Po li c y

Manual

Policy Manual
1
 Table of Contents

Page

■■ Preface 2

■■ Introducing Policy 6

■■ Policy Preparation 18

■■ Study & Recommendation 32

■■ Monitor and Review 60

■■ Tools and Techniques 68

Policy Manual
1
 This manual can serve as a guide for anyone in Strategy of the UAE, satisfy their organizations’
the public sector on how to develop a policy. It stakeholders and provide better public services
is specifically addressed to policy development in the future.
teams working within the Federal Government
Entities (FGEs) of the United Arab Emirates Each chapter will be organized in a similar
(UAE). manner; beginning with its purpose and
definitions of some key terms, followed by
It is based on the premise that leaders and the content including a case example where
managers of public organizations should develop appropriate, and ending with a list of key
and enact effective policies so that they can learnings.
help fulfill the Vision and Federal Government

Policy Preparation

The content
Preface Preface belonging
to each step
This chapter points out the reasons for policy
preparation, describes its role in the policy
making process and highlights its essential
• Policy development teams: are responsible
for monitoring the need for, assessing
and defining the policies pursued by the
of the Policy characteristics. It also sets out the steps in policy government
preparation and gives worked examples of the • Stakeholder: individual or entity who
Development challenges needed to be addressed. It does so by can affect or is affected by the policy
Cycle will be answering the following questions: development.
clearly outlined • What part does Policy Preparation • Stakeholder Management: is the
play in the overall policy development systematic identification, analysis and
process? planning of actions to communicate to,
• What are the main characteristics of the influence and manage stakeholders.
Policy Preparation Phase? • Logic Tree: a tool used in solving problems, in
• What are the key steps in Policy which a problem (in the form of a question)
Preparation? is broken down into sub-questions which
represent potential solutions to the problem.
• What are the key learnings? Each sub-question can be potentially
The definitions of some of the key terms used in broken down again into sub-questions. It is
this chapter are outlined below: important to note that questions and sub-
questions should not be overlapping, but
Key definitions • Policies are a definite course or method be hierarchical (i.e. potentially solving the
of action selected from among alternatives “predecessor”-question)
are provided in to guide and determine present and future
the beginning of decisions
each chapter

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Chapter 1 | Policy Preparation 17

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2 Preface Preface 3
 1.4 What are the key learnings?
At the end of
each chapter, a
key learnings list
No. Key Learnings 4 will be provided
1 Have we broken down the issue using either the 5W-1H or PESTLE approaches? to ensure that
all the steps
2 Have we determined all information needed and the time required to do so?
outlined have
3 Have we decided on the potential actions required to address the issue? been taken
4 Have we considered the question: “What if we do nothing?”

5 Have we proposed the necessary actions to the Minister / Director General via a Policy
Preparation Findings template?

Policy Manual
28 Chapter 1 | What are the key learnings?

Users of this manual must be mindful that the to be most suitable for developing policies
field of policy making is a vast and complex for the UAE, to unify the terminologies and
field that has been studied for centuries. This approaches used within the UAE government,
has led to the development of varying schools to enhance the capabilities of governmental
of thought and numerous methodologies for entities, as well as to encourage innovations and
developing policies. Therefore, this manual aims creativity in developing policies for the UAE.
to provide the user with the methodology found

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4 5
 This chapter provides some vital introductory • What are the different types of policy needs?
references in the context of policy making.
It does so by defining policies and how they • What are the characteristics of successful
should be designed and delivered, discussing policies?
the importance of policy making, differentiation • What does the policy development process
between policies and laws and defining the look like?
characteristics of successful policy making.
The definitions of some of the key terms used in
Furthermore, this chapter also delves into the this chapter are outlined below:
potential sources for policy needs, the types of
stakeholders that can influence policy decisions, • Policies are a definite course or method of
as well as provide a short overview of the three action selected from among alternatives
stages of the policy development process - each to guide and determine present and future
of which is further elaborated in subsequent decisions
chapters in this manual.
• Policy development teams are responsible
All of these topics are covered by addressing the for monitoring the need for, assessing
below series of questions: and defining the policies pursued by the
government
• What are policies and how should they be
Introduction Introducing Policy designed and delivered? • Strategy is the method chosen by an
organization to identify and reach specific
• Why is policy making important? goals. Strategy is a declaration of how the
• What is the difference between policy and organization will go about accomplishing its
law? mandate.

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6 Introducing Policy Introducing Policy 7
 What are policies and how should they be designed Why is policy making important?
and delivered?
The term ‘policy’ is generally taken to have two the mandate, strategy, and long term objectives The development of policies is critical to future By studying the implications of the developments
meanings. of the entity itself. planning and should be done in a proactive, on the country’s sectors, the government can
constant manner in order to adapt for the make important choices about the direction
• It can represent the choices made at the top In addition to being aligned with the strategic constantly evolving global environment in in which the country will go (e.g. requirements
of the government or its federal entities, direction of the federal government and the which we live. Some examples of changes in the for infrastructure development or long term
which consequently drive the direction, entity, policies must also be designed and global environment that need to be addressed stability of food supplies). In each sector the
priorities, values and goals of the government delivered with specific outcomes in mind via sound and well thought out polices are: government has a duty to study the challenge(s)
(e.g. health policies aimed at increasing life ahead, make informed choices and document
• It represents the choices and assumptions expectancy or education policies aimed at • Rising food prices
made in order to keep operations simple and these choices in a way that enables long term
enhancing the levels of literacy) • Climate change goals and objectives to be charted.
consistent, e.g. the creation of procurement
policies and procedures manuals. Furthermore, the implementation of policies • Obesity Governments can directly and decisively change
needs to include robust mechanisms and the environment, the supply framework or the
This document focuses on the former use of defined review processes to gather feedback and • Global Agreements
the word, i.e. in making the key choices for the demand side of the equation in any sector by
learnings so that they can be used to adapt the These developments influence many sectors, for organizing its policies and regulatory processes.
future, not the establishment of procedures. policy as needed - or even refine the strategic example: For example, by enacting a policy or series of
Given this definition, it is critical to note that direction if needed. policies that make healthcare services more
policy decisions made by FGEs must take into
• Economy
easily accessible, a Ministry of Health would
The below visual illustrates the concept
account the strategic direction of the UAE described above: • Energy directly influence demand and indirectly
federal government (i.e. Vision 2021 and Federal • Agriculture influence supply side dynamics. Similarly a
Government Strategy), as well as be aligned with Ministry of Economy could introduce policies
• Environment that would make it easier for foreign investors to
• Education set up and operate enterprises, thereby leading
to an influx of foreign investments and in turn
Feedback • Healthcare increased demand for services.

Goals

Strategic Policy
Futures Delivery Outcomes
Direction Design

Constraints

Analysis
&
Learning

Adaptability

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8 What are policies and how should they be designed and delivered? Why is policy making important? 9
 For example: In an Asian country, there is due to be disproportionate increase in the young adult What is the difference between policy and law?
population. Existing statistics strongly indicate that the parts of the population most likely to
grow are those with a higher disposable income. With this particular part of population growing,
the policy development team needs to consider the long term consequences of such a growth
in population:
• Such a change in population will affect the distribution and priorities. Can the One common area of misunderstanding and A law on the other hand sets out standards,
healthcare system deliver the changes in capacity where it is needed (the largest share misinterpretation is the difference between procedures and principles that must be followed
of the population will be seeking better emergency services, better primary care and policy and law. It is important to note that a and enables the government to put in place the
prevention, shorter length of stay in hospital)? policy outlines what a government entity hopes necessary institutional and legal frameworks to
to achieve and the methods and principles it achieve its aims, but cannot solely achieve the
• Will the education system be able to provide the quality of education with the level of will use to achieve them. A policy document outcome of a policy. Laws must be guided by
accountability demanded by this emerging population? is not a law, but it will often identify new laws current government policy. Additionally, if laws
• Can the transport sector accommodate the considerably higher volumes of both which serve as tools needed to achieve the are not followed, those responsible for breaking
people and goods on specific routes, whilst lowering the road traffic accident rate and policy goals. them can be prosecuted in court.
lost hours due to traffic congestion?
• Will the water and energy sector be able to deliver the energy, clean air, water and waste
management needed to come in line with international environmental targets?
After considering these consequences and introducing appropriate policies accordingly, a policy
development team knows it has engaged in sound policy making if the policies result in:
• Improved healthcare systems resulting in better treatment, prevention and shorter
length of stay in hospitals
• Enhanced educational systems accommodating increasing population in a sustainable
manner while keeping or even improving the quality of teaching
• Improved road infrastructure with capacity increase lowering traffic congestion and
lowering accidents rates
• Sustainable environmental targets implemented across all sectors, but primarily
focusing on the Energy and Water sector
Therefore policy making is the essential tool to influence and control the future developments
of a country.

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10 Why is policy making important? What is the difference between policy and law? 11
 What are the types of policy needs? What are the characteristics of successful policies?

In order to understand the reasons for engaging Government always experiences the need for In addition to the need to maintain a long term of successful policy making. These are illustrated
in a policy development exercise, it is important policy development or policy review in one of view that is aligned with the federal and entity in the below diagram:
to look at the various types of policy needs: three ways: strategy, there are six additional characteristics

Window of Policy Experienced as Examples Incorporation of intl. best

Evidence Based Validation of Assumptions
practice
Urgent, short term ■■ Event, unexpected, of serious consequence, usually ■■ Natural disasters, e.g. pandemics
(Change needed causing public outrage Labour law infringement e.g. Incorporation of Stakeholder Assessment of Costs and
■■
Conduct an external review
in < 1 year) ■■ Requiring immediate and necessary decisions. payment to construction workers insights Benefits

Medium term (Change The need to modernize or evolve existing plans and A significant change in company
within 1 to 3 years)
■■

policies, alignment with best practice.

■■

law or labour law Evidence Based: One of the most important • They use information and data to govern
elements of policy making is basing policy
Long term ■■ The need to plan ahead to ensure that future ■■ For hospitals, roads, human decision on sound evidence (please refer • They have tackled a similar issue(s)
(Change > 3 years) populations have access to housing, education, etc capital for the future, to to Appendix on Tools and Techniques for
and to ensure the standards are in place to meet contribute to environmental o the information and methods used
additional details on data gathering).
emerging needs. recovery, to build the right
Health Planning, Education Infrastructure Planning. economy o the proposed solution
■■
Each federal entity should routinely collect
statistics to gather information regarding the o evidence for success (if available)
following four areas:
Urgent issues are usually attached to an and a preliminary case for refining an existing Potential sources for international benchmarking
unexpected event that requires immediate policy or developing a new policy is presented • Demand - The range, extent and volume of information can be the internet, policy institutes
decision-making to resolve such as pandemics to the Minister /Undersecretary. citizen needs or even other federal and local entities.
and natural disasters. In this case, the first duty
of a policy development team is to study the An example of a medium term policy need • Supply - The capacity and uptake of services Validation of Assumptions: While assumptions
would be labor law reforms. Such an issue may often need to be made when utilizing evidence,
issue swiftly (but not hastily) and present the
not require immediate action but a policy
• Quality - The standards of services it is beneficial to validate that the assumptions
conclusions to the Minister / Undersecretary
for decision-making purposes. If deemed development team would need to initiate a • Prices - The value of the service in monetary being made are in context. An example of
necessary, the policy team will assure all policy preparation process to study the issue terms putting things in context would be assessing
relevant stakeholders through the appropriate further and ensure that appropriate remedial whether a growth rate applied in another
communication channels that the issue is being measures could be put in place within a 1-3 year It is important to note that although vast country is valid for the local environment. For
studied and commit to keeping them informed time frame. amounts of evidence may be collected, only example, while Singapore may forecast an x%
of progress. Once a commitment is made by the some of the information collected is of genuine increase in demand for chronic healthcare
Similarly, when long term issues arise, a policy value. needs, x% may not be a valid growth rate for the
Minister / Undersecretary to act upon the issue, development process is initiated much like when
the policy development team must initiate UAE given a different population mix (i.e. ethnic,
dealing with medium term issues. However, the Incorporation of International Best Practices: age distribution, etc.), population growth rate,
a policy development process to ensure that only difference is that policy decisions associated Another key characteristic of successful
the commitment is met, and study the matter etc.
with long term issues need to be more mindful policy making is leveraging of international
thoroughly to ensure that any possible medium of consequences in the future (more than 3 benchmarks from similar countries to see how…
or long-term consequences of the issue are years away). An example of such an issue might
considered and resolved. be the long term health risks associated with
When issues with medium term (1-3 years) diabetes or childhood obesity. While both of
urgency arise, a policy development team may these are valid concerns that need to start being
not need to act as urgently or as decisively as tackled in the medium term, the adverse effects
in the case of urgent issues, however, the team associated with these disorders will not likely to
would need to ensure that a policy development be felt for another 5-10 years.
process is initiated in a reasonable time frame

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12 What are the types of policy needs? What are the characteristics of successful policies? 13
 Incorporation of stakeholder Insights: While the
government is often the source of vital statistics
building credibility of a policy proposal. Such a
review can be done by encouraging local and/or Where does a policy need arise?
regarding the country’s population, it is possible foreign experts or focus groups to present their
to seek out any additional credible data and / or evidence and experiences on issues which are
evidence that may be gathered by and available on the long term horizon. Sponsoring regular
via a stakeholder. Specific stakeholders that external reviews can lead to a more solid policy.
often have access to credible information are There can be varying origins for a policy need. the relevant FGE or directly to Cabinet to
aid agencies (e.g. UN, WHO, etc.), NGO’s (e.g. Assessment of costs of benefits: It is important While events, trends and even technological proceed with the requirements.
Doctors Without Borders, etc.) or even the to measure initiatives that will be part of a advances are often the source of a policy need,
business sector. In addition, to provision of policy based on the tradeoff between cost and the need for a policy will typically manifest
• Public: From time to time the public may
benefits. While cost(s) vs. benefit(s) may not be express grave concern about an issue leading
credible information, stakeholders may also be itself via an impact upon or change felt by to strong public outcry and media coverage
able to provide insight into possible approaches the only driver for enacting a policy decision, stakeholder(s).
engaging in this approach helps to develop of the issue.
for tackling an issue.
sound basis for justifying a policy decision. Each group of stakeholders varies considerably • Businesses: Businesses often highlight
Conduct an External Review: An external review in the way in which it can inform and influence problems for the government as they feel that
can be used as a basis for further validation and government policies. Therefore, different actions by the government can help solve
priorities and importance have to be considered the issue or will have a direct impact upon
with regards to the different stakeholders. Key mitigation of risks associated with an issue.
stakeholders are:
• Non Government Organisations (NGOs)
• Cabinet: At the very top of the federal and International Agen¬cies: While NGO’s
system is the Cabinet which may issue a and international agencies primarily focus
directive (essentially a high level policy) their attention on their ongoing mission,
which can affect more than one federal from time to time they will bring a serious
government entity. issue to the governments attention.
• FGEs: At many times, the FGEs themselves • Press and Media: Often the press and media
feel the need for initiating a policy. They can play a direct role in highlighting policy
either raise a policy proposal to the Cabinet needs by either writing about issues that
or proceed with a policy if it does not require may not otherwise by visible or providing
Cabinet approval. an outlet for already contentious issues
• Local Government Entities: Local and thereby making them much more of a
governments may feel the need for initiating concern.
a specific policy that could be within the The figure overleaf highlights examples of how
Federal Government’s specialties, in which different stakeholders may influence a policy
case they can raise a policy proposal to design:

