Abu Dhabi Official Gazette - 2021 Edition 3

The Official Gazette 31 March 2021 - The Third Edition The Official Gazette The Third Edition - The Fiftieth Year Contents Pages Executive Council Resolutions Executive Council Resolution No. (30) of 2021 Concerning the Replacement of a Member of the Board of Trustees of Sorbonne 5 University Abu Dhabi. Circulars Circular No. (2) of 2021 Concerning the Regulatory Framework for Government Policies in the Emirate of Abu Dhabi. 9 1 Executive Council Resolutions 3 snoituloseR licnuoC evitucexE Executive Council Resolution No. (30) of 2021 Concerning the Replacement of a Member of the Board of Trustees of Sorbonne University Abu Dhabi Having reviewed: Executive Council Resolution No. (56) of 2018 concerning the formation of the Board of Directors of Paris-Sorbonne University - Abu Dhabi; The Executive Council has decided the following: Mr. Christophe Sassolas shall replace Mr. Stephane Michel in the membership of the Board of Trustees of Sorbonne University Abu Dhabi. Dr. Mohammed Rashid Al Hamli Secretary-General Issuance Date: 22 March 2021 Corresponding to : 08 Shaban 1442 Hijri 5 Circulars 7 sralucriC Date: 18/03/2021 Circular No. (2) of 2021 Concerning the Regulatory Framework for Government Policies in the Emirate of Abu Dhabi To all governmental entities and companies in the Emirate of Abu Dhabi, Peace and Allah’s mercy and blessings be upon you, We are pleased to greet you and express our sincere gratitude for your continuous cooperation to realise public interest. Based on the keenness to develop government policies in the Emirate of Abu Dhabi in line with the vision of the government, and based on the approval of the Executive Committee, we urge you to adhere to the use and application of the regulatory framework for government policies in the Emirate of Abu Dhabi attached to this Circular when submitting requests related to government policies for your entity to the Executive Council and its committees for approval thereon. We value your efforts and thank you for your cooperation For your necessary action May Allah guide you Dr. Mohammed Rashid Al Hamli Secretary-General • Attachment: Government Policies Manual - The Regulatory Framework for Government Policies in the Emirate of Abu Dhabi For further enquiry, please contact the Department of Analysis and Economic Studies at the Economic Affairs Sector at Abu Dhabi Executive Office by email: PPF @ECOUNCIL.AE. 9 n The Abu Dhabi Public Policy Framework Public Policy Manual: A comprehensive guide for policy makers THE PUBLIC POLICY FRAMEWORK Championing evidence-based public policy making in the Emirate of Abu Dhabi 2021 10 THE PUBLIC POLICY FRAMEWORK Championing evidence-based public policy making in the Emirate of Abu Dhabi All Rights Reserved for Abu Dhabi Executive Office © 2021 This manual was prepared by the Economic Analysis and Studies Department –Economic Affairs in Abu Dhabi Executive Office For enquiries, please contact us on the following email: PPF@ECOUNCIL.AE Abu Dhabi Executive Office –Abu Dhabi Government P.O. Box: 19 Abu Dhabi United Arab Emirates 22 11 Table of contents Foreword 4 About this manual 5 Section 1: Overview Chapter 1: What is Public Policy? 7 Chapter 2: The Abu Dhabi Public Policy Framework 12 2.1 The Public Policy Cycle 13 2.2 The Public Policy Toolbox 14 2.3 Approvals 17 2.4 Roles and Responsibilities 20 Section 2: Step-by-step guidance Chapter 3: Agenda setting 22 3.1 Diagnose the problem that needs to be addressed 24 3.2 Establish the rationale for government intervention 31 3.3 Define the desired objective(s) 33 Chapter 4: Design and appraise 37 4.1 Identify a range of intervention options 40 4.2 Undertake a qualitative appraisal 43 4.3 Develop high-level design 51 4.4 Undertake a quantitative appraisal 54 4.5 Develop detailed design 63 Chapter 5: Implement 70 5.1 Prepare for policy implementation 71 5.2 Launch and execute the policy 72 Chapter 6: Monitor and evaluate 74 6.1 Monitor policy implementation 78 6.2 Evaluate the policy 83 3 12 13 DROWEROF Aneffectiveandefficientgovernmentisparamounttofullyrealizethefuturevisionof the Emirate of Abu Dhabi and to meet the opportunities facing us in the decades ahead. The Public Policy Framework set out in this document will bring consistency to the way public policy is made within the Emirate of Abu Dhabi and ensure that evidence and analysisareattheheartofallinterventionsandrequests.Itprovidespolicy-makerswithin theAbuDhabiGovernmentwithastep-by-stepguidetodevelopingeffectivepublicpolicy, andemphasizestheimportanceofcontinuousimprovementbyprovidingtoolstomonitor, evaluate,andreportonpolicyimplementation. The framework has been designed using global best practice and experience, and will ensure that the Emirate of Abu Dhabi is at the forefront of high-quality evidence-based policymakingforyearstocome. Iurgeallthoseacrossthegovernmenttoreadandusethismanual.Itrepresentsan importantstepinourongoingjourneytoenhancethequalityandservicesofferedby theGovernmentofAbuDhabi. 4 14 LAUNAM SIHT TUOBA Purpose Thepurposeofthismanualistoprovideaunifiedframeworktoguidepublicpolicy-makers, withingovernmententitiesandpubliccompanies,indraftingconsistentandcomprehensive publicpolicies,andtofostercontinuousimprovementthrougheffectivereportingcycles.It isinformedbyglobalbestpracticesandalignswiththeUAE’sexistingpolicytools. Content Thismanual offersstep-by-stepguidelines on howtodevelop, appraise,implement,and evaluatepublicpolicyinterventions.Itpresentssuggestedtoolsandtechniquesinaddition tohighlightingtheimportantrolethatstakeholdershaveinthecompletenessandaccuracy ofthepolicy.Additionally,itprovidesguidancefordevelopingproposalsthroughaBusiness CasetobetterinformtheExecutiveCouncil’sdecision-makingprocess. The legend in Figure 1 supports in navigating between the supplementary figures and informationprovidedwithinthismanual: Figure 1: Legend Guidance on key topics Suggested tools and techniques to aid each step Checklists to review completion of key activities for each step Guidance for approvals Guidance on how stakeholders can be engaged Examples to bring this manual to life 5 Section 1: Overview 6 15 Chapter 1: What is public policy? 7 16 Chapter 1: What is public policy? The concept of ‘policy’ is complex, has several dimensions and can lend itself to different interpretations. In general,apolicyisastatementthatsetsoutagovernment’sintention,guidingprinciples,andthepracticalaction thatisundertakentorealiseasetofdesiredobjectives.However,thisbroaddefinitionneedstoberefinedto reflecthowpublicpolicyispracticedintheEmirateofAbuDhabi.Thischapterexploresthedifferenttypesof policies and requeststhatareproduced acrosstheGovernment and provides guidance and advice on which shouldbeconsideredwithinthescopeofthismanualandthewiderPublicPolicyFramework. Types of Policies Policies can broadly be broken down into three main types: ‘public policies’, ‘operational policies’ and ‘organisational policies’. The core distinction between the three types is defined by their domain (public or private)andtheimpacttheyhaveonstakeholders: •PublicpoliciesaretheGovernment’schosencourseofaction,orinaction,onanissueofpublicconcern.They generateeconomic,socialandenvironmentalimpactsandinvolvemultiplestakeholders,includinggovernment departments, businesses, households and civil society. Public Policies can be expressed in different forms: visions,overarchingpublicpolicies,strategiesandspecificpublicpolicyinterventions(Figure2). •Operationalpoliciesareacourseormethodofactionselectedbyanentitytodealwithoperationalmatters when engaging with itsstakeholders.Examples includefacilitylicensing policies or issuing birthcertification policies;and, •Organisationalpoliciesareacourseormethodofactionselectedbyanentitytoguideanddeterminehow internal human resource and financial management issues will be dealt with. They dictate rules within the entity’sadministrativeprocedures.Anexampleofthisisbusinesscontinuitypolicies. The Government Policy Pyramid GovernmentPolicybeexpressedindifferentforms: •Visionsreflectthedesiredfuturestateandincludesspecificprioritiesandideas; •Overarching Public Policies are derived from the Government’s vision and outline the high-level public policypositionsonspecificissues; •Strategiesarelong-termplansforrealisingtheGovernment’svisionandoverarchingpublicpolicypositions; and, •Public Policy Interventions are targeted actions taken by the Government to achieve specific policy objectives.Thescopeofthismanualisthedevelopmentofthislayerofgovernmentpolicy. When scoping and designing public policy interventions, and producing the required Business Case, it is importantforrequestingentitiesandpolicymakerstobeawareoftheinteractions betweenpublicpolicyand wider Government and departmental strategy. As set out earlier in the chapter, the Business Case that requesting entities are required to produce is designed specifically for public policy interventions, but in producingthesecasesentitieswillneedtoconsideranddiscussthelinkbetweentheinterventionandwider Governmentstrategy. 8 17 Inanidealscenario,eachlevelofGovernmentactionwouldflowfromthevisionand/oroverarching public policies(Figure2),andthisshouldbediscussedintheBusinessCase.Inpractice,thiswillnotalwaysbethe case.Itshouldbenotedthatalternativedefinitionsofpublicpolicyexist,butthatthisisthedefinitionapplied forthepurposesofthePublicPolicyFramework. Figure 2: Public Policy Pyramid The example below explains the relationship between the different expressions of public policy using generalhealthcareasanexample: Vision ThevisionoftheAbuDhabiDepartmentforHealth(DOH) is‘aHealthyandSafeAbuDhabi’. Overarching Public Policies To fulfil its Vision DOH designed several overarching public policies that address the main components of the AbuDhabihealthcaresystemsuchasthe“DOHPolicyon DigitalHealth”. Strategies To realize the above Overarching Public Policy DOH designedan‘e-HealthStrategy’.Thiswouldinvolvesetting aplanonhowtoprioritizetheambitionsoftheDOHPolicy onDigitalHealth Public Policy Interventions DOH implemented a number of regulatory and non regulatory public policy interventions, to execute its high levelpolicyandstrategy.Forexampletheestablishmentof Malaffi,aninnovative,unifiedhealthinformationexchange (HIE) platform that facilitates a more patient-centric approachtohealthcareprovision. As the Public Policy Pyramid indicates, public policy interventions can be derived from either the Government’soverallvision,itsoverarchingpublicpolicies,oritslonger-termstrategies.Itisimportantthatthe proposedinterventionsarealignedwiththeoverallstrategicdirectionoftheentityinquestion,aswellasthe prioritiesofboththeEmirateofAbuDhabiandtheUAE. The different types of requests that qualify as public policy interventions Requesting entitiessubmitmanydifferenttypes ofrequeststoADEO andtheExecutive Council, including differenttypesofpublicpolicyproposals,differentnon-publicpolicyrequestsandarangeofotherdifferent documentsforconsultationandapproval(Figure3). 9 18 Figure 3: Types of submissions New, amendment or exemption to: Description Scope Laws,Emiridecrees,decisionsoftheChairman Regulations of the Executive Council, decisions of the In ExecutiveCouncil,circulars,andexecutiveand scope administrative orders. Fiscal instruments Government spending or revenue policies In intended to modify the economic behavior of scope individuals or private sector actors. Direct provision Goods and services provided by government In directly to compensate for the lack of private scope sector provision (full or partial). Public entities Creation of new bodies that expand, or change In and/or agencies the scope of public services. scope Information The practice of increasing public awareness on a In specific subject to incentivise behavioural provision scope change. Additional budget Funding allocated for overages in a planned Out of budget for a project. scope Ongoing expenditure to maintain the operational Capital projects Out of level of existing assets or government entities or (admin) public companies. scope Memorandums of Document containing terms of reference, Out of understanding / timelines and parameters for a project. scope Agreements Committee Leadership appointments made jointly by Out of committee membership or the creation or appointments replacement of groups to manage workflow. scope Staffing changes Turnover, recruitment or changes to staffing Out of practices. scope Complaints Written statements articulating dissatisfaction Out of with a government service or priority. scope Events A special occasion that is organised and open to Out of the public. scope 10 19 snoitnevretnI yciloP cilbuP yciloP lanoitarepO yciloP lanoitasinagrO Capital projects A long-term and large-scale project where the In (public) cost is capitalised or depreciated. scope Strategies A long-term plan for realizing the Government’s Out of vision and overarching public policy positions scope RequestingentitieswhorequireapprovalfromtheExecutiveCouncilforarequestthatfalls‘inscope’forany ofthesixdifferenttypesofpublicpolicyinterventionwillberequiredtoproduceasupportingBusinessCaseto accompanytheirproposal.Requeststhatfallunderorganisationaloroperationalpolicywillnotberequiredto produceasupportingBusinessCase,althoughthetoolsandtechniquesthataredescribedthroughoutthis documentcanstillbeappliedtosupportthedevelopmentoftheseotherrequests,asnecessary.Similarly,the requestingentitiesmayusetheirownequivalenttoolswhenpreparingaBusinessCase. One of ADEO’s key roles is to continually improve the effectiveness and efficiency of the Abu Dhabi Government,andtosupporttheExecutiveCouncilinmakingrobust,well-evidenceddecisionswhenitcomes to introducing,changing orremoving public policy interventions. By producing a Business Case tosupport their proposed policy changes, requesting entities will provide the Executive Council with the required information, evidence and analysis to allow them to appraise different options effectively. Further detail regardingtheBusinessCase,andhowtodevelopit,isprovidedinChapter2ofthismanual. 11 20 Chapter 2: The Abu Dhabi Public Policy Framework 21 Chapter 2: The Abu Dhabi Public Policy Framework This manual, and the accompanying documents, contains the Abu Dhabi Public Policy Framework. The objectivesoftheFrameworkaretobringconsistencytopublicpolicydevelopmentintheEmirateofAbuDhabi, toensurethatpublicpolicyismadeinaholistic,coherentandconsultativeway,tostreamlinetheinteractions betweenrequestingentitiesandADEO,andtolinkpolicydesigntoimplementationandreview. 2.1 The Public Policy Cycle Public policymaking istheexercise of identifying andselecting initiativesthatsupportagovernment entityin achieving specific objectives or goals. It is an iterative process that is conceptualised in this manual in four stages:AgendaSetting,DesignandAppraise,Implement,andMonitorandEvaluate(Figure4). Thisdocumentcontainsdetailedguidanceandsupporttopolicy-makersonhowtonavigateeachstageofthis cycle, as well as providing advice on howtomanagethe approval processes during the Agenda Setting and DesignandAppraisestages. Section2ofthismanualisdedicatedtoeachofthesekeystagesofthePublicPolicyCycleandprovidessupport topolicy-makerstoguidethemthroughtheprocess.Inadditiontothecoresections,severalfurtherpiecesof guidanceandtoolshavebeendevelopedtohelprequestingentitiescompleteeachofthePublicPolicyCycle stages. Figure 4: The Public Policy Cycle Monitor and evaluate 4 1 Agenda setting How do we ensure this is What is the problem and what still the best way? do we want to achieve? The Public Policy Cycle What is the best way of How do we launch the policy? achieving this? Implement 3 2 Design and appraise 13 22 2.2 The Public Policy Toolbox Thesupportingtoolsandtemplates,alongwiththismanual,makeuptheAbuDhabiPublicPolicyToolbox.This should be used by all requesting entities to help navigate the different stages of the Public Policy Cycle. AlthoughthePublicPolicyToolboxisextensive,itisnotexhaustiveandrequestingentitiesshouldmakeuseof theirownanalyticaltoolsandinternalprocesseswherenecessaryandappropriate.Thethreetoolsare: Public Policy The Public Policy Manual: Practical guidelines on how to identify, design, Manual appraise,implement,monitorandevaluatepublicpolicyinterventions; Business Case The Business Case Template: A template for submitting policy intervention Template proposalsandsupportingevidence; Appraisal TheAppraisalTool:Atoolforappraisingpolicyinterventionoptionsagainsteach Tool other. Figure 5: The Public Policy Toolbox Stage of the Public Policy Cycle Toolbox 1 Agenda setting Business Case Template 2 Design and appraise Appraisal Public Policy Tool Manual 3 Implement 4 Monitor and evaluate The Public Policy Manualprovidesguidance on howtosystematically investigatea challengeor opportunity, compareanumberofdifferentpotentialoptions,andselectthemostbeneficialinitiativetotakeforwardasthe preferredchoice.ThePublicPolicyManualincludessuggestedapplicationsofthesetechniques,andalsoshows howtheycanbecustomizedandcombinedindifferentwaystomeetthespecificneedstobeidentifiedbypolicy practitioners. Inaddition,itadvisespolicymakersonthelevelofdetailrequiredatthedifferentdesignstepsinordertobuilda comprehensivepolicythatcanbeimplementedsuccessfully.Boththedetailoftheinterventiondesignandthe levelofsupportingevidenceshouldincreaseasapublicpolicyinterventionprogressesthroughthecycle. 