The Art and Craft of Policy Advising: A Practical Guide

186 Pages·2017·2.5 MB·English

by  David Bromell (auth.)

David Bromell
The Art and Craft
of Policy Advising
A Practical Guide
The Art and Craft of Policy Advising
David Bromell
The Art and Craft of Policy
Advising
A Practical Guide
DavidBromell
InstituteforGovernanceandPolicyStudies
SchoolofGovernment
VictoriaUniversityofWellington
Wellington,NewZealand
ISBN978-3-319-52493-1 ISBN978-3-319-52494-8 (eBook)
DOI10.1007/978-3-319-52494-8
LibraryofCongressControlNumber:2017932105
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Foreword
DavidBromellhasn’twrittenonlyonebook:TheArtandCraftofPolicyAdvising
presents ideas, methods and tools that could have filled two or maybe even three
volumes.Whilereadingthroughthesixchapters,itquicklybecomesclearthatthe
authorobviouslydoesnotonlymeanwhatheiswriting,heactuallyfollowshisown
advice to provide a concise, coherent and helpful perspective on the many
challenges that confront a public policy advisor. The author’s sometimes quite
private account of his experiences reveals a lot about the needs and worries of
working in the public sector and knowledge, strategies and techniques to do so
effectively.
Every paragraph of the book is crafted with sound judgement: no colleague,
seniorexecutiveorelectedofficialisharmedinthisbook.Bromellmastersthetask
of abstraction by using just enough layers of scholarly attention to deliver a
perfectlyobjectiveaccountofhisresearch.Ineverychapter,heconnectstheoretical
reflectionswithpracticalperspectivesandtools.Therangeofhisstudyspanswide:
weareconfrontedwithGreekdialecticsorashortdiscussionofdifferentconcepts
ofcontemporary policyanalysis,onlytobesurprised afewpageslaterbyfinding
tipsfordesigningdocumenttemplatesorspreadsheets.
Bromellsumsuptrulyimportantpointsofknowledgeforworkinginthepublic
domain, which has become ever more complex. Nobody needed the chaos of an
erratic“TeamTrump”meanderingthroughthetransitiontotheWhiteHousetobe
reminded that “public service occurs within a democratic compact—society
delegatescoercivepowerstothestate,butdoessowiththeexpectationthatpublic
powerswillbeexercisedinthepublicinterest,inaccordancewiththelaw,andwith
forbearance,goodreasonandtransparency.”
Those words are worth keeping in mind, not only when bringing new
administrations to life but also in mastering everyday concerns in the political
process.Bromellpartitionsthemaintasksofpublicservantsinanalysing,advising
andadvocatingandremindsusthat“Oursistoadvise;politicianstodecide.”This
perspectiveondivisionoflabouralsohighlightsthenecessityofcooperativeeffort
todevelopandimplementpublicpolicy.
v
vi Foreword
Cantheeffortof“makingpublicpolicy”evercometoanend?Ofcoursenot—
Bromellencouragesusnotonlytorespondtourgent,here-and-nowproblems,but
to do this civilly, with an eye to the long-term public interest. His emphasis on
ethical competencies for public service, and especially the call for prudence as a
forward-looking, responsibility-enhancing concept, is valuable advice to any
“Governmentoftheday”thatalsoworksfor“tomorrow”.
TheArtandCraftofPolicyAdvisingwaslargelywrittenattheNRWSchoolof
Governance at the University of Duisburg-Essen. During his Mercator Research
FellowshipinMay–July2016,DavidBromellintroducedusnotonlytohisresearch
interestsbutalsoconveyedsomeofthetechniquesandmethodsnowdisplayeden
de´tailinhisbook.Byprovidingtheseinsights,heleftapermanentimpressionthat
willhelprefineourownperspectiveon“politicalmanagement”asakeyconceptfor
modern governance. The encouragement to support politicians as “honest brokers
of policy alternatives” will find an echo in courses taught in the various study
programmesattheNRWSchoolofGovernance.
EthicsinPoliticalManagementandSociety ChristophBieber
NRWSchoolofGovernance
UniversityofDuisburg-Essen
Duisburg,Germany
Preface
Thisbookisacontributiontobuildingknowledge,skillsandconfidenceintheart
andcraftofeffectivepublicpolicyadvising.ItisthebookIwishIcouldhaveread
when in 2003 I was appointed to a senior policy analyst role in the New Zealand
Government’sMinistryofSocialDevelopment.
Thiswasamid-lifecareerchange.Likemanywhotransitionintopublicpolicy
advising, I had no formal training or previous experience in public policy. I had
previously worked in tertiary education, parish ministry and social services man-
agementandgovernanceinthecommunityandvoluntarysector.