Stakeholders Examples
1 Cabinet, Ministers, Inter- ■■ A Cabinet decision to upgrade the environmental footprint which in
departmental Projects, turn affects other branches of government such as energy, transport,
Legislative Process or other construction, waste management, education, justice
Government entities
2 The Public ■■ Strong public outcry over a combination of outdated laws or legal loopholes

3 ■■ Evolving the taxation framework, trade free zones and incentives for
Businesses the manufacturing sector in order to drive economic growth
4 ■■ The World Wildlife Fund driving the need for the country’s carbon
NGO sector footprint to be reviewed heavily
5 ■■ The harmonization of contract, company and humanitarian law with
International agencies World Trade Organization policy
6 Press and media ■■ Perceived slow action in the event of a natural disaster

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14 What are the characteristics of successful policies? Where does a policy need arise? 15
 What does the policy development process look like? with the final recommendation. The findings
are summarized to be presented to the Minister
policy development team hands over the policy
to the relevant team for implementation. This
/ Undersecretary for approval, and a policy is where effective policy oversight through
proposal is created should Cabinet request to measuring performance indicators and ongoing
view the policy. reviews takes place to ensure that the policy is
delivering the desired outcomes without having
Effective policy development requires a focus By the end of this phase, the policy Third: Monitor and Review any unintended adverse effects.
on long term outcomes, the inclusion of robust development team should have clearly defined The Monitor and Review phase is where the
evidence, careful analysis and the commitment desired objectives and outcomes, as well as a
of stakeholders. For these and many other recommendation for Minister / Undersecretary
reasons, policy work is best undertaken based as to whether the issue requires further analysis
on systematic foundations organized within in the form of a policy appraisal or if the
well-defined stages.The framework below government should do nothing.
outlines these phases and the remainder of this
manual will aim at explaining each of the phases Second: Study and Recommendation
in more detail. The Study and Recommendation phase is
conducted for those policy needs that have
passed the Policy Preparation stage and have
Policy Preparation been approved by the Undersecretary / Minister
to be further analyzed. This phase is divided into
3 sub-phases:
Startup: The Startup sub-phase is summed up of
creating the project team, defining project goals,
timeline, and desired outcomes, in addition to
securing stakeholder support.
Study & Assessment and Appraisal: The Assessment
Recommen- and Appraisal sup-phase is summed up of
Monitor
dation undertaking the analysis needed to incorporate
& Review
learnings from current and existing policies
that will guarantee achieving the desired
outcomes, developing initiatives using the
appropriate thinking tools, and the viability of
identified initiatives is assessed via input from
stakeholders and the development of a cost
First: Policy Preparation / benefit analysis. After that, outcome-based
performance indicators for the initiatives are
The Policy Preparation phase is focused on defined
Policy to ensure effective follow-up for policy
the observation and analysis of new issues or Setting
implementation.
current trends that may require the need to
develop a policy response. The process of a Recommendation: The Recommendation sub-
policy preparation is done via analysis of the phase is summed up of formulating a complete
issue, assessment of the external environment proposal package, beginning with the findings
and gathering of evidence. from the Policy Preparation phase and ending

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16 What does the policy development process look like? What does the policy development process look like? 17
 This chapter discusses policy preparation, • Policy development teams: are responsible
describes its role in the policy making process for monitoring the need for, assessing
and highlights its essential characteristics. It and defining the policies pursued by the
also sets out the steps in policy preparation and government
gives worked examples of the challenges needed • Stakeholder: individual or entity who
to be addressed. It does so by answering the can affect or is affected by the policy
following questions: development.
• What part does Policy Preparation • Stakeholder Management: is the
play in the overall policy development systematic identification, analysis and
process? planning of actions to communicate to,
• What are the main characteristics of the influence and manage stakeholders.
Policy Preparation Phase? • Logic Tree: a tool used in solving
• What are the key steps in Policy problems, in which a problem (in the
Preparation? form of a question) is broken down into
sub-questions which represent potential
• What are the key learnings? solutions to the problem. Each sub-
Chapter The definitions of some of the key terms used in question can be potentially broken down
this chapter are outlined below: again into sub-questions. It is important
Policy Preparation
1
to note that questions and sub-questions
• Policies: a definite course or method of should not be overlapping, but be
action selected from among alternatives hierarchical (i.e. potentially solving the
to guide and determine present and future “predecessor”-question)
decisions

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18 Chapter 1 | Policy Preparation Chapter 1 | Policy Preparation 19
 1.1 What part does Policy Preparation play in the 1.2 What are the main characteristics of the Policy
overall policy process? Preparation Phase?
Policy preparation is the first of three crucial complex issues to be allocated the time and A policy development team should adhere to arise and is able to prepare the Minister /
phases in policy making. The preparation phase resources needed in the policy appraisal phase the vital characteristics of policy preparation: Undersecretary, or the federal government
serves the purpose of a filtering function; its on the other hand. entity, for them.
role is to evaluate if an issue warrants further • Responsive and immediate: It should
study prior to the development of a policy or if The major tasks of the policy development be possible to give answers to urgent and • Understanding of key stakeholders: The
teams in this phase are: important questions and a plan for response policy development team must have a sense
the government should do nothing. The policy of the key stakeholders impacted by and/or
preparation phase is rapid, completed in a few should be provided within days.
• to study the issues interested in the policy issue, role and game
days (should not exceed one month), is entirely • Desk based: Policy preparation is purely desk plan of each stakeholder in the question, as
desk based, objective and yet responsive to the • to gather evidence based and requires the policy development well as in each ones potential answer.
issues. • to incorporate international best practice team to gather data that already exists
either from internal sources within the FGE, • Confidential: It is important in this phase
It is important to note that the vast majority • to define outcomes for the policy publications by other governmental and/ to keep the visibility of one’s thinking
of issues do not entail the need for a new processes away from the public eye. Analysis
or improved policy response. However, • to respond to their Minister / or non-governmental institutions, data on
Undersecretary rapidly the internet, industry publications and/ or therefore is based upon existing, usually
occasionally it is necessary to investigate a case commercial databases to name but a few. internal, resources, with information that
and have a fully informed, rapid, balanced, and In the general case where a further study and can be routinely accessed.
credible response ready.Therefore, the policy recommendation phase is needed, the Minister • Pre-emptive: The policy development team
preparation phase recognizes this need for / Undersecretary is provided a recommendation anticipates and is aware of issues that could
rapid response on the one hand and arranges stating this need.
sponsorship for the more serious, deeper and

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20 Chapter 1 | What part does Policy Preparation play in the overall policy process? Chapter 1 | What are the main characteristics of the Policy Preparation Phase? 21
 1.3 What are the key steps in Policy Preparation? Case Example: Childhood Obesity
The WHO has just issued a strongly worded report suggesting that an Asian country has one of the worst
childhood obesity rates in the world. What can the country’s policy development teams do?
The first step to fully understand the issue is developing a Logic Tree analysis which will help guide the
After introducing the framework for a policy the steps of policy preparation. There are four team in asking the right set of questions. The team utilized both a 6 questions approach as well as a PESTLE
preparation, this section looks at how to follow basic steps in all policy preparation processes: approach to break down the issue into questions

1 2 3 4 6 Questions Approach
Assess strategic
trends & gather Determine the actions
Analyze the issue required Propose the actions
evidence Areas Key Questions

What does the government want to achieve in relation to childhood obesity?

• What is the problem? What What adverse consequences of childhood obesity does the government want to
1 2 3 4 avoid?
Assess• strategic Determine
Why is government intervention the actions
necessary?
Analyze the issue Propose the actions
trends• & Who
gather evidence
is involved? required
Why Why is childhood obesity a problem, why now?
• When do we need to develop a response by?
In order to judge if the issue needs to be studied • Where is the problem situated? Who Who are the people/families/children/organizations affected by childhood obesity?
further via a study and recommendation,
the issue first needs to be fully understood • How big is the problem? How How can the government assist in resolving the problem of childhood obesity?
and analyzed. In order to fully understand an The second approach entails breaking down
issue, the issue should be broken down into the issue into the sub-components of a PESTLE When When does the government need to take action by?
the vital questions which address the various analysis. The sub-components of a PESTLE
subcomponents of the issue. analysis are Political, Economic, Socio-cultural, Where Where is the problem of childhood obesity most prevalent?
Technological, Legal and Environmental factors.
A recommended approach for structuring such 5W-1H Approach
Examples of such questions are:
an exercise is a Logic Tree analysis. (For more
details on Logic Trees please refer to Tools and • Political: What is the political context? PESTLE Approach
Techniques in the Appendix). Where does this fit with Government
strategic priorities? Areas Key Questions
For the purposes of a policy preparation, two
distinct approaches can be applied to Logic Tree • Economic: What are the economic impacts Political
What is the political context of childhood obesity?
development. of this issue? For government vs. business Where does healthcare fit within the governments strategic priorities?
and short term vs. long term?
The first approach entails breaking down the What are the economic impacts of childhood obesity? For government vs. business
issue via the application of the 6 questions • Socio-cultural: Is this a problem that affects Economic
and short term vs. long term?
approach (What, Why, Who, When, Where, all sectors of society?
and How). The theory behind the 6 questions • Technological: Are there technological tools Social Is childhood obesity a problem that affects all sectors of society?
approach is that questions using each of these to help deliver change, in the private and/or
can be used to get a “full” story on a topic public sector? Are there technological tools to help deliver change, in the private and/or public
Technological
(commonly used for this purpose in journalism sector?
and police investigations). The underlying • Legal: Is there a legal framework already in
principle is that each question should elicit a place to support any change in this area, or is Legal
Is there a legal framework already in place to support any change needed to address
factual answer - facts necessary to include for a new one required? childhood obesity, or is a new one required?
an issue to be completely assessed. Examples of • Environmental: How does this support or How does childhood obesity support or conflict with current environmental policies,
such questions are: conflict with current environmental policies, Environmental
internationally and nationally?
internationally and nationally?

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22 Chapter 1 | What are the key steps in Policy Preparation? Chapter 1 | What are the key steps in Policy Preparation? 23
 2 3 4
Assess strategic Determinechildren in the country provided by other
the actions Case Example: Childhood Obesity
issue Propose the actions
trends & gather evidence required relevant government entities (e.g. Ministry of
Education)
Areas Key Questions Sub Questions Information Needed
Based on the high level questions developed
• Obtain the methods and references used by
the World Health Organization (WHO) as a ■■ Who are the leaders/change
in the prior phase of analyzing the issue, the part of their research What is the political makers?
analysis can now be expanded by further context of childhood
breakdown of the issue into sub-questions and • Obtain a rapid report which provides a obesity? ■■ Where is the pressure coming
in turn information needed to answer each of detailed appraisal of the country’s childhood from to reduced childhood
Political Where does healthcare
obesity rates, using the international references obesity?
the sub-questions (e.g. evidence from local and fit within the
international benchmarks, success stories from and an assessment of the WHO’s report governments strategic ■■ Which Govt. Ministries/agencies
other countries, etc.) priorities? need to be involved in addressing
Some of this evidence can be obtained quickly childhood obesity?
In the case of the childhood obesity example, whereas some evidence will require more
time and can be done as a part of the study ■■ What would be the effects ■■ List of key stakeholders
the policy development team should obtain What are the on the market of government
the below critical pieces of evidence to serve and recommendation phase (if approval to economic impacts of ■■ Actions currently being
proceed with policy development is obtained intervention in childhood
as a foundation for any additional evidence childhood obesity?  For obesity? taken by other ministries
from the Minister / Undersecretary). The policy Economic / agencies or local
gathering: government v/s business
development team then has to define and and short term v/s long ■■ For food producers, distributors, authorities on the issue
• Identify the international references used to document the necessary evidence. This serves term? retailers, employers and
employees, for consumers? ■■ Gathering local and
assess the country’s childhood obesity ranking as an input for the proposed actions in the last international benchmark
• Obtain local statistics of obese school key step of the policy preparation phase. ■■ Is there sufficient awareness of
what causes childhood obesity
information and
evidence
Is childhood obesity a and its health risks? 
Social problem that affects all –Local and
sectors of society? ■■ Are there different cultural/
Case Example: Childhood Obesity religious issues in food choices to
International statistics
(e.g. OECD, World Bank,
The policy development team broke the main questions in each of the two approaches into a series of sub be addressed?
UAE National Bureau of
questions. They also identified the information needed as evidence to inform any decision or actions to be ■■ Are other parts of government Statistics)
Are there technological
recommended as: developing technological
tools to help deliver ■■ Success story from
Technological interventions which could
change, in the private another community
support the problem of
and/or public sector?
Areas Key Questions Sub Questions Information Needed childhood obesity?
■■ Position of regional and
What does the government ■■ List of key stakeholders Is there a legal international community
want to achieve in relation to ■■ What is the nature of the framework already in Are there any legal barriers on the issue – especially
childhood obesity? evidence we have related to ■■ Actions currently place to support any or enablers nationally or trading partners
What childhood obesity?  Legal
being taken by other change needs to address internationally either in place or
What adverse consequences Do we need more research on
of childhood obesity does the
■■ ministries / agencies or childhood obesity, or is a planned for the future?
childhood obesity? local authorities on the new one required?
government want to avoid?
issue
■■ Why does government need How does childhood
Why is childhood obesity a obesity support or
Why to intervene in reducing ■■ Gathering local Will changes to food production
problem, why now? conflict with current
childhood obesity? and international Environmental and consumption bring new
benchmark information environmental policies,
Who in Government needs to environmental challenges?
■■
and evidence internationally and
Who are the people/families/ be involved? nationally? 
Who children affected by childhood –Local and
■■ Who will be involved in the
obesity? delivery of services needed to International statistics
reduce childhood obesity? (e.g. OECD, World Bank,
UAE National Bureau of
How can the government assist ■■ How can the private sector Statistics)
How in resolving the problem of be engaged to assist the
childhood obesity? government in reducing ■■ Success story from
childhood obesity? another community
■■ When do we expect to see
When does the government Position of regional
When the first results in childhood ■■
need to take action by?  obesity reduction? and international
■■ Where in the world have they community on the
Where is the problem of issue – especially trading
Where childhood obesity most prevalent? faced and successfully tackled
the issue of childhood obesity? partners

