Policy development manual for civil servants in BiH by UNDP in BiH

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Bosnia and Herzegovina

Republic of Srpska

Federation of Bosnia and Herzegovina

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Bosnia and Herzegovina

Republic of Srpska

Federation of Bosnia and Herzegovina

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

This publication has been produced within United Nations Development Programme “Strategic Planning and Policy Development” Programme in Bosnia and Herzegovina with the assistance of the European Union Delegation to BiH, the Governments of the Netherlands and Norway and UNDP. The contents of the this publication are the sole responsibility of the author and can in no way be taken to reflect the views of UNDP in BiH, the European Union, Norway and Netherlands. UNDP is the UN's global development network, and organisation advocating for change and connecting countries to knowledge, experience and resources to help people build a better life. We are on the ground in 166 countries, working with them on their own solutions to global and national development challenges. As they develop local capacity, they draw on the people of UNDP and our wide range of partners. The “Strategic Planning and Policy Development” Programme is working on strengthening public institutions' capacities in selected sectors in the field of strategic planning, public policy development and public finance management. Copyright © 2010 By the United Nations Development Programme (UNDP) in Bosnia and Herzegovina 48 Maršala Tita, 71000, Sarajevo Supervisor: Arlett Stojanović Lead author and consultant: Marina Škrabalo, MAP Savjetovanja, Zagreb, www.map.hr Editor: Maja Marjanović Contributors (in alphabetical order): Nina Branković, Selim Kulić, Lejla Somun-Krupalija, Elmira Pašagić, Samra Šuškić-Bašić, Sead Traljić, Aida Vežić Peer reviewers (in alphabetical order): Klelija Balta, Begajeta Habota, Nives Miošić-Lisjak, Peter van Ruysseveldt, Todor Skakić, Louise Sperl, Renato Škrobo, Slavica Vučić, Nataša Žugić Design&DTP: Kurt&Plasto

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Contents 1.

What do we Mean by 'Policy'? ................................................................................................................5

Preparation of a Policy Proposal: SIGMA Step 3................................................................................7

From a Policy Proposal to a Government Decision ........................................................................13

Monitoring and Evaluation as Prerequisites for Efficient Policy Implementation (SIGMA Step 12).................................................................................................................................39

Annex 1: Form used to Create an Analytical basis for Regulation Development and Adoption .......43 Annex 2: Guide for Policy Options Impact Assessment .........................................................................51 Annex 3: Guidelines for Stakeholder Analysis and Consultations.........................................................57 Annex 4: Consultation Process Plan .........................................................................................................61 Annex 5: Planning Guide for Monitoring and Evaluation (assessment) of Impacts during the Policy and Regulation Development Phase ..........................................62 Annex 6: Presence of the Gender Perspective in Consultations with Stakeholders ...........................63

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Introduction Bosnia and Herzegovina (BiH) is a country with limited public resources facing a large number of challenges, yet it is also a country in possession of noteworthy human potential. The general goal of the Strategic Planning and Policy Development Programme (SPPD) is to support the acquisition of knowledge and skills by public officials that will help enable them to develop better strategic plans and policies that are closely related to the system of public finance. Thus, this will help ensure that limited public resources are used in the most effective and most efficient manner and to the benefit of the citizens of Bosnia and Herzegovina. The SPPD Programme is part of the Public Administration Reform Strategy and serves as a support for the introduction of European Union (EU) public administration standards in Bosnia and Herzegovina. In accordance with the standards of good practice in the OECD (Organisation for Economic Cooperation and Development) countries and in line with the BiH Public Administration Reform Strategy, public institutions in BiH are required to develop and implement policies that are based on actually available financial and human resources using a transparent and coordinated approach. The basic goal of the public administration reform process is to develop more effective, efficient, accountable and transparent public administration in BiH. Accordingly, the SPPD Programme has provided support to those public institutions participating in the programme by increasing their capacity to develop better policy proposals, placing particular emphasis on the need for timely public and inter-ministerial consultations, impact assessments and policy implementation monitoring and evaluation mechanisms. This policy development manual represents a practical guide for civil servants within those public institutions in BiH that are faced with the challenge of developing appropriate polices within their jurisdiction. The SPPD Programme as a whole, including the development of this manual, is implemented thanks to the financial support of the Government of the Netherlands, the European Commission, the Government of Norway and the United Nations Development Programme (UNDP). The Manual is divided into four thematic sections. The first chapter, What Do We Mean by 'Policy'?, introduces the policy concept, provides explanations how policies are different from the traditional concept of politics and provides an overview of the main stages, steps and tools for their development and implementation. Since the policy development methodology proposed and promoted by this manual is based on a joint OECD and EU programme - Support for Improvement in Governance and Management (SIGMA) in the Public Sector - further thematic sections of the manual represent the three key analytical steps for policy implementation and development recommended by the SIGMA programme. A series of independent assessments of government capacities have concluded that these steps are underdeveloped within the related legislative processes in the countries of South Eastern Europe, including Bosnia and Herzegovina. Thus, the second and most comprehensive chapter, Preparation of a Policy Proposal, deals with policy development (SIGMA Step 3). This is in order to present a systematic analytical approach to the definition of public issues and problems, goals and policy options, the recognition of and consultations with key stakeholders and the impact assessment and policy option selection, based on an awareness of the possible risks related to implementation. The third chapter, From a Policy Proposal to a Government Decision (SIGMA Step 4), offers practical instruction on drafting legislation, based on the conducted analyses described in the previous chapter. It provides a reminder that inter-ministerial consultations can, if well prepared and begun at an early stage, have a positive impact in terms of the quality of the draft legislation (SIGMA Step 5).

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH The fourth chapter, Monitoring and Evaluation as Prerequisites for Efficient Policy Implementation (SIGMA Step 12), offers instruction on the importance of systematic monitoring and periodic evaluation of the impact of policies and relevant regulations both during and after the implementation itself. It also provides guidelines for the timely planning of institutional monitoring and impact assessment mechanisms during the drafting phase of a document. Within these thematic sections we have occasionally listed examples of the practical application by state and entity level ministries that participated in the SPPD Project in 2009 and already use some of the methods described in this manual. In light of the obligation of BiH to abolish discrimination against women in political and public life and to enable them to, amongst other things, participate in policy making processes1 this manual incorporates the gender equality perspective. Finally, this manual includes a brief overview of the literature used (available to those who want to know more about public policy) and annexes â&#x20AC;&#x201C; practical guides for the implementation of the analytical steps previously described, to aid you in your practical work on legislation and in the development of policy proposals. This manual is available in electronic form on a CD. We very much hope that you will be able to use and apply these forms on your own as soon as possible. In the hope that you will find this manual beneficial and stimulating, we look forward to your future experiences within policy analysis.

Convention on the Elimination of all forms of Discrimination Against Women (CEDAW), United Nations, 1979, paragraph 7.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

1. What do we Mean by 'Policy'? Social issues that are recognised at a certain moment in time as problems that concern a large part of a particular community or society in general require action to be taken by government institutions in order to resolve them. The resolution of such public problems is achieved through the application of public policies that represent, within the political decision making process, a flow or a plan of action that, in a rational manner, achieves the desired goals through the use of public money. Therefore, policy is purposeful action by government institutions that changes and affects society and the economy. Thus, we are talking about political decision making that concerns public issues and a rationale i.e., arguments based on and aimed at resolving a certain issue. However, one should keep in mind that public policy is not necessarily always expressed in a written form. Thus, a public policy may mean the de facto protection of local food producers by, for example, their selection as suppliers through procurement procedures for products to be used in public institutions, such as cafeterias and restaurants, despite the fact that such a decision does not exist in a written form (action-flow). On the other hand, public policy can also be developed in the form of strategies, programmes, legislation or all of the above mentioned (action-plan). Finally, since policy is everything that a government decides to do and also everything that it decides not to do, a lack of action on the part of the government concerning a certain phenomenon recognised as being a problem can also be considered as policy. That is, a government “decision not to decide” on the resolution of a certain problem may be influenced by the current political situation, the relationship between political forces and or a lack of administrative capacity and the resources needed to effectively resolve the issue at a given moment. Policies are adopted through a political decision-making process concerning public issues. This process consists of three interconnected and inseparable dimensions of politics (unlike our languages, English has separate terms naming each of them): • politics – political decision-making based on the power and interests of the political stakeholders deriving from the results of elections, but marked by a certain level of patronage and irrationality in terms of decision-making due to the imperative of re(gaining) power and, from time to time, to appease the electorate; • policy – the content of political decision-making aimed at resolving problems rationally by selecting, as a solution, one of the alternatives for one problem; • polity – institutional structure within which the political decisions of any political community are made. It includes formal political decision-making procedures. Due to the inseparability of these three dimensions of the political process policy objectives are also necessarily based on the irrationality that marks politics since these objectives are not defined within a political vacuum, clear of values, ideological settings, patronage and passion, but the very opposite. This is exactly why it is necessary during the process of the operationalisation of these objectives (developing tools and mechanisms for their implementation) for this rationality dimension to be strengthened and adjusted to the institutional setting and implementation capacities. The key role in this regard is performed primarily by civil servants within the ministries, due to their long working experience and extensive knowledge of the administrative capacities of the public administration.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

1.1. Policy Implementation Instruments Policy implementation instruments include, but are not limited to, taxation, regulation, prescribed mandatory requirements and prohibitions, public expenditure, informing, political decisions, etc. In the broadest sense, we can define them as strategies, measures and resources that a government uses to meet its objectives.

REGULATION

Taxation Public procurement of services

Market, self-regulation

Education, Information, Assurance

Almost every policy implementation instrument has a legal basis, whether in the form of a strategy, programme or project adopted at the governmental or parliamentry level or as legislation or regulation, a decision made by a government or parliament, directive, rulebook or some other form of implementation document. When selecting the policy implementation instrument the most important question is the ratio between the so-called coercive instruments and the incentive instruments, while in practice it is usual for several instruments to be combined. There are three major types of policy implementation instrument when it comes to the level of coercion: • mandatory – including regulations and direct service provision by government institutions (i.e., laws, rulebooks, directives and mandatory instructions); •

combined – combined informing, counselling, subsidies, tax or direct costs to be covered by the users of the service provided (i.e., paying to cover part of the cost of medical services not included in primary healthcare);

•

voluntary – using assurance or advocacy (i.e., campaigns that promote the use of safety belts in cars).

Although it may seem that the voluntary instruments complement the mandatory ones the efficiency of mandatory instruments depends on the degree to which the liable parties agree to fulfil their obligations! All levels of government, particularly local self-government units, citizens and the private sector have to be informed in a timely manner about new regulations. If we are not aware of new legal obligations then we cannot actually comply with them nor implement them and it is far too expensive for government institutions to rely on the establishment of violations and their sanctions. Therefore, when developing policy proposals and legislative development plans, civil servants should anticipate the time period and the financial and human resources required for information purposes and, if necessary, education/training of lower levels of government and user groups with regard to the modes of implementation for new regulations: the mandatory policy instruments.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

In practice, the application of the majority of policies requires a combination of different instruments with different degrees of coercion, since it is far more likely that the policy will meet its goal through the application of several rather than a single implementation instrument. We will demonstrate this using the example of the road traffic safety policy. Problem definition: a very high number of persons injured or killed in traffic accidents. Policy objective: to reduce the number of traffic accident victims. MANDATORY INSTRUMENTS

COMBINED INSTRUMENTS

• Law on Road Traffic Safety • Obligation to use a safety belt • Restrictions on the blood alcohol level • Speed limits • Traffic fines – infringement notes • Investment in road reconstruction

• Subsidies for the purchase of new vehicles • Exemption from the cost of the technical review of vehicles up to a certain age limit • Lower compulsory vehicle insurance policies for vehicles bellow a certain age limit • Preventive police warning and advisory activities

VOLUNTARY INSTRUMENTS • Information campaigns on the benefits of using a vehicle safety belt • Information campaigns on the risks of driving under the influence (of alcohol or opiates)

When selecting instruments to be used to implement a policy the below criteria should be taken into consideration. • Relevance: is it rational to use a particular type of instrument for a certain policy (i.e., do we really need to adopt a new set of legislation or would it be enough to implement an information campaign)? • Efficiency: is the cost-benefit ratio of the use of an instrument positive? • Effectiveness: will the instrument produce the desired result (i.e., will the use of an information campaign only influence drivers in terms of persuading them to use safety belts or is it necessary, at the same time, to increase the level of control and raise the cost of traffic fines)? • Justness: have the expected costs and consequences of the application of an instrument been justly distributed (would one or several social groups bear far greater costs or be more influenced by the potential negative consequences of the application of a certain instrument)? • Applicability: is an instrument easy to use and can it be applied considering the existing technological conditions, human resources, financial restrictions and organisational structure? • Gender equality: does the instrument take into consideration the conditioning of problems related to gender differences and the social roles played by men and women as well as their specific needs, status? Do men and women have equal opportunities to participate and benefit from the positive effects of the policy and how will the instrument affect the equality of men and women within a certain social sphere? Despite the fact that all of the criteria mentioned are important, depending on specific circumstances, some of them will be decisive when it comes to selecting a specific instrument. In practice, financial feasibility is of extreme importance, especially budget restraints, but also the capacities needed for planning and implementation of capital investments funded through extra budgetary sources such as loans or EU pre-accession funds.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

1.2. Policy Making and the Implementation Process Under ideal circumstances, the resolution of recognised social problems through public policy should be based on situational analyses and conducted needs assessments, the development of possible options and preliminary impact assessments of the solution that, during the decision-making process, seems to be the most efficient. Situational analyses, needs assessments, development of policy options and impact assessments are rational steps within the political decision-making process and are based on some form of evidence that indicates the probable effectiveness of government interventions. To facilitate an understanding of policy making and implementation processes the relevant literature divides this process into several steps.

Policy ciklus 1. SETTING THE POLICY AGENDA – DECISION-MAKING • defining priority problems • defining main policy objectives

2. FORMULATION / DEVELOPMENT

• identifying options • policy options assessment • policy development – development

development/forming

of tools (regulations)

• regulation impact assessment

3. LEGITIMISING • adoption of a political decision • policy promotion and acceptance

implementation 5. EVALUATION (ASSESSMENT) AND AMENDMENT • results assessment • proposals for policy continuation, amendment or abolishment

assessment 4. IMPLEMENTATION

• administration, coordination • monitoring of the implementation quality and direct results

In a real political decision-making process very often these steps overlap, whilst others are omitted completely. This applies in particular to societies in transition that are striving to achieve EU membership, due to the rapid adjustment of their policies to comply with European ones. Other possible reasons for skiping steps is the predominance of an irrational politic as opposed to rational decision-making and or a lack of knowledge, capacities and resources, especially in a policy development phase i.e., while analysing possible options. Although some of these reasons may be partly justified, we should point out that the skipping of option analysis, shortcomings regarding the implementation of monitoring or the failure to evaluate the policy impact often result in deficient implementation and poorly defined policies with vague objectives and the use of public funds without true results. In order to avoid, to the highest possible degree, the adoption and implementation of poor policies the OECD countries use and promote the SIGMA 12 steps approach2. A short overview of this approach is provided in the following table along with information on the key stakeholders and their role in each of the steps. 2

OECD/SIGMA (2007). 'The role of Ministries in the Policy System: Policy Development, Monitoring and Evaluation'. SIGMA: Paper No. 39 http://www.olis.oecd.org/olis/2007doc.nsf/LinkTo/NT00000D3E/$FILE/JT03224116.PDF . A translation in BiH is available via the UNDP BiH, titled: “Uloga ministarstava u sistemu javnih politika:razvoj, praćenje i procjena javnih politika”. SIGMA: Paper No. 39.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

SIGMA 12 steps in the policy development and implementation process Step

Key stakeholders

Stakeholders involved

1. Definition of priorities

Parties in power, cabinet of the prime-minister, Government offices institutions in charge and ministries of the issue of equal opportunities (gender equality)

2. Policy and legislative planning

Government offices Ministries, legislative office Government

Decision

Government, parliament

Working groups, external experts, interested public Minister Working groups, legislative 4. Drafting legislature and Sponsoring ministry office, external experts, Minister the drafting of other documents interested public 3. Policy proposal preparation

Sponsoring ministry

5. Inter-departmental consultations

Sponsoring ministry Interested ministries, ministries of finance

Minister

6. Submission of drafts to the Government

Sponsoring ministry

Minister

7. Reviewing of drafts by government offices

Government offices

Sponsoring ministry

Government, Secretary General

8. Reviewing of drafts by government Working Groups

Government offices

Sponsoring ministry

Government

9. Government decision

Government Office

Government offices

Government

10. Parliamentary procedure and adoption

Parliament Parliament, Presidency Sponsoring ministry (plenary) and Secretariat Co-sponsors: Sponsoring ministry other management bodies, Minister external experts and NGOs

11. Implementation 12. Monitoring and evaluation

Sponsoring ministry

Co-sponsors: other bodies, Minister, external experts and NGOs government

These steps were developed based on research conducted into the role of the ministries within the policy decision-making process in the new EU Member States that have an administrative tradition similar to those that exist in countries currently undergoing the accession process. The aim was to explain the role of ministries and transfer best practice into public policy development based on the implementation process in EU Member States. For each of the 12 steps it is necessary to conduct consultations with experts, non-governmental organisations and the governmental institutions responsible for monitoring the situation in terms of gender equality. These are, in the first place, the Agency for Gender Equality of Bosnia and Herzegovina at the state level and the Gender Centres of the Federation of BiH and Republika Srpska at the entity level. You can contact these institutions for advice on how to account for and mainstream gender equality issues throughout the overall policy development process.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Improvement of the policy-making and legislative development processes in BiH: One of the key goals of the Public Administration Reform Strategy The Office of the Public Administration Reform Coordinator prepared the Public Administration Reform Strategy and Action Plan 1, which were adopted by the Council of Ministers of BiH, the entity governments and Brčko District and the Government of BiH in 2006. One of the key goals of the reform has been to increase the capacity and procedures for the development of legislation within the administrative structure and improve policy coordination at the state and entity level, based on the following specific objectives: • development of legislation and regulations (and other policy instruments) will only be initiated after completion of an assessment of policy options in terms of their probable impact and feasibility;

•

development of legislation and regulations throughout BiH should be based on common standards in terms of the form, format, style, etc;

•

compliance tests are to be used systematically in the legislative process, including the legislative drafting technique and style, constitutional compliance as well as compliance with existing legislation and the legal system, impact in terms of budget, assessment of its effects, the EU Acquis, etc;

•

development and adoption process for legislation initiated by parliamentary members should comply with the same quality requirements as those developed by the government.

