This document is a presentation by Shahid Hussain Raja on public policy formulation, detailing the components, stages, and challenges involved in the process. It highlights the importance of good governance and effective policy implementation for improving citizens' quality of life in Pakistan. Additionally, the document serves as a resource for understanding public policies, their formulation, and the role of various actors including government officials, interest groups, and the media.

1. Shahid Hussain Raja
Author/Trainer/Consultant
Cambridge.UK
www.shahidhussainraja.com
21/10/2021 1

2.  Introduction
 National Interest, Good Governance & Public Policy
 What is Public Policy
 Components of Policy
 Importance of Public Policies
 Sources and Types of Policy Formulation
 Stages of Policy Formulation
 Challenges in Public Policy Formulation
 Facilitating Public Participation in Policy Formulation
 Conclusion
21/10/2021 2

3.  This is part 1 of the 3-part Course on Public Policy Formulation
 This course explains the way policies are formulated, the steps
involved and the activities to be performed in the various steps
 It also explains the main features of a good public policy and
discusses it with reference to policy formulation in Pakistan
 In this presentation, we will be discussing the features of public
policy, six stages of public policy formulation, & challenges faced
21/10/2021 3

4.  Retired as Federal Secretary, Govt. of Pakistan, held senior positions
 Ex.Chief Instructor, National School of Public Policy, Lahore (Pakistan)
 M.A. (Economics), M.A. (Political Science)-Punjab University, Lahore
 M.Sc.(Defence and Strategic Studies)-National Defence College
 Post Graduate Diploma (Development Studies)-Cambridge University
 Executive Development Program-JFK School of Government, Harvard
 Author of 12 books on various public policy, national/global issues.
 Conducts courses online and offline

5. 21/10/2021 5
Public Policy Formulation

6.  Every state has one overriding objective-improving the quality of life of
its citizens. It has 3 interrelated and inter dependent components
1. Standard of Living: Increasing the quantity, quality and access of economic goods and
services-food, shelter, clothing, health, education etc.
2. Good Governance: Increasing quantity, quality & access of political goods & services-
external defence, internal peace, access to justice, political empowerment
3. Social Development: Increasing the quantity, quality and access of social goods and
services- classless society, equality of opportunity, cultural enhancement,
 To achieve this objective, the government formulates a set of national
policies along with suitable strategies to implement them.

7.  Quality of governance in a country is dependent on its capacity to
effectively formulate and implement sound socioeconomic policies.
 Although policy formulation is the responsibility of the elected
members, its implementation rests with the public servants.
 Public policy studies have been receiving a lot of attention in
academic circles all over the world for diverse reasons.
 Main reason for this interest has been the increasingly assertive role
of the civil society organizations and the media.

8.  Formal documented statement of intentions and actions of an
organization/authority either to remove certain deficiencies or to
improve the conditions in any particular area
 “whatever governments choose to do or not to do”
Thomas Dye (1987)
 “Purposive course of action or inaction undertaken by an actor or a
set of actors in dealing with a problem or matter of concern”
Anderson (1994)
21/10/2021 8

9.  Not a random act, rather a deliberate action
 Approved by public representatives
 Not a piece of legislation but has its own sanctity
 Distinct from strategy to implement it by state apparatus
 It could be a part of an overall development policy i.e. Food Security
as objective of National Development Strategy or it
 Could be a specific departmental policy i.e. Food Security Policy
21/10/2021 9

10.  Preamble: Statement of Facts-why need for this policy
 Definitions: General Clauses- definitions of terms used
 Scope: Broad outlines of what to do in which areas
 Policy Directions: Specific actions to be taken, their priority
 Institutional Mechanism: Which are responsible authorities
 Date of Application: When it will be applicable
 Repeal Clauses: Which previous policy/clauses it repeals/replaces
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11.  Big Picture: Only state has big picture of its overall aims and
objectives, can give clear guidelines to solve a problem.
 Public Awareness: Get public support by informing them about state
sincerity and seriousness to address their greivances/publicity
 Synergy: To ensure clarity about the respective domains of different
policies, have synergistic, not divisive effect
 Transparency: By informing public bout government's intentions,
actions, and priorities, people should know who is getting what
21/10/2021 11

12.  There is a complex relationship among the institutions responsible for
formulating and implementing the public policies in a country.
 These actors could be grouped into 3 distinct categories namely
political elites, bureaucracy, & private sector (firms as well as NGOs)
 Every entity in these categories strives hard to safeguard its respective
vested corporate interests more than the stated welfare objectives
 Gordon Adams calls it "iron triangle of Public Policy", because of its
inherent strength based on mutually beneficial cooperation of all

14.  Distributive: Formulated in response to specific issue & affect only select
group of people yet their impact could be far-reaching- Car emissions
 Redistributive: Affect majority; compulsory employees pension
contributions affect any business hiring an employee.
 Regulative: These policies are often applied to businesses and
corporations to impose good business practices.
 Constituent: Any policy converted into proper legislation is a constituent
public policy.
21/10/2021 14

15. 21/10/2021 15
Stages of Policy Formulation

16.  Problem Identification: The problem is identified, its nature described,
its affectees, time duration, awareness level etc
 Policy Formulation: Marked by discussions between government officials
& interests groups, alternatives, solutions, obstacles, benchmarks
 Policy Adoption:policy maker evaluate alternatives policies/accept one
 Policy Implementation: defining agencies and organizations are involved
and responsibilities are assigned to each agency on their part.
 Policy Evaluation:to know how the policy is working after it has been
implemented, deficiencies in execution identified and rectified

