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Public Policy Formulation - Process and Tools

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This document outlines the public policy formulation process. It begins with defining key concepts like policy and public policy. The public policy formulation process has four phases - initiation, generation, implementation, and evaluation. The initiation phase involves agenda-setting, identifying policy issues, and stakeholder engagement. The generation phase is when policies are formulated and drafted. Implementation involves enacting the policies. Evaluation is monitoring and assessing the policies. The document provides details on steps like policy analysis and stakeholder consultation that are part of the initiation and generation phases of the public policy formulation process.

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SUPREME MANAGEMENT CONSULTANTS CHARLES COTTER 27 NOVEMBER 2012 RANDBURG TOWERS
PRESENTATION OVERVIEW Introduction 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 POLICY Public 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 1 Complete 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 2 Complete 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 priorities Taxation (the budget) Persuasion (and public pressure) Inspection and audits Minutes of meetings Legislative records Provision of services Newsletter, media briefings and community meetings
STEP 3: POLICY ANALYSIS Step-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 PROCESS Identify 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 3 Complete 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/TEMPLATE  Purpose 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 4 Complete the activity on page 30 Provide feedback
CONCLUSION Summary Questions Contact details:  Charles Cotter  +27 84 562 9446  charlescot@polka.co.za  Linked In

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Public Policy Formulation - Process and Tools

  • 1. SUPREME MANAGEMENT CONSULTANTS CHARLES COTTER 27 NOVEMBER 2012 RANDBURG TOWERS
  • 3. INTRODUCTORY LEARNING ACTIVITY Complete the activity on page 2 Elaborate on your choice of word association
  • 4. 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.
  • 5. PUBLIC POLICY Public 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
  • 6. DISTINCTIVE CHARACTERISTICS OF POLICIES Authoritative Enforceable Flexible and adaptable Feasible Clear Transparent Consultative
  • 7. LEARNING ACTIVITY 1 Complete the activity on pages 8-9 Provide feedback
  • 8. 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
  • 9. LEARNING ACTIVITY 2 Complete the activity on pages 11-12 Provide feedback
  • 10. 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
  • 11. STEP 2: POLICY INSTRUMENTS/SOURCES Legislation and government policy and priorities Taxation (the budget) Persuasion (and public pressure) Inspection and audits Minutes of meetings Legislative records Provision of services Newsletter, media briefings and community meetings
  • 12. STEP 3: POLICY ANALYSIS Step-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
  • 13. 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
  • 14. STEP 3: POLICY ANALYSIS continued… The role of the policy analyst:  Advisor  Advocate Pre-requisites for policy analysis:  Refer to pages 18-20
  • 15. 6-STEP POLICY ANALYSIS PROCESS Identify 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
  • 16. 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
  • 17. STAKEHOLDER ENGAGEMENT STRATEGY Step 1: Identify stakeholders Step 2: Prioritize stakeholders Step 3: Get to know and understand stakeholders Step 4: Stakeholder relationship management
  • 18. LEARNING ACTIVITY 3 Complete the activity on pages 25-26 Provide feedback
  • 19. 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
  • 20. POLICY CONTENT/TEMPLATE  Purpose 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
  • 21. LEARNING ACTIVITY 4 Complete the activity on page 30 Provide feedback
  • 22. CONCLUSION Summary Questions Contact details:  Charles Cotter  +27 84 562 9446  charlescot@polka.co.za  Linked In