Policy formulation
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Policy formulation
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Policy formulation
- 1. Sequence • Introduction • What is policy • Sources of policy formulation • Policy formulation process • Features of a good policy • Policy formulation in developing countries-Pakistan’s Experience • Conclusion 1
- 2. Essential Skills for Public Servants-7 Public Policy Formulation and Analysis 2
- 3. Introduction • World Bank defines the governance as the traditions and institutions by which authority in a country is executed, including the process by which governments are selected, monitored and replaced. • Quality of governance in a country is judged by its capacity to effectively formulate and implement sound socioeconomic policies. • Although policy formulation is the privilege and responsibility of the elected members, its faithful implementation is the duty of the public servants. 3
- 4. Introduction • However civil servants also play a pivotal role in policy formulation as they prepare/vet the draft policy. Thus any badly drafted public policy will adversely impact upon your service delivery. • This presentation explains the way policies are formulated, the steps involved and the activities to be performed in the various steps. It also lists the criteria to judge the efficacy of a policy and ends with the major weaknesses of policy formulation in Pakistan 21/09/2018 4
- 5. What is Policy • Formal documented statement of intentions and actions of an organization/authority either to remove certain deficiencies or to improve the conditions in any particular area • “whatever governments choose to do or not to do” Thomas Dye (1987) • “Purposive course of action or inaction undertaken by an actor or a set of actors in dealing with a problem or matter of concern” Anderson (1994) 21/09/2018 5
- 6. Features of Policy • Not a random act, rather a deliberate action • Approved by public representatives, applicable by state apparatus • Not a piece of legislation but has its own sanctity • Distinct from strategy to implement it • It could be a part of an overall development policy i.e. National Development Strategy or it could be a specific departmental policy i.e. Food Security Policy 21/09/2018 6
- 7. Components of Policy • Statement of Facts/Intentions • General Clauses • Policy Directions • Policy Measures • Institutional Mechanism • Repeal Clauses 21/09/2018 7
- 8. Sources of Policy Formulation • Societal structural changes-demographic transition, economic transformation, social reengineering, globalization etc may necessitate policy formulation • Regime change- new political elite may have new vision, mission and agenda for which new policies are needed • Donors/world institutions-their aid may be contingent upon certain policy changes, structural reforms 21/09/2018 8
- 9. Sources of Policy Formulation • Global commitments-state enters into international conventions which normally need local policy formulation • Pressure groups-industrial ,agricultural lobbies, social causes advocacy groups can force state for this • Court Orders-Superior courts sometimes pass orders for formulating clear policies or review an existing policy while hearing any case 21/09/2018 9
- 10. Stages of Policy Formulation • Initiation of policy process • Policy formulation • Policy implementation • Policy monitoring and evaluation 21/09/2018 10
- 11. Initiation of policy process • Competent authority takes cognisance of a situation for any reason i.e. Awareness of a precarious internal security situation. Pressure on the government to provide cheap housing Need to change conditions affecting employment situation. Pursuit of food security objectives as part of national program • Decides to formulate a policy to address the issue • An in-house or multisectoral task force is constituted 21/09/2018 11
- 12. Policy Formulation-Phases • PHASE- 1 Establishment of a task force • PHASE -2 Diagnosis of the situation • PHASE-3 Production of a first/second draft of the policy • PHASE- 4 Presented for endorsement. 21/09/2018 12
- 13. Policy Formulation Approval • The concerned ministry gets its approval from the competent authority, usually the minister in charge • In case of multisectoral policy- the cabinet • If it affects the provinces-Council of Common Interests (CCI) • Once approved ,it is formally notified 21/09/2018 13
- 14. Policy Implementation • Once approved ,the civil servants execute it • Prepare strategy to implement it-procedures or programmes or both • Correct interpretation is the essence of ethics • Go for positives, empathy while interpreting it • Remember every precedent is not to be followed 21/09/2018 14
- 15. Policy Monitoring & Evaluation • Essential element of policy cycle • Effective in achieving the objective ? • Take mid-term corrections where needed • Periodic revision of the policy 21/09/2018 15
- 16. Features of a Good Policy • Legal/Constitutional Validity • Internal Consistency • External Consistency • Technical Feasibility • Resources Availability • Financial Viability • Economic Benefits • Social Acceptance • Political Commitment • Environmental Compliance 21/09/2018 16
- 17. Legal/Constitutional Validity • Any proposal made in a policy document against the law of the land is ab initio void • Constitution is a social contract between the state and the society and you as the public servants and as government servants are under oath to protect it • That’s why the opinion of the Ministry of Law on all policy documents is mandatory. Never skip it whatever may be the urgency 21/09/2018 17
- 18. Internal Consistency • It is comprehensive-covers all issues/aspects • No two parts of a policy contradict each other • Indicates the areas/people intended • Must have a repeal clause • States date of its application • Has institutional implementation mechanism 21/09/2018 18
