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Tools For Policy Learning And Policy Transfer Def

Tools For Policy Learning And Policy Transfer Def



Tools for Policy Learning and Policy Transfer ...

Tools for Policy Learning and Policy Transfer

Supporting Regional Lifelong Learning Policies

Paolo Federighi, Marianne Horsdal, Helle Knudsen, Ekkehard Nuissl, Josu Sierra Orrantia, Francesca Torlone



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    Tools For Policy Learning And Policy Transfer Def Tools For Policy Learning And Policy Transfer Def Document Transcript

    • Research Project: Prevalet European Commission-Leonardo Da Vinci project EUR/05/C/F/RF-84802 Agreement 2005-2030/001-001 Research team Scientific Committee Carina Abrèu, Örebro University Paolo Federighi, Università di Firenze (Director of Scientific Committee) Ekkehard Nuissl von Rein, Duisburg Universität and Deutsches Institute für Erwachsenenbildung Regional governments research teams Andalusia Carmen Fernández-Salguero Suárez Andrés Martínez Goicoechea Basque Country Rosario Diaz de Cerio Josu Sierra Bulgaria – Vidin Elena Kasiyanova Aneliya Vlahovska Toscana Elio Satti Vejle Helle Knudsen Lisbeth Katrine Nielsen Marianne Horsdal Wales Richard Mulcahy Earlall Project Management Gloria Crosato Jenny Pentler Cristiana Picchi Methodological and technical support Samuele Borri Gianluca Ventani, Web design Francesca Torlone, Università di Firenze
    • Tools for Policy Learning and Policy Transfer Supporting Regional Lifelong Learning Policies Paolo Federighi, Marianne Horsdal, Helle Knudsen, Ekkehard Nuissl, Josu Sierra Orrantia, Francesca Torlone With contributions from Carina Abreu, Samuele Borri, Gloria Crosato, Rosario Diaz de Cerio, Carmen Fernandez Salguero, Elena Kasiyanova, Richard Mulcahy, Elio Satti
    • Bibliographic information published by Die Deutsche Nationalbibliothek Die Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data is available in the Internet at <http://dnb.d-nb.de>. The sole responsibility lies with the authors and the European Commission is not responsible for any use that may be made of the information contained therein. This work was carried out as part of the Prevalet Project, co-financed by the European Commission. © W. Bertelsmann Verlag GmbH & Co. KG, Bielefeld 2007 Production and distribution: W. Bertelsmann Verlag GmbH & Co. KG All rights reserved. No part of this publication may, in any P.O.Box 10 06 33, D-33506 Bielefeld way, be reproduced, translated, conveyed via an electronic Phone: (+49-5 21) 9 11 01-11 retrieval system, or duplicated, appropriated or stored Fax: (+49-5 21) 9 11 01-19 electronically in either tangible or intangible form without E-Mail: service@wbv.de the prior written permission of the publishers. The repro- Internet: www.wbv.de duction of trade names, proper names or other desig- nations, irrespective of whether they are labelled as such, Order no.: 6001860 shall not give rise to an assumption that these may be ISBN 978-3-7639-3580-2 freely used by all.
    • Summary Presentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1. Benchmarking in the Soft Open Method of Coordination – Josu Sierra Orrantia, Paolo Federighi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 1.1 The Soft Open Method of Coordination (SMOC) . . . . . . . . . . . . . . . . . . 9 1.2 Benchmarking in the SMOC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 1.3 Data available in Eurostat about Regions Nuts Level 2 . . . . . . . . . . . . . 11 2. Tools to be used for the analysis of the measures in lifelong learning policies – Francesca Torlone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 2.1 Defining common concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 2.2 Some key terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 2.3 Background surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 2.4 Policy measures analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 2.5 Study visits and peer monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 2.6 Policy learning outcomes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 3. Virtual support service for mutual learning – Francesca Torlone . . . . . . . . . . 51 3.1 Virtual service supporting the Soft Open Method of Coordination . . . . 51 3.2 Contents of the virtual support service . . . . . . . . . . . . . . . . . . . . . . . . . . 51 3.3 Planning a website for supporting policy learning processes . . . . . . . . . 53 3.4 Online service tool for mutual learning – the database . . . . . . . . . . . . . 54 3.5 The search engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 3.6 Background documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 3.7 Further sources and published works . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 4. The Initiation of Policy Transfer – Marianne Horsdal, Helle Knudsen . . . . . . 61 4.1 The project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 4.2 Selection of measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 4.3 The visits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 4.4 The important steps of policy transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 4.5 The wider perspectives of policy transfer . . . . . . . . . . . . . . . . . . . . . . . . . 65 Summary 5
    • 5. Indicators for quality management of policy learning and policy transfer – Ekkehard Nuissl von Rein . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 5.1 Network and governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 5.2 Implementation of quality management . . . . . . . . . . . . . . . . . . . . . . . . . 71 5.3 Quality management in transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 5.4 Quality management in the political process . . . . . . . . . . . . . . . . . . . . . 79 6 Summary
    • Presentation The “Prevalet” research programme has been designed to investigate in what ways the regional governments can upgrade the quality of policies affecting vocational education and training, and, more generally, lifelong learning, through transac- tional cooperation and mutual learning. This second volume is devoted to the presentation of the instruments and the methods, which can be used to practice mutual learning between Regions. This volume forms an integral unit with the first (Learning among Regional Governments. Quality of Policy Learning and Policy Transfer in Regional Lifelong Learning Policies, Bielefeld, 2007), which presented the theoretical and methodological bases of the proposal of a model of cooperation between regional governments, simplified in comparison with the Open Method of Coordination, but still capable of supporting policy learning and policy transfer. The proposed model is the outcome of an applied research initiative which has, over a period of two years, directly involved the regional governments of Andalusia, the Basque country, Tuscany (acting as coordinator), Västra Götaland, Vidin, and Wales, under the direction of Earlall and with the support of three research centres (Flo- rence University, Örebro University and the Deutsches Institut für Erwachsenen- bildung). Over this period of time (2005–2007), members of the regional govern- ments, civil servants and researchers have established a mutual learning process dealing with the policies of lifelong learning (initially dealing only with the areas of informal adult learning and the drop-out situation) and from there they moved on to the actual and effective transfer of concrete measures for the activation of the poli- cies. This process has been planned, monitored and assessed using suitable backup and observation tools. This has made it possible to gather a large quantity of empiri- cal material on both institutional learning pathways and on the more complex routes of policy transfer and innovation, based on transnational cooperation. The complex- ity and the time needed for the processes of policy transfer have lent support to the idea of including prior experiments undertaken by the actual regional governments involved in the research into the empirical material. This has been enormously use- ful, since it has made it possible to observe the phenomenon as it develops over the long term: cases occurring over a period of more than seven years have been recon- Presentation 7
    • structed. However, the cooperative and voluntary transfer procedures turned out to be smoother than expected, which means that in some cases it has been possible to directly observe the initial phases of the progress from policy learning to policy trans- fer over the course of the actual Prevalet project itself. The research concentrated mainly on the forms of cooperative and voluntary policy learning and policy transfer between regional governments, and it has been thanks to this approach that a proposal for the Soft Open Method of Coordination (SMOC) has been developed. The aim of this proposal is to arrive at a procedure described via its stages of progress, which will be backed by working tools used to analyse pol- icy and interchange information between the institutions, as well as web-based support services. The research has taken the purpose of policy learning to be the measures of the pol- icy, understood as the way in which the ideas and objectives of a policy are put into practice. This choice has been motivated by the consideration that, apart from the ideas, it is the measures that can more easily move from one country to another, overcoming resistance to the voluntary transfer of other objectives. An example would be the difficulty of transferring public regulations or systems, particularly in the field of education and training. The approach through measures had already been adopted by a comparative research programme promoted in 2005 by Isfol - Comparative Research on measures and actions to foster participation in Lifelong Learn- ing in four European countries (France, Germany, Sweden, the United Kingdom). Fol- lowing this, also on the basis of the positive results made possible by this approach, the same method was adopted by the Youth Research project (2007), the subject of which was youth policies in the 27 countries of the EU, which concluded by pro- viding support for the European Commission in its drafting of the flexicurity guide- lines. The same approach was also adopted by the comparative research carried out on policies relating to the older worker in Italy, Ireland and Denmark (Senior at work, 2006–2007) promoted by the Province of Livorno and in researching policies on innovation transfer (Costa della Conoscenza [The Cost of Knowledge], 2006–2007), promoted by Provincia Livorno Sviluppo [Leghorn Province Development]. The re- sults of the Prevalet research mean that they can now be implemented, and this will take place by the activation of an inter-regional mutual learning service supported by Earlall with database fed by members of the network (www.mutual-learning.eu). Inevitably a service such as this will have greater possibilities of usage and devel- opment if the European Union is able to and wishes to promote inter-regional cooperation in the area of lifelong learning policy as well. Carina Abrèu, Paolo Federighi, Ekkehard Nuissl von Rein 8 Presentation
    • 1. Benchmarking in the Soft Open Method of Coordination Josu Sierra Orrantia, Paolo Federighi 1.1 The Soft Open Method of Coordination (SMOC) In the SMOC model worked out and tested in the course of the Prevalet research (Federighi, Abrèu, Nuissl, 2007), the basic stages via which the coordination pro- cedure between regional governments are brought to a conclusion as policy learn- ing and policy transfer are broken down into the following principle phases: Box 1 – The SMOC model Policy learning: Institutional motivation Definitions of the reasons that cause governments to learn from others. Selection of the pathway for policy learning Definition of the type of relationship – indirect, direct, cooperative – to be established between institu- tional partners. Selection and analysis of measures Identification of the subjects to be studied with a view to the possible transfer and analysis of the de- vices and results achieved in prior experiments. Evaluation and adaptation of measures Evaluation of the policy measures from the viewpoint of transferring them to the destination country, assessment of their potential impact and their desirability and sustainability, and their possible suit- ability and partial or total conversion. Policy transfer: Creation of institutional conditions for transfer Preparation of conditions favourable to the introduction of innovations by the ‘importer’ institution via the creation of the desire for change in the institution itself, among the stakeholders and in the systems. The choice of the process for the transfer Choice of the type of process to be adopted: by inspiration, imitation, or adaptation through coopera- tion between the institutional partners. Benchmarking in the Soft Open Method of Coordination 9
    • Decision-making process of the transfer Activation of the decision-making process whereby transfer becomes possible, as well as through pro- gressive adaptations. Implementation of transfer Introduction of the innovations, standards, as an experimental procedure. Institutionalisation and follow up Adoption of the innovation and development of new policy measures and their progressive adaptation. 1.2 Benchmarking in the SMOC In the SMOC benchmarking can be a useful work method both at the ‘Institutional motivation’ stage and the ‘Evaluation and adaptation of measures’ stage. Benchmarking is a working method that supports improvements in regional policy, and therefore of the transfer of the measures associated with it, based on a compar- ison of the results of the effects produced. Benchmarking is no longer merely quan- titative, nor can it be restricted to a preliminary startup in the processes of coopera- tion between regional governments. Benchmarking has both quantitative and qualitative features and is a procedure that initiates rather than establishes a rela- tionship between institutions and continues even when the direct relationship has ended. When two regional governments decide to cooperate, it is because they have already acquired preliminary information regarding the potential partner and be- lieve that they can gain advantages from comparison and collaboration. At the quantitative level, the comparison that arises from the adoption of the benchmarking method involves the partners in a constant process of comparing concepts, measurement models and outcomes, both at the policy learning stage and, possibly, in the subsequent stages of policy transfer. Quantitative benchmarking implies a capability and ability to analyse a policy, or, more simply, a measurement of the basis of the results and the effect this has pro- duced. This type of exercise in Europe is still far from easy. The difficulties arise from the fact that only in a small number of countries policies and measures are measured, monitored and evaluated according to the effects produced. Approval and, to some degree, financial sustainability would appear to be the guiding criteria. The weakness and limited spread of the cultural effect of 10 Josu Sierra Orrantia, Paolo Federighi
    • policy based on the evidence of the results produced or which may be expected from the measures adopted makes a specific benchmarking exercise difficult. The automatic collection of data on the effects of lifelong learning policies and meas- ures is non-existent. This means that it is difficult to set up objectives for quantitative comparison and it would be a mistake to attempt to put something in the place of this cultural and historical missing part in the Regions, which are interested in initi- ating a coordination and collaboration process. The comparability of usable quanti- tative data at the conclusion on the assessment of the respective performances may be the result of the process, but not its starting point. If, for example, two regional governments intend to compare the results of their respective policies in the area of the promotion of mobility for reasons of study and work, the veracity of the results and how usable they are is greater if this takes place in the framework of a mobility po- licy cooperation procedure and a comparison of the areas of applicability, the targets, the concepts, the measures, and the instruments adopted by each for such a purpose. In our opinion this requirement will only meet with a useful and convincing re- sponse if the regional governments also cooperate in the construction of a large database, a tool for collecting information on the individual measures within life- long learning policies. It was intended that the work of the Prevalet project and the www.mutual-learning.eu website would be a contribution in this direction. What can, however, be achieved with some benefit is the collection and compari- son of the data that do exist, and of the standards relating to the performances of groups of policies (what are known as the Lisbon benchmarks). These procedures will reveal the educative conditions of the population more than the effectiveness of the individual measures adopted. In some cases this includes available data re- lating to the populations of the different regional territories which are therefore useful in providing a basic general idea of the educative conditions of the pop- ulations and the training systems involved. We shall then proceed to provide an example of the use made in the Prevalet research of the Eurostat sources relating to two European benchmarks and to the following Regions: Andalusia (Spain), Ve- jile (Denmark), Tuscany (Italy), Västra Götaland (Sweden), Wales (The United Kingdom), the Basque Country (Spain). 1.3 Data available in Eurostat about Regions Nuts Level 2 a. Definitions The two benchmarks selected are the following: Benchmarking in the Soft Open Method of Coordination 11
    • Lifelong learning. The percentage of the population aged 25–64 in education or training. Lifelong learning refers to persons aged 25 to 64 who stated that they received education or training in the four weeks preceding the survey (numerator). The denominator consists of the total population of the same age group, excluding those who did not answer to the question 'participation in education and training'. Early school-leavers. The percentage of the population aged 18–24 with, at most, lower secondary education and not in further education or training. Dropout (Data to be collected with specific surveys). – Percentage of students 14–16 years old enrolled in ISCED 2 not attending classes, without a justified reason, for one month or more and not having had a transferred file to another district. – Percentage of students 17–19 years old attending no training or educational ac- tivity. b. Early school-leavers: rate and evolution The data shown in Box 2 show comparative aspects of the educative conditions of a specific stratum of the population of each of the six Regions concerned. The use- fulness of this type of comparison is considerable, although the data represent the outcome of the policies implemented over preceding decades. Box 2 – Early School-Leavers Rate Total 2005 40.00 37.14 35.00 30.00 25.00 20.00 15.24 16.23 16.23 13.92 12.68 15.00 10.93 10.00 5.00 0.00 PAIS V ANDAL EU–25 TOSCA VASTG WWAL EASTW Explanation: TOSCA: TOSCANA (I) PAIS V: BASQUE COUNTRY (E) VASTG: VÄSTRA GÖTALAND (S) ANDAL: ANDALUSIA (E) WWAL: WEST WALES (UK) EU-25: EUROPEAN UNION, 25 MEMBERS EASTW: EAST WALES (UK) 12 Josu Sierra Orrantia, Paolo Federighi
    • The data shown in Box 3 show elements that can be used to assess the effect of the policies adopted during the course of the period in question. For the purposes of assessing the effects of policies, this type of data is more interesting, even though the results may depend on the aggregation of more political measures and on macroeconomic factors. Box 3 – Early School-Leavers Rate Total Evolution EVOLUTION 45.00 40.00 35.00 2000 30.00 2001 25.00 2002 20.00 2003 15.00 2004 10.00 2005 5.00 0.00 PAIS V ANDAL EU–25 TOSCA VASTG WWAL EASTW c. Lifelong learning participation: rates and evolution The data shown in Box 4 show comparative aspects of the educative conditions of a specific stratum of the populations of each of the six Regions in question. The usefulness of this type of comparison is considerable, although the data represent the outcome of the policies implemented over preceding decades. Box 4 LIFELONG LEARNING PARTIC.Rate – TOTAL 2005 35.00 32,42 27,21 27,40 * Vejle 30.00 24,42 Region is 25.00 represented by Denmark 20.00 (DENM). 12,65 15.00 9,50 10,23 10.00 6,91 5.00 0.00 PAIS V ANDAL EU–25 TOSCA VASTG WWAL EASTW DENM Benchmarking in the Soft Open Method of Coordination 13