The key step towards an improvement in the quality and development of regulations was the adoption of the Unified Rules for Legislative Drafting in the Institutions of Bosnia and Herzegovina (hereinafter: the Unified Rules) by the Parliamentary Assembly of Bosnia and Herzegovina in January 2005. These rules make it binding for officials in charge of drafting regulations to conduct an impact assessment of new regulations, to document the coordination and consultations that took place during the preparatory phase and to comply with a series of rules and procedures for drafting new regulations. The Legislative Secretariat of the Government of Republika Srpska adopted similar rules in 2006 in the form of Legislative Drafting Methodology Instructions, while the relevant Brčko District bodies use the Decision on the Legislative Drafting Procedure from 2007. No such rules are in place at the level of the Federation of Bosnia and Herzegovina, which sporadically uses the Unified Rules from the state level. Despite the fact that all of these rules have a lot in common, there are some significant differences. All state level institutions engaged in drafting legislature should apply the Unified Rules, including the Parliamentary Assembly of Bosnia and Herzegovina, while the Legislative Drafting Methodology Instructions in RS are binding only to for ministries and other administration bodies, since they have still to be approved by the Republika Srpska National Assembly. In addition, these three sets of rules differ in terms of the requirements concerning the organisation of the legislative drafting process, the number of staff in the units responsible for drafting legislature, drafting regulation proposals, preparation of revised versions of legislation, etc. However, their substance is the same: they order public institutions to conduct the drafting of legislature based on an analysis of the problem to be resolved and the potential impact of the legislation as well as to include other institutions in the drafting process. The main challenges in terms of their implementation are insufficient capacities for high quality legislative drafting in certain institutions and a lack of time for the consistent application of all of the recommended analytical procedures. Source: The Office of the Public Administration Reform Coordinator: project proposal for the Improvement of Rules and Procedures for Legislative Drafting in BiH Project, implementation was planned for 2009-2010 (18 months) to be funded by the Public Administration Reform Fund.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2. Preparation of a Policy Proposal: SIGMA Step 3 The purpose of this specific step is to define a specific problem that needs to be resolved based on systematically collected and interpreted information that explains the causes and consequences of the public issue. Analytical methods assist in the estimation of the effectiveness and feasibility of possible options to resolve problems with regard to administrative capacities, the availability of resources and the political acceptability of solutions. The final expected result of this step is to make recommendations to the relevant minister informing him/her as to the best option based on the conducted analysis. Policy analysis is not a formula for solving problems, but provides important information to both the decision makers and the public! It is important to emphasise that policy analysis is based on systematically collected information that forms an argumentation base for the definition of public problems and to shape policy proposals. Thus, knowledge and expertise become a relevant basis that can be used to shape political views and specific solutions with regard to public issues. The sources for gathering the necessary information can be very diverse: websites of ministries, agencies, associations, reports from state government bodies, scientific research studies, research institutes (think tanks), NGOs, Internet search engines and daily and weekly media. While collecting information it is important to begin by relying primarily on available and secondary sources and only then to address the specific primary sources in order to gain a complete picture or answers to the questions that remained unanswered from the analysis of secondary sources. At this stage, the ministries, as the proposal carriers, play a key role because they are the initiators of the process for mobilising experts and in charge of coordinating consultations. Specific procedures that should be implemented within the scope of this step are: •

definition of the problem that requires a solution;

•

definition of policy objectives;

•

definition of options;

•

stakeholder analysis;

•

consultations with the key stakeholders;

•

impact assessment of options;

•

recommendation to the Minister on the best option.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.1 Problem Definition The definition of the problem is actually the first and most decisive step, which will direct all other aspects of the policy that is being developed. In fact, the measures and instruments to be used in order to resolve the problem will depend on the manner in which the problem has been defined. It is important to remember that a single phenomenon can be defined as a problem in different ways. For example, the phenomenon of street beggars can be defined as a social problem relating to marginalised social groups, but also as a problem that concerns public order and peace. It is obvious that the measures to be developed and implemented would vary considerably for these two cases. The background to the problem should be taken into account when attempting to define the problem (the method used to solve the problem in the past and other policies and events that have affected it), but also the way in which the problem is perceived in relation to the current political situation. The questions below need to be answered in order to analyse the background to athe problem. • When and how did the problem arise? • What are the causes of the problem? • What is the political, historical, legal, social and economic context of the problem? • In what way did the problem gain public attention? • Does the problem equally affect men and women? • Whom is the problem affecting and how and does it affect men and women, boys and girls differently? • In what way do existing gender inequalities and the social roles of men and women determine or affect the problem and or its causes? • Which policies were implemented in the past while trying to resolve the problem? • What were the results of those policies? In order to analyse the problem within the existing political framework, the questions shown below need answering. • What are the current legal, social and economic contexts and the consequences of this problem? • What is the current scope of the problem, does it vary between men and women and what is the group at risk in terms of gender? • What policy is currently being used in an effort to resolve the problem? • What are the different opinions concerning the problem and the approach currently being used? • In what way has the current policy been successful or unsuccessful and does its success affect men and women differently? • What is wrong with the existing approach? In the process of defining the problem, one should focus on the causes and not just the symptoms. It is important to specify which areas or social groups the problem affects directly (e.g., the economy, small entrepreneurs or artisans). Identification of such cause and effect relationships is important in order to define possible solutions and reject those that are inappropriate given the nature of the problem. Sources of data that can facilitate problem definition and the identification of cause and effect relationships can be administrative reports, publications, research results and statistical analysis or insights from experts in specific areas. A useful method that can be used to define a problem and identify its deeper causes is known as the “Problem Tree.” This is a visual representation of the hierarchy of the specific problems and describes their cause and effect relationship.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

EFFECTS

RELATED PROBLEMS

KEY PROBLEM

IMMEDIATE CAUSES

DEEPER CAUSES

Problem analysis is used to identify the negative aspects of the current state of affairs and to determine causes and effects in relation to the identified problems. In addition, problem analysis tools can define the negative aspects from a gender perspective. In that context, it would be advisable to conduct a comparative analysis of the problems with regard to the differences in social roles and needs and the vulnerabilities of men and women within a specific problem area. It is also important to bear in mind that the female voice must be heard in the analysis of key issues, since the needs and perspective of women are traditionally less represented in political decision-making3. When analysing and defining a problem, special attention should be paid to the attitudes of the key stakeholders and their perception of the cause and effect of the problem. Consulting key stakeholders at an early stage in the policy development process will contribute significantly to the quality of policy proposals; it will provide for better acceptance of these proposals by stakeholders during the implementation stage, because they will have a sense that the manner in which the policy was developed meets their interests. Inclusion of a wide circle of interested parties would also provide for a wide range of different perspectives regarding the problem and its consequences. Development of a Problem Tree is an analytical group activity where a particular phenomenon or problem is broken down into a series of specific and related problems. The key problem is defined together with the other problems through discussion and consensus; the latter are placed at the bottom of the tree along with the causes whereas the effects are placed in the upper part of the tree. This method of problem analysis provides an excellent opportunity for involvement and dialogue amongst experts with different profiles, from different institutions and organisations, whose perspectives and experience complement each other, while the problem analysis itself gains additional quality. At the very beginning of the debate, it is important to ensure that all of those that are involved feel free to state the problems that they consider relevant based on their existing analyses and experience (so-called â&#x20AC;&#x153;brainstormingâ&#x20AC;?). The problems are then grouped and placed within a Problem Tree, based on a joint analysis. The questions below need to be addressed in order to ensure that the problem analysis takes into account the gender perspective. 3

Toolkit in mainstreaming gender equality in EC development cooperation, str. 83, http://europa.eu.int/comm/europeaid/projects/gender/toolkit/index.htm accessed on 9/12/2005

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH • •

•

Which group is at risk? Is the data that is used in the situational analysis listed according to gender? (Determine if there are any specifics related to gender differences and the social roles of men and women that would be relevant in terms of a definition of the key problem. For example, who are the perpetrators of traffic accidents and is there any connection between the traffic culture and the driving styles of men and women and the perpetrators of traffic accidents?) Did the consultations organised with the key potential stakeholders include both women and men?4

During the policy development process, different problems can be defined in this way along with the practical and strategic needs specific to men and women. The completed Problem Tree provides a comprehensive picture of the current negative state of affairs and allows policy makers to focus on the cause of the problem (the root of the problem). The measures to address the problem should be designed in order to eliminate the cause of the problem as opposed to the effect and provide positive change in a systematic manner. In other words, if you reduce the root causes then its negative consequences will disappear. The below graph provides an example of a Problem Tree in relation to the problem of inadequate road safety broken down in the previously explained manner.

EFFECTS Lack of public trust towards the Government

EFFECTS Poor rating in EU traffic safety analyses

RELATED PROBLEM Traffic accidents a major couse and cost of injuries at work

EFFECTS Poor rating of a country as a tourist destination

RELATED PROBLEM High death rate and sever injuries

RELATED PROBLEM Young drivers - the most common accident perpetrators

KEY PROBLEM Frequent traffic accidents

IMMEDIATE CAUSES

Inattention of drivers

Poor vehicle quality

Poor road quality

DEEPER CAUSES

Poor self-discipline and inefficient sanctions

Old and poorly maintained vehicles

DEEPER CAUSES Poor road maintenance Lack of investment into road infrastructure

To achieve the desired positive changes we need to create measures that will seek to eliminate the root causes. Such a detailed analysis of the problem enables us to determine priorities and political action, because the problem is defined precisely with clear cause and effect and this makes the next step, the definition of clear public policy objectives, far easier.

Toolkit in mainstreaming gender equality in EC development cooperation, str. 48, http://europa.eu.int/comm/europeaid/projects/gender/toolkit/index.htm accessed on 9/12/2005 6:09:53 PM

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.2 Defining Policy Objectives Clarity of policy objectives greatly increases the likelihood of successful policy implementation. Without a clear understanding of what the public policy seeks to achieve it is difficult to identify possible directions for future activities. It is even more difficult to determine the most suitable option for policy development. In other words, â&#x20AC;&#x153;If you do not know where to go, it is unlikely that you will get there.â&#x20AC;? More specifically, vaguely defined objectives are open to the possibility of their being interpreted in different ways. In the implementation phase of the policy this can lead to the uneven application of the same instrument and different results, which are, essentially, different from those planned. In addition, clear and explicit definition of objectives allows policy makers to develop reasonable arguments for and against a particular option. It also facilitates the tasks that need to be conducted during the implementation stage, the monitoring of undertaken activities and ultimately the evaluation of public policy. Objectives should relate directly to the problem defined and its causes and should be classified in a hierarchical order. In addition, these objectives must be linked together in a logical order, namely operational objectives must contribute to the achievement of specific targets, while a specific objective should contribute to the achievement of the main goal, which is set as a vision and the long-term expected positive change related to the recognised negative state of affairs. The Problem Tree approach is particularly useful as a basis for defining policy objectives. Specifically, the policy objectives should be formulated as a solution to the problems identified within the Problem Tree. Thus, an Objectives Tree can be created quickly and accurately, as a positive mirror image of the Problem Tree. It is particularly important to specify objectives or solutions that address the causes of the problem so that the government intervention can actually result in systemic change. The below example is of an Objectives Tree based on a Problem Tree that refers to insufficient road traffic safety. The objectives that the government intervention will focus on are marked in red, since they offer solutions to the recognised causes of the problem. . Reducing the number of traffic related deaths and injuries

Reducing the number of traffic accidents

Increasing caution among drivers

Education of drivers

Revising sanctions

Capacitating traffic police forces

Improving the quality of vehicles

Purchasing of new vehicles

Regular vehicle maintenance

Programme of financial subsidies for purchasing and regular vehicle maintenance

Improving road quality

Improved road maintenance

Capital Investment Strategy with regard to the road infrastructure

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Goals should satisfy the so-called SMART criteria, meaning that they have to comply with the descriptions below. Specific: objectives should be precise and specific enough so as to avoid being subject to conflicting interpretation. Measurable: objectives should define the desired future state of affairs in a measurable form so that later it can be ascertained whether or not the objectives have been achieved. Accepted: if the objectives have an impact on behaviour then they must be acceptable, understandable and interpreted similarly by those expected to take over the responsibility for their achievement. Realistic: objectives should be ambitious but also set realistically, so that those responsible can accept them as relevant. Time-dependant: objectives remain entirely intangible if their achievement is not tied to a specific date or for a specified period. When defining policy objectives, the below questions should be answered. •

What positive change with regard to the recognised problem in a target area is to be accomplished or achieved through this new or changed policy?

•

In what way do the dynamics of the social relations between men and women affect the problem that you are trying to resolve and what positive effect is expected with regard to the special needs of men and women and gender equality?

•

What specific results are expected immediately upon the concrete implementation of the policy?

•

What are the results to be achieved in the mid-term period, after 1-3 years of implementation?

•

Why is the introduction of a new policy or changes made to the existing policy an acceptable way to address the recognised problem?

The definition of specific policy objectives leads to the development of possible options i.e., specific measures for their achievement, which will cumulatively lead to the execution of the main/general policy objective. The previously mentioned possibility to combine different types of instruments with regard to a degree of coercion as well as the results of the analysis into the means used in past attempts to influence the same problem and their effects should be taken into account. The analysis should pay special attention to those measures proven successful with regard to their possible replication as well as to those that have proven to be unsuccessful, in order to avoid making the same mistakes that were made previously.

Lack of agreement to establish an agency

Lack of national energy strategy

Lack of Regulations

FBiH and consumers have no protection against market disturbances

Dominant role played by oil and petroleum products suppliers

Oil is not treated as a strategic raw material

Lack of stocks

State has no influence over price formation

Prices of oil and petroleum products do not corespond to world trends

Lack of coorination between Entities and institutions

The Ministry does not have reliable inputs available

Uncertain supply in extraordinary situations

Lack of compliance with the EU Directives

PROBLEM TREE

Capacitating of the oil terminals of the Federation

Equipment

Education

Establishing of an Oil Stocks Management Agency

Provision of funds needed to establish oil and petroleum product stocks

Revsion of sanctions

Phisical equipping of existing capacities

Ensuring stocks

Adoption of legislation in compliance with the EU Directives

Increased supply security in the Federation of BiH

OBJECTIVES TREE

Adoption of the Capital Investment Strategy

Political approval

Establishing of an Oil Regulatory Body

Problem Analysis and the Definition of Goals within the SPPD Project (FMERI Example) During this project, the Ministry of Energy, Mining and Industry of the Federation of BiH (FMERI) developed an analytical base for improving the regulatory framework in the area of oil and petroleum products in order to provide greater security of supply for these energy sources and encourage healthy competition in the interests of the end users (the economy and citizens). It is necessary to take into account the obligations of EU accession and harmonisation with the Acquis. A problem analysis and definition of the goals was conducted by a working group that successfully applied the Problem Tree method and converted it into a Goal Tree for oil and petroleum products management policy, with respect to the key problem: a lack of consumer protection in the FBiH against disturbances to the energy supply.

POLICY DEVELOPMENT MANUAL

FOR CIVIL SERVANTS IN BiH

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.3 Defining Policy Options When identifying different options, it is important to remember that there are several basic approaches that can be considered in order to achieve the objectives. Examples of these basic approaches can be found in the different regulations e.g., regulations that deal with the matter in one way or another and therefore offer certain solutions. There is also a self-regulating option or solution offered by the market (usually this is a natural process of strengthening competition which leads to the lowering of prices and an improvement in quality). This is actually an issue that concerns state level intervention and the possible compulsory nature of an instrument used for policy implementation. Therefore, the question always arises: Whether to regulate or not? Typology of Policy Implementation Tools low

Voluntary instruments

State level intervention

Mixed instruments

high

Compulsory instruments

Family and community Voluntary organisations Market Informing and assuring Subventions Selling property rights (i.e., concessions) Taxes and user fees Regulation Public enterprises Public services Source: Howlett and Ramesh, 1995, p. 82.

