Operational processes for the formulation and implementation of cultural policies: some basic principles
Prepared by Patricio Jeretic and David Rosello Cerezuela
For the Division of Cultural Policies and Intercultural Dialogue UNESCO Culture Sector
January 2011
INTRODUCTION
UNESCO has developed a series of tools specially intended to assist cultural decision- makers and agents in reflecting on, designing, formulating and implementing cultural policies and strategies. The guide presented in this document specifically addresses the operational dimension of the process of formulating a cultural policy.
This document offers general principles and methodological input to guide the formulation and implementation of cultural policies at the national, regional and/or local levels.
The decision to formulate and implement a cultural policy implies setting a complex process in motion and establishing conditions that enable public action in the cultural field to be significant and effective, resulting in practical outcomes that benefit the development of society.
Formulating a cultural policy is not confined to the drafting of a document, however thorough and relevant it may be. It entails creating a new momentum and promoting work methods in the case of institutions and agents responsible for culture, in order to attain a common goal and a clear and consistent strategy. It involves promoting the cultural dimension of the society and mobilizing available resources to enable sectors of cultural activity to play their part in economic, social and human development.
In other words, the cultural policy of a country, region or locality is not the document so headed but rather the specific guidelines, actions and activities conducted by public institutions that affect the cultural dimension and related activity sectors.
1. Cultural policy: goal and some general principles
Goal
Firstly, the general goal of the cultural policy to be formulated must be identified and defined. This goal will depend on the prevailing social and political context. Proposing a cultural policy entails rallying the authorities, cultural operators, artists, cultural civil society and other stakeholders to its goal. Its effective implementation will depend on this.
In general, a cultural strategy should aim to increase the place occupied by culture in public action and its role in social development.
The guidelines, actions and activities that form the cultural policy must be consistent and complementary and they must contribute to attaining the goal set.
2. Conditions for the implementation of a cultural policy
The effective implementation of a cultural policy depends on the conviction of public authorities and relevant bodies and their resolve to adopt an active policy in culture. This includes not just the authorities directly responsible for sectors of culture sectors but a general political will of all authorities concerned. Culture is an integral part of the social dynamic, intrinsically related to the other spheres of society. Implementation of the cultural policy will also depend on the other sectors of public administration, in particular with regard to the resources that are allocated to it.
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The effectiveness of cultural policy and the actual possibility of applying it require sufficient institutional capacity on the part of all institutions concerned, in particular the Ministry of Culture and the institutions and agencies responsible for the various cultural sectors and dimensions. This implies assessing these capacities and, where necessary, introducing sufficient and targeted institutional capacity-building.
Cultural policy must be adapted to the implementation capacities of agents responsible, the public and private resources available, and the actual conditions and possibilities of operators and sectors of cultural activity. This requires a clear examination of the particular sector’s political, regulatory, institutional, economic and social environment.
Cultural policy must be understood, accepted and adopted by all public and private stakeholders. This implies introducing a participatory process and a suitable communication and information policy throughout the policy formulation process.
3. Starting point: identifying the source of the initiative
It is important to begin by examining the original circumstances prompting the decision to formulate a cultural policy. Addresses, written documents, government programmes, agreements with international institutions, demands from civil society, and so on, may serve to gauge the degree of political will to implement a new cultural policy and how much commitment it will attract at the levels concerned. The procedure for drawing up the cultural policy must be adapted to this: when the initiative stems from the State’s high-level authorities, political will is assured. However, if the initiative responds to an external demand (civil society and/or international organizations), advocacy with the authorities and public agents will be more difficult.
Who launched the idea of a cultural policy?
What were the reasons behind it?
What arguments were put forward?
What degree of support or opposition has it encountered?
Is there true political resolve on the part of the State to implement a cultural policy? What are the motives?
Is there a demand from citizens, public authorities, cultural sectors and non-cultural players?
Do we have internal or external references?
Can the continuity of the process and the assessment of results be ensured?