    • The data shown in Box 5 show elements that can be used to assess the effect of the policies adopted during the course of the period in question. For the purposes of assessing the effects of policies this type of data is more interesting, even though the results may depend on the aggregation of more political measures and on macroeconomic factors. Box 5 LIFELONG LEARNING PARTICIPATION RATE, EVOLUTION 35.00 30.00 2000 25.00 2001 20.00 2002 15.00 2003 10.00 2004 5.00 2005 0.00 PAIS V ANDAL EU–25 TOSCA VASTG WWAL EASTW DENM Note: *Break in series 2003 VASTG, Wales, Denmark, 2004 Toscana, 2005 Basque, Andalusia due to me- thodological reasons. References Arrowsmith, J., Sisson, K. and Marginson, P. (2004), What can ‘benchmarking’ offer the open method of co-ordination?, Journal of European Public Policy 11:2 April 2004: 311–328 European Commission (2007), Growing Regions, growing Europe – Fourth report on economic and social cohesion, Luxembourg, Office for Official Publications of the European Commu- nities Federighi, P., Abreu, C., Nuissl, E. (2007), Learning among Regional Governments. Quality of Pol- icy Learning and Policy Transfer in Regional Lifelong Learning Policies, Bonn, W. Bertelsmann Verlag Koellreuter, C. (2002), Regional Benchmarking and Policymaking, BAK Basel Economics, adapted and further developed version of the paper entitled “Regional Benchmarking: A tool to improve regional foresight”, presented by the author to the European Commission’s STRATA-ETAN Expert Group “Mobilising regional foresight potential for an enlarged EU”, of which he was a member, on 15 April and 23/24 September 2002 in Brussels 14 Josu Sierra Orrantia, Paolo Federighi
    • Owen, J. (2002), Benchmarking for the learning and skill sector, London, Learning and Skills Development Agency Page, Edward C. (2000), Future Governance and the Literature on Policy Transfer and Lesson Draw- ing, ESRC Future Governance Programme Workshop on Policy Transfer, 28 January 2000, Britannia House, London Benchmarking in the Soft Open Method of Coordination 15
    • 2. Tools to be used for the analysis of the measures in lifelong learning policies Francesca Torlone 2.1 Defining common concepts Policy learning requires that all the terms, keywords and concepts underpinning and used in the procedure should be common and shared. In the model of the Soft Open Method of Coordination between regional governments, in order to fully un- derstand “what is politically possible and desirable” (Laffan and Shaw, 2005) it is important that instruments and devices underpinning mutual learning be pre- pared at the policy learning stage. Encouraging and promoting awareness of, and learning from, experience gained in other local contexts is reminiscent of the concepts found in the ‘soft system of governance’ (Trubek, Cottrell and Nance, 2005), and of “discursive regulatory mechanisms” (Jacobsson, 2004), which are capable of producing “a more subtle impact” within the systems of government concerned. For this reason the compo- nents of these mechanisms have been identified by Jacobsson (2004:2): 1. joint language use (key concepts and discourse, like lifelong learning, measure, policy for the reduction of drop-out and non-formal adult education) 2. development of common classifications and common operationalisations (like indicators) 3. building of a common knowledge base (including collection and standardisa- tion of statistics) 4. the strategic use of comparisons and evaluations (benchmarking and good practices) 5. diffusion of knowledge and evaluation results, combined with social pressure (…) and time pressure. Tools to be used for the analysis of the measures in lifelong learning policies 17
    • This means that policy learning is closely connected to a number of factors, such as: the use of a common language including concepts, words and subject areas re- ferring to one or more areas of joint action; the development of shared classifica- tions fulfilling requirements in the reading and interpretation of the information from a perspective of comparison; the production and exchange of knowledge, concluding in an awareness of the details of the solutions adopted; the availability and use of comparative studies and evaluation of documents regarding policies and the individual measures adopted. A further component to which policy learn- ing is connected turns out to be ‘meaning making’ understood as a “social activity that is conducted jointly – collaboratively – by a community, rather than by indi- viduals” (Stahl, 2003:523). This lays the foundations for ‘institutional learning’ characterised by “an exchange of ideas and beliefs (cognitive and/or normative ori- entations), skills, or competencies as a result of the observation and interpretation of experience” (Hemerijck and Visser, 2003:5). Laid out in this way, the learning of the institutional players who are responsible for the innovative actions, is introductory and functional in the process of policy transfer in the cooperative model suggested here. 2.2 Some key terms Within the field of research restricted to training and permanent learning policies we can identify some keywords (although the list is far from complete), regarding which it may be useful to concentrate our efforts on arriving at common defini- tions, among the systems in which the devices and contents are applied. With these keywords in mind, the following pages will investigate in depth the method- ological approaches and instruments of use to the institutional players in the vari- ous stages in which the process of coordination between the levels of regional gov- ernment is articulated. The concept of measure (also covered in chapter 2.4) is useful because in the first place it allows the subject of the possible policy transfer to be identified. Moreover, it is certainly this concept which represents the aim of ensuring that it is possible to measure the result achieved by a policy, by the ways in which it is implemented and by the strategies adopted (in the short, medium and long term) by the various regional governments for the purpose of recognising and affirming “the right to an education for the entire population” (Federighi, 1990:53), in the light of the effect that a measure has (or has had) on a territory and of the ‘institutional solution’ it represents in a given local context. The concept of measure in the policies of life- 18 Francesca Torlone
    • long learning calls to mind that of ‘learning policies’ which define the general and specific goals for the action and, according to that, resources, time frame and power/roles of the main actors. The learning policies are then activated by the measures which achieve its objectives, either individually or in combination (in this latter case the pursuit of more objectives can be ensured by the addition of more measures). The problem arises of the definition of the areas of application of mutual learning. The differences between the training concepts and training systems are often an obstacle to communication. In the Soft Open Method of Coordination little is to be gained by establishing the objective of achieving a complete, in-depth understand- ing of the reasons for the difference; what is useful, however, is to understand in what way it may be possible to create concepts for common use. Below we show two examples which fulfilled the initial requirements for inter-regional coopera- tion in the framework of the Prevalet project. The term ‘policy for the reduction of dropouts from the formal education system’ is used to refer to regional policies – in the field of education, training, labour, social policies and so forth) aiming to influence the drop-out rate reaching a formal cer- tification in the education and training system. These policies are targeted at: – Students 14-16 years old enrolled in Isced 2 not attending classes, without a jus- tified reason, for one month or more and not transferred to another district – Students 17-19 years old attending no training or educational activity. By “policy for non-formal adult education” we mean regional policies devoted to in- creasing the standard of participation in lifelong learning activities of people more than 24 years old through learning organised activities not ending with a diploma or a professional certificate. The examples of investigation and context instruments, available in this volume, refer to actions and strategies connected, to some extent, to policies related to dropouts and non-formal education. 2.3 Background surveys The analysis of the quality and effectiveness of the measures used in policies relat- ing to training and lifelong learning is the focus of the research activities, and has led to the creation and development of instruments underpinning regional policy learning. This analysis cannot, however, proceed without a context study which fac- Tools to be used for the analysis of the measures in lifelong learning policies 19
    • tors in the functions of the policy, the institutional bodies involved in defining and implementing this policy, and the respective roles and tasks formally assigned according to the wide range of institutional and administrative facilities that char- acterise the actual regional European situations. Without wishing to waste time with studies of the systems (which are numerous and freely available: an example is the OECD survey of 2003), consideration should, however, be given to the nor- mative, organisational and financial development of lifelong learning systems, since a knowledge of the permanent learning and training systems is of crucial importance, as it is within these systems that action practices are to be found de- signed to achieve the triple objective of personal development, social cohesion and economic growth in complex modern societies (OECD, 1997). The beneficiaries of public policy are often ‘marginal’ user groups, in the majority of cases those who are of little economic value since they are “non-active individu- als” in the labour market, and unconnected, for a variety of reasons, with habits of study, with training facilities and centres of cultural encounter and participation. A considerable portion of the policies and measures covered in the survey is directed at these groups; the measures and policies are located in the context of a standard- ised system framework intended to promote learning from pre-school to post-re- tirement, and cover the whole range of formal, non-formal and informal learning methods (Council of the European Union, 2002; European Commission, 2006). The background analysis therefore mirrors an approach that is open to gathering data from, and sharing data with, the normative and regulatory sources to be found within state and local government, and not excluding arrangements where codified standards are absent. What needs to be stressed here is the match between the var- ious institutional bodies and the consequent distribution of powers (with areas of independence described in a variety of ways, according to the recent devolutionary procedures which have taken place in various countries) and the specificity of re- gional policy making and decision making. The documentation and analysis of the context pay particular attention to policies aimed at the re-inclusion of labour mar- ket dropouts and training, as well as increasing the participation of adults in non formal educational activities. The background analysis is the result of the sharing of a survey model (included below) used by the research bodies in each of the territories concerned. As an example, we include the document describing the non-formal education policies implemented in institutional facilities in the Basque Country. The documentation produced on the backgrounds is available at www.mutual-learning.eu (about which more in-depth details will be provided in chapter 3). 20 Francesca Torlone
    • Box 6 – Background documentation survey model for collecting and analysing con- text sources Index 1. Main policies at national level 2. Role of institutions (State, Regions, Counties, Communes): competences, financial power 3. Organisation and structure of the system 4. Suppliers 5. Programmes and activities 6. Services 7. Policy of demand 8. Personnel Comments 1. Main policies of adult learning at national level Goals and strategy Laws, regulative decisions (decree, agreements, etc.) Supporting documentation 2. Role of institutions Information and short description about the task and role of each one of the institutional actors: (State, Regions, Communes, etc.) concerning legislation, planning, programmes, contents, etc. Supporting documentation 3. Organisation: actors per system and functions Description of the structure Supporting documentation 4. Suppliers Description of who is responsible for delivery Supporting documentation 5. Programmes and activities Description of the typology of programmes and activities Supporting documentation 6. Services Services Functions Organisation Suppliers Financing Demand Motivation Information Guidance Validation Certification Others Supply Quality control Distance learning Resource centres Teacher training Supporting documentation Tools to be used for the analysis of the measures in lifelong learning policies 21
    • 7. Policy of demand Description of policy aimed at supporting individuals at financial level, and intervening on other fac- tors facilitating the expression of individual demand (e.g. personalisation) Supporting documentation 8. Personnel Selection and description of measures concerning the personnel involved in the implementation of the policy Supporting documentation Box 7 – Example of the compilation of the abovementioned model respecting the background context of the non-formal education policies in existence in the Basque Country1 Author: Rosario Diaz de Cerio Non-formal adult education in the Basque Country Comments Main policies at regional level Goals and strategy The Basque strategy in the field of lifelong learning was defined in the White Paper approved by the Basque Cabinet in 2003 with the aim of providing people of all ages, active or inactive the opportunity to design their own lifelong learning itineraries and to undertake learning experiences in formal, non- formal and informal contexts, in line with their itineraries. The strategy was conceived for the entire regional society by all Basque institutions, with the participa- tion of society as a whole, through its structures and from all levels. The mission the Basque institutions must assign themselves with regard to the vision of the Basque Country as a learning Region consists in assuring that all residents of the Basque Country have a real opportunity to learn, in a different, more flexible way adapted to their needs. The idea is to attract more people to learning, by making it increasingly attractive, better acknowledged and more valued socially. The specific objectives defined in the White Paper in relation to non-formal adult training policies are the following: Specific objectives linked to social inclusion: 1. Define the basic competence levels people need to have for their personal and professional develop- ment in the knowledge-based society; 2. Ensure that the entire population, and particularly the underprivileged sectors, have the chance to acquire and develop these basic competence levels and skills; 3. Ensure that everyone and particularly the underprivileged, have access to information, mediation, guidance and tutoring; 4. Facilitate the access of the immigrant population to basic training, particularly as regards social and linguistic spheres, that help them to integrate; 1 The information was updated in December 2006. 22 Francesca Torlone
    • 5. Give priority to have access to information, by giving everyone, and in particular the underprivileged, basic ICT skills; 6. Reduce the number of people who leave the educational system without basic qualifications and look for suitable ways to assure that such people acquire basic competence; 7. Promote online training, with quality guarantees, flexibility and the access of handicapped people or people from zones with little chance of access to learning; 8. Facilitate the necessary public and private resources and investments, including the possibility of tax measures to provide incentives for investment in such resources; 9. Recognise competences achieved through non-formal or informal ways. Specific objectives related to active citizenship: 10. Encourage people to participate throughout their lives in organisations of social, socio-economic and political interest, (NGOs, volunteer work, political parties, trade unions and business associa- tions, etc.) and in cultural foundations and associations; 11. Inform everyone about their social, economic and political institutions and facilitate knowledge of their rights and duties, as active members of society; 12. Facilitate knowledge of our milieu, language and culture, particularly among immigrants. Laws, regulative decisions (Decrees, Agreements, etc.) – White Paper on Lifelong Learning – Decree 298/2002, 17 December, regulating aid for the implementation of lifelong learning initia- tives (Official Journal of the Basque Country no. 248, 30 December 2002) – Decree 143/2004, 13 July, regulating the general framework to encourage learning foreign lan- guages through multimedia systems (Official Journal of the Basque Country no. 141, 26 July 2004) – Decree 70/2004 of 27 April regulating the examinations for qualification as a Specific Vocational Training Technician and Higher-level Technician (Official Journal of the Basque Country, 5 May 2004) – “The Basque Country in the Information Society” Plan – Agreements with Provincial Councils. 2. Role of institutions Information and short description about the task and role of each one of the institutional actors: (State, Regions, Commune, etc) concerning legislation, planning, programmes, contents, etc. Legislative Planning Financing Curricula Others steering State Regions X X X X Counties X X X X Communes X X X Since non-formal education does not lead to formalised certification, the Basque Autonomous Com- munity, through the Basque Parliament and the Basque Government Cabinet, can regulate and plan the policy in relation to this matter on its own. Similarly, the three Provincial Councils of Araba, Bizkaia and Gipuzkoa can do that through their Government Cabinets and “Juntas Generales” (County Parliament). Tools to be used for the analysis of the measures in lifelong learning policies 23
    • Supporting documentation: www.euskadi.net/eeuskadi www.euskadi.net/etengabeikasi www.euskadi.net/lanbidez 3. Organisation: actors per system and functions Description of the structure Actors: NGOs, VET centres, specific adult education centres, universities, municipalities, provincial councils, enterprises, entrepreneurs or unions confederations/associations, development agencies, etc. Functions: They develop the measures foreseen in the regulations or agreements and are subsidized by the Basque Government according to those regulations. Provincial councils and municipalities de- velop their own measures with their own resources or subsidised by the Basque Government or/and ESF. 4. Suppliers Description of who is responsible for delivering Please see section 3. 5. Programmes and activities Description of the typology of programmes and activities Programme and Type of activity 5.1 “Basque Country in the Information Society” Plan The plan's overall strategic goal, which will guide these actions, is to adapt Basque society to the new digital age, promoting cultural change and placing the new technologies at the service of all, to achieve greater quality of life and social balance and to generate value and wealth in our economy. Strategic lines: Internet for all Digital enterprise Administration on line Euskadi on the Net E-training E-health Contents In order to integrate the Basque Country efficiently into the Information Society, the Plan pursues the harmonious and balanced development of the areas of action that will form the model for progress: users, utilising and creating contents, contents and services, contributing value to Inter- net and context enabling users to access contents and services. This Plan foresees a wide variety of measures, including subsidies for citizens (in order to raise the number of computers at home connected to the Net) and for enterprises (especially small and micro businesses, to improve their competitiveness) to purchase computers or renew their equip- ment. 24 Francesca Torlone