By asking the above question, we avoid instant acceptance of new regulation as the only possible option. Why should we not consider an alternative option, such as self-regulation or a public campaign? Perhaps these options could offer a better and more efficient solution or a solution that is financially profitable. With regard to regulation, simplifying the existing regulation (e.g., the HITROREZ Project in Croatia) in many cases has proven a good solution to the problem: less is more. Finally, we are also bound to consider the zero option in the event that no action is taken whatsoever: to project future trends based on currently available data. Specifically, the zero option enables an analysis of the current state of affairs and the prediction of future trends if no change occurs. On the other hand, it allows for a comparison with other options proposed in order to estimate the positive and negative effects of options for the purpose of policy development. How to Determine what Options to Use Once the appropriate measures are designed in a draft form then the analysis of options can start i.e., we should try to see to what extent each of the measures is feasible, how effective it would be and what the cost-benefit ratio is for each of the specific options. An analyst discusses how different components of a policy fit each other and contribute to solving the problem, with simultaneous assessment of how government intervention may affect the target population. The purpose of options definition is to consider different mechanisms for achieving the objectives and choose the most appropriate one based on predetermined criteria. The most appropriate way to summarise options is by using a list of options that will allow us to detect realistic and viable options more easily. It is important at this stage to keep a broad perspective with regard to the problem: even when an option appears to be the most appropriate way to solve the problem it does not mean that we should give up all other options. At this stage, it is also important to group the options into approaches that differ significantly when it comes to the intervention logic and the combination of instruments. The main elements that the description of an option should include are as follows: â&#x20AC;˘ description of the solutions to the problem (includng principles, objectives, instruments and the organisational structure); â&#x20AC;˘ why is it relevant;

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH • •

expected results in terms of policy goals; under what conditions it is viable.

There is a whole variety of sources that can be used to define options, but those that should to be taken into consideration are the following: • solutions that have been used in other countries that are based on a comparative analysis of specific policies proven to be successful; • solutions that were used in the past, with the emphasis on challenges recognised and lessons learned in terms of the feasibility and success of previous solutions; • solutions that are being successfully used in other policies, especially related to institutional monitoring and implementation mechanisms; • suggestions by experts and NGOs interested in specific policies; • pilot projects implemented by government institutions or their partners that received a positive evaluation of their results. The comparative analysis of policies is an indispensible method since it enables policy transfers, which is particularly evident within the European integration process. The transfer of policies is a process where understanding of policies, implemented administrative procedures and the modes of functioning of institutions within a spatial and temporal context is used for developing policies and systems of governance in another place (different country, region, city, etc). There is a broad spectrum of policy solutions that can be transferred. These include decisions on the operations of institutions, policy objectives and measures, ideology and even lessons learned through wrong decisions. There is a difference between a voluntary policy transfer process and an imposed one. Voluntary transfer means that an institution working on a policy looks for solutions through the adaptation of successful policies from other countries, done within in the context of a given country. Forced or imposed transfer occur when political stakeholders in a particular country or international organisation affect policy making in another country by, for example, making the provision of international assistance or the approval of loan funds conditional to the adoption of a predefined policy. Therefore, along with the zero option, two or three additional realistic and feasible options should be selected for further analysis; this is in order to obtain, through a filtering process, those that will be able to meet the criteria. Filtering, or the options funnelling process, enables us to separate good feasible solutions from unrealistic and poor options using the filters of efficiency, effectiveness and consistency. • Efficiency: to what degree can it be expected that the option will achieve the set objectives? • Effectiveness: to what degree can it be expected to achieve the set objectives through use of a certain level of resources? • Consistency: to what degree can it be expected that the option would limit possible trade-offs in the social area and the areas of economy and environment? When defining options one should define at least three options that differ significantly in terms of their content, while each of these options has to meet the basic relevance and feasibility criteria. If not, the options definition is just declarative and it does not provide a true selection of the best possible options. In this regard, a combination of the status quo, preferred and unreasonable options is unacceptable. Therefore, in addition to the compulsory option that advocates for the maintenance of the existing method of problem solving (status quo option), it is advisable to propose two further options. This should include one option that presupposes gradual change in terms of the manner of solving problems (incremental option) and a second option that requires a change in the way that problems are currently dealt with (radical option). Within each of these options, several problem-solving modalities can be developed, namely sub-options. An additional benefit of considering alternative options is that it encourages creativity and thinking “outside of the box”, outside of the context of the actual problem. At the same time the identification and rapid assessment of a wide range of options also contributes towards transparency, since this is one of the ways to inform both policy makers and stakeholders as to why certain options have been abandoned at an early stage. This helps to justify the final choice of option. We have used road traffic safety policy as a concrete example because several options for action (measures) can be devised for each of the operational objectives and could contribute to their fulfilment. In policy development an optimal combination of measures should be selected according to their effectiveness but also their feasibility, considering the funds needed.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Policy objectives

1. Increase the attention of drivers

2. Improvement of the quality of vehicles participating in traffic

3. Improvement of the quality of roads

Possible measures (options for solving the problem) a.Capacity development of the traffic police for the purpose of stronger monitoring b.Revision of sanctions c.Decrease or abolishment of the permitted blood alcohol level d.Education of and informing drivers about the specific behaviour of certain social groups in traffic (younger men in particular) a.Facilitating the purchase of new vehicles through more favourable credit lines b.Encouraging regular vehicle maintenance by authorised services c.Imposition of stricter requirements to pass the technical vehicle inspection a.Adoption of a capital investment strategy pertaining to road construction b.Increase the percentage of the amount allocated from fuel prices to be used for the maintenance of roads c.Road maintenance quality control d.Use of high quality materials for road route maintenance

Example of the Comparative Policy Analysis within the SPPD Project 5

In cooperation with the Federal Ministry of Labour and Social Policy, activities were undertaken pertaining to the implementation analysis of the Law on Employment Mediation and the Social Security of the Unemployed. Discussion and problem analysis have shown that there are three complex and separate problems that need to be addressed, namely the amount of unemployment benefit, its duration and the method used for the provision of health insurance for the unemployed. Thus, the decision was made to conduct a comparative analysis of the legislation that could be relevant in terms of devising solutions to these problems in BiH and to obtain the following: • gain an insight into the approaches used in other countries in order to resolve this problem; • obtain knowledge on the mechanisms used to implement these solutions; • get to know what institutions are responsible for the implementation of the law; • to gain an insight into the level of compliance of the legislation that deals with these issues within European standards and directives. The comparative analysis process involved seeking answers to the below questions. 1. What is the amount and the length of time that the unemployed receive unemployment benefit in other countries? 2. How are employment services and bureaus organised in other countries? 3. How is health insurance for the unemployed dealt with in other countries? The criteria used to select countries for comparative analysis were a similar legal and economic context of the country and the existence of a common social state ideology. It was decided that the comparative analysis should include countries from the region (Serbia, Montenegro and Croatia) as well as several EU member countries (Germany, Belgium, Spain, France and Denmark). Knowledge acquired through the comparative analysis related to the relocation of the health insurance administration and indicated that it would be good to combine some of the solutions used in the legislation of the Republic of Croatia and in Serbia and to apply them when drafting the new law in the Federation of Bosnia and Herzegovina. Findings from this comparative analysis served the working group in defining and analysing three options: • status quo option; • radical change that would mean the complete relocation of the health insurance administration by transferring it to the Health Insurance Funds and to use the experiences from Croatia; • interim solution that would mean that the unemployment bureaus would cover health insurance for the beneficiaries of unemployment benefit, while all other unemployed persons would be insured through the health insurance funds. Such an interim solution, in fact, presents a combination of solutions applied in Croatia and Serbia. 5

http://fmrsp.gov.ba (accessed on 12 January 2010)

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH The comparative analysis of the amount and the period of time that the unemployed were in receipt of unemployment benefit was used to analyse the solutions used in Montenegro and compare them with the ones applied in Croatia. Federation of Bosnia and Herzegovina Law on Employment Mediation and Social Security for the Unemployed

Montenegro

Croatia

Employment Law

Draft Law on Employment Mediation and Rights during a Period of Unemployment under the final draft law

Compensation amount

Article 30 The amount of benefit is defined as 40% of the average net wage paid in the Federation for the last three months prior to the time when the unemployed person lost his/her job, as published by the Federal Statistical Bureau.

Article 53 The amount of benefit is defined as 60% of the lowest wage (labour price). This amount is used as the basis to calculate contributions from health, pension and disability insurance in accordance with the Law.

Article 41 The basis used to calculate the amount of unemployment benefit is the average salary calculated minus the compulsory insurance amounts over a three-month period prior to the loss of job or service. Article 42 The amount of benefit for the first 90 days of use is 70% and 50% of the base calculation in accordance with the provisions of Article 41 of this Law for the remaining period.

Duration of the entitlement to receive unemployment benefit

Article 30 The benefit described in paragraph 1 is to be paid to the unemployed person for: • 3 months if the person was working from 8 months to 5 years; • 6 months if the person was working from 5 to 10 years; • 9 months if the person was working from 10 to 15 years; • 12 months if the person was working from 15 to 25 years; • 15 months if the person was working from 25 to 30 years; • 18 months if the person was working from 30 to 35 years; • 24 months if the person was working for more than 35 years.

Article 54 The benefit is to be paid to an unemployed person for: • 3 month for the insurance period of 9 months in a row or 12 months total for the period of the last 18 months; • 4 months for the insurance period of 2 years in a row or 4 years total in the period of the last 5 years; • 6 month for the insurance period of 5 to 10 years in a row; • 8 month for the insurance period of 10 to 15 years in a row; • 10 month for the insurance period of 15 to 20 years in a row; • 12 month for the insurance period of 20 to 25 years in a row.

Article 44 The benefit is to be paid to an unemployed person for: • 90 days if the person was working from 9 months to two years; • 120 days if the person was working for more than 2 years; • 150 days if the person was working for more than 3 years; • 180 days if the person was working for more than 4 years; • 210 days if the person was working for more than 5 years; • 240 days if the person was working for more than 6 years; • 270 days if the person was working for more than 6 years; • 300 days if the person was working for more than 8 years; • 330 days if the person was working for more than 9 years; • 360 days if the person was working for more than 10 years; • 390 days if the person was working for more than 15 years; • 420 days if the person was working for more than 20 years; • 450 days if the person was working for more than 25 years.

Findings of this comparative analysis served to define the options6 listed below. 1. Benefit to an amount defined as 60% of the average net wage was paid out to the unemployed in the last three months with no definition of a minimum or maximum benefit amount. 2. Benefit to an amount defined as 60% of the average net wage was paid out to the unemployed in the last three months with a defined minimum and maximum benefit amount. 3. Duration of the entitlement to receive the financial benefit for up to 12 months was taken over from the Montenegrin legislation and in addition those unemployed person who have worked for more than 32 years are entitled to benefit until s/he is reemployed (as regulated under the Croatian legislation) or until the person becomes entitled to a pension. 4. Duration of the entitlement to receive the financial benefit of up to 12 months and in addition those unemployed person who have worked for more than 32 years are entitled to benefit for a period of three years. 6

When deliberating on the option definitions based on the comparative analysis presented one has to take into account the fact that the Federal Ministry of Labour and Social Policy was compelled to comply with the World Bank recommendations on the amount and duration of the entitlement to unemployment benefit and therefore the defining of these options was limited. This is an exact example of a forced policy transfer.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.4 Stakeholder Analysis Policy stakeholders are persons, groups, organisations or institutions having interest in or are affected by a certain policy. We differentiate between the formal stakeholders, that are involved in this process due to their constitutional and legal mandate and thus are both entitled and obligated to participate, and the informal stakeholders involved without a direct legal mandate or obligation to participate, but that do so based on basic participation rights within a democracy. Thus, the formal stakeholders are usually government institutions or state and local administrative bodies, while the informal ones are the media, nongovernmental organisations and other interest groups (labour unions, employers, and similar). The stakeholder analysis is an indispensible step in policy development that serves as a basis for the collection of information and proposals via consultations that accompany the policy development process, in particular the policy impact assessment.

Formal and Informal Stakeholders

Oversight: judiciary, regulatory agencies

Government agencies

Policymakers: legislative and executive branches of government

Direct policy implementers: public administration

Other government levels (not directly involved in decision-making)

International stakeholders (EU, WB, UNDP)

Non-governmental stakeholders: interest groups, experts, associations

Media and the public at large

It is important to remember that the relationships between stakeholders are dynamic and interchangeable and that in different phases of the policy development and implementation cycle, depending on the alliances established or due to the influence of public opinion, some of the stakeholders may be 'migrating' from one quadrant to another. Thus, a stakeholder that at the beginning was identified as one of low level interest and power can easily become the one with the high level of interest with medium level power (for example, due to frequent presence in the media) and thus the approach towards such a stakeholder should be adjusted to the new circumstances. Informal stakeholders have a significant influence in terms of public opinion that in turn influences the establishment and action of interest groups, dependant upon the level of attention that citizens pay to certain policy decision-making processes. Interest groups are important actors in the political process, policy development and management, because, in all of the sectors they lobby either for or against policies and have developed relationships with the media, which they use to sell their viewpoint to the public. In addition, interest groups that are more powerful also have direct contact with policy makers and that facilitates their impact in terms of the content of certain policies.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Each topic and each sector influences the lives of men and women and therefore it is important to include gender equality experts, representatives of organisations that advocate for the abolition of discrimination against women as well as those institutions responsible for gender equality status monitoring in the stakeholder analysis. Their participation in the policy development process is possible throughout all of the SIGMA policy development steps. In terms of the number of the stakeholders involved, the process of policy development and implementation can be perceived as a hourglass, as shown in the illustration below.

)

1. Deciding on the agenda: LARGE NUMBER of stakeholders

2. Policy development: number of stakeholders is decreasing, while the IMPORTANCE OF EXPERTS is increasing

3. Legitimising: formal stakeholders primarily, but also the MEDIA

4. Implementation: actors defined in the administration but also partners from civil society

5. Evaluation: the number of stakeholders is increasing PUBLIC AND POLITICAL DEBATE

At the stage when the problem is being introduced to the political agenda the number of stakeholders involved is high, taking into consideration that in addition to the government this political agenda can be influenced by the media, interest groups, opposition parties and non-governmental organisations. Once the problem becomes a part of the political agenda and for the purpose of the efficiency of the options definition process the number of stakeholders involved decreases. The key role is then given to the experts in specific sectoral policies, usually from the sponsoring ministry and sometimes with the assistance of external experts. It is important at this stage to involve the representatives of other ministries whose operations and jurisdiction might be affected by the new policy. Their early involvement, at the stage of options definition, would provide for an efficient process of aligning the viewpoints and coherency to

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH other policies. Thus, this would avoid frequent amendments to regulations upon the start of implementation of a new policy or regulation due to a lack of compliance between uncoordinated legal provisions. At this stage, it would also be advisable to involve the representatives of non-governmental organisations, since they often have access to the most up-todate information from the field that might be of use when assessing how a certain proposed tool might impact upon the target group. The number of stakeholders involved should be at its lowest during the policy legitimising stage. In practice it is reduced to formal stakeholders: government, parliament and the media as agents for the transfer of information on new policy to the public at large. Therefore, one should have in mind that only a high quality consultation process conducted in the early stages would result in an increased chance for the policy being accepted by its future users and implementers alike. Consequently, this is reflected in the implementation as well, meaning the support and resistance that they will offer during the implementation. The number of stakeholders will rise during the implementation phase, because it is necessary for both state and local administrations to be involved and quite often the partner nongovernmental organisations that may have been entrusted with implementing part of the policy actions. During the implementation stage, it is important, within the policy implementation monitoring process, to maintain open channels of communication with the public administration and partner non-governmental organisations in order for the line ministry to be able to receive information on possible unexpected obstacles with regard to the new policy implementation. This opens the possibility to modify the measure in order to make it more efficient in terms of reaching the policy goals. Finally, during the last phase of the policy development and implementation cycle – policy impact assessment - the number of stakeholders increases again. This allows the impact to be measured by all social groups, starting from public interest groups, experts, the media, non-governmental organisations and opposition parties all the way through to individual citizens: who are the policy users. The stakeholder analysis should automatically take into account the perceptions, interests and the ability of different stakeholders to influence policy making, its implementation and the policy impact as well as the way it will be perceived by the public. The purpose of the stakeholder analysis is as follows: • to discover in time which individuals, groups, communities and institutions could be affected by or could influence the policy (whether in a positive or negative way); • to foresee the type and power of influence (either positive or negative) of individual stakeholders on the policy; • to develop the strategy in time so as to gain the most efficient level of support for the future policy or to lessen potential obstacles to its implementation.

Step 1: Identification of Stakeholders The work with regard to the stakeholder analysis starts with the identification of all formal and informal stakeholders that have, up until then, been involved and interested in the issue and the policy as well as those that are directly or indirectly relevant in terms of the implementation of the measures defined by the new policy or regulation. In other words, first we have to make a list of the following: • stakeholders essential for the realisation of the objectives; • stakeholders that will be directly affected by the objectives; • stakeholders that are likely to have a negative attitude towards the objectives; • stakeholders that can influence the shape of political and public opinion on the policy objectives and content; • stakeholders that can offer information on gender related issues. These are the primary stakeholders with a high level of power and influence over the policy itself as well as a high level of interest in terms of its implementation. This list should be used to select those who should definitely be involved via working groups and others that should be consulted via interviews, roundtables, surveys or other means. Since the ministries are essential in terms of achieving the objectives and, at the same time, exercise a huge influence when it comes to shaping public opinion on policy objectives and their content they are an indispensible stakeholder in each policy making process. After these, the stakeholders that would be most affected by this policy should be listed, regardless of the level of their influence, and thus taken into consideration during the policy making.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Step 2: The Initial Stakeholder Analysis A useful method, when it comes to the initial policy stakeholder analysis could be their classification into “quadrants” dependant on their level of interest and power. This can be done in the ways outlined below. • Stakeholders with a high level of power and interest should be fully involved in all of the stages of policy making and maximum effort should be given in order to meet their needs and or requests. • Stakeholders with a high level of power yet a low level of interest should be paid sufficient attention in order to assure them, but not to the extent that they find the key message too tiring. • It is important to keep the stakeholders with a low level of power but a high level of interest informed in the proper manner and to communicate with them in order to prevent major problems from occurring. These stakeholders can often be of great assistance when it comes to specific details concerning certain policy matters. • Stakeholders with a low level of power and interest should be monitored, but not burdened by excessive communication.

