1. Seminar on Crafting Policy Papers, September, 2000 0 Crafting Policy Papers A Seminar for the International Centre for Policy Studies, Kyiv, Ukraine, September, 2000 M. Paul Brown School of Public Administration Dalhousie University, Halifax, Nova Scotia B3H 3S7

2. Seminar on Crafting Policy Papers, September, 2000 1 Critical Steps in Policy Analysis Step 1 Verify, Define, & Detail Problem Step 2Establish Evaluation Criteria Step 3Identify Alternative Policies Step 4Evaluate Alternative Policies Step 5Display & Distinguish Alternative Policies Step 6Implement Preferred Alternative Step 7 Monitor the Implemented Policy Step 8Evaluate Policy Results

3. Seminar on Crafting Policy Papers, September, 2000 2 Types of Policy Documentation Internal Distribution External Distributio n Briefing Notes Departmental Policy Papers Corporate Policy Papers White Papers Policy Statements Green Papers

4. Seminar on Crafting Policy Papers, September, 2000 3 European Commission: External Policy Papers Green 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 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 ideas presented for discussion and debate, White Papers contain an official set of proposals in a specific policy area and are used as vehicles for their development.

5. Seminar on Crafting Policy Papers, September, 2000 4 Purpose of CommunicationType of Policy Paper Briefing Note Ministerial Policy Paper Corporate Policy Paper Green Policy Paper White Policy Paper Policy Statement Alert superiors to immediate issue and possible response Alert superiors to immediate issue 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 authorities with analysis of need/opportunity, options, and indicated policy response Provide corporate authorities with 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

6. Seminar on Crafting Policy Papers, September, 2000 5 Typical Components in Corporate Policy Documents Ministerial Recommendation Analysis Section Communications Plan

7. Seminar on Crafting Policy Papers, September, 2000 6 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 RationaleSponsoring minister’s principal arguments supporting the recommendation(s)

8. Seminar on Crafting Policy Papers, September, 2000 7 Components of Memorandum to Cabinet Problems and StrategiesSuccinct 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 ConsiderationsDescription of principal political issues connected with the recommended course of action Departmental PositionsPositions for and against taken by concerned departments with respect to recommended course of action

9. Seminar on Crafting Policy Papers, September, 2000 8 Components of Memorandum to Cabinet ANALYSIS SECTION Usually 2-6, rarely 15 pp. BackgroundBrief review of the major developments that led the sponsoring Minister to bring the issue forward for decision ConsiderationsDescription of the non-financial factors considered when drafting the options OptionsThorough 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

10. Seminar on Crafting Policy Papers, September, 2000 9 Considerations in the Memorandum to Cabinet Considerations in the Memorandum to Cabinet Possible adverse consequences: uperceived inequities uexcessive expectations ucreation of new problems ucriticisms that the option does not go far enough uopposition from a sector of the population ubacklash if the proposal fails uperceptions of waste or overspending uperceptions of restrictions to basic freedoms ucriticism about duplication

11. Seminar on Crafting Policy Papers, September, 2000 10 Components of Memorandum to Cabinet Financial 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 reference levels proposed

12. Seminar on Crafting Policy Papers, September, 2000 11 Components of Memorandum to Cabinet COMMUNICATIONS PLAN Explains how the minister intends to present and explain a decision to the public in both the short and longer term Properly planned communications crucial to success of any policy initiative Key Elements 1. Communications Analysis 2. Communications Tactics

13. Seminar on Crafting Policy Papers, September, 2000 12 Components of Memorandum to Cabinet COMMUNICATIONS ANALYSIS Public EnvironmentSuccinct but comprehensive description of likely reactions to proposal and why Summarise current public perceptions and sensitivities on issue and identify national and regional patterns Start with 1-2 paragraph summary of historical record, including recent developments Issues ManagementIdentify two or three most contentious issues, and indicate how these can be managed

14. Seminar on Crafting Policy Papers, September, 2000 13 Components of Memorandum to Cabinet Target AudiencesIdentify 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 PositioningIdentify briefly the primary and secondary links between the proposed policy and the government’s corporate priorities and strategies

15. Seminar on Crafting Policy Papers, September, 2000 14 Components of Memorandum to Cabinet 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 MessagesIdentify the essential idea or set of ideas to be communicated about the decision Include those which link the policy to broader policy and/or which integrate with appropriate corporate messages

