Training Course on “Training of Trainers from the Greater Mekong Sub- Region on Decentralized Education Planning in the Context of Public Sector Management Reform” Modern Approaches to Education Sector Management Mekong Institute & UNESCO Regional Office-Bangkok 23 February – 6 March 2009; Khon Kaen, Thailand Slide 1 Prepared by the Education Policy and Reform Unit UNESCO Bangkok February 2009 Module E2

OBJECTIVES I. Define the meaning of policy, policy processes II. Define the meaning of planning and planning processes III. Distinguish between planning and Budgeting IV. The link Slide 2

“The failure to link policy, planning and budgeting is the single most important cause of poor budgeting outcomes in developing countries” World Bank, Public Expenditure Management Handbook, 1998 Slide 3

1. The Meaning of Policy Slide 4

1. The Meaning of Policy 1.1. Definition 1.2. Characteristics Slide 5

1.1. Definitions of Policy Policy is a guide to decision-making, implementation and evaluation in a particular area of action. It is most commonly associated with public spheres of action, and justified in terms of the common good. Policy refers to the guidelines, reports, reviews, thinking, and statements of governments, organisations, institutions, schools. Slide 6

1.1. Definitions of Policy (cont.) Policy is a practical, technical task of producing a document or statement that will guide action. Policy-making is as old as civilization itself. (e.g., roots of policy (polis) relates to moving from city- state, translated to 'policie': the conduct of public affairs or the administration of government). Policy-making is driven by change but also helps to create change and give rise to new problems. Consider: teacher shortages and teacher surplus. Slide 7

1.2. Characteristics of Contemporary Policy evidence informed: based on the best available systematic information about the problem acknowledges accumulated research on effective change and implementation inclusive: recognises the interests of range of policy stakeholders strategic: contributes to overall mission or vision of the government or the organisation Slide 8

causal: pays attention to links between delivery and outcomes ’joined up’: works across organisational or sectoral boundaries realistic: takes into account the realities faced by providers [lower level bureaucrats] flexible: can be applied in different settings outcome focused: aims to delivery benefits to clients [end users] 1.2. Characteristics of Contemporary Policy (cont.) Slide 9

2. The Policy Process/Analysis 2.1. Policy Determinants 2.2. Policy Content 2.3. Policy Impact Slide 10

2. The Policy Process/Analysis Policy analysis is to provide knowledge as a guide to action rather than an end in itself. The aim is to provide policy makers with information that could be used to exercise reasoned judgment in finding solutions for practical social problems. This process requires that we understand what (1) policy determinants, (2) policy content, and (3) policy impact mean. Slide 11

2.1. Policy Determinants economy culture elections public opinion political parties media bureaucracy interest groups Slide 12

2.2. Policy Content a. problem definition b. goals c. instruments Slide 13

2.2.a. Problem Definition A policy is not designed in the abstract but with reference to a specific context, past policies, and international commitments. Context: globalization, faster economic growth, large disparities. Previous national commitments. International commitments: Millennium Development Goals Dakar Framework for Action (EFA) Slide 14

2.2.a. Problem Definition Principles of the new aid architecture. The most fundamental task of policy analysis is defining the problem, moving to reveal what the ‘real’ problem is. Unsatisfactory outcomes resulting from unsatisfactory outputs. Slide 15

2.2.a. Problem Definition There are many problems and are often linked: Low completion rate may be due to low access rate and/or high dropout, which themselves related to … Insufficient quality of the teaching provided? Irrelevant programmes? Inadequate financing system? Bad management system? It is necessary to identify the causes of these problems. Slide 16

2.2.a. Problem Definition - Causes Identifying the causes of a problem is essential to choose the appropriate solutions (actions). Need for proper data, research and analysis. Wide consultation is required. A problem may have several causes, within and beyond the educations system– need to work out the tree of problems and causes. Slide 17

The causes could be related to any part of the education system – its inputs, processes, outputs, structure or environment … (i) Causes related to inputs include: Teachers – qualifications, motivations, presence/absences. Textbooks Equipment Buildings and facilities Students’ profiles and abilities Administration and management capacity 2.2.a. Problem Definition - Causes Slide 18

(ii) Causes related to not reaching the required outputs include: Adequate processes Curriculum and content (relevance) Teaching-learning strategies Proper management and governance structures Finance; management; accountability 2.2.a. Problem Definition - Causes Slide 19

