3. 1. Forward looking โ takes a long term view, based on statistical
trends and informed predictions, of the likely impact of
policy
2. Outward looking โ takes account of factors in the national,
European and international situation and communicates
policy effectively
3. Innovative and creative โ questions established ways of
dealing with things and encourages new ideas; open to
comments and suggestions of others
4. Using evidence โ uses best available evidence from a wide
range of sources and involves key stakeholders at an early
stage โฆ
Professional Policy Making 9
Competencies
4. 5. Inclusive โ takes account of the impact on the needs of all those
directly or indirectly affected by the policy
6. Joined up โ looks beyond institutional boundaries to the
Governmentโs strategic objectives; establishes the ethical and
legal base for policy
7. Evaluates โ builds systematic evaluation of early outcomes into the
policy process
8. Reviews โ keeps established policy under review to ensure it
continues to deal with the problems it was designed to tackle,
taking account of associated effects elsewhere
9. Learns lessons โ learns from experience of what works and what
doesnโt.
PROFESSIONAL POLICY MAKING FOR THE TWENTY FIRST CENTURY(1999)
Professional Policy Making 9
Competencies CTD
5. โข โImplementing policy should never be separate from
making it
โข Successful outcomes depend on designing policy with
clear objectives, creating realistic timetables and
professional project planning
โข Policy that is difficult to implement wastes time and
money
โข Effective delivery is particularly critical for the
Governmentโs most important and high value projects, as
this drives efficiencies and improves public services
โข In the past, delivery of these major projects has too often
been poorโ.
UK Civil Service Reform Plan June
2012
6. โข Be clear about the problem: High-level policy goals need to be
matched with analysis of what problem government is trying to
tackle and used to make good judgments on where to focus
attention
โข Work with the wider system: Policies are never implemented onto
a blank canvas; they must compete for resources and attention with
other national policies and local priorities โ and can draw upon
some of the assets that often already exist
โข Stay close to implementers: Bringing others into policymaking is
important, but once implementation begins central government
also needs to keep strong links with where change is happening to
understand how policies are working in the real and using regular
stocktakes to keep up momentum.
Institute for Government Case
Studies 2014
7. โข Stay focused: Continuity is an essential ingredient of effective
implementation. All of our case studies involved
implementing over a period of many years and these long
time-spans introduce significant risk to achieving policy goals.
โข Use ministers to drive progress: While politics can add many
complications to implementation, ministers play a crucial role
in setting milestones and using regular stocktakes to keep up
momentum.
โข http://www.instituteforgovernment.org.uk/our-work/better-
policy-making/improving-policy-implementation
Institute for Government Case
Studies 2014 (2)
8. Different Systems
FATALISM
Control through processes (which are
inherently unpredictable and fallible)
HIERARCHY
Anticipative solutions, forecasting and
management, enhanced authority and
hierarchical ordering
INDIVIDUALISM
Control through rivalry and choice,
incentives to underpin market and
individual choice processes (e.g.
disclosure)
EGALITARIANISM
Control through group processes,
network style, participation
Four key control styles according to cultural theory (adapted from Baldwin et al 2011)
9. โข Policy implementation in a top-down manner
โข Policy implementation in a bottom-up
approach.
Top-Down vs Bottom-Up
11. โข Civil servants are involved in design of policy or are affected in
their service delivery by the policy design done by others
โข โThough much policy advice is excellent, the quality of policy
making is inconsistent and needs to be improved โ too often
policy advice draws from too narrow a range of views and
evidence, and does not ensure that policy is capable of
practical implementationโ
โข (Civil Service Reform Plan 2012).
Scoping Benefits for Policy
Development
12. Is it:
โข A supply issue
โข A competition issue
โข An information issue (e.g. to enable better
choices)
โข A cultural issue
โข Etc?
The answer makes a big difference to which options
will work!
Symptom vs Cause: The Real
Delivery Problem
13. Implementation Insights โ setting
the goal
โข Have a clear, shared understanding of the problem and
prioritise outcomes
โข What problem needs to be addressed? Why does it
need to be solved now?
