Co- unded by he Eu opean Union. Views and opinions exp essed a e howe e hose o he au ho (s) only and
do no necessa ily e lec hose o he Eu opean Union o REA. Nei he he Eu opean Union no he g an ing
au ho i y can be held esponsible o hem.
Guidelines o policy audi /D6.1
2
D6.1 - “Guidelines policy audi ”
Technical e e ences
P ojec Ac onym
SMART ERA
P ojec Ti le
SMART communi y-led ansi ion o Eu ope’s Ru al A eas
P ojec Coo dina o
Fondazione B uno Kessle (FBK)
P ojec Du a ion
Janua y 2024 – Decembe 2027 (48 mon hs)
Deli e able Ti le
D6.1 - “Guidelines o policy audi ”
Deli e able Type
R
Dissemina ion le el*
Public
Wo k Package
WP 6 - “Policy Analysis and Recommenda ions”
Lead bene icia y
Eu opean Associa ion o Inno a ion in Local De elopmen
(AEIDL)
Au ho (s)
Se a in Pazos-Vidal (AEIDL), Ca la Los angio (AEIDL)
Re iewe s
Blanca Casa es (AEIDL), Janne Sine ma (AEIDL), And ea
Mo a (POLI), Alessia To e (FBK)
Due da e o deli e able
28 June 2024
Ac ual submission da e
28 June 2024
* PU – Public, ully open, e.g. web (Deli e ables lagged as public will be au oma ically published in CORDIS
p ojec ’s page)
SEN – Sensi i e, limi ed unde he condi ions o he G an Ag eemen
Classi ied R-UE/EU-R – EU RESTRICTED unde he Commission Decision No2015/444
Classi ied C-UE/EU-C – EU CONFIDENTIAL unde he Commission Decision No2015/444
Classi ied S-UE/EU-S – EU SECRET unde he Commission Decision No2015/444
Da e
Con ibu o (s)
Commen
0.1
01/06/2024
Se a in Pazos-Vidal (AEIDL), Ca la
Los angio (AEIDL)
Fi s d a p epa ed o e iewe s
0.2
21/06/2024
Blanca Casa es, (AEIDL), Janne
Sine ma (AEIDL), And ea Mo a
(POLI)
Re iew o he documen
0.3
25/06/2024
Se a in Pazos-Vidal (AEIDL), Ca la
Los angio (AEIDL)
Re ised ex by au ho s in eg a ing eedback and
sugges ions
1.0
28/06/2024
Alessia To e (FBK)
Final edi ing and submission
3
D6.1 - “Guidelines policy audi ”
Table o con en s
Ac onyms........................................................................................5
Execu i e Summa y ........................................................................6
1. Con ex and unde s anding ........................................................7
1.1. Aim o he deli e able ......................................................................................... 7
1.2. Policy Backg ound .............................................................................................. 8
2. S eps o policy audi ................................................................ 14
2.1. Gene al conside a ions: s eps and oles ........................................................ 14
2.2. S ep 1: Iden i ying he issue ............................................................................. 14
2.3. S ep 2: Iden i ying he ac o s ........................................................................... 17
2.3.1. Types o ac o s ............................................................................................. 18
2.3.2. Iden i ying au ho i ies and deli e y agen s.................................................... 19
2.4. S ep 3: iden i ying posi ions, oppo uni ies and ba ie s .............................. 20
2.4.1. Iden i ying ac o s’ posi ions .......................................................................... 21
2.4.2. S akeholde ma ix ....................................................................................... 22
2.5. S ep 4 Iden i ying solu ions .............................................................................. 24
2.5.1. Op ions o policy change ............................................................................. 24
2.5.2. Scena io Building ......................................................................................... 24
2.5.3. Final Repo .................................................................................................. 26
3. Conclusions ............................................................................. 29
4. Re e ences .............................................................................. 28
5. Annex 1 – Tools and case s udies ............................................ 30
Lis o ables
Table 1 OECD Ru al Policy 3.0 ....................................................................................................... 9
Table 2 A eas o EU and sha ed compe ence ............................................................................... 10
Table 3 EU policy analysis amewo ks o u al a eas .................................................................. 12
Table 4: Templa e o Policy analysis ac o s…………………………………………………………….16
Table 5 Ac o iden i ica ion c i e ia ................................................................................................ 18
Table 6 Templa e o Ac o iden i ica ion ....................................................................................... 20