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24 Chapter 1 | What are the key steps in Policy Preparation? Chapter 1 | What are the key steps in Policy Preparation? 25
 3 4
gic Determine the actions study of existing policies, identification of new
Proposeinitiatives
the actions
and performance of cost/benefit Case Example: Childhood Obesity
her evidence required
analyses. This is in addition to the determination
of the logistics of any project, like the time Areas Key Questions Sub Questions Information Needed Actions Needed
Having broken down the issue into sub- frame, the project team, etc.
questions and determining the information Political What is the political ■■ Who are the leaders/
needed, the next step is to set the action plan. If the policy development team is not yet context of childhood change makers?
entirely confident on what to propose regarding obesity? ■■ Where is the pressure
These actions will vary depending on the nature the issue at hand, they should conduct some Where does healthcare coming from to reduced
of the issue being studied, but will generally more detailed research - within the given time fit within the childhood obesity?
constraint, or request further time to achieve governments strategic Which Govt. Ministries/
include key steps regardless of the issue at hand priorities?
■■

such as further validation of stakeholders, the the action plan. agencies need to be
involved in addressing
childhood obesity?
■■ nList of key
Economic What are the ■■ What would be the stakeholders
Case Example: Childhood Obesity economic impacts of effects on the market of ■■ nActions currently
childhood obesity?  government intervention being taken by
The policy development team considered the sub questions and identified specific actions that need to be For government vs. in childhood obesity?
taken in order to define the most appropriate steps for tackling childhood obesity. Given the complexity other ministries /
business and short ■■ For food producers, agencies or local
of the issue at hand the team advises that a more thorough study be conducted which would include an term vs. long term? distributors, retailers, authorities on the ■■ Assessment of
assessment of stakeholder impact and influence, identification of potential initiatives and performance of employers and employees, issue influence and
cost / benefit analyses of the initiatives for consumers? ■■ Gathering local impact of key
Social Is childhood obesity a ■■ Is there sufficient and international stakeholders
problem that affects awareness of what causes benchmark ■■ Development
Areas Key Questions Sub Questions Information Needed Actions Needed all sectors of society? childhood obesity and its information and of a list of
health risks?  evidence potential
What does the government ■■ List of key
want to achieve in relation ■■ What is the nature of the stakeholders ■■ Are there different – Local and initiatives
to childhood obesity? evidence we have related to cultural/religious issues International needed to
■■ Actions currently in food choices to be statistics (e.g. deliver change
What childhood obesity? 
What adverse being taken by addressed? OECD, World ■■ Assessment of
consequences of ■■ Do we need more research other ministries / Bank, UAE the potential
childhood obesity does the on childhood obesity? agencies or local Technological Are there ■■ Are other parts of National Bureau cost vs.
government want to avoid? authorities on the technological tools to government developing of Statistics) benefits of
issue Assessment of help deliver change, technological adopting a
■■ Why does government need
■■
in the private and/or interventions which could ■■ Success story
Why is childhood obesity a ■■ Gathering local influence and from another new policy
Why to intervene in reducing impact of key public sector? support the problem of
problem, why now? and international community
childhood obesity? stakeholders childhood obesity?
benchmark ■■ Position of regional
■■ Who in Government needs information and ■■ Development Legal Is there a legal ■■ Are there any legal barriers and international
to be involved? evidence of a list of framework already or enablers nationally or community on the
Who are the people/ in place to support internationally either in
Who will be involved in the –Local and potential issue – especially
Who families/children affected ■■
any change needs to place or planned for the
delivery of services needed International initiatives trading partners
by childhood obesity? address childhood future?
to reduce childhood statistics (e.g. needed to
deliver change obesity, or is a new
obesity? OECD, World one required?
Bank, UAE Assessment of
How can the government ■■ How can the private sector ■■
Environmental How does childhood Will changes to food
National Bureau the potential ■■
assist in resolving the be engaged to assist the obesity support or production and
How of Statistics) cost vs. benefits
problem of childhood government in reducing conflict with current consumption bring new
obesity? childhood obesity? ■■ Success story of adopting a
new policy environmental environmental challenges?
from another policies, internationally
■■ When do we expect to see community
When does the government and nationally? 
When the first results in childhood
need to take action by?  Position of
obesity reduction? ■■
regional and
■■ Where in the world have international
Where is the problem of
they faced and successfully community on the
Where childhood obesity most
tackled the issue of issue – especially
prevalent?
childhood obesity? trading partners

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26 Chapter 1 | What are the key steps in Policy Preparation? Chapter 1 | What are the key steps in Policy Preparation? 27
 4 to be”. The term is often used to refer to various In the below example we see that doing nothing team has recommended a potential course of
e actions
Propose the actions economic and political philosophies which is not an option and so the policy development action for their Minister to consider.
seek to minimize or eliminate government
intervention in some aspects of society.
Case Example: Childhood Obesity
The fourth step in the policy preparation phase Such an approach is very context specific and
is for the policy development team to propose so the policy development team must use The policy development team tasked with better understanding the issue of childhood obesity studied the
the results to the Minister / Undersecretary impact if no action was taken by the government regarding levels of childhood obesity and came up with
experience and sound judgment to decide
the below forecast. In this case, the policy development team recommended that an approach of multiple
that includes a summary of the situation, whether the issue demands action or whether it interventions towards childhood obesity should be taken.
the information needed, and the proposed can be ignored. Consequently, sometimes it may
action plan. It is also important for the policy be reasonable for a policy development team
development team to ensure that all of the to inform a Minister / Undersecretary that the 90%
No intervention
questions which could be asked of the Minister situation requires no action whatsoever.
75%
/ Undersecretary are answered in the proposal.
While a number of questions may need to At the end of this step, whether it is deemed

% of Obese Population
be asked depending on the situation being necessary that some policy action must be taken 60%
addressed, in practice there is always one or not, the policy development team should 50%
question which must be answered: present a report of the policy preparation 45% 45%
One Intervention
findings to the Minister / Undersecretary.
This report includes a presentation of the 30% 30%
What if we do nothing? issue at hand, analysis, and recommendations. 20%
Multiple Intervention

Furthermore, the findings can be summarized

More than 84% of all policy questions are in a presentation or by using the template
transient and have no impact upon the final provided below. At this point the Minister /
policy of a government, (i.e. no further action Undersecretary may either decide to request
is being taken as a result of the enquiry, beyond that an analysis and appraisal should be
the policy preparation). Such an approach is Year
conducted or in rare case involving urgent policy
often called the Laissez-faire approach, which is needs (e.g. pandemic, earthquake, etc), directly
a French phrase literally translating as “leave it pass the policy on to the recommendation. Case Example: Childhood Obesity
The policy development team prepared the following policy preparation template for their Minister as a
means of summarizing their policy preparation work and the proposed action plan for the next phase.
Policy Preparation Findings Template

Introduction Description of the issue (i.e. why the need for and what are objectives of the policy) Policy Preparation Findings Template
■■ A dramatic increase in the percentage of child population classified as obese (i.e.
Questions Asked Questions and sub-questions asked during the analysis process based on internationally accepted levels of average Body Mass Index) has led to
In Prep Phase increased prevalence in diabetes and also increases the risk of high blood pressure
Introduction and heart disease
Information —— The objective of the policy would be to reduce the percentage of child hood
Required information in order to tackle the issue
Needed obesity thereby lowing the probability of disease states such as diabetes, high
blood pressure and heart disease
Actions to take
Proposed Actions ●● Logistics (Time, Team, & Resources)
Questions Asked ■■ What information is required?
in Prep Phase ■■ Where to obtain suitable evidence?
●● Technical action plan (The main steps needed to develop the policy)
■■ Validation of stakeholder interests and consultation with stakeholders on feasible
What if we do Clarifies what the implications are, if the entity does not further do anything Information approach(es)
Nothing? about the issue Needed ■■ Identification of specific initiatives to tackle childhood obesity problem
■■ Assessment of cost vs. benefit
■■ Logistics:
■■ Initiation of the “study and recommendation phase” over the coming 3-4 months
■■ Team setup, resource allocation, etc.
Proposed ■■ Technical action plan:
Actions ■■ Analysis of stakeholders interests and influence
■■ Identification of potential initiatives to tackle obesity
■■ Evaluation of feasibility of initiatives

What if we do ■■ The percentage of obese children has the potential to increase from 50% currently
1
Analysis of the Global Macro environment, (Mutum, 2005) Nothing? (2010) to 90% by 2030

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28 Chapter 1 | What are the key steps in Policy Preparation? Chapter 1 | What are the key steps in Policy Preparation? 29
 1.4 What are the key learnings?

No. Key Learnings 4

1 Have we broken down the issue using either the 5W-1H or PESTLE approaches?

2 Have we determined all information needed and the time required to do so?

3 Have we decided on the potential actions required to address the issue?

4 Have we considered the question: “What if we do nothing?”

5 Have we proposed the necessary actions to the Minister / Director General via a Policy
Preparation Findings template?

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30 Chapter 1 | What are the key learnings? 31
 The study and recommendation phase is a key validation of the interests of stakeholders
function of policy setting and should typically identified during the policy preparation,
precede a final policy decision by the Minister as well as formalization of the project via
/ Undersecretary. This stage requires the most development and approval of a project
rigor and it aims to execute the approved action charter.
plan, which includes creating the project team, • In the second phase, the assessment sub
securing the necessary resources, identifying phase, the project team undertakes the
stakeholder interest and influence, and doing analysis needed to incorporate learnings
a thorough assessment to determine the most from existing policies, develops ideas for
viable initiatives to be included in a policy potential initiatives to address the issue,
recommendation. categorizes the initiatives into themes,
The role of the policy development team is to consults stakeholders, prioritizes the
ensure that it is well prepared, well managed, initiatives and finally assesses the costs &
covers all the significant issues and provides all of benefits of the prioritized initiatives and
the facts and guidance needed for the Minister / assigning performance indicators for each.
Undersecretary to make a well thought through • Inthe third phase, the recommendation
Chapter and objective decision. Given its rigorous nature,
this phase is broken down into three sub phases;
sub phase the policy development team
summarizes the findings of the appraisal work
each sub phase includes multiple steps.: and formulates a policy proposal package for

2 Study and Recommendation • The first, startup sub phase involves making
the necessary arrangements for the funding,
expertise and information needed to execute
the appraisal. In addition, it also involves
submission to the Minster / Undersecretary.
The figure below illustrates the three sub-phases,
and the rest of this chapter discusses them in
further details.

2.0
Study and
Recommendation

2.1 2.2 2.3

Startup Assessment and Recommendation
Appraisal

The definitions of some of the key terms used in • Policy Initiative: a specific program that
this chapter are outlined below: helps deliver a policy either independently
or as a part of a broader package of initiatives
• Policies: are a definite course or method
of action selected from among alternatives • Stakeholders:individuals or entities who
to guide and determine present and future can affect or are affected by the policy
decisions development project
• Policy development teams: are responsible • Cost Benefit Analysis: an analysis of the
for monitoring the need for, assessing cost effectiveness of an initiative in order to
and defining the policies pursued by the see whether the benefits outweigh the costs
government • Performance Indicators: measure the
• Project Charter: is a statement of the success of a policy at achieving its intended
objectives, scope, deliverables, milestones, outcomes during its implementation
boundaries and constraints, budget and
project team.

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32 Chapter 2 | Study and Recommendation Chapter 2 | Study and Recommendation 33
 2.1 Startup 2.1.1 What are the steps of the startup sub-phase?

The first chapter of the study and • What are the steps of the startup sub- This chapter focuses on the startup sub-phase which consists of three sets of activities.
recommendation phase describes the startup phase?
sub-phase of the process through answering the • What are the key learnings?
following questions: Startup Phase
1 2 3
Secure Identify Stakeholders Develop
project resources and validate interests Project Charter

■■ Define and onboard ■■ Identify stakeholders, ■■ Develop the project

appropriate resources their interests, and charter including,
needed to execute the level of support of key objectives, timeframe,
project stakeholders deliverables, milestones,
■■ Identify sources for scope, budget,
gathering additional boundaries, constraints
evidence and project organization

1 2 meet the specific

3 deliverables of the project
Secure Identify Stakeholders Develop
and should incorporate, individually or on
project resources a shared basis, the
and validate interests knowledge,
Project Charterskills and
experience needed to assess the issues,
The first step in the startup sub-phase is to secure options and recommend an effective,
the resources needed to initiate and sustain integrated solution. Key issues to consider
the project activities. Such resources include when recruiting a team are:
the funding that will pay for the project team • Core team vs. extended team: Team
and evidence gathering activities, recruiting members should belong to either the
the project team and identifying sources for core team or the extended team; which
obtaining additional evidence; to support the differ due to these characteristics:
teams’ initial hypothesis regarding the issue at
hand and secure logistical requirements. A core team member is an active
member of the team who is involved
In addition to securing the funding, it is also in performing the assigned tasks and
important to fill the roles required for a project produces defined deliverables on a
and define communication and information day-to-day basis
sharing mechanisms. More details on each of
these are listed below: An extended team member is a
specialist who is involved in the
1. Setup of the policy development team: project for specific tasks or inputs
Difficult issues require creative and fresh in order to ensure a subject matter
thinking. A team with the right mix of skills expert view is injected into the
and experiences brings fresh thinking and deliverables.
insights to complex issues. A mix of experts • The team leader: The leader of a team
and non-experts, insiders and outsiders (e.g. gives guidance and coaching to the
representative from related governmental team members. He / She has to be
entities) work well in ensuring the right able to recognize and acknowledge the
balance of focused analysis as well as contributions and ideas of the team
creativity and imagination. members, give constructive criticism and
In addition, the team must be organized to feedback, be responsible, dependable

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34 Chapter 2 | Startup Chapter 2 | What are the steps of the start-up sub phase? 35
 and capable of motivating his / her 2. Clear lines of communication: operational complexities (e.g. increase in legal As a part of validating stakeholders, a policy
subordinates Communication is important so that the requirements for businesses) or have a negative development team must map relevant
• In addition, a team leader must also have entire team is aware of the activities and financial impact on one or more groups of stakeholders by identifying potential interests
a high level grasp of the technical and / progress of other team members. It is stakeholders (e.g. reduction in revenue or and thus whether the group of stakeholders
or analytical issues that may be faced by also beneficial so that there is proactive increase in costs.). would support or oppose the policy.
his / her subordinates information sharing and hence reduction in
the risk of overlapping work and duplication
• Team expertise: Only the most basic of efforts. An effective means of doing Case Example: Identifying Stakeholders and Validating their Interests
policies can be developed without access this is holding regular team meetings and A policy development team tasked with developing a policy to address rapid growth in childhood obesity
to specialized expertise and information. information sharing sessions was faced with a similar situation. Prior to commencing with the assessment phase of the policy appraisal,
The more important the policy issue, the they validated the positions of the various stakeholders they felt would be impacted if a new policy were to
more complex the underlying subject 3. I nf o r ma ti o n sha r in g me cha n is m s : be enacted.
matter and therefore, the greater the In order to ensure information sharing across
the team, a project library should be setup The team did this via an internal workshop where they brainstormed the interests and potential positions of
need to have a team with the right various stakeholders and mapped them on a grid - ranking stakeholder from highly supportive to strongly
combination of skills, information- (e.g. shared drive or secure online document
sharing site). Such a project library should against.
analysis know-how, international Non-Exhaustive
experience and leadership ability. Key consist of all relevant documents which
skills to consider are: pertain to the appraisal, information which
would be used in the project teams and Highly Supportive Supportive Neutral Against Strongly Against
General Public sector experience: contact information of all relevant internal Insurance Prime Minister’s Food wholesalers
The team should collectively have and external stakeholders Companies
Gyms
Office (association)
Ministry of Finance
several years of public sector working
experience
1 2 3 Cabinet Citizens Media
Food retailers Food manufacturers
Secure Identify Stakeholders Develop (associations) (associations)
Experience with Policy Development:
Some members project resources
of the team should and validate interests Project Charter Farmer’s National Bureau of
Health Authority Ministry of Economy Lobby groups
have expertise in developing policies (associations) Statistics
or should have been involved in After securing the project resources, it is
important to identify stakeholders and validate Department
project based work in the past International Research Private schools
of Economic
their interests in the policy. Assessment of Organizations Centers (association)
Project Management: The team Development (DED)
stakeholder vested interests in current policies
leader should have project and potential impact in the event of a change in Social Activists Dietitians Municipalities
management expertise and policy or adoption of a new policy is important
leadership skills to ensure proper in that, it permits the team to determine General Authority Ministry of Private hospitals
execution of such an important whether the stakeholder might view the policy of Youth & Sports Education (association)
project positively or negatively. A clear understanding
Ministry of Health NGOs
Understanding of Stakeholder of stakeholder view(s) allows the team to
landscape: A few members of proactively plan its approach for engaging each Education
the team should ideally be well stakeholder - at the appropriate time. Authorities
acquainted with the key stakeholders
and potentially have direct access to In order make a sound assessment of a
them stakeholder interests, the policy development Once a policy development team has clarity the team can better plan an approach for
team needs to consider whether a change in around the vested interests of key stakeholders, engaging these stakeholders.
Internal know-how / long-term policy or a new policy might have an impact
experience in the organization: In upon, the policies of other entities. For example,
order to reflect the organization’s a new health policy can affect:
specificities, one or several team
members should have extensive • Municipalities
work experience within the entity. It • Hospitals
is important to note that in selecting
such an individual, one has to be • Justice
cautious of the fact that sometimes • Education
people that have been with a single
organization for a long time, have • Trade
difficulties to identify the obvious It is also necessary to consider whether a change
and often find change difficult in policy or a new policy might increase the