14 23 Figure 6: The Business Case Rationale and Policy design objectives What is the action Policy appraisal What is the need and proposed for achieving Why is this action desired end state? the desired end state? proposed? What is the problem What is the proposed What is the expected to be addressed? policy instrument? economic, social and environmental impact? Why should What is the proposed Is the policy technically, Government policy scope? legally and financially intervene? feasible? What objectivesis it What is the proposed Are there other strategic aiming to achieve? implementation plan? considerations? Tosupportrequestingentitiesinbuildingtheircase,atemplatehasbeendesignedwheretheycansetout the required information, evidence, data and analysis they need before they submit their proposal for approval. TheBusinessCaseTemplateensuresthatsubmittedproposalsareholistic,coherent,andsupportedbya proportionatelevelofevidenceinordertoinformkeydecision-makingatthedifferentapprovalstages.There arethreecoreareasthatneedtobecoveredineachproposal,andthesearesetoutinmoredetailinFigure 6. AsshowninFigure6,inordertoallowtheExecutiveCounciltomakewell-informeddecisions,requesting entitiesneedtoprovideclearevidenceoftheneedforgovernmentintervention,detailedinformationabout theproposedresponse,andarobustappraisaloftheexpectedimpactsacrosstheEmirateofAbuDhabi. Whencompletingatemplate,requestingentitiesshouldfollowthechronologicalstepsthathavebeenaligned tothedifferentstagesofthePublicPolicyCycle.FurtherdetailedsupportonhowtocompletetheBusiness CaseTemplate,includingfurtherinformationaroundhowitalignswiththeAppraisalTool,isincludedwithin thetemplate. 15 24 TheAppraisalToolhasbeendevelopedtosupportrequestingentitiesinassessingandcomparingarangeof potential policy interventions. The tool allows users to appraise several different options against a pre- determinedsetofimpactcriteria,tohelpdeterminewhichoptionsshouldbeselectedforfurtheranalysisand development.TheAppraisalToolincludesseveraldifferentcriteria,whichcoverstrategic,feasibility,andimpact considerations.ThisisshowninmoredetailinFigure7. Figure 7: Appraisal Criteria Framework Non-exhaustive Alignment with Alignment National vision and strategy with objectives security Legal Cost Technical Organisational Federal Health implications Stakeholder Education support Public safety GHG emissions Quality of life Air pollution Technology and Water pollution innovation Diversity and Water inclusiveness consumption Economic impact Income Waste distribution Emirati Emirati GDP Employment Investment Private Fiscal Competition SMEs business employment sector revenue ownership 16 25 Social impact tcapmi latnemnorivnE Strategic Feasibility Fit Impact The Appraisal Tool allows weights to be assigned to each assessment criteria either on an equal basis or throughcustomweighting,whichallowsforuser-definedweightsbasedontherelevanceofdifferentcriteriato thedecision-making. 2.3 Approvals There are two times that a requesting entity will need to obtain approval when submitting a public policy proposal.Thefirstofthesestagesis: At this stage, ADEO will review the rationale for government intervention, the list of potentialoptionsthathavebeenidentified,andtheanalysisthathasbeenproducedto Pre- assess the impacts that each option will have. The analysis behind each option is Approval expected to be broadly qualitative and depict the range of impacts that the different options may have. Detailed, quantitative analysis is not required at the Pre-Approval stage. Once Pre-Approval hasbeen obtained, ADEOwill communicatetorequesting entities what isrequiredfrom them before coming back at the final approval stage. At a minimum, requesting entities will be required to produce detailed implementation and monitoring and evaluation plans for their proposed public policy intervention.Dependingonthespecificpolicyinquestion,theymayalsobeaskedtoundertakemoredetailed quantitativeanalysis,tohelpADEOandtheExecutiveCounciltomakeawell-informeddecision. Atthisstage,ADEOwillreviewtheimplementationandmonitoringandevaluationplans thathavebeendesignedbyrequestingentities.Iffurtheranalysiswasrequestedatthe Final Pre-Approval Stage, then this will also be reviewed. Once reviewed, the Executive Approval Councilwilleitherapproveorrejecttheintervention.Notethattheinterventionmaybe rejected because the submission is incomplete or lacks sufficient evidence. In this instance,theproposalwillbereturnedtotherequestingentityforrework. Furtherinformationonwhatisrequiredateachstageofapproval,andthelevelofevidenceandanalysisthat shouldbeincludedforeach,isincludedinChapter4ofthisdocument.Additionalsupportandguidanceisalso includedatthebeginningoftheBusinessCaseTemplate. ThePublicPolicyFrameworkisdepicted,infull,inFigure8.Thisinfographicbringstogetherallthedifferent componentsofthePublicPolicyCycleandsupportingPublicPolicyToolbox,andtheindividualstepsrequired ofrequestingentitieswithineachstage.Italsoshowshow,andwhen,requestingentitiesshouldengagewith ADEOforapproval. 17 26 Figure 8: The Abu Dhabi Public Policy Framework The Public Policy Cycle What steps should we undertake to make the case for our preferred public policy intervention? 1 Agenda setting What is the problem and what do we want to achieve? ADEO Interaction (* = indicates mandatory 1.1 Diagnose the problemthat needs to be addressed step) 1.2 Establish the rationalefor government intervention 1.3 Set out the overall objectivesof the intervention Sounding 2 Design and appraise What is the best way of achieving the objectives? 2.1 Identify a range of intervention options 2.2 Undertake a qualitative appraisal 2.3 Develop high-level design(s) Further analysis required Pre- 2.4 Undertake a quantitative appraisal (optional) Approval* No further analysis required Final 2.5 Develop detailed design Approval* Approved 3 Implement How do we launch the policy? 3.1 Prepare for policy implementation 3.2 Launchand execute the policy Reporting 4 Monitor and evaluate How do we ensure this is still the best way? 4.1 Monitorpolicy implementation 4.2 Evaluatethe policy Evaluation 18 18 27 Techniques Toolbox Appraisal criteria What techniques can we use in What tools are at our disposal? What questions should we answer to this process? support our preferred intervention? Primary data gathering Strategic Fit Benchmarking • Is the proposed intervention aligned with Government Forecasting vision and strategy? Environmental scanning • Is the proposed intervention Root cause analysis aligned with the desired SMART objectives objectives? Stakeholder engagement • Does it have implications on national security? Economic impact analysis Social impact analysis Environmental impact analysis Feasibility Multi-criteria analysis • Is the intervention feasible Social cost-benefit analysis legally? Stakeholder engagement • Is the intervention feasible financially? • Is the intervention feasible technically? • Is the intervention feasible organisationally? • Does it have Federal implications? • Does it have stakeholder support? Impact • What are the intended and unintended economic impacts? • What are the intended and unintended socialimpacts? • What are the intended and unintended environmental impacts? 19 28 yciloP cilbuP launaM esaC ssenisuB etalpmeT lasiarppA looT 2.4 Roles and Responsibilities TherearevariousassignedrolesandresponsibilitiesalongthePublicPolicyCycle.Table1describesthese foreachpartyinvolved. Table 1: Roles and responsibilities related to the Public Policy Framework Role Entity Responsibilities Abu Dhabi Provide support to policy makers throughout the Public Policy Cycle Executive •Provide support to requesting entities throughout the various stages of Office the Public Policy Cycle. •Review options analysis and selection of preferred option(s). •Review policy appraisal and present final proposed policy to the Executive Council. •Review evaluation reports and advise on the policy’s future direction. 20 29 evorppA -erP r revorppA Executive Provide final approval of Public Policy Intervention Council • Review final policy appraisal and approve or reject final proposed public policy intervention. Own the overall Public Policy Cycle •Develop policies in accordance with the guidelines presented in this manual. •Conduct comprehensive policy appraisals to select the most appropriate policy option for achieving the desired objectives. •Complete and submit Business Case and all other supporting documents to ADEO depending on approval stage. •Engage with relevant stakeholders throughout the Public Policy Cycle. •Implement policy in accordance with approved implementation plan. •Obtain data required from stakeholders to evaluate policies’ effectiveness. •Evaluate policies’ implementation and effectiveness. •Prepare and circulate evaluation reports to relevant stakeholders. Provide legal advice regarding the proposed policy •Review policies to ensure alignment with the legal framework. •Provide guidance on suggested amendments to legal documents to enable policy implementation. Ensure policy alignment with strategic direction •Review policies to ensure policy alignment with the UAE and the Emirate of Abu Dhabi’s overall strategic direction. •Review policies to ensure alignment with the mandate of the entity. rotseuqeR Offer input and support throughout the Public Policy Cycle •Provide timely insights to ensure effective policies. •Support in identifying potential intended and unintended impacts, benefits, and changes relevant to the department or Agency’s area of specialization. •Provide requirements needed to enable the implementation of proposed policies. •Support in implementation of policies in accordance with approved implementation plan. •Collect and record data required for evaluation of policy effectiveness, where agreed. rehtO sredlohekats Government Departments & Agencies Other Government Departments &Agencies Section 2: Step-by-step guidance 30 Chapter 3: Agenda setting 31 Chapter 3: Agenda setting Figure 9: Agenda setting stage overview Stage of the Public Policy Cycle 1 Agenda setting What is the problem and what do we want to achieve? ADEO Interaction (* = indicates mandatory step) 1.1 Diagnose the problemthat needs to be addressed 1.2 Establish the rationalefor government intervention 1.3 Set out the overall objectivesof the intervention Sounding 2 Design and appraise 3 Implement 4 Monitor and evaluate The first stage of the Public Policy Cycle is focused on building a detailed understanding of the challenge(s)orproblem(s)thatneedsaddressing,andassessingwhethergovernmentinterventionis thebestoptiontoalleviatetheidentifiedissues.Oncethishasbeendetermined,high-levelobjectives andkeyperformanceindicatorsshouldbeidentifiedtosupportthepolicyanalysisthattakesplacein thenextstage. In developing public policy interventions, governments respond to both opportunities and problems. The AgendaSettingstageofthePublicPolicyCycleisbasedonaproblem-orientedapproachtopolicyanalysis. Thisapproachischaracterisedbyundertakingadetailedanalysisoftheunderlyingproblembeforepotential solutionsareidentified.Thisisnottosuggestthatthegovernmentcannotrespondtoopportunities,butrather thattheapproachtakeninthismanualprioritisesadetailedunderstandingofthechallengetobeaddressed, whetherthegovernmentisproactivelyorreactivelyaddressingit. 23 32 3.1 Identify and diagnose the problem that needs to be addressed EvidencingthecaseforgovernmentinterventionisakeypartoftheAgendaSettingstageofthePublicPolicy Cycle. A clear rationale for state intervention should be based on a comprehensive understanding of the challenge.Thiscanbeachievedbyansweringthefollowingcorequestions: 1. Whatisthenatureofthechallengethatneedstobeaddressed? 2. Whatisthesizeofthechallengethatneedstobeaddressed? 3. Whataretheunderlyingdriversbehindthischallenge? 4. Whyisgovernmentinterventionrequired? SomecoretoolsandtechniquesthatcanbeappliedintheearlystagesofthePublicPolicyCycletodevelopa deepunderstandingofthepolicychallengeare: Literaturereviews:Reviewingacademicpapers,whitepapersorothertheoretically-backedviewsthat studyandanalysethechallengeinquestion; Benchmarking: Examining themanifestation ofthe problem in other countries, the evolution of the challengeandreviewingthelessonslearnedfromelsewhere;and, Primarydatacollection:Gatheringprimarydatafromfirst-handsources,suchassurveys,interviews, focusgroupsorexperimentstogeneratesituation-specificinsights. Thesearesomefundamentaltechniquesthatcanprovidecrucialinsightsthroughprimarydata,existingbodies ofresearch,andexperiencesinothercountries. 01 What is the nature of the challenge that needs to be addressed? EstablishingacleardefinitionofthechallengeintheearlystagesofthePublicPolicyCycleisnecessarytohelp identify appropriate solutions. This process is likely to be iterative and require different levels of stakeholder engagement. Environmental Scanning, which involves identifying and tracking trends in the organisation’s internalandexternalenvironment,coversabroadrangeofusefultechniquesforidentifyingchallenges,whether theyaredrivenbyproblems,challengesoropportunities. Horizon scanning (Figure 10) is a useful technique for identifying and monitoring potentially important developments through the systematic examination of potential threats and opportunities to thepolicy area in question. The approach is driven by the analysis of changes, constants and uncertainties over defined time periods.Itrequiresconsiderationofbothexistingandemergingphenomena,butalsohowdifferentissuesmay interacttoinfluencefutureoutcomes. 24 33 Figure 10: Horizon scanning Thisthreehorizonmodelindicateshowstrategicandpolicyissuesevolveovertime: • Horizon1capturesimmediatestrategicandpolicyprioritieswhicharereadilyapparentandmay bewellunderstood.Ifnotalready,theseissuesshouldbeonthepolicyagenda. • Horizon2showsthatissuesmayevolve,ornewissuesmayarise,inthemediumterm.These issues, although less well understood, may present opportunities totackling emerging issues throughpublicpolicyinterventions. • Horizon3includeslong-termstrategicandpolicyissueswhicharedifficulttodeterminefrom the present. Decision makers do not necessarily need to respond to H3 issues right now, althoughitisimportanttoidentifyandtrackthedriversthatwillshapetheseissues. 34 hgiH muideM woL H3 H2 H1 Now Short term Medium term Long term Time horizon ytiroirP Aproblem-orientedapproachtopublicpolicyanalysisisreliantonasufficientlyrigorousdefinitionofthepolicy challenge under consideration. As mentioned at the beginning of this chapter, this can be achieved by deployingliteraturereviews, benchmarkingstudiesorprimarydatacollectioninordertoansweraseriesof predefinedresearchquestions. Itisimportanttoaskwide-rangingandprobingquestionsintheearlystagesoftheprocess.Whilespecific questionswillvarybypolicyarea,theexampleresearchquestionscouldbe: • Whoisaffected? • Howaretheyaffected? • Whatcontributestotheproblem? • Whenandwhereistheproblemmostlikelytooccur? Inaddressingthesequestions,itisimportanttobeasspecificaspossibleaboutthedifferentstakeholderswho areimpactedbythedifferentaspectsofthepolicychallenge.Thefollowingtablehighlightsthekeyinternal andexternalstakeholderstoconsiderwhenidentifyingtheimpactedpartiesduringinterventionanalysis. 25 Table 2: Stakeholders Stakeholder Description Government Entities engaged in public sector activities which pass laws, collect revenues and directly consume economic goods and services. Businesses Economic stakeholders engaged in commercial, industrial, or professional activities, who transform factors of production into goods and services. Households Economic stakeholders who supply factors of production (labour and capital) and are consumers of final goods and services. Civil society Individuals or groups who share a common interest and are not connected to the government. Civil society organisations can mediate the relationships between public authorities and citizens. ThestakeholderslistedinTable2aredeliberatelydefinedatahigh-level,andinpracticewillneedtobefurther broken down through segmentation and/or demographic analysis. A particular policy issue is likely to impact specificgroupsmorethanothers,andidentifyingthespecificagentsimpactedbyapublicpolicyisakeypartof theearlyanalysis.Atthisstageitisparticularlyimportanttoperformstakeholdermapping. Additional research into the nature of the challenge should also consider the specific context, history and potentialevolutionoftheidentifiedproblem(s).Researchquestionstosupportthisadditionalassessmentcould include: • Whatisthehistoryofthechallenge? • Whoputthischallengeontheagenda? • Whatarethespecificinterestsatstake(includingdemographic,geographicandsectoral)? • Whoisinvolvedinthedecision-making? Throughdetailedresearchandanalysisofthequestionsthataresetoutthroughoutthischapter,requesting entitieswillbeabletoprovideproportionate,well-reasonedevidenceofthenatureandtypeofproblem(s)or challenge(s). 