Key stakeholders selection matrix High

Taking them into consideration - secondary

Key stakeholders - primary

POWER OF STEAKHOLDERS Not to focus our attention on these

We have to take their needs into consideration - secondary

Low Low

STEAKHOLDERS INTEREST

High

When conducting the analysis of formal stakeholders, it is important to remember that in the early stages of policy development each ministry that the policy may concern is a stakeholder in itself. At that stage, the government (as a single stakeholder) is still not part of that list, since different ministries within the same government may have completely different interests in relation to the same policy. Thus, for example, the Ministry of Agriculture or the Ministry of Economy and the Ministry of Health would have opposing interests when it came to policy on the limititation of the use of tobacco products. The first ministry provides subsidies for growing tobacco, the second is concerned for producers as employers and income generators and the third is concerned with the consequences of the use of tobacco products. Only after they align their standpoints can the government act as a single stakeholder towards other policy stakeholders.

Step 3: In-depth Stakeholder Analysis After the initial stakeholder analysis has been completed, it would be useful to develop an in-depth analysis of those stakeholders identified as primary and secondary. This analysis, for each stakeholder, would elaborate further on the following: • level of interest and power; • assessment of stakeholder attitudes towards the policy, providing a justification for a positive attitude requirement; • proposal of the policy option that is probably acceptable to those stakeholders i.e., the way in which the government can gain the support of the stakeholders. However, there will be some stakeholders that will find none of the various options satisfactory in terms of changing their negative attitude towards the policy, such as value discrepancies. In such an event, it would be useful to develop counter arguments against the arguments that we presume they might use. These counter arguments could potentially play an important role in the process of legitimising a policy. A detailed stakeholder analysis form is provided in annex to this manual.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.5 Consultations with the Key Stakeholders When we speak about public participation, in terms of the development and implementation of policies, it is good to keep in mind that participation has different functions and that each of them makes a specific promise to the public as different participation modes are applied to each of these functions. Public Participation Continuum in the Policy Decision-making Process Function: INFORMING

Function: CONSULTING

Function: INVOLVING

Function: COOPERATION

Function: TRANSFER OF POWER

The goal of public participation: To provide balanced and objective information in order to facilitate an understanding of the problem, the alternatives and or solutions

The goal of public participation: To gain feedback from the public regarding the conducted analysis, alternative solutions and or decisions offered

The goal of public participation: To work with the public directly during the entire process in order for its concerns and interests to be taken into account at all times

The goal of public participation: To establish partnerships with the public for each aspect of decisionmaking, including the development of alternative solutions and the identification of preferred options

The goal of public participation: To allow the public to make the final decision

Promises made to the public: You will be informed

Promises made to the public: You will be informed, your concerns will be heard and you will be provided with feedback on the way your contribution affected our decision

Promises made to the public: We will take your concerns, proposals and questions into account and you will be provided with feedback on the way your contribution affected our decision

Promises made to the public: We will include your recommendations in the final decision to the highest possible degree

Promises made to the public: We will implement what you decide

The most common methods: Media campaigns and emissions, informative material available via the Internet, forums, roundtables and presentations

The most common methods: Expert and public debates (roundtables), a series of meetings, workshops, focus groups, surveys and online symposiums (forums)

The most common methods: Policy development working groups, the targeted collection of written responses

The most common methods: Working groups, institutional bodies (parliamentary committees and economic and social councils) and referendums

The Purpose and Benefits of Consultations with Stakeholders The main purpose of consultations with and the involvement of stakeholders are to collect information on their interests, viewpoints, proposals and concerns with regard to a certain policy. This is in order to raise the level of understanding and acceptance of the policy objectives as well as to identify any previously unrecognised weaknesses that might remain and any negative effects that need to be eliminated on time within a policy option. Thus, consultations provide the following benefit to decision makers: • fulfilment of the legal obligations; • collection of data, ideas and opinions in order to be able to conduct an impact assessment; • transparency; • policy-making (adoption) efficiency; • policy legitimacy and support; • control over information and messages in the media; • development of a democratic culture;

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH • •

prevention of public criticism with regard to exclusion; provision of adequate and timely information to other government levels and non-governmental stakeholders concerning the obligations that a new government policy or regulation will impose, thus enhancing the chances of its successful implementation.

Consultations should accompany all of the policy development and implementation steps; however, the number of stakeholders involved will depend on the stage in the process. The Prerequisites for a Successful Consultation Process • • •

•

Completed stakeholder analysis: resulting in the selection of key stakeholders, an assessment of their expected major interests, viewpoints and level of influence over the policy making process and recognised opportunities for action in order to increase their support and decrease possible resistance to policy. Defined consultation objectives: with regard to the opportunity to increase the level of support from certain stakeholders and the need to gather information for the implementation of certain analytical procedures. The consultation process is transparent and based on the principle of cooperation. This principle involves the mutual and timely provision of information on documents and decisions that are being made and the transparent involvement of stakeholders. The latter is based on their expertise and the contribution that they can make in relation to the topic as well as their actual readiness for change and amendment to the policy or regulation in accordance with the proposals given by the stakeholders that were consulted. The Selected Methods are to be based on the efficiency principle (corresponding to deadlines and the available human and financial resources for the purpose of the consultation) and their suitability in relation to the target group (communication style, information level, time concerns and the geographical availability of stakeholders). The consulted stakeholders received feedback on the results of the consultations and the degree to which their proposals were taken into account during the final policy formulation.

Consultation Process Planning Timely planning at an early stage is the key element for a successful consultation process. Therefore, it is necessary to have a consultation plan aligned with the priorities and available capacities and resources. In other words, consultations should not be a waste of time, inefficient and more expensive than the expected results. The consultation plan should refer to the entire policy making process and should include the objectives, relevant target groups, consultation tools, the timeframe for the consultations and documents. Consultations can be directed towards the public in general or limited to a target group of stakeholders and or several individuals or organisations. In any event, the consultations should involve all of the target groups and sectors that will be affected by policy implementation. In order to ensure successful consultations we should have a clearly identified goal: what do we want to achieve through the consultations. Structured and targeted consultations (questionnaires with concrete questions) should provide information that is easy to use, while the unstructured and general consultations (asking stakeholders to comment on the proposed regulation) should generate data that provides a general insight into the attitude of a group towards a proposed policy. The form, duration and mode of the consultations will differ dependant upon whether we are searching for new ideas, collecting missing data or examining and checking the initial hypothesis. The selection of communications tools or consultative methods will depend on who needs to be consulted, when and in which phase of the process and by use of which means. One should, of course, take into account the communications skills and availability of a target group in terms of time as well as the availability of resources (experts and logistical support, time and financial resources) for the preparation and implementation of the consultations. One example is the organisation of consultations with representatives of the business sector. This requires an assessment of whether the response will be better using a two-hour symposium or roundtable, through the delivery of a short questionnaire or if it would be more efficient to distribute printed questionnaires via the chamber of commerce covering a larger number of companies with a defined deadline for its return. In practice, depending on the significance of a certain stakeholder and the purpose of the consultation, several

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH consultative methods can be targeted at the same target group in combination. For example, a symposium with participation in person is especially useful if one wishes to discuss or check the acceptability of the options offered, whereas written surveys are useful when it comes to the collection of information within the problem analysis process or an assessment of the capacities for policy implementation. Some of the common consulting methods are listed below. •

Presentations are a structured way of informing target groups with time planned for questions and explanations. This is useful in the early stages for the adequate informing of the key stakeholders with regard to the policy as well as during the policy promotion.

•

Expert and public debates (roundtables and forums) are especially useful as an opportunity for different stakeholders to offer their analytical contribution and for a transparent debate on several options and their effects, including checking the acceptability of solutions. The organisation of such consultations can be entrusted to a non-governmental stakeholder (research institute, non-governmental organisation), which would contribute to the reputation of government institutions as open and willing to engage in a substantial dialogue.

•

Media debates are televisionTV and radio emissions that provide information on a certain policy for the public at large as well as through expert debates and contact with citizens (e.g., on-the-air direct questions). These methods are partuicularly useful at the stage when the problem and policy objectives are being defined and in at a later stage involving a public debate on policy proposals.

•

Series of meetings with target institutions and organisations (meetings should be announced sufficiently in advance) on relevant topics need to be specified along with the expected result. These meetings are useful when it comes to providing for a smaller more confidential forum that enables discussion on sensitive, open issues and gaining support; they are often inevitable as a preparation for the engagement of stakeholders within a working group or consultations organised through expert debate.

•

Focus groups are a series of moderated, structured group interviews with a homogenous group of respondents (persons with similar features) led by a skilled person using an interview guide defined in advance. These groups are especially useful as an additional method in order to deepen the understanding of the key findings from a survey conducted through a representative sample of an overall target group. If the problem concerned implies significant differences in terms of the impact of the problem and government interventions on women and men then it would be important to organise focus groups for male and female respondents separately (e.g., labour market inclusion policy, domestic violence and healthcare programmes).

•

Workshops, if prepared well, will provide high quality interaction and engagement of participants in analysis and planning, while work organised in smaller groups is extremely beneficial for the in-depth analysis of a certain issue or problem; they have a positive impact in terms of a sense of ownership over the policy-making process among participants and their mutual participation. Equal participation of both genders needs to be provided during these workshops.

•

Working groups for policy analysis and the drafting of regulations are appointed by government institutions and given the task and mandate to draft a policy or regulation. In that regard, they act as the minister's key advisory. For the purpose of quality, efficiency and the legality of a policy, it is useful to include the major non-governmental stakeholders in a working group. This would enable them not only to make proposals but also to co-decide within a policy development process. In order to be efficient, a working group needs to have an expected result and a defined work plan as well as an agenda for each of the meetings and the tasks of individual working group members between the meetings. In addition to the appointed head of the working group, it would be useful to appoint a deputy head (a secretary) of the working group who would be in charge of the preparation of the material and coordination amongst its members, including the timely delivery of information and minutes from all meetings. The equal participation of both genders in the working groups should be ensured.

•

Collection of targeted written responses is a common consultation method within the public administration system where the relevant institutions receive a draft (i.e., regulation draft) with a request for comments and proposals in terms of changes and amendments. In order to ensure a higher level of

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH efficiency it would be useful to define, in an additional letter, the key questions that require an answer. In addition to draft legislation, it is also advisable to use this method at an early stage of the development of a policy or regulation, which will complement the working drafts of the public policy on an analytical basis (problem analysis and impact assessment). â&#x20AC;˘

Surveys require professional preparation and implementation in line with the quantitative opinion polls regularly used by sociologists and psychologists. Surveys can be conducted in person, by phone or via mail. It is especially recommended when there is a need to consult the final users (e.g., male and female drivers) or a target group that is quite numerous (e.g., small entrepreneurs or transportation carriers). It is important to make a realistic forecast of the expected response (which rarely exceeds 30% if the respondents cannot be forced to provide their answers), deadlines and human resources required for additional respondent stimulation (by sending reminders or additional phone calls) and professional assistance for survey development and data processing.

â&#x20AC;˘

Online consultations are of great use, due to their low cost. Yet it is important to announce discussions on the official websites of government institutions for key stakeholders or by using other methods, such as press releases, direct mailing and even phone calls). Online consultations are not very different to the collection of written responses. This means that, in addition to the document that is to be commented upon, one should also prepare additional instructions with key questions, deadline and explanation of the purpose of the discussion as well as the manner in which participants will be informed if and in what way their contribution has been taken into account. Online consultations may also contain online surveys, but one has to take into account the unpredictability and thus the questionable relevance of the sample of respondents that would respond to such a survey.

Consultations should be perceived as recurring activities and thus the initial consultations can be held in order to obtain information on stakeholders' views concerning the nature of the problem. Consultations held during the impact assessment should be used to gauge the reaction and opinions of stakeholders to the possible range of options offered as solutions to a problem. The final consultations can be organised in order to obtain the opinion of stakeholders on the acceptability of the options or on their assessment of the success of a policy during its evaluation. The timing of consultations is to be decided according to each individual case, while the general rule is to start the consultations during the options identification and selection stage at the latest. A clear overview of the issues (problems) and policy objectives should be included in order to increase the contribution and the power to influence the development of policies of the consulted stakeholders. At the same time, if you are in charge of the development of policy proposals, consultations regarding their content are one of the most efficient and least expensive ways to collect the information required to assess the impact of individual options. Finally, it is important to have in mind that the consultations are a two-way process and that the consulted persons/institutions/organisations should be provided with feedback, including a short explanation of why their proposal or information was not used in the final version. An efficient and recommendable method in that regard is to develop and publish a report on the conducted consultations that can be attached to the policy or legislative proposal. This should most definitely be posted on the official website and or directly delivered to all of the consulted stakeholders. Although this manual does not focus on the legitimisation of policy and the implementation stage, we should not forget that without the adequate provision of information to all implementers, contributors and beneficiaries of a certain policy it will lack wide and spontaneous acceptance or its efficient implementation. Therefore, it is important to develop a communications plan that focuses on the provision of information, even the education of target groups, to accompany the adoption and start of implementation of new government programmes, laws or other regulations. Some of the common methods used in this regard include public presentations, Internet announcements, fliers, articles in the media, etc. In order to provide for the most efficient consultation plan possible, attached to this manual are the methods and forms to be used while preparing the consultations

Line cantonal ministries

Public

Correspondence and written End of October responses / comments

Publishing of an explanation Until the Draft (rationale) of the Draft Law Law is finalised on the FMERI website, announcements in daily newspapers, written responses (comments)

Until the working Distributors group activities are complted

To inform the public about the shortcomings within the existing system and the benefits of the proposed solutions; to point out the future transparency that the new Law is introducing and the benefits for citizens

To provide information on the activities, goals and other policy measures and to obtain opinions with regard to certain solutions

To finalise the policy document i.e., to prepare the concise and substantial material needed for presentation and an invitation to provide comments

To finalise policy documents and to prepare a letter

To try to identify, using the consultation process and To finalise policy documents working group activities, the specific interests of this and complete preliminary activities group. To establish constant and close cooperation regarding legislation drafting taking into account and respecting the different roles and mutual interests

Working group

To finalise policy documents and complete preliminary activities regarding legislation drafting

To continuously and closely cooperate while taking into account and respecting the different roles and mutual interests

Transport Operators Association

Until the working group activities are completed

Working group

To finalise the policy document and to prepare a letter

To gain support from the Committee for the To finalise the policy document, to prepare a No development and regulation of this domain in the letter informing the Committee about the policy territory of the Federation by presenting the benefits development process and to announce the Law deriving from this Law for the economy and citizens

To gain support from the institutions/associations that represent a wide category of final users: the category that is, along with businesses, most affected by policies and legislation in this area.

To try to gain strong support from the Chamber as a To finalise the policy document and strong, professional and independent organisation in to prepare a letter to the Chamber terms of the realisation of the primary goals set forth (invitation to a meeting) by this Law: transparency and proper market competition in the petroleum products sales sector

To assess the human and material resources No needed in order to take over the obligations stipulated by the Law (financial impact assessment)

FBiH Parliamentary Energy Committee

Chamber of Commerce

Involvement in drafting legislation in terms of storage stocks of petroleum products

End of October

End of October (proposal); December (Draft Law)

Meeting, Written responses / comments regarding the Draft Law

Federation oil terminals

To gain information on possible funding for the new To conduct a financial impact assessment, institutions/bodies anticipated by the new Law and to finalise the policy document and to draft a to harmonise other solutions from the foreseen Bylaw letter to the FMF with the document attached in order to avoid a drop in terms of the inflow of revenue from the sale of petroleum products

Correspondence

Constantly via the working group

Working group

Federal Ministry of Finance

Preliminary actions

Consumer Rights Ombudsman and the Federation of Consumer Rights Protection associations

Mid-October

Meeting

Objective

Additional resources needed

Correspondence and written End of October responses / comments

Deadline

Activity

Stakeholders involved

Plan implementation team

Team in charge of consultations

FMERI Assistant Minister: leader of the team in charge of drafting of the Law on Petroleum

Person/body in charge

This consultation plan is based on the initial (wider) stakeholder analysis and a detailed analysis of the specific interests of the key stakeholders with regard to this policy. The working group in charge of policy analysis and the Draft Law tasked the team to conduct consultations. This team consisted of three members and it included the Assistant Minister, who has the authority to hold direct consultations with other institutions.

A sample of a plan for stakeholder consultations within the SPPD Project: consultations held during the preparation of the analytical draft (policy document) and the Draft Law on Petroleum and Petroleum Products (derivatives) by the Federal Ministry of Energy, Mining and Industry (FMERI).

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Examples of Consultations Conducted within the SPPD Project Example 1: Ministry of Labour and Veterans of Republika Srpska In order to develop a systematic approach to resolve disagreements regarding the application of the existing Labour Law, the Ministry, in cooperation with the United Nations Development Programme (UNDP), analysed the provisions of the Labour Law i.e., the chapters on discrimination, representation, collective bargaining and collective employment agreements. In order to analyse the problem and inadequacies within the existing regulations the working group in charge of the analysis of the Labour Law conducted initial consultations with the employers association, an umbrella trade union body. They collected their written responses/comments using a letter that had the below structure: •

An explanation of the task on which the Ministry was working and the purpose of the consultations: “The purpose of this project is to obtain a high quality analysis that can serve as a starting point for deciding whether it is necessary to amend the existing Labour Law, in what direction the amendments should take in order to align the labour related legislation of RS with the Acquis Communautaire, or if a completely new law should be made and adopted”.

•

A request to provide an opinion and proposals, including a stipulated deadline and contact person along with the contact details: an e-mail address and telephone number that could be contacted in order to obtain additional clarification. “In order to inform you about these activities and to invite you to contribute to the analysis (that will, of course, be delivered to you as well) we would like to kindly ask you to answer the following questions”.

