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PUBLIC STRATEGIC PLANNING IN DEVELOPING COUNTRIES: A CASE STUDY IN PERNAMBUCO

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PUBLIC STRATEGIC PLANNING IN DEVELOPING COUNTRIES: A CASE STUDY IN PERNAMBUCO Carlos A. Bana e Costa Department of Engineering and Management of IST, Technical University of Lisbon Operational Research
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PUBLIC STRATEGIC PLANNING IN DEVELOPING COUNTRIES: A CASE STUDY IN PERNAMBUCO Carlos A. Bana e Costa Department of Engineering and Management of IST, Technical University of Lisbon Operational Research Group, Department of Management London School of Economics XXXIX SBPO / ICORD VI Fortaleza, August Brazil Pernambuco 2 1 MODELO INTEGRADO DE DESENVOLVIMENTO SOCIAL E DIREITOS HUMANOS CIDADÃOS E GRUPOS DO ESTADO DE PERNAMBUCO EM SITUAÇÃO DE VULNERABILIDADE E RISCOS IPEM CONSELHOS FUNDAC SECRETÁRIO DEFENSORIA APOIO A PESSOA COM DEFICIÊNCIA GESTÃO COORDENAÇÃO TÉCNICA JUSTIÇA E DIREITOS HUMANOS DESENVOLVIMENTO E ASSISTÊNCIA SOCIAL RESSOCIALIZAÇÃO 3 Client: Secretaria de Desenvolvimento Social e Direitos Humanos (SEDSDH) Secretary of Social Development and Human Rights (SEDSDH) of the Government of the Brazilian State of Pernambuco Objective of the intervention: ti To help SEDSDH to elaborate its medium term strategic plan (PPA ) Methodology: MACBETH socio-technical approach for strategic planning Duration of the decision conferencing process: Five consecutive days (from 11 to 15 June 2007) Participants: About thirty technical and political actors Process consultation team: 1 facilitator + 2 decision analysts + 2 experts 4 2 Agenda Challenges Work plan Project activities 5 DESAFIO Formular, executar, monitorar e avaliar, em conjunto com a sociedade e outras instâncias governamentais, políticas públicas integradas na área de desenvolvimento social e direitos humanos que permitam transformar, de forma consciente e desejada, a realidade social dos pernambucanos em situação de vulnerabilidade e riscos. 42% da população pernambucana vive com menos de R$ 120,00/mês per capita, encontrando-se em situação de vulnerabilidade por pobreza extrema ou moderada 33,3% são analfabetos funcionais (15 anos ou mais) O Estado que é a 8ª economia do país tem um IDH entre os mais baixos de todas as 27 unidades da Federação Possui um dos maiores índices de desigualdade social do País PORTAS DE SAÍDA: POLÍTICAS EMANCIPATÓRIAS SUSTENTÁVEIS 6 3 Challenge Formulate, execute, monitor and evaluate, along with the society and other governmental entities, integrated public policies in the field of social development and human rights which will allow to transform, in a conscientious and desired way, the social reality of the pernanbucans in a situation of vulnerability and risk. 42% of the Pernanbucan population live with less then R$ 120,00/month per capita, finding them selves in a situation of vulnerability due to extreme or moderate poverty 33,3% are functional illiterates (15 years or older) The state, which is the 8th economy of the country, has an IDH along the lowest of all 27 units of the Federation Has one of the biggest Social inequality indexes of the country Way out: Sustainable emancipational policies 7 The SEDSDH is developing its PPA in line with the new model of management of the State Government: Project all for Pernambuco Democratic and Regionalized Management Plan of Actions 2007 Plurianual Plan Strategic plan of Development Management model The Government is convinced that the planning of its actions will only be succeeded if it is both a technical and a political Process ¹ ) Democratic participatory Regionalized 12 Regional Seminars Involvement and harmonization Central (Federal) and local administration (Municipalities), NGOs and private sector to achieve A commitment to make possible to construct a new Pernambuco ¹) Source: 1) WebSite of the Government of the State of Pernambuco Project all for Pernambuco Democratic and regionalized management 8 4 However, this new model poses relevant challenges for the SEDSDH team How to structure and articulate the individual actions of the SEDSDH s 8 Administrative Units Programs of unique actions, although transversal Diverse involved actors with its respective responsibilities Efficiency of the programs - bigger synergies, to prevent