Needs and Impact Assessment.Needs and Impact Assessment.Essential Steps in Cultural Policy MakingEssential Steps in Cultural Policy Making

May 2004

©Prof. Dr. Delia Mucica

High culture …Low culture… Subculture…

Serious culture… Kitsch…

"… culture may now be said to be the whole complex of distinctive spiritual, material, intellectual and emotional features that characterise a society or social group. It includes not only arts and letters, but also modes of life, the fundamental rights of the human being, value systems, traditions and beliefs." 

Report of World Conference on Cultural Policies organised by UNESCO in 1982 at Mexico City.

What cultural policies?What cultural policies?

“Most cultural policies are focused upon the arts and heritage. The perspective can be broadened, first by moving away from monolithic notions of 'nation culture,' accepting diversity in individual choices and group practices. Support to the arts and artists is essential; but equally so is an environment that encourages self-expression and exploration on the part of individuals and communities.”

Our Creative Diversity, Report of the independent World Commission on Culture and Development, UNESCO Publishing, 1999

4 Key Themes4 Key Themes (identified in the Report of the European Task Force

“In from the Margins”):

promotion of cultural identity; endorsement of Europe's multicultural

diversity; stimulation of creativity of all kinds; encouragement of participation for all in

cultural life.

5 Objectives of Cultural Policies5 Objectives of Cultural Policies (Action Plan of the 1998 Intergovernmental Conference on Cultural

Policies for Development)

to make cultural policy a key component for development strategy;

to promote creativity and participation in cultural life;

to reinforce measures to preserve cultural heritage and promote cultural industries;

to promote cultural and linguistic diversity in the information society;

to make more human and financial resources available for cultural development.

“integrative” or “cross-sectoral”

What are the priorities of various cultural What are the priorities of various cultural policies? (policies? (the the Ruffolo Report)Ruffolo Report)

a devolution of powers over culture-related issues from central government to the lower levels;

greater support for cultural demand;

strong emphasis on training and artistic education;

considerable support for contemporary art; the introduction of new forms of public/private

partnership.

Factors shaping the cultural policy of a countryFactors shaping the cultural policy of a country

Exogenous Globalisation (free trade,

blurring of frontiers, delocalisation of production, convergence, technical innovation)

International commitments Post-industrial society –

the information society (knowledge-based society)

The “craving” for content of creative industries

…

Endogenous Democracy and Rule of Law New forms of governance Socio-economic environment Cultural traditions and beliefs

- cultural identity Cultural expectations/ needs Cultural consumption and

tastes Cultural offer and

infrastructure Contemporary forms of

expression Cultural diversity …

Cultural Policy Making: A Balancing ProcessCultural Policy Making: A Balancing Process Past and Present

Protection of heritages Promotion of creativity and innovation

Opening up to the world while protecting distinctiveness Protection of cultural identity Promotion of cultural diversity

Rigors of public money spending and promotion of excellence and innovation Generated consumer and user benefits Public expectations Accountability and transparency Freedom of expression, creative freedom, experiment

Catering for the needs of the public, the creators, the public cultural institutions, the third sector….

Top-Down or Bottom-Up?

Policy Making PrinciplesPolicy Making Principles

Subsidiarity Proportionality Transparency and openness Consultation and participation of

stakeholders

Good Governance

SubsidiaritySubsidiarity

Means acting only where necessary - no responsibility and decision should be located at a higher level than is necessary

Action is justified only when: the objectives of the proposed action cannot be

sufficiently achieved at a lower level (the necessity criterion);

the objectives can be better achieved at a higher level

(the effectiveness criterion).

ProportionalityProportionality

Comes into effect if and when the legitimacy of action is decided with reference to the principle of subsidiarity, ensuring that: The least onerous means must be adopted (the

suitability criterion) The measure must be necessary to achieve the aims

(the necessity criterion) It must not have an adverse impact on any interest or

right (the balancing criterion)

Openness and transparency. Openness and transparency. InformationInformation

Access to public information (citizens actively seeking information)

Communication of public information (public authorities actively providing information)

This is a one-way communication butEssential for the exercise of democracyA prerequisite for compliance and implementation

Consultation and participationConsultation and participation

Enhancing and transforming the information function of public authorities, from a one way monologue to a two-ways communication - dialogue /consultation - and

From dialogue to empowerment (active participation of stakeholders in the decision making process – policy-making, law-making, assessment, implementation, etc.)

Steps in policy makingSteps in policy making

Assess cultural and socio-economic environment Carry out a needs assessment exercise Identify and evaluate possible policy options Design policy and strategic planning Identify and evaluate appropriate tools for policy

implementation Carry out an ex ante impact assessment Implement policy and regulation Carry out ex post impact assessment Modify/adjust policy and regulation to meet policy

objectives / changing conditions

SWOT Analysis

Assessment of the national cultural environment and putting it into the socio-economic perspective Identify and evaluate internal Strengths Identify and evaluate internal Weaknesses Identify and evaluate external Opportunities Identify and evaluate external Threats

Needs assessment Needs assessment

Objective: Identification and diagnosis of problems

that need to be addressed/solved Assessment of cultural needs of individuals

and of communities Comparison of needs/expectations

expressed to the cultural offer Identification of priorities expressed by

individuals and communities Shopping list of contrasting needs

Needs Assessment in 4 StepsNeeds Assessment in 4 Steps1. Who will conduct it? (design and actual

exercise) Outside consultants, own staff, volunteers etc.