•

Grouped and targeted questions on each of the chapters of the Labour Law subject to the analysis were directed to the stakeholders to provide concrete answers. At the same time, this enabled them to provide detailed standpoints on the applicability and appropriateness of the existing Law and possible legislative solutions (options). The below questions refer to the chapters that dealt with discrimination and collective bargaining. Discrimination (Article 5 and Articles 107-112 of the Labour Law) 1. Do you think that the mentioned articles of the Law deal with all forms of discimination? If, in your opinion, they do not then please list the forms of discrimination that you think are not covered. 2. Does the existing legal solution providie adequate protection from different forms of discrimination for workers and persons seeking employment? If the answer is no, which additional measures you would propose? 3. Are you aware of cases of discrimination and do you consider the level of sanctions stipulated to be adequate with regard to the type of violation? Collective bargaining 1. Is it necessary to regulate the matter of collective bargaining, including the participants, deadlines, procedures and other relevant issues by law or could these issues possibly be regulated by guidelines adopted by the Republika Srpska Economic and Social Council? 2. When there are several representative trade unions/employers associations is it necessary to provide for the participation of: a. all trade unions? b. only the majority of trade unions? c. only one majority of the representative trade unions?

Please explain your opinion.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Example 2: Republika Srpska Ministry of Transport and Communications The working group of the Ministry used a survey to consult the key stakeholders in order to conduct a situational analysis in the area of the public transportation of passengers in Republika Srpska. Thus the conducted consultations served as a valuable source for problem analysis and therefore for specifying the objectives and measures to be stipulated under the new road traffic safety policy. The survey was delivered to all local self-governance units (LSGUs), the RS Ministry of Interior, the inspection services at the municipal and RS level, transportation companies and the RS Chamber of Commerce. After processing the collected data it was foreseen that additional interviews would be needed in order to deepen the analysis with regard to the issues proven to be of particularly relevance. Fifty-two out of the sixty-two LSGUs that received the questionnaires provided their answers. This is an excellent response, since seven of LSGUs out of ten that did not provide their answers did not have public organised transportation within their territory. The questionnaire was delivered by fax. Over the period that was allocated for respondents to deliver their answers civil servants provided explanations to institutions that had additional questions as well as encouraged those LSGUs that had not provided their answers within the stipulated deadline to do so. In addition to valuable information deriving from the consultation process, valuable contacts were established with representatives of the LSGUs and the prerequisites for long-term communication and monitoring within this area were established. The questions referred to those aspects of the problem that the working group recognised as relevant as well as the missing data: • whether regulation of the public transportation of passengers at the local level is regulated by local regulations and in what manner; • technical features of buses - the number of buses used for public urban and suburban transport of passengers during the last three years (the later provides data for trend analysis) and the age structure of the buses; • technical features of the buses and the implementation of related regulations; • level of development of this service – bus lines covering the local self-governance units; • assessment of the passengers road transportation safety status – impact of the existing state of affairs (age structure, technical features of vehicles, compliance with schedules, etc.) on road transportation safety; • assessment of service availability and customer satisfaction; • suitability and inspection oversight capacities at the local and RS level; • results and effects of the traffic inspectorate at the RS level; • possibility to submit a complaint; • regulation of the modalities and organisation of taxi services at the local level; • number of vehicles used for taxi services; • age structure of vehicles used by taxi services; • organisation of taxi services; • current state of affairs regarding taxi services and their impact on road traffic safety. The collected data confirmed some of the assumptions on the causes of the problems. It also provided some new information on the causes and indicated the need to adopt regulations in order to eliminate the existing problems. Another problem, in addition to legislative gaps, when it came to road traffic regulation of note was weak inspection control. The collected information was systematised and recorded in a database that will be updated on a regular basis (at least every half year) in order to provide for systematic monitoring and situation analysis within this domain.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

2.6 Impact Assessment of Options After the options for solving the identified problem have been defined, the next step would be to identify the direct and indirect impacts of the implementation of each of these options. This is then used as the basis to decide what the optimal option is, taking into consideration the stipulated costs and the expected results. It is important to analyse each option and to consider both positive and negative impacts in order to be able to review the strengths and weaknesses of each option. Impacts should be classified as financial (fiscal), economic, social or environmental. It would be necessary, in that process, to clearly link the cause (activity, tool) and effect (impact) and to answer the following question: to what degree and at what cost would the proposed activity contribute to the achievement of the objectives (especially the policy's specific objective)? An impact assessment of policy options, namely the regulatory impact assessment, has already taken off in the OECD countries, including the EU member states, as a standard analytical procedure conducted within legislative initiatives and the preparation of government strategies and programmes over the last 15 years. Its basic function is to assist decision makers in the better conduct of their regulatory function by recognising the risks related to policy or regulation implementation on time and to reduce them. After the impact of each of the options has been assessed, the options are compared and the option with the best cost-benefit ratio is selected. It is also necessary to determine the types of costs. a) Direct public administration costs (the cost of policy preparation and implementation, providing services and monitoring of the implementation). b) Adjustment costs for the affected population groups (e.g., the Smoking Prohibition Act and restaurant business adjustments). c) Indirect costs for the economy (a decrease in the sale of cigarettes, reduced number of tobacco shops and number of tobacco shop workers). The impact assessment of policy options or the regulatory impact assessment enables the development of high quality implementation mechanisms, in order that prior to implementation all necessary organisational, financial and political conditions are provided, without which the expected positive changes may remain unrealised. If we take, as an example, the road traffic safety policy a recognised risk could be the insufficient capacities of the police forces, which raises the possibility of allocating some specific funds during the implementation planning (e.g., from pre-accession funds) to be used for technical assistance and equipping of the traffic police forces. Major sources of information with regard to policy option assessments are: • • • • • •

own knowledge and experience of civil servants in charge of the policy development; knowledge and experience of other experts from within the ministry and other public institutions; knowledge and experience of external experts (academia, non-governmental organisations, international development agencies and the business sector); knowledge and experience of stakeholders directly affected by a certain policy or regulation; existing research and statistical data; media reports.

Consultations are an indispensible part of a policy options impact assessment because without contact with the stakeholders that a certain policy directly concerns it is impossible to assess its impact. Consultations can also save precious time and financial resources for the collection of the required information. In that regard the policy options impact assessment should be accompanied by a developed consultations plan. An impact assessment of options takes into consideration the potentially positive and negative effects and costs related to the public budget, economy, society and different social groups as well as the environment. It needs to provide answers to the major questions shown below.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH 1. What are the expected positive and negative effects of each of the options in terms of the public budget? The fiscal impact assessment is of extreme importance when it comes to the feasibility of each of the options and it should encompass the effects on all relevant public budgets: from the state to the local level! • • • • • • 2.

How will each of these options affect economic development? • • • • • •

Does the implementation of regulations/planning documents have to be funded by public budgets? What are the stipulated revenues and expenditures of a specific budget? What are the proposals in terms of sources of funding needed to cover increased budget expenditures and costs caused by this part of the legislation/planning document? What are the proposals in terms of how to cover the decrease in budget revenues caused by this part of the legislation/planning document? What is the impact of the legislation/planning document in terms of the employment of public budget users/officers, namely is there a need to provide funds to cover the wages of new employees? How will the success of the implementation of the legislation/planning document be assessed in terms of its fiscal impact?

What are the main positive and negative overall effects for the economy? Which economic sectors are directly affected or covered? What are the major positive and negative effects for the affected sector of the economy? What are the major positive and negative effects for stakeholders (businesses) in these economic sectors? Which of these effects is dominant? What needs to be done in order to decrease/prevent the most significant potential damage to the economy?

How will these expected positive and negative impacts affect different population groups and what is their impact in terms of the existing social inequalities?

Special attention should be paid to identifying which groups within the society are affected and special focus given to vulnerable social categories that ordinarily have no or difficulty in accessing the labour market or face a greater risk of poverty and social exclusion (i.e., persons with disability, Romany, rural inhabitants, middle-aged women, the elderly and the weak). In this sense, the impact assessment is compulsory in terms of the differences in social status and needs of men and women. Special care should be taken with regard to the expected negative effects of the present social, political and economic discrimination against women. Ex-ante the social impact assessment7 (social impact assessment of policy options) includes the below factors. •

Analysis of the cost benefit distribution in a given society involves the identification of “winners” and “losers” and this helps to predict the obstacles to the proposed options. It can indicate the need to correct or redesign the proposed options or to encourage those in charge to consider measures to alleviate the negative effects on certain social groups or local communities.

•

Impact assessment of each option in terms of the existing social inequalities is necessary in order to discover which of the vulnerable social groups are directly affected by each of the proposed options and if the impact is positive or negative. It is essential to try to predict if the new policy is going to affect existing inequalities by reducing them, leaving them as they already are or even increase them.

7 For a more detailed insight into the methodology on the social impact of policies see Toritsyn, Arkadi. 2009. 'Ex-ante Policy Impact Assessment vis-à-vis Vulnerable Groups in South Eastern Europe: Guide for Practitioners'. UNDP, Europe and the CIS Bratislava Regional Centre available at <http://europeandcis.undp.org/poverty/show/8FB213C5-F203-1EE9-BF16ECFB36CC594C>

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH â&#x20AC;˘

A proposal for additional measures or corrections for each option in order to reduce or alleviate the main negative effects on certain social groups, focused on the most vulnerable and aimed at increasing the positive effects.

When assessing social impact it is important to establish cooperation with the institutions concerned with social issues and the problem of social inequality as well as specialised international agencies and research institutes, because they can offer available statistical data and social status analyses for different population groups. Policy Options Impact Assessments in Public Administration In order for the impact assessment of options to become a standard analytical procedure within public administration it has to comply with the principle of proportionality: care needs to be given to ensuring that the scope and depth of the impact analysis are in line with the relevance and scope of the recognised risks (negative effects)! Thus, a detailed impact assessment focuses only on the major negative effects. This saves time and human as well as financial resources and at the same time achieves the expected results of the options impact assessment: to eliminate risks and search for the optimal policy or regulation option. Furthermore, impact assessments should be directed towards the most important measures and those that represent the greatest dilemma in terms of which approach is the most suitable. If we are speaking about road traffic safety policy, for example, then the options impact assessment should focus on the major interventions with regard to drivers. The latter includes fines (with several modalities in terms of their severity and range), education (several options depending on whether the education is compulsory or voluntary and for which age group it is intended) and vehicle safety (technical inspection procedures, encouraging the renewal of car pools). In addition, the cost of each option should be assessed in order to recognise any additional burdens that in time will be placed on public services (in this particular case the burdens on inspection services and police forces as well as the judiciary) which need to be planned and provided for financially. Therefore, it would be recommendable if the policy options impact assessment were to be implemented in the three steps shown below. 1. Identification of the possible effects of each option: conduct â&#x20AC;&#x153;brainstormingâ&#x20AC;? within the working group in charge of policy analysis and development i.e., call for all participants to state the possible effects of each of the options (economic, social, environmental, political, etc). As a reminder, use the key questions that refer to the assessment of economic, social and environmental effects mentioned above. You will get a list of potential effects that can later be grouped according to their similarity. 2. Relevance assessment and the selection of the most important effects: for each of the effects you listed, assess the scope of the effects using a scale in which 3 refers to a great effect, 2 to a medium effect and 1to a minor effect. In addition, in the next box, state if the effect is mainly positive or mainly negative (+/-). The probability that your assessment will be correct becomes higher if you are engaged in a group activity (where a wider range of experts or stakeholders may be included). Based on the assessment of the relevance of individual effects, select only the most relevant ones (those that were awarded the largest number of points or have the highest average score), which you will then analyse more thoroughly in the next step. 3. In-depth analysis and assessment of the most important effects: first, identify the available secondary sources of information (reports and studies) and possible consultations with stakeholders regarding each of the selected effects. Based on these sources, briefly present the main quantitative and narrative (qualitative) indicators and probabiliy forecasts for a certain effect over several years (3-5 years or longer, dependant on the problem). This step has to be accompanied by consultations with the key stakeholders knowledgeable in relation to the problem and those directly affected. Finally, conduct a comparative fiscal assessment for each option.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Such an approach is also promoted by the European Commission in its (2009) Impact Assessment Guidelines, which are available in English via the Internet. Attached to this manual is the Impact Assessment Guide and the attached CD contains a detailed matrix for the assessment and in-depth analysis of impact based on the aforementioned EC Guidelines. Comparative Impact Assessment and the Selection of the Optimal Option Based on the conducted impact assessment, make a summary of the most important effects of each option using the below questions. • • •

What are the possible and most important benefits and detriments of each option in terms of economic and social development, the social status of different social groups and the environment? What are the expected risks and problems in terms of the political acceptability of each option? What are the expected risks and problems related to the implementation of each option (funding, administrative capacities, coordination and the readiness of non-institutional stakeholders to cooperate in the implementation)?

Considering the set criteria (effectiveness, efficiency, coherence with other policies and regulations), which should be decided upon jointly, this comparative overview can serve as a basis when it comes to the selection of the optimum option. Key stakeholders should be involved in decision-making when it comes to selection of the optimal option. In the real world, the feasible solution, namely the policy proposal, has to meet the below stated three main conditions. • Technical feasibility: Do we have the necessary technical tools and equipment available and do they actually exist? • Financial and organisational feasibility: Do we have sufficient financial and organisational resources in terms of knowledge, experience, leadership, organisational abilities and motivation? • Political feasibility: What is the level of political support, who are our allies, is there room for compromise and if so how much and what elements of the solution can be modified in order to obtain political support? The impact assessment of options used to evaluate the regulation prior to its implementation is the first step within the so-called ex-ante evaluation. Ex-ante evaluation is a term used for an evaluation of the activities during the process of formulating a policy. An ex-ante evaluation may be general or specific in relation to a specific question that needs to be analysed in-depth before the policy proposal is completed. According to EU regulations, in the preparatory phase and development of any policy related to Structural Funds, immediately prior to their implementation, an ex-ante evaluation i.e., a thorough impact assessment as well as the analysis of possible difficulties related to their implementation, needs to be conducted. Implementation of an in-depth ex-ante evaluation of an already selected and developed option is entrusted to independent experts that cooperate with the bodies in charge of policy preparation as well as the potential policy implementers. When it comes to the further development of a policy, a higher level of expertise is involved where the logic behind the programme is additionally explained and or improved and the strategy and implementation plan are further developed. An ex-ante evaluation is also used as an opportunity to increase political support, inform relevant institutions about the new policy, increase its credibility during the process of negotiating budgetary funds and it serves as an external “force” for the further development of the policy's implementation management arrangements.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

3. From a Policy Proposal to a Government Decision 3.1. Legislative Drafting based on Policy Analysis (SIGMA Step 4) Under ideal circumstances and according to SIGMA programme analysts, legislative drafting should only begin after the objectives and options for the development of a specific policy have been determined; both the positive and negative impact of each of the options should have been evaluated and compared and the optimum policy option selected at the ministerial level. However, in reality, when it comes to the institutions of Bosnia and Herzegovina and other central and eastern European countries the policy development and analysis stage is rarely completed prior to legislative drafting. The reason for this is the lack of a tradition of policy analysis and the requirement for rapid harmonisation within the EU accession process. At the same time, this process is one of the main stimuli for a more thorough legislative drafting process that utilises comparative analysis to assess the specific ways other countries have applied EU directives, as well as a cost assessment for the implementation of new harmonised solutions and the need for a transition period. It is realistic to strive towards achieving the most efficient combination of policy development/analysis and legislative drafting in order to provide for a higher quality of legislation. This includes cooperation with experts in the area of policy within a specific sector as well as cooperation between the ministry and the government's legislative office. In practice, it seems useful and feasible to introduce the actions shown below at an early stage during regulation planning and preparation. (1) (2) (3)

To conduct analytical activities related to the development of policy proposals within the context of developing an obligatory explanatory memorandum for each draft legislation. To involve the representatives of other institutions as well as the key informal stakeholders in a group responsible for legislative drafting. To conduct consultations at an early stage with regard to the major policy measures within the context of developing an explanatory memorandum for each draft legislation.