overlapping of actions/activities, duplicity of effort, quixotic and isolated actions. Effectiveness of the programs in reaching the strategic objectives Other basic questions must be considered so that the process of structuring the actions be robust and adjusted to the new management model How to evaluate the benefits (positive and negative impacts in the reach of the objectives) of the actions and the respective implications resulting from the prioritization? How to involve the different actors in a participatory and structured process of support to decision making to reach a commitment of those actors to the established final result in the decision process? 9 Agenda Challenges Work plan Project activities 10 5 The Technical Commission and the Evaluation Commission have well defined tasks and responsibilities Participants Tasks Technical experts of SEDSDH (representatives of the seven entities that integrate SEDSDH (departments and institutes)) Technical Comission Structures the objectives from SEDSDH mission Conceives intervention actions (projects) and structures coherent programs (packages of projects) to achieve each objective Organizes factual information about the programs 3 days Political decision-makers of SEDSDH (The secretary of state and the subsecretaries of state (leaders of the seven entities)) Evaluation Comission Validates and weights the fundamental objectives Evaluates the extent to which each one of the programs contributes to achieve the key objectives Evaluates the doability of each program 2 days 11 Technical Comission Evaluation Comission 12 6 Agenda Challenges Work plan Project activities 13 Project activities Structuring objectives 2. Designing intervention actions and coherent programs to achieve the objectives 3. Organizing factual information about the programs 4. Validating the fundamental objectives 5. Validating the programs in each sector of intervention and defining inter-sectorial programs 6. Evaluating the programs in terms of their contribution to achieve the key objectives 7. Weighting the fundamental objectives and calculating the overall score of each program 8. Evaluating the doability of the programs 9. Analyzing overall multicriteria Benefit versus Doability 14 7 Structuring objectives: Post-its session Group open-discussion of SEDSDH mission, major challenges and concerns Each participant was asked to write (in post-its) the fundamental aspects, concerns and/or objectives that, in his/her opinion, better explain the mission Each participant was asked to place his/her own post-its in the wall, in such a way that the post-its would form groups of similar concerns 15 Mapeamento cognitivo Conceito gerador Transformar, de forma consciente e desejada, a realidade social dos pernambucanos em situação de vulnerabilidade e riscos. NA SUA OPINIÃO, QUAIS SÃO OS OBJECTIVOS MAIS PRIORITÁRIOS DE ALCANÇAR PARA DIMINUIR O NÚMERO DE CIDADÃOS E GRUPOS EM SITUAÇÃO DE VULNERABILIDADE E RISCOS (no máximo 5) 16 8 Cognitive mapping Conceito gerador Transform, in a conscientious and desired way, the social reality of the Pernanbucans in a situation ti of vulnerability and risk In your opinion, which are the main objectives to be met to decrease the number of citizens and groups in a situation of vulnerability and risk (max 5) 17 Structuring of the underlying fundamental objectives to the SEDSDH s mission (cont.) The post-its were read out loud, one by one, and their meaning discussed. Actions were separated from objectives. When agreed, each objective was entered in the Decision Explorer software, to generate a first cognitive map. This map represents the objectives written on the post-its as well means-ends relations between them. 18 9 Structuring of the underlying fundamental objectives to the SEDSDH s mission (cont.) After two days of work and group discussions, the technical commission agreed of the main end-objectives and mean-objectives 23 Identifying the fundamental objectives for the strategic plan (PPA) Next, and based on the cognitive map, different perspectives where discussed about which should the fundamental objectives for the PPA. Three main hypotheses arouse (1 five objectives; 2 four objectives; 3 three objectives) and no agreement was achieved among the members of the technical commission: Designing intervention actions and coherent programs to achieve the