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36 Chapter 2 | What are the steps of the start-up sub phase? Chapter 2 | What are the steps of the start-up sub phase? 37
 3 accomplish the project’s goal. Planning and
Stakeholders Develop documenting these fundamentals also helps Case Example: Project Charter
date interests Project Charter ensure that all stakeholders have a common A policy development team documented the fundamentals for their study and recommendation project in
understanding of the project - hence reducing a project charter and obtained approval from the project sponsor.
The goal of the last step in the startup sub-phase the possibility of losing focus - and that there
is to establish a formal charter for the project. In is ongoing monitoring and measurement of Project Charter
general, a project charter requires clarification progress throughout the project.
and documentation of the project objectives, Project Name: Date: Time Frame:
timeframe, deliverables (incl. milestones), scope, Finally, a project charter also serves to establish
the authority of the team leader and empowers Reduction in Childhood Obesity August 1st 2010 3 months
boundaries / constraints, budget and project team.
him / her to make decisions effecting the Project Objectives:
A project charter is important because it is used successful completion of the project. A sample
project charter is illustrated in the below The project is being undertaken to form a clear policy for managing the rapid growth in childhood obe-
to formally recognize the existence of the project
example. sity, as well as a long term reduction in the levels of childhood obesity in the country.
and to begin the planning process required to
Scope Definition: Deliverables (Timelines):
In: The project includes topic areas directly ■■ Delivery chain associated with childhood obesity (Early
related to childhood obesity (e.g. diabetes, Sept)
paediatric heart disease, etc.) ■■ Pressure Analysis of key stakeholders (Early Sept)

Out: The project excludes genetic disorders ■■ Initiatives for tackling childhood obesity (Late Sept)
leading to childhood obesity ■■ Cost vs. Benefit analysis of shortlisted initiatives (Mid Oct)
■■ Policy recommendation for Minister / Director General
(End Oct)
Boundaries and Constraints:
This project might potentially overlap with and needs to take into account initiatives included in the
Ministry of Health’s 3 year strategy planning cycle
Budget: 1.5 Million AED
Project Organization Structure:
Ministry of Health (Policy and Strategy Unit)
Group Function in Group Name Role in Organization

Project Sponsor Sponsorship Margaret T. Junior Minister

Team Leader John M. Under Secretary

Workstream 1 Tony B. Policy Advisor

Project Team
Workstream 2 George B. Policy Advisor

Workstream 3 Nicolas S. Policy Advisor

Project Authorization

Approved by project sponsor: Approved by team leader:

_________________________________ ____________________________________________
(Date and Signature) (Date and Signature)

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38 Chapter 2 | What are the steps of the start-up sub phase? Chapter 2 | What are the steps of the start-up sub phase? 39
 2.1.2 What are the key learnings? 2.2 Assessment and Appraisal

No. Key Learnings 4

Assessment and appraisal is a key function of • How are potential policy initiatives identified?
policy-setting and should typically precede a final • What is the purpose of stakeholder
policy decision by the Minister / Undersecretary. consultation?
Did we secure up all required resources (i.e. funding, team members, information sources,
1 While the previous chapter focused on the
etc.)? • How are potential policy initiatives assessed?
startup sub-phase, this chapter delves into
Do the team members have the skills and knowledge to achieve the objectives of the the next sub-phase which is Assessment and • How is a cost / benefit analysis conducted?
2 Appraisal. It does so by addressing the following
projects?
key questions: • What are the key learnings?
3 Did we validate the interests of key stakeholders?
• What are the steps of the assessment and
4 Did we develop and get approval of a project charter?
appraisal sub-phase?

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40 Chapter 2 | What are the key learnings? Chapter 2 | Assessment and Appraisal 41
 2.2.1 What are the steps of the assessment and 2.2.2 How are potential policy initiatives identified?
appraisal sub-phase?
This chapter focuses on the assessment and appraisal sub-phase which consists of the steps presented A policy development team can utilize multiple initiatives might be (if any), should be the first
below: methods to define initiatives for inclusion in step the policy development team takes in the
a policy proposal. One source of potential assessment and appraisal sub-phase.
initiatives may be existing or prior policies
Assessment and Appraisal Sub-Phase
and another can be the use of structured To do so, the team must conduct comprehensive
4
Review of
5a 6 7 8 9
and/or creative thinking exercises to identify research on existing or prior policies that have
Existing or Structured Grouping of Stakeholder Assessment Cost / benefit
new initiative ideas. Each of these is further either affected a similar group of stakeholders
Thinking Initiatives Consultation of initiatives analysis
Prior Policies
detailed in the following paragraphs. The policy or been enacted to address a similar type of
■■ Review of ■■ Utilization ■■ Grouping of ■■ Consultation ■■ Prioritization ■■ Development development team may have also identified issue (e.g. health concerns). For additional
existing and/ of structured initiatives of relevant of initiatives of a financial possible initiatives from the other benchmark information on conducting research, please
or prior exercises identifed stakeholders based on cost-benefit
countries during the preparation phase. refer to the Tools and Techniques chapter in the
policies to identify via various on viability impact on: analysis appendix.
—— Success potential structured of proposed —— Vision 2021, (direct and
stories initiatives e.g. and creative initiatives indirect) for 4 5a 5b 6
delivery chain thinking —— Federal
shortlisted Review of Existing or Insight on such policy initiatives can yield
—— Lessons
and pressure exercise into strategy, initiatives Structured Thinking
valuable Creative
information about Thinking
initiatives that have
learnt analysis themes (e.g. —— Desired
Prior Policies
outcomes
■■ Development been successful in delivering their intended
regulatory, of Key
5b economic, —— Practicality
outcomes. In addition, such insights can also
Performance
Creative Thinking awareness, of initiative Indicators A valuable source of ideas for initiatives to be a key source of lessons learnt from initiatives
etc.) ■■ Short list of include (or exclude) in a policy recommendation, that were not effective in achieving desired
■■ Utilization
initiatives for are those initiatives that have been successfully outcomes or had unintended and/or adverse
inclusion into or unsuccessfully implemented in existing consequences.
of creative proposal
techniques or prior policies. Determining what these
to identify
initiatives
e.g. reverse
brainstorming, Case Example: Review of Existing or Prior Policies
random words,
random Upon commencing the assessment and appraisal sub-phase, the policy development team tasked with
pictures developing a policy recommendation to reduce childhood obesity conducted a systematic review of
existing and old policies. The team focused on uncovering insights related to health policies, as well as
policies that had impacted the stakeholders identified in the policy preparation phase. The team uncovered
Over the course of these above steps the stakeholders, alignment of the initiatives with the following insights:
policy development team not only defines the intended strategic direction, viability and • A large percentage of previously enacted health policies had been successful due to the involvement
potential initiatives to be included in the policy practicality of the initiatives, as well as cost / of the private sector in delivering initiatives. Monitoring results had shown that those polices where
proposal based on thinking tools alone, but also benefit analyses. the government acted independently while varying in success rate, were consistently slower in
prioritizes the initiatives based on input from delivering desired outcomes than jointly executed policy initiatives
• A previously enacted policy aimed at reducing reckless driving had successfully leveraged educational
campaigns targeted at youths (between ages of 18-25). Monitoring of the policy outcomes had shown
that the educational campaign had a direct positive impact on reduction of deaths related to reckless
driving by this age group
• An old policy aimed at growing the local manufacturing sector had been unsuccessful because it
aimed to do so by increasing import tariffs. While the demand for locally manufactured products
had increased marginally, foreign direct investment had decreased substantially due to a perception
of governmental intervention in the market

Having gathered insights and learnings from identify additional initiative ideas. This can be
existing and/or prior policies, next the policy done by either applying structured thinking
development team should focus on utilizing the and/or creative thinking techniques.
teams’ knowledge, experiences and creativity to

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42 Chapter 2 | What are the steps of the assessment and appraisal sub-phase? Chapter 2 | How are potential policy initiatives identified? 43
 5a 5b 6 7 8 9 10
of Existing or with these relationships may be constrained Stakeholder Case Example: Delivery
Assessment Cost / benefit Packaging /
Structured Thinking Creative Thinking
by internal pressures, Grouping of Initiatives
with efficiencies hard Chain Analysis
olicies Consultation of initiatives analysis Finalization of P
to identify and achieve. A policy development team conducted a Delivery Chain Analysis of the conditions required for
However, these links may be strengthened successful reduction in childhood obesity, as well as the stakeholders involved in delivering each of
In the context of policy development, structured those conditions.
by introducing an element of contractual
thinking techniques involve assessing the size, or regulatory relationship, such as a formal
complexity, relationships and pressures within partnership arrangement, an agreement Ministry of
the delivery chain that will deliver policy to share accountability for targets, or joint Education
initiatives. A delivery chain is a group of entities funding of particular projects Ministry of Ministry of Ministry of Ministry of
including federal and local government, and
partners from the civil society and private sector, • Links to the wider community: These are Economy Health Social Affairs Culture

that cooperate to achieve improved outcomes links where one organization has no formal Ministry of
Ministry of Youth
for citizens. authority over the groups and individuals and Sports Finance
with whom it wishes to work and therefore Availability of
Whatever the size and complexity of a delivery has to rely primarily on persuasion to Awareness of public facilities
chain, all delivery chains are made up of four influence behavior that is required to Exercise Availability of
basic types of links or relationships: achieve desired outcomes. Examples include private facilities
attempts to persuade private sector firms Availability of
• Hierarchical links: These are links where to encourage car-sharing among their Awareness of
healthy food
one part of the chain directly manages employees, or to support and encourage Awareness
healthy food
another. Internal links are often strong and members of the public to stop smoking. Eating
effective delivery can be secured through
levers such as internal performance and staff Complex delivery chains are likely to have many
management. Efficiencies, such as sharing links of this kind. Yet these are often the weakest Exercise
links in the delivery chain, with few positive Reducing Childhood
services and improved asset utilization can Obesity
also be effective levers incentives, and sometimes negative incentives,
for the community to participate. Successful
• Contractual or regulatory links: These are delivery requires public sector bodies to be
links where one part of the chain defines imaginative in the ways they engage the wider The team’s analysis yielded that the conditions needed for successful reduction in childhood obesity
through law and/or funding how another would require a joint effort across many federal entities, as well as the involvement of the private sector.
community to support delivery
does its business. These links can also be The team also concluded that in order for meaningful change to occur, there needed to be a greater
strong and effective at delivering outputs Two recommended structured thinking emphasis on awareness of the risks of childhood obesity, increased physical activity for children and
efficiently, as long as there is good contract techniques for policy development teams to improvement in eating habits.
design, good project management, and assess the size, complexity, relationships and
appropriate, strategic regulation. There are pressures within the delivery chain are Delivery
In a pressure analysis, the team should focus less likely to be opposed by the stakeholder(s),
often a number of links of this kind within Chain Analysis and Pressure Analysis.
on identifying the various pressures faced by as well as identify those areas that may be
complex delivery chains
In a delivery chain analysis the policy key stakeholders that would be involved in the mutually agreeable and/or beneficial both for
• Links of common purpose: These are links development team should focus on mapping the delivery of the policy initiatives. By doing so, the stakeholder(s) and the wider community.
where two bodies have parallel missions types of conditions that would be required for the team can hone in on those areas that are
to work towards the common good and successfully achieving the intended outcomes
to make a positive difference to society. of the policy. In doing, the team will gain
Examples include the relationship between insight into the various stakeholders that may
two government departments, or between need to be involved in provision of the required
a local authority and a local charity, each conditions, the types of relationships that may
with a common interest in the achievement exist between these stakeholders, as well as
of the outcome. While these links often the types of initiatives that may be required to
exist in complex delivery chains, they can create the conditions (e.g. increased awareness,
be relatively weak, sometimes relying on increased education, new regulation(s), etc.).
goodwill alone to function. Stakeholders

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44 Chapter 2 | How are potential policy initiatives identified? Chapter 2 | How are potential policy initiatives identified? 45
 Mind Mapping: This is a method of generating, selected (e.g. 90), the line corresponding to the
Case Example: Pressure Analysis developing and recording ideas rapidly by second number that was selected (e.g.12) and
The policy development team also conducted a Pressure Analysis with a specific focus on food retailers, so as to producing spider web type diagrams with the the word that corresponds to the third number
understand the impact on them in the event a new policy related to childhood obesity were to be enacted. problem at the centre of the web and the ideas that was selected (e.g. 6). The word that is found
recorded as growing branches. Minds maps can at this location is then used to stimulate some
Suppliers be particularly useful when working alone further ideas (e.g. grass = more time spent
Supply Chain outside in nature)
changes The Famous Person: In this technique a famous
Low Cost personality is selected by the team and then the Picture Stimulation: In this technique,
providers team collectively imagines how he or she would the policy development team should take
have solved the problem at hand a magazine, or collection of pictures. Each
member of the team should then think about
Economy Regulatory Random word stimulation: In a random word and communicate to the rest of the team what
Competition Licensing
simulation technique, the policy development each picture signifies to them; as it relates to
team should select three numbers at random the problem at hand. The thoughts evoked
Recession Food Retailers Fees
(e.g. 90, 12 and 6). The team should then take by different team members can be used to
Health a book or magazine and turn to the page stimulate further ideas and be converted into
Standards
corresponding to the first number that was ideas for initiatives

Health and Safety Public Opinion Case Example: Creative Thinking

Inspection Media The policy development team held a workshop where it engaged in Brainstorming as well as conducting a
Enviornmental Lobbyists Famous Person creative thinking exercise. Once they team had finished both exercises, they shortlisted the
Standards Bloggers options that they felt should be included for further evaluation.
Intl. Agreements
Brainstorming Shortlist:
Recommendations: • Increase in healthy eating options
Incentives Improved Ingredients • Increase in import tariffs for unhealthy foods
Diversity of product line
Corporate Social Responsibility (CSR) Famous Person Shortlist
• Bruce Lee
The team analysis yielded that food retailers face many competing pressures and that the most viable options for
engaging them and getting them to participate in any new policy would be to center the policy around incentives, Fitness Classes
diversification of product lines, improving ingredients and the concept of Corporate Social Responsibility.
Marketing Campaign

