Tools For Policy Learning And Policy Transfer Def

TOOLS FOR POLICY LEARNING AND POLICY TRANSFER

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.

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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:


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)


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


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


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


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-


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).


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.
3. Organisation: actors per system and functions
Description of the structure
4. Suppliers
Description of who is responsible for delivery
Description of the typology of programmes and activities
6. Services
Services Functions Organisation Suppliers Financing
Demand
Motivation
Information
Guidance
Validation
Certification
Others
Supply
Quality control
Distance learning
Resource centres
Teacher training


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)
8. Personnel
Selection and description of measures concerning the personnel involved in the implementation of
the policy

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.


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).


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.

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.


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-


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.


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


(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.


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.


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)


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
• …….)


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


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.


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


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:


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.


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.


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.


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.


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)


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.


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).


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.


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”.
(…)


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