Table 7 Example o Ac o iden i ica ion: S akeholde posi ions in EU S uc u al Funds 2014-2020 21
Table 8 Templa e o de ailed s akeholde ma ix .......................................................................... 23
Table 9 Policy Audi ’s Checklis o SMART ERA Pilo Regions .................................................... 27
4
D6.1 - “Guidelines policy audi ”
Lis o igu es
Figu e 1 A Schema ic hie a chy o EU egula ions and di ec i es (Vend e al., 2022) ...... 11
Figu e 2 An ac o -cen ic concep ual amewo k o he s udy o mul ile el go e nance ................ 12
Figu e 3 The STEEPED Wheel Scheme in all o i s componen s (Van Woensel, 2021) ................ 16
Figu e 4 Example diag am wi h b oad s akeholde ela ionships ................................................... 22
Figu e 5 The bias wheel, a ool o becoming awa e o biases in policy analys s' asks ................. 23
Figu e 6 The Fu u es Wheel. Sou ce: EPRS (2021) adap ed om Glenn (2009). ......................... 26
5
D6.1 - “Guidelines policy audi ”
Ac onyms
Ac onym
Desc ip ion
AEIDL
Eu opean Associa ion o Inno a ion in Local De elopmen
CoR
Commi ee o he Regions
DG
Di ec o a e Gene al
ENRD
Eu opean Ne wo k o Ru al De elopmen
EPRS
Eu opean Pa liamen Resea ch Se ice
ESIF
Eu opean S uc u al and In es men Funds
ESPON
Eu opean Obse a ion Ne wo k o Te i o ial De elopmen and Cohesion
ISO
In e na ional S anda ds O ganisa ion
ODA
O e seas De elopmen Adminis a ion
OECD
O ganisa ion o Economic Coope a ion and De elopmen
RegHub
Regional Hubs o e alua ion o EU public policies
STEEPED
Social, Technological, Economic, En i onmen al, and Poli ical
EU
Eu opean Union
6
D6.1 - “Guidelines policy audi ”
Execu i e Summa y
Deli e able D6.1 “Guidelines o policy audi ” will allow pilo esponsible pa ne s o analyse
he key policy amewo ks and he ini ia i es, s a egies, and ins umen s in hei na ional
and egional con ex s (wi h a pa icula emphasis on EU-suppo ed policies) ha a e
enable s and/o disable s o communi y-led inno a ion in u al a eas.
The guidelines will also suppo p ojec pa ne s and o he mul i-ac o pa icipan s in
iden i ying key policy concep s and op ions ha a e a ec ed by ongoing policy
de elopmen s.
These Guidelines a e aimed a p o iding a e y simple and use - iendly 4-s ep way o
speci ic e i o ies such as he SMART ERA Pilo s, can iden i y:
● The issues ha conce n hem
● The ac o s ha a e in ol ed in i
● The ba ie s ha a e in place
● The possible solu ions
To do so, a 4-s ep p ocess is ou lined:
1. Iden i y he issue a ec ing he a ea (wha , who, why, whe e, when, how)
2. Iden i y he ac o s (S akeholde mapping)
3. Iden i y posi ions, oppo uni ies and ba ie s (s akeholde posi ioning)
4. Iden i y solu ions o policy change (Scena io building)
Fo he go e nance o his p ocess he Pilo O ches a o is key as i will be he one in cha ge
o d i ing he policy analysis p ocess desc ibed abo e. Equally he Communi y Ac i a o has
a c ucial ole in bo h o ganising he b ains o ming sessions wi h in e nal and ex e nal ac o s
and s akeholde iden i ica ion.
This me hodology is based on he s a e o he a o EU guidelines o Be e Regula ion and
he eme ging me hodologies on u al p oo ing. This will allow bo h o ca y ou policy analysis
in di e en Membe S a es and mo e undamen ally o each policy ou pu s ha can be mo e
easily adop ed by he EU ins i u ions (and Membe S a es implemen ing EU legisla ion) as
he basis o policy change.
Las ly, in addi ion o he guidelines and empla es p o ided speci ically o ca y ou his kind
o policy audi , a u he se o ools and examples is p o ided in Annex 1.
7
D6.1 - “Guidelines policy audi ”
1. Con ex and unde s anding
1.1. Aim o he Deli e able
SMART ERA will de elop Sma Inno a ion Packages (SIPs) ha will add ess he
ulne abili ies and exploi he po en ials o u al a eas whe e hey a e applied. These Sma
Inno a ion Packages a e designed o be eplicable in o he u al egions and se e as he
basis o a Eu ope-wide u al inno a ion s a egy. These packages will in eg a e a long- e m
impac analysis and sus ainabili y s a egy al eady in place a he end o he p ojec in o de
o sp ead ou he app oach and solu ions beyond he p ojec du a ion and he egions
in ol ed.
The s a ing poin a e he six SMART ERA pilo s si ua ed in di e en coun ies (I aly, Spain,
Finland, Bosnia and He zego ina, Bulga ia and he c oss-bo de egion be ween Slo enia,
I aly and C oa ia) and he socio-economic and en i onmen al challenges hey ace as u al
a eas. These u al a eas a e cha ac e ised by di e en geog aphic con ex s and socio-
economic condi ions. Fo he pu pose o his p ojec , u al a eas a e b oadly de ined
ollowing he Eu os a de ini ion as a eas “whe e mo e han 50 % o i s popula ion li es in
u al g id cells”. The SIPs will ocus on challenges iden i ied comp ise key hu dles o he
selec ed u al a eas equi ing an u gen in e en ion.