5b 6 some intermediate objectives

7 for the initiative 8 9 10
implementation process Stakeholder
in mind. The policy Assessment Cost / benefit Packaging /
ured Thinking Creative Thinking Grouping of Initiatives
development team should Consultation
then generate as of initiatives analysis Finalization of Proposal
many options to achieve desired outcomes /
While structured thinking utilizes more objectives as possible (within a specified time).
conventional ways of thinking to develop The ideas must not be evaluated during the
initiative ideas, creative thinking is meant session as this will inhibit the flow of ideas
to encourage innovation and out of the box Reverse Brainstorming: In reverse brainstorming
thinking. While many of the ideas generated the goal is to generate as many reasons as
using creative thinking techniques may at possible that would make achievement of the
first seem unlikely to be viable options, upon desired outcomes impossible, or would lead
subsequent evaluation some can serve as the to achievement of them in a highly ineffective
basis for a novel and effective solution. Some manner. The premise behind this technique is
recommended creative thinking techniques are: that it is often easier to think negatively than
Brainstorming: This is a commonly known and positively. Once all negative ideas have been
used creative thinking technique. Brainstorming generated they can then be reversed to produce
requires starting with desired outcomes or with more effective options

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46 Chapter 2 | How are potential policy initiatives identified? Chapter 2 | How are potential policy initiatives identified? 47
e Thinking
6
Grouping of Initiatives
Stakeholder
Once a refined list has
7
initiatives should then
8 been developed the
be Assessment
grouped into themes.
9
Cost / benefit
10
2.2.3 What is the purpose of stakeholder consultation?
Packaging /
Consultation Grouping the initiatives of into initiatives
themes helps analysis Finalization of Proposal
categorize initiatives according to the types of
In this step, the policy development team should actions that would be required to implement
utilize learnings from the review of existing them (e.g. increasing awareness, increasing
4 5a
and prior policies, to filter the initiative ideas educational
5b programs, introducing 6 new 7 8 • Improve the understanding
9 of the problem 10
Review of Existing or regulation(s), etc.). Stakeholder Assessment Cost / benefit
developed via the structured
Prior Policies
thinking and
Structured creative
Thinking Creative Thinking Grouping of Initiatives
Consultation
• Data or guidance which
of initiatives
will improve the
analysis
thinking exercises. In addition, the initiative ideas quality of outcomes
should also be combined in one list to eliminate
any overlap and/or redundant ideas. Having developed a preliminary list of initiatives • Improve the understanding of the underlying
utilizing both structured and creative thinking risks in the potential change
Case Example: Grouping of Initiatives exercises, next the policy development team Consultation takes one of two forms:
needs to consult stakeholders to validate the
The policy development team prepared a list of all the potential initiatives that had been identified based on viability of the initiatives and ensure there are • Confidential: a confidential consultation
the structured and creative thinking exercises. These ideas were filtered down to incorporate learnings from no major stakeholder concerns. Charting a safe process ensures that stakeholders will
having reviewed existing and prior policy decisions. These learnings had highlighted the following: course during consultations requires the policy not share any proposed information with
development team to have a good understanding a third party. The information that the
• Effectiveness of involving the private sector in policy delivery policy development team obtains from
of the two key purposes for a consultation:
• Effectiveness of targeted educational campaigns the stakeholders are usually of confidential
• Ineffectiveness of introducing import tariffs to tackle a problem • To test the soundness of initiative ideas nature, and they cannot be revealed until
• To grasp potential problems and given permission by the relevant party.
Delivery Chain Initiative Ideas Grouping into Themes corresponding solutions Examples of confidential consultation
■■ Distributors & Wholesalers
include meetings with stakeholders and focus
1. Increase the availability The need to involve stakeholders becomes
■■ Parents of healthy food in school 1. Increase the availability groups. In case the confidentiality factor
cafeterias of healthy food in schools especially vital when there is a reasonable chance is breached, the policy development team
■■ Teachers ■■ School Cafeterias
cafeterias Access that the policy could result in significant change pauses all consultations, briefs leadership on
2. Raise the health
awareness by 2. Partner with distributors of for some segments of the stakeholder base in the the issue for recommendation on what next
Pressure Analysis organic food products to offer
implementing education
free trials at public places
following phases of the policy process (like federal steps should be taken, and issues a bulletin
based on types of action required

■■ Ministry of Health Inspections campaign on risk of and local entities). When consulting stakeholders, to internal staff on how to respond to an
Categorizing of initiatives
from existing / old policies

■■ Money / Fees obesirty

the policy development team should focus on
Filter based on learning

3. Offer free health and

enquiry (if needed)
■■ Media
stakeholders that were deemed to either be highly
nutrition consultations 1. Increase import tariffs on ready • Public: Federal entities working on a policy
Regulation

Brainstorming for parents (and children) to eat meals not meeting govt. supportive of, or highly opposed to, the policy (in
enforced health and nutrition the policy appraisal startup phase) and thus have sometimes deliberate to get suggestions
4. Partner with distributors
■■ Increase in healthy eating of organic food products requirements the incentive to strategically influence (positively from the greatest number of citizens possible
options to offer free trials at or negatively) the outcomes of the policy. to make use of their comments, especially
■■ Increase in import tariffs for public places from the ones who are greatly affected by
unleathy foods 5. Include health courses 1. Raise the health awareness In addition, the policy development team should the issue, before setting the policy. Examples
in the curriculum of all by implementing educational also check if the individual or organization being of this include publishing a survey on the
schools campaigns on risks of obesity
Awareness

Famous Person consulted could be relied upon to maintain internet on the entity’s website, or getting
6. Increase import tariffs 2. Offer free health and nutrition
on ready to eat meals consultations for parents (and confidentiality and additionally, provide one or feedback through different media outlets.
■■ Bruce Lee
not meeting govt. children) more of the following:
—— Fitness Classes
enforced health and 3. Include health courses in the
—— Marketing Campaign nutritionsrequirements curriculum of all schools • Unique information about the problem or
the quality of outcome
The team also found that three keys themes were present across the initiative ideas; namely access to healthier
food, regulation of food industry and awareness of health concerns related to childhood obesity
While import tariffs were deemed to have been ineffective in the past, the policy development team decided
to incorporate an initiative calling for increased import tariffs and to assess its value based on stakeholder
consultation.

Having developed a shortlist of potential knowledge. This leads to the next step, which is
initiatives, next the policy team needs to consult “stakeholder consultation”.
stakeholders to tap into their specific insights and

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48 Chapter 2 | How are potential policy initiatives identified? Chapter 2 | What is the purpose of stakeholder consultation? 49
 Case Example: Stakeholder Consultation 2.2.4 How are potential policy initiatives assessed?
In the case of the policy development team tasked with developing a policy recommendation to reduce
childhood obesity, various stakeholders were consulted. Below is a list of the stakeholders consulted by the
team.

5a 5b Theme Potential
6 Stakeholders 7 8 9 A recommended approach 10 for prioritizing the
Stakeholder Assessment Cost / benefit Packaging
initiatives is ranking each initiative on /a scale of 1
Structured Thinking Creative Thinking
■■ Parents Grouping of Initiatives
Consultation of initiatives analysis to 10 versus each of the above
Finalization of overall
variables (i.e. Proposal
■■ Obese Individuals strategy direction, practicality and effectiveness
■■ Social Services Organizations of outcomes), with a score of 1 signifying a low
Having discussed and validated the proposed
■■ School Superintendents degree of alignment to the variable and a score
initiatives with all relevant stakeholders, the next
■■ Food Retail Outlet(s) step is to identify the most viable initiatives in of 10 signifying a high degree of alignment to the
Access and Awareness ■■ Health Economist(s) terms of alignment with overall strategic direction variable. The scores for each initiative should be
■■ Public Health Official(s) (i.e. Vision 2021, Federal Government strategy and aggregated with the initiatives scoring highest
■■ Nutritionist(s) entity strategy) as well as practicality of initiative selected for further assessment via a cost benefit
■■ Health Education Expert(s) implementation and effectiveness of intended analysis.
■■ Nursing Specialist(s) outcomes.
■■ Ministry of Economy
■■ Tax and Customs Officials Case Example: Assessment of Initiatives
Regulatory ■■ Food Retail Outlet(s) Having consulted key stakeholders on the proposed list of initiatives, the policy development team decided
■■ Food Wholesaler(s) and Distributor(s) to prioritize the initiatives versus alignment with the federal strategy, practicality of the initiative and
expected effectiveness of outcomes.

Federal Effectiveness Total Additional

Theme
Theme Initiatives
Initiatives
Total Practicality
Federal
Practicality
Effectiveness Additional
Strategy
Score Strategy of Outcomes
of OutcomesScore Steps
Steps
Increase the availability of healthy Cost Benefit
Increase the availability of healthy food in 8 8 6 22 Cost / Benefit
food incafeterias
schools schools cafeterias 22 8 8 6 Analysis
Analysis
Access
Marketing Partner with distributors of organic
Partner
food with distributors
products to offer of free
organic foodat
trials 2 5 5 12 Eliminate
12 2 5 5 Eliminate
products to offer free trials at public places
public places
Increase import
Increase importtariffs on ready
tariffs to eat to
on ready
Regulatory meals not meeting govt. enforced health 16 2 6 8 Eliminate
Regulation eat meals not meeting
and nutrition requirements govt. enforced 2 6 8 16 Eliminate
health and nutrition requirements
Raise the health awareness by
Cost Benefit
Raise the health
implementing awareness
education by on
al campaigns 23 8 8 7
risks of obesity education al campaigns Cost Benefit
Analysis
implementing 8 8 7 23
Analysis
Education
on risks
Offer freeof obesity
health and nutrition consultations Cost Benefit
24 9 6 9
for parents of obese children Analysis
Offer free health and nutrition
Awareness Cost Benefit
consultations for parents
Include health courses of obeseof
in the curriculum 9 6 9 24 Cost Benefit
22 7 6 9 Analysis
children
all schools Analysis

Include health courses in the Cost Benefit

7 6 9 22
curriculum of all schools Analysis

The results of the prioritization exercise yielded that some of the initiatives while seemingly viable on
paper were not likely to deliver the results expected and therefore should be eliminated. For the remaining
initiatives, the team decided to conduct a cost benefit analysis.

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50 Chapter 2 | What is the purpose of stakeholder consultation? Chapter 2 | How are potential policy initiatives assessed? 51
 2.2.5 How is a cost / benefit analysis conducted? Case Example: Cost/benefit Analysis
As a part of assessing the costs and benefits of a healthcare policy proposal, a policy development team
developed estimates of the potential financial benefits associated with the policy over the coming 5 years
• Decrease in obesity treatment (Direct)
9 10 initiative (e.g. building of new • Decrease in other health related treatments (Direct)
ment Cost / benefit Packaging / facilities needed to deliver services • Decrease in dependence on social security benefits by unemployed obese people (Indirect)
atives analysis Finalization of Proposal
to the public) The team also assessed the cost of each of the initiative over the coming 5 years…
Some examples of initiative specific direct • Provision of healthier food to cafeterias
In this step of the assessment and appraisal sub- benefits are (non-exhaustive):
phase the policy development team conducts • Educational campaigns on risks of obesity
a cost benefit analysis on those initiatives that Reduction in costs related to • Free health and nutrition consultations
were determined to require further study. A managing the current problem (e.g. • Inclusion of health courses in school curriculum
well-prepared cost benefit analysis enables the reduction in treatment of specific
The team then developed an analysis of the net financial impact of the policy and found that it would have
most cost-effective initiatives to be selected and health conditions linked to the
a net positive impact of 600 million dollars over the coming five years.
recommended on a credible basis. A cost benefit condition being addressed via the
analysis can be simple or complex depending policy, like obesity)
Proposal to Reduce Childhood Obesity - Cost Benefit Analysis (USD)
on the issue at hand. For complex issues it is Reduction in costs related to inter
advisable to get help from internal or external related problems (e.g. reduction Year 0 Year 1 Year 2 Year 4 Year 5 Total
specialists (e.g. speaking to someone from the in treatment for health conditions Decrease in obesity
finance department). There are typically two linked to the condition being treatment (Direct) - 10,000,000 40,000,000 70,000,000 100,000,000 220,000,000
components in a cost-benefit analysis that are addressed via the policy, like
of interest to a policy development team 1) cardiovascular disease and diabetes) Decrease in other health
Direct impact and 2) Indirect impact related treatments - 30,000,000 120,000,000 200,000,000 300,000,000 650,000,000
In addition, whenever possible the policy (Direct)
Direct impact compares the costs for an initiative development team should also try to assess Decrease in dependence
versus the benefits in hard financial terms. the indirect costs and benefits of implementing on social security
the initiatives. The goal is to determine if 2,000,000 3,000,000 10,000,000 15,000,000 30,000,000
benefits by unemployed
Some examples of initiative specific direct costs implementing the initiatives will have any obese people (Indirect)
are (non-exhaustive): impact on other sectors within the economy,
like effects on society or the environment. Total Benefits 900,000,000
Human resource costs for executing
initiative (e.g. hiring an advisor to In order to get a medium term view, the costs Provision of healthier
develop and manage the execution 20,000,000 20,000,000 20,000,000 20,000,000 20,000,000 100,000,000
and benefits of the initiatives should also be foods to cafeterias
of a health initiative) estimated for a 5-10 year horizon. Although
estimating costs and benefits may be a challenge, Education al campaigns
Operating costs to setup and execute on risks of obesity 50,000,000 30,000,000 10,000,000 10,000,000 5,000,000 105,000,000
an initiative (e.g. hiring a marketing a policy development team may be able to rely
agency to conduct an awareness on similar projects that have been undertaken Free health and nutrition
campaign) in the past either within the federal entity itself 2,000,000 3,000,000 5,000,000 5,000,000 5,000,000 20,000,000
consultations
or by another entity in the country.
Capital requirements for setting Inclusion of health
up infrastructure to execute the courses in school 35,000,000 10,000,000 10,000,000 10,000,000 10,000,000 75,000,000
curriculum
Total Costs 300,000,000

Net Impact (Benefit - 600,000,000

Cost)

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52 Chapter 2 | How is a cost / benefit analysis conducted? Chapter 2 | How is a cost / benefit analysis conducted? 53
 Having completed the cost-benefit analysis,
the team now has a revised and finalized list
used to monitor progress and in term determine
if the desired outcomes have been achieved or 2.2.6 What are the key learnings?
of initiatives to be implemented towards not. Therefore, they become a tool used to aid
completing the policy. decision-makers on determining what to do
next based on performance results. Additionally,
However in the development of any given outcome-based indicators should be defined on
policy, and before moving on to later stages, it an initiatives level where they can be monitored
is important to plan ahead and set consistent, as part of the project management process (the No. Key Learnings 4
outcome-based performance indicators, and Monitor and Review process will be discussed in
define the entities responsible for measuring more details in Chapter 3). 1 Did we review existing and prior policies for success stories and lessons learnt?
and achieving each one. These indicators can be

2 Did we conduct structured thinking exercises to identify potential initiatives?

Case Example: Performance Indicators
After the policy development team came up with the finalized list of initiatives to be implemented towards 3 Did we conduct creative thinking exercises to identify potential initiatives?
completing the policy, they set the following indicators and targets:
4 Did we group potential initiative into themes?
Key Performance Indicators
Performance Indicator Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 5 Did we conduct stakeholder consultation?
(Target) (Target) (Target) (Target) (Target) (Target)
Did we prioritize initiative based on strategic direction, expected outcomes and practicality
6
■■ % of obese children in of implementation?
population 50% 49% 47% 45% 43% 40%
7 Did we conduct a cost benefit analysis for the prioritized initiatives?
■■ % of schools offering healthy
school options to students 10% 12% 15% 19% 24% 30% 8 Did we set indicators and targets for the finalized initiatives?