The main recommendation is to link closely the policy proposal with the mandatory task of developing and submitting an explanatory memorandum as a rationale for legislative drafting. The elements of which, according to the Unified Rules and their RS equivalent, de facto include all key analytical procedures and consultations within Step 4 of the policy development process, as recommended by SIGMA. A policy analysis document can easily be transformed into an explanatory memorandum. It would be useful to use the comparative overview of the content of the mandatory rationale as set forth in the Unified Rules for Legislative Drafting in the Institutions of Bosnia and Herzegovina (Articles 58-67) and the RS Legislative Drafting Methodology Instructions (Articles 55-62) as relevant content within the development of a policy proposal. In addition, the Legislative Drafting Consultations Rules, adopted on 7 June 2006 by the Council of Ministers of BiH, should also be taken into consideration because this is a compulsory document and therefore the ministries and other state level institutions have to comply with its precepts as well as the consultation rules of individual institutions from different levels of government.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Compulsory content of the explanatory memorandum (justification) Constitutional and legal basis for the introduction of a particular regulation The Unified Rules, Article 61 and Legislative Drafting Methodology Instructions, Article 55 Reasons why a certain regulation is being introduced and justification of the policy selected The Unified Rules, Article 62 and Legislative Drafting Methodology Instructions, Articles 57 and 60

Relevant content of the policy analysis document • Analysis and a statement of constitutional provisions, statement of other relevant laws and international obligations affecting the adoption and policy objectives and its content; • principles and values on which the policy is based; • priorities in terms of providing consistency (compliance with other regulations). • Problem analysis requiring government intervention; • purpose, value and specific objectives; • description and evaluation of the achievements and problems related to the implementation of a similar policy or previous regulations; • purpose and objectives of a concrete regulation as a central policy tool; • summary of the policy options impact assessment, including the option “not to regulate” and the self-regulating option (usage of market mechanisms) with an explanation why the solutions offered by this regulation are optimal compared to other options; • assessment of the expected benefits from the implementation of a specific regulation with relation to an assessment of the capacities of the institutions in charge of its implementation (feasibility study summary). Compliance of a specific • Comparative analysis of policy measures proposed along with relevant regulation with EU legislation regulations and specific EU provisions and solutions that have been adopted The Unified Rules, Article 62 and by several states that adopted similar policies within the context of European Legislative Drafting Methodology integration; Instructions, Article 57 • justification of the need in regard to the postponement of implementation (transitional provisions) or additional instrument needed to fully align the regulation with the EU Acquis (i.e., via rulebooks, investment or additional activities aimed at increasing institutional capacities); • a review of the compliance of the regulation with the EU Acquis. Regulation/policy • Proposed institutional framework required for the implementation of policy implementation review measures; The Unified Rules, Article 62 and • measures and actions that need to be defined in an operational plan, Legislative Drafting Methodology including the implementation of monitoring mechanisms, institutional Instructions, Article 59 jurisdiction and deadlines for their implementation and reporting. Financial assessment • Summary of the regulation's fiscal impact assessment compared to the costThe Unified Rules, Article 65 and benefit ratio of other options; Legislative Drafting Methodology • assessment of the administrative and fiscal cost of the introduction and Instructions, Article 61 implementation of a specific regulation (short, mid and long-term effects); • summary of the potential sources of funding to cover the cost of the introduction and implementation of a specific regulation, including the sources needed as well as any additional investment and administrative capacity building; • if necessary, a summary of the assessment of the economic impact of a specific regulation on relevant sectors, regions, citizens and other levels of government; • justification of the financial and administrative validity of the introduction of a specific regulation. Consultations among institutions • Overview of consultations conducted – both vertical and horizontal – with The Unified Rules, Articles 66 and other institutions, interested public (represented by citizen's associations) and 75. The Legislative Drafting international institutions with an explanation of the mechanisms used during Methodology Instructions do not these consultations; stipulate any obligations with • consultations are implemented at an early stage during the drafting of a regard to consultations. regulation (a proposal of a regulation is subject to consultation). Review of existing regulations • Defined obligations in terms of reporting on implementation and the effects The Unified Rules, Article 65 and of regulations along with the institutional competencies described; Legislative Drafting Methodology • plan for the implementation of a systemic and periodic regulation review Instructions, Article 62 within defined periods.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH The drafting of a law and the formulation of its provisions without previous consideration of its actual necessity and an assessment of the specific policy objectives needs to be avoided. In that regard, a policy proposal as well as the explanatory memorandum will serve as a landmark when it comes to the development of regulations. In order to avoid the traditionally widespread “normative optimism”, meaning the tacit belief that the very adoption of a certain regulation can solve the public problem, one has to be diligent in taking into account the actual capacities of a public administration and judiciary as well as the capacities of the society in general when formulating compulsory measures. When it comes to the quality of regulations, it would be advisable to consult the Unified Rules for Legislative Drafting in the Institutions of Bosnia and Herzegovina or the equivalent documents in force in RS and Brčko District. These documents offer a range of specific guidelines on how to achieve clarity and the uniformity of provisions as well as their alignment with other regulations.

How to Prepare a Clear and Effective Regulation? •

The language used has to be clear to all of the policy stakeholders and not just the experts and civil servants: imagine the end-user of specific legislation (entrepreneur, worker, citizen) and invest an effort so that that person can understand, without any mediatoin, each provision of that regulation. In this regard, useful assistance would be a glossary of concepts used in the regulation with simple definitions, as well as the language and syntax that should be as simple as possible.

•

A Regulation title should reflect the essence of its purpose and the main areas for regulation: it will also be easy to remember if the title is clear and concise and it should not include every individual measure.

•

When developing a regulation, one should immediately try to anticipate the function and content of all the related implementation documents and to regulate deadlines and jurisdictions in terms of their development and adoption. The implementation documents are not supposed to aggravate and or postpone their implementation, instead they should serve as a clear definition of the specific implementation mechanisms, norms and procedures.

•

Implementation documents should not change the spirit of regulations; their aim is to “take the burden” of detail and technical specifications from the law or central regulation. They are prone to more frequent changes than the main provisions of the law or the central regulation. Thus, this prevents the need for frequent changes and amendments, which would take far longer than the amendments to implementation documents within the line ministry's jurisdiction.

•

It is necessary to list precisely all those subject to regulation i.e., does the regulation refers to entire sectors or, for example, the overall public administration system. Potential exemptions should be defined clearly.

•

Exemptions and collisions with the provisions of other regulations should be avoided, especially when it comes to sanctions and deadlines that should be aligned with the umbrella laws, such as the laws on administrative and criminal procedure. If such exemptions are inevitable, then they should be clearly stated with regard to the reference legislation in order to avoid any misunderstanding in terms of which set of legislation has primacy when it comes to the application of sanctions.

•

The actual legislation (regulation) should define the institutional framework for its implementation as well as the scrutiny mechanisms (including obligations and scope of reporting). When determining jurisdictions, in terms of implementation, monitoring and scrutiny, it is more efficient to expand the jurisdiction of already existing institutions and sectors than to establish new bureaucratic structures.

•

It is necessary to assess the administrative and fiscal capacities needed for implementation rationally, as well as any other existing obligations that prevent full implementation of the regulation. Transitional provisions should clearly define a gradual approach to the introduction and implementation of regulations.

Source: Legislative Drafting Manual (Technical Requirements and Style) published in 2006 by the Legislative Reform Advisory Board of the Ministry of Justice of BiH. It is available at <www.mpr.gov.ba> or <www.ads.gov.ba/obuke/biblio>.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

3.2. Internal Consultations between Ministries and several levels of Government (SIGMA Step 5) Since the vast majority of policies refer to jurisdictions of different ministries and other governmental bodies consultations between government institutions are inevitable and even mandatory during the legislative drafting phase. Thus the regulation of issues related to road traffic safety, most certainly, would involve a number of sectors: internal affairs (direct regulation and the control of the behaviour of those participating in traffic), judiciary (sanctions), education (public campaigns and education) and infrastructure (construction and maintenance of roads). It would also involve lower levels of government (co-financing of road maintenance and educational activities). The Ministry of Finance has to be involved when it comes to the fiscal impact assessment and the planning of a financial structure for the implementation of each set of legislation within the government budget. The Legislation Office of the Government is in charge of the control and precise normative alignment of each set of legislation, while the governmental sector in charge of European integration is an indispensible source of information and responsible for coordinating the overall process of alignment of national legislation with the EU Acquis. Specialised government agencies and institutes are also relevant and their opinion on different aspects of a certain policy should be included. A huge practical challenge that has been recorded by the central and eastern European countries, including BiH and its neighbours, is the merely formal, yet unsubstantial, function of the inter-ministerial consultations. Under current practice, the consultations are only linked to the final legislative draft immediately before the deadline that has been set for its submition to the government. This has a negative impact in terms of the eagerness of the responsible civil servants to become involved in a thorough analysis and provide their detailed contributions. Therefore, one can expect that a shift in terms of the quality of inter-ministerial consultations will occur only after the focus is moved away from non-technical detail and towards the substantial issues related to policy content. On the other hand, this would only be feasible if these consultations began during the early stages of defining the policy options and ideally with the provision of political support from the key stakeholders from the top political authorities. Namely, the effective inter-ministerial consultations would enable for the specific interests, priorities and solutions unacceptable to certain sectors to be recognised early on, meaning at a stage when the possibility to overcome the majority of misunderstandings and differences still exists before they become political issues at the government level, especially in terms of their exposure to the public. What is necessary in this regard is to have developed procedures for consultations between government institutions that would provide, if necessary, for several rounds of working sessions and opinions involving all of the institutions concerned. In this event, the ministry in charge of developing a certain policy or drafting legilstation would have to provide for the following: • make a decision on what ministries and other government institutions would be consulted, along with the ministries that have to be consulted according to the Government Rules, as well as to establish all other institutions of relevant interest or mandates; • collect and process comments and observations as well as the received proposals and select those that will be incorporated into a draft regulation(for efficiency purposes it is important to designate a contact person responsible for the coordination and processing of comments within the procedure of policy or regulation development); • summon consultative meetings in order to discuss the observations and comments received or certain important or sensitive actions (short focused and well prepared meetings in order to clarify concrete issues would be of great use in this regard); • prepare a list of comments and proposals that have not been accepted with explanations to be sent to all institutions involved (you should build trust and motivate your colleagues from other relevant institutions). When it comes to the credibility of the consultation outcomes, such as the prevention of resistance at a later stage or a lack of acceptance of solutions at the government level, it is extremely important that the ministry in charge of the concrete development of a regulation possesses the necessary competency. The ministry requires the skills to process all of the received comments and to provide clear and substantiated feedback as to why some of the proposals submitted by other ministries, if any, were not accepted. Finally, efficient and thorough consultations are only possible if sufficient time has been planned for such a process, in terms of a deadline to finalise the draft to be submitted to the government. Therefore, the main recommendation is that consultations should be organised with other ministries and administrative bodies as early as possible. This could even be done prior to the deadlines set forth under the Government Rules or other reference document. It should occur at least during the drafting of the initial draft regulation, but also within the plan for consultations with key stakeholders, which should already have begun during the problem analysis and policy objectives definition stage, as described in Chapter 2.5 of this manual.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

4. Monitoring and Evaluation as Prerequisites for Efficient Policy Implementation (SIGMA Step 12) 4.1 Monitoring and Evaluation in the Policy Process Evaluation refers to a systematic assessment of operations and or outcomes of a particular programme or policy, compared to a series of explicit or implicit standards, in order to contribute to the improvement of a particular programme or policy. Therefore, evaluation is an appraisal or assessment by means of research. It is essentially a function of applied, multidisciplinary social research, differing, in its function and to some extent by its subject, from other applied research. Its main distinctive feature is its purpose, which is to evaluate and not simply to understand a specific phenomenon. The subject of the research is limited to targeted deliberate actions aimed at solving specific social problems. Evaluations take place within the institutional and social context that is being evaluated, while the programme dynamics and the attitude of the implementers towards the evaluation are, to a large extent, decisive when it comes to accessing the information and the scope and the outcomes of the evaluation. The primary application of an evaluation as part of the political decision-making process, which is the main function of the evaluation, is to provide expertise to decision-makers. In that sense, its audience is primarily internal and this again differs significantly from other social research. Unlike other research, evaluation reports are often intended for internal audiences and tension surrounding their publication and the use of their findings by other researchers or institutions is often present. For researchers who are accustomed to scientific findings, the imperative of formulating useful and understandable recommendations for decision-makers may represent a special challenge. Public policies, programmes, projects, sectors, institutions and organisations can all be evaluated. If we are talking about the evaluation of policies, programmes and projects, we can evaluate their draft, implementation or impact (effects on the target group). We need to focus equally on relationships, processes and results in all evaluations. In fact, the case of a lack of formal procedures and usual working processes (e.g., communications procedures) that lead to the disorder of interpersonal or inter-institutional relations (delayed transfer of information, transfer of incomplete information through informal channels) is rather common and this invariably affects the achievement of expected results. Therefore, in the process of evaluation relationships procedures and results necessarily have to be perceived as "connected vessels". The first step of a policy evaluation is the assessment of intervention logic per se, i.e., an estimation of the problem definition and solution strategy as well as the estimation of how relevant the intervention is considering the extensive social and political context and the target group. The next step is an assessment of the implementation logic compared to the intervention logic and the extent of the realisation of the plan. Then follows an assessment of the policy outcomes and impact; this includes any unpredicted positive and or negative outcomes, the impact on the problem itself and to capacities of the policy agents. It is also important to display the ratio between the implementation costs and the impact; this is in order to provide a relevant assessment of the benefits that derive from implementation in relation to the direct and indirect costs generated. Finally, it is necessary to assess the sustainability of the impact, so that we can make relevant recommendations on whether the policy should continue to be funded through public funds in the same or a modified form: if the problem is still present. At the very end, it is always useful to take note of the lessons that emerge from a policy so that they can be used to formulate and implement other policies.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH It is important during the process of examining the sustainability of impact to, by formulating appropriate indicators, determine the impact that policies have on gender equality i.e., whether the policy treats men and women equally or whether its impact will create inequalities between the genders. Within this context, it is not only those indicators that are easy to measure that should be determined (e.g., number of employees by gender) but also the more sophisticated ones (e.g., determining job quality and security and promotion opportunities based on gender) that have to be determined.8 The role of evaluation in the process of developing and implementing policies (i.e., assessment and evaluation) and the related monitoring (tracking) can be understood in two ways. In the narrower sense, it is the final phase of the cycle of development and policy implementation where the effects of policy implementation are assessed together with its wider impact and the shaping of proposals for its continuation, modification or termination. According to a broader understanding, a specific group of research procedures create an integral dimension of the overall process of policy development and implementation. This starts from the definition of the problem that we want to influence through to the creation, comparison and evaluation of options for solving the problem, designing a specific policy, its implementation and modification. During the policy elaboration stage, measures to monitor the effectiveness of policy implementation and its results (impact) are set in relation to the goals. Benchmarks for impact monitoring reflect the expected gradual changes, such as the number of convictions for traffic violations during the first year of implementation and then during the second year, namely clearly defined periods. Regarding benchmarks that are used to monitor implementation, ideally, a policy contains an implementation plan with clearly defined activities and institutional implementers. An example of such a complex document with clearly defined implementation standards is the Stabilisation and Association Agreement Implementation Plan. Implementation monitoring (monitoring or formative evaluation): during the implementation, in relation to pre-set standards and benchmarks, a certain policy is monitored along with the level of progress in achieving the policy objectives. It is important not to ignore the unexpected and the impact of external factors, which during the implementation can affect small modifications or clarify why the implementation varies from the plan. The more clearly that the monitoring mandate and the methods, timeframes and indicators are set then the more useful and effective is the monitoring of policy implementation. Similarly, data collected during monitoring is of use when it comes to dialogue with the public, especially in cases where the public resists the policy itself or is concerned about the policy results, which are invisible to the public in the short term. The existence of benchmarks for implementation success and policy impact is useful for advocating its relevance and provides high quality arguments for discussion with its opponents. In an ideal case, particularly when it comes to long term or complex policies over a couple of phases, a midterm evaluation is conducted. This evaluation takes into account all three key aspects of policy: (1) relevancy of objectives and programme logics with regard to the objectives, (2) effectiveness i.e., the level of achievement of objectives using impact analysis and (3) efficiency i.e., the ratio/relation between the resources spent and the results as well as the degree to which the plan was achieved. Ex-post evaluation (assessments of effects and impact or summative evaluation): it is difficult to set the timing for the final evaluation of a certain policy when it comes to long-term policies. However, each policy goes through cycles and the total effect can be assessed only upon their completion. When it comes to the final evaluation, in practice we are talking about multiple year periods where optimally we should evaluate the long-term effects (ten-years) of a policy. A final evaluation is also referred to as an expost evaluation, especially in EU terminology, and has several possible uses. These range from redefining a problem and modification to an existing policy through its impact to the design of other policies, institutional reforms and an assessment of the impact on the wider political agenda all the way through to informing the public about the government's results. 8

Toritsyn, Arkadi. 'Ex-ante Policy Impact Assessment vis - Ă - vis Vulnerable Groups in South Eastern Europe: Guide for Practitioners'. UNDP, Europe and the CIS Bratislava Regional Centre, p.23. Available at: <http://europeandcis.undp.org/poverty/show/8FB213C5-F203-1EE9-BF16ECFB36CC594C>

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

4.2

The Prerequisites for a Successful Evaluation

The most applicable are those evaluations conducted as a systematic and institutionalised activity within the body in charge of policy implementation and responsible for its results. In such systems, evaluation is an integral part of programme management with sufficient resources provided (staff, finances, time and knowledge) for its implementation. The evaluation itself is based on the standards of quality (relevance, clarity of objectives, criteria and methodologies, availability of information, the interests of stakeholders, being systematic and documented, reliability and transparency), while the evaluators have legitimacy and their findings have credibility. To be meaningful an evaluation has to be conducted in a timely manner in relation to the needs of the decision makers and its recommendations have to be feasible, given the political and institutional context. Finally, evaluation results should be made available to policy makers and implementers (it would be optimal if they were also to be made available to the public). The systematic monitoring and evaluation of policies at a number of implementation levels refers to the following: • • • • • •

defined performance (success) indicators in relation to government priorities and basic sector strategies; defined implementation indicators in relation to annual government plans, sectors or specific initiatives (e.g., the annual plan for the harmonisation of legislation with the Acquis); implementation monitoring of certain regulations and regular reporting by the responsible ministry; periodic assessment of the quality of implementation and the impact of specific regulations; periodic impact assessment of a group of measures (action plan, programme or policy); detailed tracking and impact assessment of pilot projects and projects funded through special funds.