    • A key line of the plan is the “KZGuneak” network. In the majority of the municipalities in the Basque Country (no matter the number of inhabitants) there is a free access training centre (KZ- Gunea) where ITC training is provided and free use of Internet is available for everyone. More information at www.euskadi.net/eeuskadi 5.2 Lifelong Learning actions Decree 298/2002, 17 December, regulating aid for the implementation of lifelong learning initia- tives (Official Journal of the Basque Country no. 248, 30 December 2002). Aim of the Decree: To regulate subsidies for NGOs, VET centres, specific adult education centres, universities, municipalities, provincial councils, development agencies, enterprises, with the aim of developing non-formal learning/training activities targeted at anyone aged 25 or over. Kind of Activities: – Specific lifelong learning activities with the aim of fulfilling the training needs of a specific group of people due to their lack of qualifications, their interest in a specific subject, their situation con- cerning social inclusion or active citizenship or other kind of interest (e.g.: workshops targeted at people with serious social difficulties in order to improve their conditions for social inclusion, specific courses for disabled people and retired people, courses of general interest (cooking, transversal competencies, ecology, natural resources sustainability, etc.) ITC resources centre as a social integration tool). – Global intervention projects for a municipality or group of municipalities. Those projects are based on “learning mediation service” (“the learning mediator” was referred to in the Commis- sion Staff Working Document: Lifelong Learning Practice and Indicators - SEC (2001) 1939, Brussels 28/11/2001). That service aims: To build and maintain updated comprehensive information about all kind of training (for- mal, non-formal) provided in that geographical area; To provide learning guidance to any citizen aged 25 or more who wants to improve their skills and especially to those with social difficulties, taking into account his/her learning in- terests and needs; To proactively promote the idea of lifelong learning and enhance both, training supply and demand; To promote, design and develop training activities when the training need is not fulfilled by anyone else. 5.3 www.hiru.com lifelong learning website The aim of the website is to provide educational contents (free access) with the aim of making access to knowledge for everyone easier. Those contents include mathematics, geography, chem- Tools to be used for the analysis of the measures in lifelong learning policies 25
    • istry, history, sciences, literature, etc. Besides, there are other contents related to free time, healthy habits, environment, cinema, music, services offered by public administrations, consumer organi- sations, etc. It is not necessary to have Internet access at home, taking into account that there is the “KZguneak” centres network centres with free access to Internet in the majority of the municipal- ities. Since January 2005, it has been possible to learn foreign languages (English, French, German and Italian) through this website. It can be done online or with CDs and the students can learn on their own or be helped by a tutor. This programme is regulated by the Decree 143/2004, 13 July, regulat- ing the general framework to encourage learning foreign languages through multimedia systems (Official Journal of the Basque Country no. 141, 26 July 2004). It is foreseen that alongside continuing to improvement and updating of the existing content and including new ones, new courses will be available. So, any user of the website could design his/her training pathway, with the different courses that he/she is doing, improving his/her knowledge and skills in a non-formal and flexible way, compatible with his/her job and family life. 5.4 System for the assessment and recognition of skills achieved by non-formal or informal means The Autonomous Community of the Basque Country, through the Basque Government Depart- ment of Education, Universities and Research, and specifically on the initiative of the Office of Vocational Training and Lifelong Learning, was the first Autonomous Community in Spain to set up a System for the Recognition of Professional Skills. In this respect, the remit of the Basque Agency for the Assessment of Competence and Quality in Vocational Training is to oversee and monitor the start-up of this System for the Recognition of Pro- fessional Skills, in line with Decree 70/2004 of 27 April regulating the examinations for qualifica- tion as a Specific Vocational Training Technician and Higher-level Technician (Official Journal of the Basque Country, 5 May 2004). Further information is available on the following website: www.euskadi.net/lanbidez/agencia 5.5. Learning Accounts Developed by the Provincial Council of Gipuzkoa and the Basque Government (Departments of Ed- ucation and Labour). They have been carrying out four kinds of experiences aimed at four different target groups: – TXEKIN: The goal was to provide guidance to young people so that they will be able to deal with business issues and manage small companies – IKASTXEKIN: Training in ICT and on emotional intelligence for Secondary Education teachers – TXEKINBIDE: Training in ICT for unemployed people – EMAWEB – EMAWEB +: Training in basic ICT (digital literacy) for women who have been out of the labour market for a very long time. It has been proved that learning accounts/vouchers are a valid instrument to act on concrete target groups (rather than the general public). The experience has had too little scope to allow generalisation. It would be desirable to target new groups, involve more stakeholders and invest larger amounts, using new instruments. 26 Francesca Torlone
    • Now research on alternative ways to finance lifelong learning (non-formal) is being carried out in relation to taxes, specific bank accounts for learning, etc. Further information is available at www.gipuzkoa.net/ikasmina 5.6. Courses offered by provincial councils or municipalities These are programmed activities in ICT, guidance, art, music, cinema, photography, theatre, mete- orology, astronomy, wines, travelling, self-esteem, craftsmanship, etc. The courses are organised by the provincial councils or municipalities and financed by their own resources or subsidised by the Basque Government or, sometimes, ESF. Usually they are targeted at people of a certain age and the content is usually adapted to the course’s target group. Further information is available at www.vitoria-gasteiz.org Supporting documentation: www.euskadi.net/eeuskadi www.euskadi.net/etengabeikasi www.euskadi.net/lanbidez/agencia www.euskadi.net/lanbidez www.hiru.com www.vitoria-gasteiz.org www.gipuzkoa.net/ikasmina 6. Policy of demand Description of policy aimed at supporting individuals at financial level, and intervening on other fac- tors facilitating the expression of individual demand (e.g. personalisation). All the programmes and activities described in section 5 are free, except for some activities organised by municipalities. In those cases the price is affordable. As mentioned in section 5.5, there is limited experience concerning learning accounts/vouchers. In those cases students can choose the training provider but not the kind of guidance or training. 2.4 Policy measures analysis 2.4.1 Definition The decision to direct research at the analysis of measures rather than the analysis of the systems and policies was dictated by the need to provide instruments for as- sessing the effects of the policy before it is actually adopted, which would support more effective policy making. In the process of policy learning and policy transfer, the ‘measure’ is understood as an instrument used to implement a policy and described by a significant proportion of the components of the policy itself Tools to be used for the analysis of the measures in lifelong learning policies 27
    • (Federighi, 2006:135): beneficiaries, objectives, institutional responsibility for im- plementation, investment, monitoring and assessment systems, etc. The concept of the measure is not new, since it is widely used in the area of labour policy to identify the devices via which actions are implemented designed to increase flexi- bility, sustain the income of the unemployed, etc. Measures are instruments or provisions for implementing public policy (although studies are now in progress testing their use in the field of private policy). In order to identify them reference can (initially) be made to the normative instruments governing the implementation of given policies. However, measures can also be identified in laws, decrees, standards, plans, pro- grammes, inter-institutional agreements or agreements with sectors of society. On occasion, at the stage of policy experimentation, they may also be present within special projects. The concept of the measure is also to be found in the Regulations and documenta- tion laying down European Social Fund programmes, where the term ‘measure’ is used to mean “the instrument whereby a priority direction is taken to be followed through a period of time of a number of years and which renders the financing of the operation feasible”2. By means of a similar approach it becomes possible to correlate the general princi- ples dictated by policy to the specific terms and conditions of action of the policy itself facilitating the evaluation of the measures, individually and in combination with other measures and devices. This renders more feasible the transfer of meas- ures, devices and 'best practices' in contexts other than the original ones, possibly with adaptations and adjustments to the regional and local transfer contexts. It is recognised that regional and local governments play a determining part in defin- ing, activating and implementing education policies, with respect to, and in compliance with, the constitutional and administrative power of the central level (European Commission, 2001). Adopting a similar approach requires that the elements (whereby the measures can be described) be identified in order to under- stand how the policy works and acts in a given territory, with reference to the ben- eficiaries in question and to meet specific requirements. Evaluation and monitor- ing tools, where they exist, can then be used to assess the effectiveness of a measure (or a group of several measures) in terms, for example, of the success of the beneficiaries, the achievement of the objectives, and the fair allocation of 2 The definition can be checked on the European Commission website. 28 Francesca Torlone
    • financial resources. The minimum elements necessary to identify a measure can thus be summed up as follows: • Objectives • Beneficiaries • Institutional levels responsible for implementation • Devices and procedures • Implementation time • Costs or investment • Evaluation and monitoring devices. With this in mind, an analysis grid has been prepared, to be used to describe the individual elements making up the measures and devices used in the regional con- texts represented within the international work group. This grid, which has also been tested in previous comparative research (Isfol3), has been used as the main survey took in international analyses (Project Livorno: a knowledge province for senior at work4; Project La Costa della Conoscenza (The Cost of Knowledge5); Comparative re- search – YOUTH – Young in Occupations and Unemployment: Thinking of their better integration in the labour market6), is the outcome of an ongoing refinement proce- dure, even though the requirements of information comparison and capitalisation tend to pressure it towards standardisation. The use of the descriptions of the pol- icy measures between the regional government institutional frames of reference and research centres involved in policy learning activities facilitates mutual learn- 3 Comparative research, promoted in 2005 by Isfol, “Supporting participation in permanent learning” was funded by the Ministry of Labour in the framework of the European Social Fund. The aim was to identify and analyse the measures and actions undertaken, or in progress, in France, Germany, the UK and Sweden, in- tended to support the inclusion in a range of permanent learning frameworks of disadvantaged social groups and individuals, with their employability taken into account, with a view to avoiding new forms of exclusion affecting the adult population most at risk of marginalisation. 4 The research project entitled “Project Livorno: a knowledge province for seniors at work” (2006) was funded in the framework of Actions of an Innovative Nature funded under article 6 of the European Social Fund and promoted by Livorno (Leghorn) province. The aim is to comparatively analyse measures in existence in Denmark, Italy and Ireland in policies aimed at promoting active ageing. 5 The project entitled “La Costa della Conoscenza (The Cost of Knowledge)” (2006-2007), funded in the framework of Community Initiative EQUAL Stage II, was intended to upgrade the occupational qualifications of workers at risk of marginalisation in the labour market via continuous and permanent training actions in the five provinces of coastal Tuscany, to invest in the growth of human resources by con- tributing to the relaunch of competitiveness in the entrepreneurial fabric. 6 The research project YOUTH (2007) was funded by the European Commission and promoted by Isfol. The aim was to carry out a qualitative and quantitative survey on policies and measures in existence in Denmark, Germany, Italy, the Czech Republic, the UK, Romania, and Hungary in support of the greater and better employability of the young between 15 and 30 years of age, taking flexicurity as the main guiding principle in the study of the measures and devices in question. Tools to be used for the analysis of the measures in lifelong learning policies 29
    • ing procedures, including where survey indicators are involved, which demon- strate the effectiveness encountered in the field of the activation of the measures and the evaluation of the effect which the policies have on the reference targets. The most important thing in compiling the analysis grids is to supply information that is summarised, but structured as regards descriptors, sources, data (including qualitative data, particularly as regards expenses and costs involved in the spread of a measure), which help in the understanding of each individual measure in a given context, and as an expression of a given policy (or several policies, in the case in which a range of different types of action are combined to give rise to aggregate measures) which guide the management of economic development in a local and regional context and promote the introduction of elements of change at the re- gional levels of government. The most complex information to identify is that related to the evaluation of the effect of a measure. In rare cases governments undertake predictive analyses of the effects before adopting a measure, and still more rarely, impact evaluation studies can be found relating to specific measures. Even where they exist it is unusual to find them provided with historical data series. This means that foreshadowing the effect of a measure when a government has decided to proceed with its transfer is all the more complex. Evens so, collecting the rare references to studies and evaluations – even if they relate solely to costs and results – is always of at least some use. The model of the grid used by the Prevalet research group is shown below in all the sections, showing for each section the nature of the information to be included. 2.4.2 Grid to be used for the description of the Measures selected A. General information about the measure Measure Local name (in English and in the native language) 1. Main policy Involved policies (Being the measure the instrument a policy is being implemented and put into practice through, this section provides a few lines describing the policy/policies the measure is related to. For instance, if a measure which aimed to develop linguistic skills for immigrants is selected and analysed, social policies, labour policies, etc. can be mentioned) 2. Beneficiaries (A few words for each type of beneficiary. This includes direct and indirect beneficiaries) 30 Francesca Torlone
    • 3. Abstract 3.1. Definition (Definition of measure should have the format of a glossary definition including the explanation of the key words included in the definition of the measure. This will help in understanding the main instruments and components needed for implementation) 3.2. Goals (Describe the kind of goals that can be reached by implementing the measure. Goals could be general but not too much as they have to show for what kind of purposes the measure can be useful) 3.3. Contents (Describe each one of the instruments and components of the measure. For instance the Individual Learning Account can (or can not) include guidance services as compulsory – or not compulsory –, a certain amount of money, freedom of choice of learning supply, etc.) 4. Expected specific effects and outcomes (This section should contain a list of expected outcomes – different kinds of – and detailed qualitative and quantitative information. For instance, it is useful to mention the number of people that can be reached by one individual or combined measure(s), the kind of behaviour that can be produced – commitment in learning, involvement in associative life, etc.) 5. Institutional Levels involved and respective functions (national, regional, local) (Each of the institutional levels involved in adopting, implementing, developing, evaluating the measure should be identified and briefly described in its roles and tasks) 6. Access (description of the procedure) (This section should contain information on how beneficiaries can have access to the measure, the planned procedure beneficiaries are to follow in order to be involved in the policy) 7. Suppliers (Information on each one of the organisations involved in the delivery of the measure are to be included in this section. Original name and a synthetic description of their function should be included as well) 8. Cost analysis (This section should provide information on the cost per ‘unit’ of the measure, for example: For direct costs • Cost per participant • Cost per learning hour • Cost per day • Start up investment • ……. For non-direct or opportunity costs • Cost for participants • Cost for employers • …….) Tools to be used for the analysis of the measures in lifelong learning policies 31
    • B. Instruments 9. Instruments of the measure (This section contains the description of the concrete components of a measure that can be found in the ac- tion produced by the policy: i.e. facilities, contents, trainers, financial resources, methods, etc.) C. Information about the context of the measure 10. Costs of the measure (This section is about the total amount per year and the total number of beneficiaries per year) 11. Complementary measures (if applicable): (This section provides information about the measures that must be implemented at any moment – diachronic or synchronic – to reach the goal of the measure. If the case, for each measure the information on definition, goals, contents has to be given) D. Information about the evaluation of the measure 12. Results and effects evaluations (Conclusions of the most relevant evaluations are given in this section) 13. Documentation (concerning previous points) – Printed material (Please, follow the “American format”: Family name, Name, (year), Title, Town, Pub- lisher, pages) – Online sources 14. Research (references): – Printed material (Please, follow the “American format”: Family name, Name, (year), Title, Town, Pub- lisher, pages) – Online sources 32 Francesca Torlone