■■ % of students opting for healthy

food options for a majority of 30% 32% 35% 38% 40% 42%
their school meals
■■ % increase in child awareness of
risks associated with childhood 25% 25% 25% 25% 25% 25%
obesity
■■ % increase in parental awareness
of risks associated with 25% 25% 25% 25% 25% 25%
childhood obesity
■■ % of schools offering health
courses as a part of their 30% 50% 70% 90% 100% 100%
curriculum

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54 Chapter 2 | How is a cost / benefit analysis conducted? Chapter 2 | What are the key learnings? 55
 2.3 Recommendation 2.3.1 How is a policy proposal finalized?

6 The last section of7this chapter deals with the • How

8 is a policy proposal finalized? 9 10 indicators with their targets.
Stakeholder Assessment Cost / benefit Packaging /
Grouping ofrecommendation
Initiatives sub-phase, and it explains • What of
are they key learnings? In this phase of the process, the policy
how a policy proposalConsultation
is finalized and raised initiatives analysis Finalization of Proposal
through answering the following questions: development team should focus on formulating
a complete report with the results of the
Once the policy development team has reached aforementioned activities, in addition to what
Recommendation Phase this stage, the policy appraisal process is almost came in the preparation phase, and then
complete. By now, a policy development team present it to the Minister / Undersecretary for
10
should have gathered all the facts, validated review and approval. The results can also be
Raise the recommendation assumptions with the stakeholders, prioritized summarized in a presentation or by using the
initiatives, conducted cost-benefit analysis of “Appraisal Findings Summary” template shown
prioritized initiatives, and set performance below.
■■ Formulate a complete
policy report to
present to the Minister Case Example: ”Appraisal Findings Summary” Template
/ Undersecretary
The policy development team then prepared a summary of the appraisal findings for submission to
■■ Summarize the policy
within a “Policy the Minister / Undersecretary so that he/she would be able to quickly assess the results of key analyses
Proposal” conducted prior to final selection of the initiatives

Stakeholder Aggregate Est. Cost** Est. Benefit**

Themes Initiatives
Perspective(s) Score* (‘MM USD) (‘MM USD)
Increase the availability
Strong support from
of healthy food in schools 22 (100)
majority of stakeholders
cafeterias
Access
Partner with distributors of Opposition from
organic food products to offer distributors of 12 N/A
free trials at public places traditional foods
Increase import tariffs on ready
Strong opposition from
to eat meals not meeting govt.
Regulation business community 16 N/A
enforced health and nutrition
and Ministry of Health
requirements 900
Raise the health awareness by
Limited opposition
implementing education al 23 (105)
anticipated
campaigns on risks of obesity
Offer free health and nutrition
Strong support from
Awareness consultations for parents of 24 (20)
majority of stakeholders
obese children
Support from public but
Include health courses in the
Ministry of Education 22 (75)
curriculum of all schools
concerns about funding
Net Cost / Benefit (millions of USD) (300) 900
Net Impact (millions of USD) 600

After the final list of initiatives and indicators to the Cabinet (if deemed necessary) through a
have been approved by the Minister / “Policy Proposal” and including the full report as
Undersecretary, the proposal should now be part of the attachments.
at a point where the team is ready to present it

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56 Chapter 2 | Recommendation Chapter 2 | How is a policy proposal finalized? 57
 Case Example: Childhood Obesity 2.3.2 What are the key learnings?
Additionally, the policy development team prepared the policy proposal shown below:

Policy Proposal
Section Content
No. Key Learnings 4
Title ■■ Measures to tackle child obesity in the UAE
Did we formulate a complete policy report and summarize the results within an “Appraisal
Proposal ■■ >30% of children in UAE suffer from obesity – Detailed attached 1
Findings Summary” to present to the Minister / Undersecretary?
UAE Strategy ■■ Reduce epidemics and health risks
2 Did we prepare a “Policy Proposal” based on the template approved by Cabinet?
■■ Options considered & their advantages & disadvantages – Details
Options
attached
■■ Recommended option and rationale for selection – Details
Recommendation
attached
■■ Pilot of first initiative within 12 weeks of policy approval; rollout
Implementation
time frame of 18 months – Detailed attached
■■ Institutions and persons consulted & their views – Detailed
Consulation
attached
■■ Legal support for decision making (relevant legal text and
Legal Implications
legislation)
■■ Implementation costs and Ministry of Finance perspective –
Financial Implications
Detailed attached
Legal Implications ■■ Requirement for new and amended legislation (if required)
■■ Other issues (social, economic, environmental etc)- Detailed
Wider Impact
attached
■■ Documents attached to the proposal (Full report)
Attachments
■■ Electronic copy of the proposal (as a word document)

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58 Chapter 2 | How is a policy proposal finalized? Chapter 2 | What are the key learnings? 59
 This chapter focuses on the Monitor and The definitions of some of the key terms used in
Review phase of the policy development cycle, this chapter are outlined below:
and provides insight into the core function,
foundations, and outcomes of a policy review. • Policies: are a definite course or method of
The chapter achieves these objectives by action selected from among alternatives
addressing the below questions: to guide and determine present and future
decisions
• What is the function of the Monitor and • Policy
development teams: are responsible
Review phase? for monitoring the need for, assessing
• What are the foundations of a policy review? and defining the policies pursued by the
• What are the possible paths resulting from a government
policy review?
• What are the key learnings?

Chapter
Monitor and Review
3

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60 Chapter 3 | Monitor and Review Chapter 3 | Monitor and Review 61
 3.1 What is the function of the Monitor and Review 3.2 What are the foundations of a policy review?
phase?
Policy monitoring is a means to obtain feedback Monitoring and review of a policy are needed to A sound policy review is founded upon are not limited to, the concerned entity itself,
on implementation progress by reporting on ensure that its desired outcomes are addressed answering of three key questions: another government entity, or international
actual versus planned performance. It entails and the risks to society and the country are organizations. More information on data can be
the collection and reporting of data related minimized. While a government may enact a • Are the desired outcomes being achieved? found in the “Tools & Techniques” chapter.
to inputs, initiatives and outcomes of a policy. very well designed and well-intentioned policy, • Are the results supporting the outcomes In some cases, it could also be possible to get
Inputs are resources invested in producing unless the policy is monitored and regularly accurate and based on adequate research?
and delivering a policy, e.g. financial resources, reviewed, it cannot be refined for on-the-ground a feel of how a policy is performing through a
human resources, and equipment. Initiatives are realities or evolution in the core problem being • Has the context of the policy changed? number of non-government actors, including
the specific programs that help deliver a policy addressed by the policy. Is the target population still the researchers, the media, the target population,
through the use of inputs. Outcomes are the same? and citizens in general. However, in any case,
results and effects that a policy aims to achieve. In addition, by engaging in monitoring and results need to be checked for accuracy and
This section focuses on monitoring initiatives review activities, a policy development team is Does the problem still exist? reliability through validating information
and outcomes. able to ensure that a policy is not only delivering Has a new problem been created? sources.
on its intended outcomes, but that there is also
Policy review is an exercise undertaken on a adequate data available for the development The policy development team requests the While results for the indicators will offer a
periodic basis to determine the effectiveness of future policies. Adequate data is important result for each performance indicator set in the directional view on actual performance versus
of a policy, and whether or not any changes to in that it allows a systematic review of past previous chapter from the entity identified as its planned targets, the results need to be studied
the policy are necessary. The period reviews of performance, thereby enabling effective future owner in the final policy. Two types of data can closer to identify root causes and extract key
the policy depend on the policy’s timeframe. planning. be collected to measure performance, namely insights. This is critical so that the true value of
For example, long-term policies such as obesity primary data (collected from its original source the indicators can be ascertained, additional
undergo annual (or semi-annual) reviews, while specifically for usage for the policy development data requested if necessary and well thought
short-term policies undergo quarterly reviews project), and secondary data (collated from data out decisions made on the successes and failures
(or even less for urgent issues). already collected for a different purpose often of the policy.
by a different entity). Data sources include, but

Case Example: Foundations of a Policy Review

A year after the policy proposed by the policy development team was approved by leadership and
implemented, the policy development team decided to lead a policy review to assess progress towards the
intended outcomes of the policy.
In order to assess performance, the team reached out to the stakeholders involved in deploying the policy
and its associated initiatives. The two key stakeholders leading deployment of initiatives associated with the
policy were the Ministry of Health and Ministry of Education. The below indicators, having been previously
communicated, were requested from each entity:
• Ministry of Health:
Latest childhood obesity rates and change compared to prior year
Progress in implementation of nutritional consultation programs for parents of obese
children
Progress in implementation of educational campaign aimed at raising awareness of risks
associated with childhood obesity

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62 Chapter 3 | What is the function of the Monitor and Review phase? Chapter 3 | What are the foundations of a policy review? 63
 Case Example: Foundations of a Policy Review 3.3 What are the possible paths resulting from a
• Ministry of Education: policy review?
Progress in adoption of health food by school cafeterias
Progress in inclusion of health courses in school curriculum
The end result of the policy review should be Next, the team goes back to the initiatives
The two Ministries reported the results along with the information sources for each performance very clear, and has to be one of the following: prioritization exercise (Section 2.2.4) and
indicator, and further analysis of the root causes led to the following: checks whether or not the assumptions
1. Policy is going as planned made at that time still hold; i.e. validation of
Childhood Obesity Policy Review (Year 1) 2. Policy is too slow or too fast assumptions. As a result, some initiatives could
Year 1 Year 1 be dropped, others could be included, or both.
Performance Indicator Variance Root Cause(s) / Information Source(s) 3. Policy has resulted in an adverse impact and/
(Target) (Actual)
or created a new problem; Finally, whenever a policy proves to have
■■ % of obese children in 50% 51% - ■■ Given newness of policy (1 year only) and recent deployment resulted in adverse effects and/or created a new
population of associated initiatives (9-12 months) Each of the above options will result in a
different path going forward. First and most problem, policy makers should go back to the
■■ Targeting tangible reduction from year 2 onwards

straightforward, when the policy is going as study and recommendation phase and draft a
Source: Annual Ministry of Health report on population health
indicators planned in achieving its results, no changes new policy.
■■ % of schools offering 10% 5% -5% ■■ Slow adoption rates due to existing catering contracts for large are deemed necessary and monitoring should It is important to note that, regardless of the
healthy school percentage of schools continue as planned to ensure sustained path chosen and recommendations that come
options to students Source: Latest status report of initiative aimed at deploying achievement. out of a policy review, its major benefit resides
healthier food choices in school cafeterias in the learning that emerges from the process.
Falling short of the overall planned outcome/
■■ % of students opting 30% 32% 2% ■■ Strong buy in amongst student population off healthy eating target requires further analysis and adjustment. This phase is the main stage for such learning
for healthy food messages conveyed as a part of educational campaign First, the policy development team needs and for continuous improvement in the process
options for a majority Strong buy in amongst student population off healthy eating to determine which of the initiatives has a of policy-making.
of their school meals messages conveyed as a part of educational campaign
lagging indicator, and expedite relevant efforts.
■■ % increase in child 25% 30% 5% ■■Rapid word of mouth amongst student population regarding
awareness of risks educational campaign on risks of childhood obesity
associated with Source: Third party survey (conducted bi-annually) of student Case Example: Outcomes of a Policy Review
childhood obesity population as a part of educational campaign initiative
Based on the results achieved, the policy development team went back to the prioritization matrix and
■■ % increase in parental 25% 18% -7% ■■Lower than expected parental awareness due to high rates of validated previous assumptions. The decision was made to strengthen efforts on offering healthy food
awareness of risks missed consultation appointments
options, increasing parental awareness, and offering health courses. This decision was based on the fact
associated with Source: Third party survey (conducted bi-annually) of student
childhood obesity that the slight increase in obesity level (from 50% to 51%) was regarded as a slow progress rather than
population as a part of nutritional consultation initiative
an adverse effect of the policy, since previous projections have shown that obesity level was expected to
■■ % of schools offering 30% 25% -5% ■■Slow adoption rate due to lead time for development and hit 53% had the policy not been implemented.
health courses deployment of new curriculum
as a part of their Source: Latest status report of initiative aimed at deploying Moreover, since the education and healthy food adoption campaigns had led to increased levels of
curriculum health related courses at schools awareness and increased adoption of healthier food options, respectively, they will therefore be
continued and re-assessed at the next periodic policy review.
Based on assessment of the above results, the team was able to ascertain that the target population and
the magnitude of the problem have increased from 50% to 52% of the child population. The team was
also able to validate that while some initiatives made faster progress than anticipated, others failed to
meet their targets and may have aggravated the problem further.

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64 Chapter 3 | What are the foundations of a policy review? Chapter 3 | What are the possible paths resulting from a policy review? 65
 3.4 What are the key learnings?

No. Key Learnings 4

1 Did we request performance indicators results from each responsible party?

Did each responsible party identify the root cause(s) and information source(s) for the
2
result of each performance indicator?

3 Did we identify that the context of the policy has remained unchanged?

4 Was the end result of the policy review one of the three possible outcomes?

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66 Chapter 3 | What are the key learnings? 67
 During the policy preparation phase, there verification – on a specific issue / question.
are a series of high quality and up-to-date A survey is essentially a questionnaire that
information and analysis tools for the FGE. This is usually distributed on a wide range of
appendices chapter contains a collection of respondents that are randomly selected.
tools and techniques that are commonly used
in the development of a policy. This collection
• Interview: a tool used to gather quantitative
or qualitative data by asking questions in a
is not exhaustive and tools and templates are
one-on-one setting either face-to-face or via
constantly being developed and updated.
other mechanisms (e.g. telephone interview).
The chapter is structured into sections covering • Focus Group: a tool used to gather
the following areas: quantitative or qualitative data on a specific
• Understanding Data issue or question using a face-to-face process
of probing with basic and follow-up questions
• Gathering Data • Benchmarking: a method used to analyze
• Tools for Utilizing Data how others solve similar problems or how
• Structured Thinking Tools others accomplish work that is similar in
nature. In data analysis, benchmarking is
Chapter The definitions of some of the key terms used in
this chapter are outlined below:
used in order to evaluate and judge the
current state against best practices
Tools and Techniques
4 • Data: a collection of statistics, figures,
numbers, opinions, etc. in raw or unanalyzed
format
• Data Gathering: the process of identifying
• Forecasting: a tool used in data analysis in
order to predict a future trend
• Brainstorming: a tool used in problem
solving in which participants generate a
and collecting all the relevant data needed large number of ideas and solutions for a
to draw a conclusion problem while withholding judgment to
allow for increased creativity. The ideas and
• Data Analysis: the process of examining
solutions are assessed at a later point to
and summarizing the data gathered with the
rank their viability
intent of extracting useful information and
developing conclusions • PESTLE: a tool used for an external
assessment by considering the Political,
• Key Driver: a factor which materially affects Economic, Socio-cultural, Technological,
the outcome of an activity; an influence
Legal and Environmental factors influencing
which is driving and shaping change in a set
the organization
of data
• Mutually Exclusive, Collectively Exhaustive • Logic Tree: a tool used in problem solving in
which a problem (in the form of a question)
(MECE): a concept that ensures that the
is broken down into sub-questions that
problem has been broken down into distinct,
represent potential solutions to the problem.
non-overlapping points (Mutually Exclusive)
Each sub-question can be potentially
and that these points address the entire
broken down again into sub-questions. It is
problem and are conclusive (Collectively
important to note that questions and sub-
Exhaustive)
questions should not be overlapping, but
The tools introduced in this chapter are outlined be hierarchical (i.e. potentially solving the
below: “predecessor”-question)
• Survey: a tool used to gather quantitative
or qualitative data – without detailed

