SENIOR MANAGEMENT COURSE

DR. Mumo
PUBLIC POLICY FORMULATION
AND MANAGEMENT
Objectives

By the end of the session participants should be able to:

 Explain the concept of public policy.

 Discuss key steps in the policy formulation
 Identify models of public policy formulation
 Explore challenges and suggest solutions
 Monitoring and evaluation policies.
Quiz!!

 What is a public policy?

 Why policy?
 Can you highlight/describe a single public policy you
conversant in you MDA?
 “Public policy includes the
ideas and actions of
government and other players
in response to societal
problems. [It] defines rules,
What is Public Policy? regulations, how they will be
implemented and what effect
their results have on the
population and the perception
of the problem” (Morse &
Stuyk, 2006).
 Defining Public Policy Cont’d …
There are three parts in public policy-making:

1) Problems – the issue that needs to be addressed

2) Players – individuals/groups that are influential in

forming a plan to address the problem in question

3) The policy – the finalized course of action decided upon

by the government
 What is Public Policy Formulation?
Public policy formulation is:
 The process of elaboration, of decision-making and of
implementation of government laws, regulations and
actions.

 The development of long range plans

 The process of guiding managers in defining

organizational purpose, the ends it seeks, and the
means it will use to accomplish the stated ends (e.g.
as in strategic planning processes)
 Why formulate public policies?

1) New/changing demands –increased public demand for

better services
2) Scarcity of resources –decreasing resources against
increasing needs
3) Growing internationalisation of policies –globalisation
(the ‘global village’), internationalisation (e.g. SDGs) and
‘regionalisation’ e.g. EAC, COMESA, AU, etc.
4) Problems of legitimacy -democratisation of government
systems, structures, functions and services (harmonise
they way we do things)
5) Complex and Dynamic Environment – ever changing
with new trend every day (increased need for stakeholder
participation)
Models of Public Policy Formulation

1) Rational-Comprehensive Model

 Problem is given to the decision maker (can be

separated from others)
 The goals, values, or objectives are clarified and ranked
according to their importance.
 Alternatives to the problem are examined
 Consequences for each alternative are given
Models cont…

2) Incremental Model (Muddling Through)

 Goal or objective selection and empirical analysis of

action needed closely intertwined (not distinct)
 Only some of the alternatives for dealing with a
problem are considered, and will differ only
incrementally or marginally from existing policies.
 For each alternative only a limited number of important
consequences are evaluated.
 Problem is continually re-defined with no single right
decisions or solutions
Models cont…

3) Mixed-Scanning

 Decision makers use elements of rational and

incremental models in order to capture all aspects of a
problem.
 Takes into account differing capacities of decision maker
 Offers advantages over the first two by building on their
strengths while at the same time overcoming their
weakness.
Possible sources of public policy issues

 Presidential speech - the speech could be debated in

parliament and passed to senior civil servants who come
up with a cabinet paper
 Governors speech –at the county governments

 Budget speech by minister of finance

 Public commissions and committees

 Stakeholders’ meetings which result in Sessional Papers

 Citizen driven –especially in established democracies

Steps in public Policy Formulation
The public policy-making process may be
summarized as follows:

1. Problem 1) Verify, define and detail the

identification problem

2. Agenda setting 2) Establish evaluation criteria

3. Policy formulation 3) Identify alternative policies

4. Decision making 4) Evaluate and compare alternative

policies
5. Implementation
5) Select the best policy among the
6. Evaluation alternatives considered
6) Monitor and evaluate the
proposed policy (Morse & Stuyk,
2006).
 Step 1: Definition of the problem

 Requires good research skills and judgment

competences
 Carry out a situation analysis
 It is important to undertake a stakeholders analysis
and involve them from the outset!
Step 2: Establish evaluation criteria

 Helps clarify program goals and objectives

 Clearly state goals and objectives
 The objectives must be SMARTA
 Consider interrelationships between problems
 Involve stakeholders
 Perform a SWOT analysis
Major decision-makers usually establish criteria that
are explicit. For example, a Principle Secretary may
require a solution to be implemented within a
specified budget and timeframe.

