Public Policy Management in Nepal

1. Public Policy Management in Nepal

2. Outline • Explain the concept of Public Policy • Analyze the public policy issues in changing context of governance • Identifying and framing policy problems • Identify policy formulation process • Identify the mechanism of policy implementation • Analyze the considerations in policy implementation and review PPM-NASC

3. Public Policy Defined • What is Policy?? • ‘Policy is a general term used to describe a formal decision or plan of action adopted by an actor…to achieve a particular goal… PPM-NASC

4. Public Policy Defined • What is Public Policy?? • The actions of government and the intentions that determine those actions. • Whatever governments choose to do or not to do. (Thomas Dye) • ‘Public policy’ is a formal decision or a plan of action that has been taken by, or has involved, a state organization. (Richards and Smith, 2002) PPM-NASC

5. Public Policy Defined Public policy is the broad framework of ideas, values and actions within which decisions are taken and action is pursued by governments in relation to authoritatively responding to some public issue or problem. PPM-NASC

6. Public Policy Defined It is the legitimate instrument by which government translates its political vision into programmes and actions to deliver 'outcomes' for achieving desired change and transformation in the society. PPM-NASC

7. Public Policy Defined • Thus, we find no commonly accepted definition, but as a working definition: “course of action or inaction chosen by public authorities to address a given problem or an interrelated set of problems” Pal, Leslie A., (2010) Beyond Policy Analysis: Public Issue Management in Turbulent Times Fourth Edition (Scarborough, Ont: Nelson Thomson Learning), p.10 PPM-NASC

8. Public Policy Making • Logical integration of policy development and formulation, policy analysis, policy legitimating and policy implementation, and • preparedness to give effect to effective policy delivery for the achievement of result and transformation. PPM-NASC

9. Public Policy Making • Systematic and logical process of translating political vision into programmes and actions • Determining and achieving societal goals • Delivering outcomes and results of social and governance value • Designing instruments for authoritative allocation of societal values • Process and mechanisms for initiating social change and control • Combination of policy formulation, policy analysis and policy implementation preparedness PPM-NASC

10. Tenets of Good Policy • Deliberate objectives (development, program, project and service level), goals and desired outcomes • Implementability: Compatible to or able to create structures, systems of enforcement, willingness, social support, practical • Room for reforms: Timely improvements and dynamic adjustments • Made with system approach—demand-interaction-supply • Broad-based participation of public (making and implementation) —process and collaborative exercise PPM-NASC

11. Tenets of Good Policy • Consistent with the constitution • Compatibility, harmony and synergy • Clear, concise and enforceable • Legitimacy • Responsiveness • Global dimension– global perspectives with local priorities • Effective monitoring mechanism PPM-NASC

12. Tenets of Good Policy What the community wants What the market provides How is expert judgment Good Public Policy What political & business leaders want Most efficient use of public resources PPM-NASC

13. Good public policy must be • Socially acceptable: Citizens and interest groups feel that the policy reflects their important values, e.g., fairness and equity, cost, consistency, justice. • Politically viable: The policy has sufficient scope, depth, and consensus support that elected officials are comfortable with the decision. • Technically correct: The policy meets any scientific or technical criteria that have been established to guide or support the decision. PPM-NASC

14. Types of Public Policy • Regulatory Policy (e.g. Setting a Age-Bar for Alcohol buying and consumption in Sweden) • Distributive Policy (e.g. Free University Education in Germany) • Re-Distributive Policy (Income Tax… higher the income, more the tax) • Constituent Policy (e.g. Threshold in Election as in the Netherlands and Nepal) [Also sometimes divided as: substantive, regulatory, distributive, redistributive and capitalization] PPM-NASC

15. Policy Process Policy process encompasses a range of activities in a number of different jurisdictions, including local and state governments • Agenda setting (Problem identification) • Policy formation (Alternatives) • Decision-making • Policy implementation • Monitoring and Evaluation(through mechanism) • Policy analysis and evaluation (continue or terminate) PPM-NASC

16. Policy Process as Cycle PPM-NASC

17. Video: Making Public Policy PPM-NASC

18. If I got a problem and 100 mins to address that, I’ll spend 95 mins for analyzing the problem and remaining for solution. PPM-NASC

19. Video: Problem Definition PPM-NASC

20. Some critical questions • For whom is it a problem? • State authorities (Politicians/ bureaucracy) • Citizens • Donors • Other stakeholders? PPM-NASC

21. Some critical questions • Who are the actors in the problem? • What roles do actors play? • Do they show similar characteristics? • How important is it to have evidence? PPM-NASC

22. Some critical questions • What do evidence support for? • Is leadership competency necessary to frame the problem? • What values of leadership are essential? PPM-NASC