Fo each pilo , a Pilo O ches a o (in he case o SMART ERA hese pa ne s a e: FBK,
UL, UOULU, ANYSOL, SFTH, DPA) and Communi y Ac i a o (PAT, ROTUNDA,
C.OULU, +CULTURA, TORS, SEVLIEVO) we e selec ed.
The Pilo O ches a o is a echnical pa ne esponsible o deploying i s SIP in i s own
e i o y, o ches a ing pilo ac i i ies, and moni o ing hei execu ion.
The Communi y Ac i a o is a local Public Au ho i y o Non-Go e nmen al O ganiza ion
(NGO) ha has s ong ies wi h he local esiden s and s akeholde s and a demons a ed
expe ience in engaging hem in inno a i e p ojec s and ini ia i es. All hese couples ha e
long-s anding ela ions and many success ul collabo a ions. In he ame o he pilo ing, he
SIPs will be co-de ined, implemen ed and es ed in ol ing local ac o s.
In SMART ERA, WP6 “Policy analysis and ecommenda ions” aims o suppo he building
o mode n communi y-led inno a ion policies in u al a eas ha enhance he “enabling
en i onmen ” and p omo e “ u al p oo ing” wi hin he EU mul i-le el public policies.
In pa icula , he key objec i es a e:
i) o de elop an app oach and de ailed me hodology o assess policy and
go e nance amewo ks suppo ing communi y led inno a ion in u al
a eas.
ii) o analyse and map he e olu ion and in luence o public policy amewo ks
suppo ing communi y-led inno a ion ac oss pilo a eas.
8
D6.1 - “Guidelines policy audi ”
iii) o co-de elop ele an ecommenda ions, oge he wi h an in e ac i e ool o
he mode nisa ion o mul i-le el policy in e en ions.
Wi hin his wide con ex , his documen D6.1 “Guidelines o policy audi ” has been
de eloped by AEIDL o enable pilo esponsible pa ne s o analyse he key policy
amewo ks and he ini ia i es, s a egies, and ins umen s in hei na ional and
egional con ex s (wi h a pa icula emphasis on EU-suppo ed policies) ha a e enable s
and/o disable s o communi y-led inno a ion in u al a eas. In addi ion o p ojec pa ne s,
hese guidelines will also help o he s akeholde s ou side he p ojec in iden i ying key policy
concep s and op ions ha a e a ec ed by ongoing policy de elopmen s, as i will be a public
and Open Access documen .
1.2. Policy Backg ound
In o de o in oduce inno a i e solu ions (p ac ices, echnologies, policies, se ices) in a
speci ic local, and indeed u al con ex i is necessa y o unde s and he policies al eady
in place, wha a e he ac o s (i.e. he s akeholde s) ha a e a ec ed (posi i e o nega i e
bene i ), a e in e es ed by i and mos impo an ly hose ha shape, p omo e, o block hese
policies. I should be no ed ha Policies a e widely unde s ood as he sum o egula ions,
decisions, and unding schemes ha ha e been o icially ag eed o on a pa icula issue o
g oup o connec ed issues.
The pa adigms behind u al de elopmen policies ha e become inc easingly sophis ica ed
o e he las couple o decades. As a case in poin o his de elopmen , Table 1 desc ibes
he Ru al Policy 3.0 pa adigm om he OECD, which has subsequen ly pe mea ed he
EU Long-Te m Vision o Ru al A eas (Eu opean Commission, 2022) and indeed he
Te i o ial Cohesion policy hinking o he EU (Eu opean Commission, 2024).
This pa adigm a gues ha a key objec i e o u al policy should be o inc ease u al
compe i i eness and p oduc i i y in o de o enhance he social, economic, and
en i onmen al well-being o u al a eas. I is mo e complex and mul idimensional han
p e ious app oaches o u al policies ha we e op down o bo om up, mos ly eac i e and
silo-d i en. In he p esen u al app oach, policies should ocus on enhancing compe i i e
ad an ages o u al communi ies. They should also d aw on in eg a ed in es men s and he
deli e y o basic se ices (public and p i a ely p o ided) ha a e adap ed o he needs o
di e se ypes o u al a eas.
The Ru al Policy 3.0 (and he Long-Te m Vision o Ru al A eas in he EU con ex ) desc ibes
a pa ne ship-d i en app oach ha builds capaci y a he local le el o encou age
pa icipa ion and bo om-up de elopmen .