26 35 02 What is the size of the challenge that needs to be addressed? Thebreadthofissuescoveredbypolicy-makersoftenmeansthatachallengemaybeidentifiedbeforethefull- scaleorsizeisunderstood.Theprimarypurposeofthisstepistoestablishaquantitativeunderstandingofthe challenge. This will require an initial estimation of the size and an understanding of the demographic, geographic or sectoral variation, as well as a balance between targeted analysis of specific questions with exploratoryanalysistorevealanyunknowncharacteristicsofthechallenge. What data are available? This will require a range of data sources, including national statistics, departmental data, proprietary data sourcesandprimarydata.Thecollectionofprimarydatacanbeparticularlyimportantatthisstagebecauseitis likelytobethemostspecificinformationabouttheareainquestion,howeveritcanbemoretimeconsumingto collectandanalyse. What aggregate statistics are required to understand the size of the challenge? Policy challenges will often draw on a range of aggregate estimates, including both monetary and non- monetary aggregates. Monetary statistics include market or economic valuations, where as non-monetary statisticsincludemeasuresoffrequency,prevalenceandcount,andpercentages. What disaggregated statistics are required to understand the size of the challenge? To understand the policy challenge it may be necessary to disaggregate overall estimates by different characteristics.Thiscanincludedemographic,geographicandsectoralanalysis. What measures of variation are required to understand the characteristics of the challenge? Aggregatestatisticsmayhideimportantcharacteristicsofthechallenge.Consequently,itisimportanttolook beyondaggregatestounderstandmeasuresofvariation.Thisincludescentraltendency(mean,median,and mode),dispersion(range,variance,standarddeviation),andposition(percentile,quartileandrank). Differenttypesofdataanalysiscanbeuseddependingonthesalienceofthepolicyarea,availabilityofdata, and urgency of the request. Methods range from descriptive statistics and trend analysis, to more complex economic or statistical assessments. For example, supply and demand analysis (Figure 11) is particularly useful for challenges with implications for market outcomes, participants or structures, as it supports the understandingofthedynamicsanddeterminantsofsupplyanddemand.Thistechniquecanalsobeadjusted toexaminebothcapacityandneeds,whichprovidesanunconstraintedeconomicassessmentofthesupplyor demandinagivenmarket. 27 36 Figure 11: Supply (capacity) and demand (needs) analysis Supply and/or capacity analysis Understand the size and structure of the market, as well as the dynamics and determinants of supply 0011 Define the market Identify who the suppliers of a product or service are, considering potential substitutes for a productorservice,andthemarketstructure. 0022 Divide total supply into its main components and understand production Divide industry supply into segments and perform analysis of production variables, such as productioncosts,rawmaterialcosts,technologyandlabourcosts. 0033 Forecast the drivers of supply and how this will change over time Statisticaltechniquessuchasregressionscanbeusedtoidentifyandmaptheseparameters. 04 Conduct sensitivity analysis to understand assumptions and to gauge the risks Identifyandquantifytheareasofgreatestriskandgaugethelikelihoodthattheseeventscould occursoastoprovideamoreaccurateunderstandingofthepotentialimpactonsupply. Demand and/or needs analysis Understand the size and structure of the market, as well as the dynamics and determinants of demand 01 Define the market Identify who the end users of a product or service are, considering potential substitutesforthe productorservice,inordertogainabetterunderstandingoftheenduser’spotentialbehavior. 02 Divide total industry demand into its main components Divideindustrydemandintosegments;eachcategorymustbesmallandsimilarenoughsothat driversofdemandwillapplyconsistently,andlargeenoughsotheanalysisisworththeeffort. 03 Forecast the drivers of demand in each segment and how this will change over time Statisticaltechniquessuchasregressionscanbeusedtoidentifyandmaptheseparameters. 04 Conduct sensitivity analysis to understand assumptions and to gauge the risks Identifyandquantifyareasofgreatestriskandgaugethelikelihoodthattheseeventscouldoccur soastoprovideamoreaccurateunderstandingofthepotentialimpactondemand. 28 37 Estimatingthesizeandscaleofaproblemassistswiththecreationofacounterfactual,or‘businessasusual’, scenarioduringtheDesignandAppraisestage.ThisisdescribedinmoredetailinChapter4.The‘business asusual’scenario,ortheStatusQuo,isthecontinuationofcurrentarrangementsassumingthattheproposed policyisnotimplemented;thisissometimesreferredtoasa‘donothing’option,orthecounterfactual.Once thescaleoftheproblemhasbeenassessed,itispossible tostarttoanalysetheunderlying driversofthe challengeorprobleminquestion. 03 What are the underlying drivers behind this challenge? Acomprehensiveproblemanalysisdoesnotonlyrevealthenature,sizeandlikelyevolutionofaproblem,but is also an indication of the likely causal-effect relationships that may be underlying it. There a number of methodologies andtechniquesthatcanbedeployed atthisstage,rangingfromqualitative problemsolving tools,suchasarootcauseanalysis,oradvancedeconometricorstatisticaltechniques.Logictreeanalysis (Figure12)isoneofseveralmethodologiesthatcanbeappliedtounderstandthedriversbehindaproblem. Figure 12: Logic tree analysis A logic tree is a tool used to break down a problem statement or question into its more simple subcomponents,allowingforeasieridentificationofpotentialrootcauses.Theapproachhelpstogroup thecausesanddrillsdownfurtherintothedetailsofeachgroupinguntileachissueissufficientlyexplicit. Thismeanstheissuesmustbemutuallyexclusiveandcollectivelyexhaustive(MECE). • 'Mutuallyexclusive’indicatesthatthereisnooverlapbetweenthesubcomponents • 'Collectivelyexhaustive’meansthatthelogictreecoversallpotentialrootcauses This exercise will prove helpful when identifying solutions to address the problem statement, as responses may tackle the actual problem statement or the individual issues defining the causes. Asimpleexampleofalogictreeisoutlinedbelow: Problem statement Issue 1 Issue 2 Sub-issue 1.1 Sub-issue 1.2 Sub-issue 2.1 Sub-issue 2.2 29 38 Oncethedriversbehindachallengehavebeenidentified,itmaybehelpfultomapthemagainstanumberof differentfactorsasthiscanhelpprioritisewhichissuesshouldbetackledasapriority. Figure 13: Driver mapping Drivermappingisusedtomapthedriversofapolicychallengebasedontheirimportancetothepolicyarea andthecertaintyofoutcome. Considerthedriversofthechallengesidentifiedthroughothersmeans,suchaslogictreeorthe 01 analysis of supply or demand, but also consider wider factors through using the Political, Economic,Sociological,Technological,LegalandEnvironmental(PESTLE)framework. P Political T Technological E Economic L Legislative S Societal E Environmental Map the drivers basedon importance and certainty of the outcome, as shown in the example 02 below: More important for the policy area The outcome is The outcome is certain uncertain Less important for the policy area Sofar,thischapterhasfocusedonbuildingadetailedunderstandingoftheproblem(s)orissue(s)thatareat hand.Thenextpartnowfocussesonwhethergovernmentinterventionisthebestoptionforaddressingthem, andbringsthesedifferentassessmentstogether. 30 39 3.2 Establish the rationale for government intervention 01 Why is government intervention required? Identifyingaproblem,highlightingthesizeandscaleoftheissue,andidentifyingtherootcausesofthe challenge are not sufficient on their own to warrant a government response. Before government intervention can be justified, it is important to showcase why government action is the best way of dealing with the identified problem and what would happen if no action is taken. There is no single approachtojustifyinggovernmentintervention,anditisimportanttoconsiderarangeofperspectives, includingwhatwouldhappenifnointerventionweretotakeplace. Legalisticanalysis of the need for government intervention is one approach, and includes addressing questionssuchas: • Istherealegalbasisforgovernmentintervention? • Isgovernmentinterventionproportionaltothesizeoftheproblem? • Isthepolicyareaundertheexclusivecompetenceofthegovernmentordepartment? It is also possible to justify government intervention on the basis of economic grounds, including to addressregulatoryfailure,marketfailure,ortopromotesocialorpublicgoals.Forexample,theuseof logic trees may indicate that the root cause of the issue is driven by inappropriate regulatory design, leadingtoeconomicdistortionsandinefficienteconomicoutcomes.Threeexamplesofpossibletriggers forgovernmentinterventionareprovidedinFigure14. 31 40 Figure 14: Triggers for government intervention 01 Regulatory 03 failure This can occur when regulations are not well- designed to address an issue Marketfailure and they result in Market failure usually arises when the current market system unintended failstoefficientlyallocategoodsorservices.Forexample: consequences. This can lead to Public goods: these are non-excludable (can be costs for consumed by all without restriction) and non-rivalrous businesses and/or (canbeconsumedbyanynumberofindividualswithno society. impact on benefits). They are typically not provided by markets (for example defense services) without governmentintervention. Imperfect information: Information is needed for markets to operate efficiently. Regulation may be needed to enforce information disclosure, for example: providingtermsandconditionswhenrenderingservices orprovidingpricetransparencyonreceipts. Externalities: these are the social costs and benefits thatarisefromeconomicactivitieswhichareincurredby a third party who has no control over the decision to create that cost or benefit. For example, the cost of 02 Social goals pollution is felt by the public rather than the industry Government responsibleforcreatingit. intervention may be required in Market power: this occurs when there is insufficient order to address competition in the market, due to either the number of distributional or firms or market share of firms, resulting in inefficient equality objectives, prices, inadequate competition and consumer choice, or advance bundling goods or services, and dead weight loss. For specific priorities example,amarketwhichisdominatedbyonefirmmay for the public resultinunjustifiablyhighconsumerprices. good. 32 41 The various techniques highlighted throughout this chapter are designed to help requesting entities identify problems across all policy areas, assess them effectively, and to identify whether government intervention is required.Thefinalpartofthischapteraddresseshowtoseteffectiveobjectivesandperformanceindicatorsin ordertotackletheproblemsthathavebeenidentifiedabove. 3.3 Define the desired objective(s) Whendefiningtheobjectivesofapublicpolicyintervention,itisimportanttoreflecthowtheywillcontributeto achievingthegovernment’soverarchingpriorities.Suchobjectivesmaybeexpressedasoutputsoroutcomes andshouldbealignedtothegovernment’soverallstrategicdirectionandarequestingentities’mandate.Table3 clarifiesthedifferencebetweenoutputsandoutcomesandusesasanexamplethegovernmentattemptingto achieveitsstrategicpriorityofenhancingcustomersatisfaction. Table 3: Outputs and outcomes Term Definition Example The products, services or capital goods that Establish a 24-hour service for Outputs result from an intervention. customer support by 2021 The expected effects of interventions 50% reduction in the number of Outcomes outputs. complaints received by 2025 Itisimportanttoengagewithstakeholdersthroughoutthisprocesstoensurethatthevisionandobjectivesare aligned between the requesting entity, the wider Abu Dhabi Government and the UAE government. When identifyingtheobjectives,stakeholdersshouldbeconsultedandbenchmarkingshouldbeconducted. Whensettingobjectives,itisrecommendedto: 1. Consideralignmentwithstrategy; 2. Engagestakeholdersonobjectives;and 3. EnsureobjectivesfollowtheSMARTFramework. 01 Consider alignment with strategy Theabilityofapolicyoptiontomeetthedesiredobjectivesisacentralcriteriaintheoverallpolicyappraisal process.ItisthereforeimportantthattheobjectivesdefinedintheAgendaSettingstagearecloselyalignedwith the UAE’s, the Emirate of Abu Dhabi’s and the requesting entities’ strategy. The could be achieved by consideringthefollowingquestionsforeachlevelofgovernment: • Whatisthemissionandpurpose? • Whatisthevisionandstrategy? • Whatarethetargetoutcomes? 33 42 02 Engage stakeholders on objectives Itisalsoimportanttoconsiderhowtheobjectivesmightimpactthestrategyofothergovernmentdepartments, particularlywherethepolicyareaislikelytorequirecollaborationwiththedepartmentsinquestion. Figure 15: Engaging stakeholders on objectives The following questions may be useful to help develop an understanding of the specific policy area, the emergingthemesthatneedtobeaddressedandthepotentialsourcesofconflict: What is the critical issue for the area being considered? What is a favourable outcome? What is an unfavourable outcome? What are the key operational, structural and cultural changes that need to be made to deliver the favourable outcome? What are the key lessons from past experience? Which decisions must be prioritised? 03 Ensure objectives follow the SMART framework The absence of clearly defined objectives may lead to improper policy selection, ineffective appraisals, and subsequentlyineffectivepolicies.TheSMARTFramework(Figure16)providesguidanceoncharacteristicsthat contributetowell-definedobjectives. Figure 16: SMART framework S Specific:

Well-defined,clearandunambiguous M Measurable: Specifiedbycriteriatomeasureprogressagainst A Achievable: Attainable,notimpossibletoachieve R Realistic/Relevant: Withinreach/relatedtotheidentifiedproblem T Time-limited: Definedtimeframeforachievement 34 43 Thenextchapterbuildsontheguidance,adviceandtoolsthathavebeenprovidedthroughoutChapter3.It focuses on providing support to requesting entities to allow them to undertake proportionate, robust and informativeanalysisoftheirproposedpublicpolicyinterventions. Sounding Following,andduring,theAgendaSettingstage,thereisanopportunitytoengagewith the Abu Dhabi Executive Office to obtain direction and guidance on the identified Sounding challenges and/or opportunities, rationale for Government intervention, and objectives, beforeproceedingwiththeDesignandAppraisestage. 35 44 Agenda Setting Stage Checklist Identify the problem, describe its size and scale, and identify its root causes ✓ Describe the rationale for government intervention, including both the triggers for intervention and its legal basis Set SMART objectives, outputs, and/or outcomes to reflect the desired end-state Confirm alignment of objectives with the UAE’s, the Emirate of Abu Dhabi’s and requesting entities’ vision and strategic objectives Identify key stakeholders and the level and type of engagement for each throughout the various stages of the Public Policy Cycle Stakeholder Engagement Checklist Consult with appropriate government departments to ensure alignment with the UAE and the Emirate of Abu Dhabi’s strategic direction Solicit input from stakeholders on the proposed policy’s objectives and the legal and regulatory landscape of the policy area Consider how stakeholders can support the proposed policy’s objectives and outcomes Identify, prioritiseand map key stakeholders Contact key individuals within the department from the mapping process and make them aware of their future involvement in the policy area Consider the timing requirements and support stakeholders to participate in the Design and Appraise, Implement and Monitor and Evaluate phases Consider what types of communication methods will be used to engage with stakeholders (such as formal written communication, regular presentations, meetings and email) 36 45 Chapter 4: Design and appraise 46 Chapter 4: Design and appraise Figure 17: Design and appraise stage overview Stage of the Public Policy Cycle 1 Agenda setting 2 Design and appraise What is the best way of achieving the objectives? ADEO Interaction (* = indicates mandatory 2.1 Identify a range of intervention options step) 2.2 Undertake a qualitative appraisal 2.3 Develop high-level design(s) Further analysis required Pre- 2.4 Undertake a quantitative appraisal (optional) Approval* No further analysis required Final 2.5 Developdetailed design Approval* Approved 3 Implement 4 Monitor and evaluate TheDesignandAppraisestageaimstoidentifyandanalyseseveralpolicyoptionstoselecttheone whichis mostlylikelyto achieve the desired objectives,withlimited unintended consequences. The objectivesofapolicycanoftenbemetthroughavarietyofdifferentapproaches,soitisimportantto considerandanalysealternativeoptionstodeterminethemostappropriatepublicpolicyintervention thatshouldbeimplemented. AssetoutinFigure18,therearedifferentlevelsofapprovalthatwillneedtobesoughtduringtheDesignand Appraisestage,eachwithdifferentlevelsofanalysisandappraisal. 