8.4.1 Preparing policy papers
8.4.2 Relevant exercises
Effective policy formulation and implementation require skill in policy analysis and the ability to articulate the rationale behind the analysis, and convey conclusions to policy makers and others clearly and persuasively. The policy paper is the key form of expression and communication in the policy formulation process.
The most important aspect of policy papers is that they present policy options to decision makers and provide a balanced summary of advantages and disadvantages for each option. Policy papers should:
· Minimise the risk of taking inappropriate decisions.
· Indicate the need (or lack of need) for taking a decision.
· Present complex issues in a straightforward fashion.
· Ensure that decisions which are taken are based upon a sound understanding of the issues involved, a reasonably good database and an appreciation of the consequences.
Figure 8.4. Model M: The professor's dream.
Policy papers are advisory in nature. They may or may not advocate a particular course of action. However, they should examine the trade-offs between alternative courses of action.
There are normally five main components of a policy paper:
· A statement of the particular problem, or problems, that need(s) to be addressed.· A summary of the various objectives involved (drawn from existing policy) including, when relevant, the various objectives of different interested parties.
· The information that is needed to take a decision.
· An assessment of the problem(s) in terms of the particular policy issue involved. (In some cases, there may be problems which are not appropriate for any immediate decision; there may be other decisions which are already in hand elsewhere.)
· A presentation of policy options on the particular issue or issues identified.
If the policy paper is to be discussed in a meeting, the Chair of the meeting should be able to use the structure of the paper to guide discussion, agree on the problem and the objectives, survey the information, identify the issue to be decided upon and, finally, make a choice.
In practice, the process of formulating and presenting policy options is not orderly. Often, competing interest groups and agendas will have an impact on both the policy options chosen and policy implementation. However, the key for the policy analyst is to present options in as objective and reasoned a fashion as possible - acknowledging perhaps the special interests and agendas at play - but standing apart from these interests and agendas.
Figure 8.5. Model N.: A wicked slander.
Exercise 8.2. Group Exercise: Preparing a policy paper.
Example: The policy for marketing of beef in Alphabeta.
You have been asked by your Permanent Secretary to prepare a paper for the Minister of Agriculture to present to Cabinet. The paper will relate to beef marketing policy in Alphabeta since an argument has arisen between the Meat Marketing Corporation (MMC) and the Urban Retailers Association over proposals for modified relaxation of laws governing the operations of private butcheries in urban areas.
The proposals, in the last stages of legislation, would permit (under license) a restricted number of butcheries to operate slaughter facilities in the main urban centres of the country. Until now, such operations have been illegal and the MMC has been vested with full control of all beef marketing operations, supported by government price controls. Government price controls at the producer, consumer and retail levels would remain unchanged according to the proposal.
The Board of the MMC is completely opposed to any revision of laws governing private slaughtering and retailing of beef in urban areas. Such operations have been active in the past (despite regulations) and have been difficult to control. They have eroded MMC's urban market outlets and serious problems of excess capacity and escalating costs of operation have caused the parastatal to run at a loss in recent years. Figures on the extent of this loss have just been leaked to the press and resulted in public protest and wide comment.
The Board of the MMC argues that a relaxation of laws controlling urban butcheries will both encourage licensed traders to expand operations and develop the tendency for more illegal butcheries to enter the trade. This, the Board argues, would further threaten the viability of MMC's operations. It would also become increasingly difficult to maintain adequate health standards for urban consumers.
The argument is that MMC was initially empowered with monopoly control over the beef market in order to provide subsidised beef to the consumer and to develop export outlets. MMC's capacity to perform these functions has diminished with time and it is the responsibility of government to support its original intention, not to undermine it. The proposed legislation would do the latter according to the Board. Furthermore, proposals by some segments of the community (notably the commercial farmers) to remove the consumer subsidy and hence raise the producer price (which is held at an artificially low level) would be opposed by the Board. This, it is argued, would reduce the demand for beef and would at the same time be politically contentious. An increase in producer prices would, however, be supported by the Board since production would increase and the MMC's throughput of beef would increase. A reconsideration of grade differentials to encourage greater production of prime quality beef for export would also now be supported by the MMC. The Board, therefore, now proposes that:
· producer prices be increased
· present consumer price subsidy policy be retained
· proposals for deregulating the urban beef trade be scrapped.