(iii) Causes related to the environment include: Overall government policies: economic policies, political stability, civil service quality, level of corruption; Labour market conditions and job opportunities for school leavers; Social and community characteristics; Health status (HIV/AIDS prevalence, malaria..) Family characteristics. 2.2.a. Problem Definition - Causes Slide 20

2.2.a. Problem Definition - Who should be involved Planning units, outside experts; Consultations can bring new perspectives to the identification of problems (causes and priorities): Within the ministry(ies) Outside the ministry(ies) At regional and local levels Civil society Slide 21

Our efforts to define the problem will be inseparable from what we want our policy to achieve. The diagnosis prefigures the prognosis. Policies are designed to achieve certain goals (outcomes and/or outputs) 2.2.b. Goals Slide 22

Long term outcomes include: Poverty reduction Economic growth Improved quality of life: better health and nutrition Reduction of inequalities Social cohesion 2.2.b. Goals Slide 23

“Short term” outputs include: Enrolment rates Primary completion rate: it takes at least 6 years to produce a literate person Proportion of girls enrolled at primary, secondary, higher education, TVET…. Proportion of lower income groups enrolled... Learning achievements at grade 6, 9,.. Adult literacy level Educational attainment of the workforce Employment rate of graduates 2.2.b. Goals Slide 24

After the diagnosis – adequately identifying the problems and their causes - goals specified: Priorities in terms of problems to be solved have to be set indicating the desired change. Options and possible strategies have to be listed. Technical studies have to be carried out Consultation of the different stakeholders International literature review Analysis of experience of neighbouring countries having introduced innovations Consultation of national and international experts Research and analysis of local innovations 2.2.b. Goals Slide 25

2.2.c. Instruments The means by which we bring about the ‘ends’ of policy give rise to the greatest division. …. Planning tools, “analysis and projection tools-models” etc. Slide 26

2.3. Policy Impact intended and unintended consequences for: direct policy target political system economy social system Slide 27

3. The Meaning of Planning Slide 28

A policy is about change & planning is the process for such an introduction of change The process of converting goals into objectives, formulating specific interventions, and defining relevant target populations for the implementation of the change. PLANNING is a process whereby direction is set forth and the ways and means for getting to that direction are specified. A PLAN is the product of the planning process and can be defined as a set of decisions about what to do, why, and how to do it Planning Slide 29

3.1. Planning In public policy, planning refers to the steps, practice and skills associated with policy formulation and the use of resources to implement that policy. It is a process involving numerous steps, some of which are iterative, in order to make the policy choice. Education sector planning means planning for the education system. Very often, it implies planning the changes and reforms intended for the entire education sector or a particular sub-sector to improve its operation and delivery to meet the demand for human resource development 30

It includes feasibility analysis: financial feasibility, political feasibility, institutional feasibility in terms of : Assessing the implementation capacity of administration at the central level Management of capacity at the regional and local level 3.1. Planning Slide 31

3.1. Planning Most importantly, simulation exercise It requires data – or information system – Management Information System: An ongoing data collection and analysis system, usually computerised, that allows timely access to service delivery and outcome information. Slide 32

3.2. Context of Planning National Development Strategy Poverty Reduction Strategy Paper EFA / Sector Plan Provincial Plans Millennium Development Goals EFA Goals Decentralization policy (?) SWAp(?) Slide 33

3.3. Basic Characteristics of Modern Planning 1. Guided by a vision: firm long term goals 2. Sensitive to the environment: systematic use of internal strengths and external opportunities 3. Result oriented: need for result indicators (performance based) 4. A mobilization instrument: need for participation of implementers and stakeholders and sharing of information Slide 34

5. Flexible in its implementation: need to translate the long and/or medium- term plan into yearly operational plans 6. Relies on an efficient monitoring system: importance of EMIS, evaluation and research 3.3. Basic Characteristics of Modern Planning Slide 35

Analysis Planning Implementation Evaluation Lessons/ feedback Policy Development Operational- isation Monitoring & Review II. The Strategic Management Cycle Slide 36

4. Planning and Budgeting Slide 37

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The Modern Planning & Budgeting Cycle + MTEF + Budget Slide 39

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How to Reconcile? Budget needs a medium term framework – to avoid short sight decisions Medium term programming needs to be integrated into a long term vision – to take into accounts development goals Long term planning has to assess the resource side – need for costing, macro-economic framework, assessing financial feasibility Slide 41

Thank You