38 47 Figure 18: Narrowing down of intervention options Preferred Option 1 option Option 2 Option 1 Preferred Option 3 Option 2 option Second best Option 5 Option … (optional) Option … Option n Preferred Option n option 39 48 Screening assessment Qualitative assessment Quantitative At this stage, ADEO will review the rationale for government intervention, the list of potentialoptionsthathavebeenidentified,andtheanalysisthathasbeenproducedto Pre- assess the impacts that each option will have. The analysis behind each option is Approval expected to be broadly qualitative and depict the range of impacts that the different options may have. Detailed, quantitative analysis is not required at the Pre-Approval stage. Atthisstage,ADEOwillreviewtheimplementationandmonitoringandevaluationplans thathavebeendesignedbyrequestingentities.Iffurtheranalysiswasrequestedatthe Final Pre-Approval Stage, then this will also be reviewed. Once reviewed, the Executive Approval Councilwilleitherapproveorrejecttheintervention.Notethattheinterventionmaybe rejected because the submission is incomplete or lacks sufficient evidence. In this instance,theproposalwillbereturnedtotherequestingentityforrework. Pre- Final Approval* Approval* Options Options Options Preferred initial list long-list short-list option Approved Further analysis required 4.1 Identify a range of intervention options The first step in the Design and Appraise stage is to identify a number of policy options that could be implementedinordertoachievethedesiredobjectives.Theseoptionsshouldaddresstheinitiallyidentified problem(s), ortherootcause(s)oftheissuesasidentifiedinChapter3.1.Acounterfactualor“do-nothing” optionshouldalsobeincludedasameansofcomparison,althoughitisnotconsideredasaspecificoptionin andofitself. Table 4: Types of policy instruments Type Instrument Description Examples Regulation Laws, Emiri decrees, decisions of the •Laws that restrict the Chairman of the Executive Council, sale of tobacco products decisions of the Executive Council, to under 18s circulars, and executive and executive orders. Fiscal Include tools such as taxes, subsidies, •Excise tax on cigarettes instruments fines and fees. They incentivise a change to incentivise reduced in behavior of economic agents to correct consumption to address for market failure, for example: the associated negative over/under consumption or production of externalities goods and services, or to achieve desired socio-economic outcomes. Direct Involves goods and services provided by •Government-funded provision the Government directly (such as libraries that are infrastructure). These are funded through accessible to the public revenues or alternative sources. Information Aims to increase public awareness on a •Media campaign to provision specific subject or to provide increased promote the adoption of access to information in order to healthy lifestyles incentivise behavioral change and more efficient or desirable outcomes 40 49 yrotalugeR yrotalugeR-noN Capital A long-term or large-scale project where •Significant investment in project the costs have been capitalised or climate change or depreciated over time energy capabilities Public entity The creation of new bodies or •A new government change organisations that expand, change or agency with a mandate refine the scope of public services in a particular area Therearetwocorecomponentstoconsiderwhenidentifyingpotentialpolicyoptions:thepolicyinstrumentand thepolicyscope. Policyinstrument:Policyinstrumentsarethetoolsavailabletothegovernmenttomakechangesin ordertoachievethedesiredobjectives.Thesetoolscanbegroupedintofourbroadcategories.Table4 describessomeexamplesoftoolsandthegroupstheyfallinto. Policyscope:Thescopeofapublicpolicyidentifiestowhat,andtheextenttowhich,anintervention will apply. This may include specifying the target population, industry sectors, geographic locations, products, services, businesses, or other criteria. For more details and discussion on stakeholder assessmentsandmapping, Identifying potential public policy intervention options is, in most cases, an iterative process. The aim is to considerasmanyrealisticoptionsaspossible,andthentonarrowthemdowntoarelevantshortlistforfurther analysis.Thefollowingresearchapproachesareusefulatthisstage: Literaturereviews:Reviewingacademicpapers,whitepapersorothertheoretically-backedviewsthat studydifferentpoliciesandtheirimpact; Benchmarkstudies:Examiningthemanifestationoftheprobleminothercountries,theevolutionof thechallengeandreviewingthelessonslearnedfromelsewhere;and Primarydatacollection:Gatheringprimarydatafromfirst-handsources,suchassurveys,interviews, focusgroupsorexperimentstogeneratesituation-specificinsights. Forfurtherdetails,guidanceandinformationontheseresearchmethods.Thefollowingstepscanbeauseful waytoapproachoptionsidentification: 01 Generate a wide variety of policy options, preferably using different policy instruments Theaimofthisstepistothink broadlyaboutthechallengeoropportunityandtoshowstakeholdersthata varietyofoptionshavebeenconsidered.Keyquestionstoaskduringthisstepinclude:Whatcouldaffectthe driversofaproblem?Whatcouldinfluencebehavioursinamannerthatwouldaddresstheproblemandhelp achievethepolicyobjectives? Responsestothesequestionsshouldidentifyasmanypublicpolicyinterventionoptionsaspossible,consider lessintrusiveinstrumentsaswellasmoreinterventionistapproaches,andconsiderclassicalapproachesas wellasmorerecentthinking(Forexample:behavioraleconomics).Furtherconsiderationsatthisstagemay alsoincludequestionssuchas:Howcouldtheobjectivesbereachedthroughalternativepolicyapproaches?If apolicyexistsinthearea,could“doingless”improvetheoutcome,orcouldtheoutcomebeimprovedthrough adjustingexistinglegislation? 41 50 02 ScrSecerne ethne t hinei tiinailt-ilaisl-tl iosft oopf toiopntiso ninst oin ato l oan sghliosrtt efor rl ifsutr ftohre rfu drethseigrn d easnidg nan aanldys aisn alysis Theaimofthisstepistofocusanalysisonviableoptionsandtoidentifyandexcludeoptionsthatareless effective. Asthis is justscreening,the exclusion of options should be easyto justify. Forconsistency, itis recommendedthatoptionsarescreenedin-linewiththeFrameworkAppraisalCriteria,Thescreeningcriteria foreachoptionare: Strategic fit: Is the proposed public policy intervention aligned with the UAE vision, the strategic directionof theEmirateofAbuDhabiandthedepartment’smandate? Feasibility: Is the proposed public policy intervention legally, financially, technically and organizationallyfeasible? Impact:Whatistheexpectedeconomic,socialandenvironmentalimpact? Answerstothesequestions,particularlyonfeasibilityandimpact,canbehighlyuncertainatthisstageandthe purposehereistoscreen-outunviableoptionsfromthelong-list.Theoutputofthisstagewillbeasub-listof policyoptions,suchastheexampleoutlinedinFigure19. Atthisstageitmaybenecessarytoinvolvekeystakeholders.Stakeholderstoinvolveatthisstageinclude other government departments who are affected by the policy, as well as the end-users of the policy like consumersortheprivatesector. Figure 19: Public policy intervention options identification Example 1: Reduce Example 2: Attract foreign Examples consumption of harmful goods investment Stage 2.1 Options identification 2.1 Options identification • Option 1: Introduce tax to • Option 1: Enable foreign ownership disincentivise consumption • Option 2: Advertisement campaign • Option 2: Campaign to discourage • Option 3: Investment in infrastructure consumption Description • Option 3:Regulation on producers to require information on packaging • Option 4: Regulation on stores able to sell harmful goods • Option 1: Fiscal instrument • Option 1: Regulation Policy • Option 2: Information provision • Option 2: Informaiton instrument • Option 3 and 4:Regulation • Option 3: Direct provision Scope • Options 1 and 2: Consumers in AD • Options 1 and 2: Foreign investors • Option 3: Producers inside and outside the UAE • Option 4: Distributors / sellers • Option 3: Internal infrastructure 42 51 4.2 Undertake a qualitative appraisal Mostpolicydecisionsinvolvechoosingbetweenalternativepublicpolicyinterventionoptionsandevaluating trade-offs.Thesetrade-offsarehardtoevaluate,duetotheirinherentcomplexityanduncertainty.Tomanage this, it is recommended that policy-makers apply a structured assessment framework to analyse proposed interventionsacrossasetofdifferentappraisalcriteria. Thelevelsofanalysisthatcanbeperformedoneachpublicpolicyinterventionoptioninclude: Directional: A high-level qualitative assessment of the expected direction of the impact on each assessmentcriteria(i.e.positiveornegativeimpact); Directionalandmagnitudinal:Ahigh-levelqualitativeassessmentofthemagnitudeofthepositiveor negativeimpactoneachassessmentcriteria(Forexample:high,mediumorlowimpact); Figure 20: Levels of supporting evidence at Pre-Approval Situation-specific analysis Benchmark Directional and magnitudinal Directional Qualitative Quantitative 43 52 Robustness Benchmarking:Aquantificationoftheimpactbasedonsimilarinterventionsimplementedinnational orinternationalbenchmarks;and Situation-specific analysis: A quantification of the impact based on detailed analysis of the interventionusingtheEmirateofAbuDhabi-specificdata. Evidence required at this stage Level of supporting evidence Itshouldbenotedthatqualitativeassessmentscanbesubjectiveandpronetobias.Toaddressthis,evidence basedonbenchmarksand/orsituationspecificanalysismayberequiredatalaterstagebasedonADEO’s request.ThelevelofanalysisforeachpublicpolicyinterventionwillbedeterminedindiscussionwithADEO duringthePre-Approvalstage. The appraisal of public policy interventions should be based on the three assessment areas discussed on page42.Thesearediscussedinfurtherdetailbelow: Strategicfit:Thesecriteriaareusedtoassessthealignmentoftheproposedpublicpolicyintervention withwiderstrategicconsiderations.Theassessmentcriteriaincludedifferentlevelsofgovernment,as wellasthemandateoftherequestingentityinquestion. Feasibility:Thesecriteriaareusedtoassessthepracticalityofaproposedpublicpolicyintervention through analysis of its legal, financial, technical and organisational requirements. Analysis of these criteriaisusedtoidentifythestrengthsandweaknessesofeachoptionand,whencombinedwithan assessment of the impact, can be used to understand the cost-effectiveness of a public policy intervention. Impact: These criteria are used to determine the expected impact of a proposed public policy interventionacrossarangeofeconomic,socialandenvironmentalfactors.Analysisofthesecriteria,or other impactmetrics as appropriate, is usedtounderstandthe positive and negative impacts ofthe proposedinterventiononsocietyasawhole. Eachcriterioncanbeassessedthroughdifferentlevelsofanalysis,rangingfromhigh-levelqualitativeanalysis based on conceptual logic and judgement, to in-depth quantitative analysis based on the specific context. Figure21againsetsouttheappraisalcriteriaframeworkandcontainsanon-exhaustivelistofcriteriathatare frequentlyusedinthepublicpolicyappraisalprocess. 44 53 Figure 21: Appraisal criteria framework Non-exhaustive Alignment with Alignment National vision and strategy with objectives security Legal Cost Technical Organisational Federal Health implications Stakeholder Education support Public safety GHG emissions Quality of life Air pollution Technology and Water pollution innovation Diversity and Water inclusiveness consumption Economic impact Income Waste distribution Emirati Emirati GDP Employment Investment Private Fiscal Competition SMEs business employment sector revenue ownership 45 54 Social impact tcapmi latnemnorivnE Strategic Feasibility Fit Impact To aid the qualitative assessment of proposed interventions, the Toolbox includes an Appraisal Tool. The Appraisal Tool uses multi-criteria analysis (MCA), which provides a consistent framework against which differentinterventionscanbecomparedacrossstandardisedcriteria. Theremainderofthissub-chapterprovidesanintroductiontosomeofthecoreconceptsusedintheappraisal process,drawingonMCAandothertechniques: 1. Selecttheappraisalcriteria 2. Determinetheweightingofeachappraisalcriterion 3. Determinethelevelofanalysis 4. Assessstrategicfitandfeasibility 5. Assessimpact 6. Assignscores 7. Normaliseandselectthepreferredoption(s) Requestingentitiesmayopttoapplyadifferentqualitativeassessmentmethodologybut,evenifthisisthe case,theguidancecontainedwithinthissub-chapterremainshighlyrelevant. 01 SScerleeecnt tthhee ainpiptiraal-islisatl corfi toeprtiaions into a longlist for further design and analysis Thefirststepinqualitativelyassessingtheproposedoptionsistoidentifytheappropriateappraisalcriteria,as thesewilldefinethebasisonwhicheachoptionwillbeassessed. The selected criteria will depend on the nature of the intervention, as well as the priorities of the decision makers.Itcanbebeneficialtoconsultstakeholdersatthisstage,astheinclusionofappraisalcriteriathatare alignedwithstakeholders'objectivescanhelpgeneratebuy-inandsupport. 02 SDcerteeernm tihnee itnhietiawl-eliisgth otifn ogpotifoenasc hinatop par laoinsagllicsrti ftoerri ofunrther design and analysis Qualitativeanalysisrequiresreachingaconclusiononthebasisofheterogeneouscriteria.InanMCA,weights areassignedtoeachcriteriontoallowforgreateremphasistobeplacedonthosethatareofparticularinterest topolicy-makers.Equalweightingisthedefaultsetting. Stakeholders can be consulted at this stage to ensure that both the assessment criteria and weights are reflective of the potential impacts of the public policy intervention. Their involvement can help set realistic expectationsonwhataninterventioncanachieve. Screen the initial-list of options into a longlist for further design and analysis 03 Determinethelevelofanalysis As previously discussed on page 44, each criterion can be assessed through different levels of analysis rangingfromhigh-levelqualitativeanalysisbasedonconceptuallogicandjudgement,toin-depthquantitative analysisbasedonthespecificcontext. Thelevelsofanalysisthatcanbeperformedoneachofthepotentialoptionsincludedirectional,directional andmagnitudinal,benchmarking,andsituation-specificanalysis. 46 55 04 ScrAesesne tshse s itnriatitaelg-liics tf iot fa onpdt fioeanssi biniltioty a longlist for further design and analysis Building onthe analysis conductedaspart of the AgendaSetting stage,thestrategicappraisalcriteria are designedtounderstandthecaseforchangewhiledeterminingalignmentwithwiderstrategicconsiderations. Thestrategicassessmentisdrivenbythefollowingthreecriteria: Alignment with vision and strategy: Assess how the proposed intervention supports the existing strategiesoftheUAE,theEmirateofAbuDhabiandtherequestingentity.Itisimportanttoidentifyif theproposedinterventionwillfurtherorundermineexistingstrategicobjectives,aswellastoconsider interdependenciesbetweendifferentlevelsofgovernment. Alignmentwithobjectives:Analysehowlikelytheproposedpublicpolicyinterventionistomeetthe desiredobjective(s),output(s)oroutcome(s)thattheinterventionaimstoachieve. Nationalsecurity:Analysetheimpactofthepublicpolicyinterventiononnationalsecurity. Legal feasibility: Assess how easy an intervention is to implement.Where the requesting entity is uncertainoftheimplications,theappropriatelegaldepartment(s)shouldbeconsulted. Cost: Assess the implications of the intervention on government finances. Consideration should be given to existing organisational budgets, the availability of additional budget and the budgetary implications for other entities. This will require robust estimates of the fiscal implications of the proposedintervention. Technical feasibility: Assess whether the intervention can be delivered with existing technical and technologicalcapabilities,orwhetheradditionalresourcesarerequired. Organisational capabilities: Assess whether the intervention can be delivered within existing organisationalstructures. Federalimplications:IdentifywhethertheEmirateofAbuDhabihastheauthorityandcapabilityto implementtheproposedintervention. Stakeholder engagement: Assess whether there is wider stakeholder support for the proposed intervention. The combination of the strategic and feasibility assessments enables policy-makers to distinguish between optionsonthebasisoftheirabilitytoefficientlyachievespecificobjectiveswhilefurtheringwidergoals. 47 56 05 ScrAesesne tshse i minpitaiaclt- list of options into a longlist for further design and analysis Ausefultoolforassessingdifferentpublicpolicyinterventionsagainsttheimpactcriteriaisanimpactpathway (Figure22).Interventions,bydesign,aredevelopedtoinduceachangeinbehaviourforaspecificstakeholder group.Thischangeinbehaviourcantriggerareactionchaindependentontheinteractionsbetweendifferent stakeholder groups, which will ultimately generate impacts across economic, environmental and social dimensions. Impactpathwaysareatoolwhichcanbeusedtounderstandthepotentialchainsofresponsethatresultfrom differentinterventionsandtheycanalsohelpidentifythedifferentchannelsthroughwhicheachintervention canhaveimpact.Theyshouldcaptureboththedirectandintendedimpactsofanintervention,aswellasany potentialindirectandunintendedimpacts. Impactpathwayscanbedevelopedbasedonvarioussourcesofinformation: Economic theory and logic to understand the theoretical channels of impact that a proposed publicpolicyinterventionmayhave. Literature review to understand the potential impact channel of an intervention, based on the experiencesfromsimilarinterventionsimplementedinotherjurisdictions. Engagement with stakeholders to understand the specific expected implications of proposed interventionsinthecontextoftheEmirateofAbuDhabi. Figure 22: Impact pathway Animpactpathwayarticulatescausalchainsthroughaseriesof“if-then”statementsateachstep, andisaprocessofreflectionabouthowandwhychangeisexpectedtohappenasaresultofa publicpolicyintervention. Impact Consequence(s) Behavioral What is the change impact on indicators of Stakeholder(s) What are the interest? consequences Public policy of this intervention What is the behavioural behavioural response? change of these What stakeholders in stakeholders response to this are impacted policy? What is the public by this policy? policy intervention? When qualitatively assessing the impact of a public policy intervention, it is important to remember that impactsshouldalwaysbeassessedinrelationtothecounterfactual,orbusinessasusualscenario. 