Other times the criteria may be implicit.

For example, using commonly employed criteria as
shown in the subsequent slides.
Evaluation Criteria

1) Cost
2) Net benefit
3) Efficiency
4) Equity
5) Administrative ease
6) Legal issues
7) Political acceptability
8) Extent of uncertainty
Evaluation Criteria

1) Cost: What is the cost of the policy to taxpayers?

Must take into account both direct & indirect

costs
 Evaluation Criteria

2) Net Benefit: What is the net benefit from the perspective

of the beneficiary? For example, in construction of
houses, net benefits = tax incentives – reduced revenue
from low-income units + indirect costs such as time spent
applying for the tax incentives, documenting household
income and other compliance burdens).
Evaluation Criteria

3) Efficiency: What is the program efficiency? Is it the least

costly way to produce the desired goods or services? For
example, how cost efficient is disposing waste in bins and
recycling in enhancing environmental cleanliness? How
about incineration and landfills?
Evaluation Criteria

4) Equity: To what extent does the program (or solution)

redistribute benefits to among and between target groups
and other interest groups?
Evaluation Criteria

“…from hierarchy…” “…to teams…”

5) Administrative Ease: How easily
can the solutions be implemented?
Will the solutions require new staff,
structure, or other resources?
 Evaluation Criteria
6) Legal issues: Does the proposed solution require a new
law or approval from other departments or levels of
government? Does your client or agency have the legal
authority to implement the proposed solution?
Evaluation Criteria

7) Political acceptability: Will the

proposed solution be acceptable
to political leaders and/or popular
among general citizens?
Evaluation Criteria

8) Extent of uncertainty: How much uncertainty is there

in implementing the policy (especially if it is a new
program)?
Step 3: Identify alternative policies

 Develop a short-list of potential solutions considering

the full range of options
 Brainstorm, talk to experts, consult other agencies/
regions that may have faced the same problem
 Revisit the definition of the problem as you work
through the policy options
 Check the extent to which the final policy may result
from a combination of approaches
 Steps in Public Policy Formulation cont…

Diagnosis
Claims

Questions about organizational

effectiveness
Information Gathering

Findings

No
Action
Stop Required
Action
Yes
Performance realised

Identify Options Implementation

Claim selected
Idea’s Benefits
An Idea
Evaluation
 Types of Policy Actions[1]

Options for Traffic Congestion

Direct Indirect

Monetary Provide Tax

Alternative transport Cars entering downtown

Purchase Subsidize
Alternative transport by private Buses etc
operators
Nonmonetary Prohibit Inform
Non-essential vehicles About alternative transport

Require Implore
License for driving; Not to use cars
 Types of Policy Actions[2]
Options for Health, Agriculture, Environment/Construction Problems

Direct Indirect

Monetary Provide Tax

Policy force and protection Charge fees for use of
market space
Purchase Subsidize
Communal services from private Health care;
contractor Agricultural seed for poor
Nonmonetary Prohibit Inform
Driving under influence of alcohol; About services for small
Irresponsible drinking business owners

Require Implore
License for architects, doctors, Citizens not to litter
urban & regional planners
 Group Activity

Suggest types of policy actions in the MDA

Direct Indirect
Monetary Provide Tax

Purchase Subsidize

Nonmonetary Prohibit Inform

Require Implore
Step 4: Evaluate and compare alternative policies

 Establish the linkages between existing policies and the

problem.
 Helps avoid policy overlaps and contradictions
 Ensure harmony and synergy between policies -avoid
policy conflicts
 Draw up policy scenarios including impact on stakeholders
 Steps in Public Policy Formulation cont…