- 19. External Consistency • Twin criteria a. In sync with the overall aims of state b. Does not conflict with other policies • In case of inconsistency ,go for a. Policy revision or b. Consultations for resolution 21/09/2018 19
- 20. Technical Feasibility • Proposed actions are technically feasible • Contingency provisions are in place 21/09/2018 20
- 21. Resource Availability • It is easy to include grandiose projects while announcing the development policy of a country but it will remain only a pipe dream if you lack administrative wherewithal to carry out these projects. • Same is the case if there is shortage of adequate financial resources to execute these projects. 21/09/2018 21
- 22. Financial Viability • Projects proposed be self financing- do apply user charges for any facilities provided • Provide exemptions for poor sections of society • Application of user charges creates ownership • People will demand transparency also 21/09/2018 22
- 23. Economic Benefits • If financially not viable, the proposed projects must have economic benefits • Does it create employment opportunities? • Opens up new areas? • Lifts marginalized sections of society? • Costs-benefits ratio must include these spinoffs 21/09/2018 23
- 24. Social Acceptance • In harmony with the social norms and values • However ,some norms must be changed • Should not be discriminatory on any basis • However affirmative action is permitted- quota for rural areas 21/09/2018 24
- 25. Stakeholders’ Acceptance • Prepared in consultation with the stakeholders • Institutions/stakeholders clearly identified • Their respective roles stated • Institutional set up for effective coordination 21/09/2018 25
- 26. Political Commitment • Intra-party as well as inter-party consensus • Basically job of the minister • However your inputs will be crucial • Look at it from their point of view • However do not compromise on fundamentals 26
- 27. Pakistan Experience • Mixed Bag • Procedural mismatch • Institutional overstepping • Structural flaws • Evaluation failure • Personality imprints • Global influences • Implementation inadequacies 27
- 28. Mixed Bag • Pakistan can boast of some very good policies formulated and executed during its 65 years of formal existence as a nation-state • It has some glaring examples of poorly designed or badly executed policies. • Some times it did not have a policy at all for a long time in the field in crucial sectors like agriculture and industry, land use, transport etc as is now. • Examples of good policies-Pakistan Poverty Reduction Strategy, National Growth Strategy 28
- 29. Procedural Mismatch • Policy formulation is the exclusive domain of the elected representatives. However they do not take interest in its formulation • Normally they just rubber stamp the policy drafted by the bureaucrats, creating crises of legitimacy • It create crises of ownership, not properly reflecting the wishes of the people • Who will monitor its implementation if those who were supposed to make it just abdicated their role ? 29
- 30. Institutional Overstepping • Every institution is responsible to formulate policies belonging to its sphere with suitable inputs from all the concerned stakeholders • However in case of some very important national issues such as defence, national security, foreign policy etc the concerned ministries have been abdicating their responsibility and allowing others to call the shots 30
- 31. Structural Flaws • Some of the features listed before for judging the relevance and efficacy of a good policy are sadly missing in most of the cases • These include internal/external inconsistencies, lack of stakeholders’ participation, absence of evaluation mechanism etc 21/09/2018 31
- 32. Evaluation Failure • Every policy must have some clearly defined evaluation mechanism not only to gauge its impact but also to learn lessons for future • Unfortunately this crucial element of policy formulation has been missing in most of our policies 32
- 33. Personality Imprints • Policies should reflect the wishes of the people through their elected representatives and owned by the institutions even if there has been a champion behind any policy • However in case of Pakistan most of the policies are known by the name of the person who championed it and invariably go to cold storage when the personality is gone 33
- 34. Global Influences • Globalisation is affecting the policy formulation directly as well as indirectly in every country. This is all the more penetrative where the state is suffering from capacity and legitimacy deficits • Pakistan is no exception to this wholesale blind following of global actors’ prescriptions which can be visible in almost all major policies formulated • This is not bad if the policies formulated have been in sync with the wishes of the people but not in accordance with the wishes of foreign forces with one size fits all label 34
- 35. Implementation Inadequacies • Best designed policies are doomed because of their poor implementation • Basic reason for this lopsided implementation has been the absence of commitment which in turn stems from lack of ownership • Capacity deficit at the implementation level i.e. bureaucratic ,has been the major cause for this failure 35
- 36. Conclusion • Study the manifestoes of all the major political parties taking part in an elections • Critically appraise their proposed policies about various challenges the country is facing. • Compare them with existing policies and find out the differences in these two sets • Prepare a draft policy about any area of your interest 36
- 37. Request • Thank you for viewing the presentation • Its article version is available at my website www.shahidhussainraja.com • I shall be grateful if you visit this website and give your feedback • Any suggestion for improvement will be appreciated ad acknowledged 37
- 38. Thanks 38
Notes de l'éditeur
- In the contemporary world, the need for effective, informed and neutral policy makers and public servants is ever increasing as the issues pertaining to government are becoming more complex in nature.