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68 Chapter 4 | Tools and Techniques Chapter 4 | Tools and Techniques 69
 Tools and techniques discussed in this chapter
can be used in many steps of the policy
the stages of a policy development project as
shown below Understanding Data
development process, but are most helpful in
Policy Dev.
Phases Policy Preparation Policy Options Policy Setting Monitor and
Tools/ Appraisal Review
Methods
Understanding what data is required is an • Data is the raw material from which
Surveys ■■ Validating stakeholders ■■ Assessing invaluable tool for the policy development information is developed. It provides a
stakeholder positions team, as it helps them focus on collecting the direct record about tangible entities, such
Interviews ■■ Consulting relevant ■■ Getting feedback on most useful data, rather than attempting to as a person, a building, a vehicle, etc. Data is
stakeholders on viability the policy proposal collect everything, a term often referred to as usually gathered, organized and stored within
of proposed initiatives attempting to ‘boil the ocean’. As an example, a database. Modern databases are designed
Focus Groups ■■ Getting feedback on the need for data will relate to the issue being such that data can be selected and plotted
the policy proposal addressed by the policy. depending on the question being answered.
Forecasting ■■ Assessing strategic trends After understanding the issue, and in order to • Information is what the data tell the analyst
& gathering evidence as a result of an enquiry. To do this, the data is
understand data requirements, the initial search
■■ Proposing the actions categorized, classified, grouped, indexed and
should look for key drivers by asking some of the
Benchmarking ■■ Securing project ■■ Identifying and following questions: cross-referenced. Thus accident information
resources measuring Key about traffic on a major highway will include
■■ Assessing strategic Performance • What factors might cause the issue to get relationships between data like:
trends & gathering Indicators better or worse (e.g. food consumption
The highway classification
evidence habits, parental guidance, etc.)?
Types of vehicles involved
Brainstorming ■■ Analyzing the issue ■■ Validating stakeholders Factors are things such as:
■■ Assessing strategic ■■ Creative Thinking
Time of day of the accident
trends & gathering Segments of the populations (e.g. family units, Weather conditions at the time
evidence individuals under / over a certain age, etc.) Number of people involved
PESTLE Analysis ■■ Analyzing the issue Incidence rates, (e.g. vehicle traffic segmented by Source of the emergency calls
types of vehicles)
Logic Trees ■■ Analyzing the issue Accident magnitude
Consumption rates (e.g. usage rates for resources
(together with PESTLE, Etc.
5W-1H approach) such as potable water, electricity, etc.)
• How do various factors relate to each other, • Statisticsare forms of information based
e.g. family size to obesity levels, etc.? either upon the summary of a continuous
• How would changes in either the size or stream of data or a sampling. It is often
changing attitudes of a population segment expensive to collect continuous streams of
impact the issue (e.g. education, working data, so most statistical analysis is done using
mothers, etc.)? a sampling of activities, e.g. if one records
the number of accidents on the mentioned
Key factors are very context or issue specific highway every fourth Friday, it is likely to be a
and an inquisition into data requirements good proxy for calculating the total number
will reduce the amount of ‘ocean boiling’ that of accidents to be expected on a Friday
might be required. Once the focus of the data
has been determined, the policy development Data can be qualitative and quantitative:
team will recognize that data types and sources • Quantitative: numeric data that can be
vary widely, e.g. opinions collected in a survey measured in units, e.g. time, money, volume,
are data; facts about road traffic volumes are percentages, etc.
data. It is important to understand the source
and type of data when working with it. Some • Qualitative: descriptive data that uses words
definitions are: as a means of portrayal, e.g. observation,
descriptions, opinion, thought, etc.

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70 Chapter 4 | Tools and Techniques Chapter 4 | Understanding Data 71
 • Preferences:
Data can also result from: what the citizens and / or
stakeholders value and what they think Gathering Data
• Observations collected at a single point in about certain issues
time (cross-sectional data): this is useful
when a ‘snapshot’ of the situation is required, • Financial outcomes: how much is spent,
e.g. data included in a SWOT analysis lost, earned, saved, invested, etc.
• Observations collected over a period of • Performance outcomes: the results of work There are two main types of data gathering: Most surveys contain data collected at a single
time (time-series data): this is useful when to achieve an outcome point in time, i.e. they provide a snapshot in
• Primary Data Gathering: sometimes referred time. A typical survey, collecting data at a single
an observation of a trend is required, e.g. • Correlations:how variables relate to or to as field research, involves the collection of point in time, asks the same set of questions to a
examining GDP or population over several impact each other data from its original source specifically for
years to see a growth pattern random sample of the population. If the sample
• Benchmarks: how the current situation / usage for the policy development project. is statistically significant (can be relied upon to
Data can also be distinguished according to the state compares to other (potentially better) The three methods of primary data gathering represent), the results should be indicative of the
use to which it will be put. Typical uses of data in situations / states discussed in this section are: mix of responses that would have been received,
policy work include measuring and describing: Surveys had the same questions been posed to the entire
• Forecasts: predictions of outcomes before population. This method of sampling can be
• Trends: the general pattern of something they occur Interviews
contrasted with a census where information is
over a given period of time Focus Groups comprehensively acquired and recorded about
• Secondary Data Gathering: involves the the members of a given population.
collation of data that already exists in some A survey can also collect data over a period of
form, having been collected for a different time. Surveys of this nature may range from
purpose often by a different organization. short-term panel studies, such as when the same
Its advantage is that it saves time and effort people are asked the same questions before and
for the concerned entity. However, it maybe after a big event, to comprehensive studies that
need to be purchased from a research track individuals – and even whole families or
provider and may not directly provide the households – over a life-time, enabling causal
related information needed by the entity. links to be more confidently established. Data
Primary Data Gathering: collected over a period of time can be used to
analyze the impacts over time and it permits a
Surveys projection of how a policy may be affected in
Surveys are a means of developing a broad, future.
representative understanding of a situation,
social attitudes or prevalent behavior.

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72 Chapter 4 | Understanding Data Chapter 4 | Gathering Data 73
 Sample question types used in surveys are shown in the below example: • Prioritize the questions in case time is cut • Prepare the interviewer by researching the
short and if possible, sequence the questions background of the person to be interviewed
so that they build on each other
Type Example Type of Question When to Use The purpose of the interview should be the
A Statement
• Cross-check the questions against a defined determinant for the type of questions (e.g.
What do you think of the UAE’s Open-ended Questions: list of issues for which data is to be gathered open-ended or yes/no) to be asked. For a
approach to developing the
manufacturing sector of its economy?
These are questions to Used when the opinion of • Prepare the interviewees, by scheduling a general interview the question flow by type is
which there is not one the respondent in his/her shown below:
A List Please list the issues you feel are definite answer. These give own words is sought fixed time and by informing them of the
the most important in relation to respondents the opportunity purpose of the interview
enhancing the UAE’s economy to answer in their own words.
Choosing Which one of the following countries
from a list of do you feel has the strongest economy? Start Finish
options
■■ United Arab Emirates
Easy Harder / More
■■ Kingdom of Saudi Arabia Specific
■■ Kuwait
■■ Qatar
General Open Ended Closed Ended Elaborative
Questions Questions Questions Questions
■■ Bahrain
■■ Oman ■■ General questions ■■ Open questions ■■ Closed questions ■■ Picks up on a point
Rank Order Closed - ended Questions: as an introduction allow the respondent allow the respondent that was addressed
From the following list of GCC and “start-off to expand on the to answer them with earlier, allowing the
countries, choose THREE which you These are questions to which point” to establish topic and provide a yes, no, or number. interviewer to probe
feel have the strongest economies and there is a finite set of answers a common ground information that They are easy for the in-depth on a topic,

Definition
put them in rank order; 1 = strongest, from which the respondent for the interview may be unknown respondent to answer, essentially guiding
2 = second strongest, 3 = third strongest Used when all the possible
chooses. These questions are answers are to be ranked to the interviewer. but provide the the conversation to
■■ United Arab Emirates usually difficult to write than in order to seek a relation They often ask the interviewer only with clarify a point
■■ Kingdom of Saudi Arabia open - ended, because the between the different respondent to think facts on a specific
■■ Kuwait choices must be designed answers and reflect, and question
■■ Qatar
to include all the possible result in opinions and
answers a respondent could feelings
■■ Bahrain
give for each question.
■■ Oman
■■ What is the current ■■ What in your view are ■■ Do you think ■■ Where might be some
Degree of Unified GCC currency is a good thing

Example
car accident rate? the main drivers of the installing more of the best places to
agreement/ for the UAE high rate of accident ? radars will reduce the install radars?
disagreement accident rate?
■■ Strongly Agree Used to assess a
(the Likert
Scale) ■■ Agree respondent’s feeling about
■■ Neither Agree or Disagree an issue
■■ Disagree In such a general interview as shown above, the • Openness – allow the interviewee to offer
■■ Strongly Disagree
interviewer should start by reconfirming the opinions, without challenge
purpose of the interview and why the person was • Flexibility – follow the interviewees
If a survey is to be conducted, it may be helpful from leaders within the FGE (or from outside selected for an interview. Then the interviewer thoughts, but guide the interview to gather
to commission a market research company to the FGE) for which a policy is being developed. might open with the general questions to the required data
undertake the work. This can be particularly However, interviews are time consuming for a engage the interviewee in a conversation, after
helpful if a large amount of data needs to be team to collect and can be difficult to schedule which the interviewer may ask more open • Completeness – making sure that all the
collected in a short period of time. A market if data gathering has tight time constraints. ended questions (i.e. questions that require an relevant points have been covered
research company will also have experience of explanation rather than a yes or no answer) to • Probe – Understand the thoughts of the
what makes a good survey and can feed best Interview preparation is critical to successful allow the interviewee to elaborate on an issue.
interviewing. Before undertaking any interviewee and ask follow-up question(s)
practice into the design of the methodology for The open-ended question can be followed by a to ensure the opinions or statements of facts
collection of the data. interviewing activity, it is best practice to: series of closed ended questions (i.e. questions are understood
that hone in on a particular point) to confirm
Interviews • Be clear about the purpose of the interview a particular issue. As the interview nears its • Cooperation – trading information (non-
– what is the data being sought, and how conclusion, the interviewer may provide the proprietary) with the interviewee may be a
Interviews are particularly useful for getting will it be used? interviewee with the opportunity to express his good way to get the interviewee to open up
‘real time’ views on a particular issue, and for • Prepare a list of structured questions (an / her opinion and to provide additional data.
collecting both historical data and opinions. interview guide) if the results are to be used
Interviews are a particularly useful tool for to compare the responses from multiple Some general guidelines for conducting
gathering data from subject matter experts and interviewees interviews include:

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74 Chapter 4 | Gathering Data Chapter 4 | Gathering Data 75
 It is best practice to document interviews in a synthesis sheet to facilitate their use. A sample synthesis Secondary Data Gathering data is readily accessible via the Internet. A non-
sheet is shown below: exhaustive list of the most common external
There is an enormous volume of data that is and public data sources is outlined below.
routinely captured, systemized and published
Interviewer Name The name of the person who is conducting the interview by a wide range of institutions. Much of this
Date / Time The date and time of the interview
Data Sources
Location The location the interview is held at
Government Sources
A brief description of the intended purpose of the meeting (e.g. the aim of this meeting is to National chambers of commerce (including the chambers of
Interview Objective Chambers of
seek your perspective on road safety)
commerce of the various Emirates in the UAE) provide useful
Commerce
Interviewee Information reports and summaries on economic indicators, sectors, etc.
Various central banks globally publish reports pertaining to the
Name The name of the person being interviewed Central Banks
economic outlook of their respective countries.
Entity The entity that the interviewee belongs to International Agencies
Provides country reports for every country in the world. Three
Department / Position The department that the interviewee belongs to and his/her position International particularly useful publications are:
Contact Information The phone number and/or e-mail address of the interviewee Monetary Fund www.imf.org ■■ The World Economic Outlook
(IMF) ■■ The Annual Report
Interview Guide ■■ The International Capital Markets

Question 1 United Nations Provides publications that analyze the developmental progress on
Development www.undp.org a regional, national, and local basis. A key publication is the annual
Answer 1 Programme (UNDP) Human Development Report

Question n Provides publications that discuss various labour and human

International Labour
www.ilo.org rights issues. Key publications include the Director General’s
Answer n Organization (ILO)
Reports
Provides publications on international trade policies and
World Trade regulations. Key publications include:
Focus groups • Producing a list of questions that will be Organization www.wto.org ■■ The World Trade Report
asked during the session. To ensure an in- (WTO) International Trade Statistics
Focus groups entail structured interviews depth discussion of each question, it is
■■

■■ WTO Annual Report

with a small number of individuals to explore advisable to limit the discussion to no more
a particular issue or to seek views on areas of World Health Provides various publications analyzing disease outbreaks, as well as analyzing
than 5-10 questions. Organization www.who.int the performance of health systems around the globe. A key publication is The
concern. Focus groups are generally considered (WHO) World Health Report
to be a ‘qualitative’ method – exploring a small Focus groups are essentially multiple interviews
conducted at once; therefore, many of the same Provides a vast database on economic, social, and other
number of people’s views and feelings in-depth, World Bank www.worldbank.org
development statistics for all countries in the world.
as opposed to large-scale surveys that ask large guidelines for conducing focus groups are similar
numbers of people identical questions and that to conducting interviews (see interviews above) Business Publications
are more suitable for quantitative analysis. An opinion-gathering focus group process consists
Provides archives of previous articles as well as special reports
The Economist www.economist.com and surveys. The Economic Intelligence Unit Country Briefings also
Generally, policy development projects will of a facilitated discussion among the participants provides a good source of country information.
want to use a number of groups with different around their answers to each of the questions Provides a wide range of articles and statistics on a wide range of
perspectives, to test how different groups feel or asked. A good facilitator should be able to: Financial Times www.ft.com
economic and business related issues.
will react to a certain concern. • Guide the discussion without being directly Subscription Databases
The process typically involves: involved in the conversation themselves Datamonitor www.datamonitor.com
• Specifying desired objectives and selecting a • Create and maintain the group’s enthusiasm Business Monitor
Provide a comprehensive search on industries and companies,
and interest in the topic www.bmi.com as well as provide a portal for accessing various research articles
specialist facilitator (if a facilitator is needed) International published by various entities.
• Deciding on the target groups and how these • Ensure that all of the participants are active Zawya www.zawya.com
should be segmented (e.g. by socio-economic and allowed to offer their contribution to
Internet Search Engines
group, department within the organization, the discussion
Google www.google.com
etc.). To ensure the group is representative, while • Listen to the participants without exhibiting Provide a portal to any piece of information, and information
not being intimidating for the participants, best strong reactions or change in body language, Altavista www.altavista.com
sources, required. Usually a good place to start any research effort.
practice for focus groups is five to eight people thus avoiding giving any indication of All the Web www.alltheweb.com
in each focus group session approval or disapproval of the opinions
being offered

