Public Policy Development AlexBrillantes_Presentation_to_DHSUD_18August2021.pdf

1. Public Policy Development: Landscape and Process Problem Identification and Agenda Setting (Day 1: 18 August 2021) alex b. brillantes, jr , PhD Professor and former Dean, UP National College of Public Administration UP Scientist Presentation Notes a three-day (8-18; 25 and 9-1, 2021) Capacity Building on Policy Formulation and Implementation for the Department of Human Settlements and Urban Development (DHSUD) supported by the UN- Habitat. The three day program is being conducted with Dr Kristopher Berse and Professor Simeon Ilago of UPNCPAG. We are grateful to Mr Reinero Flores and the team from DHSUD and UN-HABITAT for the privilege to be part of this very important Program.

2. GOOD MORNING!!! WELCOME Great to Meet you Dear Friends and Co-learners in the DHSUD Bureaucracy!!!

3. Welcome to our three-day Learning Co-creation workshop !

4. The Public Policy Process (Dunn) https://texaspolitics.utexas.edu/archive/html/bur/features/0303_01/policy.html

5. Process of Policy Analysis (Dunn 1981)

6. • Alex Brillantes - Day 1, August 18 (Public Policy Development Landscape and Process Problem Identification and Agenda Setting) • Kris Berse – Day 2, August 25 (Policy formulation, Policy Advocacy) • Simeon Ilago – Day 3, Sept. 1 (Policy Instruments, Implementation and M&E)

7. Our Team ☺ meeting late into the night

8. Overview of Presentation Day 1 • The Governance Context • Policy Development and Landscape • Policy Identification and Agenda Setting Day 2 • Policy Formulation • Policy Advocacy and Communication Day 3 • Instruments for Policy Adoption and Formulation • Policy Monitoring and Evaluation

9. I OVERVIEW AND CONTEXT

10. THE TREE SWING PROJECT

11. • The challenge is that many times we in government – policy makers and policy implementors alike – think we know what is best for our people. We need to consult them. And we need to listen to them. That is what good governance is all about. • Imperatives of Alignment and Context • AND POLICY ANALYSIS IS A TOOL THAT WOULD HELP US IN THE PROCESS

12. • Alignment / Non-alignment of Policies • Lack of Context • Errors to the third kind • Kimball "error of the third kind" as being "the error committed by giving the right answer to the wrong problem" • Mathematician Richard Hamming: "It is better to solve the right problem the wrong way than to solve the wrong problem the right way".

13. Errors of Third Kind? • Color Coding • Number Coding in Edsa • Many bought second, third cars “pang coding”

14. Error of Third Kind: Kubeta Village Kubeta village and smokey mountain in the late 80s of the Ministry of Human Settlements Jolly Benitez “Kubeta Village.” Relocation site for squatter in Carmona Cavite which was supposed to be completely built – facilities, amenities and all. But when it was investigated all that it showed was a big piece of land with rows upon rows of toilet bowls lined up Kapitan Dollente of Smokey Mountain: “Aanhin ang kubeta kung walang itatae doon?” Brillantes, “National Politics Viewed from Smokey Mountain” iKerkvliet, From Marcos to Aquino, Ateneo University Press, 1991) CONTEXT!

15. Locating Program Management within the context of the Policy Pyramid Values for Good Governance Policies Programs Projects Activities

16. Policy Program/s Projects Activities Source: Simpas, Brillantes Values and Goals Brillantes and Tiu Sonco

17. 11.1 By 2030, ensure access for all to adequate, safe and affordable housing and basic services and upgrade slums 11.2 By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons 11.3 By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries 11.4 Strengthen efforts to protect and safeguard the world’s cultural and natural heritage SDG 11 Targets

18. 11.5 By 2030, significantly reduce the number of deaths and the number of people affected and substantially decrease the direct economic losses relative to global gross domestic product caused by disasters, including water-related disasters, with a focus on protecting the poor and people in vulnerable situations 11.6 By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality and municipal and other waste management 11.7 By 2030, provide universal access to safe, inclusive and accessible, green and public spaces, in particular for women and children, older persons and persons with disabilities SDG 11 Targets