48 57 Figure23showsaworkedexampleofanimpactpathway. Figure 23: Simplified example of an impact pathway Example 1: Public policy intervention Reduce consumption of sugary drinks Stakeholder(s) Directly impacted Directly impacted stakeholders: Directly impacted stakeholders: Producers and stakeholders: Consumers retailers Government Behavioural change Reduction in consumption Cost of compliance of sugary drinks increases Consequence(s) Improvement in diet Reduction in profitability Reduction in obesity rates Impact Improved population health Decrease in GDP Increase in fiscal and lower healthcare costs revenues Tohelpassessthemagnitudeofanintervention’simpact,severalconsiderationsshouldbeassessed,which arelistedinTable5.Thislistisnon-exhaustive,andrequesting entitiesshouldconsiderwhetherthereare furtherelementstheyshouldaddthatarespecifictotheareasinwhichtheyareworking.Itshouldbenoted thattheseprovideguidanceonlyonthepotentialmagnitudeandwillvaryonacase-by-casebasis. 06 ScrAesesni gthne s icnoitrieasl- list of options into a longlist for further design and analysis As partoftherequestforPre-Approval, onlyaqualitative assessmentof eachoptionagainstthe appraisal criteriaisrequired.Thequalitativeassessmentlooksatthedirectionandmagnitudeofeachoption’seffecton eachofthecriteria.Inallcases,commentaryand/orevidenceshouldbeprovidedtoexplainthequalitative score. 49 58 Table 5: Impact assessment considerations Consideration Effect on the magnitude of impact Type of Different policy instruments used to achieve the same objective may instrument result in different magnitudes of impact depending on the behavioural change they generate. For example, depending on the specific case, fiscal instruments may be expected to generate larger changes in behaviour than information provision resulting in larger overall impacts. Scope of The scope of a potential intervention identifies stakeholders who will be intervention targeted, and the geographical location in which the proposed intervention will apply. Typically, a policy that targets a larger stakeholder group or geographical location would be expected to generate a larger impact. Duration of In some cases, the direct effect of an intervention on the criteria may be intervention positive, whilst the indirect effects are negative. For example, an intervention may increase employment in one sector but decrease it in another. In this case, the overall effect should be used to determine the direction of impact. Likelihood Some impacts are more certain to occur than others. of impact occurring 50 59 07 ScrNeoernm tahleis ien iatinadl- lsisetl eocft o tphtei opnrse fienrtroe da olopntigolnis(ts f)or further design and analysis MCA provides a consistentand standardisedmeans ofcomparing options.Thefinal scorescalculated can thereforebecomparedtohelpselectthepreferredoption(s).Notethattheoverallscoreshouldnotbetheonly consideration when selecting a preferred option; each option should be reviewed holistically based on all evidencegathered. Insomecases,morethanoneoptionmaybetakenforward.TherequestforPre-Approvalshould,undermost circumstances,includenomorethanthreepreferredoption(s)including: Thepreferredoption:Generallytheoptionwiththehighestoverallscore;and, Alternativeoptions:Uptotwoalternativeoptionswiththenexthighestoverallscores. IncaseswherethereisaclearpreferredoptionwithasignificantlyhigherMCAscorecomparedtoalltheother assessed options, alternative optionsmay not be required. This should be determined throughdiscussions withADEO. 4.3 Develop high-level design Thenextstepistodesignthepreferredoption(s)atahigh-level,asthisispartoftherequestforPre-Approval. This step revisits the two components defined in Chapter 4.1 (policy instrument and scope), and defines additional design elements depending on the nature of the policy and the policy instrument. For different instrumentsthismaycover,forexample: Regulation:Whataretheprecisechangesinregulation?Willspecificmarkets/industriesbetargeted? Arethereanyconditionswhichdefinethestakeholderstargetedbytheregulation? Fiscal instruments: What are the specific levels proposed for taxes/subsidies/fines/fees? On what basiswilltheinstrumentsapply?Arethereanyconditionswhichdefinewhichstakeholdersaretargeted bytheintervention? Directprovision:Inwhichsectorwillinvestmentbemade?Howwilltheprovisionbefunded?What aretheexpectedlongtermoperationalcosts Informationprovision:Throughwhatmediumwilltheinformationbeprovided?Willitbeelectronicor paper-based? 51 60 Thedesignofoptionscanbebasedonvarioussourcesofinformationincluding: • Designprinciplesappliedbyleadingjurisdictionsforsimilarpolicies(identifiedthroughbenchmarkanalysis); • Marketmaturityorsocialfactorswhichcanimpacthowthetargetedstakeholdersrespondtothepolicy;and, • Input from stakeholders to understand the viability of different design options in the specific Abu Dhabi context. Figure 24: High-level public policy options design Example 1: Reduce Example 2: Attract foreign consumption of harmful goods investment Options High-level Options High-level Stage 2.1 identification 2.3 design 2.1 identification 2.3 design Introduce a tax Introduce tax to Enable foreign Enable foreign Description to disincentivise disincentivise ownership ownership consumption consumption Policy Consumption Excise Tax Foreign Foreign instrument Tax Ownership Law Ownership Law • Consumers • Consumers within • Foreign • Foreign investors Scope within the the UAE investors inside and outside the UAE • Excludes free inside and UAE (targeting zones outside the investors from India • Carbonated and UAE and China) sugary drinks • Real estate properties • Ad-Valorem Tax 300 sqm or less • 5% tax rate on • Located in the retail price outskirts of the Emirate of Abu Dhabi Submit for Pre-Approval Oncearequesting entityhascompletedthesteps within Chapter 4.3andfilled inthe Pre- correspondingsectionsoftheBusinessCaseTemplate,theyshouldsubmitthetemplate, Approval alongwithanynecessarysupportingdocuments,forPre-Approval 52 61 Pre-Approval Checklist Identify a list of potential option(s) covering different policy instruments and scope ✓ Conduct a high-level analysis on the list of potential options Develop a high-level design of (usually) no more than 3 preferred options Fill out the Business Case Template and submit to ADEO for Pre-Approval Stakeholder Engagement Checklist Review stakeholder mapping to identify any changes in stakeholders as the scope develops Communicate with stakeholders the expectations for their involvement at each stage, from policy design to the implementation plan Consult stakeholders on design principles, including weights and scoring, and evaluating and mitigating risks Consider setting up a working session for key stakeholders to select the preferred option Agree upon a communications method (including regular presentations, meetings and emails) for each stakeholder which suits the level of their involvement in the policy 53 62 *This step is only required if further evidence is requested after Pre-Approval* 4.4 Undertake a quantitative appraisal FollowingthereviewoftherequestforPre-Approval, additional evidencemayberequested(Figure 25).If additionalanalysisorevidenceisrequested,requestingentitiesshouldfollowtheguidancesetoutinthissub- chapter. Analysis conductedatthis stagewill requireagreaterlevelofrigourcomparedtothehigh-levelqualitative assessmentdescribedinChapter4.2.Theadditionalrequestwillgenerallyaskforquantifiedevidencerelating tooneormoreoftheappraisalcriteriaand/orfurtherdetailsoncertainaspectsoftheproposal. Figure 25: Levels of supporting evidence at Final Approval (optional) Situation-specific analysis Benchmark Directional Level of supporting evidence Incaseswheretheproposedbudgetfortheinterventionislow,isexpectedtohaveasmallorlimitedimpact, or is considered to be relatively low risk, a benchmarking analysis based on similar policies in leading jurisdictionsmaybesufficienttoprovideinsightintothepotentialimpactsoftheintervention. Inothercases,therequestmaybeforspecificanalysistobeconductedinthecontextoftheEmirateofAbu Dhabitoquantitativelyestimatetheimpacts.Thiswilltypicallyrequiremoreadvancedanalyticaltechniques, suchasImpactAssessment(IA)andSocialCostBenefitAnalysis(S-CBA),whichhelpquantifyestimatesof the potential direct and indirect impacts of public policy interventions. There may also be subject-matter specificmethodologiesthatcanbeappliedbyrequestingentitiestoquantitativelyassessdifferentoptions. 54 63 Robustness Evidence required at this stage Directional and magnitudinal Qualitative Quantitative *This step is only required if further evidence is requested after Pre-Approval* The results of any analysis can be used to update the MCA that was previously completed as part of the request for Pre-Approval. The MCA can combine this new quantitative evidence with the qualitative assessment that was undertaken earlier in the development process. The remainder of this sub-chapter introducesdifferentquantificationtechniquesandfurtherguidancetorequestingentitiesonhowtoproceed. Quantificationinvolvesusingarangeoftechniquestoestimatethesizeoftheimpactsofaproposedpublic policyintervention.Thiscanhelpcomparedifferentoptions,assesswhetheranoptionisworthpursuing,and make effective decisions about public spending. More detailed guidance on how to measure, quantify and comparedifferenttypesofimpactiscoveredlaterinthischapter. Quantification always adds rigour to the analysis provided in support of a public policy intervention. This providesincreasedconfidenceandenableseffectivedecision-making.Forexample,ratherthanjustknowing thatanexerciseprogrammeinschoolsislikelytodecreaseobesitylevelsamongstchildren,itishelpfulto knowbyhowmuchthelevelsarelikelytodecrease,sothatitcanbecomparedtotheimpactsofadifferent policy,suchasasugartax.However,itisnotalwayspossibletoquantifyallimpacts,oftenduetoconstraints ontimeandresources. Thequantificationofimpactsshouldbedonethroughthefollowingsteps: 1. Generatealistofpotentialimpacts 2. Prioritiseimpactsforquantification 3. Selectindicatorstomeasuretheimpact 4. Collectdata 5. Designquantificationmethodology 6. Conductanalysis 7. Documentandreportresults 01 ScrGeeenne trhaete i nai tliiaslt- loisf tp ooft eonpttiiaoln ism ipnatoc tas longlist for further design and analysis The impacts of the intervention should already be well understood at this stage, based on the previous qualitativeanalysis.However,itisimportanttorevisittheimpactpathwaytoseeifanyupdatesneedtobe made in light of recent changes to the proposed intervention or suggestions from Pre-Approval or stakeholders. 55 64 *This step is only required if further evidence is requested after Pre-Approval* Figure 26: Materiality assessment The magnitude of impact can be assessed by looking at variables such as: • The economic sector(s) affected; • The number of people affected; • The area affected (for example, the city); • The size of impact on the sector/people/ area; • The duration of impact The importance can be assessed by considering: • Political importance; • Social importance; • Cultural importance; • Importance to key stakeholders (including requests from ADEO to quantify a particular impact) 56 65 tcapmi fo ecnatropmI 02 ScrPereionr tithisee i nimitipaal-clitsst foofr o qputaionntisf iicnattoio an longlist for further design and analysis Inpractice,itwillrarelybenecessarytomeasurealloftheimpactscreatedbyapublicpolicyinterventionas this could require considerable time and resource. It is therefore important to focus on the core costs and benefits that are associated with a proposal. These are usually the most significant impacts and the ones whicharemostimportanttorelevantstakeholders. Theprocessofidentifyingtheseisknownasamaterialityassessment,andissummarisedinFigure26..A materialityassessmentfocusesonplottingeachimpactacrosstwoaxessoastocomparetheimportanceand magnitudeoftheeffects. Medium High to high materiality materiality Medium No or low to high materiality materiality Estimated magnitude of impact 03 ScrSeeelnec tth ien dinicitaiatol-lriss tt oo fm oepatsiounrse iinmtpoa ac tlonglist for further design and analysis Oncethemostmaterialimpactshavebeenselected,theindicator(s)whichwillbeusedtoquantifythemmust beidentified.Forexample,toquantifytheimpactofaschoolexerciseprogramme,thereductioninincidence ofobesityamongstschoolchildrenmightbeanappropriateindicator. Goodindicatorswillaccountfor: • Howwidelytheimpactsarefelt;and • Howmucheachstakeholderisaffected. *This step is only required if further evidence is requested after Pre-Approval* 04 ScrCeoelnle tchte d iantiatial-list of options into a longlist for further design and analysis Thenextstepintheassessmentistocollectthedatathatwillbeusedtomeasuretheidentifiedimpacts.The specificdataneededwilldependonthespecificintervention,butislikelytoinclude: Dataaboutthelikelyimpactsofaproposal:Thiscanbefoundthrough: Literaturereview:Lookingatstudiesoftheimpactsofdifferentinterventions; Benchmarking: Review of other jurisdictions or organisations who have implemented a similar proposalelsewhereintheUAEorglobally;and Primary data collection: For example, interviewing key stakeholders, undertaking surveys, pilots, focusgroupsorexperiments. the Emirate of Abu Dhabi-specific data to contextualise the likely impacts: This may include: demographic data,dataaboutthestructureoftheEmirateofAbuDhabieconomy(forexample:sizeofsectors,keytrading partners,employmentdata),socialfactors(forexample:diseaseprevalence,educationlevels),environmental factors(forexample:airpollutionlevels)ordatarelatedtoaparticularindustry(forexample:numberofannual visitors,revenueperavailablehotelroom). Dependingonthenatureoftherequestforfurtheranalysis,itmaybesufficienttosubmitthequalitativedatato ADEOatthispoint(seeFigure25).Thisisbecausebenchmarksand/ordatafromtheliteraturecangivea usefulindicationofthelikelyimpactintheEmirateofAbuDhabievenwithoutfurtheranalysis. In this case, the MCA conducted for the request for Pre-Approval should be updated to incorporate the benchmarkdatathathasbeencollected.Thisallowsforinterventionoptionstobecomparedalongsidethe otherqualitative considerations (for example:feasibility and impacts with low materiality) to select between options.Inothercases,however,theremaybearequestthatdataisfurtheranalysedtoprovideasituation- specificestimateoflikelyimpactsinanAbuDhabicontext. 05 ScrDeeesni gthne q iunaitniatilf-ilcisatt ioofn o mpteiothnosd ionltoog ay longlist for further design and analysis Therearemanydifferenttypesofquantificationtechniquesandanumberoftheseareoutlinedinthisnext step.Differenttechniqueswillbeappropriatefordifferentcircumstances,andrequestingentitieswillneedto exercisejudgementonwhatisbothproportionateandappropriatefortheinterventioninquestion.Thebest approachtousewillbedependentonthepolicybeingappraised,andthetypeofimpactsbeingconsidered. 57 66 *This step is only required if further evidence is requested after Pre-Approval* It can be helpful to use the impact pathway developed for the request for Pre-Approval to design a quantificationapproach.Eachstagecanbequantifiedseparately,andtheresultscombinedtoestimatethe overallimpact.Whereanimpactpathwayhasmultiplebranches,separatecalculationsshouldbeconsidered foreachbranch. Figure 27: Quantification approach using an impact pathway Example 1: Reduce Example 2: Attract consumption of foreign investment Impact Quantification harmful goods pathway stage approach How many How many products are How many businesses stakeholders are impacted? How is the supply would be eligible for foreign Stakeholder(s) affected? chain impacted? What size investment? is the consumer market? How much does By how much do consumers By how much does business their behaviour reduce purchases as a ownership change as a change? result of the tax? result of the law? Behavioural change How big are the What is the average How much would levels of consequences? reduction in risk of obesity FDI increase? as a result of lower sales? How much would this Consequence(s) What is the reduction in increase the revenue for producers? competitiveness of the What is the increase in Emirate of Abu Dhabi? How compliance and significant would the impact administrative costs for on Free Zones be? producers? How big is the How large are the avoided How does this impact GFP resulting impact? healthcare costs from and productivity? How does reduced obesity? this impact company How large is the economic performance? Impact impact on the drinks and What is the resulting impact related sectors? on consumers? 