9
D6.1 - “Guidelines policy audi ”
Table 1 OECD Ru al Policy 3.0
Old Pa adigm
New Ru al Pa adigm
(2006)
Ru al Policy 3.0 –Implemen ing he New
Ru al Pa adigm (2016)
Objec i es
Equalisa ion
Compe i i eness
Well-being conside ing mul iple dimensions
o : i) he economy, ii) socie y and iii) he
en i onmen
Policy
ocus
Suppo o a
single dominan
esou ce sec o
Suppo o mul iple
sec o s based on hei
compe i i eness
Low-densi y economies di e en ia ed by ype
o u al a ea
Tools
Subsidies o
i ms
In es men s in
quali ied i ms and
communi ies
In eg a ed u al de elopmen
app oach – spec um o suppo o public
sec o , i ms and hi d sec o
Key ac o s
&
s akeholde
s
Fa m
o ganisa ions
and na ional
go e nmen s
All le els o
go e nmen and
all ele an
depa men s plus
local s akeholde s
In ol emen o :
i) public sec o – mul i-le el go e nance, ii)
p i a e sec o – o -p o i i ms and social
en e p ise, and iii) hi d sec o – non-
go e nmen al o ganisa ions and ci il socie y
Policy
app oach
Uni o mly
applied op-
down policy
Bo om-up policy,
local s a egies
In eg a ed app oach wi h mul iple policy
domains
Ru al
de ini ion
No u ban
Ru al as a a ie y o
dis inc ypes o place
Th ee ypes o u al:
i) wi hin a unc ional u ban a ea
ii) close o a unc ional u ban a ea, and
iii) a om a unc ional u ban a ea
Sou ce: OECD (2016)
While his app oach is mo e sophis ica ed han p e ious u al policy pa adigms i con e sely
makes policy analysis mo e complex o ca y ou , as se e al le els o go e nance a e
conce ned.
These Guidelines ocus p ima ily on EU policy analysis, bo h because his is mean o
suppo he six SMART ERA pilo s ac oss a ious Membe S a es, bu also because he EU
is a he sou ce o mos egula o y amewo ks (EU en i onmen al law, o ganisa ion o he
ood alue chain) and inancial incen i es (i.e. he Common Ag icul u al Policy and he EU
Cohesion Policy) impac ing u al a eas. Though his deli e able ocuses on p o iding
Guidelines o Policy Analysis o he SMART ERA Pilo s, i can also be used o policy
analysis o EU Mac o- egional s a egies, as he me hodology used is a dis illa ion o
exis ing EU guidelines o be e egula ion and analysis o e i o ial impac s.
Tha said, he impac o he EU is mo e nuanced in some policy a eas han o he s. As i
can be seen in Table 2, in mos policy a eas he EU sha es compe ence wi h Membe S a es
o suppo s hem. Wi hin only a e y small se o e y high-le el policy a eas he EU has
exclusi e compe ence wi h all decisions aken in “B ussels”. Fo mos cases, he EU migh
16
D6.1 - “Guidelines policy audi ”
Figu e 3 The STEEPED Wheel Scheme in all o i s componen s (Van Woensel, 2021)
This cha ac e isa ion can be done in an o ganic, i e a i e way wi h u he b ains o ming
sessions ini ially wi h he SMART ERA Pilo membe s (S ep 1) and hen in ol ing he wide
ac o s ha ha e been iden i ied (S ep 2).
As a esul o hese discussions, he policy audi lead (in his case he SMART ERA
O ches a o ) will be able o pu oge he a able cha ac e ising in as much de ail as
possible he a ious ac o s ha ha e been iden i ied, as in Table 4 Templa e o Policy
analysis Fac o s empla e below.
Table 4 Templa e o Policy analysis Fac o s
Fac o
Sub ac o
(choose om
STEEPED
diag am Fig
3)
Desc ip ion
Likely
Bene icia y
(posi i e o
nega i e)
Pe cei ed
sou ce o
au ho i y
( egula o ,
o e see , und
p o ide )
Poli ical
Legal
En i onmen al
Economic
Technological
Socie al
E hical
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D6.1 - “Guidelines policy audi ”
Concu en ly wi h he ac o iden i ica ion he Pilo O ches a o needs o ha e a be e
unde s anding o he e i o ial impac , essen ially add essing he ollowing ques ions
d awn om he EU Te i o ial Impac Assessmen Be e Regula ion Tool #34
(Eu opean Commission, 2023):
• Does he issue being conside ed a ec economic ac i i y, en i onmen , o people
li ing in ci ies, u al, c oss-bo de , insula , moun ainous, o spa sely popula ed a eas
and in he EU ou e mos egions o a signi ican ly di e en ex en han elsewhe e in
he EU?
• Is i concen a ed in ce ain a eas (e.g. u al), egions, o Membe S a es?
• Does i a ec ce ain a eas (e.g. u al, moun ain, island, bo de , pe iphe al), speci ic
egions o Membe S a es in a disp opo iona e manne ?
• Does i add ess egions di e en ly acco ding o hei own speci ic cha ac e is ics and
hus lead o une en e i o ial de elopmen ?
• Does i dis o he p inciple o e i o ial cohesion (i.e. inc ease dispa i ies in economic
de elopmen , social well wellbeing be ween di e en EU e i o ies)?
I he answe o any o hese ques ions is posi i e, he Te i o ial Impac Necessi y
Check will help assess he need o a mo e in-dep h analysis o he e i o ial impac s.
