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.

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 )
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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.
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 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
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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
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• 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
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•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
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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
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•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
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Political
Technical
Organizational and operational

14. 14
STRATEGIES TO IMPROVE POLICY FORMULATION
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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

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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.