16. Seminar on Crafting Policy Papers, September, 2000 15 Components of Memorandum to Cabinet COMMUNICATIONS TACTICS Strategic ConsiderationsOutline best approach (high/low profile; state/regional) based on public environment Identify communications opportunities e.g Interest group support Identify communications impediments e.g. Media hostility Public indifference Identify strategies to overcome obstacles Identify advance work requirements

17. Seminar on Crafting Policy Papers, September, 2000 16 Components of Memorandum to Cabinet COMMUNICATIONS TACTICS Briefings to Members of ParliamentOutline strategy for briefing members Follow-up ActivitiesDescribe long term media strategy and work- plan for follow up Describe how public reaction will be monitored BudgetIdentify funding and human resource requirements Evaluation CriteriaIdentify methodsfor evaluating success of media strategy

18. Seminar on Crafting Policy Papers, September, 2000 17 Components of Memorandum to Cabinet COMMUNICATIONS TACTICS Inter-ministry Co-ordinationList ministries consulted and describe roles each will play Announcement Harmonise short and long term announcement strategies strategies as to: ideal timing format (e.g. minister’s speech) media strategy for announcement role of other internal and external actors Minister’s involvementAssess minister’s role in announcement process Outline public perception of minister in relation to policy

19. Seminar on Crafting Policy Papers, September, 2000 18 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

20. Seminar on Crafting Policy Papers, September, 2000 19 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

21. Seminar on Crafting Policy Papers, September, 2000 20 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

22. Seminar on Crafting Policy Papers, September, 2000 21 Critical Steps in Policy AnalysisComponents of the Memorandum to Cabinet--Ministerial Recommendation Confirm, Define, & Detail the Problem Identify Alternatives Present and Assess Alternatives Using Evaluation Criteria Recommend Preferred Alternative Implement Preferred Alternative Monitor The Implemented Alternative Evaluate Policy Results Issue Problems and Strategies Recommendations Political Considerations Rationale Departmental Positions

23. Seminar on Crafting Policy Papers, September, 2000 22 Critical Steps in Policy AnalysisComponents of the Memorandum to Cabinet--Analysis Section Confirm, Define, & Detail the Problem Identify Alternatives Present and Assess Alternatives Using Evaluation Criteria Recommend Preferred Alternative Implement Preferred Alternative Monitor The Implemented Alternative Evaluate Policy Results Background Financial Information Considerations Options

24. Seminar on Crafting Policy Papers, September, 2000 23 Elements of the Briefing Note Put in the form of question to give focus Specify the reasons for the note What is the status of …..? What is Agency X’s involvement in..? Reflect the nature of the request is applicable The 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 Issue Current Status

25. Seminar on Crafting Policy Papers, September, 2000 24 Elements of the Briefing Note Options if: (1) the note is being written in order to get concurrence 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/stakeholders proposed course of action Provide if : (1) next steps are not clear (2) approval to proceed is required Next Steps What is the department going to next, if anything? What are other parties/stakeholders planning to do next? Options/ Considerations Options/ Considerations Recommendations

26. Seminar on Crafting Policy Papers, September, 2000 25 Elements of the Briefing Note Provide details to the information provided in the current 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 Background Submitted By

27. Seminar on Crafting Policy Papers, September, 2000 26 Critical Steps in Policy Analysis Components of the Briefing Note Confirm, Define, & Detail the Problem Identify Alternatives Present and Assess Alternatives Using Evaluation Criteria Recommend Preferred Alternative Implement Preferred Alternative Monitor The Implemented Alternative Evaluate Policy Results Issue Current Status Options/Considerations Recommendation(s)/ Next Steps Background

28. Seminar on Crafting Policy Papers, September, 2000 27 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 Introduce the Issue/ Opportunity State 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 being considered?