2. What kind of information is to be collected? (It depends on what you want to achieve)

Quantitative data (demographic and economic indicators, cultural infrastructure, typical cultural statistics, data from related fields: education and schooling, employment and occupations, health, public transportation etc…)

Qualitative data – questionnaire/interview-type approach (expectations, personal evaluations, tastes etc…)

Needs Assessment in 4 Steps (cont’d)Needs Assessment in 4 Steps (cont’d)3. How is the information collected?

(field surveys, interviews with key informants/ ”gatekeepers”, community forum, public records)

4. How to use the information collected? Interpretation and statistical analyses in order to:

Produce a rank-ordered list of: priorities, changes needed, needs that are not met by current policies

Identify cases/trends of social exclusion, groups that are not participating in cultural life, discrepancies between allocation of resources and consumer/user benefits

Identify potential of creativity, opportunities for employment, etc….

What next?What next?

Findings and results should be communicated to the public / constituency

Results must be assessed and benchmarked against proposed policy objectives

Results must lead to formulation of policy options and priorities

Transparency!

Consultation and participation!

Policy OptionsPolicy Options

Balance conflicting needs Assess alternatives (pros and cons)

Feasibility Cost-effectiveness Cost-benefits Side-effects (spill over effect)…

Subsidiarity and Proportionality ! Is the policy option / intervention justified, feasible and

implementable? Should (and could) this policy option be implemented

through regulation or through non-regulatory tools? At what level?

Tools for Policy ImplementationTools for Policy Implementation

Regulatory tools (primary and secondary regulations) Cultural-specific regulations General regulations

Non-regulatory tools Public-private partnerships Information and education campaigns Awareness-raising campaigns Consultation and participation of stakeholders

Impact AssessmentImpact Assessment

May be conducted: Before implementation of policy / enactment of

regulation - ex ante After implementation of policy / regulation – ex post

Essential tool for decision-makers Assessment of degree of subsidiarity Proportionality

May address both policy options and regulatory solutions

Ex Ante Impact Assessment (Regulatory Ex Ante Impact Assessment (Regulatory Impact Assessment)Impact Assessment)

Objectives: Policy and regulation clarity and coherence Policy improvement and inter-sectoral

harmonisation Legal equality and security Implementability and compliancethrough

Improvement of the regulations themselves Reducing the number of policy and regulatory

interventions Avoiding unnecessary regulation Preventing apparition of side-effects

Questions to be answered via an ex ante impact Questions to be answered via an ex ante impact assessment exerciseassessment exercise

Is the proposed policy consistent with the real situation? Are there alternatives to the proposed approach and if yes,

have they been evaluated? Is the proposed policy consistent with other public policies,

rules and international standards? Is the proposed policy clearly addressing the identified

needs? What is the foreseen impact of proposed policy? Is the proposed policy establishing the authorities that

should put it into effect? Does the proposed policy contain sufficient provisions as to

the regulatory and administrative mechanisms that are necessary to implement it?

Does the proposed policy foresees realistic funding of proposed measures?

Which of the policy options is to be preferred?

Ex Ante Impact Assessment (cont’d)Ex Ante Impact Assessment (cont’d)

Various technical tools and techniques used: Economic analyses (Contingent Valuation Method,

etc.) Statistical analyses Studies, researches, etc. Simulations, Shadow Projects Consultations Citizens Jury Field surveys, polls, etc.

Ex post impact assessmentEx post impact assessment

Evaluation and analysis of: The degree of effectiveness of implemented

policy / regulation The degree of implementability and compliance

of that policy / regulation Side effects that occurred and their degree of

importance

Have the policy objectives been met?

Ex post impact assessment (cont’d)Ex post impact assessment (cont’d)

Tools and techniques used: Socio-Economic analyses Statistical analyses Studies, researches, etc. Consultations Field surveys, polls, questionnaires, etc.

A never ending processA never ending processA. Policy objectives have not been met by

implemented policyEx post impact assessment is vital for identifying side-effects, unforeseen results, non-implementability, lack of compliance…

B. Socio-economic and cultural environment has changed and requires either adjustment of existing policies or new onesEx post impact assessment provides information concerning changes that occurred, their importance and potential disruptive effects, which require assessment of new needs….A logically consistent process linking policy, regulation, cultural activity and their assessment at macro and micro levels is paramount

Cultural indicatorsCultural indicators

What indicators? Performance indicators Quality of life indicators

Important to track changes and indicate trends

Need to be methodological consistent over a period of time

Need to be compatible and clear

Need to measure achievement of policy objectives

Should be combined with criteria for judgement of artistic performance (excellence, innovation, quality…)

SMARTSMART

Objectives should be: Specific Measurable Achievable Realistic Timed