Scenario Table
Policy Option 1 Policy Option 2 Policy Option 3
Attributes
Evaluation Criteria
1) Cost
2) Net Benefit
3) Efficiency
4) Equity
5) Administrative
Ease
6) Legal Issues
7) Political
Acceptability
8) Extent of
Uncertainty
Step 5: Select the Best Policy Among the
Alternatives Considered

 Do not rush to one option – Check preferred option with

stakeholders
 If possible, choose an option that satisfies enough
stakeholders
 Stakeholder analysis is not a panacea, where serious
conflict of interests dominate
 Elements of Draft Policy

Draft the policy by including the following content:

1) Policy name
2) Effective date of the policy and date of any revisions
3) Approval status (At this stage, the status is "DRAFT.")
4) Reviews/References (List other policies and documents
related to this policy.)
5) Purpose of the policy (what it is intended to promote or
achieve)
6) Main policy statement
 Elements cont…

7) Definitions of any key concepts or terms used in the

policy
8) Eligibility or scope (what groups are covered by the
policy)
9) An implementation matrix for the policy
10) Procedures for carrying out the policy, written in
numbered steps.
Step 6: Implement, Monitor and Evaluate the
Preferred Policy

i. Develop an implementation plan

 An implementation plan is as important as the policy

choice itself
 Set out a monitoring and evaluation criteria at the
outset of the policy
 Monitor the short term outputs and medium term
outcomes of the policy
 Evaluate the long term impacts of the policy
 Manage Data - sources and procedures for M&E
should be established at the beginning
 Step 6 cont…

ii. Consider the instruments and strategies to be used

 Consider the instruments and strategies to be used to
achieve these plans.
For instance, in an effort at reducing child mortality
one of the instruments may be the introduction of free
medicine to children under five years.
Step 6 cont…

iii. Identify those to implement the policy

 Identify those who will be responsible for the

implementation of the policy.

 Identify the standards required for the policy to be well

articulated, the cost of implementing the policy, the rules
and procedures to be followed as well as the
implementation mechanisms.

 Determine the type of management and institutional

structure that is required so as to solve the problems.
Step 6 cont…

iv. Presentation to Cabinet

 The next step is the preparation of cabinet

memorandum outlining the basis upon which the policy
is developed.

 This means outlining the key milestones that the new

policy seeks to attain
Step 6 cont…

v. Preparation of Sessional Paper (if need be)

• The parent Ministry then prepares a sessional paper

indicating the issues to be addressed.

• A draft sessional paper is presented to the cabinet by

the responsible Minister
Step 6 cont…

vi. Parliament Endorsement (if need be)

 Sessional paper is then tabled before parliament for

discussion.
 It is discussed in Parliament and amendments made
as recommended by Parliament and may then be
routed to the Attorney General’s office to be drafted
into a bill.
Step 6 cont…

vii. Draft Bill (If need be)

 A draft bill is prepared by the Attorney General’s office

to give the bill the legal inputs and strengths before
final approval by the Cabinet.
Step 6 cont…

viii. Presidential Assent (if need be)

 The final stage before the Bill becomes a Law that can
be enforceable is the granting of Presidential Assent.
 In the event of rejection the President will submit a
memorandum to parliament for review.
 Any conflict with the Constitution will render the Bill
null and void.
INTERSECTORAL POLICY FORMULATION

Inter-sectoral policy formulation is considered in issues

and problems that:

 Require more than one unit to handle

 Whose ramifications run across more sectors than one.
 It calls for collaborative approaches and partnerships in
analysing the problems and coming up with solutions.
 HOW DOES IT WORK?