19. 11.A Support positive economic, social and environmental links between urban, peri-urban and rural areas by strengthening national and regional development planning 11.B By 2020, substantially increase the number of cities and human settlements adopting and implementing integrated policies and plans towards inclusion, resource efficiency, mitigation and adaptation to climate change, resilience to disasters, and develop and implement, in line with the Sendai Framework for Disaster Risk Reduction 2015-2030, holistic disaster risk management at all levels 11.C Support least developed countries, including through financial and technical assistance, in building sustainable and resilient buildings utilizing local materials SDG 11 Targets

20. • Adopted at the United Nations Conference on Housing and Sustainable Urban Development (Habitat III) in Quito, Ecuador, on 20 October 2016. • Endorsed by the United Nations General Assembly at its sixty-eighth plenary meeting of the seventy-first session on 23 December 2016.

21. IMPLEMENTING THE NEW URBAN AGENDA MEANS: • Urban Rules and Regulations. The outcomes in terms of quality of an urban settlement is dependent on the set of rules and regulations and its implementation. Proper urbanization requires the rule of law. • Urban Planning and Design. Establishing the adequate provision of common goods, including streets and open spaces, together with an efficient pattern of buildable plots. • Municipal Finance. For a good management and maintenance of the city, local fiscal systems should redistribute parts of the urban value generated. https://habitat3.org/the-new-urban-agenda/

22. HABITAT III

23. “By 2040, the Philippines shall be a prosperous, predominantly middle-class society where no one is poor. Our peoples will enjoy long and healthy lives, are smart and innovative, and will live in a high-trust society” Vision for Country 45

24. 46 2017- 2022 2023- 2028 2029- 2034 2035- 2040

25. Philippine Development Plan 2017-2022 47

26. What is the Philippine Development Plan? • National planning document • Prepared at start of new national leadership • Highlights national aspirations and goals for next 6 years 48

27. Section 4. Consistent Government Plans All plans of government departments, offices and instrumentalities, including government-owned or controlled corporations and local government units, shall be consistent with Ambisyon Natin 2040. Section 3. Medium-Term Philippine Development Plans The four (4) medium-term Philippine Development Plans, hereafter to be referred to as Philippine Development Plans (PDPs), to be crafted and implemented until 2040 shall be anchored on the Ambisyon Natin 2040 and overall goals. The PDPs shall ensure sustainability and consistency of strategies, policies, programs and projects across political administrations. Executive Order No. 5 (s. 2016): “Approving and Adopting the 25-Year Long-Term Vision Entitled Ambisyon Natin 2040 as a Guide For Development Planning” Rationale and Legal Basis Section 2. Overall Long-term Goals The Philippine Government hereby aims to triple per capita incomes and eradicate hunger and poverty by 2040, if not sooner. An appropriate set of milestones shall be identified to guide the successive medium-term development plans. PDP 2017-2022

28. PDP

29. NSS : National Spatial Strategy

30. National Urban Development and Housing Framework • Urbanization as catalyst for inclusive growth • Climate change resilience as a base for spatial structuring and sectoral development • Spatially and thematically integrated settlements within coherent and efficient urban systems and forms across scales • Urban areas as accessible platforms for social and economic opportunity, cultural expression, and innovation • People’s participation and empowerment as foundations of urban governance, facilitating sustainable resource use, planning, management, and finance • Sustainable urban environment

31. NUDH Framework

32. Context and Imperatives

33. DHSUD 2019 AN ACT CREATING THE DEPARTMENT OF HUMAN SETTLEMENTS AND URBAN DEVELOPMENT, DEFINING ITS MANDATE, POWERS AND FUNCTIONS, AND APPROPRIATING FUNDS THEREFOR