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76 Chapter 4 | Gathering Data Chapter 4 | Gathering Data 77
 There will often be additional sources specific
to a topic available. Other sources include
include the following, many of which exist in
the government sector: Tools for Utilizing Data
departmental websites, statistics centers and
libraries which can provide various specific • Economists
data and links to other useful sites. It can also • Academics
be beneficial to search academic journals, trade
and specialist magazines if required. • Scientists Data is utilized to draw out specific conclusions initiatives and/or measures to manage those
Subject matter experts, individuals with deep
• Social researchers relevant to policy work at a given FGE. This changes.
section discusses two different tools used in
experience working with a particular topic, are • Statisticians data utilization; forecasting and benchmarking. It is difficult to correctly estimate the future;
particularly helpful to guide a researcher to find however, when it is possible to identify key
additional sources of secondary data. These Forecasting drivers (key drivers were discussed in the
‘Understanding Data’ section) for a sector, a
Forecasting identifies and tracks past trends and prediction can be made. Using these drivers
extrapolates them into the future. Typically, it is along with historic data allows for estimating
used to track changes over time (named time- the future.
series forecasting) and to make predictions.
Forecasting is a useful tool as it may help provide A summary of the forecasting process is shown
visibility to potential changes over a period below:
of time and permit adoption of appropriate

Evaluation of Drivers Data Collection Formulating the Forecast

■■ Identify appropriate drivers ■■ Collect data on the drivers ■■ Build a forecast model
and evaluate how each driver to verify evaluation incorporating how each
will affect the forecast ■■ Collect data on the topic to driver affects the forecast.
—— Interviews with (external) enable past trend analysis Seek the help of the
industry experts (i.e. discover how the data following for building the
—— Interviews with (internal) has changed over time in forecast model:
experts the past) —— Statisticians
—— Secondary research —— Mathematicians

Two of the key requirements in conducting may be necessary to commission a sample study
forecasting are to identify key drivers and get to gather sample data on key drivers in order to
accurate data for them. If time permits and the accurately inform the forecasting model.
forecast is critical to the policy development, it

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78 Chapter 4 | Gathering Data Chapter 4 | Tools for Utilizing Data 79
 Benchmarking problems or have innovated new ways to
do work. International comparisons bring Case Example: Ministry of Education
Benchmarking utilizes data to compare together information, data and analysis on A Ministry of Education wanted to benchmark the country’s university education spend with that of other
outcomes and to set standards and goals. approaches for how other countries tackled developed countries, attempting to correlate higher education spend with its status as a developed country
Comparing performance through benchmarking similar issues and can draw out relevant
data utilization is a valuable means identifying experience that may be applied in the UAE Identify Comparator Country / Region
areas for development in the delivery of a
A team within the Ministry of Education started by identifying the type of data they will use for the
policy which should have influence on the 3. Indirect benchmarking: The act of looking
benchmark. The data to be used is as follows:
development of the policy. There are three main ‘outside the box’ to see what can be learned
ways to use benchmarking in policy work: from non-comparable agencies is a useful • Higher education spend per capita
way of seeking new ideas for “doing things”
1. Comparison benchmarking data: Comparing and promotes culture that is receptive to • TIMSS (Test in Mathematics & Social Science) Scores
outcomes from other FGE’s doing similar
work can be an effective catalyst that helps
fresh approaches • Higher education spending as % of GDP
to make a case for change, by comparing the A main source of benchmarking information • Human Development Index
performance level of others. is the Internet. Simple internet searches will The team then identified potential countries where best practices in higher education are known to exist.
often yield ample amounts of benchmarking
2. Benchmark learning: After using comparison information that can be used throughout Gather Evidence
benchmark data to make the case for change, the policy development process. An overall
benchmark learning can be used to learn benchmarking process is shown below: The team then conducted secondary and primary research and gathered the following benchmark data:
how others have overcome comparable

Illustrative Only
Identify Comparator Gather Evidence Interpret Results
Country / Region Higher Education Market Size (2009), $ BillionsThe
■■ Identify the type of data ■■ Conduct secondary and ■■ Draw out conclusions
needed primary research to gather on areas of potential
■■ Determine a comparator evidence enhancements
country or region where best ■■ Seek the help of experts in
practices are known to exist identifying the reason for
■■ Identify / decide relevance of performance variations The country’s
higher
comparison education
market is the
least with an
estimated $ 1.6
Billion

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80 Chapter 4 | Tools for Utilizing Data Chapter 4 | Tools for Utilizing Data 81
 Case Example: Ministry of Education Case Example: Ministry of Education
Interpret Results
A series of interviews with education experts indicated that a researcher should expect a strong correlation
Illustrative Only
between a country’s Human Development Index (HDI) and its higher education spend, as higher education
Higher Education Market Per Capita (2009), $ is a driver of future growth, countries with already high HDI’s often are wanting to maintain it and thus
pursue policies that push more GDP into higher education

Illustrative Only

The country’s 4.5

Country B
higher
education Outperformers Country R Country A
market per 4.0 Country Q
capita is the Country S

as % of GDP
least with an
estimated $ 364
3.5

Country C
3.0

Higher Education Market

2.5 Country P
Country O
Country L
Country K
2.0 Country N
Country J
Country M
Illustrative Only
1.5 Country I
Country E
Higher Education Market as a % of GDP (2009), % COUNTRY X
1.0 Country F
Country D Country H
The country’s Underperformers
higher education Country G
market as a % 0.5
of GDP is the Low High
least with an Human Development Index
estimated 1.2%

This benchmarking indicated that the country might wish to consider policies that promote higher
educational spend, perhaps doubling the current rate.

2
HDI is an indicator that measures the achievements in a country along three basic dimensions of human development; life expectancy
at birth, access to knowledge and standard of living. The higher the HDI of a country, the more developed it is

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82 Chapter 4 | Tools for Utilizing Data Chapter 4 | Tools for Utilizing Data 83
 Structured Thinking Tools will be to help others in the brainstorming
session.
hand. A PESTLE process does this by looking at
external issues from six perspectives; Political,
Economical, Socio-cultural, Technological, Legal
When facilitating brainstorming sessions, it is and Environmental.
useful to keep the following factors in mind:
The process is kicked off doing research on
During many stages of the policy development Brainstorming
• Helping people understand why they are worldwide, regional and local events that may
here: this involves keeping the goal of the impact on an entities’ area of responsibility. A
process, structured thinking is helpful to brainstorming session clear and reminding
generate better and possibly more innovative Brainstorming is an idea development technique desk research (e.g. internet, reports) process
designed to generate a large number of ideas for others when they are off target. Bringing a might be supplemented by phone or in-person
solutions to an issue. Following are four tools sense of urgency and energy to the work is
that will help structure a team’s thinking: the solution of a challenge. Brainstorming is a interviews with experts in the organization’s
very popular tool in policy work as it essentially important. field. These might include:
• Brainstorming, expands the thinking to include all the • Staying neutral to the content: when in a
• PESTLE external environment analysis, dimensions of a challenging issue or problem. facilitating role, the policy development team
• External experts / specialists: these include
If used properly it generates many potential economists, sociologists and possibly sector
• Logic trees, and must focus on the process and not influence
solutions in a short timeframe. A brainstorming experts relevant to the organization that can
the group’s decision making unless specifically
• The concept of Mutually Exclusive, process is outlined below: give an outsider’s perspective on the external
asked for their advice.
Collectively Exhaustive (MECE) thinking environment
• Championing ideas not individuals:
• Representatives and / or reports from
this involves treating individuals in the
international agencies: these might inform
brainstorming sessions as equals.
or set the FGE’s standards (e.g. for the Ministry
• Synthesizing: this involves asking participants of Health, such an agency would be the World
to build on each other’s ideas, so collective Health Organization) by shedding light on
thinking can emerge. various trends
Identify the Generate 3 - 4 Group ideas Nominate Rank your Record all ideas
•
■■ ■■ ■■ ■■ ■■ ■■

problem / ideas in silence in logical spokesperson ideas by Ease of on flip charts Paraphrasing to seek clarity: this involves • Internal specialists: these include staff
issue the group ■■ Post them on
categories for each Implementation repeating what people say so that they know members from the organization itself, such as
should think wall ■■ Again silence
category to and Value that their point was taken seriously and to let departmental heads or senior advisors
about describe and Generation
champion others hear their point a second time.
■■ Define it As part of the data gathering and analysis work,
• Summarizing periodically: this involves the following can be used as a sample checklist
offering concise and timely summaries of the to prompt identification of influences from each
Best practice for filtering ideas discussion / ideas generated. of these PESTLE perspectives:
Specific rather than generic Can be measured
•
■■ ■■

■■ Addresses a real problem ■■ Can be implemented Using documentation and visualization • What is the correlation between economic
tools (e.g. flip chart, blackboard, etc.): this growth / decline and the policies of the issue
involves recording what participants have at hand?
There are three basic rules in brainstorming. focus on extending or adding to ideas. By said to keep track of emerging ideas. Notes
These are intended to reduce social inhibition suspending judgment, participants will feel should be precise and concise. • How have recent social-cultural factors
among group members, stimulate idea free to generate good (sometimes radical) impacted the issue? What is the speculation
generation and increase overall creativity of the ideas • Preparing resource material prior to about further change in this sphere?
the brainstorming session: the policy
group:
3. Welcome unusual ideas: to get a good and development team may need to prepare • What international trends with regard to
1. Encourage people to share thoughts: long list of ideas, unusual ideas should be a short presentation on a topic in order to environment will impact the issue at hand?
individuals should be given confidence to welcomed. Looking from new perspectives place the participants in a context before the • Which of these PESTLE factors will affect the
express any of their (topic related) thoughts. and suspending assumptions can generate brainstorming can begin. issue at hand the most?
The assumption is that the greater the such ideas. These new ways of thinking may
number of ideas generated, the greater the provide better solutions
PESTLE, an External Environment Analysis Tool • Which of these are the most important at the
chance of producing an innovative solution present time and in the next few years?
A PESTLE is a structured analysis tool for
For the purposes of policy work in a FGE, looking at external influences on the issue at
2. Withhold criticism: in brainstorming, members of the policy development team will
criticism of ideas generated should be be facilitating the brainstorming sessions. They
put ‘on hold’. Instead, participants should are essentially helpers and enablers; their goal

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 A non-exhaustive list of sample issues to consider while answering the above questions is shown Logic trees • To apply the 6 questions (What, Why, Who,
below: When,Where, and How) approach
Logic trees are another tool that can help
structure thinking as they help to identify the • To apply the PESTLE analysis (Political,
Factor Sample Issues to consider main issue or question that the team should Economic, Socio-cultural, Technological,
address, and break it down into its smaller Legal and Environmental factors)
Taxation Policy (if applicable)
Local government / developed administrations component parts (sub issues). For example, • The figure below outlines the general
Political Political trends they can be used: characteristics of a logic tree:
Country reputation
Governmental relationships • To analyze specific issues / problems
Business cycles
GDP trends Generic Characteristics of Logic Trees Main Questions Sub Questions
Interest rates Issue / Problem
(1st level) (2nd to nth level)
Economic Inflation ■■ Hierarchical breaks
Unemployment question down into sub-
Disposable income issues (if necessary)
Population demographics
Social mobility ■■ Logically robust the answer
Socio - cultural Lifestyle changes to each sub-issue will help
Levels of education answer the higher level issue

New discoveries ■■ Comprehensive all the

Technological Speed of technological transfer (major) necessary sub-issues
Rates of obsolescence are there to confidently
answer the higher level issue
International / regional agreements
Employment law
Legal Health & safety law
Legislation
Environmental impact / legislation Before embarking on the detailed thinking, then formulate questions specific to each of
Environmental Energy consumption some time should be spent thinking through these drivers (e.g. drivers for a high number of
Waste disposal
the overarching question(s) – main questions road accidents could be any of the following;
– through which the policy development team drivers, cars, roads, traffic, etc.).
The results from these two data gathering exercise is carried out to score how the issue is attempting to break down the main issue /
activities can be organized for background might be effected by each area of the PESTLE. A problem. One way of creating this statement In most cases, the questions associated with
reading and / or developed into a presentation scoring template such as the one shown below of the problem is to note down some of the each of the drivers would then need to be
for a workshop or focus group, where a group can be used to quantify the views of the group: areas of enquiry. The team members should broken up into another layer of questions which
ask themselves what the main potential drivers in turn would be broken down into yet another
Level of Nature of associated with a particular problem are and layer of questions and so on.
Factor Issue Impact Impact Time Frame

Long Term
High Positive
Political Medium Term
Low Negative
Short Term

Where the columns represent: • Nature of Impact: this is an outline of the

type of impact that the issues’ have on the
• Factor: this outlines the PESTLE factor project, and / or entity (Positive / Negative)
(i.e. Political, Economical, Socio-cultural,
Technological, Legal, and Environmental) • Time Frame: this is an outline of the time
amount that the issue is anticipated to have
• Issue: this is a description of the issues within an impact on the project and / or entity
the PESTLE factors (Long-term, Medium-term, Short-term)
• Level of Impact: this is an outline of the
issues’ level of impact on the project, and /
or entity (High / Low)

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 Each time a question is broken out into lower questions should together cover all the issues The concept of MECE Being MECE ensures that nothing is missed and
level questions, these lower-level questions needing to be resolved, but should not overlap helps structured thinking. However, getting
should together give the answer to the higher each other. An example to illustrate this is When breaking an issue or a problem down, the to a MECE result does not necessarily mean
level question. Moreover, these lower level shown below: objective is to reach a MECE perspective, i.e. overwhelming the team with the finest details;
Mutually Exclusive and Collectively Exhaustive. rather, it simply means that the problem is
Being MECE in the context of breaking down separated in such a way that overlaps are
a problem means separating the problem into avoided while being complete.
Main Questions Sub Questions distinct, non-overlapping points (Mutually
Issue / Problem
(1st level) (2nd to nth level) Exclusive) while making sure that no point In terms of completeness, it is suggested to
relevant to the problem has been overlooked apply the common sense based 80/20 rule (also
Can we install more speed (Collectively Exhaustive). Once the points have known as Pareto Principle, as it was originated
cameras?
been identified, it is useful to ask the following by the famous economist Vilfredo Pareto in
Can we improve driver questions to ensure that the points are MECE: the early 20th century). The rule states that for
many events, roughly 80% of the effects come
behavior? • Is each point a separate and distinct point? from 20% of the causes. Hence, once the points
• Does every aspect of the problem come that address roughly 80% of the problem are
under one (and only one) of the points identified, the remaining ones should be of
identified? a minor nature, not requiring the rigor of this
Can we enforce a bi-
exercise to ensure that the problem is fully
annual check on all • Has any point been missed? solved.
Can we improve vehicles’ vehicles?
safety?
Case Example: MECE
How to reduce the
number of traffic
accidents? Mutually Exclusive Main Questions Sub Questions
Can we widen major Issue / Problem
(1st level) (2nd to nth level)
No overlap between points
highways?
Can we improve Can we install more
speed cameras?
infrastructure? Can we improve
driver behavior?

Can we enforce a bi-

annual check on all
Can we improve vehicles?
Can we increase the vehicles’ safety?
number of road signs? How to reduce the
Can we improve traffic Collectively Exhaustive number of traffic
management? accidents? Can we widen major
All points necessary to support the highways?
conclusion are there Can we improve
infrastructure?

Can we increase the

number of road signs?
Can we improve
traffic management?

The logic tree shown above is an example of a MECE logic tree. When trying to answer the question:
‘How to reduce the number of traffic accidents”, the team identified the four distinct, non-
overlapping points (improving driver behavior, improving vehicles’ safety, improving infrastructure,
improving traffic management) that collectively address the problem (how to reduce the number
of traffic accidents).

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