23. Public Policy Action • Critical question: must the public authorities act on the identified problem? • Does the state has the responsibility for solving the public problem? • Does the state has the resources to act on it? • Does the state acting on the problem create a precedent? • Or is there a precedent that the state has already chosen not to act? • If the state does not act, will the problem correct itself? • Are present state actions sufficient to solve the problem? PPM-NASC

24. Exercise-1 Now in your group identify any one public policy problems that you consider the government/your institution should resolve as priority • Why do the government/institution need now to address the problem through policy? • What obstacles are there to resolving the issues? • Who is/are affected by the issues? • Where would you find information on the challenges? Work-20 minutes in small group, Report back to the plenary PPM-NASC

25. Policy Management PPM-NASC

26. Key Objectives of PPM • Developing and formulating socially and economically legitimate policies • Making policies implementable and capable of delivering outputs and results • Ensuring policy compliance • Promoting broad-based participation • Managing policy changes and reforms PPM-NASC

27. Public Policy Management • Systematic, organized and planned efforts for policy development, policy analysis, policy implementation, policy evaluation and policy improvement for achieving governance effectiveness in satisfying the environment and achieving quality of life of citizens. • Modern policy management calls for efficiency, validity, delivery and accountability. PPM-NASC

28. Public Policy Management • Major stages: • Issue/problem definition • Selection of tools of policy action • Planning for policy implementation and communication • Policy implementation, monitoring and evaluation PPM-NASC

29. PPM: Static vs. Dynamic • Dynamic Management • Proactive and persuasive • Interactive and participative • Collaborative and team-based • Continuous improvement • Responsive • Empowered • Dynamic linkages • Static Management • Top-down • Authority-based • Content and Process-focus • Mechanistic • Formality • Neutrality • Scalar linkages PPM-NASC

30. Public Policy Analysis • “Policy analysis is a process of multidisciplinary inquiry designed to create, critically assess and communicate information that is useful in understanding and improving policies” • Multiple methods of inquiry and argument to produce and transform policy-relevant information. PPM-NASC

31. Public Policy Analysis • Application of social science theories and methods to the analysis of alternative policy responses to public issues. • Systematic, scientific and data-based judgments to policy choices. • Use of scientific and sociological knowledge and skills for making, appraising, estimating and projecting public policy. PPM-NASC

32. Potential Benefits of Policy Analysis • Providing in-depth explanations of why and how policy outcomes were or were not achieved and are not going to be achieved. • Sensitizes the political leadership on strategic issues and concerns of policy contents, process and policy outcomes. • Providing instruments and tools to make future policy development and implementation more effective. PPM-NASC

33. Potential Benefits of Policy Analysis • Providing a process which itself involves those making and implementing policy and which is therefore likely to lead to more workable policies. • Providing mechanisms that open the policy process to a broader array of stakeholders. • Providing policy predictions on probable consequences and ground for readiness to respond. PPM-NASC

34. Policy Analysis Logics: Stages and Actions • Policy Intelligence: Identification and understanding • Explanation: Interpretation of policy issues • Exploration: Determination of alternative policy choices PPM-NASC

35. Policy Analysis Logics: Stages and Actions • Examination: Assessment of causes and consequences, and risks of policy options • Determination: Rational policy choice • Projection: Policy outcomes and effects • Advise and Recommendation: Adoption and measures to effective implementation PPM-NASC

36. Evidence based policy analysis What evidence is available, relevant and useful— • Broad understanding of problem or issue • Evidence for policy direction and policy challenge • Use of scientific tools and techniques • Suggestions for possible solutions • Insights into the likely impacts in the future • Empirical evidence for judging policy: use of research • Evidence-based reforms initiatives PPM-NASC

37. Forms of policy analysis • Content analysis • Methodological analysis • Assessment of outputs and impacts • Cost benefit analysis • Implementability analysis • Force field analysis—restraining & driving forces • Sustainability analysis • Strategic analysis PPM-NASC

38. Perspectives and Directions of Public Policy Management in Nepal PPM-NASC

39. National Policy Priorities and Their Bases (2) • Preamble of Constitution: Embracing sovereign right of the people and the right to autonomy and self- rule, by maintaining Nepal‟s independence, sovereignty, geographical integrity, national unity, freedom and dignity,  • Fundamental rights:  Ǿ Right to live with dignity, right of freedom for expression, association, political participation, occupation etc, right to - equality, information, justice, non-discrimination, property, clean environment, basic education, employment, primary health care, food, shelter. Ǿ Rights of women, children, Dalits, senior citizens, etc. Ǿ Right to social justice, right to social security, right to privacy, right of consumers ( positive discrimination in several rights acknowledged).  PPM-NASC

