BASIC TOOLKIT AND ETHICAL GUIDELINES FOR POLICY MAKERS – DRAFT FOR CONSULTATION │ 1 READ ME FIRST, PLEASE! What is this document? BASIC – the Behavioural Insights Toolkit & Ethical Guidelines has been developed by the OECD in partnership with Dr Pelle Guldborg Hansen of Roskilde University, Denmark. BASIC provides an overarching framework for applying behavioural insights to public policy from the beginning to the end of the policy cycle. It is developed as a repository of best practices, proof of concepts and methodological standards for behavioural insights practitioners and policymakers who have become interested in applying behavioural insights to public policy. Crucially, BASIC offers an approach to problem scoping that can be of relevance for any policymaker and practitioner when addressing a policy problem, be it behavioural or systemic (see stage 1 – Behaviour). The overview offers the rationale, applicability and key tenets of BASIC. The remainder walks practitioners through the five BASIC sequential stages with examples, and presents detailed ethical guidelines to be considered at each stage. This version benefitted from feedback provided by the participants in the Western Cape Government – OECD Behavioural Insights Conference held in Cape Town on 27-28 September 2018. Why are you sending it to me? Because we want to have your written feedback by 14 December 2018 so that we can make it a tool that meets the needs of practitioners across the world. Feedback should be sent to [email protected] and [email protected]. How can I help? Please provide feedback on BASIC’s: Usability: can you use BASIC for your work environment and policy area easily? Why? Or why not? Relevancy: does BASIC cover the key issues/questions/challenges you face when addressing a policy problem? What is missing? Are there any additions or subtractions that would make it more relevant for your work? Applicability: would you be able to apply BASIC to the design of a policy/intervention/regulation? If so, how? If not, what part(s) of BASIC make its application more difficult or not useful and why? You may wish to consider these questions generally based on your experience, or apply BASIC to a policy question you are currently working on as a ‘real world’ test for BASIC. And what happens afterwards? We have shared BASIC with a number of policy communities and practitioners. We will collect feedback, revise the toolkit and release it as an OECD publication. For Consultation 2 │ BASIC TOOLKIT AND ETHICAL GUIDELINES FOR POLICY MAKERS – DRAFT FOR CONSULTATION Table of contents BASIC OVERVIEW ............................................................................................................................. 4 Why a behavioural insights toolkit and ethical framework? ................................................................ 5 What is BASIC? ................................................................................................................................... 6 When to use BASIC? ........................................................................................................................... 7 How to use BASIC? ............................................................................................................................. 9 THE BASIC STAGES: Where to start when working with BI ...................................................... 12 Exploring the political, institutional and policy context .................................................................... 12 Want to set up team? Then consider… .............................................................................................. 13 Determining the policy level of the project ....................................................................................... 14 Checklist for scoping a behavioural insights project ......................................................................... 15 Stage 1: BEHAVIOUR - Identifying and defining the problem.......................................................... 17 Key steps to scoping a problem ......................................................................................................... 18 Ethical considerations ........................................................................................................................ 26 Stage 2: ANALYSIS – Understanding why people act as they do ...................................................... 28 ABCD – a framework for understanding why people act as they do................................................. 28 Using ABCD to analyse behavioural problems ................................................................................. 31 Ethical guidelines for understanding why people act as they do (ANALYSIS) ................................... 37 Stage 3: STRATEGIES – Effective strategies for behaviour change .................................................. 39 Methods for applying BI in Public Policy ......................................................................................... 39 Using the ABCD Framework to match analyses with strategies ....................................................... 40 Ethical guidelines for designing BI strategies for behaviour change (STRATEGIES) ......................... 62 Stage 4: INTERVENTION – Testing policy interventions ................................................................... 65 General features and concepts of the experimental approach ............................................................ 65 Learning ‘what works’ from experiments .......................................................................................... 71 The main steps for carrying out a BI-experiment .............................................................................. 75 Ethical guidelines for testing behaviourally-informed policies (INTERVENTION) ............................ 77 Stage 5: CHANGE – Implementing behavioural insights .................................................................. 80 Revisiting the political context and project level ............................................................................... 80 Important considerations for implementation and creating broader impact ...................................... 82 Ethical guidelines for implementing behaviourally-informed policy (CHANGE) .............................. 86 References ............................................................................................................................................ 87 Tables Table 1. Determining the level of the project ........................................................................................ 15 Table 2. Behavioural insights project scoping checklist ....................................................................... 16 Table 3. Priority filter questionnaire ..................................................................................................... 21 Table 4. Ethical guidelines for Stage 1: BEHAVIOUR ........................................................................... 27 For Consultation BASIC TOOLKIT AND ETHICAL GUIDELINES FOR POLICY MAKERS – DRAFT FOR CONSULTATION │ 3 Table 5. Ethical guidelines for Stage 2: ANALYSIS ............................................................................ 38 Table 6. Ethical guidelines for Stage 3: STRATEGY ............................................................................. 64 Table 7. Ethical guidelines for Stage 4: INTERVENTION ...................................................................... 78 Table 8. Ethical guidelines for Stage 5: CHANGE.................................................................................. 86 Figures Figure 1. The policy cycle ....................................................................................................................... 8 Figure 2. The BASIC framework ............................................................................................................ 9 Figure 3. Thinking Aid: Considering the level of the project ............................................................... 18 Figure 4. Behavioural reduction tool: Decomposing policy issues into behavioural problems ............ 19 Figure 5. Tool: Priority filters ............................................................................................................... 20 Figure 6. Is the behaviour studied a behavioural problem? ................................................................... 22 Figure 7. Behavioural pattern descriptions ............................................................................................ 22 Figure 8. Tool: Behavioural flowcharts ................................................................................................. 24 Figure 9. Tool: Selection filter .............................................................................................................. 24 Figure 10. The ABCD framework ......................................................................................................... 31 Figure 11. Aerial photo of Lake Shore Drive in Chicago ..................................................................... 49 Figure 12. Intuitively-coded prescription forms .................................................................................... 49 Figure 13. Prospect theory ..................................................................................................................... 53 Figure 14. Arranging choices – which do you prefer? .........................................................................