To do so he e is he possibili y o use a Te i o ial Impac Assessmen Quick Check is
an in e ac i e ool ESPON assessing ex an e he e i o ial impac o legisla ions, policies
and di ec i es. I allows he use o make a "quick and di y" ex-an e analysis o he
po en ial impac o EU legisla ion, policies, and di ec i es on he de elopmen o egions,
which migh be unan icipa ed and undesi able (ESPON 2020).
The ool combines knowledge ga he ed by hose conduc ing he policy analysis (ideally a
wo kshop) in a wo kshop wi h a se o s a is ical da a desc ibing he cha ac e is ics o
egions. I is a ee ool ha can be used in e ac i ely, bo h a s ep 1 (iden i ica ion o he
p oblem) as well as s ep 2 (once all possible ac o s ha e been iden i ied in de ail) o s ep
3 (a e ga he ing iews om hese ac o s as a esul o a wo kshop o a su ey).
Th ough a se ies o 5 s eps his ool will help he Pilo O ches a o decides whe he a
Te i o ial Impac Assessmen is use ul o any gi en policy. Complemen ed wi h he de ailed
e idence ga he ed in he wide policy analysis p ocess (wha is he p oblems, who a e he
ac o s conce ned, wha a e he lock ins and ba ie s, wha a e he possible solu ions) i can
help make a case o a policy change a he end o a policy analysis p ocess, as a One Size
Fi s all policy does no wo k o all e i o ies.
2.3. S ep 2: Iden i ying he ac o s
Once S ep 1 an ini ial se o ac o s po en ially conce ned by he issue being subjec o policy
analysis a mo e in-dep h assessmen o hose no di ec ly in ol ed in he SMART ERA Pilo
is needed.
18
D6.1 - “Guidelines policy audi ”
2.3.1. Types o ac o s
Building upon he indings o he b ains o ming session and he esul ing cha ac e iza ion in
S ep 1, he Pilo O ches a o needs o build a mo e de ailed s akeholde mapping co e ing
all ac o s, which a e di ec ly, indi ec ly o po en ially conce ned wi h he policy issue being
examined.
To do so, a eliable way is o use he so-called Six Tes s o S akeholde Iden i ica ion
con ained in Tool #51 o he EU Be e Regula ion Guidelines (Eu opean Commission, 2023,
p. 766)
Table 5 Ac o iden i ica ion c i e ia
Type o Ac o
C i e ia
Di ec Bene icia y
Who is di ec ly impac ed?
• Will hei daily/weekly li es will change because o his issue (policy
decision/legisla ion/ unding, o absence o i )?
• Can hey easily a oid being a ec ed by his issue?
• Will hey ha e o change hei beha iou as a esul o his issue?
Indi ec bene icia y
Who is indi ec ly impac ed?
• Will hei daily li es change because o he ac o s ha e been di ec ly
a ec ed by his issue?
• Will hey gain o lose because o changes esul ing om his issue
happening/no happening?
Po en ial bene icia y
Who is po en ially impac ed?
• In pa icula ci cums ances, who will ha e a di e en expe ience as a
esul o his issue happening/no happening?
• A e he e indi iduals o g oups who will ha e o adjus hei beha iou
i speci ic condi ions apply?
Sou ce o au ho i y
Who is he egula o making he decision (o no aking i )? (eg making
a ule, awa ding a decision/no doing i )
• Is he e any o he au ho i y in ol ed in making he decision? How?
Deli e y ac o s
A e he e i al indi iduals o g oups in he deli e y chain?
Who is esponsible o en o cing i ? (i di e en om egula o )
• Whose help is ac ually needed o make a decision wo k?
• Who will ha e he abili y o obs uc implemen a ion unless co-
ope a ing?
Knowledge ac o s
Who hinks hey know abou he subjec ?
• Who unde s ands he likely impac o his decision on o he
s akeholde s (i di e en om egula o )?
• Who has s udied he subjec and published iews on i ?
• Who has de ailed know-how and expe ise ha hose implemen ing
he decision should also unde s and?
• A e he e indi iduals o g oups ha will be pe cei ed as
knowledgeable on he subjec ?
Wide S akeholde s
Who will show an in e es in he subjec ?
• A e he e o ganisa ions, au ho i ies, bodies, o indi iduals who hink
hey ha e an in e es ?
• Has anyone been campaigning abou he issue?
• Is he e anyone publishing o b oadcas ing iews on his subjec ?
19
D6.1 - “Guidelines policy audi ”
Fo ins ance, in a hypo he ical example o ex ension o u al b oadband, a ai ly ypical
classi ica ions o ac o s in ol ed his issue could be as ollows:
● Di ec bene icia ies: local esiden s bene i ing om u al b oadband
● Indi ec bene icia ies: local businesses, public se ices
● Po en ial bene icia ies: new in es o s making in es men decision based on new
b oadband in as uc u e in place
● Sou ce o au ho i y: EU egula o enac ing legisla ion and ules on B oadband
Expansion and echnical s anda ds, EU legisla ion and unds on subsidies o
b oadband expansion, na ional implemen ing legisla ion (pa liamen ) and na ional
compe i ion au ho i y (awa d decision on b oadband expansion) and na ional
go e nmen (co- inancing EU unding on b oadband expansion)
● Deli e y Ac o : egional go e nmen (deli e y ac o implemen ing na ional and EU
decisions, o blocking i ), o he economic ac o s in a ou -o agains - b oadband
exemp ions o sa egua d hei own business in e es s.