40. National Policy Priorities and Their Bases (3) • Directive principles of the state: Federal states with decentralized governance, proportional, inclusive and equitable representation • Three pillars of state - Government, cooperatives and private sector, socialism oriented approach, value of welfare state. • Structure of the state and separation of powers among executive, legislative and judiciary organs of the state. • Defined roles and responsibilities of constitutional bodies • Federal set up: Rights and responsibilities of federal jurisdiction, provinces and the local bodies (education, health, water supply, rural infrastructure, agriculture, cooperative, disaster management, social security etc). PPM-NASC

41. National Policy Priorities and Their Bases (4) • Long term development strategy of the nation • International conventions, agreements, global events, crisis, commitments, etc. • Regional and bilateral agreements, commitments, treaties, etc  • National events such as conflict, disaster, uprising, agitation, revolts, etc • Social changes and new issues brought about by technological changes, scientific advancements, • Pressure from rights groups, civil societies, and community organizations, citizen aspirations, etc. • Initiatives and conditions of aid agencies for development assistance. PPM-NASC

42. Public Policy Process in Federal Context (1) Political Context • Broader political context: Political system and political institutions, philosophical/ideological background and political culture of the political parties • Principles and values of major /ruling political parties: Reflected through documents of periodic conventions, election manifestos and public addresses • Presidential address of the policies and programs of the ruling parties, budget speeches, and cabinet decisions of the ruling parties. • Contemporary national political issues such as economic crisis, conflict, disaster, or global and regional threats. PPM-NASC

43. Public Policy Process in Federal Context (2) Bureaucratic Context • Bureaucrats to put government policy into practice along with federal bureaucracy having a large impact on policymaking. • In order to get their policies implemented, political leadership in the government and parliament must work with the bureaucracy for the following reasons: • Expertise of bureaucrats: those who administer policy often know much more about the issues than the political institutions which formulate them; this expertise gives the bureaucrats the power.  • Need for enabling laws and regulations: Bureaucrats have to draft the enabling regulations, guidelines, working procedures and directives which demand their participation in the policy formulation stage itself. • Policy implementation: When policies are formulated, they need to be detailed on how the policy will be implemented. PPM-NASC

44. Public Policy Process in Federal Context (3) Non-state sector • Market institutions, private sectors and forces of globalization, liberalization and privatization • Non-government organizations, social pressure groups, community organizations and minorities’ stakeholders • Civil society actors, rights activists, elites and community leaders, opinion makers, and interest groups • Professional and research institutions and • International development partners and global governance agencies (like the UN, WTO, IMF, WB, etc) PPM-NASC

45. Issues in Public Policy Management (1) Demand-Supply Gap • Political ambition and weak footing on socio-economic reality, imitation or external pressure based formulation. • Capacity constraints at political leadership levels, preoccupied perceptions or notions on policy need and policy changes, problem properly is undermined to existing practice of individual decision making. • Limited professional capacity, knowledge, skill and integrity in policy making at all levels. • Policies guided by the interests of various pressure groups, I/NGOs and elites rather than the general public. • Lack of policy needs assessment, institutional homework and preparation, lack of people’s participation. • Stakeholders’ limited awareness & ownership of policies PPM-NASC

46. Issues in Public Policy Management (2) Policy Prioritization • Policies which work as instruments of implementation of the fundamental rights of the citizens as enshrined in the constitution • Policies which help to develop resilience to disasters and shocks –domestic or external • Policies which help peace building and avoiding conflict - inclusion and justice. • Policies which ensure effective government, vibrant private sector and a socially responsible cooperative and community sector. • Policies which create investment climate, benefit from globalization and mobilize external resources, etc. PPM-NASC

47. Issues in Public Policy Management (3) Policy Implementation • Legislative and regulatory framework • Programming, resource management and budgeting • Choosing implementing agencies or partners • Setting accountability mechanism and monitoring progress • Adjusting policy premises based on frequent feedbacks from the stakeholders. PPM-NASC

48. Issues in Public Policy Management (4) Policy Monitoring and Evaluation • Monitoring policy an integral component of policy cycle; can improve policy information, help link policies to specific outcomes and help identify and evaluate policy impacts • Policy monitoring can be used to support advocacy efforts, get feedback for improvements and guide for development of new, timely, and relevant policies. • Policy evaluation for checking the effects in terms of its relevance, credibility, outcome, efficiency, sustainability and overall impact. But policy evaluation equally a challenging job – particularly when policies are ambiguous, subjective, and multipurpose. PPM-NASC

49. Role of Senior and Mid-Level Officials in Policy Management • Identifying Policy Gaps and taking Initiatives • Being Instrumental in Policy Formulation Stage • Being Pro-active in Policy Planning, Programming and Budgeting • Leading Policy Implementation • Supporting Policy Evaluation and Feed Back PPM-NASC

50. Implementing Policy PPM-NASC