    • 2.4.3 A compiled model grid As an example, the descriptive grid for the ‘Project TRIO’ measure, adopted in the Tuscany region7, is shown below. A. General information about the measure Measure Local name: Progetto TRIO English name: TRIO Project Author – Elio Satti 1. Main policy Involved policies The main policy is Lifelong Learning Policy and consists of strategies to foster a learning-for-all culture through direct measures to motivate (potential) learners and raise overall participation levels by mak- ing learning more desirable in terms of active citizenship, personal fulfilment and/or employability. 2. Beneficiaries TRIO is a web-learning system made available by the Tuscany Region for all its citizens, an e-learning portal for everyone. 3. Abstract 3.1. Definition TRIO is a web-learning system covering different fields of interest including Professional and Busi- ness Training, School and University Education, Advanced Technology and General Culture, each supported by quality contents and highly interactive services. TRIO is based on a course catalogue system and an e-learning platform, offering a number of services such as online tutoring, virtual classrooms, mailing lists, chat, FAQ, help desk, newsletter and many more. Today TRIO offers a course catalogue of about 875 listings and plans to reach a full 1,000 learning products in the year 2008. TRIO's courses are characterised by considerable multimedia and hyper- textual contents. The user proceeds through learning pathways supported by audio and video tech- nologies, frequent use of images, easy internal navigation according to the most advanced user friendly and intuitive interface accessibility. 3.2. Goals • Improve quality of working skills. • Meet the increasing demand for learning support. • Offer constant update of professional skills. • Favour the alignment of school reality and business requirements. • Supply technological and learning tools to the Public Administration in order to sustain the de- velopment of an e-government. 7 Data updated in December 2006. Tools to be used for the analysis of the measures in lifelong learning policies 33
    • 3.3. Contents • Courses and services absolutely free of charge • Easy access and user friendly • Course catalogue and multimedia products including hundreds of listings • Community, online tutoring and help desk • 40 Hours of free Internet connection • Customised services and e-learning projects for public and private enterprises. 4. Expected specific effects and outcomes The TRIO project outcomes are related to the following areas: • Computer Technologies • Business and Economy • Languages • School and Education • Orientation and Employment • Public Administration • Environmental and Ecological Matters • Professional Training • Healthcare and Social Services • Science and Technologies • Service Providers and Associations • Research-Study 5. Institutional Levels involved and respective functions (national, regional, local) Tuscany Region – Education and Training Department Provinces, Municipalities, Universities, Private Associations 6. Access (description of the procedure) Access to the TRIO website and to any service is absolutely free of charge for any citizen, private or public organisation, company and, in general, for anyone who wishes to benefit from TRIO's e-learn- ing offer. TRIO may be accessed via any computer connected to the Internet (Modem 56K, Isdn, A-DSL), by typ- ing in your browser the address: www.progettotrio.it 34 Francesca Torlone
    • B. Instruments 9. Instruments of the measure Tutoring online The TRIO user is assisted along the entire learning route by an Online Tutor. Each user can interact and communicate with the Online Tutor via e-mail and will receive an answer to his/her query within 24/48 hours. The Online Tutor is also the moderator and manager for the TRIO Community tools. Virtual Classrooms Virtual Classrooms are spaces made to ‘virtually’ bring together learners, instructors and tutors, to share events and experiences as well as learning material. From a computer equipped with audio tech- nology it is possible to follow events online interactively. The learner can take part in actual lessons by experts in the specific field and ask questions in real time with a microphone or on a chat line. E-learning Centres E-learning Centres are free places open to all citizens conceived to help make access to TRIO even eas- ier. There are 19 Multimedia Learning Classrooms, throughout Tuscany, connected with Video- conferencing technology and each with a minimum of 20 stations. At every E-learning Centre you will find a tutor to assist you on learning and logistics matters. E-learning Centres also offer a special Multivideoconference service for organisations and businesses allowing two or more E-learning Cen- tres to be connected in a single E-learning session. Web Learning Points/Web Learning Groups For Public and Private Organisations and Businesses that can guarantee significantly big groups of users, TRIO offers a special agreement, undersigned by the parts, and absolutely free of cost, with a variety of customised services designed to highly improve efficiency. 2.5 Study visits and peer monitoring The study visits and peer monitoring to be found taking place between the refer- ence institutions in various countries are definitely a valid instrument underpin- ning the exchange of practices, knowledge and experience, to be seen as a ‘learning opportunity’. In the field of training and lifelong learning policy this is all the more interesting in view of the objectives to be sought via this practice: learning the policies and measures adopted in a regional context, for the purpose of under- standing and weighing up all the elements that define them in order to activate the processes of innovations development and transfer. For this reason study visits and peer monitoring may be seen as an integral part of the process of policy making at the regional level, underpinning the development of the information acquired with respect to a given policy and measure. This development may appear in a range of forms, all based on the practice of benchmarking the specific indicators of success (or failure) for one or more particular measures: Tools to be used for the analysis of the measures in lifelong learning policies 35
    • 1. the sharing, between two (or more) regional governments, of knowledge about measures, devices and best practices adopted in given local contexts, also pro- viding, where possible, elements for the evaluation of the effect and effective- ness of the device in a given period of time; 2. expressions of interest on the part of the reference institutions involved in the process, in respect to one or more measures being surveyed (which may be accompanied by additional cognitive sources and materials between the players involved); 3. organising and carrying out the study visits for the purpose of sharing key papers that supply both official and critical independent assessments of the measure(s); 4. analysis of the terms and conditions, time periods and resources required to ac- tivate the transfer procedure; 5. summary of the key findings and papers/reports provided at the end. At the conclusion of the study visit, three possible situations may be verified: 1. the regional policy makers involved in the visit see and measure the policy in the regional context which inspired it as entirely lacking in effectiveness, in either the short or medium term. In this case the motives should be carefully examined in order to direct possible transfer processes elsewhere; 2. the political system into which the measure is to be imported will only undergo partial innovation by the transfer process, since it does not involve all levels of policy making (political, regulatory, methodological). In this case cooperation between the players involved in regional policy making is fundamental in understanding which ideas and actions deserve to be considered in terms of activation; 3. the policy transfer process is activated on the basis of objectives, instruments, and areas of action common to the regional governments involved. It is essen- tial in this respect to be able to rely on the results produced by the policies and the individual measures adopted by the regional governments at the various levels. In this case the results arising from the transfer process and the effect on the policies in question will be described and analysed. Study visits and peer monitoring activities can be undertaken by means of the use of some instruments that facilitate the learning and innovation processes. We be- gin by including a document containing a few guidelines for making a study visit. It includes suggestions, including methodological suggestions, for enriching the knowledge to be used during a visit for the purpose of the (possible) activation of the policy transfer process. 36 Francesca Torlone
    • Box 8 - Guidelines for visits ✓ The visit should be prepared by choosing the most relevant policy measures implemented in other Regions according to the problems and interests of the home policy makers. One or more local meetings are needed for the agreement. ✓ The delegation should be composed of one or two policy makers, and not less than one of the re- searchers. ✓ If visitors do not consider the selected measures interesting and relevant, the hosting partner is requested to prepare a new measure(s) analysis. ✓ The programme of the study visit is agreed with the representative of the hosting Region. ✓ Before the visit takes place, the researcher presents the measure analysis connected with the visit to the other members of the delegation (translation in the language of the delegation is ensured). The background documentation can be used in English or in the original language. ✓ The duration of the visit should be three days (trip included). The number of measures to be in- vestigated during the visit should be decided by the delegation. If possible, it should be appropriate to have a consecutive translation into the native language of the visitors. ✓ During the visit the measure grid analysis is used as a guideline for better understanding. In the column “Comments”, each one of the participants can report his/her own opinion or additional descriptive elements. ✓ At the end of the visit, the delegation should evaluate the transferability of one or more of the measures analysed. When transferability is considered possible, regional governments that attended a study visit can ask partners for more information concerning the future development of the implementation of the measure. ✓ In any case, it should be relevant to identify the policy field or specific measure that can be in- fluenced (even in a soft way) by the knowledge acquired during the visit. 2.5.1 Guidelines for drafting the study visit report The grid below is offered as an aid for anyone required to minute the study visit ex- perience relating to common actions shared by the regional governments and con- cluding with the innovation and change. In particular the grid makes reference to information and suggestions gleaned from the institutional players in the Andalu- sian government during the course of a study visit aimed at gaining an in-depth understanding of the knowledge acquired regarding the measure adopted by the Tuscany Region as part of the TRIO project. Tools to be used for the analysis of the measures in lifelong learning policies 37
    • Box 9 – Example of the grid compiled by the reference institutions within the An- dalusian government Author - Carmen Fernández-Salguero Suárez Questions of policy learning and transfer Answers and remarks 1. Name of your Region: Andalusia 2. Who went on the study trip? José Vázquez Morillo - Names and functions Director General of Vocational Training and Lifelong Learning Francisco Castillo García Head of the Lifelong Learning Department 3. From whom have you imported a From the Tuscany Region measure? 4. Goal of the visit and what demand in The reason why TRIO was chosen is because Anda- your Region did you want to solve? lusia is interested in offering non-formal education online for adults. At the moment, only the more traditional face-to-face courses are being offered from the Education Department and this excludes a number of potential learners. Through an online offer we hope to facilitate access and also increase the number of learners. 5. What measure did you study? TRIO Project 6. In which way do you want to import We are interested in importing the language courses the measure in the Region? (English, French, Italian), for which some adap- Please describe the process of: tations may be needed, but this will be seen when a. Adaptation: the technical experts from Tuscany and Andalusia b. Communication: meet. c. Implementation: The Education Department will implement the nec- d. In what sector: essary means to offer the e-learning course to all e. For what purpose: adult learners. We expect an increase in the number f. Foreseen results: of adults following some kind of course, as there is g. Finances: great demand in foreign language learning (espe- cially English). Access to the course will be free of charge, and there- fore fully financed by the Junta de Andalusia. 7. Expected impact in your Region We expect that a greater number of adults will acquire basic competences in one of these foreign languages. 38 Francesca Torlone
    • 8. How did you follow up your policy – learning? 9. Is the measure transferable? Yes 10. Fields where the measure could be This measure is useful in a very broad field, as useful knowing a second language has become a ‘must’ for more and more people every time, as the possibili- ties of mobility and dealing with European partners in all productive and services sectors increase. 11. Have you developed a new measure Yes based on policy transfer? 12. If yes – Please describe the new E-learning courses offering non-formal education is measure now being established within our Education Depart- ment. 13. What is the biggest obstacle and/or We have to wait and see if there are any obstacles to problem to import these measures – import this measure until the technical experts meet, or to import measures in general? but we are optimistic that there will not be any major ones. 14. Anything else – Please describe – 15. Which actors have you involved in the Policy makers, officials and e-learning experts from process of policy learning? the Education Department. 16. Which actors have you involved in the So far, policy makers, officials and e-learning experts process of policy transfer? from the Education Department. Later on teachers will also take part. 2.5.2 Guidelines for policy transfer analysis The study visit, as we have pointed out, may be seen as a way of activating the process of learning and transferring a policy and one or more measures which con- stitute the objective. Of course, this cannot be carried out immediately, swiftly or easily, since the transfer processes involve lengthy time periods and procedures (which vary according to the complexity of the innovation to be introduced and the level of development of the context in which the measure will operate). Never- theless, the visit may represent one of the key moments in the achievement of the cooperative and voluntary transfer process, as long as it takes place in the right location and under conditions likely to promote the grasping of the devices and the individual elements required for success that comprise it. Tools to be used for the analysis of the measures in lifelong learning policies 39
    • The following pages show a document containing an index that summarises some stages in the process of transferring a measure from one regional context to an- other. This is followed by the document summarising the stages whereby the Andalusian government participated in the transfer of the Registered Quality Management System, already adopted by the Basque government. Box 10 – Index for policy transfer analysis Index 1. Policy that has been transferred 1.a Title 1.b Abstract 1.c Beneficiaries 2. Inspiring policy 2.a Title 2.b Abstract 2.c Institutional level(s) involved (national/regional/local) 3. What kind of official document from your regional government gave legitimacy to the measure? Please send the quota from the document 4. Description of the institutional process that followed (how information and data about the in- spiring policy have been treated and used, for which purposes, etc.) If the process is documented, please send a copy 5. Involvement of other national/local institutional actors (social parties, various institutional levels, etc.) in the policy transfer process – if any – and promotion of synergies among different actors. If documented, please send the paper 6. Which kind of changes the inspiring policy had after the policy transfer process If possible, send a short description of the measure, stressing the aspects that have been adapted 7. With/To whom and how the measure has been implemented? If documented, please send some relevant documents 8. Results obtained after the policy transfer policy and impact analysis on the policies involved. Have you done some evaluation? If documented, please send some relevant papers 9. Sources (internet websites, bibliography) 40 Francesca Torlone
    • Box 11 – Document summarising the transfer process that involved the regional An- dalusian government in the adoption of the Registered Quality Management System Author - Carmen Fernández-Salguero Suárez 1. Policy that has been transferred 1.a Title Project for establishing a Registered Quality Management System 1.b Abstract The project duration is of about two years, depending on the number of teachers and the teaching levels existing in the school. The project consists of the following phases: – Training activity in quality directed to all school members; – Creating improvement teams; – Training-action activity directed by the Head of School, the co-ordinator of the project in the school and the members of the improvement team, in order to establish the map of processes in the school according to the rules of ISO 9001:2000; – Establishing the Quality Management System and Registration. 1.c Beneficiaries Secondary schools where vocational training is being offered. Ten schools participated in the first group to start the project, and a new group of 9 schools joined the project the following year. Then there is a year for evaluation and after that a Regulation establishes how to go about it every year. A total of 37 schools have participated since 2002, 19 of which have already been awarded with the Registered Quality Certificate and 18 of them are in the process of acquiring it. 2. Inspiring policy 2.a Title Andalusian Occupational Training Plan; Objective 4: “Providing quality in the vocational education system” 2.b Abstract The Plan Andaluz de Formación Profesional was presented and passed by the Andalusian Go- vernment in 1999. It contained seven major objectives to be achieved by 2006. 2.c Institutional level(s) involved (national/regional/local) Regional government (Education and Labour Departments), social partners and enterprises. 3. What kind of official document from your regional government gave legitimacy to the measure? After the second group of schools starts the project, a Regulation is published every year to organise the participation of schools in the project (Text in the Regulation for 2006-2007 enclosed). 4. Description of the institutional process that followed (how information and data about the inspiring policy have been treated and used, for which purposes, etc.) The first contacts were made directly from the Dirección General de Formación Profesional y Educación Permanente to the Vieconsejería de Formación Profesional in the Basque Country, since they had experienced adapting Registered Quality Awards to the education environment. They were ready to assess our technical staff in order to start the process in Andalusia. Tools to be used for the analysis of the measures in lifelong learning policies 41