● Knowledge ac o s: could be he local uni e si y u al esea ch cen e ha p o ides
knowledge o choose he mos app op ia e o m o b oadband expansion and
iden i y issues.
● Wide s akeholde s: o ins ance, membe s o he local communi y conce n abou
he loss o local cha ac e as a esul o echnological change.
NOTE: S ep 1 and S ep 2 can be done in a mo e complex ma ix. This is pa icula ly ele an
when ca ying ou u al p oo ing as he e is a complex se o ac o s ha ing a knock-on e ec
in e i o ial de elopmen , hus making indi idual, policy speci ic and silo app oaches o
policy analysis unsui able o impac assessmen in a gi en e i o y o local case s udy
2.3.2. Iden i ying au ho i ies and deli e y agen s
In policy analysis a pa icula ly impo an ac o ha needs o be iden i ied as much and as
a an ea lie s age a e hose ha we ha e e med sou ce o au ho i y (i.e. mos commonly
he public au ho i y o au ho i ies ha se ou legisla ion, implemen ing ules, in e p e a i e,
o s a u o y guidelines o echnical s anda ds), o en in conjunc ion wi h deli e y ac o s in
cha ge o en o cemen (e.g. esponsible o awa d decisions o subsidies), which may be a
di e en au ho i y om ha se ing ou he ules. In some cases, deli e y ac o s need no
be a public au ho i y bu ano he o ganisa ion o en i y ( olun a y, cha e ed, social
economy, e c.) o which public au ho i y has en us ed he en o cemen o a public policy,
se ing up guidelines o echnical s anda ds (e.g. ISO o ganisa ions).
As men ioned in he in oduc ion and in he abo e example on u al b oadband i is
pa icula ly challenging o disen angle sou ces o au ho i y as policies, pa icula ly hose
20
D6.1 - “Guidelines policy audi ”
emana ing om he EU is e y much agmen ed and indeed sha ed be ween a ious le els
o go e nmen (Mul ile el Go e nance).
Example: Iden i ying Au ho i y and Deli e y ac o s in iscal bene i s o depopula ing
u al a eas
In 2022 he EU has ag eed o se ou new Regional Aid Guidelines ha gi e special ea men ( o
ins ance iscal incen i es) o a eas a ec ing o 10% depopula ion loss o e he p e ious decade, his
had o be se ou by he co esponding Membe S a e in hei Regional Aid Map (and ag eed by he
Commission) whe eas designing he speci ic schemes migh all o a na ional o egional au ho i y
and i is ul ima ely he local au ho i y ha adminis e s he scheme.
F om he poin o iew o he local ac o as di ec , indi ec o po en ial bene icia y i is no immedia ely
clea who is esponsible o wha and i he e is a lock in ha p e en ha policy om being applied
whe e i can be in he egula o y and decision-making chain.
F om an ac o -cen ed pe spec i e he mos p ac ical way is o ollow up he decision chain, as he
local au ho i y o awa d a scheme needs o e e o he ules ha empowe hem o do so, and which
au ho i y has enac ed hem, in u n hese na ional plans and speci ic na ional adminis a ion in
cha ge o hem need o speci ically e e o he EU legisla ion and Eu opean Commission Di ec o a e
Gene al ha deemed hese ules complian wi h he EU Single Ma ke .
So ollowing bo om up he pape ail can be an easy and p ac ical way o iden i y bo h au ho i y and
deli e y ac o s as well as possible lock ins and ba ie s ha emain in place (Pazos-Vidal, 2022).
Once he mapping o s akeholde s has been comple ed a able such as he below Table 6
Templa e needs o be pu oge he by he pilo o ches a o .
Table 6 Templa e o Ac o iden i ica ion
Types o ac o s
Sub- ypes
Who?
Why?
Whe e?
When?
How?
Bene icia ies
Di ec
Bene icia y
Indi ec
Bene icia y
Po en ial
Bene icia y
Decision
Make s
Sou ce(s) o
Au ho i y
Deli e y Ac o
S akeholde s
Knowledge
Ac o s
Wide
s akeholde s
2.4. S ep 3: iden i ying posi ions, oppo uni ies and ba ie s
Once he s akeholde s ha e been iden i ied in S ep 2, he nex s ep is o iden i y hei
espec i e posi ioning as ega ds o he opic (p oblem, challenge, oppo uni y) ha is being
21
D6.1 - “Guidelines policy audi ”
analysed. The e a e se e al ways o doing so, om documen al analysis (e.g. public
s a emen s, legisla ion, policy documen s), s akeholde g oup mee ings, a su ey o hem o
a combina ion o hose (Asdal & Reine sen, 2022).