34. The HUD Sector Plan

35. Philippine New Urban Agenda 1. Urban Demography: Capturing the youth dividend, a more spatially balanced and interconnected development, and safeguards for the vulnerable and disadvantaged. 2. Land and Urban Planning: Effective regional planning and development, planning for climate change adaptation and disaster risk reduction, and improving access to urban land. 3. Urban Environment: Climate and disaster resilience, urban environmental infrastructure improvements, and developing green cities. 4. Urban Governance: Stronger sector leadership, effective multilevel governance, improved local governance capacity, and participatory and transparency mechanisms. 5. Urban Economy: Diversified local and housing finance, sustainable local economic development, and urban economy mainstreaming in development planning. 6. Housing and Basic Services: Scaling up low-income and pro-poor housing, affordable, reliable and resilient basic services, and shifting to an inclusive, low- carbon urban transport system. (Source: DSHUD Sector Plan)

36. II What is Policy Analysis

37. 5Es and an A: That is what Public Administration and Policy Analyis should be all about • EFFICIENCY • ECONOMY • EFFECTIVENESS • EQUITY • ETHICS AND ACCOUNTABILITY

38. Equality and Equity: PA should have a bias

39. The Public Policy Process

40. 75 Policy Analytical Framework Individuals Organization Policy / Institutions • Legal framework • Policies • Objectives & strategies • Structures • Processes & procedures • Resources • Communications • Information systems • Performance measures • Accountabilities • Linkages & networks • Coordination • Knowledge • Skills • Attitudes Improved Capacities Better Quality of Services Improved Living Conditions Brillantes and Tiu Sonco

43. Classic Systems Analysis Framework: David Easton

44. Designates the behavior of some actor or set of actors (such as an official, a governmental agency, or a legislature) in an area of activity (such as public transportation or consumer protection) What Is Public Policy?

45. Public policy also may be viewed as whatever governments choose to do or not to do (Dye) What Is Public Policy? http://ffemagazine.com/wp-content/uploads/2014/01/HOR_Philippines_Session_Hall.jpg

46. Scope of Policy Study Criminal Justice Health and Welfare Education Economic Policy Taxation International Trade and Immigration Environment Protection Civil Rights State and local Spending and services National Defense

47. Why Study Public Policy? Scientific Understanding Professional Advice Policy Recommendations

48. Why evidence-based policymaking? Evidence-based policymaking uses the best available research and information on program results to guide decisions at all stages of the policy process and in each branch of government.

49. Evidence-based policymaking identifies: What works Highlights gaps where evidence of program effectiveness is lacking Enables policymakers to use evidence in budget and policy decisions Relies on systems to monitor implementation Measure key outcomes, using the information to continually improve program performance.

50. By taking this approach, governments can: • Reduce wasteful spending. By using evidence on program outcomes to inform budget choices, policymakers can identify and eliminate ineffective programs, freeing up dollars for other uses. • Expand innovative programs. Requiring that new and untested programs undergo rigorous evaluation helps determine whether they work and identifies opportunities to target funding to innovative initiatives that deliver better outcomes to residents or reduce costs. • Strengthen accountability. Collecting and reporting data on program operations and outcomes makes it easier to hold agencies, managers, and providers accountable for results. http://www.pewtrusts.org/~/media/assets/2014/11/evidencebasedpolicymakingaguideforeffectivegovernme nt.pdf

51. policymakers have an opportunity to put their jurisdictions on a sustained path of evidence-based decision-making. • better technology • easier access to data, and • ability to more accurately measure the performance and cost-effectiveness of government services,

52. • Governmental bodies and officials (i.e. national and local, executive, legislative & judiciary) • Nongovernmental actors; and • Factors may of course influence public-policy development. Actors in Policy Making http://www.wrightslaw.com/images/inhouse/part.in.p olicy.mkg.png

53. • Legislatures Are more important in policy formations in democratic than authoritative countries Anderson 2000 • The Executive Executive-centered era in which the effectiveness of government substantively depends upon executive leadership and action in both the formation and execution of policy Officials/ Policymakers

54. • Administrative Agencies Are an important sources of legislative purposes and ideas because of experience and special knowledge Also actively lobby and otherwise strive to win acceptance of legislation they favor, or kill what which they oppose. Anderson 2000 Officials/ Policymakers

55. Anderson 2000 • The Courts Are not only become more involved in policy for formation, they are also playing a more positive role, specifying not only what government cannot do but also what it must do to meet legal or constitutional requirements. Officials /Policymakers