17. A. Interest Articulation
B. Interest Aggregation
C. Rule Making-four stages and approval
D. Rule Implementation
E. Rule Adjudication
F. Monitoring, Evaluation, & Feedback
21/10/2021 17

18.  Demand for public policy formulation starts from a group of people
facing a problem who use different media to air their grievances
 Different interest groups having sets of demands are involved in
alliance building with other groups on give and take agreements.
 Media is important vehicle for airing their demands to ensure their
interests are reflected in the manifestos of the political parties
 They also engage lobbyists not only at this stage but also at the other
stages. This is Interest Articulation-first stage of policy formulation

19.  Societal Structural Changes: demographic transition, economic
transformation, Urbanisation, Technology Change
 Regime Change: new political elite may have new vision, mission and
agenda for which it needs new sets of public policies
 Donors/World institutions: their aid may be contingent upon certain
policy changes, structural changes
21/10/2021 19

20.  Global Commitments: state enters into international conventions
which normally need local policy formulation
 Pressure Groups: industrial ,agricultural lobbies, social causes
advocacy groups can force state for this
 Court Orders: Superior courts orders for formulating clear policies or
review an existing policy while hearing any case
21/10/2021 20

21.  A political party is a diverse conglomeration of groups of people, each
using its platform to advocate and advance its corporate interests
 Mostly, these sets of demands are contradictory, forcing party leaders
to aggregate these competing demands into viable policy options
 These policy options are reflected in their election manifestos during
the election campaigns or presented through their elected members
 Once converted into policy, political parties have to ensure that these
are implemented in letter and spirit-hence their role in M&E

22.  Many use this stage as interchangeable with overall public policy
making which is not true.
 Rule making is no doubt the most important stage of the entire chain,
yet it is only one rung in a staircase of public policy formulation.
 There are two options for preparing a policy document
1. Integration of policy concerns into overall and sectoral policies.
2. Preparation of a sector-specific policy document
 Whichever option is chosen, there are normally four phases in draft
policy formulation and its validation process

23.  PHASE- 1
Establishment of a task force, consisting of stakeholders
 PHASE -2
Diagnosis of the situation-what, when, why something needed
 PHASE-3
Production of a first/second draft of the policy
 PHASE- 4
Presented for endorsement for the sponsoring authority
21/10/2021 23

24.  Concerned ministry gets its approval from the competent authority
 In case of single ministry policy, the minister in charge
 In case of multisectoral policy- the cabinet
 If it affects the provinces-Council of Common Interests (CCI)
 Once approved, it is formally notified
 If needed, sent for formal legislation to the parliament
21/10/2021 24

25.  Although policy formulation is prerogative of the elected members,
its implementation in letter and spirit rests with the bureaucracy.
 Based on measures and priorities defined in policy, the bureaucracy
formulates a Strategic Plan of Action for its implementation.
 There can be three types of policy measures:a) Regulatory type b)
Programme type c) Combination of the regulatory and programme
 In case of any difficulty, the bureaucracy is supposed to bring it to the
notice of those who formulated it and get it revised

26.  Courts normally do not interfere in executive affairs under well-know
concept of Separation of Powers
 However, If the policy formulated is against the Constitution or its
implementation itself may result in gross injustice to the public.
 In both the cases, the judiciary itself or on the petition of anyone
adversely affected can take action
 It can either refer it back to the elected representatives for its re-
examination or it can strike it down completely

27.  No policy formulated is perfect nor it is etched in stone,anomalies or
the adverse consequences of any policy formulated or implemented.
 Thus, Monitoring and Evaluation (M&E) is an essential element of
policy formulation and implementation cycle
 It ensure that the policy is effective in achieving the objective and
take mid-term corrections where needed.
 While in-house M & E unit, different stakeholders should perform M &
E at all levels of policy implementation and monitoring activities

28.  Information Gap: Availability of accurate, timely, and relevant
information about the issue needing policy, priority to be attached to
 Stakeholders' Acceptance: Uphill task to arrive at a consensus among
multiple stakeholders, institutional coordination, dispute resolution
 Management Deficiency: Those who are to formulate/implement policy
must have requisite skills to assess and interpret the information
 Resource Deficiency: Grandiose projects remain only a pipe dream if you
lack administrative wherewithal or adequate financial resources
21/10/2021 28

29.  Fundamental Rights: Any restriction on these rights like freedom of
speech and association will adversely affect meaningful participation
 Free Media: If there are restrictions on media by design or by default.
it would again hinder public participation in policy formulation
 Independent Judiciary: Courts take notice on the petition of any
individual if they feel that there are restrictions on public
participation
 Fair Elections: Fair and free elections at regular intervals provides the
best opportunity to the public to influence the government policies

30.  Public policy formulation is not a random act, rather a formally
documented statement of intentions and sets of actions of a state
 Exclusive domain of the elected representatives of the county; it is
implemented by the state apparatus and has the sanctity of its own
 Besides creating awareness about state intentions, it helps in creating
confidence among public, and garner their support for those actions
 There are many sources and drivers of public policy formulation
which differs from country to country due to multiple reasons

31.  This presentation has been prepared by using the material contained in
the author's book “Public Policy Formulation and Analysis”
 It has been published as an ebook by Amazon and is available at
https://www.amazon.com/dp/B01672SU10
 This book has been translated into Spanish, French, and Portuguese also
 Although written primarily for the managers, this handbook is equally
useful for the senior executives belonging to the public or private sector

32.  If you like the presentation , kindly click the icon
 For any question, kindly email me at shahidraja@hotmail.com
 To download the presentation or its word version, please visit my
website
www.shahidhussainraja.com
This website contains large number of articles on diverse issues. Some
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40. Thanks