O ganising a mee ing wi h he wide se o ac o s iden i ied in S age 2 is a pa icula ly
e icien way o unde s and he nuances o each ac o posi ion. Unlike he mee ings wi h
membe s o he Pilo o ganised in S age 1, his mee ing should be acili a ed by he Pilo
O ches a o as he lead o he Policy Analysis exe cise. Howe e , he mee ing dynamics
could be e y simila o he mee ing in S age 1, only wi h a wide se o ac o s being
ep esen ed. S ill, in many occasions i migh no be logis ically easible o b ing all iden i ied
ac o s oge he , o hey would be oo emo e o unwilling o mee , hence he alue o
combining s akeholde mee ing wi h documen a y analysis and su eys o all iden i ied
ac o s.
2.4.1. Iden i ying ac o s’ posi ions
Ou o his a e y simple able o s akeholde posi ioning can be used. One much used o
local de elopmen wo ldwide is due o i s simplici y ha p o ide by ODA (1995) as i can be
summa ised in a e y syn he ic able such as in he example as in Table 7 below.
Table 7 Example o Ac o iden i ica ion: S akeholde posi ions in EU S uc u al Funds 2014-2020
Ac o
Posi ion
De ail
Membe S a e
+
-
Inc ease eedom o design p io i ies.
A oid binding and de ailed Pa ne ship obliga ions, condi ionali ies.
EU
Commission
(Sec e a ia
Gene al)
+
+
Use S uc u al Funds (ESIF) as a way o in luence Eu ope 2020
agenda implemen a ion.
Inc ease consis ency ia Common S a egic F amewo k as a way o
inc ease legi imacy o e he EU budge .
DG REGIO
+
+
-
Keep subs an i e budge .
Be he lead DG in ESIF and Pa ne ship nego ia ions.
A oid educ ion o budge owa ds hema ic unds.
DG AGRI
+
-
Keep managing Ru al De elopmen und.
Resis CSF, ESIF Common p o isions.
DG EMPL
+
+
-
Inc ease sha e o ESIF, a leas 20% ing- ence o ESF.
Inc ease isibili y, sepa a e iden i y o ESF.
Resis any p o ision ha unde mining iden i y o ESF, e.g. Mul i- und
Thema ic DGs
+
+
-
Inc ease budge o he de imen o ESIF.
Al e na i ely inc ease access o ESIF o inance own policies.
Resis CSF, In eg a ed app oach o be di ec ly binding on hem.
Eu opean
Pa liamen
+
+
+
-
Inc ease ESIF budge .
Inc ease abili y o sc u inise and accoun abili y o e ESIF
implemen a ion.
Widen legi imacy om LRAs ( e i o ial ins umen s, pa ne ship
p o isions).
Resis MS wa e ing down egula ions, cu down budge .
Commi ee o
he Regions
+
-
Inc ease budge , pa ne ship p o isions, CoR own sc u iny ole.
Reduc ion o budge , condi ionali ies.
Local and
Regional
Au ho i ies
+
+
-
Access EU unds.
Te i o ial De elopmen ins umen s (CLLD, ITI), sub-delega ion.
Addi ional audi / egula o y bu den, Condi ionali ies.
22
D6.1 - “Guidelines policy audi ”
Ci il Socie y
+
+
-
Inc ease ea ma ked unds.
Inc eased pa ne ship p o isions ( isibili y o decisions, access o
decision- making).
Limi addi ional obliga ions (audi , co- inancing) in exchange o
enhanced pa ne ship p o isions o und alloca ion.
Sou ce: Pazos-Vidal (2014).
Howe e , his assessmen o he a ious ac o s' posi ion is oo s a ic and a mo e dynamic
pic u e o hei ela ionships (hie a chical, pa ne ship) o in e dependencies ( op down,
bo om-up) and a i udes (cons uc i e, esis ance) can be c ea ed o be e illus a e hem,
as shown in he Figu e 4 example.
Figu e 4 Example diag am wi h b oad s akeholde ela ionships
2.4.2. S akeholde ma ix
Depending on he a ailabili y o in o ma ion o eedback om he posi ions o each ac o s a
mo e ine- uned assessmen (s akeholde ma ix) can be c ea ed by explo ing he de ail
posi ions ela ionships and biases o each ac o .
23
D6.1 - “Guidelines policy audi ”
Table 8 Templa e o de ailed s akeholde ma ix
Name
Type o
Ac o (as in
S ep 2)
Role and
Impo an
ce
In e es
pu sued
Powe
and
esou ce
s o
in luenci
ng
Fo mal
and
In o mal
Linkages
wi h
o he
ac o s
Incen i es
Bias
Sou ce: adap a ion om ODA (1995) and Eu opean Commission, 2012).
In he abo e mapping cha ac e ising, he espec i e ac o biases may be di icul o be
iden i ied and qui e subjec i e o he O ches a o o do so, as he ac o may be eluc an o
ully spell ou i s iews. Howe e , o he ex en ha is possible i is use ul in o ma ion o ha e.
Again, a use ul guidance o he ypes o bias is p o ided by he Eu opean Pa liamen own
guidance (Van Woensel, 2021).