- Policy is a formal documented statement of intentions and sets of actions of an organization/authority to either remove certain deficiencies or improve the conditions in any particular area of concern/interest such as housing shortage, food crises, water contamination, growing poverty etc. It could either be a part of an overall development policy and strategy of the country i.e. Growth Strategy for Pakistan prepared by the Planning Commission or it could be a specific document addressing a particular issue i.e. Food Security Policy, Poverty Reduction Strategy, National Housing Policy, Climate Change Policy etc. Generally a policy is prepared to address a specific problem such as Reducing the shortage of affordable housing facilities in an area Preservation of heritage while improving an existing city or town Improving the environmental conditions of a locality Providing age related facilities in an area
- Policy formulation and implementation is not a random act of an organization, rather it is a deliberate action taken by a competent authority which initiated the action and is approved by the public representatives, usually the minister in charge of a ministry or the cabinet. Although it is not a piece of legislation approved by the parliament in the form of an act of parliament, it has the sanctity of its own and can be used as a reference for dispute resolution in the court of law. In some cases the policy itself or parts of the document, which is in essence a value judgment of the regime in power, could be converted into an act of parliament. As it is the prerogative of the state to formulate a policy it is implemented by the state apparatus which formulates strategies to implement it. Consequently policy is distinct from the strategy in the sense that while the policy is fairly general in nature indicating what is to be done and why, the strategy outlines the exact measures to be taken for realizing the goals and objectives set out by the policy.
- There are a variety of reasons for governments to take the initiative for developing a policy e.g.: Awareness of a precarious internal security situation. Pressure on the government to provide cheap housing Needs to change the conditions affecting the employment situation. Pursuit of food security objectives as part of the national programme. Once is has been decided to formulate a policy to address a problem, an in-house or multisectoral task force is constituted to diagnose the situation, formulate a draft policy document and submit it to the relevant authority for its validation.
- Policy formulation is an iterative process, comprising various sub-steps and involving all relevant stakeholders to ensure that the policy is realistic, feasible, widely accepted and supported, and that can be effectively implemented. There are two options for preparing a policy document each having advantages and disadvantages: Integration of policy concerns into overall and sectoral policies. While this approach has the advantage that it ensures integration of policy concerns in other relevant sector policies, the flip side is the risk of conceptual ambiguities and inconsistencies in the pursuance of objectives in the different sectors. Preparation of a sector-specific policy document, which has the advantage of providing a consistent framework of objectives and policy measures. However there is a danger that the different sector ministries feel less committed to make their contribution to policy formulation and implementation. Whichever option is chosen, there are normally four phases in draft policy formulation and its validation process PHASE- 1 Establishment of a task force composed of representatives of key stakeholders, for draft policy formulation. It may be advisable to form sub-teams to deal with specific issues. Representatives of the ministries mandated with these issues need to be represented in the sub-teams. PHASE -2 Diagnosis of the situation during which the following tasks are to be performed: •Collecting and analyzing relevant data and information; •Reviewing existing policies; •Stocktaking of existing initiatives; •Consulting relevant governmental and non- governmental organizations During this phase, a first round of policy formulation workshops should be conducted at central and decentralized levels. PHASE-3 In this phase the task force will produce a first draft of the policy document(s). The document needs to set out the objectives to be achieved, and to address all relevant issues related to where action is required. PHASE- 4 The first draft policy document will be circulated to all relevant stakeholders for review and comments. A second-round stakeholder workshop for discussing the first draft policy document(s) should be conducted. On the basis of the feed back on the first draft, the task force will prepare a revised second draft policy document, setting-out the objectives, priorities, and an outline of the policy measures to be taken to achieve the objectives. This second draft will be presented to the head of the Ministry/department who will have to endorse the policy.