56. • Unofficial Participants – Interest groups, political parties, research organizations, communications media, and individual citizens. – No legal authority to make binding policy decisions – Provide vital information, exert pressure, seek to persuade, but do not decide Anderson 2000 Officials/ Policymakers

57. Special characteristics of public policies stem from their being formulated (Easton) Where Does Public Policy Emanate? "authorities" in a political system, namely, "elders, paramount chiefs, executives, legislators, judges, administrators, councilors, monarchs, and the like.” http://assets.rappler.com/612F469A6EA84F6BAE882D2B94A4B4 21/img/CE5A8E201C1A492CB3536B2BC39A36B4/senior-citizen- 20151008.jpg

58. These are, Easton says, ▪ the persons who "engage in the daily affairs of a political system," ▪ are "recognized by most members of the system as having responsibility for these matters," and ▪ take actions that are "accepted as binding most of the time by most of the members so long as they act within the limits of their roles. Where Does Public Policy Emanate?

59. Several Implications of Public Policy 1. The definition links policy to purposive or goal- oriented action rather than to random behavior or chance occurrences. Public policies in modern political systems do not, by and large, just happen. 2. Policies consist of courses or patterns of action taken over time by government officials rather than their separate, discrete decisions.

60. Several Implications of Public Policy 3. Public policies emerge in response to policy demands, or those claims for action or inaction on some public issue 4. Policy involves what governments actually do, not just what they intend to do or what officials say they are going to do. 5. Public policy, at least in its positive form, is based on law and is authoritative.

61. Several Implications of Public Policy Thus public policy has an authoritative, legally coercive quality that the policies of private organizations do not have. Indeed, a major characteristic distinguishing government from private organizations is its monopoly over the legitimate use of coercion. Governments can legally incarcerate people; private organizations cannot.

62. III THE PUBLIC POLICY PROCESS

63. The Public Policy Process https://texaspolitics.utexas.edu/archive/html/bur/features/0303_01/policy.html

64. POLICY FORMULATION PROCESS Problem Identification and Definition • Importance of considering characteristics and dimensions of problems • Know both why some problems are acted on and others are neglected and why a problem is defined in one way rather than another which helps determine where power lies in the political system

65. POLICY FORMULATION PROCESS Definition of Policy Problem • Condition or situation that produces needs or dissatisfaction among people or remedy through governmental action is sought

66. POLICY FORMULATION PROCESS Dimensions and characteristics of public problems • Defined, articulated, brought to attention • Must be seen as an appropriate matter for government action • (a problem is only a problem only if something can be done about it) • Issue-problem-policy

67. POLICY FORMULATION PROCESS Agenda-Setting Formation Policy agenda consists of: Issues regarded as requiring public intervention Address the questions • How does a policy problem get into agenda of government? • How do they get finally taken up and discussed by policy and decision makers? • Who decides what will be decided?

68. POLICY FORMULATION PROCESS Pressures from interest groups Pressures from influential people Triggering events Personal and official interests of legislators/policymakers Public opinion or outcry Conditionalities Statistics and other objective measures How do issues become part of the agenda?

69. POLICY FORMULATION PROCESS Forms of lobbying/advocacy Bring to the attention of the media Directly talk to government officials/gain access to policy makers Hold protest rallies Prepare issue/position paper and submit to concerned authorities

70. POLICY FORMULATION PROCESS Means by which problems can be kept out of policy agenda By force Prevailing values and beliefs Management of conflict/prevention by political leaders and organizations of problems that would threaten the status quo

71. POLICY FORMULATION PROCESS Formulation of policy proposals/alternatives Involves pertinent and acceptable proposed courses of action for dealing with public problems That a public problem reaches a policy agenda does not mean positive action will be taken or it will be soon a coming Policymakers may decide not to take positive action on a problem/leave it alone or unable to agree on what to do

72. POLICY FORMULATION PROCESS Formulation of policy proposals/alternatives Involves two markedly different activities: 1. To decide generally what should be done about a problem which may take the form of general principles and statements 2. Legislation or administrative rules must be drafted

73. Evidence-based policymaking identifies: What works Highlights gaps where evidence of program effectiveness is lacking Enables policymakers to use evidence in budget and policy decisions Relies on systems to monitor implementation Measure key outcomes, using the information to continually improve program performance.