โข What are the key constraints (time, money, capacity,
legal etc) to tackling the problem?
โข How does the goal fit with other policy in the
department/government?
โข What is the right role for Government?
โข What constitutes success in terms of real world
impact? How will it be measured?
14. โDevelop clarity about the purpose of the policy
โข Be clear about the objective โโ what issue(s)
is/are being addressed
โข Give clarity as to why this is/they are being
addressed and what difference is intended
โข Provide useable guidance that sets the scene
for both the policy and the processโ
โINVOLVING THE FRONT-LINE IN POLICY-MAKINGโ CABINET OFFICE
The Key
16. Strategic Context
โข Organisational Overview
โข Current Business Strategies
The Case for Change
โข Spending Objectives
โข Existing Arrangements
โข Business Needs โ current and future
โข Potential Scope
โข Benefits and Risks
โข Constraints and Dependencies.
1) The Strategic Case
17. โข Critical Success Factors
โข Long listed Options
โข Short Listed Options (including do minimum, three or four is
the recommended number) Status quo; do nothing option
(unless this is not credible)
โข Economic Appraisals of Costs and Benefits with CBA
Distributional Analysis (where relevant)
โข Optimism Bias adjustment
โข Risk Assessment
โข Sensitivity Analysis
โข The Preferred Option.
2) The Economic Case
18. โข Procurement Strategy
โข Service Requirements
โข Charging Mechanism
โข Risk Transfer
โข Key Contractual Arrangements
โข Personnel (TUPE) Implications
โข Accountancy Treatment.
3) The Commercial Case
19. โข Public Capital and Revenue Requirements
โข Net Effect on Prices (if applicable)
โข Impact on Balance Sheet
โข Impact on Income and Expenditure Account (if applicable)
โข Overall Funding and Affordability
โข Commissioner Support (if applicable).
4) The Financial Case
20. โข Programme and Project Management Methodology (PPM)
and Structure
โข Programme and Project Management Plans
โข Use of Specialist Advisers Change and Contract Management
Arrangements
โข Benefits Realisation
โข Risk Management
โข Monitoring during implementation (proportionate)
โข Post Implementation Evaluation Arrangements
โข Contingency Arrangement.
5) The Management Case
22. โข The NAO report Modern Policy-Making:
โข โDepartments should make arrangements to
engage implementers early so that the
practicability of policies can be assessed.
Involving implementers closely as policies are
designed can help identify and manage risks of
their effectiveness, secure ownership and
commitment from staff, and identify practical
solutionsโฆโ.
Implementers as Stakeholders
23. โข โFront-line staff offer an effective route to meaningful
evidence of the implementation and effectiveness of policy
proposals. Given early involvement they offer a rich and
sophisticated understanding of how their areas of work can
be developed. As such, their input is an effective resource in
ensuring that policies work first time. Their early involvement
will provide informative evidence and give considerable
insight to the development of policy, acknowledging a need to
balance this view with those of other appropriate
stakeholders..โ
โข โINVOLVING THE FRONT-LINE IN POLICY-MAKINGโ CABINET
OFFICE
Implementers as Stakeholders (2)
24. โEffective involvement of front-line staff requires:
โข Clear objectives for the policy development and policy
process
โข Consideration of the front line as relevant to the policy in
question
โข A whole system approach to the involvement of the front line
(and others)
โข Proper resourcing and planning, an up front investment.โ
โINVOLVING THE FRONT-LINE IN POLICY-MAKINGโ CABINET
OFFICE
Implementers as Stakeholders (3)
25. โข Define (who are they? Priorities?)
โข Determine their expectations and concerns
(communication)
โข Decide what to do with stakeholder views
(e.g. sharing with others in your organisation,
letting stakeholders know what has
happened)
โข Decide systems for updating information
(monitoring ongoing stakeholder views).
