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Essential Skills for Public Servants-7

Public Policy Formulation and Analysis

Shahid Hussain RajaIndependent Consultant-Public Policy

www.shahidhussainraja.com

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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

Sequence

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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.

Introduction

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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

Introduction

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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)

What is Policy

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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

Features of Policy

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Statement of Facts/Intentions

General Clauses

Policy Directions

Policy Measures

Institutional Mechanism

Repeal Clauses

Components of Policy

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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

Sources of Policy Formulation

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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

Sources of Policy Formulation

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Initiation of policy process

Policy formulation

Policy implementation

Policy monitoring and evaluation

Stages of Policy Formulation

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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

Initiation of policy process

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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.

Policy Formulation-Phases

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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

Policy Formulation Approval

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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

Policy Implementation

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Essential element of policy cycle

Effective in achieving the objective ?

Take mid-term corrections where needed

Periodic revision of the policy

Policy Monitoring & Evaluation

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Legal/Constitutional Validity

Internal Consistency

External Consistency

Technical Feasibility

Resources Availability

Financial Viability

Economic Benefits

Social Acceptance

Political Commitment

Environmental Compliance

Features of a Good Policy

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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

Legal/Constitutional Validity

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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

Internal Consistency

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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

External Consistency

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Proposed actions are technically feasible

Contingency provisions are in place

Technical Feasibility

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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.

 

Resource Availability

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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

Financial Viability

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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

Economic Benefits

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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

Social Acceptance

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Prepared in consultation with the stakeholders

Institutions/stakeholders clearly identified

Their respective roles stated

Institutional set up for effective coordination

Stakeholders’ Acceptance

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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

Political Commitment

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Mixed Bag

Procedural mismatch

Institutional overstepping

Structural flaws

Evaluation failure

Personality imprints

Global influences

Implementation inadequacies

Pakistan Experience

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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

Mixed Bag

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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 ?

Procedural Mismatch

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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

Institutional Overstepping

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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

Structural Flaws

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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

Evaluation Failure

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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

Personality Imprints

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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

Global Influences

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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

Implementation Inadequacies

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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

Conclusion

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Request

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