Public Policy Formulation - Process and Tools

SUPREME MANAGEMENT CONSULTANTS

CHARLES COTTER27 NOVEMBER 2012

RANDBURG TOWERS

PRESENTATION OVERVIEWIntroduction

Key points

Summary

Questions

INTRODUCTORY LEARNING ACTIVITY

Complete the activity on page 2

Elaborate on your choice of word association

DEFINING THE FUNDAMENTAL CONCEPTS

Policy:

A policy is typically described as a principle or rule to guide decisions and achieve rational outcome/s.

A purposive course of action based on societal values, followed in dealing with a matter or concern, and predicting the outcome that would result from the achievement of the purpose

Public policy:

Policy serving as the enabling and guiding framework for government in all sectors and at all levels.

PUBLIC POLICYPublic policy is all about:

The intentions of the legislative authority towards society

The direction in which the legislator wants to steer society

The utilization of national resources

DISTINCTIVE CHARACTERISTICS OF POLICIES

Authoritative

Enforceable

Flexible and adaptable

Feasible

Clear

Transparent

Consultative

LEARNING ACTIVITY 1Complete the activity on pages 8-9

Provide feedback

PUBLIC POLICY FORMULATION PROCESS

PHASE 1: INITIATION

Step 1: Agenda-setting/issue (problem) identification Step 2: Policy instruments Step 3: Policy analysis Step 4: Stakeholder engagement, consultation and co-ordination

PHASE 2: GENERATION

Step 5: Policy formulation, decision-making and policy drafting

PHASE 3: IMPLEMENTATION

Step 6: Policy implementation

PHASE 4: EVALUATION

Step 7: Policy monitoring and evaluation

LEARNING ACTIVITY 2Complete the activity on pages 11-12

Provide feedback

STEP 1: AGENDA-SETTING/PROBLEM IDENTIFICATION

Process of identifying policy issues/problems, which require the attention of a legislator

Process wherein the members of society identify their needs, desires and demands and wherein a legislator decides to place these issues on the agenda for deliberation

The setting of the policy agenda allows a legislator to become sensitized to some of the critical policy requirements that affect society.

Issue identification can be conducted by forecasting the future with the use of extrapolative techniques such as the Delphi technique, brainstorming and scenario sketching

The origin/source of the various organizational policy-related issues

Prioritization of issues

STEP 2: POLICY INSTRUMENTS/SOURCES

Legislation and government policy and prioritiesTaxation (the budget)Persuasion (and public pressure) Inspection and auditsMinutes of meetingsLegislative recordsProvision of servicesNewsletter, media briefings and community

meetings

STEP 3: POLICY ANALYSISStep-by-step way of unpacking and understanding

policy choices and comparing possible outcomes

Policy analysis needs to explore as rationally and honestly as possible the implications and possible outcomes of adopting policy

The importance and value of continual policy analysis

Policy analysis is an attempt to determine the costs and benefits of various alternatives or to evaluate the validity of existing policies e.g. Force field analysis

Policy analysis is an attempt to bring about and transform information pertinent to particular policies to resolve problems pertaining to those policies

THE VALUE AND BENEFITS OF POLICY ANALYSIS

To determine whether they are in effect contributing towards the general well-being of society and/or serving the best interests of organizational stakeholders

The making of rational choices in policy

Assists the stakeholders in policy to comprehend the importance of values, particular interests and business considerations

Provides tangible facts

Compares not only objectives or resources, but also alternative programmes, it makes errors easy to identify by working with historical contexts and bears in mind that senior managers must implement policies and that citizens are involved

STEP 3: POLICY ANALYSIS continued…

The role of the policy analyst:

Advisor

Advocate

Pre-requisites for policy analysis:

Refer to pages 18-20

6-STEP POLICY ANALYSIS PROCESSIdentify the underlying values and aspirations

Understand the problem in its context

Identify the alternative courses of actions

Decide which dimensions of the problem are most important

Predict the likely outcomes of different courses of action

Measure the chosen courses of action against important values and aspirations

STEP 4: STAKEHOLDER ENGAGEMENT, CONSULTATION AND CO-ORDINATION

Objective: To ensure accountability, responsiveness and openness and upholding the right to access to any information held by the state

Constant interaction with society

Extensive consultation and co-ordination between the various stakeholders

Interest groups e.g. civic society; associations and lobbyists

Public participation

STAKEHOLDER ENGAGEMENT STRATEGY

Step 1: Identify stakeholders

Step 2: Prioritize stakeholders

Step 3: Get to know and understand stakeholders

Step 4: Stakeholder relationship management

LEARNING ACTIVITY 3Complete the activity on pages 25-26

Provide feedback

STEP 5: POLICY FORMULATION AND ADOPTION

Factors to consider

Policy recommendations are normally drafted by senior managers and then referred to higher management authority for deliberation, approval and adoption

It remains the responsibility of the highest decision-making authority (executive powers) to approve or reject a particular policy recommendation

The matter could be referred back to management for further investigation

A policy-maker or decision maker has to be sure of the ability of officials to actually execute a policy - administrative, operational and managerial capacity to implement the decision

POLICY CONTENT/TEMPLATEPurpose statement

Applicability and scope

Background/Contextualization

Definitions

An effective date

A responsibilities section – e.g. oversight and governance structures

Policy statements - rules - indicating the specific regulations, requirements, or modifications to organizational behavior that the policy is creating

LEARNING ACTIVITY 4Complete the activity on page 30

Provide feedback

CONCLUSIONSummary

Questions

Contact details:

Charles Cotter+27 84 562 9446charlescot@polka.co.zaLinked In