    • 5. Involvement of other national/local institutional actors (social parties, various institutional levels, etc.) in the policy transfer process – if any – and promotion of synergies among different actors The main actors involved in the process were teachers from both Regions; experienced teachers from the Basque Country came to Andalusia to direct the teachers involved in our Region, all sup- ported by the Consejería de Educación. 6. Which kind of changes the inspiring policy had after the policy transfer process? It was implemented, contributing this way to get a better quality education system. 7. With/To whom and how the measure has been implemented? It has all been developed in Secondary Schools offering Vocational Training studies. 8. Results obtained after the policy transfer policy and impact analysis on the policies involved. Have you done some evaluation? – 9. Sources (internet websites, bibliography) www3.ced.junta-andalucia.es/scripts/iacp/indice.asp Project on the Quality Certification of Public Centres involved in Teaching and Specific Occupational Training in the Andalusian Autonomous Community published by the Consejería de Educación 2.6 Policy learning outcomes Defining and activating a model of cooperation between regional governments, simplified in comparison with the Open Method of Coordination, highlights the capacity of the model to support the (different but connected) processes of policy learning and policy transfer. They both represent different moments in the processes, which can be defined in this way: one (policy learning) is defined as “the redefinition of one’s interest and behaviour on the basis of newly acquired knowl- edge, after watching the actions of others and the outcomes of these actions” (Levi- Faur and Vigoda-Gadot, 2004:8). The other (policy transfer) is seen as “a process consisting of a series of uneven, complex flows of ideas, of people, and of projects” (Stubbs, P., 2005:9) – ‘projects’ which we understand as ‘measures’ because they activate ideas. In some cases (and we shall shortly see which), transfer8 and lesson- drawing (Rose, R., 1993) are determining elements in learning outcome (Stone, D., 2000:9). 8 On the subject of policy transfer, it is a good idea to additionally remember the more complete definition provided by, Dolowitz and Marsh: “The process by which knowledge about policies, administrative arrangements, institutions and ideas in one political system (past or present) is used in the development of policies, arrangements, institutions and ideas in another political system” (Dolowitz, 2000:5). 42 Francesca Torlone
    • In our research, action corresponds to the activation of policies in given regional and local contexts, within which the policies themselves produce and have pro- duced effects and results from which the ‘institutional learners’ may benefit in the process of introducing innovation into the political system in question. For this to happen the policy-making players, and hence those involved in institu- tional innovation, must be involved in the process of developing knowledge asso- ciated with political action, which may become converted into transferral. It is only in this way that what has been learned can become converted into political decisions that become action, on the condition that the beneficiaries of policy learning can be identified as the institutions involved in the process of political innovation. Depending, then, on the ways in which political learning is verified, it is possible to increase the possibility of success (or failure) of the action in a ter- ritory. This is how a new model of governance in regional policy making comes to be defined, one that is capable of generating “participation and political support” (Héritier, A., 2002:13). The ‘soft’ model of the Open Method of Coordination thus turns out to be the key tool in achieving the objective of policy transfer of a vol- untary nature and achieved in a cooperative way by the regional governments in question. Other policy transfer models, while they do exist, reduce (or eliminate) the voluntary and autonomous aspects, delegating the decision regarding the adoption of one or more devices to other centres of power. These are models de- fined as ‘copying’, ‘inspiration’, ‘adaptation’, ‘creating a hybrid’ and ‘creating a synthesis’, in which the move is made from a simple model of reproduction of the device (‘copying’) to models of transfer, where the degree of interrelation with the pre-existing practice is different, sometimes downright hard to control (‘inspira- tion’). In sum, in activating the processes of institutional learning and policy transfer, “policy makers need to identify very carefully how the resources currently available to the region (existing industries, educational provision, research facilities, positive social capital and so forth) may usefully contribute in developing innovative strate- gies for the future” (OECD, 2001:117). The instruments illustrated refer in particular to cooperative forms of policy trans- fer, adopted by regional governments in connection with shared objectives to be pursued via the introduction into the respective local systems, of a new policy or measure. These instruments, sources of reciprocal obligations and commitments as regards cooperation, relate in particular to policies on mobility, e-learning, en- trepreneurship, research and innovation and are inter-regional in the framework of the European Social Fund. The instruments shown in the following pages are: policy paper, bilateral agreements, implementation agreements. Tools to be used for the analysis of the measures in lifelong learning policies 43
    • 2.6.1 Policy transfer instrument (Policy Paper, Bilateral Agreement, Implementation Agreement) Policy Paper The policy paper is a document signed between regional governments that sets down areas of action and shared objectives in respect of a sector-based policy. A pol- icy paper may be bilateral or multilateral, depending on whether it is drafted by two or more regional governments. Its purpose is to define the general objectives arising from a cooperative relationship between local institutions. In this respect, research has promoted in particular the perfection of policy papers in five areas of action: mobility, research and development, entrepreneurship, e-learning, inter-re- gional cooperation in the framework of the ESF. As an example we show below the text of the policy paper relating to inter-regional cooperation in the framework of the ESF. Box 12 – Policy Paper on transnational cooperation through European Social Fund support 2007-2013 EARLALL LIVORNO CONFERENCE ( JUNE 2007) TRANSNATIONAL COOPERATION THROUGH EUROPEAN SOCIAL FUND (ESF) SUPPORT 2007-2013. Introduction (…..) 3. The focus of this paper is on the transnational element of ESF. It describes how one Earlall member – one of the EU regional governments joining the network – anticipates using inter- regional cooperation to add value to its own domestic ESF Convergence and Competitiveness programmes; and it identifies some prospective fields of common concern where joint action with partner Regions with similar priorities is most likely to be beneficial. It also points to aspects of the process of developing cooperation on which some further collective thought is required and on which Earlall members and other Regions can assist the European Commission in moving forward. The Future European Social Fund 2007-2013 4. The new regulatory framework for the future Structural Funds, 2007 – 2013, provides for the main- streaming of trans-national and inter-regional co-operation. Under this new framework ESF shall “also support transnational and interregional actions in particular through the sharing of information, ex- periences, results and good practices, and through developing complementary approaches and coordinated or joint action”. (…) 44 Francesca Torlone
    • 9. The range of activities can cover the exchange of information, expertise, results and good practice; the exchange of people; joint development; review, assessment and transfer of experience; and joint action between institutions and organisations. 10. Programming opportunities for transnational co-operation within future programmes can take one of two options. Either through the development of a single priority dedicated specifically to transnational cooperation or through the horizontal integration of such activity through all, or some, of the thematic priorities identified within individual Operational Programmes. The Future ESF Programmes in …. (regional government involved should be mentioned) Implementation of Transnational Activity in the ESF Programmes (refers to the implementation in the regional government involved. Data on that can be added) Potential Partnerships under the future ESF Programmes 11. While projects involving partners from across the European Union, will be considered, particular emphasis will be given to activities with Member States and Regions that have already put into practice formal co-operation agreements. It will also be possible to build upon successful trans- national co-operation arrangements already established under EQUAL and with Regions which are members of relevant networks, including Earlall and ERRIN (European Regions Research and Innovation Network). (…) 13. The potential exists to put in place a series of bilateral ‘mobility agreements’ promoting the free flow of learners, researchers and workers between Earlall member Regions and with other Re- gions. It is anticipated that such agreements are likely to involve further joint development work in areas such as e-learning, skillsets for entrepreneurship, the definition of other vocational competences, the recognition of credit towards vocational qualifications, and the encouragement of reciprocal work experience placements for students and practitioners between Regions. 14. Transnational cooperation will complement the policy initiative ‘Regions for Economic Change’. This initiative builds on the establishment of trans-European networks and of Regions and cities each working on a specific theme. Experience gathered from transnational cooperation could feed into the networks established under the Regions for Economic Change initiative and vice versa. 15. Beyond this, arrangements will need to be put in place by the European Commission to ensure that transnational activities supported through the ESF Operational Programmes do not overlap with those supported through other Community programmes, notably the vocational education and training (VET) and adult education strands within the EU Lifelong Learning Programme (LLP) (i.e. the Leonardo da Vinci and Grundtvig sub-programmes), VET projects within the Erasmus sub-programme, and the policy development and information and dissemination strands of the transversal sub-programme. However, boundaries need to be drawn with care as there is scope for these sub-programmes of the LLP to serve as sources of support for pilot projects which, if successful, might then be disseminated and ‘mainstreamed’ using the transnational element of ESF to support replication in other Regions. (…) Issues Impacting on Implementation 30. This workshop affords Earlall members the opportunity to exchange views on the detailed issues impacting on successful delivery and promotion of transnational activity. The aim is to agree on a mechanism for effective delivery and implementation. Tools to be used for the analysis of the measures in lifelong learning policies 45
    • 31. Key issues to be explored therefore include: • how best to support network development; • how to support more thematic working; • what frameworks are needed to facilitate partner engagement; • what action is needed for validating good practice; • overcoming linguistic and cultural barriers; • what assistance is needed in the presentation and dissemination of good practices; • what agreements are needed in relation to specific issues relating to the organisation of projects, participation in visits, events, placements, communication and translation requirements. 32. It is suggested that Earlall could play an important role in forging together initial inter-regional part- nerships by identifying, at an early stage, project proposals that are likely to have resonance in ad- dressing ESF priorities in several Regions. Such inter-regional partnerships involving Earlall members might serve as a means of testing, on a limited scale, the scope for and the value added by transnational cooperation with a view to extension to other Regions and Member States sub- sequently, if the results in these pilot Regions proved beneficial. 33. The European Commission could play an active facilitating support role in mapping Member States and Regions with closely matched problems and priorities, drawing on the information provided in the Operational Programmes of the relevant ESF Managing Authorities and disseminating the ex- periences of the pioneer project partners to wider networks. 34. Early consideration of these issues will enable Earlall members to move forward more confidently in the implementation of transnational activity through their ESF programmes. (…) Bilateral Agreement Bilateral Agreements define reciprocal commitments on the part of signatory re- gional governments regarding specific policies and measures to be implemented, the objectives to be sought, and the procedures to be activated to implement the agreement, validity periods and deadlines governing the agreement itself. Bilateral agreements may cover a range of areas of action: some have been signed, for ex- ample, on the subject of investment in the field of e-learning. But in view of the specific nature of the policy involved and the multilateral character they display, the most widespread bilateral agreements relate to policies supporting mobility. In this case cooperation is an integral part of the policy itself. Below we include a model of a bilateral agreement. 46 Francesca Torlone
    • Box 13 – Bilateral Agreement sample Agreement of collaboration between the Regional Government of (…) and the Regional Government of (…) with regard to mobility in lifelong learning. PRESENT On one part, as councillor ...................................., and on the other, Minister of...................................., representing .................................... In their respective roles both representatives state that they bear the legal power to undersign this agreement and DECLARE: 1. That the Region............................. and the Region ............................. have already had a successful collaboration in the area of interregional cooperation and in the framework of the European Association of Regional and Local Authorities for Lifelong Learning (Earlall). 2. Both parties believe that it is of particular value to undertake specific collaboration with regard to training in the area of education, vocational training and youth policies. 3. To this end both parties wish to formalise these intentions with the present agreement, which will be governed by the following: TERMS and CONDITIONS FIRST. SCOPE The objectives of this agreement of collaboration between the Region ............................. and the Region ............................. are the following: a) To promote the exchange of students and apprentices involved in vocational training between training institutes. b) To promote the participation of students and apprentices involved in on-the-job training relevant to their study programme in other training institutes. c) To promote the participation of students and apprentices involved in vocational training in training activities in other institutes and ensure that this training is recognised academically. d) To promote on-the-job training and exchanges for teachers of vocational training courses, with the objective of setting up teaching activities as well as teacher training programmes. e) To promote collaboration between training institutes. f) To facilitate the learning of European languages. g) To develop awareness of European citizenship. h) To promote an exchange of information and experiences with regard to the content of training and professional qualifications. i) To develop other actions of common interest in the area of vocational training. SECOND. DISSEMINATION AND PROMOTION The Region ............................. and the Region ............................. undertake to dis- seminate this agreement between training institutes of their areas and to promote the participation of actions arising from it. Tools to be used for the analysis of the measures in lifelong learning policies 47
    • THIRD. MIXED COMMISSION The signatories undertake to set up a mixed commission with the objective of promoting the ob- jectives of this agreement. The mixed commission will comprise a maximum of two representatives from each party. The commission will check on the proper development of the agreement and will meet to determine the roadmap necessary for its implementation. The members of the commission will be nominated by the signatories of this agreement, respectively. FOURTH. VALIDITY This agreement will come into effect at the moment it is signed and have unlimited duration. FIFTH. RESCISSION In spite of the previous clause, this agreement may be suspended at any time for one of the following reasons: a) In agreement between the two parties. b) Unilaterally, with at least two months written notice, by one party to the other. c) Due to unforeseen circumstances that make it impossible to adhere to the above terms and conditions. SIXTH. FUNDING In order to guarantee the implementation of the activities for the attainment of the objectives laid out in the first clause, each of the parties will designate a sum of money annually. This document is delivered as minutes to the agreement in two copies, signed by both parties involved, as proof of conformity and commitment. Place and Date ................ /............. ................ Region (......) Region (......) Implementation Agreement In their Implementation Plans regional governments who have signed Bilateral Agreements define specific reciprocal commitments to be carried out for the pur- pose of the implementation of the Agreements themselves in concrete terms. Put simply, they are the instruments whereby the signatory regional institutions share the concrete plan of the activity and the commitments to be carried out (e.g. mon- itoring, evaluation) in a given time frame. 48 Francesca Torlone
    • References Council of the European Union (2002), Council Resolution of 27 June 2002 on lifelong learning. Official Journal C 163, 09/07/2002 P. 000 –0003 Dolowitz, D. and Marsh, D. (2000), Learning From Abroad: the role of policy transfer in contempo- rary policy-making. In: Governance 13, Vol. 1: 5–23 European Commission (2001), European Governance: a white paper, Brussels, 25.7.2001. COM(2001) 428 European Commission (2006), Communication of 23 October 2006 on Adult learning: it is never too late to learn. COM(2006) 614 final. Federighi, P. (1990), Legislative and Administrative measures in favour of adult education, Univer- sità degli Studi di Firenze Federighi, P. (2006), Liberare la domanda di formazione, Edup Federighi, P., Abreu, C., Nuissl, E. (2007), Learning among Regional Governments. Quality of Pol- icy Learning and Policy Transfer in Regional Lifelong Learning Policies, Bonn, W. Bertelsmann Verlag Hemerijck, A. and Visser, J. (2003), Policy Learning in European Welfare States. Unpublished manuscript, Universities of Leyden and Amsterdam, October: 5. Héritier, A. (2002), New Modes of Governance in Europe: Policy Making without Legislating?, Wien, Institut für Höhere Studien (HIS), Reihe Politikwissenschaft, n.81 Jacobsson, K. (2004), Soft Regulation and the Subtle Transformation of States: The Case of EU Em- ployment Policy, in Journal of European Social Policy, n.4/2004 Laffan, B. and Shaw C. (2005), NEWGOV. New Modes of Governance. Classifying and mapping OMC in different policy areas, University College Dublin, www.eu-newgov.org/database/ DELIV/D02D09_Classifying_and_Mapping_OMC.pdf Levi-Faur, D. and Vigoda-Gadot, E. (2006), The International Transfer and Diffusion of Policy and Management Innovations: Some Characteristics of a New Order in the Making, in: International Journal of Public Administration, Vol. 29 (2006) OECD (1997), Apprendere a tutte le età. Le politiche educative e formative per il XXI secolo OECD (2001), Cities and Regions in the New Learning Economy OECD (2003), Beyond Rhethoric: Adult learning policies and practices Rose, R. (1993) Lesson Drawing in Public Policy: A Guide to Learning Across Time and Space, Chatham, N.J., Chatham House Stahl, G. (2003), Meaning and Interpretation in Collaboration. In B. Wasson, S. Ludvigsen and U. Hoppe (Eds.), Designing For Change in Networked Learning Environments (pp. 523-532). Dordrecht: Kluwer Academic Publishers Tools to be used for the analysis of the measures in lifelong learning policies 49