29. Seminar on Crafting Policy Papers, September, 2000 28 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 or Implications Identify the Issues or Implications Specify the Key Discussion Questions Specify the Key Discussion Questions The nature of the need/opportunity Possible solutions to overcome barriers 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)

30. Seminar on Crafting Policy Papers, September, 2000 29 Components of the Green Policy Paper 40-60 pages, single space, including annexes Outline Possible Options and/or Principles for Action Outline Possible Options and/or Principles for Action Length Identify principles which might underlie policy choice, and/or list 3-4 discrete options Summarize the Existing Policy Baseline Summarize the Existing Policy Baseline Identify existing domestic policy in the area of concern Summarise any relevant ‘benchmark’ policy initiatives in other jurisdictions

31. Seminar on Crafting Policy Papers, September, 2000 30 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 actors concerned 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 Europe The information society and the public sector Introduce the Issue/Opportunity Introduce the Issue/Opportunity State the Objective State the Objective Scope the Phenomenon Scope the Phenomenon

32. Seminar on Crafting Policy Papers, September, 2000 31 “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 to public sector information in the Member States 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

33. Seminar on Crafting Policy Papers, September, 2000 32 Current legislation and policy in Member States on access to public sector information Current 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

34. Seminar on Crafting Policy Papers, September, 2000 33 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 Identify the Need/Opportunity Establish the Objectives Establish the Objectives Detail the Proposed Initiative(s) Detail the Proposed Initiative(s)

35. Seminar on Crafting Policy Papers, September, 2000 34 Components of the White Policy Paper 20-60 pages, single spaced, including annexes Outline the Implementation Scenario Outline the Implementation Scenario What is the time line by which the specific elements of the plan, strategy, or program will be executed? Length What agencies will be involved? What resources are provided?

36. Seminar on Crafting Policy Papers, September, 2000 35 An E.U.White Policy Paper Sample: A White Paper on Food Safety “Consumer confidence has been badly affected by the various 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 increase the quality of everyday-lives of Europeans, it will also boost the competitiveness of the European food industry.” Identify the Need/ Opportunity Identify the Need/ Opportunity Establish the Objective(s)

37. Seminar on Crafting Policy Papers, September, 2000 36 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 findings  Become the automatic first port of call for scientific information on food safety and nutritional issues  Operate 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 labeling 5. A more active effort by the European Community to keep international bodies abreast of European Developments in food safety

38. Seminar on Crafting Policy Papers, September, 2000 37 The E.U.White Paper Sample: A White Paper on Food Safety Outline the Implementation Scenario Outline the Implementation 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.”

39. Seminar on Crafting Policy Papers, September, 2000 38 From Policy Definition to Strategic Policy Design Policy Definition Elements Policy Design Components Government Players/stakeholders Meet need/seize opportunityVision/mission Proposed course of actionPolicy Clearly preferred outcomesGoals or objectives Linked to actual effects Results

40. Seminar on Crafting Policy Papers, September, 2000 39 Steps in the Policy Design Process Identify Need or opportunity Articulate Clear and simple vision of the preferred future ClarifyCommitment in terms of the mission Clear statement of policy in the form of goals/objectives Choose Instrument(s) DevelopImplementation Strategy MonitorOutcomes EvaluateResults Establish

41. Seminar on Crafting Policy Papers, September, 2000 40 Components of the Policy Statement Provide a description of the issue or opportunity Provide a succinct picture of an improved future Identify the Need/ Opportunity Identify the Need/ Opportunity Articulate the Vision Indicate what it is all about, and why a policy response has been necessary Make it positive and enabling

42. Seminar on Crafting Policy Papers, September, 2000 41 Components of the Policy Statement Clarify the Mission Establish the Policy Define through overall objectives the role the organization will play in bringing about the vision Specify the action(s) that will be taken to achieve the objectives

43. Seminar on Crafting Policy Papers, September, 2000 42 Minerals--A Policy for Nova Scotia Identify the Need/ Opportunity Identify the Need/ Opportunity Articulate 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.”

44. Seminar on Crafting Policy Papers, September, 2000 43 Minerals--A Policy for Nova Scotia 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 Scotia  a business climate that is competitive at the national and international levels  increased public knowledge of [Nova Scotia’s] geology and mineral resources  integrated land use planning that considers minerals with other land use and resource interests  protection of the environment  protection of health and safety for workers and the general public  cooperative working relationships among stakeholders

45. Seminar on Crafting Policy Papers, September, 2000 44 Minerals--A Policy for Nova Scotia 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 processes  ensure that the regulatory regime is developed through consultation,stable over time and easy to understand  recognize that charges prescribed by legislation and regulations must be reasonable  and based on value for service rendered  facilitate the raising of equity and debt capital  provide a tax regime that is simple, transparent,...and fair with emphasis on profit-based taxes  promote mineral development and exploration and development