Scenario

“the Commission…has not yet proposed concrete resources figures for the Authority. However…the efficacy of the Authority will ultimately depend on the adequacy ... of human, financial, and physical resources allocated.”

“the location of the Authority should allow it to interact easily with all players in the risk analysis process.”

“the Authority should be in place by 2002….future extension of the competencies of the Authority should not be discounted.”

“The experience of the E.U.’s Food and Veterinary Office (Dublin)…will be an essential element in …development of the [legislative]

framework for national control systems.”

“the Commission decided today to transfer all food safety matters to [the Commissioner for Health and Consumer Protection...the [Enterprise and Information Society] Commissioner... will be fully associated with proposals made in the domain of food legislation having regard to his enterprise and competitiveness responsibilities.”

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From Policy Definition to Strategic Policy Design

Policy Definition Elements Policy Design Components

Government Players/stakeholders

Meet need/seize opportunity Vision/mission

Proposed course of action Policy

Clearly preferred outcomes Goals or objectives

Linked to actual effects Results

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Steps in the Policy Design Process

Identify Need or opportunity

Articulate Clear and simple vision of the preferred future

Clarify Commitment in terms of the mission

Clear statement of policy in the form of goals/objectives

Choose Instrument(s)

Develop Implementation Strategy

Monitor Outcomes

Evaluate Results

Establish

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Components of the Policy Statement

Provide a description of the issue or opportunity

Provide a succinct picture of an improvedfuture



Articulate the VisionArticulate the Vision

Indicate what it is all about, and why a policy response has been necessary

Make it positive and enabling

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Components of the Policy Statement

Clarify the MissionClarify the Mission

Establish the PolicyEstablish the Policy

Define through overall objectives therole the organization will play inbringing about the vision

Specify the action(s) that will be takento achieve the objectives

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Minerals--A Policy for Nova Scotia



Articulate the VisionArticulate the Vision

“mineral exploration and mining [is] a key sector contributing to jobs, wealth, and a high quality of life for Nova Scotians…there is an urgency to find ways to adapt mineral resource initiatives to changing social, economic, and environmental commitments.”

“Future supplies of minerals from Nova Scotia will continue to contribute to economic development and a global demand for metallic and non-metallic minerals.”

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Clarify the Mission Clarify the Mission

The mission of the Department of Natural Resources is: to build a better future for Nova Scotians through responsible natural resource management…this mineral policy is designed to foster:a thorough understanding of the geology and mineral resources of Nova Scotiaa business climate that is competitive at the national and international levelsincreased public knowledge of [Nova Scotia’s] geology and mineral resourcesintegrated land use planning that considers minerals with other land use and

resource interestsprotection of the environmentprotection of health and safety for workers and the general publiccooperative working relationships among stakeholders

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Establish the Policy Establish the Policy

To provide a competitive business climate the Government of Nova Scotia will:

support the mineral industry by:facilitating and stimulating research & development in mining

and product development facilitating technology transfer encouraging higher value-added production of minerals providing market information

improve efficiency in mineral rights administration and improve the administrative process through use of information technology

streamline and speed-up regulatory review processesensure that the regulatory regime is developed through consultation,stable over time

and easy to understandrecognize that charges prescribed by legislation and regulations must be reasonableand based on value for service renderedfacilitate the raising of equity and debt capitalprovide a tax regime that is simple, transparent, ...and fair with emphasis on profit-based taxespromote mineral development and exploration and development