58 67 *This step is only required if further evidence is requested after Pre-Approval* Thenextlevelofassessmentistodeployadvancedanalyticaltechniques.Twocommonadvancedtoolswhich canbeusedtoconductsituation-specificanalysisofpolicyimpactsareImpactAssessment(IA)andSocial Cost-BenefitAnalysis(S-CBA).Figure28providesahigh-levelcomparisonofIAandS-CBA. Figure 28: Quantitative assessment techniques Social Cost-Benefit Impact Assessment (IA) Analysis (S-CBA) What is the impact of the What is the effect Key intervention on the criteria of of the intervention on social questions interest? welfare? Quantitative analysis of economic, social Quantitative analysis and valuation of Approach or environmental variables impacts on multiple variables Variables • Economic indicators • Social indicators considered • Social indicators • Social welfare implications of economic • Environmental indicators and environmental indicators How are No normalisationbut can be combined Monetisation of social welfare costs and different with qualitative assessment using scoring benefits, enabling comparison of impacts impacts and weighting on different variables compared Results • Impact of the proposal on GDP and • Net social benefits (for example: 10m employment (for example: a 3% AED in social benefits, 7m AED in increase in GDP) social costs, creating net social benefits • Impact of the proposal on health (for of 3m AED) example: 10,000 DALYs avoided) • Financial feasibility (comparison of the • Impact of the proposal on green house net social benefits with the financial gas (GHG) emissions and air pollution cost) (for example: 20,000kg reduction in CO2 emissions) • This can be combined with a qualitative assessment Output A visual comparing the effect of the A visual comparing the effect of the proposal on different indicators (assessed proposal on different indicators (assessed either quantitatively or qualitatively) using either quantitatively or qualitatively) using an MCA framework an MCA framework 59 68 The use of advanced quantitative techniques requires training and experience and policy-makers from requestingentitiesshouldseekadviceandguidancefromtherelevantanalyticalandeconomicteamswithin theirorganisationiftheyneedfurthersupport. SCcroenednu tchte a innaitliyasl-ilsist of options into a longlist for further design and analysis Basedonthedatacollectedandthemethodologydesignedinthepreviousstage,thenextstepistoconduct therequiredanalysis.AnexamplecalculationmethodologyisillustratedinFigure29. Figure 29: Quantification and attribution of impact 120 115 Outcome 110 with public policy 105 intervention 100 95 90 Counterfactual 85 0 Time 69 )hwM( esu ygrenE *This step is only required if further evidence is requested after Pre-Approval* 06 How much of the impact is caused by the public policy intervention? When quantifying the impacts of a public policy intervention, it is important to remember that impacts should always be measured in relation to the counterfactual. This is the scenario which would have occurred if the intervention had not been put in place, and the world had continued with business as usual (BAU). Impact should always be compared to the counterfactual to avoid overstating or understating the potential impact. Outcome with Quantified impact Quantification Counter- Quantification public policy of public policy of impact factual parameter intervention intervention (As relevant) Future Current Greenhouse gas Greenhouse gas Example energy use energy use emissions factor emissions savings application Mwh Mwh tCO2e / Mwh tCO2e Quantified Impact of public policy intervention 60 *This step is only required if further evidence is requested after Pre-Approval* There are a number of other considerations which should also be taken into account when conducting quantitativeanalysis.ThesearesetoutinmoredetailFigures30and31. Figure 30: Making and logging assumptions Quantitative analysis usually involves making several assumptions. These may include: Assumptions on the nature of the proposed intervention; Assumptions in any primary data collection; Assumptions in any studies used from literature; Assumptions in any adjustments made to apply the data to the proposed intervention; Assumptions to account for unknown data; Assumption on time-span or duration of intervention; and, Methodological assumptions These should be clearly documented in an assumptions tracker, with ratings or commentary to indicate how likely the assumptions are to be true, and how large an impact they will have on the results. An example assumptions tracker is provided below: How significant is the How likely is the assumption # Description assumption to the overall to be true? result? Price elasticity of demand for 1 M H sugary drinks Time and resources to comply with 2 H L administrative requests 3 Expected rate of compliance M L 61 70 *This step is only required if further evidence is requested after Pre-Approval* Figure 31: Accounting for uncertainty Howcertainisitthatthisimpactwilloccur? Inpractice,itisusuallyimpossibletoprovideaflawlesspredictionofthemagnitudeoftheimpactofa publicpolicyintervention.Itisthereforeimportanttoprovideanindicationofthelevelofconfidencein theresults.Forexample,thiscoulddependon: The quantification techniques used (for example: high-level/advanced, primary/secondary data collectionandsamplesize) Thereliabilityofanystudies/modelsusedintheanalysis The relevance of any studies/models used (for example: Emirate of Abu Dhabi-based, Gulf Cooperation Council benchmark, international benchmark, and the number and type of survey respondents) Thelevelofdetailoftheanalysis Whereverpossible,itisimportanttoprovideanindicationofconfidenceinanyquantitativeanalysis.This maybedoneby: Providingaqualitativerating(forexample:high/medium/low,withanexplanation) Providingranges(asmallerrangeusuallyindicatesahigherconfidencelevel) Usingstatisticaltechniques(forexample:95%confidenceintervals) 07 ScrDeoecnu tmhee nint iatinadl- lrisetp oofr to rpetsiounltss into a longlist for further design and analysis Finally, the results of any quantitative analysis should be clearly documented and submitted alongside the updated MCA. The results should be reported in a clear, informative way so that they can be understood by peoplewhohavenotbeeninvolvedintheassessmentprocessuptothispoint.Theresultsshouldinclude: Description of the proposed public policy intervention Details on the primary data collected Details covering any wider studies and reports used Information covering adjustments/quantitative analysis Confidence levels The main results (estimates of potential impact(s)) Key assumptions (including the assumptions tracker) Any further resources that were used Itisoftenhelpfulforresultstobepresentedvisually,usinggraphsanddiagrams.AfterPre-Approval,theMCA conducted for the request can then be updated to incorporate the quantified impacts estimated using environmentalimpactassessment(EIA),S-CBAorothermethodologies.Thisallowsforthemtobecompared alongside otherconsiderationsthathave beenassessedqualitatively.TheresultsoftheMCAand supporting evidence(includingthereportabove)shouldthenbesubmittedforreviewandapproval. 62 71 4.5 Develop detailed design Thefinalstepintheprocessbeforere-submittingforFinalApprovalistodevelopthedetaileddesignforthe preferredoption,whichhappensthrough3steps: 1. Finalisethedetaileddesignofthepreferredpolicyoption 2. Finalisetheimplementationplan 3. Produceamonitoringandevaluationplan The remainder of this chapter focusses on each of these components in turn and provides further advice, guidanceandsupporttorequestingentitiesonhowtoproduceeachofthem. 01 Finalise the detailed design of preferred policy option ThisstepbuildsonthecomponentsidentifiedinChapter4.3toprovideadditionaldetailonthefinaldesignofthe preferred policy option. Figure 32 illustrates how the high-level design from the Pre-Approval request is expandedforthepreferredpolicyoptionusingtheexamplesoftaxandregulatorypoliciesdiscussedearlierin thismanual(pleaseseeChapters4.1and4.3). 02 Finalise the Implementation Plan TheinterventiondesignprovidedintherequestforPre-Approvalshouldbesupplementedwithadditionaldetails toallowforacommonunderstandingacrossallthestakeholdersthatwillbeinvolvedintheimplementationof thepolicy.Asaminimum,thismustinclude: Policy title Thepolicymustbegivenanamethataccuratelyreflectsthescopeandcontent Policy objectives Clearlydefinedobjectivesincludingdetailon: • Indicatorsthatwillbeusedtomeasuretheeffectivenessofthepolicy,toinclude:methodsforcollecting the required data; targets (value or level) to be achieved within specific timeframes; and a baseline againstwhichtheperformancewillbecompared • Frequencyandtimeframeforcollectingandreportinginformation Policy scope Well-articulateddescriptionofstakeholders,regions,exemptions,andotherdetailstowhichthepolicywillor willnotapply. Requestingentitieswillreceiveadviceandguidanceonwhatneedstobeincludedintheimplementationplan followingclearanceatthePre-Approvalstage. 63 72 Figure 32: Detailed public policy intervention options design 1. Reduce consumption of harmful goods Options High-level Stage 2.1 2.3 2.5 Detailed design identification design Description Introduce tax to disincentivise consumption Policy Excise tax instrument Scope Direct stakeholders: Consumers, government Indirect stakeholders: Retailers, manufacturers Direct stakeholders: Geography: UAE (excluding free zones) Consumers, government Indirect stakeholders: Coverage: Carbonated and sugary drinks Retailers, Manufacturers Tax type: Ad-Valorem Geography: UAE Tax rate: 5% Tax base: Retail price Increase tax rate to 3%; collect taxes from retailers 2.

Attract foreign investment Options High-level Detailed Stage 2.1 2.3 2.5 identification design design Description Enable foreign ownership Policy Foreign ownership regulation instrument Scope Direct Directly impacted stakeholders: Foreign investors stakeholders: Indirectly impacted stakeholders: Local investors Foreign investors Indirect Geography: Foreign investors inside and outside stakeholders: Local the UAE (targeting investors from India and China) investors Geography: Foreign Coverage: Real estate properties investors inside and Region: Outskirts of the Emirate of Abu Dhabi outside the UAE Size of property: up to 300 sqm Residential properties in Yas Island area 64 73 Activities and milestones This step focuses on defining the activities and requirements to enable the implementation of the preferred optionandidentifyingthekeypotentialriskswhichmayariseduringtheprocess.Thisinformationissubmitted aspartoftherequestforFinalApproval. Thisstepinvolvesidentifyingthemainactivitiestobecompletedaspartofimplementingthepreferredoption, includingestimatingtherequiredtimetocompleteeachactivityandindicatingtheproposed‘owner’oreach. Keyactivitiesshouldalsobebrokendownintosmallertaskstosupportimplementationandreview.Relevant stakeholdersshouldbeengagedtosetclearrolesandresponsibilitiesagainsttheidentifiedtasks,andtoreview therequirementsneededforimplementation.Thisshouldinclude: • Milestones:anachievementthatreflectstheprogressofaspecifictask; • Dependencies:identifiedlinksbetweenactivitieswheretheinitiationorcompletionofataskormilestone reliesonthecompletionorachievementofanothertaskormilestone; • Duration:timerequiredtocompleteeachtask,andexpectedstartandenddates; • Ownersandsupportingentities:partiesaccountableand/orresponsibleforcompletingtherelevanttask (a Responsibility Assignment Matrix [RACI Matrix]) can be used as a tool to allocate roles and responsibilities:asillustratedinFigure33). Figure 33: RACI Matrix Theentityorentitiesthatwillberequiredtoimplementorexecutetherespective R activity or task. More than one responsible entity may be assigned for each Responsible activity. A Theentitythatwillberequiredtoensurethattheactivityiscompleted.There Accountable canonlybeoneaccountableentityforeachactivity. C The entity or entities that will be engaged in the overall activity for input or Consulted insights. I Theentityorentitiesthatwillbeupdatedonprogressbutarenotrequiredto Informed providefeedbackordirectinputs. Implementation requirements Basedontheactivitiesidentified,theimplementationrequirementsforthepreferredoptionshouldbeidentified. Thepotentialrequirementsthatneedtobeconsideredwilldependonthepublicpolicyinterventioninquestion, butfurtherguidanceisprovidedinTable6. 65 74 Table 6: Types of implementation requirements Type of requirement Description Administrative Requirements for changes in organisational structures, operations, or procedures Resource Requirements for human capital to fill a capacity, capability, or competency gap Technical Requirements for new or updated infrastructure, materials, systems, or equipment Requirements for budget to fund the implementation including: • Capital expenditure requirements:Upfront capital investments to implement the intervention such as vehicles, buildings and infrastructure investment. Financial • Operating expenditure requirements:Any operational and maintenance requirements over the expected lifetime of the intervention or over a given time horizon, such as wages, office supplies and maintenance. Implementation risks and mitigants In addition to defining the activities and requirements, potential risks which could arise during the implementationofthepolicyshouldalsobedocumented.Stakeholderswhowillbeclosesttothepolicyshould beaskedtoprovideinputandariskregistershouldbecreatedandmaintainedthroughoutthedevelopmentand deliveryoftheapprovedpolicy.Ariskcard,whichissetoutinFigure34,isonemethodforidentifyingand documentingidentifiedrisks. Onceimplementationriskshavebeenidentified,adetailedassessmentoftheserisksisrequired.Thiscanbe achievedbyassessingthelikelihoodandimpactoftherisksandthepotentialmechanismstoavoid,minimise andmanagethem.Riskownersshouldalsobeidentifiedandbriefed. Figure 34: Risk card Identify possible risks that could arise from implementation in advance Describe the risk in more detail Likelihood Impact H M L H M L Identify the probability of a particular risk to occur Identify magnitude of impact if the risk occurs (high/ (high/ medium/ low) medium/ low) Mitigation Risk owner Develop plans that will be implemented to minimise Identify entities/departments who will be probability of occurrence and impact should the risk responsible for monitoring the risks and acting materialise accordingly 66 75 Engagingstakeholdersatthisstagecanhelpidentifyrisksandsupportinthedesignofappropriatemitigation strategies. Stakeholders can pinpoint how certain choices made at this point can lead to unintended consequenceslaterintheprocessandproposethemosteffectivemitigationstrategy. 03 Produce a Monitoring and Evaluation Plan Oncetheimplementationplanisinplace,isitimportanttodevelopaplanonhowthesuccessofthepolicywill bemonitoredandevaluatedacrossdifferentdimensionsofinterest.Ataminimum,theMonitoringandEvaluation planshouldcoverthefollowingfourdimensions(furtheradviceonhowtoproducetheseplanscanalsobefound intheBusinessCaseTemplate): • Dimensionsofinterest; • Datacollectionplan; • Dataanalysisplan;and • Reporting. Dimensions of interest Thiscoversthevariousanglesfromwhichaninterventioncanbemonitoredandevaluated.Thismayinclude, butisnotlimitedto,thefollowing: Relevancefocusesonassessingtheextenttowhichtheobjectivesanddesignstillmeettheneedsand problemsitsoughttoaddress.Thisrequiresreviewingtheimportanceoftheinterventionbyreassessing itsusefulnessintacklingtheidentifiedproblematthetimeoftheevaluation(futurestate).Astimegoes by,theoverallcircumstancesmayhavechangedandhencetheinitiallyidentifiedproblemsmayalso havechangedcomparedtowhenthepolicywasinitiallydesigned.Analysinganymisalignmentbetween the need at the time of the evaluation and the policy objectives would support in identifying the relevanceofthepolicybeingassessed; Effectivenesslinksthepublicpolicyinterventiontoitsdesiredobjectivesbyassessingthesuccessof the intervention in achieving or progressing towards these goals. The objectives defined during the AgendaSettingstagecanbeusedasKPIs; Efficiencyweighsthecostsbeingincurredbythepublicpolicyinterventionandtheactualchangeithas achieved.Thiscanbeassessedusingacost-benefitanalysisofthecoststhathaveresultedfromthe public policy intervention and comparing these to the actual changes it has led to (changes can be positiveornegative);and, Impact,oraddedvalue,assessestheactualimpactsagainstthoseestimatedduringtheappraisalstage ofthepolicydevelopmentcycle.Exceeding theestimatedpositive impacts(benefits)isconsidereda success,whileexceedingnegativeimpacts(costs)wouldsuggestthattheywerelikelyunderestimated duringthepolicydevelopmentcycle. Data collection plan Foreachoftheselecteddimensions,itisimportanttodefineadatacollectionplanwhichcanbetrackedand followedwhenmonitoringtheprogressofthepublicpolicyintervention.Stakeholdersshouldkeepinmindthat newdatareportingrequirementspresentadministrativecostsandshouldbecarefullyassessedandavoided wherepossible. 