When I applied for the position, I knew very little about what a policy advisor
doesonaday-to-daybasis.Forsomemonths,asiscommoninanewjob,Ifeltlike
afraud.Ihadtodigdeepandrelyonskillsthatfortunatelytransferredwelltomy
newrole.Withcoachingfromanexperiencedmanagerandagreatdealoflearning
on the job, I found my feet and began my apprenticeship in the art and craft of
policyadvising.
I stayed at the Ministry of Social Development for ten years, including
secondments as a private secretary to the Minister for Social Development and
EmploymentandtotheInstituteofPolicyStudies,VictoriaUniversityofWelling-
ton, and as a Chief Policy Analyst in the Ministry of Education. Within the
Ministry, my career progressed from Senior Analyst, to Principal Analyst, to
Principal Advisor. During my final year there, I was acting Chief Policy Advisor,
managingateamofseniorpolicyandresearchspecialists.
In2006,whenIreturnedtotheMinistryofSocialDevelopmentafterayearin
theMinister’soffice,Iwasdeterminedtoimprovethequalityofourpolicyadvice.I
workedwithcolleaguestodevelopandmaintainaPolicyAdviceToolkit,provided
induction training, coaching and mentoring to new policy analysts and managers,
supportedseniormanagerswithanannualexternalreviewandbenchmarkingofthe
quality ofthe Ministry’spolicy adviceand advised anumber ofother state sector
agenciesonpolicycapabilitybuilding.
In 2013, I moved south to Christchurch to work as a principal advisor in the
strategicpolicy team attheCanterburyRegionalCouncil(knownasEnvironment
Canterbury).Inthisrole,Iam expected tomodel good practice, helpbuildpolicy
capabilityandimprovethequalityofadviceprovidedtodecision-makers.
vii
viii Preface
Personally, I have never wanted to be a politician, but I enjoy being a policy
advisor.Aspublicservants,wedonotmakepolicydecisionsourselvesbutwehave
theprivilegeofinformingandinfluencingdecisionsthatcanimprovethequalityof
life inour communities and contribute to sustainable prosperity. This is primarily
what motivates me, and most of the public servants I know—the opportunity to
makeadifference.
Beingapolicyadvisorisagoodcareerchoiceifyouhaveacuriousmind,have
wide-ranging interests and lack the instinct to focus on one field of specialisation
yearafteryear.Iamanintentionalgeneralistandrelishthegreatdiversityofpolicy
fields and topics I get to work on. In my current role, this includes regional
economic development, population analysis, improving access to fast broadband
inrural areas, integratedplanning ofregionaltransportplanning,freshwater man-
agement, education and training for a skilled workforce, newcomer and migrant
settlement,visitorstrategyandsupportingregionalgovernanceandpolicycapabil-
itybuilding.Thevarietyandinherentinterestofourworkisasignificantdrawcard
topursuingacareerinpublicpolicy.
Being a policy advisor has not, however, always been easy for me. At times, I
havefoundittechnically,interpersonallyorethicallychallenging.Ihaveoftenhad
toadmitthat“Idon’tknow”andtoaskforhelp.Likeeveryonewhoworksinpublic
policy,Ihavehadtowalkthelinebetweenthepracticalandtheidealandtoaccept
whatis“goodenoughfornow”.Ihavehadtonavigatetensionsbetweenpoliticians
andbetweenpoliticiansandseniorpublicservants.Ihavestruggledwithmanagers
whoprefertotellpoliticianswhattheywanttohear,ratherthanwhattheyneedto
hear. On occasion, I have had to work to policy agendas that were not well
supported by evidence, that were motivated by short-term political expediency
rather than the long-term public interest or that were likely to have consequences
that conflict with my personal values and aspirations for New Zealand and its
peoples. In short, public policy is fraught with ambiguity. And when I moved to
local government in 2013, I resolved to start again in some respects and do some
thingsdifferently.
Thechallengesofdoingthejob,anddoingitbothethicallyandeffectively,have
driven me to “stand back and think about it”, to discussion with colleagues, to
listening,readingandlearning.Forthemostpart,Ihaveworkedthisoutinarticles
written for fellow practitioners published in Policy Quarterly, the journal of the
InstituteforGovernanceandPolicyStudies.Teachingacourseonpoliticalphilos-
ophy and public policy in the Master of Public Policy programme at Victoria
UniversityofWellingtonsince2012hasalsoprovidedrichopportunitiesforcritical
reflection on what is at stake for democracy and good governance in how we
providepolicyadvice.
