how to make a policy

1. Unit 5
Public Policymaking Processes
“The most important contribution to better
performance is better policy.”
1

2. Unit Learning Outcomes
Upon the completion of this unit, students will be able to:
list and understand the stages of public policymaking
processes;
identify the various policy actors and the extent of their
influence; and
evaluate the Ethiopian policymaking processes and
styles in accordance with national development goals.
2

3. Class Discussion Questions
① What are the stages involved in the public
policymaking cycle/process? And discuss the activities
performed in each stage.
② Who are the actors in the public policymaking
process? And discuss the roles, duties and
responsibilities of each actor in each of the stages of
policymaking process.
③ Which stage do you think is the most challenging in
the policymaking process? Why?
④ How is the public policymaking process in Ethiopia?
And what strengths and shortcomings do you observe?
3

4. Policy process
 Policy studies focus on how policies are made rather
than their content or their causes and consequences.
 It is also a series of activities/processes (political
activities or processes) that occur within the political
system ((Dye, 2005:31).
4

5. Policy process… cont’d
 In the real world, however, these series of activities
seldom occur in a neat, step by-step sequence.
 Contexts in which public policies are made determine
the procedures or processes that are supposed to be
adhered to (e.g. issues such earthquakes, floods, etc. that
require emergency responses). See the figure by
Thomas R. Dye (2005: 32).
5

6. Policy process… cont’d
The Policy Cycle
Problem identification, and Agenda setting
policy
Termination Policy Change Policy Formulation
Policy Adoption
(Policy legitimation)
Policy Implementation
Policy evaluation
Source: D. K. Gupta (2001, 47)
6

7. Policy process… cont’d
 In the policy making/legitimation process, the role of
what is known as “Proximate policymakers” is very
important.
 They include head of the nation or government, the
parliament/congress, courts, parliamentary committees,
high-ranking staff of the presidential or premier offices,
and interest groups.
 If regrouped as full-fledged legislatives, executives or
administrative agencies and interest groups, may be
labeled as the three “iron triangles” (Anderson 2006).
7

8. The Iron triangle model
(Lester and Stewart, 2000:74)
THE IRON TRIANGLE
PLAYERS
Legislative /Parliament Committees
(Senators and staffers )
Interest Groups (professional &
corporate representatives)
Administrative Agencies
(Career officials and political appointees )
8

9. Policy process … cont’d
 Traditionally the iron triangles were considered as the
whole (complete) of policymaking process.
 But iron triangles are blamed for being resistant to
wider public participation as they dominate policy
space and their continuing access and much influence
on the content of policy.
 In consequence, it is argued that policy experts or the
academic community are said to have been adversely
excluded from the policymaking exercise, while in
turn being affected by the policy.
9

10. Stage 1: Problem Identification
Who decides what will be decided?
 In a democracy, it is argued that problem identification
is not the prerogatives/choice of the few.
 It can occur any time citizens or groups make demands
upon the government.
 A problem can be discussed and placed on the agenda
of national decision-making.
 Individuals and groups can organize themselves to
assume the tasks of defining problems and suggesting
solutions.
10

11. Stage 1… cont’d
 “Defining the problems of the society and
suggesting alternative solutions is the most
important stage of the policymaking process” (Dye
(2005: 32).
 Problem definition is also considered strategic
where groups, individuals, and government agencies
deliberately design portrayal or symbols to
mobilize the mass as well as promote their
preferred course of action.
11

12. Stage 1… cont’d
 Policy issues (problems) can only be perceived or
succeed when meeting the following criteria:
① If an issue has reached crisis proportions and can no
longer be ignored, it will be addressed;
② Having an emotive aspect, or receiving media
attention because of human interest angle helps an issue
to gain attention; and
③ If the issue is seen as having wider impact, then it will
make it onto the agenda.
12

13. Stage 2: Agenda Setting
What is policy agenda?
 An agenda is a collection of problems, understanding
of causes, symbols, solutions, and related public
problems or issues coming to the attention of members
of the public and government officials (Birkland, 2001).
 Agendas are quite vast to respond to them at a time,
mainly due to the limited resources to be allocated or
mobilized.
13