    • Stone, D. (2000), Learning Lessons, Policy Transfer and the International Diffusion of Policy Ideas, Centre for the Study of Globalisation and Regionalisation 9th February 2000 Stubbs, P., (2005), Stretching Concepts Too Far? Multi-Level Governance, Policy Transfer and the Politics of Scale in South East Europe, Zagreb, Institute of Economics Trubek, D.M., Cottrell, P. and Nance M. (2005), “Soft Law,” “Hard Law,” and European Integra- tion: Toward a Theory of Hybridity, University of Wisconsin-Madison, 4/21/05 Websites www.cor.europa.eu/ www.costadellaconoscenza.it http://europa.eu.int/comm/regional_policy/sources/docoffic/vm20002006/chap3_it.htm www.innovating-regions.org/mlp/index.cfm www.mutual-learning-employment.net/ www.oecd.org www.policybrief.org/ www.senioratwork.it/progetto.asp 50 Francesca Torlone
    • 3. Virtual support service for mutual learning Francesca Torlone 3.1 Virtual service supporting the Soft Open Method of Coordination The website www.mutual-learning.eu is an example of an instrument for promot- ing cooperation between regional governments for the purpose of policy learning in the field of lifelong learning policy. The web-based devices, created in support of the Open Method of Coordination between Regions, relate to the field of lifelong learning policy and are intended to improve the quality and underpin the transfer of innovation between the regional systems in the various countries of the Euro- pean Union. These devices cover, for example, the policies directed at young school dropouts and the increase in the participation of adults in non-formal educational activities. 3.2 Contents of the virtual support service The instruments underpinning mutual learning between regional governments available on the internet are: Networking support for expressing common interests in benchmarking as re- gards lifelong learning and identifying institutional partners who are interested and available. In this way it is possible to measure progress, identify strengths and weaknesses, assess the effect of a policy and/or a measure in the regional contexts in which they are applied for the purpose of monitoring and possibly re-addressing the policies. The database containing detailed information on the various policy measures adopted by the various regional governments. Information is collected by means of the use of common indicators, according to shared methods of identification, with the interpretation of the sources being passed to the Virtual support service for mutual learning 51
    • reference institutions and research centres involved at the stage of the collection, analysis and description of the data relating to the measures. The database can be freely consulted from the home page of the service, but data may only be added by the research centres which screen the quality of the information prior to publication. This instrument, which is used for con- sultation and as a source by various research centres involved in other com- parative surveys of policy measures, also contains background documentation which describes the policies in question. The database fully satisfies the need for the immediate exchange of information between individuals and in- stitutions that are geographically separated and from different backgrounds. However, for the purposes of ensuring that the service instrument is as functional as possible as regards exchange and trans-regional cooperation activities, data update actions must be planned. But since reports, information, publications and material dealing with the effect of a measure within a territory are shared, the online database can in the final analysis be regarded as one of the most valid and effective tools in the field of mutual learning between re- gional governments. The dedicated research engine, supporting searches of the websites and web pages of the Regions themselves. The operating modalities and identifiability of online sources means that the research tool is more functional and focused on the planning and decision-making activities of the regional policy makers. In this case, too, there are inevitable restrictions of a technical nature, associated on the one hand with the need for a common glossary to screen the terminology used by the different countries in the area of lifelong learning, and the concern, on the other hand, once again, about the risk of the perishing and ageing of the sources available on the internet. The service supporting contact building with the political and institutional authorities concerned with the lifelong learning policies of other Regions for the purpose of setting up study visits which contribute to the undertaking of joint actions likely to produce innovation. The consultancy service for drafting bilateral or multilateral agreements in sup- port of policy transfer actions at the regional government level. The following sections describe and add detail to the functions, limits and prospects for the development of the instruments set up to underpin regional policy learning in the field of lifelong learning policy. Each section describes the research and location tools used to make use of the service: background and de- scriptive documents concerning the context; descriptive frames showing measures and indicators; database structures; guidelines for conducting study visits and writ- ing descriptive reports on the visits. Also described are the results of the process 52 Francesca Torlone
    • of mutual learning between institutions by means of the reproduction of the prepared instruments (policy paper; bilateral agreement; implementation agree- ment). For ease and greater clarity, each section shows the model of the instrument used to define the web-based service and a copy of the instrument compiled by the players involved in the course of the process of mutual learning. 3.3 Planning a website for supporting policy learning processes Creating an information service using the internet to support learning processes involving European regional governments means setting up a multilingual dis- tance service, accessible by any reference institution to provide useful elements of knowledge sufficient to produce innovation or to stimulate the dynamics of politi- cal action. Other rules are added to the common rules governing people making use of the site to plan an on-line service or instrument, rules which are connected to the specificities and individual requirements either of the users of the service or of the purposes that the user intends to pursue. In respect of the former, the web support service offered to regional institutions requires that the service instru- ments and information that feed it be structured and organised in a clear, legible and transparent way in order to encourage effective political action in terms of innovation learning and transfer. Active participation in policy learning and in the networks that produce political knowledge can consequently be identified as the main objective of the service being described, offered to whomever is involved in the implementation of institutional innovation processes in the fields in which they operate, insofar as they are directly involved in the decision-making processes of policy making. The service devices developed and which can be consulted at www.mutual-learn- ing.eu consist of the following learning, consultation and research tools: the database, which stores information on the measures involved with lifelong learning and work policies. This is not a systematic selection, but is built up via a range of cooperation and research projects. To identify the measures, the keyword is launched via the search engine to obtain the links with both the individual measures or the web pages of the selection of websites concerned with the regional governments which are taking part in the soft open method of coordination; the search engine, which operates only on words inserted in the texts and per- forms the search in the database of measures and in the pages selected from the websites of local public bodies involved in the soft open method of coordination. To access the measures, the words inserted must be in the Virtual support service for mutual learning 53
    • language in which the measures are compiled (English, but national lan- guages in some cases). To access the websites of the Regions the words must be written in the national languages of the Regions and of the other institutions involved; the background documents which allow the measure which is being consulted to be set in a context in a specific territory and at an institutional facility; additional sources and publications is the section of the website where it is possible to find, consult and download the results of researches undertaken at the trans-national level into the measures related to lifelong learning policies and labour policies. 3.4 Online service tool for mutual learning – the database The database, published on www.mutual-learning.eu and free of charge uses the management language MySQL and the information distributed is organised by area, in such a way as to reproduce the sections of the Descriptive Frame of the measures in the online consultation instrument. Box 14 The database is organised in such a way as to allow for two research criteria - one for the country/regional context, the other for the benchmark (Council of the Eu- ropean Union, 2003) – and to interact with the other internet service, such as the internal search engine. 54 Francesca Torlone
    • Box 15 The database represents the main and most immediate tool via which institutional players have access to information on measures and devices in operation in other regional contexts. As long as the database is taken care of and updated regularly, it becomes a valuable instrument for the capitalisation and accumulation of experi- ence gained at the different regional government levels. The degree of detail of the individual fields in the database (including the fields dealing with impact evalua- tion) is of crucial importance in offering the institutional players directly involved in policy making a service capable of supporting the dynamic of learning and knowledge exchange. The standardisation model offered with the online instru- ment which is the database therefore represents an added value, shared with other international working groups involved in comparative research activities concen- trating on measures intended to implement youth policies, active ageing policies and policies designed to find work, or find work again, for disadvantaged user sections. It is this level of detail and completeness, including the uniformity of the indicators which describe the object of the investigation and political action (i.e., the "measure") which makes it possible to spotlight how unusual the database in question is in comparison with other sources available on the internet (differently structured websites and web pages, and research which can be downloaded in elec- tronic format or can be found in hard copy). It remains to consider the question of the updating of the data consulted by the in- stitutional users of the service, data used for the processes of learning and to acti- vate dynamic policies associated with requirements and necessities which are spe- cific to each territory. Updating guarantees a quality service which, given the virtual Virtual support service for mutual learning 55
    • channel by which it is distributed, must, of necessity, be seen as a regular activity which is constant and continuously developing. Furthermore, there is a need to up- date the information on the measures to keep it abreast of institutional changes and tied to political developments, sometimes in advance, which affect in various ways and to different extents the individual descriptors (e.g. the allocation of pub- lic funds, the types of funding organisations, the sharing of roles and powers be- tween the various institutional levels, etc.), and their actual existence and repeata- bility. To remedy the updating problem, one hypothesis could be that of including updating in the cooperative activities of various regional institutions, so as to guar- antee value, spread, share-out and in the final analysis the fact that the job is actu- ally done. Another possibility would be the creation of synergies (this has actually already been tried) between various research fields concentrating on measures and devices relating to different regional and local policies. In both cases efforts would be made to support and promote the measures database as the instrument with which the regional governments work to promote evidence-based policies, or to ac- tivate policies that become of greater significance on the basis of results achieved in the area of activation. Data input is reserved for bodies registered with the web administrator and provided by him with access codes (plus instructions to follow for inserting data into the individual fields). Attention to and care of the assess- ment of access to the reserved area of data input helps to guarantee and control the quality of the information. Data input activities are undertaken by reference insti- tutions, research bodies and individual researchers involved in comparative re- search on subject areas related to the devices activated there by policy measures. And finally a field has been introduced headed ‘Comments’, designed to promote among the database users information exchange procedures on the individual de- scriptors of the measure, which is the subject of the consultation. In this way it is possible to insert comment texts associated with the objectives related to a given measure, its contents, and its definition; comment may be made about the access procedures and the process of implementing the measure, possibly in concert with other local players. 3.5 The search engine The database works on information developed and inserted into the appropriate frame. However, this has the restriction that it is not updated. To supplement this restriction use may be made of a specialised research engine, for which www. mutual-learning.eu accesses the home page. The specificity of this search engine is that it operates exclusively on websites of the Regions which have indicated the 56 Francesca Torlone
    • web pages to which searches should be directed. In this way searches are highly selective. The search engine is a complex website in which it is possible to carry out searches of websites and web pages by keying in a ‘keyword’, i.e. the phrase or name of what is being sought (e.g. study circles). Once the search has been initi- ated, the search engine responds with a list containing a series of websites includ- ing the terms and the phrase sought. Each site which appears on the list is a link. It is enough to click on one of these links to visit the corresponding website. In conclusion, it is a simple and effective mechanism. However, tricks, procedures and mechanisms do exist that can be used to ensure that the system works. The search engine actually has to update the database, which contains the selection of the website addresses to ensure that the search initiated is effective, focused and detailed. In the case of the search engine in question, this operation is guaranteed mainly by the constant work of the group of researchers and reference institutes that inform the search engine of relevant websites and web pages where informa- tion and updated documents on measures and policies adopted in the various local and regional contexts of the European Union can be located and downloaded, in English and the local language. This result is operational either thanks to the in- teroperability in existence between the database and the search engine, or by the constant flagging of the websites and web pages which take account of some shared guidelines. What is most important is not to key in internet/URL addresses of local institutions (e.g. www.regione.toscana.it, www.vgregion.se), but web pages (based on the information level framework), which offer detailed information on specific themes and subjects underpinning local political action (e.g. www.rete. toscana.it/sett/poledu/dirittodovere, www.folkbildning.se/page/60/english.htm). In this way the process of indexation allows for the location only of web pages which are directly and immediately connected with the subject or keyword chosen, avoiding an excessive volume of information which is not relevant to the search initiated. References associated with web page numbers are therefore a valuable in- strument for policy makers, when they wish to find out about and broaden the po- litical development of subjects concerned with lifelong learning in local European contexts. Operated in this way, the search engine allows the user to download only those online sources relevant to the subject of his consultation, saving time and in- ternet time. The results, then, extrapolate the sources indicated in the websites and web pages selected in terms of the relevance, completeness and freshness of the in- formation, which also applies to the measures not subjected to the descriptive processes of the database. There remain, however, some matters which deserve highlighting in respect of the definition and production of such a tool. They concern the updating of the web pages indicated and the sharing of a common language to codify the basic knowl- Virtual support service for mutual learning 57
    • edge and basic terminology in the political areas under investigation. The memo- risation of sources recorded in the search engine is inevitably subject to the phenomena of the perishability and ageing of the websites and web pages, as well as the requirement that they be constantly and regularly updated for the purpose of assessing whether they should be eliminated or replaced with operational, working URL addresses. On the other hand, the need for a shared language is an essential condition to render the dedicated search engine as functional, useful, and produc- tive as possible for the institutional user to which the instrument is offered. This leads to a two-way conclusion, due to the need on the one hand for comparative terminology and on the other for multilingual dictionaries and glossaries, where it will be possible to find, in the national languages, terms in current use and of major significance in the policies of lifelong learning (although there is no lack of awareness of the difficulties involved in covering all national and local linguistic specificities). The system from this point of view is in a position to provide homo- geneous responses which relate to the subject of the search, brought to a conclu- sion in an effective grasp of the local political actions in operation, and possibly of the processes of policy transfer from one regional context to another. 3.6 Background documentation The structure of the database is enriched by a section headed “Backgrounds”, which contains documentation in .pdf format, containing a collection of general and contextual information about the institutional facility in which the measures were adopted and implemented, together with the reference policies concerned. Box 16 58 Francesca Torlone
    • The sheer volume of the sources, research and system studies to be found, includ- ing on the internet, led to the suggestion that the sole use to be made of these ma- terials should be to provide a context for one or more measures, since the measure remains the sole subject of research and database analysis. 3.7 Further sources and published works This section makes use of sources, materials and publications (mostly in English) for the purpose of, and drawn up in the process of, research on the subject of sur- veys of the development of inter-regional cooperative activities involving decen- tralised governments of the Member States. This additional online instrument will help to enrich the store of knowledge gained by the institutional players on which the definition of the devices to be adopted in the territorial government context will be made. Sources have been chosen on the basis of the subjects covered, the use- fulness of the website to the institutional users, and the degree of interest shown by the sources in the question of policy measures (what they are, how they are adopted, who is responsible for their implementation, who takes care of funding, who evaluates the outcomes, etc.). References European Commission (2006), Communication of 23 October 2006 on Adult learning: it is never too late to learn. COM (2006) 614 final. Federighi, P., Abrèu, C., Nuissl, E. (2007), Learning among Regional Governments. Quality of Pol- icy Learning and Policy Transfer in Regional Lifelong Learning Policies, Bonn, W. Bertelsmann Verlag Websites www.agenda-21.ch/en/voneinander_lernen/1_0_0_voneinander_lernen.php www.cor.europa.eu/ http://europa.eu.int/comm/regional_policy/sources/docoffic/vm20002006/chap3_it.htm www.innovating-regions.org/mlp/index.cfm Virtual support service for mutual learning 59
