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Needs and Impact Assessment.

Essential Steps in Cultural Policy Making

Prof. Dr. Delia Mucica


May 2004

High culture Low culture Subculture Serious culture Kitsch


" culture may now be said to be the whole complex of distinctive spiritual, material, intellectual and emotional features that characterise a society or social group. It includes not only arts and letters, but also modes of life, the fundamental rights of the human being, value systems, traditions and beliefs."
Report of World Conference on Cultural Policies organised by UNESCO in 1982 at Mexico City.

What cultural policies?


Most cultural policies are focused upon the arts and heritage. The perspective can be broadened, first by moving away from monolithic notions of 'nation culture,' accepting diversity in individual choices and group practices. Support to the arts and artists is essential; but equally so is an environment that encourages self-expression and exploration on the part of individuals and communities.
Our Creative Diversity, Report of the independent World Commission on Culture and Development, UNESCO Publishing, 1999

4 Key Themes
(identified in the Report of the European Task Force In from the Margins):

promotion of cultural identity; endorsement of Europe's multicultural diversity; stimulation of creativity of all kinds; encouragement of participation for all in cultural life.

5 Objectives of Cultural Policies


(Action Plan of the 1998 Intergovernmental Conference on Cultural Policies for Development)

to make cultural policy a key component for development strategy; to promote creativity and participation in cultural life; to reinforce measures to preserve cultural heritage and promote cultural industries; to promote cultural and linguistic diversity in the information society; to make more human and financial resources available for cultural development.

integrative or cross-sectoral

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

a devolution of powers over culture-related issues from central government to the lower levels; greater support for cultural demand;

strong emphasis on training and artistic education;


considerable support for contemporary art;

the introduction of new forms of public/private partnership.

Factors shaping the cultural policy of a country


Endogenous Exogenous Democracy and Rule of Law Globalisation (free trade, blurring of frontiers, New forms of governance delocalisation of production, convergence, Socio-economic environment Cultural traditions and beliefs technical innovation) - cultural identity International commitments Cultural expectations/ needs Post-industrial society Cultural consumption and the information society (knowledge-based tastes society) Cultural offer and The craving for content infrastructure of creative industries Contemporary forms of expression Cultural diversity

Cultural Policy Making: A Balancing Process


Past and Present

Protection of heritages Promotion of creativity and innovation

Opening up to the world while protecting distinctiveness


Protection of cultural identity Promotion of cultural diversity

Rigors of public money spending and promotion of excellence and innovation


Generated consumer and user benefits Public expectations Accountability and transparency Freedom of expression, creative freedom, experiment

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

Top-Down or Bottom-Up?

Policy Making Principles


Subsidiarity Proportionality Transparency and openness Consultation and participation of stakeholders
Good Governance

Subsidiarity
Means acting only where necessary - no responsibility and decision should be located at a higher level than is necessary Action is justified only when: the objectives of the proposed action cannot be sufficiently achieved at a lower level (the necessity criterion); the objectives can be better achieved at a higher level

(the effectiveness criterion).

Proportionality
Comes into effect if and when the legitimacy of action is decided with reference to the principle of subsidiarity, ensuring that: The least onerous means must be adopted (the suitability criterion) The measure must be necessary to achieve the aims (the necessity criterion) It must not have an adverse impact on any interest or right (the balancing criterion)

Openness and transparency. Information

Access to public information (citizens actively seeking information) Communication of public information (public authorities actively providing information)

This is a one-way communication but Essential for the exercise of democracy A prerequisite for compliance and implementation

Consultation and participation


Enhancing and transforming the information function of public authorities, from a one way monologue to a two-ways communication dialogue /consultation - and From dialogue to empowerment (active participation of stakeholders in the decision making process policy-making, law-making, assessment, implementation, etc.)

Steps in policy making


Assess cultural and socio-economic environment Carry out a needs assessment exercise Identify and evaluate possible policy options Design policy and strategic planning Identify and evaluate appropriate tools for policy implementation Carry out an ex ante impact assessment Implement policy and regulation Carry out ex post impact assessment Modify/adjust policy and regulation to meet policy objectives / changing conditions

SWOT Analysis
Assessment of the national cultural environment and putting it into the socioeconomic perspective

Identify and evaluate internal Strengths Identify and evaluate internal Weaknesses Identify and evaluate external Opportunities Identify and evaluate external Threats

Needs assessment
Objective: Identification and diagnosis of problems that need to be addressed/solved Assessment of cultural needs of individuals and of communities Comparison of needs/expectations expressed to the cultural offer Identification of priorities expressed by individuals and communities Shopping list of contrasting needs

