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. – 2 – 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? – 3 – 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,