    • www.mutual-learning-employment.net/ www.oecd.org www.policybrief.org/ www.trendchart.org/tc_policy_measures_overview.cfm 60 Francesca Torlone
    • 4. The Initiation of Policy Transfer Marianne Horsdal, Helle Knudsen 4.1 The project Prevalet intends to create a device or a method that supports the Open Method of Coordination applied to the field of regional policies on professional education and training. It aims at increasing the quality of training and of supporting the transfer of innovation among the systems. The project focuses on two aspects: 1. to create a model of monitoring and evaluation shared at European level that concerns the processes of processing, carrying out and evaluating the policies; 2. to promote the transfer of innovation among the different regional govern- ments in Europe reducing the transfer time. Prevalet is thus a valorisation project aiming at dissemination and exploitation of good practice and innovative educational policy among European Regions in the context of Earlall – the European Association of Regional and Local Authorities for Lifelong Learning. It is also an ambitious project in so far as the objective is to find methods and ways of exchanging information and experience and transferring in- novation in educational policies across the different European local and regional contexts. Many Regions are facing similar challenges regarding the number of people in the labour market with little education and training and regarding the great num- ber of young people who leave school without any further education or training. Therefore the project is applied to policies concerning re-insertion of drop-outs in the job or vocational training and concerning increase of participation in activity of non-formal adult education. The Regions handle these challenges in diverse ways due to their different competencies, respective strategies and working meth- ods. The Initiation of Policy Transfer 61
    • What follows below is a description and an analysis of the initiation of policy trans- fer by exploitation and dissemination of measures in the field of education and training. 4.2 Selection of measures The first meeting took place in Göteborg in February 2006. At this meeting we settled the basis for the future work in terms of common definition of policies, measures and instruments as well as the definition of the target groups, initiatives for drop outs and for non-formal adult education. We then had to produce a transparent, informative and well-defined grid that is easy to use. The analysis grid has been the tool to define and describe what we want to compare, exchange and use in a productive way. Besides the grids containing the measures each partner had to present a background document to describe the political context for measures. A real challenge is in fact the selection of regional measures in our own Regions. The question is to define which initiatives, policies, projects in our Region ad- dressing drop outs or low skilled people could be of interest in different European contexts. What is innovative, creative, and effective? Which measure should we se- lect to show to others? Each partner then completed the grid during the following months and worked out a background document on education and training policies in their country and Region. At the next meeting we then evaluated and analysed the background documents and grid analyses for the policy measures from Andalusia, the Basque Country, Toscana, Västra Götaland, Vejle, Vidin and Wales. These analyses opened the sec- ond phase of selection and thus provided a background for planning bilateral vis- its for both policy makers and Prevalet researchers. The background documents and grids present several interesting programmes, bridging programmes, intercultural programmes, and ideas of learning mediators and role models. Each Region therefore elaborates a survey of the various European regional policy measures presented in the grids and in the background material in order to find out how they match and vary compared to their own educational sys- tems. 62 Marianne Horsdal, Helle Knudsen
    • The challenge is then to select measures that are in fact realisable in a regional con- text, which again depends on regional competencies and possible barriers. Some of the measures will be covered by national bodies in some countries and not by re- gional authorities, others by local authorities or NGOs. The options are subsequently discussed with the elected members and the man- agement of the relevant ministry or department in each Region. They finally select the relevant policy measures from another Region that distinguish in several ways from their own policies and seem interesting to analyse in depth. 4.3 The visits The aim of a visit is to increase knowledge of the other Region’s strategies and poli- cies, get inspiration for new initiatives and evaluate the possibility for transfer. The transfer could be of organisational elements, contents of policies, instruments or other elements. Having selected the measure grid analysis from another Region, we sent some questions to the hosting Region ahead of the visit in order for it to provide us with some more details on the issues with which we would like to work. The questions deal with issues as for example an introduction to the overall organisation, collab- oration with regional and local partners, daily activities to reach out to citizens, motivation, learning as well as empowerment, effects and evaluation. Most dele- gations also asked to get a possibility to visit local initiatives to get an impression of the work in daily life. The hosting Region then set up a programme for two days visit. The delegations consisted mainly of three categories of representatives: elected members with responsibilities for education and learning, representatives – man- agers or staff – from the educational departments or professionals in the field of education, learning and training as well as researchers. 4.4 The important steps of policy transfer Of utmost importance at all stages of the procedure is the involvement of players with the power to take political decisions which lead to the final stage of the trans- fer and the subsequent implementation of a chosen measure. For this to be achieved the staff must undertake their analysis before they present it to the gov- The Initiation of Policy Transfer 63
    • ernment who will need to be provided with solid information on the basis of which they will be able to take well grounded decisions. The staff has to provide an overall picture of the situation. It is important that a study be made of the options of transferring the measure to a different environ- ment and locking it into a different system, while measuring impact and foresee- able outcomes. From this will derive the keys to the possibility to undertake the transfer of some aspects or to the totality of the measure described. The institu- tions, too, play a decisive part, because they are the permanent factors in the pro- cedure and they have to be involved at an early stage. Although all the steps suggested for this inter-regional co-operative working method are relevant, two are of particular importance. The success or failure of efforts to transfer a given policy measure depends on whether those steps are undertaken in a satisfactory way or not. It is essential to prepare the visits well – and well in advance – so we are fully aware of which aspects we need to understand more thoroughly and can see how it works in practice in the hosting Region. At the same time we have to be open to unforeseen aspects which might turn out to be of greater interest to us than we have previously anticipated. It often happens during the visits that a Region becomes interested in a measure that has not been considered before and which may possibly lead on to a transfer which has not ini- tially been foreseen. The second step which we see as decisive once all the details we need to know have been assessed is to carry out an accurate ‘transferability’ analysis. We need to es- tablish the real possibilities of transfer which can be defined as follows: 1 Transfer is impossible. The differences are too big, existing measures are in- compatible or there are no pre-existing conditions in place, etc. 2 Transfer of the measure in total is impossible, but some aspects are certainly possible to transfer. 3 Transfer of measure can be achieved. Even in the worst case scenario where we have decided that no type of transfer is possible, we still have learned something. Also the possibility remains that the in- formation we have received may at some time be of use to us in developing new initiatives in our own Region. As we have stated previously flexibility is a key word. While never losing sight of the wider field of lifelong learning, it is important that we never close off those ar- 64 Marianne Horsdal, Helle Knudsen
    • eas on which we are focused, since other equally interesting areas, different from those originally put forward may emerge. This flexibility of method means that in a very simple way we are able to incorporate a description of a new measure re- quested by another Region. In order to drive transregional co-operation forward and strengthen it, we there- fore have to upgrade the tools that facilitate the interchange of information on poli- cies and measures, based on common parameters. We also have to encourage cir- culation among elected members as well as mobility between experts and officers appointed by regional governments to increase knowledge of other Regions’ poli- cies, promote exchange and thereby facilitate innovation. One of the tools might be bilateral agreements between Regions, but still it is important to be connected to a wider network and get access to an inexhaustible source of policy initiatives. 4.5 The wider perspectives of policy transfer As OECD pointed out (OECD, 2001) “path-dependency” of Regions – traditional ways of thinking and doing things – may be an obstacle to innovative thinking. Therefore, if the Regions can learn from one another, exchanging and exploiting the different approaches and creative ideas and strategies, there is much to be gained. Transfer of best practice seems so easy and evident seen at face value: you look at strong practice elsewhere, identify best practice, transfer and implement in a dif- ferent context. And by the process of measuring, assessing and evaluating your performance and by comparing your results, achievements or performance to oth- ers, you get a strong incentive to improve in order to be on a par with others or, preferably, better. However, it is not that easy and simple. We have to be aware of the significance of context, of analysing problems in depth, of experimentation and of the risk of copying yesterday’s practice instead of innovating. Innovation implies collabora- tion between partners from different organisational cultures, who do not just ex- change what is already known. There are often several and potentially conflicting policy goals. The homely conviction in institutions, organisations, systems and Regions, that “we are the best, and we’ll follow traditional pathways of doing things” is one of the greatest obstacles for learning and development. Openness towards other ways of thinking is the main challenge today. The Initiation of Policy Transfer 65
    • Another issue concerning transfer is that, sometimes, the most successful policy learning will be not to copy what they did elsewhere, in order to avoid repeating severe mistakes. According to the learning theory of Benner (Benner, D., 2005), we mainly learn from negative outcomes, we learn what we should not do. If we are to look at the problems and considerations above in the light of the Prevalet experience we may catch some rather important insights. You can compare numbers and rates, numbers of participants in lifelong learning, rates of unemployment, but you cannot compare the learning experience. If we just compare the numbers, figures and rates (of employment, participation in adult education, etc.), from, for example, Wales to those in the Region of Southern Denmark*, we cannot immediately acknowledge what we may learn from going there and how we may approve our own achievements by transferring some of the Welsh ideas to the Danish context. The much higher participation rate of adult ed- ucation in Denmark has a long history and tradition, and it does not necessarily re- flect a contemporary best practice of educational policies. But as mentioned previously, path-dependency is an obstacle to learning and inno- vation. So we and other Regions ought to challenge our traditional ways of doing things by seriously trying to capture other ways of thinking and different ap- proaches to similar issues. The contexts of the Regions are in many respects very different, but the transition from traditional agriculture and industry to new ways of economical enterprise is a challenge faced by every part of Europe. What they are doing successfully in some Regions should at least be analysed by others to see if policy transfer is possible and new initiatives can be created. Local and regional collaboration and co-ordina- tion lead to an inexhaustible source of knowledge that can be shared, transferred and implemented for the benefit of everybody. This leads to the question of level of transfer. Maybe the measure, as such, is not possible to transfer due to the wide contextual differences concerning geography, infrastructure, educational specific need, present problems, etc. But perhaps in- struments or smaller elements may be transferred. However, we were also inspired by something which is bigger than ‘instrument’ or ‘measure’, something which is * During the Prevalet project Danish representatives of the local governments visited the Welsh government in order to better understand and learn from the Welsh promotional/marketing strategy for lifelong learning. 66 Marianne Horsdal, Helle Knudsen
    • difficult to capture in a category and in a way much more fundamental. This has to do with some underlying understandings within the policies, cultures, values per- haps: How do we look at learning? What is the purpose of engaging in learning? How do we look at the learner? How do we look at people deprived of learning? What is legitimate? What is celebrated? Maybe this level – which is extremely diffi- cult to categorise – is one of the most significant elements of policy learning from other Regions. References ASEM (2002), Lifelong Learning. The Way Forward Benner, D. (2005), Tekster til Dannelsesfilosofi. Århus: Klim Consulting on the Convergence Programmes 2007-2013: Supporting Document OECD, (2001). Cities and Regions in the New Learning Economy The Initiation of Policy Transfer 67
    • 5. Indicators for quality management of policy learning and policy transfer Ekkehard Nuissl von Rein In the European context in particular, in which twenty seven countries with the most varied history, structure, size, language and economy co-exist, such shared, but also ‘weak’ political design strategies (compared with ‘hard’ laws and power structures) are gaining in importance. A regional view not only means a stronger orientation towards action, but also greater comparability (size, political structures). On the other hand, regional com- petencies are often regulated very differently, and Regions act in varied national contexts with different degrees of leeway. This – as described in chapter 4 – not only points out the challenge of finding a common line, but also recovers the chance to ‘take advantage of the positive and negative results achieved in the dif- ferent European regional context before the experiences are finalised‘ (cfr. Euro- pean Commission, 2000 – A Memorandum on Lifelong Learning, key Message 6). Regional governments are responsible for defining and implementing part of the policies that drive the operation of lifelong education and training systems. This involves creating a circular flow of information between the individual regional governments and the operators of the system they manage. Thus, the described important points of launching interregional policy transfer as figured out in the Prevalet project can be broken down to a quality pattern of helpful indicators for an interregional policy transfer in networks. 5.1 Network and governance Interaction in the network Interacting within networks it is helpful to be aware of their particular character concerning their own form (between market and hierarchy), their own type of so- Indicators for quality management of policy learning and policy transfer 69
    • cial structure or organisation, their new type of solidarity community and their special type of communication and action level (between acting player and repro- ductive institution; between action and consequences of actions). Therefore a mutual acceptance has to be developed by the partners to create a bal- ance of interests and make participation possible – the ‘soul’ of networking is grounded on the given or developed synergies from which all partners benefit. In a network of Regions, learning comes from experience; there is a shared exchange and communication about problems, problem-solving strategies and experience of finding solutions. In this sense it is a cooperation in form of a network of ‘learning regions’, which learn from and with each other. Cooperation as a process The following steps are important within the Regions in this cooperation pro- cess: – Decision on the cooperation/network assignment and its goal: the motivation and the players’ interests should be determined and defined and result in the fixing of the regional decision-making process. – Selection of the partner: this means selecting the partner or partners for re- gional cooperation, with whom cooperation is most meaningful as regards the pursued goal. This is based on the potential partners’ knowledge and the meas- ures found among them. – Communication with the partner: on the basis of the determination of a shared cooperation goal and the relevant players, agreements on the shared process and the binding rules have to be found. Also the targeted documentation of communication should be clarified. – Ensuring the result: this involves defining the coordinates of the pursued re- sult, determining how to approach the pursued results, as well as planning and implementing a monitoring process between the partners, as well as within the Regions involved. Quality by defining indicators and benchmarks The definition of quality is always situated in a particular context, in which the var- ious factors have to be taken into account. It depends on the social and historical 70 Ekkehard Nuissl von Rein