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4. A cultural policy in the making: the various phases
4.1 The work plan
The formulation and implementation of a cultural policy requires a series of phases to be completed and several dimensions taken into account. Consequently, a work plan guiding the entire process should be drawn up and followed. This will include the following phases and aspects:
Evaluation and analysis of the initial situation and background in terms of policy, public action and the dynamic in the field of culture.
Identification of the authorities and agents responsible for formulating and adopting cultural policy.
Stimulation of the necessary political will to implement a significant and effective cultural policy.
Involvement in the process of other public administration sectors.
Introduction of mechanisms for consultation and sharing with all stakeholders: cultural operators, civil society, other national and international cultural sector players.
Capacity-building for those to be in charge of applying the policy: comprehension and ownership of the policy and enhancing of skills for its implementation.
Preparation of a communication plan for the process and the cultural policy: elaboration of solid arguments and communication tools.
The various dimensions and phases presented above are indicative and will be adjusted to each national reality. They may build on each other and/or be conducted concomitantly. The work plan should include all the relevant phases, a schedule and a budget for the policy formulation process.
The schedule should include the preliminary phases with their timeframes. The example below presents the major phases for drawing up a cultural policy.
Analysis and initial diagnosis 1 month
Consultation, formulation, proposal of guidelines 5 months
Validation and acceptance by stakeholders 3 months
Adoption (political process) 3-6 months
Start of implementation 1-1½ year(s) after the start of preparation – 4 –
4.2 Evaluation and analysis of the initial situation
A situation diagnosis is needed to identify the starting point, appraise the situation and analyse the context in which the cultural policy will go ahead. To do this, the following should be analysed:
The current situation with regard to cultural policies: what action and activities are conducted by the various entities in charge of culture?
The other policies affecting culture and sectors of cultural activity;
Institutions and cultural agents (public, private, voluntary, others): the current role, presence in the society, territory and sectors, relations between them;
The social reality in which the new cultural policy will take its place:
• Territories and communities concerned (State, regional, local, etc.): the reality at each level, the relationship between them, etc.;
The situation of sectors and cultural operators:
• Sectors of cultural activity: identification, situation, weaknesses, potential, etc.;
• Functions performed in each cultural sector (research, creation, training, dissemination, mediation, contribution to development and social cohesion, etc.): current status, difficulties, potential, etc.;
• Public (by age group and social category, etc.): presence in programmes and cultural habits, imbalances and notable absences, etc.
Analysis tools for conducting a diagnosis are presented in the annex to this document.
The diagnosis gathers data, sensitivities, points of view, demands, needs, opportunities and challenges of the future. It will help identify the potential and the various dimensions that the cultural policy must address, together with the main strengths and weaknesses of the sectors of cultural activity:
What are the main problems?
What are the needs and demands of the various sectors?
What are the fundamental subjects and urgent situations to be addressed?
What interventions have worked to date? Which ones have failed?
What have other countries done that may provide guidance?
What do national and international reference documents (conceptual and institutional) contain, and how can they be useful?
The diagnosis will be amplified progressively with information collected through the various stakeholder consultation mechanisms. It should take into account international discussions and parameters with regard to culture.
Note : An analysis guide for cultural policies has been drawn up to assist you in this diagnosis. It is presented in the toolbox. – 5 –
4.3 Identification of the entities responsible for the process
Setting up of a steering committee for the process.
Establishment of a working group to design, draft and propose the content of the cultural policy; definition of the duties of each member of the group.
Definition of the agents involved and their role in the process.
4.4 Stimulation of the necessary political will to implement a cultural policy
Political will must exist both within and outside cultural institutions:
Ensuring the support and involvement of agents in the Ministry of Culture and cultural institutions, by informing and involving them from the outset and throughout the process.
Formulating and disseminating arguments defending the importance of the cultural dimension in development.
Explaining the goals of the process and communicating effectively. The involvement of civil society and the cultural world must be visible so that they can bring pressure to bear on the policymakers.