14. Stage 2: Agenda Setting … cont’d
Types of Agenda:
① Agenda Universe: discussed in a society/political system
② Systemic agenda: member of the political system
③ Institutional agenda: authoritative decision makers
④ Decision agenda: acted by government body
14

15. Stage 2: Agenda Setting… cont’d
15

16. Stage 2: Agenda Setting… cont’d
1. Agenda Universe:
 All ideas that could possibly be brought up and
discussed in a society or a political system.
 All issues that are commonly perceived by members
of the political community as meriting public
attention.
 If ideas are ‘not acceptable’ to a society or a political
system, then it may not be a part of the agenda
universe.
 Many ideas in the agenda universe are more or less
“acceptable” in a political sense.
16

17. Stage 2: Agenda Setting … cont’d
2. Systemic agenda:
 All issues that are commonly perceived by
members of the political community as meriting
public attention and as involving matters within
the legitimate jurisdiction of existing
governmental authority (Boundary).
 Something considered government can provide
solution to it.
17

18. Agenda Setting … cont’d
3) Institutional agenda:
 List of items explicitly up for the active and
serious consideration of authoritative decision
makers.
 Limited number of items reach from systemic
agenda to institutional agenda.
 Due to the limited time and resources available to
any institution or society.
4) Decision agenda:
 Items that are about to be acted upon by a
governmental body, such as bills, court cases, and
regulations.
18

19. Stage 2: Agenda Setting … cont’d
Agenda Setting Styles:
A. Agenda setting from the bottom-up
Is a people-driven type of decision making; also considered a
“democratic-pluralist” model.
This is done by individuals, groups, candidates seeking election,
political leaders seeking to enhance their reputation and prospects
for reelection.
It creates favorable popular images on the part of individual
candidates.
Compels public officials to respond to issues at stake (Dye, 2005).
19

20. Stage 2: Agenda Setting … cont’d
Mechanisms for bottom-up Agenda setting
1. Public opinions
2. Media effects and media power
3. Opinion polls/survey
4. Communication with policymakers
5. Think-tanks
20

21. Stage 2: Agenda Setting … cont’d
B. Agenda setting from the top-down
1. Elite (elitist) agenda setting
2. Political entrepreneurship
Venues from which top-down policies flow include:
 Presidential/premier office and their staff;
 Legislative staffs/parliament staffs; and
 Executive staffs who initiate policy proposals with members
of the parliament/congress (proximate policymakers).
 All of them attract the attention of most media outlets,
commentators, and political scientists over policy matters
3. Interest groups
21

22. Stage 2: Agenda Setting … cont’d
Agenda non-decision: not putting policy in place
Agendas or policy issues are sometimes made to be
undecided for various reasons.
As groups fight to keep their own issues to the attention
of legislators, all issues/problems can not get/ able to
share limited agenda spaces.
Some are forced to wait until the issue/problem reaches
its crisis stage where it can draw the attention, especially
media attention.
22

23. Stage 2: Agenda Setting … cont’d
 Policy non-decision is used as a means of suppression
or blocking of an issue which may come as challenge to
the values and interests of the decision making body.
 Demands for change in the existing allocation of benefits
and privileges in the community may be suppressed
before they are voiced to keep them covert; or killed
before they gain access to the relevant decision-
making arena.
 Policy non decision-making style takes place when the
dominant elites act both openly and covertly to
suppress an issue for the fear of public attention if
focused on it something will be done and what is done
will not be in their interest.
23

24. Stage 2: Agenda Setting … cont’d
 Political power determines the viability of success
of a given agenda since policy issues and competing
groups are inseparable.
 One task of political power is to keep own agenda
on and push others off agenda.
24

25. Stage 2: Agenda Setting … cont’d
Policy agenda denial:
May take place through the use of force, and also
resistance in support of prevailing values.
When problems disappear from agenda (when there is
no more of an “issue attention cycle”).
When changes take place in the conditions that gave
rise to a problem.
Due to appearance of new and more pressing
problems, etc.
25

26. Stage 2: Agenda Setting … cont’d
Three agenda qualities that can go through an
issue-attention cycle include:
those that affect a numerical majority (e.g.
reducing unemployment, poverty);
those that involve social arrangements beneficial
to a majority or a powerful minority; and
those issues no longer found exciting events that
are associated with the problem/issue under
question.
26