67 76 Thisshouldcover,butisnotlimitedto,thefollowingareas: 1. Indicators:theserepresentthecriteriaagainstwhichthepublicpolicyinterventionwillbeassessed.For example,ifweconsidereffectivenessasthedimensionoffocus,indicatorswouldincludethepredefined KPIsagainstwhichthepolicyobjectiveswillbeassessed; 2. Source ofdata:Thesearethedifferentsourcesofdatarequiredtoquantifythepredefinedindicators; and, 3. Methodandfrequencyofdatacollection:Thiswillcoverthedifferentwaystocollecttherequireddata (forexample,onlinesurveys)aswellasthefrequencyatwhichthisdatawillbecollected. Data analysis plan In this step, the requesting entity will describe the methods and techniques of analysis they will adopt to evaluatethepublicpolicyinterventionagainsteachofthedefineddimensions.Furtherinformationforhowto completethisplancanbefoundintheBusinessCaseTemplate. Reporting ThislaststepoftheMonitoringandEvaluationplanshouldcoverthefollowingthreeimportantareas: • Type ofreporting: Thisreferstothe purposeofthereporting.Themain distinction is between progress updates,orotherreportsformanagement,andevaluationsoftheintervention; • Targetaudience:Thereceivingpartyortheenduseroftheevaluationreport.Theaudiencecanbeinternal (within the requesting entity) or external (other departments or the Abu Dhabi Executive Office) or a combinationofboth;and, • Frequencyof reporting:Thefrequencyofreporting canbe basedonthetarget audience.Forinstance, reportingwithintherequestingentity(internally)mightneedtobemorefrequent(forexample,monthly)as opposedtoreportingtoADEO(forexample,semi-annually). The use of monitoring and evaluation techniques requires training and experience, and policy-makers from requestingentitiesshouldseekadviceandguidancefromtherelevantanalyticalandeconomicteamswithin theirentityiftheyneedfurthersupport.ADEOwillalsobeabletoadviseonthepreciserequirementswhere necessary. Submit for Final Approval Once a requesting entity has completed the steps in Chapter 4.5 and filled in the Final correspondingsectionsoftheBusinessCaseTemplate,theyshouldsubmitthetemplate, Approval alongwithanynecessarysupportingdocuments,forFinalApproval. 68 77 Final Approval Checklist Complete the detailed design of the preferred policy option ✓ Complete a detailed Implementation Plan for the preferred option Develop a Monitoring and Evaluation Plan for the preferred option Submit the updated Business Case Template to ADEO for Final Approval Stakeholder Engagement Checklist Consider the amount of time stakeholders will need to communicate within their organisation about the capacity and resources needed to deliver the policy intervention Seek stakeholder input on the implementation plan, and agree on a defined list of roles and responsibilities for each stakeholder Prepare list of stakeholder requirements for implementation Inform identified contacts of their specific roles and responsibilities, and agree on a timetable for the communication plans Inform key stakeholders about the Monitoring and Evaluation Plan and seek agreement as necessary 69 78 Chapter 5: Implement 79 Chapter 5: Implement Figure 35: Implement stage overview Stage of the Public Policy Cycle 1 Agenda setting 2 Design and appraise 3 Implement How do we launch the policy? ADEO Interaction (* = indicates mandatory step) 3.1 Prepare for policy implementation 3.2 Launchand execute the policy Reporting 4 Monitor and evaluate The Implement stage of the Public Policy Cycle aims to ensure the efficient and successful implementationofpublicpolicyinterventions.Mostoftheadvice,guidanceandsupportonpolicyand projectmanagementwillbespecifictoeachrequestingentityandtheseentitiesshouldensurethat the relevant sectors and teams within their organisation are sufficiently informed and involved throughoutimplementation. Therearetwo partstothis shortchapter:thefirst provides high-level guidance on howto prepareforthe launchofapublicpolicyintervention;thesecondprovidesadviceandguidanceforrequestingentitiesonce thepolicyislive. 5.1 Prepare for policy implementation This stepfocuses on completing all thetasksthat can assist in enabling implementation of the public policy intervention.Itisrecommendedtofulfillallofthefollowingtaskspriortotheofficiallaunchofanyintervention, andadditionaltasksmayalsoberequireddependingonthedesignofthespecificpublicpolicyinquestion: 71 80 • Communicatewithstakeholders:Publicpolicyinterventionsgenerallyrequireparticipationfromseveral differentstakeholders,anditisimportanttoalignwiththeseorganisationsearlyintheprocesstoensure thesuccessfulimplementationofanyintervention.Thisincludesinternalcommunicationswithintheentity, andexternalcommunicationswithotherorganisations,theprivatesectorand,wherenecessary,citizens andconsumers.Allstakeholdermapsshouldalsobereviewedalongsidethefinalimplementationplan, andanynewstakeholdersshouldbemadeawareoftheirroleandhowthepolicymayaffectthem; • Raisepublicawareness:Oneofthebiggestrisksthatcouldcauseissuesduringimplementationisthe absence of acommonunderstandingamongst thegeneral public on the upcoming changes. As such, developinganinformationand/ormarketingplantoraiseawarenesswithintherelevantcommunitiesin advanceofthelaunchofthepolicyisvital; • Establishpolicygovernance:Somepoliciesmayrequiretheformationofcommittees,whileothersmay requiretheformationofateam,sector,ordepartment.Regardlessofwhattherequirementis,formingthe governancerequiredforimplementationmustbecoveredbeforethepublicpolicyinterventionislaunched; and • Deliverandconfirmimplementationrequirements:Allrequirementsidentifiedforthepre-launchstage willbecompletedtoensureeffectiveimplementation.Thisincludestheallocationofbudgetandfinance andtheprovisionofadditionalresourcesandskills.Thismayalsoinvolvetaskslikeobtainingproposals fromvendorsorsuppliers. 5.2 Launch and execute the policy The approved option should be delivered in accordance with the implementation plan, the monitoring and evaluationplan,andanyriskmitigationplansthathavebeencreated.Theseplansareallcoveredinmoredetail inearlierpartsofthismanual. Managing risks Therisks identified during the Design and Appraise stage will need tobe managed once a public policy intervention is implemented, and risk registers and risk cards should be made available to all key stakeholdersresponsibleforimplementation.Theimplementationplanshouldhaveconsideredhowbestto mitigatetheserisks,andatthisstagethosewhoaretaskedwithdeliveryshouldhaverobustplansinplace. Monitoring performance Once the public policy intervention is launched, its delivery should be clearly announced and actively monitored. This enables improved functioning and data tracking of the intervention, which is critical to conductingarobust,detailed evaluation attheappropriatetime.Thereareseveral ways thatthiscanbe done,andfurtherinformationisprovidedinChapter6. Reporting Reporting As part of the implementation, entities should provide update reports to relevant stakeholdersonaregularbasis. 72 81 Implement Stage Checklist Communicate the public policy intervention to all stakeholders to prepare them for implementation ✓ Announce any changes that impact the intervention and raise awareness of any actions required Provide all the requirements necessary for the successful implementation of the intervention (administrative, resourcing, technical, and financial requirements) Execute the public policy intervention in line with the implementation plan Stakeholder Engagement Checklist Issue formal, written communications to all relevant departments and stakeholders to prepare them for implementation Provide ongoing support to stakeholders as needs arise Consider setting up regular check-ins with stakeholders to monitor progress and resolve any unexpected challenges 73 82 Chapter 6: Monitor and evaluate 83 Chapter 6: Monitor and evaluate Figure 36: Monitor and evaluate stage overview Stage of the Public Policy Cycle 1 Agenda setting 2 Design and appraise 3 Implement 4 Monitor and evaluate How do we ensure this is still the best way? ADEO Interaction (* = indicates mandatory step) 4.1 Monitorpolicy implementation 4.2 Evaluatethe policy Evaluation The implementation of a public policy intervention does not mark the end of the Public Policy Cycle. Once introduced,itisimportanttomonitortheeffectsthepolicyishaving and,attherighttime,evaluateitsoverall impact. As the fourth and final step in the Public Policy Cycle, it is intended to provide policy-makers with objectiveanalysisandinsightstoinformfuturedecision-making. Within the Public Policy Cycle, monitoring and evaluation have distinct but interrelated roles (Figure 37). Broadlyspeaking,monitoringisacontinuousprocess,whilefullevaluationstakeplaceatkeymilestones. Figure 37: Monitor and Evaluate goals Together, monitoring and Monitor:this involves the frequent collection of data related to the evaluation activities intervention and can be used to assess progress. Monitoring sets assess the key aspects the foundation on which an evaluation can take place, as proper of any policy intervention, evaluation is reliant on adequate data and information. and are ultimately used to determine how successful the policy intervention has been, Evaluate:adetailedpublicpolicyassessmentusestheavailable and what improvements informationtoexamineapolicy’sdesign,functionalityandabilityto can be made. meetitsobjectivesandoutputs. 75 84 Theremainderofthischapterwillprovideadvice,guidanceandanoverviewofdifferenttoolsandtechniques thatcanbeusedtosupportpolicy-makersintheirmonitoringandevaluationactivity.Thechapterissplitintotwo coreparts: 1. MonitorPolicyImplementation 2. EvaluatethePolicy Beforedesigningamonitoringandevaluationstrategy,itisimportanttoconsideritspurposeandimportancefor thewiderPublicPolicyCycle.Thishelpstoprovideaframeworkonwhichtoplanthespecificmonitoringand evaluation activities that need to take place and ensures that they are adapted to the specifics of the policy interventionbeingassessed. 01 Why is public policy evaluation important? Evaluatingpublicpolicyinterventionsisavitalpartofthedevelopmentprocessbecauseitallowspolicy-makers andthewiderpublictounderstandtheimpactsofchangesandallowsthelessonslearnedtobeenteredintothe evidencebaseusedtodevelopfuturepolicies.Astrongpublicpolicyevaluationprogrammeresultsintwokey outcomes:improvedlearningandincreasedaccountability. Learning: Through monitoring and evaluation, policy makers can gauge whether the implemented intervention is producing the impacts that it was forecast to. In the early stages of a policy’s implementation,learningcanhelpadaptthepolicy’sdesigntoimproveitsfunctionalityandperformance. Insomecases,pilotsofapublicpolicyinterventionareheldtotestthepolicy’sdesigninacontrolled setting,andthelearningsfromthe pilotcaninform itsdevelopmentforlargerscale interventions.Itis importanttotakelearningsfrombothsuccessfulandunsuccessfulinterventions,asbothprovideinsights whichcanbeusefulforfutureinterventions. Accountability:Evaluatingpublicpolicyhelpstoholdthegovernmentandpublicsectortoaccountfor thechangesthattheyhavemade.Thisincludesensuringthatgovernmentmoneyisspentinaprudent and transparent manner, and that policies deliver the results that they have were designed to. By evaluatingtheresultsofanintervention,thegovernmentcandemonstratethatitisactinginthepublic interest and informing the public of the results it is achieving. This helps to build trust between governmentandthepublicandcanhelpimprovecomplianceifthepubliciswellinformedofthepurpose andresultsofaparticularinitiative. 02 What is a successful public policy evaluation? Asuccessfulpublicpolicyevaluationresultsinaholisticassessmentofanintervention’seffects,andoutlines whatcanbelearnedfromitsdesignandimplementation.Inordertodevelopthisassessment,anintervention shouldbemonitoredthroughoutitsimplementation,fromearlystagestothepointtheevaluationtakesplace. Effective monitoring and evaluation should provide insights across several stages of the intervention’s logic model(Figure38). 76 85 Figure 38: Impact evaluation Inputs Outcomes Inputs Activities Outputs Outcomes Inputs Outcomes Inputs: Activities: Outputs: Outcomes: Resources that feed Actions, activities, or The products, services The expected effects of an into the policy’s processes or capital goods that intervention's outputs. activities or undertaken as part result from an Typically, observable and processes, and are of the policy’s intervention, such as measurable indicators to generally implementation. number of families who measure progress, and that straightforward and attended an awareness have predefined targets to easy to identify, such programme, or number determine desired levels as financials, of households that (For example: % reduction employees, have been visited in smoking) equipment, systems Effective monitoring and evaluation should assess different dimensions of the intervention. There are many different potential dimensions, and policy-makers should select those that are most relevant to their specific policy,butallevaluationsintheEmirateofAbuDhabishouldincludeatleastthefollowing: Relevancefocusesonassessingtheextenttowhichtheobjectivesanddesignstillmeettheneedsand problemsitsoughttoaddress.Thisrequiresreviewingtheimportanceoftheinterventionbyreassessing itsusefulnessintacklingtheidentifiedproblematthetimeoftheevaluation(futurestate).Astimegoes by,theoverallcircumstancesmayhavechangedandhencetheinitially identifiedproblemsmayalso have changed as compared to when the policy was initially designed. Analysing any misalignment betweentheneedatthetimeoftheevaluationandthepolicyobjectiveswouldsupportinidentifyingthe relevanceofthepolicybeingassessed; Effectivenesslinksthepublicpolicyinterventiontoitsdesiredobjectivesbyassessingthesuccessof the intervention in achieving or progressing towards these goals. The objectives defined during the AgendaSettingstagecanbeusedasKPIs; Efficiencyweighsthecostsbeingincurredbythepublicpolicyinterventionandtheactualchangeithas achieved.Thiscanbeassessedusingacost-benefitanalysisofthecoststhathaveresultedfromthe public policyintervention andcomparingthesetothechangesithasactuallyled to(changescan be positiveornegative);and, Impact,oraddedvalue,assessestheactualimpactsagainstthoseestimatedduringtheappraisalstage of the policy development cycle. Exceeding the estimated positive impacts (benefits) is considered a success, while exceeding negative impacts (costs) would reveal that they were potentially underestimatedduringthepolicydevelopmentcycle. 77 86 Forexample,somekeyquestionsapublicpolicyevaluationcananswerare: ● Howistheinterventionoperatinginpracticecomparedtohowitwasdesignedtooperate? ● Whichgroupsaremostaffectedbytheintervention,andwhichgroupsareleastaffected? ● Isthepolicydeliveringwithinbudget? ● Howaretheimpactsoftheinterventionfeltacrossdifferentstakeholders? ● What improvements can be made to help the policy deliver better results or mitigate unintended consequences? Everymonitoringandevaluationstrategyshouldconsiderboththestagesanddimensionsoftheintervention anditsintendedimpactswhenframingthestrategy.Allotherpartsofthestrategyanddatarequirementswill flowfromaclearunderstandingofwhatsuccesslookslikefortheinterventionateachstageandacrosseach dimension. 6.1 Monitor policy implementation Monitoring a public policy intervention sets the foundation on which evaluation can take place, as proper evaluation is reliant on adequate data and robust information. One of the aims of the monitoring step is to examinewhatchangeshaveoccurredsincetheimplementationofanintervention.Itisgenerallyrecommended torecordthefollowingaspects: • Implementation:howcloselytheimplementationplan(asdevelopedduringtheDesignandAppraisestage) wasfollowed; • Application: the extent to which the policy met its objectives and the ways in which the intervention has triggeredchange; • Complianceandenforcement:levelofcompliancebystakeholdersinvolved;and • Contextual information: additional information that may not be directly related to the intervention but provideswidercontext(forexample:economicgrowthandnewtechnologies). There are several important steps that need to be followed to ensure that a public policy intervention is monitoredeffectively,andtoensurethatthecorrectdataareavailablefortheevaluation.Thesearesetoutin moredetailbelow. 01 Develop a plan early Developingaplantomonitorapublicpolicyinterventionearlyintheintervention’sdevelopmentisessentialtoa successfulevaluation.Amonitoringplanshouldbealignedwiththeobjectivesofapublicpolicyintervention,so thatthedatathatiscollectedisrelevanttotheintervention’sstatedgoals.Furtherinformationontheseplansis availableinChapter5. 02 Set data requirements It is essential to gather baseline data before a policy intervention is implemented, so that the effects of the interventioncanbemeasuredagainsthistoricperformancebeforetheinterventiontookplace.Thisallowspolicy makerstocomparedataandperformancemeasuresofthenewpolicyinterventionwithpastresults,tomeasure theimpacttheinterventionhadcomparedtoaworldinwhichitdidnottakeplace. 