Policy Diagnostic Framework
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The document discusses a policy implementation diagnostic framework aimed at assessing and improving low carbon policy execution by examining institutional factors, capacities, and coordination. It emphasizes the importance of aligning policy design with the actual implementation process, identifying barriers, and ensuring stakeholder engagement and transparency. The framework is adaptable for different contexts to enhance governance and effectiveness in policy execution.
Policy Diagnostic Framework
- 1. POLICY IMPLEMENTATION WRI DIAGNOSTIC FRAMEWORK TO STUDY LOW CARBON POLICIES
- 2. POLICY IMPLEMENTATION DIAGNOSTIC FRAMEWORK: HELPS To support in-depth assessment of institutional factors A detailed analysis of the institutionsA detailed analysis of the institutions involved in policy implementation Identify ways to strengthen implementation process and enhance policy effectiveness
- 3. WHY IMPLEMENTATION DIAGNOSTIC FRAMEWORK? Putting policy in place not sufficient Design and execution of the policy implementation process is importantprocess is important Implementation deficit – a barrier to policy effectiveness Create enabling environment
- 4. WHY IMPLEMENTATION DIAGNOSTIC FRAMEWORK? Need for a coherent Enhanced capacities InstitutionalNeed for a coherent set of governance and institutional arrangements Enhanced capacities to manage complex systems – a new set of human resource capacities Institutional mechanisms to avoid capture of regulatory process
- 5. OBJECTIVES Determine the extent to which key institutions have the mandate and resources to implement the policy Determine the extent to which policy implementation adheres to policy designimplementation adheres to policy design Identify barriers to effective policy implementation Identify practices that facilitate successful policy implementation
- 6. STAGES Policy as written Policy in practice Policy implementation is not linear process
- 7. FOUR KEY FUNCTIONS Administration Finance Compliance and enforcement Monitoring, reporting and revision
- 8. ADMINISTRATION Institutions or Steps need to beInstitutions or teams (within the Institutions) responsible Steps need to be taken to start and maintain the programme
- 9. FINANCE Adequacy of financial and other resources Effective fund management systems Extent of funding How those resources /funds are used?
- 10. COMPLIANCE AND ENFORCEMENT Provision for compliance Ways in which compliance is promoted – penalties and incentives Mechanisms for ensuring compliance
- 11. MONITORING, REPORTING AND REVISION Essential for understanding the policy’s effectiveness and correcting errors if any Helps to improve coordination among institutions System for monitoring implementation and effect of the policy
- 12. FIVE PRINCIPLES OF GOOD GOVERNANCE Roles and responsibility Institutional capacity CoordinationCoordination Stakeholder engagement Transparency
- 13. ROLES AND RESPONSIBILITY Institutions/actors responsible for implementation Whether specific roles andWhether specific roles and responsibilities are clearly defined Whether there are specific rules that govern these roles and responsibilities
- 14. INSTITUTIONAL CAPACITY Skill and capacity of the project staff to manage resources, address technical issues and ensure compliance Attributes of institutional capacity include:Attributes of institutional capacity include: Human and financial resources Level of skills and training Interest in policy issue Leadership of an institution
- 15. COORDINATION Implementation involves actions by multiple agencies/groups Coordination in the form of informationCoordination in the form of information sharing, resource sharing and joint action Extent to which goals of agencies align Clear lines of communication among agencies responsible for implementation
- 16. STAKEHOLDER ENGAGEMENT Diverse and meaningful input from a range of actors helps improve policy formulation and implementation Identify areas where engagement is neededIdentify areas where engagement is needed Formal space for participation Mechanisms to invite participation Inclusiveness and openness of processes Extent to which the gathered input is taken in to account
- 17. TRANSPARENCY Stakeholder engagement need to go hand in hand with transparency so that stakeholders have access to information Ease of access to informationEase of access to information Comprehensiveness Timeliness Efforts to reach out to affected and vulnerable
- 18. EXAMINING POLICY ADMINISTRATION - 1 Administration – Role and responsibility Identify relevant functions Identify relevant institutionsIdentify relevant institutions Whether the institution exists Whether necessary steps are taken or what are the steps taken? Whether steps taken are consistent with policy
- 19. EXAMINING POLICY ADMINISTRATION – 2 Administration – Institutional capacity Capacity of identified institutions? Capacity addition efforts
- 20. EXAMINING POLICY ADMINISTRATION – 3 Administration – Coordination Do the functions require coordination among institutions? What coordination is required? What mechanisms have been designed for coordination? (Like committees) Whether the mechanism succeeded in coordination. Whether each institution point of view taken in to account Whether coordination led to delays
- 21. EXAMINING POLICY ADMINISTRATION – 4 Administration – Stakeholder engagement What are the provisions forWhat are the provisions for stakeholder engagement To what extent provisions have been carried out
- 22. EXAMINING POLICY ADMINISTRATION – 5 Administration – Transparency What documents are relevant? What are the provisions for transparency?What are the provisions for transparency? To what extent documents are publicly available? Are relevant documents easy to access by range of stakeholders?
- 23. SETTING THE INSTITUTIONAL CONTEXT Overarching questions about national provisions National Climate Action Plan or Low Carbon Development Plan Institutional mandates for implementation Overarching laws related to transparency, stakeholder participation, and monitoring and evaluation Political support for the policy
- 24. CUSTOMISATION OF DIAGNOSTIC FRAMEWORK The framework is intended to be applicable across States, or countriescountries Researchers to take decisions about how best to use the framework depending on the specific context