4.5 Involvement of other public sectors in the process
Cultural governance depends on the country’s general governance. Cultural policy must respond to this state of affairs and be fully consistent with the general development strategies of the country/region.
The setting up of activities for culture sectors depends entirely on other State departments: economic planning, budget, foreign affairs, tourism, education, social affairs, youth, decentralization, and so on. All departments concerned must from the outset be associated with and informed of the cultural policy formulation process. They must be consulted on the feasibility of and validate the strategies and actions proposed wherever their involvement is necessary.
The establishment is recommended of an interdepartmental body which should be regularly informed of the formulation process for cultural policy and will serve to coordinate and validate proposals.
The decentralized dimension of culture must also be taken into account in this respect by creating involvement and consultation forums for the relevant territorial authorities.
4.6 Establishment of mechanisms for consultation and exchange with all stakeholders
The relevance and ultimate success of cultural policy will depend on its ability to involve all stakeholders. The continuity of a public policy indeed depends on the critical mass of public and private agents involved.
Participation bodies must inform, gather opinions, evaluate needs and take into account the demands of the various stakeholders.
Participation mechanisms must provide scope for consultation and coordination of the following players: – 6 –
Artists/performers and cultural operators, associations, enterprises;
Institutions operating in sectors of culture;
External/international culture sector participants;
The general public.
For each type of category, different participation mechanisms may be set up. Sectoral meetings should be organized at key points in the process (information on the launch, proposal of broad outlines, validation).
The requirements and positions emerging from consultations will need to be incorporated in the strategic proposals that will be or are being prepared.
The consultation mechanisms should take into account the cultural and social diversity of the communities involved (see UNESCO’s Cultural Diversity Programming Lens ).
4.7 Capacity-building for agents in charge of implementing the policy
Institutional capacity is the keystone of any effective cultural policy. The involvement of all agents entails:
Information and consultation of agents and public officials within the Ministry of Culture and cultural institutions;
Training of agents in charge;
Action to secure ownership of the cultural policy;
Institutional capacity-building.
4.8 Preparation of a communication plan on the process and on the cultural policy
The communication plan is closely related to the previous aspects. The emergence of political resolve to support the implementation of a cultural policy depends on the communication strategy targeting policymakers, other State departments, civil society, and so on.
The communication plan entails drawing up arguments and a specific dissemination plan centred on authorities, civil society and other stakeholders to explain the relevance of the process and to show the importance, scope and potential of the resulting cultural policy. It entails demonstrating that culture is a public good comparable to education and health. In that regard it is important to:
Demonstrate the place of culture in the public life of society.
Recognize exchange relations between culture and its context (society, time).
Draw on international instruments and documents in this field. – 7 –
5. General methodology for developing content: how to go about it
Defining the conceptual framework and the values (how do we think?)
This is a universal consideration. A cultural policy is not neutral. Every institution has values that became entrenched well ahead of the diagnosis. They are made up of a set of ethical and moral considerations that the State regards as important. The lack of defined values is in itself an expression of prevailing values. They can of course vary enormously according to country, ruling ideology, tradition, individuals in power, and so on. A cultural policy would be the application of this framework of values to a known reality, as can be seen in particular in the diagnosis.
Deciding on priorities (where do we start?)
A cultural policy will not easily cover all dimensions and all sectors of cultural life over a single period. Priorities for action and intervention will have to be established. A strategy must be drawn up providing for fields of intervention over time.
Defining the scope and different dimensions covered by the cultural policy and its main lines of intervention
One and the same goal may be achieved by means of various strategies. The one best suited for the cultural policy we want to introduce must be identified.
Making proposals for action (what should we do?)
This is the most practical and detailed part. Activities must be defined that can advance the new policy. These activities may be of various kinds: legislative (drafting of specific laws on culture), structural (establishing new political or management structures), organizational (changing working methods), concerning the infrastructure, services (based on stable or provisional cycles in cultural activities), and so on. Some major strategic projects may emerge as the most iconic of the new cultural policy.