27. Stage 2: Agenda Setting … cont’d
Mechanisms influencing policy agendas/government
policies:
Direct lobbying (testifying at committee hearings, contacting
government offices, presenting research findings, and assisting
in writing policy legislations).
Campaigns via various committees.
Interpersonal contacts while on travel, recreation, shows, etc.
Grassroots mobilization efforts to influence the parliament, top
government offices, etc.
Party influence.
Leadership influence.
Constituency influence (pork barrel projects or “home style”
politics to favoring or appeasing constituencies through some
projects (e.g. highway construction, etc.)
27

28. -
Stage 3: Policy Formulation
28

29. Stage 3: Policy Formulation … Cont’d
 Once a problem has been identified and placed on the
agenda, there is still more to do to move it to a fleshed-
out policy.
 Policy formulation involves assessing possible
solutions to policy problems or, exploring the
various options available for addressing a problem.
 Policy design/formulation is the process by which
policies are designed, both through technical analysis
and political process to achieve a particular goal.
 After a policy is designed, it will be enacted and
implemented
29

30. Stage 3: Policy Formulation … Cont’d
 Actors in policy formulations are restricted to
members of the policy subsystem, unlike agenda
setting.
 Requirement for participation for actors is some
minimal level of knowledge in the subject area ,at
least hypothetically.
 At some point (preferably early) in the policy design
process, decision makers must explicitly consider
five elements of policy design.
30

31. Stage 3: Policy Formulation … Cont’d
 Table 7.1
31

32. Stage 3: Policy Formulation … Cont’d
1.The goals of the policy
 Policies are created to meet towards these goals:
social safety nets for the poor, create jobs, provide
public facilities, fund research on technology, etc.
 There are many ways to think and categorize goals.
 Deborah Stone lists four main types of goals
 Equity vs. Efficiency
 Security vs. Liberty/Freedom
 Generally, to eliminate, to reduce, or to contain the
problem is the question of goal setting.
32

33. Stage 3: Policy Formulation … Cont’d
2. The Causal Model
 Regards to how to define the problem, which affect the
choice of policy solution
 “What causes the problem and what intervention
would alleviate that problem?”
 Difficulty in establishing the causal relationships
 Identifying the purposes or motives of a person or group
and link those purposes to their actions provides a basis
for establishing causal relationship in human behaviors.
 Mechanical cause, Accidental cause
 Intentional cause, Inadvertent cause
33

34. Stage 3: Policy Formulation … Cont’d
3. Targets of the policy
 Who is the target of the Policy?
 Often policy aims to change the behavior of people
in a more desired direction.
 Behavioral assumptions of target groups becomes
important in the choice of policy tools.
34

35. Stage 3: Policy Formulation … Cont’d
4. The Implementation of the policy
 Who, what, and how to carry out the designed policy
into action
 Typical problems at the implementation stages
 Government typically has some level of discretion in
designing implementation strategy
35

36. Stage 3: Policy Formulation … Cont’d
5.Policy Tools/Instruments
 At first glance, the concept of instrument seems
simple, however in reality it is very difficult to
describe.
 Policy tool is a method through which government
seeks a policy objective.
 It can also be defined as ‘elements in policy design
that cause agents or targets to do something they
would not do otherwise or the intention of modifying
behavior to solve public problems or attain policy
goals’.
36

37. Stage 3: Policy Formulation … Cont’d
5.Policy Tools/Instruments …
 Policy instruments or tools are also called ‘techniques
of control’ that are by one means or another, overtly
or subtly designed to cause people to do things,
refrain from doing things, or continue to do things that
would other wise not do.
37

38. Stage 3: Policy Formulation … Cont’d
Five Categories of Generic Policies:
① Market Mechanism: Freeing, facilitating, and
stimulating markets
② Incentives: Using taxes and subsidies to alter
incentives
③ Rules: Establishing rules
④ Non-market Supply: Supplying goods through non-
market mechanism
⑤ Insurance & cushion : Providing insurance (economic
protection)
38

