Chapter 3 policy formulation
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The document discusses the phases of policy formulation, including specifying the problem source, generating policy options, setting objectives, screening and consolidating options, and building support. It defines policy formulation and notes the challenges can include political, technical, and organizational issues. Strategies to improve formulation include better problem and objective clarification, broad option generation, anticipating changes, and leveraging policy communities.
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Chapter 3 policy formulation
- 1. POLICY FORMULATION Public Policy and Governance (950701) Chapter 3
- 2. INTRODUCTION • D e f i n i t i o n • P h a s e s i n p o l i c y f o r m u l a t i o n • C h a l l e n g e s i n p o l i c y f o r m u l a t i o n • S t r a t e g i e s t o i m p r o v e p o l i c y f o r m u l a t i o n • C o n c l u s i o n 2
- 3. DEFINITION T h e p r o c e s s o f p o l i c y f o r m u l a t i o n c a n b e e i t h e r h i g h l y s t r u c t u r e d ‘ d e s i g n ’ o r e n t i r e l y a d h o c a n d m e a n i n g l e s s n o n - d e s i g n ( H o w l e t t & M u k h e r j e e 2 0 1 3 ) Add a Footer 3
- 4. DEFINITION D e t e r m i n a n t s o f t h e c a p a c i t y t o u n d e r t a k e r i g o r o u s p o l i c y e v a l u a t i o n i n c l u d e ( H o w l e t t 2 0 0 9 ) : o Availability of capable individual analysts; o Provisions for the collection and dissemination of relevant information; o Mechanism to ensure access by agencies, nongovernmental organizations and the public to thisAdd a Footer 4
- 5. PHASES IN POLICY FORMULATION 5 Specify Problem Source Generate Options Set ObjectiveBuild Support Screen & Consolidate Options
- 6. PHASE 1: SPECIFYING THE SOURCE OF THE PROBLEM • The policy formulation process begins with debates and consideration among various actors about the actual sources and causes of a problem that the government has toAdd a Footer 6 • The identified source of the problem needs to be based not only on evidence and logic but also must be practical in the sense that something can be done about it
- 7. PHASE 2: GENERATING POLICY OPTIONS It involves an assessment of what tools for dealing with a particular problem are available for deployment. Add a Footer 7 Policies are comprised of a number of elements that must be aligned if they are to succeed (Howlett 2009);
- 8. 8 COMPONENTS OF PUBLIC POLICY Add a Footer 8 High Level abstraction Program level operationalization Specific measures GOALS What general types of idea govern policy development? OBJECTIVES What does policy formally aim to address? SETTINGS What are the specific on- the-ground requirements of a policy? INSTRUMENT LOGIC What general norms guide implementation preference? TOOLS What specific types of instruments are utilized? RESOURCES What kinds of personnel and funding are allocated to operate the selected tools? POLICYFOCUS POLICY CONTENT PolicyaimsPolicymeans ortools Source: Howlett and Cashore 2009
- 9. 9 POLICY TOOLS Add a Footer 9 • Policy tools also known as policy instruments or governing instruments. • Policy tools maybe divided into two main categories; private and public. • There are also hybrid and mixed tools. Private tools Mixed Public tools • Market • Voluntary organizations • Family • Collaborative tools such as co-design, co- production, and co- management • Information, suasion, nudges • Economic incentives and disincentives • Regulations • State enterprise • Direct provision
- 10. 10 PHASE 3: SETTING OBJECTIVES Add a Footer 10 •Different problems have different imperatives, and the tempo of change required or anticipated is an important factor in deciding how to address them, and which tools to use, in what sequence, in order to do so (Justen et al. 2013) •Policy alternatives can be categorized into two types based on this criterion: incremental alternatives and non incremental alternatives (Lindblom 1959).
- 11. 11 PHASE 4: SCREENING AND CONSOLIDATION OF OPTIONS Add a Footer 11 To draw conclusion about the attractiveness of alternative options against set criteria and to provide some sort of estimation about the relatives costs and efficiency, both technical and political, involved in their option.
- 12. 12 PHASE 5: CONSULTING AND BUILDING SUPPORT Add a Footer 12 •It is common for some processes to then unfold either within the government or outside in the policy community to legitimize and gather support for a small set of options that can be brought forward to decision-makers for their selection and approval (Bryson et al. 2006)
- 13. 13 CHALLENGES IN POLICY FORMULATION Add a Footer 13 Political Technical Organizational and operational
- 14. 14 STRATEGIES TO IMPROVE POLICY FORMULATION Add a Footer 14 Better understanding of the source of the problem Better clarification of policy objectives Broadening the sources for generating policy alternatives Anticipating changes better and building political support Leveraging on policy communities and networks
- 15. Add a Footer CONCLUSION 15 Policy formulation is a key stage of policy-making and one in which policy actors and advisors may find their greatest opportunity to affect decision-making and policy implementation.