74. By taking this approach, governments can: • Reduce wasteful spending. By using evidence on program outcomes to inform budget choices, policymakers can identify and eliminate ineffective programs, freeing up dollars for other uses. • Expand innovative programs. Requiring that new and untested programs undergo rigorous evaluation helps determine whether they work and identifies opportunities to target funding to innovative initiatives that deliver better outcomes to residents or reduce costs. • Strengthen accountability. Collecting and reporting data on program operations and outcomes makes it easier to hold agencies, managers, and providers accountable for results. http://www.pewtrusts.org/~/media/assets/2014/11/evidencebasedpolicymakingaguideforeffectivegovernme nt.pdf

75. What can be Learned from Policy Analysis? Description. What government is doing (and not doing) in welfare, defense, education, health, urban development, the environment, taxation, and so forth. A factual basis of information about national policy indispensable part of everyone’s education.

76. What can be Learned from Policy Analysis? Examples of descriptive questions 1. How has rapid urbanization become a multi-sectoral concern? 2. How does the DOH spend the budget for Covid19 Response? 3. What are the policy implications of Covid19 Pandemic in education? 4. What has neem the impact of Covid 19 on workforce policy? 5. What does the Anti-Red Tape Act actually say about bureaucratic red tape? 6. What did the Supreme Court rule in the withholding of internal revenue allotment (IRA) of some cities? 7. How beneficial is the PhilHealth program for the poor and the aged?

77. What can be Learned from Policy Analysis? Causes. Why is public policy, what it is? Why do governments do what they do? We might inquire about the effects of political institutions, processes, and behaviors on public policies

78. Consequences. Learning about the consequences of public policy is often referred to as policy evaluation. What difference, if any, does public policy on political institutions and processes might inquire about the effects of public policy on political institutions and processes. What can be Learned from Policy Analysis?

79. Situational/ Problem Analysis • Policies/programs/projects are designed to address a problem or alleviate a constraint • We want to get a consensus that the “situation or status quo is not acceptable or not satisfactory”; hence policy intervention/changes should be pursued. • Resort to evidence-based policy making and data mining • Use of Analytical Tools & Techniques – Stakeholders analysis – Problem Analysis/ Fish Bone Analysis

80. 1. Support your problem statements with Data 2. Look out for Vague Statements 3. Avoid Judgements & Criticisms 4. Beware of Solutions masquerading as Problems 5. Be specific and pinpoint where problems are located 6. Don't generalize, categorize or cluster problem statements 7. Supplement problem analysis tools with other tools Problem Analysis Tips

81. E.g. of a Problem • Problem: Water Supply for the Urban Poor in Metro Manila Stakeholders Potential Dissident/Opposes Person/Actors in charge of Implementation Decision-maker Cost-taker/defrayer Poor Consumers Water Service Providers Non-government organizations National Economic Development Authority (NEDA), WSPs, LGUs, Department of Environment and Natural Resources (DENR), National Power Corporation (NAPOCOR), National Irrigation Administration (NIA) Water Service Providers (WSPs) Poor Consumers Local Government Units (LGUs) Non-government organizations National Government Agencies DENR, NAPOCOR, NIA, NWRB, DILG, DPWH, DOF/GFIs, MWSS, DOH Small business Local government units Fernandez 2012

82. Problem Definition: Tools and Techniques 1. Stakeholders Analysis 2. Problem Tree Analysis 3. Fish bone analysis 4. Strengths, Weaknesses, Opportunities, Threats (SWOT) Analysis 5. Why Why Diagram 6. Choosing a Project 118 Brillantes and Tiu Sonco

83. Stakeholders Analysis • Identify individuals/groups who are directly or indirectly affected by or have an interest in the policy problem • Knowing your friends/allies and your enemies • Assess the importance of policy actors • Develop strategies to: – Gain support of opponents – Get supporters more involved • Reduce obstacles to a successful policy implementation 119 Brillantes and Tiu Sonco