In other words, I have written this book as a practitioner for practitioners. It
containsrelevanttheory,processes,toolsandtechniquesthatIhavebeendrivento
learnordevelopbymypracticeasapublicservant.IwanttopassonwhatIhave
learnedsoyoucanlearnfromwhathasworkedformeandlearnfrommymistakes
withoutneedingtorepeatthemyourself.(Youwillmakeenoughmistakesofyour
ownandhopefullylearnfromthemtoo.)Iwillelaboratesomeofthechallengesin
Preface ix
termsofboththeoryandpracticeandoffertipsandtrickstomakethejobquicker
and easier as you engage the various audiences for your advice and provide
decision-makers with what they need to do their job. Above all, I hope this book
will communicate my passion for public service and for the institutions and
practicesofdemocraticgovernment.
Writing this book was made possible by the generous grant of a Mercator
ResearchFellowship at the NRW School of Governance, Universityof Duisburg-
Essen, Germany. Jeannine Hausmann from the Mercator Foundation took a per-
sonal interest in the project. Karl-Rudolf Korte and the staff and students of the
NRWSchoolwelcomedandincludedmeinthelifeoftheSchoolforthreemonths
during the spring semester of 2016. Thanks are particularly due to Christoph
Bieber,SvenGrundmannandMarkusHoffmann foreverythingtheydidtofacili-
tatemyvisitandmakethetimebothproductiveandenjoyable.
Myemployer,theCanterburyRegionalCouncil,grantedmeleaveofabsenceto
takeuptheFellowship.EncouragementandsupportalsocamefromBradJackson,
Head of the School of Government at Victoria University of Wellington, and
Jonathan Boston, whose flexibility in our joint teaching made it possible for me
tospendthreemonthsinGermany.AseditorofPolicyQuarterly,Jonathanhasalso
kindly given permission to reuse some material that I originally “worked out” in
articlesforthejournal.
Justaspeerreviewisindispensabletogoodqualitypolicyadvice,inwritingthis
book I have relied on the goodwill, critical thinking and thoughtful feedback of
colleagues in New Zealand, Canada, Cambodia and Germany. I thank Adam
Allington, Ginny Spackman, Grant Aldridge, Hafsa Ahmed, Jonathan Boston,
MarcelLauzie`re,PannSovannarith,RobBrown,SteveGibling,SvenGrundmann
andTrishHall,whoreadandcommentedonadraftmanuscriptinwholeorinpart.
Dannielle Hemelryk assisted with preparation of tables and figures. My editor at
Springer, Johannes Glaeser, has matched enthusiasm and encouragement with
constructivecriticismandadvice.
Heartfeltthankstofriendsoldandnewwhohosted,entertainedandeducatedme
during my time in Germany: Margit, Ron and Milan; Sabine, Markus and Jasper;
SvenandLinda;Petra;Jürgen;Thomas;MichaelandLinda;StephenandJanet;and
Hinrich.
Aboveall,loveandthankstoGrant,fortoleratingabsences ofmindaswellas
bodyasIhavebroughtthisprojecttocompletion.
Christchurch,NewZealand DavidBromell
November2016
Contents
1 Introduction:TheoryandPracticeofEffectivePolicyAdvising. . . . 1
1.1 WhoThisBookIsforandWhatItIsAbout. . . . . . . . . . . . . . . . . 1
1.2 ThePublicServantasAnalyst,AdvisorandAdvocate. . . . . . . . . 3
1.3 PolicyMakinginTheoryandPractice. . . . . . . . . . . . . . . . . . . . . 6
1.4 LearningontheJob. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.5 EthicalPolicyAdvising. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.6 HowtoUseThisBook. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.7 ForReflection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2 WhoAreMyClientsandWhatDoTheyNeedfromMe?. . . . . . . . 21
2.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.2 TheoryandPractice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.2.1 CustomersandClients. . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.2.2 KnowingOne’sPlaceintheConstitutionalSchemeof
Things. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.3 WorkingwithMultipleClients. . . . . . . . . . . . . . . . . . . . . 31
2.3 Process,ToolsandTechniques. . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.3.1 ClearCommissioning. . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.3.2 TheArtofActiveListening. . . . . . . . . . . . . . . . . . . . . . . 42
2.3.3 Anticipation,TimelinessandWorkingBackwards. . . . . . . 44
2.4 ForReflection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3 CreatingPublicValue. . . . . .. . . . . . . . . .. . . . . . . . .. . . . . . . . . .. 51
3.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
3.2 TheoryandPractice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.2.1 HowMuchGovernmentIsGoodforUs?. . . . . . . . . . . . . 55
3.2.2 “ThePublic”and“thePublicInterest”. . . . . . . . . . . . . . . 59
3.2.3 APublicValueApproachtoPolicyAdvising. . . . . . . . . . 63
xi