Setting cultural programming procedures
The cultural policy must provide for the operational arrangements for programming activities. What types of programming will be put in place?
Assigning responsibilities (who will do it?)
A cultural policy is the responsibility of public institutions (ministry of culture, regional and local authorities), but some aspects will involve other public, private or voluntary-sector bodies and individuals. The Plan should state who is responsible for setting up each of the activities proposed.
Allocating resources (what will we be working with?)
A cultural policy must use resources in order to be set up: human, material and financial. The Plan should identify the resources at its disposal, and in particular the budgets earmarked for each proposal.
What existing or new bodies will accompany the preparation, implementation, monitoring and evaluation of the cultural policy? – 8 –
Drawing up an approximate timetable for the application of the policy (when should it be done by?)
Finally, the Plan needs to be organized over time. Not everything can or should be done at once. Every new measure needs time for full development, study and introduction. The Plan should include a delivery timetable.
Establishing the entities in charge of monitoring and evaluating implementation of the cultural policy
The process permitting the monitoring and evaluation of its application and results must be drawn up. This involves defining the body in charge of implementation, the indicators that will allow an impartial evaluation, the people who will conduct it, the timetable to follow, and so on. The evaluation should look at the following:
Measurement of the results of the cultural policy;
Achievement of the goals;
Suitability of the strategies;
Implementation of activities;
Involvement of those concerned;
Implementation of the budget;
Implementation of the timetable.
On the basis of the results obtained, appropriate remedial or adjustment measures should be taken. Since a cultural policy and its plan of application are spread over a number of years, an evaluation schedule is also necessary and might, for instance, be yearly or six-monthly.
6. The different possible dimensions of a cultural policy
A tool specifically dedicated to the content of a cultural policy is proposed in the UNESCO toolbox referred to earlier: The new agenda of cultural policies for development and mutual understanding .
However, it would be useful to set out below, in a brief overview, some important features for inclusion in a cultural policy.
Development
A cultural policy must seek the overall development of the country, society, communities, individuals, and so on. The idea is to take a political approach to the sector so as to create the conditions conducive to maximizing culture’s contribution to the development of society.
Analyse links between culture and the other sectors of activity.
Apply recommendations made by international agencies (UNESCO and others).
Diversity and intercultural dialogue
Cultural diversity must be regarded as a feature of mutual furtherance. The cultural policy must aim to enhance it through intercultural dialogue. – 9 –
Show that cultural diversity is an asset that strengthens society.
Include diversity in work processes, not just outcomes.
Make proposals designed to turn cultural differences to account and facilitate constructive dialogue.
Apply recommendations made by international agencies (UNESCO and others).
Social cohesion
Culture can make a substantial contribution to forging links within a society.
Identify the most fragile groups.
Define spaces for meeting, exchange and dialogue.
Apply recommendations made by international agencies (UNESCO and others).
Democratization of culture and cultural democracy
A cultural policy must determine in which cases to apply measures to democratize culture (access for all) and in which other cases cultural democracy measures should be applied (participation and co-creation).
Identity
Culture is one of the mainstays of the identity of individuals, groups and societies. It reflects a way of looking at life, the individual’s way of being, attaining fulfilment and communicating with the physical and human surroundings. This identity is reflected in a multiplicity of values within one and the same society.
Understand the bedrock of values uniting society, in common with the assertion of different identities.
Recognize the internal diversity in a society, that which makes our identity plural.
Lend weight to the changing, evolving nature of identity and its cultural expressions.
Innovation
Culture transforms societies and drives their evolution, exchange and renewal. Culture is not only an adaptation to reality but an effort to look to the future.
Enhance innovation as a way to develop societies.
Innovate in form (institutions, work, processes, etc.) and in substance (goals, strategies, content, cultural and creative industries, etc.).
Show that tradition and innovation are complementary. – 10 –
Participation
We must involve citizens in the development of culture by promoting the organization and visibility of civil society operating in the various sectors of culture.
Include representatives of different cultural, age, gender and other groups.