The ministries are responsible for policy implementation and therefore they bear the primary responsibility for the planning and coordination of systematic monitoring and evaluation of the implementation of policies and individual regulations within their jurisdiction. It is important when planning mechanisms to monitor and evaluate the impact of policy to identify all the players that will necessarily need to participate in the monitoring, based on their duties and responsibilities in terms of policy implementation and their institutional position in relation to the executive. The tasks of partner institutions and organisations can vary: from the gathering and delivery of data to the coordination and preparation of reports as well as oversight over the executive bodies, even including the contracting of independent external impact assessments. Therefore, attention should be paid to setting specific monitoring tasks and participation in impact assessments so that certain institutions may be involved and allocated levels of responsibility: • ministry in charge (policy proponent, coordination and report preparation); • co-proponent, implementation of the policy or regulation in accordance with its jurisdiction; • specialised working bodies at the ministerial or governmental level; • ministry of finance (in relation to the budgeting process); • inspectorates; • government (and commissions); • parliament (committees); • ombudsmen; • auditors offices; • specialised agencies; • judiciary. Along with formal policy actors, informal actors interested in the effects of specific policy also participate in policy monitoring: trade unions and employers when it comes to employment policy and a series of nongovernmental organisations, such as those involved in the protection of human rights or monitoring policy that refers to ethnic minorities or gender equality. Independent monitoring is the basis for their advocacy of specific policy changes or greater efficiency of government institutions.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

4.3

Evaluation Procedure

Several questions need to be answered at the very beginning of an evaluation in order to provide for its high quality. 1. 2. 3. 4. 5. 6. 7. 8.

What is the specific purpose of the evaluation? What is the target audience? What are the most important evaluation criteria with regard to the purpose of the evaluation? What are the key questions that the evaluation needs to answer? Are there any indicators or should they be established and how to establish them? What information needs to be collected? What are the sources of information that this information can be collect from and are they available? What methods are to be used in order to collect the information, considering the timeframe and deadlines, resources and knowledge available? 9. Who will be engaged in data interpretation and why? 10. What form of presentation of the findings is the most suitable option considering the target audience? It is important to remember that the indicators and sub-questions are determined based on the criteria and key evaluation questions. Only then can we decide which key information sources we will use to collect the information and later on what are the optimal methods in relation to the information sources and the resources available (time, knowledge, human resources, financial resources and equipment). Criteria and benchmarks (socalled benchmarking, within the EU integration context) are used to make comparisons and performance ratings. At the EU level, key evaluation criteria closely linked to the principles of good governance are present as a standard for the impact assessment of projects funded through EU funds. Criteria follow the intervention logics, starting from an assessment of whether the purpose and goals have been achieved and to what extent, implementation performance assessment, all the way through to the assessment of the sustainability of the achieved results. • • •

• • •

Relevance: is the suitability of an intervention with regard to the problem and its context (especially the appropriateness of the objective and intervention logic). Coherence (internal and external): is the alignment of different intervention objectives and the compatibility of the intervention with other relevant policies. Efficiency/economy/effectiveness: relates to the cost-benefit ratio i.e., the extent to which the outcomes, results and effects have been achieved, after taking into account reasonable implementation costs. Effectiveness: is the level of the expected results i.e., the achieved objectives. Sustainability: is the potential for the long-term positive impact of an intervention and the capacities of different stakeholders for further implementation of the intervention if required. Impact: is the change within the wider environment and over a longer period due to the overall impact of the intervention.

Yet, we should remember that the relative importance of each of these criteria would differ in each concrete case of an evaluation of the impact of a policy or regulation dependant upon the following: • • • • • •

specific type of evaluation; content and objectives of the policy under evaluation; data availability; resources available (time, money and experts); political interests of the organisation that commissioned the evaluation; target audiences interest.

Once we have set the evaluation criteria we then need to define indicators for each of them to show to what degree a certain criterion has been met. Whilst doing so, we have to bear in mind that we need to define several qualitative as well as several quantitative indicators for each of the criteria. More specifically, in order to establish if a certain criterion has been met or not we need to obtain confirmation from several sources, since relying on a single indicator may lead to incorrect conclusions.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Under ideal circumstances, impact indicators should be incorporated into the actual policy to which they refer, since the lack of previously defined indicators creates problems in terms of the collection of relevant data during policy implementation, which leads to additional costs and oversights during the evaluation. In addition, it is also important to be aware of the fact that the collection and processing of a large amount of quantitative data would turn attention away from the experiential knowledge that the policy implementers and beneficiaries possess. It would also detract from the qualitative analyses, while cost in terms of the time required for their collection and processing would reduce opportunities to discuss the policy itself. This is the very reason why a balanced combination of qualitative and quantitative indicators is so important.

Potential errors in policy implementation and impact monitoring: avoid them by planning well! • • • • • • • • • • • •

Ad-hoc definition of indicators based on the existing analyses Lack of major impact indicators compared to policy/regulation goals Selection of incomparable quantitative data Lack of conformity of the data collection forms with the indicators and regulation or policy goals Omission of the use of existing reports and data Insufficient use of information and communications technology Vague jurisdiction in terms of monitoring Unrealistic planning of human and financial resources and the time required Delivering inquiries to other institutions to request data that has already been collected Unclear or late distribution of tasks in terms of report drafting within the process Reports that decision-makers do not have the time to read and that are too extensive, a lack of summaries Omission of analytical conclusions and proposals in terms of performance improvement

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

4.4

Monitoring and Impact Assessment Planning during the Legislative Drafting Process

The integration of monitoring (implementation tracking) and evaluation at an early stage in legislative proposals increases the chances of the efficient implementation of policy measures. According to SIGMA Programme periodic reviews, this is especially important in light of the identified weaknesses within policy evaluation in Bosnia and Herzegovina and other countries in the region. The integration of monitoring and impact assessments as an obligatory set of actions to be taken by the relevant institutions, together with regular reporting, can in the long run have a significant impact in relation to the development of a culture of learning and accountability in terms of the achievements of public administration and the executive in general. This should not be limited to the measures implemented but also their results and the challenges identified. The following advice refers to monitoring and impact assessment planning during the legislative drafting stage: •

• • • • • •

institutional framework for the implementation of regulations with specified jurisdiction and mandate in terms of monitoring and scrutiny should be defined within the text of the regulation being drafted; specify the pace, mandate and scope of reporting and the body to which the report is to be submitted; specify the obligation to assess the impact and review the policy/regulation within a certain period of time; anticipate the adoption of specific implementation documents with regard to monitoring and evaluation (guidelines, instructions, codes and rulebook); develop monitoring jurisdictions within the organisational structure and systematisation for the institution in charge of implementation of a regulation; anticipate the adoption of implementation plans that would include monitoring parameters; anticipate and provide adequate monitoring and evaluation resources (funds, administrative structure and human resources).

Policy impact monitoring and assessment depends mostly on whether the public administration has the appropriate expertise, coordination and information capacities. This in turn depends on whether the decision makers and creators of the policy proposal are able to recognise the importance of knowledge as a major form of leverage for successful policy management and the gaining of citizen's support for budget priorities. Do not leave knowledge to chance, because it is far too precious for that: plan for monitoring and evaluation in parallel to the preparation of legislation and relevant financial estimates! A guide for planning monitoring and evaluation during the legislative drafting is attached to this manual.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

List of References Colebatch, Hal K. 2004. 'Policy: Politička misao'. Zagreb. European Commission. 2009. 'Impact Assessment Guidelines'. SEC (2009) 92. <http://ec.europa.eu/governance/impact/commission_guidelines/docs/iag_2009_en.pdf> Fazi, Elodie and Jeremy, Smith. 2008. 'Civilni dijalog Zagreb - Civil Dialogue: Making it Work Better'. Office for Cooperation with NGOs: Government of Croatia <http://www.uzuvrh.hr/UserFiles/Civilni%20dijalog(4).pdf> Grdešić, Ivan. 2006. 'Osnove analize javnih politika' – 'Introduction to Policy Analysis'. Zagreb: Faculty of Political Science. Howlett, Michael and Ramesh, M. 1995. 'Studying Public Policy. Policy Cycles and Policy Subsystems'. Toronto, New York, Oxford: Oxford University Press. Kirkpatric, Colin and Clive, George. 2008. 'Priručnik o procjeni učinka. Detaljan vodič za državne službenike i sudionike iz poslovnog sektora i civilnog društva'. – 'Impact Assessment Manual – a Detailed Guide for Civil Servants and Business and Civil Society Sector Stakeholders'. Zagreb: Pohl Consulting & Associates, published within the Bizimpact Project, funded by EU <www.bizimpact.hr> OECD - Jan Klasinc, Anton (author). 2004. 'Građani kao partneri - informiranje, konzultiranje i participiranje javnosti u kreiranju provedbene politike' (Citizens as partners - information, consultation and public participation in policy-making). 2001. Zagreb: Oksimoron. <http://browse.oecdbookshop.org/oecd/pdfs/browseit/4201141E.PDF> OECD/SIGMA. 2007. 'The Role of Ministries in the Policy System: Policy Development, Monitoring and Evaluation'. Sigma: Paper No. 39. <http://www.olis.oecd.org/olis/2007doc.nsf/LinkTo/NT00000D3E/$FILE/JT03224116.PDF> Translation in BiH available via UNDP BiH titled 'Uloga ministarstava u sistemu javnih politika: razvoj, praćenje i procjena javnih politika'. Legislative Reform Advisory Board (Savjetodavni odbor za reformu zakonodavstva). 2006. 'Priručnik za izradu pravnih propisa: tehnički uslovi i stil' – (Legislative Drafting Manual (technical requirements and style). Sarajevo: Ministry of Justice of BiH. Available at: <www.mpr.gov.ba> and <www.ads.gov.ba/obuke/biblio> Schmeer, Kammi. 1999. Stakeholder Analysis Guidelines”, in: Policy Toolkit for Strengthening Health Sector Reform, Abt Associates, Inc., Bethesda, MD. http://www.healthsystems2020.org/files/1005_file_lacpolicytoolkitforHSR_EN2.pdf Toritsyn, Arkadi. 2009. 'Ex-ante Policy Impact Assessment vis-a-vis Vulnerable Groups in South Eastern Europe: Guide for Practitioners'. Bratislava: UNDP Europe and the CIS Bratislava Regional Centre. Weiss, Carol H. 1998. 'Evaluation: Second Edition. Upper Saddle River, NJ, USA: Prentice Hall. Young, Eóin and Quinn, Lisa. 2002/2007. 'Pisanje djelotvornih prijedloga javnih politika. Vodič za policy savjetnike u zemljama Središnje i Istočne Europe' – (Writing Effective Policy Proposals. Guide for Policy Advisors in Central and Eastern European Countries). Zagreb: DIM - Association for Civic Education and Social Development.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 1 Form used to Create an Analytical basis for Regulation Development and Adoption TITLE: (ANALYTICAL BASIS FOR DEVELOPMENT AND ADOPTION OF REGULATION XXX) PROPONENT: (The Ministry) WORKING GROUP MEMBERS: MENTORSHIP: DATE:

A. Problem definition/subject of a regulation A1. What is the main reason for the introduction of a regulation and what areas or social groups will it directly affect? Please list the problems that the regulation is attempting to resolve or prevent from occurring. You need to explain the stated problems and to describe them as precisely as possible. If there are several factors causing the problem or that have different kinds of impact, please list the impact and the intensity of that impact for each of the factors individually. Focus on the essence of the cause of the problem and not merely its symptoms. Also, list the areas (i.e., economy or specific social groups) directly affected by the problem. Identification of the problem itself and the cause and effect relationship are necessary in order to find possible solutions and reject those that are inappropriate, considering the actual nature of the problem. A2. Why is it necessary to adopt a new regulation or amend the existing one and to what extent can we expect a new Act to resolve the problem? Please state the reasons justifying the need for the adoption of a new regulation or the reasons why the existing one, regulating that area, should be amended. While evaluating the existing legislative framework, attention should be paid to the impact of the Act in practice, namely its implementation or in the event that the Act is inefficient state the reasons why. You should also state whether the new document would resolve the existing problem entirely or partially. If only a partial resolution is expected, please list what the solution consists of and in addition, describe the possible consequences of a status quo solution. A3. What is the legal basis for the adoption of the document?

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

B. Objective Please state, as precisely as possible, the objective behind the introduction of a new or changes to an existing Act. By establishing the primary objective that is supposed to be achieved by the Act along with its expected impact we can provide an answer as to what the relevant authority wants to achieve through this Act. At the same time, we are trying to assist in finding and select the best possible solution to achieve the set objective. When assessing the expected impact, state the goal in terms of the benefits that will derive from this document. Please describe the compliance of this Act with other relevant acts, strategic documents, legislation and or bylaws, the European Convention on Human Rights, the Acquis Communautaire and other international agreements.

C. Key stakeholders Which bodies should be consulted during the preparation of the Act in question and in what manner and at what stage of the preparation? Briefly describe the main consultation activities and describe how consultations have affected the development of the hypothesis i.e., the development of the Act by each preparation stage as well as the final content of the hypothesis or the content of the Act. If a stakeholder map or analysis has been developed, please attach.

D. Proposal of measures Possible measures (options) to be taken in order to achieve the objective i.e., in order to resolve the problem, should be taken into consideration at the earliest possible stage of the preparation, even during the development of the hypothesis. Present all of the options that were considered yet rejected prior to the full evaluation (using questions from different questionnaires) and explain why they were rejected. It is usually possible to eliminate some of the proposed measures using preliminary evaluation, which leaves a feasible number of alternatives to be further analysed. When selecting potential measures one should take under consideration those that are most applicable and realistic, meaning that attention should be focused on the problem itself and efficiency in terms of the achievement of the expected objective. You should summarise the expected impact that will result from the measures that you have assessed as being relevant, together with the solution. The ideal situation would be to select 3 different options including the status quo option. D1. Comparative solutions Briefly describe the appropriate legislative solutions in at least two neighbouring countries (Slovenia, Croatia, Macedonia, Serbia or Montenegro) and/or at least two EU member countries (primarily those countries with complex administrative structures such as. Germany, Belgium, Austria, Italy, Spain, etc.) that you perhaps used as a model to select the appropriate solution. Use a table for clarity and comparison purposes. D2. Impact of proposed measures: economic, social and environmental In the attached table, make an estimate of the impact of the proposed measures (by questions selected as relevant for the Act being developed) in relation to the following: (a) “economic effects” – macroeconomic and microeconomic effects, particularly in terms of economic growth and competitiveness; the impact on technological development and innovation, changes in terms of domestic and foreign investment, additional direct and indirect costs for the business sector, the impact in terms of an increase or decrease in consumer prices, etc; b) “social impact”- the impact in terms of labour relations and subject to this human rights, employment, gender equality, health, social security, consumer rights, poverty education, culture, distribution effects with regard to income in individual sectors, categories of consumers or workers, etc; c) “impact in terms of environmental protection” - climate change, air pollution, water and soil, the effect on flora and fauna, the effect on renewable and non-renewable natural resources (I.e., water, forests, minerals, ore, etc).

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH D3. Assessment of the further impact and additional information If the introduction of this Act would affect relations with other countries describe them, whether negative or positive in nature. In addition, provide a timeframe in terms of the duration of such effects (short-term, medium-term or long-term effects). Please list the authority responsible for the development of the study, risk and vulnerability analysis, and the data used as well as the period during which these were developed, please describe the results collected thus far in detail. In the event that the existing Act is to be changed or amended or a new Act is to be drafted to replace the existing regulations in a certain domain, please state if any studies or analyses have been conducted for the purpose of drafting the existing Act? D4. Fiscal assessment of measures Summarise the major results of the comparative assessment of the fiscal impact by underlining the expected structure of costs, burden on budgets, possible funding from other sources (public budgets or dedicated funds) and taking into consideration the cost of employees, regular implementation costs and additional costs (investment in infrastructure, etc). Please state if in a multi-annual implementation period (of at least three years) the consistency, decrease or increase of certain costs is expected as well as any changes in terms of sources of funding. D5. Justification: rationale of the measure or option selected Please list the criteria you used to select an option (group of measures) and explain why the selected option is the most favourable in relation to its economic, social, environmental and fiscal impact. List the stakeholders that participated in the selection of the option.

E. Development of an implementation plan List the body (or bodies) that would be in charge of the implementation of the Act and describe how it will be implemented? Briefly describe the organisational structure of that body in accordance with its internal rulebook, number of staff and their qualifications as well as its management structure. In addition, assess if there are needs in terms of training staff that will be engaged in the implementation of this Act and provide a short overview of the training plan. Estimate the implementation costs taking into account whether the body in charge has sufficient experts and resources available. Based on that, you should establish whether there are factors present that could impede the implementation and to what degree. Please state whether it is necessary for other levels of government in RS or BiH to adapt their regulations, within the area in question, or to align their existing legislation or individual provisions through the introduction of a new act, also state in what timeframe. You should also check if they are already aware of the need. All of the above mentioned is necessary in order to establish if, following its adoption, the Act would enter into force immediately or if it requires a certain period between its entry into force and the start of its implementation or the implementation of some of its provisions. This is in order to allow other government levels in BiH to be able to adapt their regulations in time or to complete the necessary realignments. Please state whether the adoption of bylaws/implementation of regulations is necessary in order to implement this Act. If yes, what are the required implementation regulations, who is in charge and what is the deadline for its preparation? Please describe how you intend to present a communications strategy and the plan of clarification for the new Act and its specific requirements related to citizens, NGOs, industry, the business sector etc. This is in order for them to be able to meet the minimum requirements in terms of its implementation and enforcement (i.e., via the Internet, radio interviews, television, in newspapers, via seminars, etc).