- Once validated, the concerned ministry or department gets its approval from the competent authority usually the minister or in case of multisectoral policy, the cabinet. If it affects the provinces, then the approval of the Council of Common Interests (CCI ) is mandatory.
- Implementing the policy approved by the competent authority is role of the civil servants who are responsible for its effective and efficient execution. Prepare strategy to implement it efficiently, effectively and transparently.On the basis of the measures and priorities defined in the document, a Strategic Plan of Action for implementing the policy measures will have to be formulated. There can be three types of policy measures: 1. Regulatory type wherein a set of rules, regulations and procedures are recommended for the public authorities and applied in policy implementation. 2. Programme type wherein the recommended policy measures are implemented through launching of specific programmes/ projects. 3. Combination of the regulatory and programme types of policy measures. This type of combined measures are needed in the following cases •When minimum subsistence levels are established as a legal right of each citizen; there must be a programme to put this right into practice. • If, in order to keep food prices low, food price and/or consumer subsidy regulations are introduced, there needs to be a programme to put these regulations in to practice. • A programme for sustainable resource management may only be effective if a land reform or new land use regulations are enacted.
- Monitoring and Evaluation (M&E) is an essential element of policy formulation and implementation cycle to ensure that the policy is effective in achieving the objective and take mid-term corrections where needed. The M & E system serves various important functions: 1. To provide the government and other stakeholders with up-to-date information on the state of implementation of the policy. 2. To assess whether the implementation of the policy is on track towards attaining the planned objectives 3. To identify any flaws in the design or implementation of the policy that needs to be corrected to ensure effective policy implementation. 4. To make proposals for respective policy adjustments. The establishment of an M & E System should be guided by the following principles: 1. Different stakeholders should perform M & E at all levels of policy implementation 2. Monitoring activities by different organizations need to be harmonized. 3. A central M & E unit is responsible for the compilation and analysis of the M & E results of all related interventions. 4. At certain time intervals, comprehensive evaluations of the progress in implementation and achievements of the policy will need to be conducted
- Several factors are responsible for the formulation of a coherent policy document and its successful implementation. You should, therefore, be not only well versed with the procedure for policy formulation, monitoring and evaluation, and its various components but also the success criteria of an effective policy
- Only those policies are successful which are comprehensive in the sense that they take care of all the important issues for which they were formulated in the first place, do not have any internal contradictions between any two or more parts, clearly identify the areas and groups of people they were meant, have a date of application and do formally repeal or modify any previous policies if any. Ideally they should contain an institutional mechanism for its successful implementation
- No policy is a stand-alone set of measures, rather a cross cutting set of measures; it must therefore review other existing policies that affect or will be affected by the proposed policy. Consequently while preparing a policy, linkages and cross cutting nature of any policy must be addressed by following the twin criteria i.e. a. It should be in sync with the overall aims and objectives of the state or government b.It does not conflict with other departments' policies In case of inconsistency ,go for policy revision or consultations with other departments for resolution
- Policy must also take into account such events, which are likely to affect its implementation. For example food security document must keep in mind the adverse effect of climate change, floods. Similarly the planning policy should cater for the possibility of earthquakes in an area prone to such calamity and provide for strict building code, including laying down guidelines and technical specifications
- Ideally, wherever possible, the projects/programmes proposed should pay off sooner or later either in full or partially over a period of time. This can be done by levying user charges with exemptions to those living below the poverty line. It creates ownership and demand for transparency
- should not diametrically oppose the social norms and values
- Policies must be prepared in consultation with the stakeholders to have their ownership for their smooth implementation and long-term sustainability While preparing a policy, the institutions which have a stake in the policy formulation and implementation as well as the relevant stakeholders must be clearly identified as well as their respective roles stated It should also indicate possible arrangements for functional institutional set up to ensure effective coordination among these institutions and stakeholders n a typical set up, following institutions have a stake in the policy formulation and implementation. Planning commission Concerned departments Other departments Local governments and institutions Non-governmental institutions.
- Intra-party as well as inter-party consensus is a guarantee for its successful implementation