Facilitate platforms for exchange, debate, participation, consultation, coordination and the like.
Consult those active in society (public, private, voluntary sector, etc.) when taking major decisions.
Introduce into proposals the demands arising from the consultations.
Consolidate the role of civil society in order to help lend continuity to the cultural policy.
Decentralization
A cultural policy must seek to engage in its activities at the level closest to citizens. Even a State policy should also be carried out locally.
Find out about practices in other State sectors in the country.
Involve all territorial levels in the methodological processes for formulating cultural policy.
Try to set up local-scale activities and responsibilities.
Proximity
A cultural policy must define a mode of action that seeks to be close to individuals and organizations.
Think of all audiences, especially the least prominent or smallest.
Try to reach all these new audiences.
Cooperation
A cultural policy must envisage cooperation outside the cultural sector as such, both in processes and in the subsequent development of results.
Analyse relations between institutions.
Evaluate and separate the main existing problems.
Identify new working partners.
Involve them in formulating the cultural policy and in its outcomes.
Outline a new proposal for intersectoral cooperation between institutions. – 11 –
Transversality
A cultural policy must provide a framework and permanent arrangements for information and cooperation with other ministries and departments of the same institution (finance, community planning, education, social affairs, development, economic promotion, etc.).
Delegation or indirect management
A cultural policy must establish a policy to delegate management of some of the measures established.
Identify the services or equipment that could be (better) managed by other social agents.
Identify the agents capable of managing public services.
Information and communication technologies (ICTs)
A contemporary cultural policy must envisage the use of ICTs both in its formulation and in its outcomes.
Define mechanisms for online participation, debate, consultation, sharing and exchanging information, and so forth.
Provide a place for ICTs in research, creation, production, dissemination, training, mediation, communication and other processes.
Communication of culture
Aside from ICTs, it is important to know how to communicate effectively about cultural activities with the community, organizations, and so on.
Develop communication plans drawn up by specialists.
Think of the various audiences requiring appropriate communication strategies.
Professionalization and voluntary service
A cultural policy must increase the role of volunteers in its configuration and in its application. It must likewise give professional cultural managers their proper place.
Identify measures that further the professionalization of those active in culture.
Identify measures that reinforce the cultural volunteer sector (associations and others).
Training
It is important to train those in the public, private and voluntary sectors who will be active in culture.
Define training needs and possibilities/opportunities for finding responses within national and international bodies.
Define the skills needed: knowledge of the real social and cultural situation, cultural management, art, heritage and intercultural resources, and so on. – 12 –
International dimension
A cultural policy must have an international vision seeking stable ties of cooperation with other countries.
Evaluate the current status of international cooperation projects.
Identify new opportunities (agencies, projects, etc.).
Establish measures and relations for fostering international cooperation.
International organizations and declarations
A cultural policy must include in its discourse and measures the main lines of thought and action of international agencies (UNESCO and others).
Identify agencies, lines of work and documentary material of note.
Enhance the international dimension of culture.
Evaluation of cultural policies
A cultural policy and its results must be evaluated over the course of its implementation.
Define the evaluation indicators that might be applied.
Establish a general methodology, internal and external responsibilities, a timetable and a budget for evaluation.
ANNEX
Diagram for the Formulation of a Cultural Policy (according to Alfons Martinell, 1)
The formulation of a cultural policy follows a trajectory from the political decision of the originating institution to its application:
Starting point
(Identify the origin of and intent to formulate a cultural policy)
Appraisal
(Identify the current cultural policy)
Context analysis
(Identify the social, political, legal, cultural, institutional, etc., context)
Political options/Ideology
Identified needs to be Most urgent problems to addressed Requests and opinions resolve to consider
Short term Medium and long term
Formulation of the Initial measures to be cultural policy (Culture taken urgently Plan)
Setting up of the cultural policy: urgent measures + planning
1 Alfons Martinell Sempere, expert in cultural management and policies, is the director of the UNESCO Chair in Cultural Policies and Cooperation of the University of Girona, Catalonia.