objectives The representatives from each entity (departments and institutes) were asked to design sets of actions into coherent programs Resource and management operational projects were separated from core strategic programs 26 13 Conception of actions and structuring of coherent programs to reach the objectives A preliminary exercise was performed to determine the impact of each program upon the objectives. This would later help the Evaluation commission to evaluate the programs The majority of the Technical commission members decided (by a voting process) that the main objectives to be used throughout this preliminary exercise would be: 27 Conception of actions and structuring of coherent programs to reach the objectives To appraise the impacts of the programs in each objective the following reference levels were used: Impact level D+++ D++ Impact description Direct, significant and wide improvement of the Status Quo Direct and significant improvement of the Status Quo (Good impact) D+ Direct and slight improvement of the Status Quo I++ I+ O Indirect and significant improvement of the Status Quo Indirect and slight improvement of the Status Quo Neutral impact (has no, positive or negative, impact on) Damages the Status Quo 28 14 Conception of actions and structuring of coherent programs to reach the objectives Área Programa O1 O2 O3 O4 SEDAS 1.1 Pernambuco Cuidando das Crianças e Adolescentes em Situação de Rua D++ D++ O O SEDAS 1.2 Centro da Juventude - Jovens em Situação de Vulnerabilidade Pessoal e Social nas Ruas D++ D++ O O SEDAS 1.3 Centro da Família Centro de Referência Especializado de Assistência Social D+++ D+++ D+ O SEDAS 1.4 Comida na Mesa - Segurança Alimentar e Nutricional Sustentável D++ D++ D+ O SEDAS 1.5 PE no Batente Políticas Emancipatórias Sustentáveis D+++ D++ D++ O SEDAS 1.6 Mobilização e Controle Social D+ D+ O O SEDAS 1.7 Gestão do SUAS Sistema Único de Assistência Social D++ D++ D+ D+ IPEM 2.1 Otimizar a gestão administrativa e financeira O O O D+ IPEM 2.2 Aprimorar o relacionamento com a sociedade D++ D+++ I++ D+ IPEM 2.3 Ampliação da Oferta de serviços D+++ D++ I++ D+ IPEM 2.4 Melhoria e expansão da estrutura física O O I++ D++ IPEM 2.5 Otimizar a gestão da política de Recursos Humanos O O O D++ SECOGE 3.1 Desenvolver modelo de gestão integrada da SEDSDH I++ I++ I++ D+++ SECOGE 3.2 Modernização Administrativa da SEDSDH I++ I++ I++ D+++ SECOGE 3.3 Desenvolvimento de Pessoas da SEDSDH I++ I++ O D Organization of factual information on the programs, to support the elaboration of value judgments by the Decision Group A merging meeting was held with the two groups, during which the Technical commission presented to the Evaluation commission the bases to justify: The structuring of the fundamental objectives The programs and their impacts The following decisions were taken: There was a need to analyze synergies across programs of different sectors and merge actions/programs with high affinities, therefore contributing to increase the effectiveness of the plan. Invite members of the Technical commission to take part as observers in the sessions of the Evaluation commission, in order to: give the necessary support during the evaluation process, by providing factual information; learn and get know-how about the evaluation phase Validation of the fundamental objectives Throughout the morning, the 3 hypothesis for the structure of objectives previously defined by the Technical commission, where thoroughly analyzed. From this analyses the Evaluation commission establish that the fundamental objectives of the SEDSDH for the PPA would be: To promote the social inclusion and protection of people and families Universalize, guarantee and promote the human rights Improve the management of the SEDSDH Socialize the adolescent in conflict with the law and resocialize the jail population Nota: the third objective was later removed because it was not considered to be a truly strategic objective 31 Validation of the sectorial programs e definition of inter-sectorial programs An intense phase of revision occurred upon the sectorial programs in order to identify inter-sectorial actions/projects capable of generate synergies among areas of intervention and to improve management efficacy and efficiency At the end, a group of 40 initial programs was consolidated into 25 final programs SEDAS 