    • background, the interest and perspective from where it is regarded, the level to which it is related, the valuation context of the measurement and different refer- ence systems to which the criteria of quality are oriented (Do we focus the effec- tiveness, the validity, the professionalism, etc.?) and so on. However quality criteria and thus also indicators to measure quality have to be de- termined in a process of negotiation by the partners involved. Within these process-related defined quality indicators, benchmarks must be de- fined, which imply goals and make a comparison possible: ‘Benchmarking is, first and foremost, a learning process structured so as to enable those engaging in the process to compare their services/activities/products in order to identify their comparative strengths and weaknesses as a basis for self improvement and/or self regulation’ (The University of Sydney, 2005). 5.2 Implementation of quality management Quality assurance is a system for checking enforced and verifiable standards. Moreover, quality assurance entails technical, formal and administrative compo- nents. When the quality assurance system is now extended to include the players involved and their determination of criteria and indicators, this is referred to as quality management. Therefore definitions have to be clear and common. A central point here is the nomination of the central player, the ‘leading person’ or ‘leading institution’ in the learning and transfer process within the quality development process. According to this, responsibility must be taken not only ‘for something’ but also ‘to someone’ – it needs the definition of responsibility to legitimise the quality management pro- cess. Furthermore the agreements made on this basis have a binding nature for all partners and all steps in the process. Such binding agreements always affect two areas: the standards and process (Nuissl, E., 2007): Indicators for quality management of policy learning and policy transfer 71
    • Quality management Standards Process Selection/ Responsibilities Definition Measurement Scheduling Weighting Rules The relation between process and product Quality management includes both the product (see “Quality management in product transfer”, chapter 5.3), whose quality it tracks, and the process of its creation – this also applies to learning and transfer in cooperation among Regions. In the training system this is not just described in the three dimensions input, through- put and output, but also in the individual process and product-relevant description on all three levels (see the graphic below). Interregional transfer quality management Input quality Throughput quality Output quality (before the transfer process) (during the transfer process) (after the completed transfer) Motivation for transfer: Contextualisation: Impact: ¼ Resilience ¼ Framework conditions ¼ Effects (impact) ¼ Consistency ¼ Influencing factors ¼ Successes ¼ Durability ¼ Players Problems: Interests of transfer: Measures: ¼ Coherence ¼ Institutional interests ¼ Elements ¼ Context ¼ Regional policy interests ¼ Instruments ¼ Resources ¼ Experiences ¼ Acceptance Transfer planning: ¼ Goals/benchmarks Sustainability ¼ Participation Transfer process: ¼ Questions Evaluation ¼ Information ¼ Duration ¼ Milestones Transfer players: ¼ Monitoring ¼ Structure of players ¼ Acceptance 72 Ekkehard Nuissl von Rein
    • The link between process and product related factors becomes clear in the follow- ing matrix: Product Aim/Function Actors Applicability Costs/ Nuts Resources Process Decision Selection Communi- cation Outcome/ Impact Getting to a definition of measures The measures, the political instruments used, are the actual core of political learn- ing and political transfer and thus also the core of quality management. Intended measures therefore should be described as precisely as possible; the crucial aspects are: – Goals of the measure (what should be achieved?) – Addressees of the measure (who was the measure thought out for?) – Content of the measure (what is regulated in terms of content with the meas- ure?) – Players in the measure (which persons and institutions are involved in implementa- tion?) – Costs of the measure (which direct and indirect costs are linked to the mea- sure?) – Documentation of the measure (how are the measure itself and its implementation documented?) – Analysis of the measure (are evaluations and monitoring reports for the measure available?) – Results of the measure (what did the measure produce in terms of effects and out- puts?) Indicators for quality management of policy learning and policy transfer 73
    • 5.3 Quality management in transfer With the transfer of political measures from one Region to another, not only the components of the measure, but also all relevant context conditions are always af- fected. An important insight from analysis so far is that the success of a transfer is always process-oriented. It takes place in a current exchange process between the recipients and producers about possibilities and needs for modification relating to other factors. As a rule the product (leading to the final profit) changes during the transfer – it is adapted, modified and aligned. In the training area, a distinction is made between five product types, for which a transfer is possible and meaningful: – transfer of services, to addressees outside the network/Region, i.e. information and advisory systems, databases and information platforms; – market transfer, the development and dissemination of saleable products in an- other regional market; – transfer of innovation, the transfer of innovative products (e.g. a new categorisa- tion of training concepts), which are ‘unsellable’ in the intrinsic sense; – transfer of experience, which essentially entails an exchange of experiences on problem solving in learning between the Regions, as well; – instrument transfer, whereby measures and tools especially of a political type are transferred from one (regional) system to another. Quality management in the transfer process In the quality management of the transfer process, clear exact interests and concepts underpin which measure will be transferred and for what goal as a rule. In the individual steps this means a clearing of how the individual elements of the measure are exactly understood and analysed and in which conditions they can be transferred. Therefore it is necessary to clarify and point out the following as- pects: In the process of decision-making: – the problem/issue the measure is being sought for, – the goal of solving the problem, – the players/structures being involved in implementing the measure, – the measures which should not be altered/affected, – the potential leeway concerning scope and costs of the measure being implemented, – the determination of responsible management of the transfer measure. 74 Ekkehard Nuissl von Rein
    • In the selection process: – similar problems in cooperating Regions, – measures that are (already) used there, – realized implications of the measures, – available readiness/competency for a transfer process, – stage definition of the use of the measure – eventual experience on effects. In the communication process: – the arrangement of the communication on the measure being transferred, – the players involved in the cooperating Regions, – the exchange of experience relating to the creation, use and the impact of the measure, – the gaining and documentation of the components of the measure, – the documentation of the communication processes and the transmitted experience, – the communication of the context of use of the measure, – the handling of adaptation and modulation issues. Concerning the outcome: – the documentation of the transfer process, – the formulation of criteria for a successful transfer, – the expenditure of time and resources in the process, – the process used to evaluate the transfer, – the processing of the evaluation results. Within the process of the bilateral visits (see chapter 4) the following concrete steps have become apparent: a) Information and analysis of measures in the network of Regions (meeting of the partners, exchange of grids) b) Consultation on interesting measures in the relevant Regions and a decision on the Region to be consulted and the relevant measure c) Composition of a small delegation with the relevant players, determination of the questions to be clarified, and transfer of these to the Regions being visited d) Planning of a programme of visits in which the central questions would be an- swerable and moreover context details could be transmitted e) Undertaking of the visit, documentation of the findings obtained f) Evaluation of the visit in the Region visited and (with a view to possible trans- fer) in the visiting Region g) Consultation and decision making about the transfer of all or a part of the measure. These seven steps represent the typically ideal progress of the bilateral visits. Indicators for quality management of policy learning and policy transfer 75
    • Quality management in product transfer The product in our context means for example a complete measure with its imple- mentation tools (e.g. the concrete realisation of platform, a campaign, etc.). Out of these various components – brought together in there – each can be transferred. The essential aspects quality management refers to in here have to be checked in- dividually: Concerning the goals: – Check the target of the measures problem/settlement area! – Check if the goal targets the entire settlement area, only a part or more than the set- tlement area! – Check the level the goals are formulated at: general, pragmatic, practical! – Check the mutual agreement on the goals by all of the parties concerned! – Define the modifications of the goals to be planned compared with the original meas- ure! Concerning the players: – Check and name the players involved in the implementation! – Be sure all of the important players are involved! – Check eventually given (formal or informal) hierarchies among the players! – Check the ability of the players to play their role (resources, responsibilities, etc.) dur- ing the implementation! – Check if the players are familiar with all of the aspects of the measure! – Check the measures’ eventually transfer (so far known) to players in a different Re- gion! Concerning the measures’ (or its components’) usability: – Clarify the responsibilities for implementing the measure! – Check the settlement of the processes for implementing the measure! – Check the awareness level of the measure to the addressees in their administrative performance! – Check possible impediments to implementing the measure! – Agree on a process for problem solving! – Be sure the operational elements of the measure (e.g. target group definition, cost items) are suitable for the regional structure! Concerning costs and resources: – Be aware of the arising costs during the implementation of the measure! – Specify the cost items these occur for (institutions, people)! 76 Ekkehard Nuissl von Rein
    • – Specify the type of costs being recorded during implementation of the measure (staff costs, material costs, administrative costs, etc.)! – Be aware of all available (or not available) resources for the implementation of the measure (staff, means, structures)! – Ensure the regulation of access to resources and the flow of resources! – Imply a ‘management control’ for costs and resources! – Define the relationship between the management control system and the implemen- tation agency! Concerning the transfers’ utility: – Devise the expected result of the measure! – Formulate further predictable results! – Check who derives direct utility from the measure at what point! – Check the determination of the utility (evaluation process, management con- trol)! – Define a process the utility evaluation occurs in, the criteria it is based on and its in- tervals! – Plan the time frame for decisions regarding the utility evaluation! Quality prospect The transfer of political measures to settle problems or to achieve goals implies a change in the training policy reality in the Region. A concrete tool to assess this change and to make it definable is a ‘prospective study’ during transfer. It targets a forward-looking estimate of consequences concerning the possible direct and indi- rect effects of implementing a measure. Estimating the consequences of a new measure occurs in four phases: Prospective quality management transfer Design phase Trigger/problem Analysis of the settlement area Definition of the settlement goal Clarification of alternatives Development of scenarios Indicators for quality management of policy learning and policy transfer 77
    • Transfer phase I Selection of partners Analysis of measures Selection of measure Prospective study phase Estimate of consequences process Adaptation variants Implementation planning Transfer phase II Transfer analysis Evaluation Feedback (Nuissl, E., 2007) Initially it is important to define precisely what the fundamental problem is (e.g. low participation levels by young people in training measures or too few offers in a certain professional training sector, etc.). The next step involves analysing and defining the area in which the transferred measure is to take effect. Finally it is up to the players to define the goal that should be reached with the transferred measure (considering eventual alternatives, figur- ing out various scenarios on different entry and process steps). 78 Ekkehard Nuissl von Rein
    • Qualitative processes/instruments Expert discussions/workshops Utility analysis Science court process Effectiveness/cost estimate Quantitative processes/instruments Delphi questionnaire Standardised questionnaire Exploration Systematising processes/instruments Consequence-oriented system analysis Computer simulations (according to Böhret and Konzendorf, 2001) Prospective quality management is a process that is increasingly being used in the political area to identify undesired ancillary effects in advance and to allow optimi- sation of the adaptation process of a measure in a different context. 5.4 Quality management in the political process An essential factor in personal reflection is the defined subject of the quality management. There is no quality management without the central player, who plans, implements, evaluates and communicates it. Returning to the starting point, quality management requires a binding authority in both cooperation and the network, which is responsible for these and implements and monitors qual- ity management in practice. What is important is that the link between the re- flection and the learning and transfer process is made in a practical and trans- parent way. Indicators for quality management of policy learning and policy transfer 79
    • A quality management cycle can be imagined in this context that uses eight sta- tions to implement interregional cooperation: Quality management cycle in Prevalet Definition Selection of of players partners Clarification Specification of interests of measure Diagnosis Analysis of situation of measure Evaluation Learning/ of learning/ transfer transfer (Nuissl, E., 2007) The cycle begins with the clarification of the cooperation interest, moves from there to a definition of the players in the cooperation process (players within the relevant Region), leads to the selection of partner Regions, with which cooperation will take place, and finally involves specifying the measure for which learning or transfer is to occur. Finally, in a practical stage, the measure is analysed, defined in its components and considered with regard to the underlying and available effects. These are linked to the decision on whether learning or transfer should occur, which is taken at a later stage in the sequence. The process of learning and/or transfer must then be evalu- ated and fed back, and the ultimate situation diagnosed. Interest can unfold again from this – from a developed new complex structure. 80 Ekkehard Nuissl von Rein
    • References Bauer, H., Biwald, P., Dearing, E. (Hrsg.) (2005), Public Governance. Perform Public Tasks Jointly and Control them Effectively, Wien Böhret, C., Konzendorf, G. (2001), Handbuch Gesetzesfolgenabschätzung (GFA), Baden-Baden Dahme, H. J., Wohlfahrt, N. (ed.) (2000), Netzwerkökonomie im Wohlfahrtsstaat, Berlin Dale, R. (2005), Globalisation, Knowledge Economy and Comparative Education, in: Comparative Education 41 2, S. 117-149 Euler, D. (2001), Transferförderung in Modellversuchen, St. Gallen European Commission (2000), A memorandum on lifelong learning, 30. October 2000 [sec. (2000) 1832 final – not published in the official journal] European Parliament and Council, Recommendation of the European Parliament and of the Council of 12. February 2001 on European Cooperation in Quality Evaluation in School Education (2001/166/EC) Faulstich, P., Gnahs, D., Sauter, E. (2003), Qualitätsmanagement in der beruflichen Weiterbildung. Ein Gestaltungsvorschlag, Berlin/Hamburg/Hannover Friantafillou, P. (2004), Concerning „Network Governance“: The Potential of the Concepts of Gov- ernmentality and Normalisation, Working Paper, Copenhagen Fürst, D. (2004), Chancen der Regionalisierung im Bildungsbereich: Regional Governance, in: Pro- jektleitung Selbständige Schule, Hannover Geißel, B. (2005), Zivilgesellschaft und Local Governance: Good Fellows? Neue soziale Bewegun- gen, (2005) 3, S. 19-28, Stuttgart Gnahs, D. (1996), Handbuch zur Qualität in der Weiterbildung, Frankfurt Hämäläinen, K., Jakku-Silvonen, R. (24./25.09.1999), More Quality to the Quality Policy of Edu- cation, Background Paper, Meeting, Helsinki Hartmeyer, H. (2004), Global Education under Pressure – Do the Millennium Development Goals set the Tone?, in: ZEP 2/2004, Frankfurt am Main Hartz, S., Meisel, K. (2006), Qualitätsmanagement, Bielefeld Jallade, L., Radi, M., Cuenin, S. (2001), National Educational Policies and Programmes and Inter- national Cooperation, Paris Kenmarck, E. C. (2003), The End of Government as we know it, in: Donahue, J. D. et. al. (ed.), Market based Governance, Washington D.C. Kickert, W. J. M. et. al. (ed.), (2000), Managing Complex Networks, Strategies for the Public Sector, London 2000 81
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    • Institutions are also able to learn. The ambition to learn goes hand in hand with the need for policy development and changes. Changes based on abilities, facts and systematic work on performances are done not just by ourselves but also by others in a context unlike the one at home. We compare our results in the field of lifelong learning. When the work seems to be done it starts again but from another unexpected point of departure – that means to have a curious and demanding mind. The SMOC moves forward in a faster and more conscious and consistent way. Kent Johansson, President of Earlall, Regionråd, Västra Götalandsregionen The cooperation among regional governments represents the condition for eco- nomic growth and social cohesion. Helping all the regional and sub-regional territories to satisfy the European benchmarks is the objective. This justifies the task of modernising the systems and their participation in the definition of a Na- tional Strategic Action Plan to implement the Lisbon Objectives. This research offers to us an effective and simplified model of institutional mutual learning especially needed in the next planning period of European Policies. Gianfranco Simoncini, Regional Minister of Education, Regione Toscana The work carried out by Prevalet shows that it is possible for knowledge to be shared between the various Regions of Europe, the Regions being the best sources of information as to the training requirements of their own citizens. The sharing process multiplies the resources available to achieve the objectives laid down by the European Union in the area of education and training. María José Vázquez Morillo, Consejera de Educación, Junta de Andalusía Collaborating with other Regions challenges our traditional ways of doing things. When we try to capture other ways of thinking, we get to know another Regions’ underlying understanding of policies, cultures and perhaps values. To understand the possibilities – or lack of possibilities – for transferring policy measures is, in fact, one of the most significant elements of policy learning. Karsten Uno Petersen, Region of Southern Denmark, Chairman of the Committee for Regional Development 83
    • The development of the Regions of Europe depends basically on the use to be made of the scientific, research and innovation potential. To guarantee this potential it is essential that sound foundations be constructed in the field of education from the youngest age and that adults be motivated to continue the learning process throughout their lives. In this context, cooperation between the Regions can make a significant con- tribution to the success of the defined objectives because they are seeking the same goals and similar difficulties with similar methods and preoccupations. Igone Azpiroz, Directora de Aprendizaje Permanente, Gobierno Vasco I esteem highly the work done by the team on the Prevalet project. Education is defined as a priority in the national and regional policy of the Bulgarian govern- ment. The first results of dialogue and cooperation among the institutions can already be seen. Krastyo Spasov – District Governor of Vidin District 84