Representatives of the Urban Retailers Association, on the other hand, vigorously support a relaxation of the restrictions currently imposed on butchering operations. They argue that trading controls on private butchers should be scrapped and that this would stimulate competition and efficiency within the industry. Both consumers and producers would then benefit from a deregulation of the urban beef trade. Inefficient operators would be driven out of practice and competition would help to maintain or even improve current health standards of private operators
MMC's poor performance is, according to the Association, a consequence of the fact that it is an outmoded service and that it will never effectively compete with the private trade even under the present system of controls. This is supported by the recent growth in urban demand for private trader beef at the expense of MMC and by the drift in supply towards these outlets. The MMC has failed to meet its mandate and has become costly for the taxpayer. It now merely serves the interests of large commercial producers who have an aversion to uncontrolled marketing and of a select group of high income earners in the urban sector. Its operations should therefore be phased out or its original objectives altered.
The Association, on the other hand, opposes any alteration in consumer or producer price policy. An increase in consumer price, by relaxing the subsidy, would shift urban demand away from beef and this could threaten the viability of operation for a number of butcheries. It would also discourage new entrants because of the narrow margin between producer and consumer prices. Any attempts to increase the price paid to the producer would be opposed for similar reasons. The Association, therefore, recommends:
· a continuation of existing price policies
· a further relaxation of laws governing the private butchering trade
· a phasing out or complete redefinition of MMC's meat marketing operations.
Exercise: (estimated time required: 2 hours).
(This exercise should be done in groups of 4-8 people). In the light of this information and given the data and discussion on the operations of the MMC in the central case study, examine the consistency of the arguments presented and prepare a draft Cabinet paper as requested by the Permanent Secretary. Your Minister will shortly present the paper to the Cabinet for a decision.
In preparing your paper you must ensure that the Cabinet does not confuse the short-term problems with the longer-term issues involved. You must draw upon what you understand of government policy to reiterate the objectives that the Ministry has to keep in mind in executing policy decisions. You should ensure that the Cabinet has the information it needs to take the decisions from among the various options you are suggesting to them. But they should not be inundated with data (use appropriate statistics where possible, but sparingly). Remember that your Minister will have only ten minutes to present his case and the Prime Minister will allow thirty minutes' discussion at most.
Exercise 8.3. Group Exercise: Preparing and making an oral presentation to ministers.
Exercise: (estimated time required: 1.5-2 hours).
The central element of this exercise is a simulated cabinet meeting to discuss a policy paper on marketing of beef in Alphabeta. Versions of that policy paper will emerge from Exercise 8.2. The instructor may need to prepare a definitive version drawn from the various drafts. If he or she has no time to do this, a version of the draft, prepared in advance, would be appropriate. Individual participants should be selected to play the role of ministers at the Cabinet Meeting at which attendance should be restricted to 8-10 ministers.
Other participants, not selected as ministers, should act as "advisers" to individual ministers in considering (prior to the Cabinet Meeting) the view each minister should adopt.
Subsequent to the simulated cabinet meeting there should be a plenary of all participants to discuss what happened and what the implications are for policy formulation in general and, in particular, the preparation of policy papers.
(Hints to instructors: The proceedings can be enlivened if you prepare an imaginary personal profile of each minister giving his political views and background including his or her political ambitions and alliances or disagreements with other individual ministers. This "personal profile" is then communicated to the minister concerned but not to other participants).
· Ministers and their advisers confer about policy paper prior to cabinet meeting (30 minutes).
· Simulated cabinet meeting (45 minutes).
· Plenary post-mortem discussion (15-30 minutes).
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Important points (8.3-8.4) · The structure and functioning of policy formulation differ greatly in Africa. There may be important differences in roles played by different organisations and groups of people in generating new ideas, evaluating and approving proposals and influencing outcome. · Important characteristics of the policy formulation infrastructure are: - sense of commitment of the implementers to changes in policy · The policy formulation process can he represented by various models. However, all models are based on a common set of basic assumptions. · Policy papers provide policy options to decision makers and describe advantages or disadvantages of each option. · The five main components of a policy paper are: - statement of the problem |