1.1 Pernambuco Cuidando da população em situação de rua 1.2 Comida na Mesa 1.3 PE no Batente 1.4 Mobilização e controlo social 1.5 Gestão do SUAS IPEM 2.1 IPEM e Sociedade 2.2 IPEM +Serviços Defensoria 4.1 Atendimento Judicial e Extrajudicial 4.2 Nova DPPE FUNDAC 5.1 Acolhimento Institucional FUNDAC 5.2 Socioeducativo 32 16 SEDAS 1.1 Pernambuco Cuidando da população em situação de rua 1.2 Comida na Mesa 1.3 PE no Batente 1.4 Mobilização e controlo social 1.5 Gestão do SUAS IPEM 2.1 IPEM e Sociedade 2.2 IPEM +Serviços Defensoria 4.1 Atendimento Judicial e Extrajudicial Nova DPPE FUNDAC 5.1 Acolhimento Institucional FUNDAC 5.2 Socioeducativo SEAD 6.1 Efetivando direitos das pessoas com deficiência 6.2 Acessibilidade universal SERES 7.1 Trabalhar para ressocializar 7.2 Programa Presidio Seguro 7.3 Parcerias para a ressocialização 7.4 Transparência para ressocialização 7.5 Ressocialização: O grande desafio SEJUDH 8.1 Direitos do cidadão consumidor 8.2 Política estadual dos direitos humanos SECOGE 3.1 Modernização Administrativa da SEDSDH 3.2 Desenvolvimento de pessoas 3.3 Adequação da infraestrutura 3.4 Gestão de comunicação da SEDSDH SEDAS/SEDUGH (1+8).1 Centro de defesa da vida 33 Evaluation of the 25 programs in terms of their contribution to achieve the objectives The Evaluation commission qualitatively judged the contribution of each program to achieve each objective as being negative or positive and, in each case, as very weak, weak, moderate, strong, very strong, extreme (or combinations of two of these levels). This evaluation was performed for all programs in all 4 objectives. In this evaluation a huge judgmental dispersion was detected in the objective Improve the management of the SEDSDH. This end up enhancing the non-strategic nature of this objective, and it was therefore deleted from the evaluation Evaluation of the programs in terms of its contribution to reach the basic objectives With the MACBETH judgments provided by the Evaluation commission the M-MACBETH software determined scores for the programs in each of the 3 fundamental objectives Weighting the three fundamental objectives The evaluation commission qualitatively swing weighted the fundamental objectives Thee commission had to qualitatively judge each swing from the current situation (Status Quo) to a Good level in each objective. Pernambuco cuidando da população em situação de rua promover a inclusão e proteção social de pessoas e famílias F o r t Forte e a / Muito M Forte F o r t e F e o r t e Forte / a M Muito Forte F o r t Situação Atual (Status Quo) universalizar, garantir e promover os direitos humanos FForte o r t e Socializar o adolescente em conflito com a lei e ressocializar a população carcerária 37 Weighting of the three fundamental objectives The Evaluation commission was then asked to pairwise compare the swings. With this information the M-MACBETH suggested relative weights for the objectives, which were then validated by the Evaluation commission Calculating the overall multicriteria score of each program After determining the weights of the objectives and the scores of each program in each objective, the M- MACBETH software determined the overall scores for all programs, by additive aggregation. 39 Evaluation of the doability of the programs The next stage was to analyze and evaluate of the doability of the programs, taking into consideration: Need of human resources, Need of financial resources, Logistics, Political and articulation aspects, Political and social constraints, etc Evaluation of the doability of the programs The Evaluation commission was asked for doability judgments, once again using the semantic MACBETH scale. With this information the M-MACBETH software generated scores of doability for the programs. 41 Final analysis: Benefit vs. Doability Finally, a value-for-the-effort analysis could take place, at the end of the fifth day, allowing to identify four relevant categories of action programs: easy to implement and high expected benefit (the pearls ) high benefit but low doability (the oysters ) easy to implement and low benefit (the bread and butter programs) difficult to implement and low overall benefit (the white elephants ). Oysters Pearls White elephants Bread and butter 42 21 Oysters Pearls White elephants Bread and butter 43 22
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