84. Stakeholders Analysis • It is a dynamic process and it overlaps with Problem Analysis: – During problem identification, it serves a mechanism to identify important and influential stakeholders – During policy formulation, it supports decisions and risks analysis (friends and enemies) – During policy implementation, it confirms involvement, keeps track of circumstances and interests, and helps plan for evaluation 120 Brillantes and Tiu Sonco

85. Steps in Stakeholders Analysis 1. Confirm the initial policy problem/s, possible target area and/or sector, and the beneficiaries; 2. Prepare a blank stakeholder table (see Matrix tool) 3. List all stakeholders and sort them 4. Discuss the interests of each group with reference to the problem— How and Why 121 Brillantes and Tiu Sonco

86. Steps in Stakeholders Analysis 5. Clarify how each group/stakeholder perceive the problem (use negative statement) 6. State the resources a group puts forth in support or in opposition to the problems 7. List the mandates or formal authority that stakeholders have to carry out a particular function 122 Brillantes and Tiu Sonco

87. Types of Stakeholders • Beneficiary: • Affected persons: • Decision maker: • Expense taker: • Effector/ Executing agency: • Regional representative: • Potential opponent: • Cooperator: Source: FASID “Project Cycle Management for Development Assistance: Version of Participatory Planning”(2004)

88. Stakeholders Analysis - Matrix Basic Information Issues/Weakness Possibilities Counter- measures Consumers Business/WSPs Basic Information Issues/Weakness Possibilities Counter- measures

89. Problem Tree Analysis 125 Brillantes and Tiu Sonco

90. Sample 2. Problem Tree analysis

91. Fishbone Analysis 127 Brillantes and Tiu Sonco

92. Sample 1 Fishbone Analysis

93. Why Why Diagram • Each child statement is determined simply by asking “why” the parent statement occurs • Very similar to a Cause-Effect Diagram • Used in less formal situations Brillantes and Tiu Sonco 129

94. Brillantes and Tiu Sonco 130 Why? Why? Why? Why? Why? Problem Statement

95. Sample Why-Why Diagram Poor processing of leave credits on lower court employees Database not updated Inaccuracy Too much work of HR personnel Not submitted to Records Employees unmotivated Records can be manipulated Lack of personnel Easy to reconstruct Everything is manual Computerized No checking Not supported Poor leadership Ask “why” at each stage 131 Brillantes and Tiu Sonco

96. Workshop (1 to 2 pm) • Participants are divided into 6 groups according to Philippine New Urban Agenda • Each group to brainstorm and agree on the major concerns and challenges confronting the sector • Using the tools for Policy Analysis – Agree on a major challenge confronted by the sector and use the Problem Tree Analysis and / or the Fishbone Analysis and / or the Why Why Diagram to deepen your analysis of the problem

97. Philippine New Urban Agenda 1. Urban Demography: Capturing the youth dividend, a more spatially balanced and interconnected development, and safeguards for the vulnerable and disadvantaged. 2. Land and Urban Planning: Effective regional planning and development, planning for climate change adaptation and disaster risk reduction, and improving access to urban land. 3. Urban Environment: Climate and disaster resilience, urban environmental infrastructure improvements, and developing green cities. 4. Urban Governance: Stronger sector leadership, effective multilevel governance, improved local governance capacity, and participatory and transparency mechanisms. 5. Urban Economy: Diversified local and housing finance, sustainable local economic development, and urban economy mainstreaming in development planning. 6. Housing and Basic Services: Scaling up low-income and pro-poor housing, affordable, reliable and resilient basic services, and shifting to an inclusive, low- carbon urban transport system. (Source: DSHUD Sector Plan)

98. Reporting and Wrap Up

102. Classic Systems Analysis Framework: David Easton

104. • Alex Brillantes - Day 1, August 18 (Public Policy Development Landscape and Process Problem Identification and Agenda Setting) • Kris Berse – Day 2, August 25 (Policy formulation, Policy Advocacy) • Simeon Ilago – Day 3, Sept. 1 (Policy Instruments, Implementation and M&E)

105. THANK YOU! MARAMING SALAMAT PO!

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