39. Types of Policy instruments (Howlett &Ramesh,2003 )
Policy types Categories
Organization -Based
Instruments
• Direct provision
• Public enterprises
• Community and voluntary organizations
• Market organization (consumers and producers
market )
• Government reorganization
Authority- Based
Instruments
• Command and control
• Delegated or self regulation
• Advisory committee, consultation and Quangos (Ad
hock task force, public-private partnership)
Treasure -Based
Instruments
• Subsides: Grants, tax incentive, Loans
• Financial Disincentive: Taxes and user charges
Information- Based
Instruments
• Public information campaigns
• Exhortation & suasion (advice & consultation)
• Advertizing
• Research Inquiries &investigative commissions
39

40. Characteristics of Policy Tools
① Flexibility: Ease with which the tool can be altered to
changing needs and circumstances
② Visibility: The extent to which the program is well known or
less well known (Sometimes invisibility is an important goal.)
③ Accountability: Extent to which implementers are
accountable for their actions.
④ Choice: Degree of citizen choice afforded by the policy
⑤ Certainty: Certainty of the administrative process and the
compliance of targets
⑥ Timeliness: Extent to which the tools works quickly
⑦ Less Cost: Expense of the tool
⑧ Efficiency: Extent to which the tool creates maximum outputs
for a given input
⑨ Effectiveness: Extent to which the tool is likely to achieve its
goals
40

41. Policy alternative model
 Policy alternatives can be described as changes related to abstract policy
goals or more concrete program specifications, referring to the ends of
policy making ; and to basic policy instrument type or genus, as opposed
to alterations of existing instrument components ,when discussing
changes in policy means
 Options that address policy goals and instrument types require the injection
of some new ideas and thinking into policy deliberations
 More specific options dealing with program specifications and instrument “
settings” or components are much more status quo-oriented , involving
relatively minor alternations in existing policies
 Proposal for policy and program changes tend to arise from new actors in
existing policy processes ,while changes relating to instrument types and
components tend to develop among existing actors as their preferences
changes
41

42. Types of Policy Alternatives Model
(Howlett & Ramesh, 2003:147)
Conceptual /policy Practical /program
Ends Policy Goals Program Specifications
Means Instrument Types Instrument Components
Affected
policy
element
Level of generality of policy content
42

43. Steps Doing policy analysis during policy
formulation
 Understanding the Problem
 Assessing Symptoms
 Framing the Problem
 Modeling the Problem
 Choosing and Explaining Goals and Constraints
 Goal Vagueness: Goals as Outputs
 Clarifying the Trade-Offs between Goals
 Clarifying the Distinction between Goals and Policies
 Choosing a Solution Method
 Cost-Benefit Analysis
 Qualitative Cost-Benefit Analysis
 Modified Cost-Benefit Analysis
 Cost-Effectiveness Analysis: Achieving Goals Efficiently
 Multigoal Analysis
43

44. Steps in policy formulation (Rational approach inn policy
anaysis
44

45. Stage 4: Policy Policy adoption
 Decision making is the stage of policy making involving
the selection of a course of action from a range of
policy options, including that of maintaining the status
quo.
 It is not synonymous with the entire policy making
process in which a narrower range of key players
involved.
 It is also broader than policy adoption as the adoption
focuses on the final steps in decision making for certain
policies and tend to ignore the process leading up the
legitimatization of a new or revised policy (Wu, et
al,2010).
45

46. Stage 4: Policy Adoption… Cont’d
Main actors in decision making
 Often, decision making is more or less the exclusive
business of senior administrators and/or elected
officials (elites)– the main players
 There are indirect actors involved in decision
making, such as professional analysts, issue specific
experts ,consultants and lobbyists, etc.
46

47. Stage 4: Policy Adoption… Cont’d
 Policy scientists categorize decision-making in to three main
models depending on the extent to which information is known
about the expected policy outcomes (Wu and et al., 2010).
1. The ‘rational’ decision model
 This model is built on the assumption that the
consequences of each alternative policy option can be known in
advance.
 According to the model, decision makers should choose the
option that maximizes the attainment of their goals, values and
objectives.
 But its applicability is hampered by the need for a large
amount of accurate information on policy impacts and
consequences.
47

48. Stage 4: Policy Adoption… Cont’d
2. The incremental decision model
 This model analyzes public decision making as a
time and information constrained process
characterized by conflict, bargaining, and
compromise among self-interested decision-makers
 It involves marginal or incremental changes from the
status quo.
48