Stakeholder Issues
27. โข โOur analyses found
that, whatever their size
and complexity, all
delivery chains are made
up of only four basic
types of links or
relationships:
Delivery Chains
28. โข Internal links, where one part of the chain directly
manages another
โข These links are often strong
โข Effective delivery can be secured through levers such
as internal performance and staff management
โข Efficiencies, such as sharing services and improved
asset utilisation, can also be identified
โข Complex, outcome-focused PSA targets tend to have
relatively few internal links in their delivery chains.
Delivery Chains 1
29. โข Contractual or regulatory links, where one part of the
chain defines through law and/or funding how
another does its business
โข These links can also be strong and effective at
delivering outputs efficiently, as long as there is good
contract design, good project management, and
appropriate, strategic regulation
โข There are often a number of links of this kind within
complex delivery chains.
Delivery Chains 2
30. โข Links of common purpose, where two bodies have
parallel missions to work towards the common good
and to make a positive difference to society
โข Examples include the relationship between two
government departments, or between a local
authority and a local charity, each with a common
interest
โข These links proliferate in complex delivery chains and
can be relatively weak, sometimes relying on good
will alone to function.
Delivery Chains 3
31. โข Links to the wider community, where one organisation has no
formal authority over the groups and individuals with whom it
wishes to work and is reliant primarily on persuasion to
influence their behaviour to achieve targets
โข Examples include attempts to persuade private sector firms to
encourage car-sharing among their employees, or to support
and encourage members of the public to stop smoking
โข Yet these are often the weakest links in the delivery chain,
with few positive incentives, and sometimes negative
incentives, on those in the community to take part.
Delivery Chains 4
32. Implementation Insights
โข Review evidence, appraise options, and decide how
outcomes can best be delivered
โข What policy levers and actions will best deliver the desired
outcomes?
โข What local, private and international evidence been
considered in developing options?
โข Why is the proposed solution the right one, as opposed to
other options?
โข What are the risks? How have unintended consequences
been identified? What credible mitigations been identified?
โข How can central elements of the solution be tested or
piloted before you begin delivering at scale?
33. Ensuring Continuity
โข Programme โ proactively managing the process
โข People โ roles and responsibilities, awareness and
education
โข Processes โ all organisational processes, including ICT
โข Premises โ buildings and facilities
โข Providers โ supply chain, including outsourcing
โข Profile โ brand, image and reputation
โข Performance โ benchmarking, evaluation and audit
Business Continuity Institute, 2003
34. โข Technology
โข Environment
โข Geographical location
โข Reward systems
โข Rules and procedures
โข Key organizational members
โข Critical incidents.
Cultural Influences
37. โข Leading sociologist Max Weber defined
bureaucracy as an organisation with a hierarchy
of paid, full-time officials who formed a chain of
command
โข A bureaucracy is concerned with the business of
administration: with controlling, managing and
co-ordinating a complex range of tasks
โข Weber regarded it as dominant institution of
industrial society (departments of state, political
parties, businesses, education etc).
Bureaucracy
38. โข Max Weber distinguished between types of
action:
โ Affective or emotional action (stems from emotional
state at a particular time. Therefore hard to predict)
โ Traditional action (based on established custom, done
because always done that way. Therefore not
necessarily responsive to current context)
โ Rational action (goal orientated, systematic
assessment of various options for meeting a goal and
choosing option by established criteria). In many
countries tends to be the public sector ideal.
Social Action Theory
39. โข โBureaucracy appealed as a
way of preserving
representative democracy
whilst removing its worst
features โ instability,
irrationality, and factionalism
โ from the day-to-day
activities of governing
โข Of course policy can never be
separated from politicsโ
Bureaucracy- The Ideal (1)
40. โข In government was hoped bureaucracy would:
โ Provide a bulwark against the irrationalities of the
electorate and their representatives
โ Prevent organised interests taking control of
public policy
โ Permanent bureaucracy would divide politics from
policy
โ Provide a more scientific and evidence based
approach to policy.
Bureaucracy โ The Ideal (2)
41. โข What are the risks and downsides of
bureaucracy?