78 87 It is also important to note that the public policy intervention should be monitored both during and after implementation.Collectingdataduringimplementationallowspolicymakerstocapturetheinitialeffectsofthe intervention,andmeasurehowtheinterventionperformsoveritslifecycle.Thiscancapturetheamountoftimeit takes for an intervention to ‘scale up’, and initial take-up and compliance rates. Continuing to monitor an interventionafteritsimplementationiskeytounderstandinghowwelltheinterventionworksinthelongterm, includingwhethertheinitialeffectsoftheimplementationbecomemoresubduedoverthepolicy’slifecycleand whetherthereareanylongtermbehaviouralresponsestotheintervention. Select relevant data Thetypeandquantityofdatathatneedstobecollectedwilldependonthetypeofintervention,andisbasedon the indicators defined in the Design and Appraise stage of the Public Policy Cycle. There are two main categoriesofdatathatcanbecollectedtohelpsupportapolicyevaluation: Figure 39: General data types Qualitative Data Quantitative Data This refers to data that is descriptive, and is This refers to data that is in numerical form that collected through methods like interviews, may be collected through surveys, models, observations and focus groups. While such data experiments, or measurements. Such data are may be converted into a numerical value, it can objective and suitable for statistical analysis, and be more difficult to analyse. consequently easier to compare. Example: Survey comments, focus groups Example: Age of participants, data collected from minutes, questionnaire responses businesses, experiment findings, admin data Thequalityofthe datathatis recordedhas adirecteffect onthequalityof anintervention’s evaluation, and consequently the conclusions that can be drawn regarding the policy’s effectiveness. It is therefore very importanttogather complete, relevant and accuratedata.It is also important toreference Chapter 5, where furtherinformation is providedon Monitoring and Evaluation plans. Data can becollected using a number of different methods and tools. In some cases, standard monitoring data can fulfill the data needs for a policy evaluation.Thisisgenerallyquantitative andusedtotracktheimplementation ofapublic policyintervention. Table7belowsetsoutsomeofthewaysstandardmonitoringdatacanbecollected. Table 7: Types of monitoring data DataType Uses Peopleaccessingaservice Assessing whether an intervention is reaching its target population Processdata Assessing whether intervention was implemented as intended Assessing whether inputs required met expectations and confirming Inputdata assumptions of requirements were correct Outputdata Assessing whether the programme has delivered target outputs Outcomedata Measuring benefits of delivering outputs 79 88 Insomecases,standardmonitoringdatacanfulfillthedataneedsforapolicyevaluation.However,incases where regular monitoring information is insufficient, bespoke surveys or questionnaires should be used to acquirethenecessarydataandintelligence.Whendesigningsurveys,itisimportanttoconsiderthefollowing points: • Clearlyclarifythegoalorobjectivefromthesurvey,thetargetgroupthatwillbeaddressed,andthesurvey methodmostappropriateforthetargetgroup; • Determinethetypeofdatathatisrequiredforcollection.TherearefivemaindatatypesasshowninTable8; Table 8: Types of survey data DataType Informationcollected Factual Factualinformationaboutrespondents,suchasage What knowledge participants have about a particular topic and Knowledge theirawarenessofthepublicpolicyintervention Attitudinal Opinions,beliefs,values,andfeelingsofrespondents Whatpeopledoorintendtodoandhowithaschangedafter Behavioural theintervention Preferential Preferencesfordifferentoptionsandoutcomes Surveys and questionnaires encompass a wide range of data collection strategies. Generally, survey data involves collecting intelligence from a population and making inferences based on the results of the sample group.Itisimportantthatanysurveyconductedhasarepresentativesamplesizefromwhichrobustconclusions canbedrawn.Table9belowprovidessomeexamplesofdifferentwaystocollectdatafromsurveys. TTaabbllee X9:: SFaomrmpsli nogf dteactah ncioqluleecstion Method Definition Randomized selection of individuals (via computer-generation) Randomsampling where each respondent has equal chance of being selected. Dividing a population into groups and then selecting a probability Stratifiedsampling sample from each group Selecting clusters via a probability method and individuals within Clustersampling clusters are selected Multi-stagesampling Combination of sampling methods 80 89 Collect relevant data Therearemanywaystogatherqualitativedatawhenevaluatingapublicpolicyintervention,andthisinformation can add context and nuance to the quantitative data produced. Table 10 below sets out several different approachesthatpolicymakerscanusewhensearchingforqualitativedata: Table 10: Forms of data collection CollectionMethod Description Open-ended questions for detailed responses typically used when In-depthinterviews collecting data on personal experiences Collection of participants who debate openly and discuss views and Focusgroups experiences Casestudies Investigations of a single issue Observation Watching research subjects to observe behaviour Ethnography Observation and review of participants Socialmedia Collection and analysing online data Whenconductinginterviewsorotherformsofqualitativedatacollection,itisimportanttostructurequestionsina waywhichsuitstheneedsofthetargetaudienceandthatalsosolicitstheappropriateinsightsfortheevaluation. Questionsshouldthereforebedevelopedcarefullyandtestedbeforetheyareusedwiththeintendedrecipients. Table11highlightssomeofthemaintypesofquestionswhichcanbeusedbyinterviewers: Table 11: Question types Data Type Information collected Closed-endedquestionsthatofferrespondentsalistorsetofoptions Structured toselectfrom.Suchquestionsmaybeusedtofilterresponses,rank questions,andobtainsimplecounts. Open-ended questions that provide responders freedom to write Non-structured their own answers. Such questions may follow closed-ended questionstogatherinsightsonatopic. Amixofopen-andclosed-endedquestionsinordertogetspecific Partially structured responseswhilealsoprovidingrespondentswiththeopportunityto explaintheirpointofview. 81 90 Oncethedifferentinformation,dataandintelligencethatisneededtoundertakearobustpolicyevaluationhas been identified, the next step is to identify and assess the different stakeholders that an entity will need to interactwithinordertogatherthisinformationandinsight. 03 Identify relevant stakeholders Stakeholdershaveakeyroletoplayinthemonitoringandevaluationofapublicpolicyintervention,rangingfrom thecollectionofdatatousingtheevaluationtodevelopfuturepolicies.Whendevelopingamonitoringplan,itis important to identify in advance the roles each stakeholder will play in the overall evaluation that is being undertaken,theirobjectivesinthepolicyprocessandtheirskillsandcapacity.Table12setsoutexamplesof typesofstakeholderswhoareinvolvedinthemonitoringandevaluationprocess. Table 12: Types of stakeholders Type of Description Internal / Skills and capacity Stakeholder External Policy The requesting entity Internal Evaluate and revise intervention intervention responsible for development of as needed developer intervention Data collection Members of a requesting entity Internal Ability to do basic statistical stakeholder or implementation team who are analysis responsible for recording and Available mechanism to record tracking data during a policy’s live data implementation Ability to communicate data results on a regular basis Government Those within the government Internal Assesses the evaluation to accountability who seek to understand ensure proper use of time and stakeholders whether the intervention was resources effective, and whether the Ability to provide feedback on requirements were necessary potential changes Recipients of Members of the public who External Ability to provide data on a the policy experience the direct effects of regular basis the public policy intervention General public Members of the public who are External Provides scrutiny and allows the interested in how government public to challenge, examine, and policies are being enacted suggest reform Future Those who will utilize lessons Both Informs future policy via lessons policymakers learned from previous policy from previous interventions interventions to inform future changes 82 91 6.2 Evaluate the policy Whenundertakinganevaluationofapublicpolicyintervention,itisimportanttohaveaclearunderstandingof the purpose of the evaluation and what is required to achieve the predefined goals or outputs. Evaluation scoping is the process for identifying the main purpose of the review and what is needed to conduct the evaluationsuccessfully.Thegoalsofevaluationscopingareto: 1. Examinetheexistingevidencebase 2. Setoutthepurposeoftheevaluation 3. Choosethetypeofevaluationthatisrequired Thegoalsofanevaluationwillvarydependingonthespecificpolicyinquestion,andtheoverallaimsofthe exercise.Thesestepsarediscussedinmoredetailbelow: 01 Examine the existing evidence base Havingathoroughunderstandingofthepublicpolicyinterventionisessentialtoanyevaluation.Asthefirstpart ofevaluationscoping,policymakersshouldoutlinehowtheinterventionwasexpectedtoworkinpractice,the assumptions underlying the intervention's design, and the wider context in which it operated. This involves examiningtheevidencebasebehindthepolicyintervention,andidentifyingwheregapsorweaknessesinthe evidencebaseexist.Inidentifyinggapsintheevidencebase,policymakerscanbetterunderstandthequestions theevaluationneedstoanswer. 02 Set out the purpose of the evaluation Asuccessfulevaluationwillhaveclearlyset-outthequestionsthatitintendstoanswer,andhowthoseanswers willbeusedforfuturepolicydevelopment.Thisincludessettingoutwhowillbeusingtheevaluationfindings, andwhen.Thereareseveraldifferentwaysinwhichanevaluationcanbeused,including: • Communicatinganintervention’simpacttothepublic • Riskidentification • Measuringprogresstowardsintendedbenefits • Informingfuturedecisionmaking(forexample,regulatorychanges,largerrollouts) • Stakeholderengagement Itisalsoimportanttoreviewtheobjectivesandgoalsthatweresetoutduringthedesignstageofthepublic policyintervention,astheseshouldplayamajorpartinhelpingtoscopetheevaluation. 03 Choose the type of evaluation that is required Therearethreebroadtypes of evaluations: process,impact andvalue-for-money. Eachtype of evaluation is designedtoproducedifferentinformation andresults,andeachshouldbe usedatdifferent pointsduringthe lifetimeofanindividualpolicyintervention.Table13providesadescriptionofeachtypeofevaluation. 83 92 Table 13: Types of evaluation Evaluationtype Goalofevaluation Questionsanswered Process What can be learned Was it delivered as planned? evaluation from how the evaluation Did it function as planned? was delivered? Did the context influence how it was delivered? How could its delivery be improved in the future? Impact What difference did the Did it achieve expected outcomes? evaluation intervention make? Was the intervention decisive in the change in outcomes? Can the intervention be replicated? Value-for- Was the intervention a Was the intervention cost effective? money good use of public What were the costs and benefits? evaluation resources? How would the intervention compare to alternatives? Therearemanyfactorstoconsiderwhenchoosingthemostappropriatetypeofevaluation.Themostimportant ofthesefactorsistiming,asthelengthoftimethatapolicyhasbeenimplementedislikelytodictatewhichsort ofevaluationismostappropriate.Inmostinstances,a‘processevaluation’shouldbeundertakenquitesoon afterthe intervention has been implemented, while an ‘impact’ or ‘value-for-money’ assessment would take placeoncethepolicyhasbeeninplaceforseveralyears. The choice of evaluation type should also consider the uncertainties and assumptions in the intervention’s evidencebase,andtheneedsofstakeholders,whowouldhavebeeninvolvedintheselectionofmethodsto manage expectations and agree on objectives. This will help manage expectations and ensure the final evaluationmeetstheneedsofthosestakeholders. Theselectionofthetypeofevaluationshouldalsoconsiderthetimeandresourcesavailabletoconductthe evaluation.Evaluationtypesrangeintheirtimeandresourceintensity,andpolicymakersshouldberealistic aboutthecapacitytoconductanevaluation. 04 Undertake the evaluation Whenrunninganevaluation,itisimportanttoconsiderthatthereareseveraldifferentmethodologiesthatcould bedeployed.Differentmethodologiescanbeusedtosuitprocess,impactandvalueformoneyevaluations,with varyingamountsoftimeandresourcerequirements.Forexample,processandimpactevaluationsshouldmake useofinterviews,focusgroups,surveys,performancemonitoring,andobservationalstudies.Eachhavetheir ownbenefitsandlimitations(Table14). 84 93 Table 14: Evaluation methodologies Method of evaluation Benefits Drawbacks Interviews / focus groups Allows for context Time intensive; not quantitative Case studies In depth Difficult to make findings generalizable Surveys Useful for statistical Less in depth; response rate issues can limit analysis generalizability Output monitoring Low cost; fast Can be inconvenient for participants and staff Observational studies Allows for ‘Hawthorne effect’ can mean participants act understanding of differently as they are conscious that they are individual experience being observed Impactevaluations,whichlookforcausalrelationshipsfromanintervention,oftenmakeuseofexperimentalor quasi-experimentalstudies.Thesetypesofevaluationusemethodssuchasrandomizedcontroltrials(RCTs), difference-in-differenceanalysis,orregressiondiscontinuitydesign.Thesemethodsareacademicallyrigorous and,whendesignedproperly,canprovidearobustevidencebasetoassesstheefficacyofanintervention. However, they require a significant amount of time and resource to complete, typically with subject matter experts doing highly skilled research. Often, it may not be possible or ethical to separate participants into experimental and control groups, and the data may not be available to conduct the study in a way which producesverifiableandnon-biasedresults. 05 Disseminate the results Thedisseminationandreportingoftheresultsofanevaluationtorelevantstakeholdersisakeysteptoensure the continuous improvement of public policy making, and to allow for early responses to any issues or unintended results that have been identified. It is important to build a public sector evaluation culture that encouragesreflection,collaboration,revisionandtransparency. 85 94 Define the audience Thestructure,frequency,andlevelofdetailthatisreportedwilldependontheaudienceandthenatureofthe policy.Forinstance,reportspreparedfortheimplementationteammayrequiremoredetailscomparedtoreports preparedforseniorofficials,ororganisationalleadership. Itisthereforeimportanttounderstandthedifferencebetweendirectandindirectstakeholders,astheirusageof theresultswillvaryconsiderably.Forthepurposesofanevaluation,directstakeholdersaretypicallythosewho aredeveloping,implementingorinspectingapublicpolicyinterventionandmakeuseofevaluationstoimprove design and implementation or evaluate effectiveness of outcomes. Indirect stakeholders are those who have beeninvolvedineithertheconsultationormonitoringprocessduringthedevelopmentoftheintervention. Present the results Asdiscussedearlierinthischapter,therearevariousendusersofevaluationreportsandfindings,andthese differentgroupswillmakeuseoftheresultsindifferentways.Asaresult,astandardwrittenhighlightsreport may not bethe best dissemination option in all cases.It is importanttotailor results based on the intended stakeholder,suchasthroughtheuseofone-pagers,infographicsorsuccinctslidedecks. Thereareseveraldifferentwaystoproduceahighqualitysummaryreport,andpolicy-makersshouldchoosethe bestmediumfortheinterventioninquestion.Ataminimum,areportshouldinclude: The policy’s desired objectives; Details on how the public policy intervention has worked in practice; Summary of the findings, performance of indicators against the predefined targets, and Conclusions based on the findings, which could include any of the following: • No changes to the policy are required, and it should continue as planned; • Some action is required to ensure that the desired objectives are achieved; • Policy must be revised due to adverse impact; or • Policy may need to be terminated. Iffurtherinformationordetailisrequiredtounderstandthebestwaystosummarizeevaluationresults,policy officialsshouldengagewithindividualstakeholdersandascertaintheirpreferencesorspecificneeds. Evaluation DuringtheMonitorandEvaluatestage,thereisanopportunitytoengagewiththeAbu Evaluation Dhabi Executive Office to obtain direction and guidance on monitoring and evaluation practicesandtechniques. 86 95 Monitor and Evaluate Stage Checklist Gather the required data to inform the identified performance indicators ✓ Conduct an evaluation on the policy’s implementation and impact Review the policy’s ability to achieve the desired objectives based on the evaluation results Present results to the respective stakeholders Stakeholder Engagement Checklist Inform relevant stakeholders of the metrics needed to conduct the policy evaluation Identify the relevant stakeholders needed to provide feedback of the policy’s design and implementation Consult with relevant department(s) on the monitoring methods that should be deployed Consider setting up follow-up interview sessions with key stakeholders to understand the experience of delivering the policy on-the-ground Communicate the impact of the policy to the relevant departments and stakeholders, and consult them for feedback and potential improvements 87 96 n All Rights Reserved for Abu Dhabi Executive Office © 2021 97 United Arab Emirates The Emirate Of Abu Dhabi Issued By The Gereral Secretariat of The Executive Council of The Emirate Of Abu Dhabi Office of Legal Affairs Abu Dhabi - P.O. 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