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

F. Monitoring and evaluation Please state how the implementation of the Act would be monitored and who will be in charge of monitoring. Are any sanctions planned for dealing with possible violations and what will be the nature of these sanctions? If an impact assessment/analysis is foreseen with regard to the implementation of the Act upon its entry into force, please state who will be in charge of such an assessment/analysis, what the purpose of such an analysis is and what is the deadline for its completion starting from the date that the Act comes into force. The implementation impact assessment of an act upon its entry into force is known as an “ex-post” assessment/analysis in EU countries. Please bear in mind that the ex-post assessment/analysis is not the same as implementation supervision. Compared to the supervision of the implementation of an act, an “ex-post” assessment/analysis is a critical and fair review of an act and an assessment of its success when it comes to the realisation of a stated goal stated, whereas the supervision (scrutiny) refers to the application of a routine progress control based on the plan and resources.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 2 Guide for Policy Options Impact Assessment

In accordance with recommendations from the EC Impact Assessment Manual, these analytical steps have been combined into three steps to be used to introduce efficiency into analysis, while the detailed assessment is conducted only with regard to the major expected impacts. Additional source of information: European Commission. 2009. 'Impact Assessment Guidelines'. SEC (2009) 92. <http://ec.europa.eu/governance/impact/commission_guidelines/docs/iag_2009_en.pdf>

Step 1: Identification of the Potential Impact of each Option A. In a joint meeting, use brainstorming to state the economic, social and environmental impact of each option that appears relevant and write them down. Option 1 Economic impact

Social impact

Environmental impact

Social impact

Environmental impact

Social impact

Environmental impact

Option 2 Economic impact

Option 3 Economic impact

B. Please identify, using the Impact Assessment Matrix (Excel form) based on the EC IA Guidelines 2005 (pages 29-32), the specific economic, environmental and social impact of each policy development option (Option 1, Option 2 and Option 3) by checking if some of the proposed impacts are relevant at all (mark the relevant ones with 1). The initial guidelines in this regard are the initial impacts list that you generated during the joint brainstorming (activity A).

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Step 2: Qualitative Assessment and Identification of the most Important Impacts A. Using the same matrix and the Excel form sort only the relevant impacts and assess the magnitude of each of these impacts, using a scale where 3 means great impact, 2 medium impact and 1 minor impact. In the following column, mark if such an impact is primarily positive or negative. It would be recommendable for this part of the analysis to be conducted individually or in pairs, dependant upon the level of expertise (individual task). B. During a joint meeting, select the impacts that you consider to be the most important (graded 3 or 2) and sort the Impact Assessment Matrix tables so that only these will be visible for further analysis.

Step 3: In-depth Analysis of the most Significant Impacts A. Analyse the most important impacts using the Impact Assessment Matrix. â&#x20AC;˘

First, identify the available secondary sources of information (reports and studies) and the potential consultations with stakeholders needed.

â&#x20AC;˘

In accordance with the key assessment question and based on the sources mentioned, briefly present the main available quantitative and descriptive (qualitative) indicators and possible estimates for specific impacts.

â&#x20AC;˘

In the last column, interpret the data presented with regard to the question and give a descriptive assessment of how important a certain impact is and what is the nature of the impact.

B. Finally, make a comparative fiscal analysis for each of the options, using the form from the Matrix.

Conclusion: Comparative Overview of the Impact Assessment Findings for each of the Options Based on the conducted impact assessment and data collected using the Impact Assessment Matrix, provide a summarised narrative of the most important impacts of each of the options, using the below questions. 1. What are the possible and most important costs and benefits of each option with regard to economic development, social development, the social status of different social groups and the environment? 2. What are the risks and problems expected in terms of political acceptance for each of the options? 3. What are the risks and problems expected in terms of implementation for each of the options (funding, administrative capacities, the coordination preparedness of non-institutional stakeholders in terms of their cooperation in implementation)? Such a comparative overview should serve as the basis for the decision on the optimum option choice, with regard to set criteria (effectiveness, efficiency, sustainability, coherence with other policies and regulations) that should be refined together. The key stakeholders should be involved in reaching the decision on the choice of option.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 3 Guidelines for Stakeholder Analysis and Consultations Step 1: Identifying all of the stakeholders Key question: What formal and informal stakeholders have been involved and interested in this problem area and policy? Sources of information on stakeholders: the direct experience of implementation of a certain policy, media coverage of a certain problem area and or policy, studies on a certain problem area, reports and other documents on the implementation of relevant policies. Task: Using the policy process horizontal and vertical dimensions graph, additional questions and the brainstorming technique (a free and joint listing of all of the ideas) identify all of the stakeholders related to the policy that you are preparing. 1. Please list the titles (names) of the specific stakeholders that were engaged in or that expressed their interest in this problem and or policy. Bear in mind that organisations and institutions as well as prominent individuals (certain political officials, experts, journalists and activists) can have a strong influence on decision-making and or public opinion with regard to the policy that you are developing. 2. In addition to their title, please mark whether they have a formal (F) or an informal (N) status when it comes to the adoption of the policy you are preparing. Policy process: horizontal and vertical dimensions Oversight: judiciary and regulatory agencies

Specialist government agencies

Policymakers at the national and sub-national (entity) level: legislative and executive government

Direct policy implementers: public administration

Regional decision makers

International stakeholders Parliamentary political parties (leaders, clubs, prominent individuals)

Social partners (trade unions, the business sector) NGOs, religious communities Media and the public at large

Experts (institutes, universities) Regional and local administration

Directly affected social groups

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH Additional questions: 1. Which stakeholders have participated thus far in the adoption and implementation of this and other relevant policies? 2. Which stakeholders are necessary for the realisation of the policy objectives? 3. Which stakeholders would be directly affected by this policy? 4. How will the policy affect women, youth, elderly and similar groups? 5. Who, in all probability, will actively oppose the policy? 6. Who are those that will actively advocate for and support the policy? 7. Which stakeholders can affect public opinion with regard to this policy?

Step 2: Identification of Key stakeholders 1. Based on the stakeholders map, define the relevant features for each of the stakeholders and develop the stakeholder table. Table: Stakeholders' Interest and Influence Analysis Stakeholder

LEVEL OF INTEREST in a specific policy (high = 3, medium = 2, low =1) Note: highly interested stakeholders should address those social groups directly affected by the policy, even if they do not actively participate in the process.

LEVEL OF INFLUENCE in terms of the adoption or successful implementation of the policy (high = 3, medium = 2, low =1)

ATTITUDE towards the planned policy (positive = +, neutral = 0, negative = -)

1. Based on the stakeholder interest and influence analysis, classify stakeholders into the following matrix based on their importance (relation between their interest in the policy and their level of influence over the policy) for the process and thereby recognise the key stakeholders that the proponent of the Law (Government) has to take into account. Selection of Key Stakeholders: Matrix High

Monitor their attitude - secondary

Key stakeholders

Do not pay attention

Must take their interests into consideration - secondary

STAKEHOLDER'S INFLUENCE

Low Low

STAKEHOLDER INTEREST

High

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Step 3: Detailed stakeholder analysis and directly affected social groups Please analyse and describe the following features using the questions stated and the table attached, for each of the stakeholders classified within the matrix as a key stakeholder as well as for those groups that will be directly affected by the policy (despite the fact that they might not have significant influence over the policy itself). 1. State the stakeholder's title (name) and contact details: • full organisation title or the name of the prominent individual; • first name and surname of the person in charge; • contact details, including the website address. 2. What is the institutional status of the stakeholder within the policy making process? • Does the stakeholder have a legal obligation to participate in the policy making process and related regulations, if yes, what is the legal basis? • If it is an informal stakeholder, what specific institutional possibilities in terms of action does the stakeholder have at its/his/her disposal with regard to the policy? • Has that stakeholder already been involved into a particular working group or consultation with regard to this or previous similar policy development? Conclusion (record it in the table): state if this stakeholder plays a formal or informal role with regard to the specific policy making process and if this stakeholder has yet been included in any of the decision-making bodies. 3. What is the actual level of the stakeholder's knowledge concerning the specific policy? • What are the aspects of the policy that the stakeholder is familiar with to a satisfactory degree? What are the aspects that it/he/she is not familiar with? • What are the sources of information and knowledge (expertise) that this stakeholder probably relies on? • Is the level of knowledge sufficient and will it enable the stakeholder to participate in the policy making process as an informed participant? • What additionally information should be provided for the stakeholder? Conclusion (record it in the table): assess the level of knowledge of each participant in terms of its/his/her ability to participate in the policy making process as an informed participant on a scale of 3 = high, 2 = medium but satisfactory and 1= low and insufficient. 4. What is the major interest of the stakeholder in terms of policy? • To what degree does the mandate and purpose of the stakeholder's actions coincide with the policy objectives? • What are the specific expectations that the stakeholder has in terms of specific policy? • What are the concrete benefits in terms of its/his/her position that this stakeholder can achieve by implementation of the policy? • What personal cost/damage can this stakeholder eliminate or generate through policy implementation? Conclusion (record it in the table): the key expectations of the specific stakeholder with regard to the specific policy and specific policy objective that suited the stakeholder the most. 5. What is the attitude of this stakeholder towards the future policy? • What has been the attitude of the stakeholder with regard to the policy and previous relevant policies during the public debates and political decision-making to date? • What would be the expected attitude of the stakeholder with regard to the policy's main objective, considering the recognised interests and expectations that this stakeholder has in terms of the specific policy? Would it be supportive (actively, passively/tacitly), neutral or negative (extremely negative, restrained or negative only with regard to certain policy aspects)? • What are the circumstances under which this stakeholder would provide support for the policy? What would that imply in terms of defining specific policy objectives? • Under which conditions would it be possible to reduce the resistance of this stakeholder to the policy? What would that imply in terms of defining specific policy objectives? Conclusion (record it in the table): general attitude of the stakeholder with regard to the policy described as positive, neutral or negative and a brief description of the reasons for such an attitude.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH 6. Which alliances are available to the stakeholder in its/his/her/ activities with regard to the specific policy? Pleas note: the establishment of alliances primarily refers to political parties and informal stakeholders and therefore such an analysis is not necessary for all formal stakeholders. • • • • •

How active, generally speaking, is this stakeholder in terms of establishing alliances and joint actions? What other stakeholders (in terms of the concrete policy but also in general) does the stakeholder have (longterm) connections with and jointly act? Which are the stakeholders that this stakeholder has cooperated and acted jointly with concerning the policy? Which are the stakeholders that this stakeholder will be unlikely to cooperate with or will hardly cooperate with, due to poor previous relations, despite the fact that they share common interests? What other stakeholders can probably provide support to this stakeholder in order to advocate for their interests?

Conclusion (record it in the table): what are the key alliances that this stakeholder has established or could easily establish in order to incorporate them in affecting the adoption of this policy and its content. 7. How and to what degree can this stakeholder affect the policy? • To what degree may this stakeholder directly influence the major decision makers in charge of the specific policy? What institutional channels may it/he/she use? • To what degree does a formal status within the political decision-making process enable this stakeholder to influence the content and the timing of the adoption of the policy in question? • What are the potential sources of power of this stakeholder (formal decision-making mandate, power to decide on financial resources, professional authority and expertise, specific alliances with other stakeholders, namely international institutions, the media, the public at large, etc)? • To what extent do the alliances of this stakeholder enable it/him/her to influence the content and timing for the adoption of the policy in question? • How influential is this stakeholder in terms of influencing public opinion on the policy in question? • How interested is this stakeholder and how capable of realising its/his/her potential influence over the policy? Conclusion (record it in the table): assessment of the expected level of influence of this stakeholder regarding this policy (high, medium or low). 8. How can we reduce the resistance of this stakeholder to the policy and is there potential that this stakeholder might develop a positive standpoint and how to assure its/his/her active support for the policy? Please note: Here, you should summarise the findings of the analysis of stakeholder features referring to the possibility to react with regard to each of the stakeholders, via informing, the consultation process, negotiation, engagement within the policy making process and relations with the media and the public at large. • •

• •

What aspects would this stakeholders need to be additionally informed about in order to be able to participate in the policy making process as an informed participant? What kind of effect would the modification of specific objectives and policy options have on this stakeholder in terms of its/his/her main interests and the provision of stronger support or reduce resistance? How can we influence the attitude of this stakeholder via potential agents/allies? In what way should we act with regard to this stakeholder (informing, direct engagement in the policy making process, consultation, indirectly via the media, campaigns, etc)?

Conclusion (record it in the table): summarise the main possibilities that the ministry has to work with this stakeholder in order to obtain a higher level of support for the policy. Identify stakeholders that require proactive action, where such proactive action is absolutely critical in terms of policy performance (success). Please note: concerning the display of detailed stakeholder analysis findings, such findings of stakeholder features should be displayed using the attached table. You can use to it to summarise the major findings and thus enable a quick review and comparison of all stakeholders. In an additional narrative, provide details on each of the key stakeholders and summarise the recommendations for action in order to increase their level of support or to reduce their expected resistance.

In addition, provide a narrative each stakeholder and finally summarise the main recommendations for priority forms of action towards all stakeholders. This would create the for the planning of the consultation process. Title/name of the stakeholder (organisation/ institution/ individual)

2. Status within the process (formal/ informal)

Detailed key stakeholder analysis table

3. Knowledge on the policy in cases 1-2-3 4. Main interest expectations and a specific objective that suits the stakeholder

5. Attitude towards the policy +/ 0 / 6. Alliances (actual and certain)

7. Influence on policy

8. Potential in terms of reducing resistance/ ensuring active support for the policy

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 4 Consultation Process Plan A. An Overview of Individual Stakeholders that will Participate in Consultations (based on the stakeholder analysis) a. Stakeholder title (name) of an institution, organisation or a prominent individual b. Relevance of stakeholders (a short description of the relevance of a specific stakeholder with regard to the policy based on the stakeholder analysis) c. Representatives of stakeholder (specific persons) d. Contact details e. Specific objective of the consultations with a specific stakeholder f. Specific subject and content of consultations with a specific stakeholder g. Consultation deadline h. Consultation methods in line with the principles of efficiency and suitability for a target group i. Necessary preparations with regard to the consultations j. Person in charge of conducting consultations with a specific stakeholder k. Are any additional financial resources required in order to conduct these consultations B. Consultation Activity Plan (methods) Please note: do not forget to include the following: â&#x20AC;˘ preparatory activities (i.e., invitations, preparatory material to serve as a basis and announcements via the Internet); â&#x20AC;˘ follow-up activities to provide feedback information to the consulted stakeholders (letters, the publication of reports by consultations). Activity Deadline

Preparation Stakeholders Consultation (preparatory involved objective (titles/names) activities)

Resources needed (funds and equipment)

Person in charge

C. Common Directory of all Stakeholders Planned for Consultion Title (name) of the stakeholder (institution, organisation or individual)

Contact person

Contact details (e-mail, telephone and address)

Names of persons form a specific institution/ organisation that should be involved (if known)

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 5 Planning Guide for Monitoring and Evaluation (assessment) of Impacts during the Policy and Regulation Development Phase 1.

Based on a problem analysis, objectives are defined along with the main policy measures (the Problem Tree and the Objectives Tree): based on general and specific objectives, define 1-3 performance indicators; for each measure, determine the institutions that will be in charge of their implementation; for each measure, determine the institutions that will be in charge of their monitoring and scrutiny (supervision); d. for each measure, determine the key questions to be used for implementation monitoring. a. b. c.

2. Consideration should be given to the question of whether there is a need to establish a specialised body that would be in charge of the monitoring of the overall legislation impact. YES / NO a. If yes, what would this body consist of, under which ministry would it operate and what would be its main duties and tasks? Would the introduction of such a body require additional financial costs? If yes, what would be the amount of these costs? 3. Propose of a mandatory form of reporting on the implementation and impact of legislation to show how often andwhich institution and sector should report andto which institution â&#x20AC;&#x201C; a single one or several? 4. Which institution (and sector within the institution) should be in charge of the coordination of monitoring and reporting on the regulation/policy implementation? a. What is the minimum of personnel needed to conduct such a task? b. Have the personnel and the related funding been provided for or is this envisaged within additional costs related to the introduction of the regulation or policy? c. Please state the minimum amount of additional financial costs. 5. Define the basic parameters of the mandatory general legislation impact review (analysis). a. b. c. d.

After how many years of implementation should the legislative review be conducted? Which institution is in charge of the impact review? What would be more useful: an internal or external/independent review? What associate organisations and institutions should be involved?

6. Should the monitoring and evaluation of the impact be additionally regulated through implementation regulations? 7. a. If yes, how is this to be done (rulebook, instructions, guidelines or form)?

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Annex 6 Presence of the Gender Perspective in Consultations with Stakeholders

A very important “input” is that of the gender perspective and gender mainstreaming at the policy development level. In the next few paragraphs, we provide several general suggestions for discussion of the gender topic in cooperation and partnership with the government and stakeholder representatives in order to provide and lobby for the presence of the gender perspective within the policy development process. •

Use arguments and data from existing studies and the legislative framework, such as the obligation of government institutions to implement the United Nations Convention on the Elimination of all forms of Discrimination Against Women, the Beijing Platform for Action and the Millennium Development Goals.

•

Use gender related data and indicators from Millennium Development Goals.

•

Discuss the potential of gender mainstreaming in terms of enriching the development processes and at the same time ensure that the services are available to both female and male users.

•

Use examples of successful policies adopted with well mainstreamed gender issues.

•

Always provide information both as statistical data and qualitative information on the existence of gender inequalities. Useful sources are the United Nations Development Programme (UNDP) human development reports.

•

From time to time, we can hear arguments that women are to blame for not taking advantage of the opportunities that are available to them. Ensure that the discussion focuses on the specific policy that is being developed and explain why women do not access certain jobs, including the present stereotypes, restrictive environment as well as the lack of information on rights and new features.

•

Consult the representatives of institutional mechanisms in charge of gender issues as well as the representatives of developed women's NGOs.

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

NOTES

POLICY DEVELOPMENT MANUAL FOR CIVIL SERVANTS IN BiH

Bosnia and Herzegovina

Republic of Srpska

Federation of Bosnia and Herzegovina