โข How can these be addressed?
โข (And how can the upsides be accentuated?).
Downsides and Risk of
Bureaucracy?
42. โข โquality assurance has only recently emerged as an
occupation, or sub-field, of management. Today there are
many complaints by public sector officials about the damaging
effects of bureaucracy and red-tape created by this new form
of regulationโ
โข Challenge of โdriving up standardsโ of public service delivery
versus extra red tape for staff involved (paper work,
inspections, extra layers of checks etc).
โThe New Bureaucracy: Quality Assurance and Its Criticsโ Max
Travers 2007
Bureaucracy and Quality
Management
43. Ministers and Special Advisers
โข Influencing Ministers
โข Using Special Advisers.
44. โข โYou want to take into account all
the available evidence;
โข but, at the end of the day, a
Ministerโs job, Parliamentโs job is to
reach a judgement as to whether or
not a particular policy ought to be
pursued โฆ
โข I strongly defend my right, as the
Secretary of State, a Member of the
elected Government to form a
judgement as to what I think is the
right thing to do
โข and the Commons and Lords will
decide.โ
Reminder โฆ the Political Contextโฆ
*Alistair Darling to a HoC Select
Committee in 2006
46. โข What is a project?
โข Defined start and end, specific scope, cost and
duration
โข A temporary endeavor undertaken to create a
unique product, service or result
โข A series of activities aimed at bringing about
clearly specified objectives within a defined
time period and with a defined budget
(EU Aid delivery methods).
A project
47. โข Project management was developed to save time by
properly planning a project and considering all
relevant factors which may affect its outcome
โข The benefits have been proven - it saves time and
money - and generates a more successful outcome
โฆ. if guidelines are followed.
Benefits of project management
48. โข goal clarity and measurement
โข coordinated resources
โข risks will be identified and managed
โข increase the possibilities of time savings
โข increase the possibilities of cost savings
โข increase the possibilities of achieving the agreed
outcome
โข increase the possibilities to deliver projects
successfully.
How does project management
benefit you?
49. โข Stakeholder involvement
โข Executive management support
โข Clear statement of requirements
โข Proper planning
โข Realistic expectations
โข Smaller project milestones
โข Competent staff
โข Ownership
โข Clear vision and objectives
โข Hard working and focused staff.
Project success factors
52. 1. Obtain commitment from the business
2. Define the outcome
3. Define critical success factors (SMART)
4. Adopt processes for project management
5. Check staff skills and experience
6. Determine governance arrangements
7. Define the project scope ...
Controlled start up
Controlled
start up
Controlled
delivery
Controlled
closure
Review
53. 8. Determine the project approach
9. Plan for management of risk
10. Identify the dependencies with other projects
11. Determine whether procurement is required
12. Define the project organisation
13. Produce a project plan
14. Revisit scope
15. Define reporting arrangements.
Controlled start up
Controlled
start up
Controlled
delivery
Controlled
closure
Review
55. 1. Close the project.
Controlled closure
Controlled
start up
Controlled
delivery
Controlled
closure
Review
56. 1. Review and benefits realisation.
Review
Controlled
start up
Controlled
delivery
Controlled
closure
Review
Identify
scope and
stakeholders
Analysis
Information
gathering
Identify
sources of
information
Team
Selection
Compare with:
business strategy
business case
Use the information for more effective business
operations
57. โข Impact Assessment Toolkit http://www.bis.gov.uk/ia
โข Treasury Green book (appraisal on vfm)
โข https://www.gov.uk/government/publications/the-green-
book-appraisal-and-evaluation-in-central-governent
โข Magenta Book (Evaluation guide including analyst checklist)
https://www.gov.uk/government/publications/the-magenta-
book
โข Orange Book (Risk management guide)
https://www.gov.uk/government/publications/orange-book
โข โResearch Methods for Business Studentsโ Saunders et al
โข โMaking Policy in Theory and Practiceโ Bochel and Duncan.
Sources of Help