Needs Assessment in 4 Steps


1. Who will conduct it? (design and actual exercise)
Outside consultants, own staff, volunteers etc.

2. What kind of information is to be collected? (It depends on what you want to achieve)
Quantitative data (demographic and economic indicators, cultural infrastructure, typical cultural statistics, data from related fields: education and schooling, employment and occupations, health, public transportation etc) Qualitative data questionnaire/interview-type approach (expectations, personal evaluations, tastes etc)

Needs Assessment in 4 Steps (contd)


3. How is the information collected?
(field surveys, interviews with key informants/ gatekeepers, community forum, public records)

4. How to use the information collected? Interpretation and statistical analyses in order to:
Produce a rank-ordered list of: priorities, changes needed, needs that are not met by current policies Identify cases/trends of social exclusion, groups that are not participating in cultural life, discrepancies between allocation of resources and consumer/user benefits Identify potential of creativity, opportunities for employment, etc.

What next?

Findings and results should be communicated to the public / constituency Results must be assessed and benchmarked against proposed policy objectives Results must lead to formulation of policy options and priorities Transparency! Consultation and participation!

Policy Options

Balance conflicting needs Assess alternatives (pros and cons) Feasibility Cost-effectiveness Cost-benefits Side-effects (spill over effect) Subsidiarity and Proportionality !
Is the policy option / intervention justified, feasible and implementable? Should (and could) this policy option be implemented through regulation or through non-regulatory tools? At what level?

Tools for Policy Implementation

Regulatory tools (primary and secondary regulations)


Cultural-specific regulations General regulations Public-private partnerships Information and education campaigns Awareness-raising campaigns Consultation and participation of stakeholders

Non-regulatory tools

Impact Assessment

May be conducted:

Before implementation of policy / enactment of regulation - ex ante After implementation of policy / regulation ex post
Assessment of degree of subsidiarity Proportionality

Essential tool for decision-makers


May address both policy options and regulatory solutions

Ex Ante Impact Assessment (Regulatory Impact Assessment)


Objectives: Policy and regulation clarity and coherence Policy improvement and inter-sectoral harmonisation Legal equality and security Implementability and compliance
through

Improvement of the regulations themselves Reducing the number of policy and regulatory interventions Avoiding unnecessary regulation Preventing apparition of side-effects

Questions to be answered via an ex ante impact assessment exercise


Is the proposed policy consistent with the real situation? Are there alternatives to the proposed approach and if yes, have they been evaluated? Is the proposed policy consistent with other public policies, rules and international standards? Is the proposed policy clearly addressing the identified needs? What is the foreseen impact of proposed policy? Is the proposed policy establishing the authorities that should put it into effect? Does the proposed policy contain sufficient provisions as to the regulatory and administrative mechanisms that are necessary to implement it? Does the proposed policy foresees realistic funding of proposed measures? Which of the policy options is to be preferred?

Ex Ante Impact Assessment (contd)


Various technical tools and techniques used:

Economic analyses (Contingent Valuation Method, etc.) Statistical analyses Studies, researches, etc. Simulations, Shadow Projects Consultations Citizens Jury Field surveys, polls, etc.

Ex post impact assessment


Evaluation and analysis of: The degree of effectiveness of implemented policy / regulation The degree of implementability and compliance of that policy / regulation Side effects that occurred and their degree of importance

Have the policy objectives been met?

Ex post impact assessment (contd)


Tools and techniques used:

Socio-Economic analyses Statistical analyses Studies, researches, etc. Consultations Field surveys, polls, questionnaires, etc.

A never ending process


A. Policy objectives have not been met by implemented policy
Ex post impact assessment is vital for identifying sideeffects, unforeseen results, non-implementability, lack of compliance

B. Socio-economic and cultural environment has changed and requires either adjustment of existing policies or new ones
Ex post impact assessment provides information concerning changes that occurred, their importance and potential disruptive effects, which require assessment of new needs.

A logically consistent process linking policy, regulation, cultural activity and their assessment at macro and micro levels is paramount

Cultural indicators
What indicators?

Performance indicators Quality of life indicators

Important to track changes and indicate trends Need to be methodological consistent over a period of time Need to be compatible and clear Need to measure achievement of policy objectives Should be combined with criteria for judgement of artistic performance (excellence, innovation, quality)

SMART
Objectives should be: Specific Measurable Achievable Realistic Timed