The Public Policy Formulation process and tools - policy review, analysis, formulation and adoption

1. SUPREME MANAGEMENT CONSULTANTS
CHARLES COTTER
27 NOVEMBER 2012
RANDBURG TOWERS

2. PRESENTATION OVERVIEW
Introduction
Key points
Summary
Questions

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