Sou ce: Van Woensel (2020)
Figu e 5 The bias wheel, a ool o becoming awa e o
biases in policy analys s' asks
24
D6.1 - “Guidelines policy audi ”
2.5. S ep 4 Iden i ying solu ions
The las s ep is ca ied ou based on he in o ma ion ga he ed in p e ious s eps and i
aims a p o iding one o se e al ecommenda ions o op ions o policy change
(signi ican changes o mino adjus men ) and he a ious scena ios ha could eme ge as
a esul .
2.5.1. Op ions o policy change
The b oad ca ego ies o policy op ions can be d awn om he EU Be e Regula ion
Tool #34 on Te i o ial Impac assessmen , al eady ci ed, a e as ollows:
1. Adjus he policy o he en i e Union (o coun y, o egion) o some o i s pa s;
2. G an mo e ime o implemen a policy in some e i o ies o some sec o s/ac o s;
3. Exemp om he policy hose ac o s o e i o ies ha a e una ec ed by he
p oblem he policy aims o add ess;
4. Use exis ing policies o add ess asymme ic e i o ial impac s ( o example by
using Cohesion Policy, e c);
5. C ea e a new ins umen o add ess asymme ic e i o ial impac s i /when hey
a ise.
The e o e, a policy op ion needs o ha e as end esul one o se e al o hese op ions.
Because, mo e o en han no , he issue being analysed migh in ol e mo e han one
policy and mo e han one le el o go e nance answe ing he abo e se o ques ions can
be e ined u he using he Subsidia y Assessmen G id (Eu opean Commission, 2018)
2.5.2. Scena io Building
Scena io building should be cons uc ed o unde s and he le e s and ba ie s o policy
change. Scena ios can be d a ed by building on he combina ion o ou comes o he
analysis o he a ailable e idence and he ou comes o he b ains o ming exe cise in S ep
1 and wide S akeholde mee ing and engagemen in S ep 3. These need o be p epa ed
by he O ches a o bu should ideally be suppo ed by policy analysis (such as he
Knowledge ac o s iden i ied in S age 2). A small eam o policy analys s can also p epa e
hem.
Ideally his scena io building should ecei e inpu om he wide ac o s iden i ied in S ep
3 and alida ed by he SMART ERA Pilo s. Such scena io building needs o ga he all
a ailable e idenced and seek o add ess he ollowing ques ions o each o he possible
policy op ions:
- In o de o achie e policy change X, who is he p ima y ac o esponsible o
aking ha decision?
25
D6.1 - “Guidelines policy audi ”
- Who s ands o bene i o be nega i ely a ec ed by change X?
- Wha would be he knock-on e ec o change X in he o he iden i ied ac o s?
- Wha would be he consequence in policy Y o his change in policy X?
- Wha would be he ac o s a ec ed posi i ely o nega i ely by his knock-on e ec
change in policy Y?
This is why he ques ionnai e o he abo e-men ioned s akeholde g oup/su ey o
documen a y analysis need o espond o he p e ious ques ions. In essence, his allows
o conside adjus ing policy by looking a he p inciples o subsidia i y and p opo ionali y:
● The subsidia i y p inciple helps de e mine whe he i is jus i ied o he Union o
ac wi hin he sha ed o suppo ing compe ences i has been gi en unde he
T ea ies o whe he i is mo e app op ia e ha Membe S a es ac a he app op ia e
na ional, egional, o local le els.
● The p opo ionali y p inciple helps ensu e ha he in ensi y o he legisla i e
obliga ions o policy app oach ma ch he in ended objec i es o he policy o
legisla ion. This means ha he con en and o m o Union ac ion (and likewise
na ional and subna ional au ho i ies) mus no go beyond wha is necessa y o
achie e he in ended objec i e
Fo illus a i e pu poses, I you' e e e needed o explo e he ull impac o a p oposed
change, hese dependencies and in e ela ions can be illus a ed by a diag am o he di ec
and indi ec u u e consequences o a pa icula change o de elopmen . This is whe e he
Fu u es Wheel can help. This isual ool gi es you a s uc u ed way o b ains o ming he
di ec and indi ec consequences o a decision, e en , o end. In 'The Fu u es Wheel´ he
change ha has been iden i ied is placed in he middle and is a way o o ganising hinking
and ques ioning abou he u u e–– hen small spokes a e d awn wheel-like om he cen e.
P ima y impac s o consequences a e w i en a he end o each spoke.
Nex , he seconda y impac s o each p ima y impac o m a second ing o he wheel and
u u e ings wi h mo e knock-on e ec s can be added un il he mos comple e pic u e o
e ec s and consequences is iden i ied. The e o e, his is no jus a use ul way o illus a e in
he inal Policy Analysis epo he consequences o he in ended changed, bu also his
p o ide as empla e ha can be used in he abo e-men ioned b ains o ming sessions o
help collec i ely iden i y he possible consequences o a gi en scena io.
32
D6.1 - “Guidelines policy audi ”
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