 Institutional arrangements – steering committees,

sector working groups, inter-ministerial task forces
 Financial mechanisms – sector-wide funding, cost
sharing e.t.c.
 Information tools – exchange and sharing of
information.
 Legislation and regulations - legal support for
actions taken by sectors.
 Accountability frameworks – is enhanced.
The Implementation Journey

THE BIG ELEPHANT IN OUR POLICIES

Public Policy Implementation

 Consists of organized activities by government directed

toward the achievement of goals and objectives in
authorized policy statements

 The taste of a good policy is in its implementation –

phase at which effects of a policy are experienced

 Implementation is the realization of an application, or

execution of a plan, idea, model, design, specification,
standard, or policy.
Requisites for Policy Implementation

1) Policy framework: Policy Content

2) A legal framework: Legality, legal backing

3) Institutional framework: Mechanisms for policy

implementation – institutions created and mandated to
implement the policy
Factors Impacting Implementation

 Legislative intent
 Administrative capacity of the implementing bureaucracy
 Interest groups activity and opposition
 Presidential or executive support.
 Group Discussion

1) What are the commonly experienced

challenges with policy formulation and
implementation?

2) What should be done to overcome such

challenge and ensure smooth policy formulation
and implementation processes?
Challenges in Implementing Government Policies[1]

 Lack of a clear cut policy -precedence

 Duplication and conflict in institutional roles
 Gaps between policy and existing legislation.
 Poor planning on policy implementation (executions)
 Absence of policy review mechanism
 Divergent attitudes towards the policy
 Poor Communication between those involved in policy
formulation
 Competing activities –distraction from real issues
 Absence of top management commitment
 Poor risk management –dealing with uncertainty (external
environment -climatic conditions, global economic factors etc)
Monitoring the Implemented Policy

 Assures continuity, determine whether they are having

impact.
 Policies and programs must be maintained and monitored
during implementation to assure that they do not change
from the initial intention
 Determines whether they are having the impact intended
 Decide whether they should be continued, modified or
terminated.
 It is about internal validity - whether our programs make a
difference, if there is no other alternate explanations.
Process of Public Policy Evaluation

There are two central reasons for evaluation:

 To improve public services through better policy

development and implementation and
 To reinforce accountability.
Process of Public Policy Evaluation
The process involves the following steps:
1) Review the policy's objectives. Check that the objectives are
specific enough to form the basis of a measure. Include what
and whose behaviour the policy is attempting to modify.
2) Identify indicators that will measure whether the policy has
been successful.
3) Document the status quo. If possible, make a record of key
measurable features of the current situation and note this on
the relevant policy file.
4) Draft a short plan of how evaluation will be conducted covering
who and when.
 Reflection questions about a policy's success

1) How will you know it has been implemented?

2) How will you know it has been implemented in the way
intended, or was it adapted to suit local needs or for
other reasons?
3) Are there any statistical collections which provide
information on how this policy's objectives are being
met? If so, what statistical information would be
relevant? If not, would it be worth establishing a
relevant data collection?
4) How will you know that the policy's objectives have
been achieved? How long will it take before the policy
should have enough time to achieve its objectives?
Reflection questions about a policy's success

4) How popular is the policy with those it affects? How

popular is the policy with those who implement it?
5) How will you know if circumstances have changed
necessitating a change to policy?
6) How will you know if the policy has resulted in a
reduction in enquiries or complaints to District Officers
and or central office?
Secrets_of_Nations.PPS
 Conclusion: Check List for a good Public Policy
1) Implementation: Was implementation planned when the policy was worked
out?
2) Governance: Is there an officer accountable for delivery and has s/he
authority to undertake implementation?
3) Risk management: Have implementation risks been identified and
minimized?
4) Planning for implementation: Is there an implementation plan?
5) Procurement and contract management: Are procurement and contracts
build into the plan?
6) Stakeholder management: Is the purpose for stakeholder engagement
Clear?
7) Resources: Are implementation skills available, adequate resources and
adequate attention to cultural and change management?
8) Communication: Has communication been considered and a strategy for
communication made?
9) Monitoring, evaluation and review: Is there monitoring, evaluation and
review of key deliverables ? Are the data sufficient?
Thank

You