49. Stage 4: Policy Adoption… Cont’d
3. “Garbage Can” decision model
 Applies when there is a very large number of decision makers
and a great deal of uncertainty about both the causes of problems
and their solutions.
 In such situations, policy outcomes will reflect the temporary
desires of those actually able to dominate the decision making
process, however transitorily.
 In this model the ideas of rational model and incremental model
is largely abandoned.
 Instead, a satisficing principles would likely emerge- a decision
making involves satisfying whatever goals are set by a group of
decision makers at the time of the decision.
 A range of policy options with potentially better results is never
fully explored
49

50. Stage 4: Policy Adoption… Cont’d
 Policy adoption: is the selection of a particular
policy option through political institutions.
 It is done by proximate policymakers who have
constitutional mandates.
 The proximate policymakers, as the name indicates,
are much closer to policy affairs.
 Policy legitimation is phase of going and attracts the
attention of mass media and most political
scientists.
 Law making process is a mandate of the
parliament/congress in many countries.
50

51. Policy adoption in Ethiopia
 The hierarchy of policy adoption
 The constitution of the Federal Democratic Republic of
Ethiopia.
 The proclamations passed by Parliament and signed by the
president of FDRE.
 Council of Ministers Regulations approved by cabinet and
signed by the Prime Minister.
 Ministerial Directives issued by authorized ministry and signed
by its Minister.
 Guidelines and manuals which explain policies, rules ,and
procedures but which are not themselves legally binding
documents.
51

52. Reflective Discussions
① Evaluate the practice of policy legitimatization
process in the Ethiopian political institutions
② How do you assess the trends of decision making
practices of your organization where you are
currently working in?
52

53. Stage 5: Policy Implementation
① Basic definitions of underlying concepts
② Strategic planning and management in policy
implementation
③ Implementation approaches
④ Main actors in policy implementation
⑤ Factors for consideration -in implementation of policy
⑥ Challenges/barriers of policy implementation
53

54. 1. Basic definitions of underlying concepts
 Policy implementation is regarded as the accomplishment of policy
objectives through the planning and programming of operations and
projects so that agreed upon outcomes are achieved.
 Who, what, and how to carry out the designed policy into action.
 Policy implementation is a dynamic, not linear, process.
 Implementation is also political –creating winners and losers .
 It results in inter-agency and intra-agency competition for resources
and control over implementation activities.
 It is also best seen as a form of network governance – it demands
extensive coordination among an unusually wide range of actors
 Government agencies typically has some level of discretion in
designing implementation strategy
 Series of decision making follows after the adoption
54

55. 2. Strategic planning and management in policy
Implementation
 The set of tasks practically associated with implementation is best understood as a
“continuum” of strategic and operational task function” (Wu,et al.,2010)
 Strategic planning is “a disciplined effort to produce fundamental decisions and actions
that shape and guide what an organization is, what it does, and why it does
it” (Bryson, 2004).
 Strategic planning is also not one thing but a set of concepts, procedures, and
tools that can help public and nonprofit organizations and communities become more
successful in achieving their mission or vision and creating public value.
 There are several complementary ways of looking at and thinking about strategic
planning.
1. The building-block view
2. The ABCs of strategic planning
3. The strategic planning process cycle
4. The project management view
5. The Strategy Change Cycle
6. The creating public value view
55

56. The building Block view
 A visual model is helpful in presenting the element or building
blocks—of a strategic planning process and plan and the
phases that most processes go through
 The four phases are;
① Organizing the planning process and analyzing the
environment
② Identifying and analyzing strategic issues
③ Developing strategies and action plans
④ Implementing strategies
 Each of these four general phases consists of several building
blocks of project activity and information that will result in a
specific planning product.
56

57. Bryson & Alston, Creating and Implementing Your Strategic Plan: A
work book for Public and Nonprofit Organizations 2nd
,2005
Phase One:
Organizing the
Process and
Analyzing the
Environment
Phase Three
Developing Strategies
and Action Plans
Phase Four
Implementing
Strategies
Phase Two
Identifying and
Analyzing
Strategic Issues
Readiness
Assessmen
t
Plan the
plan
Stakeholde
r
analysis
Mandate
Analysis
SWOC
Analysis&
Environmental
scan
Budgets
Action Plans
Strategies
Mission Values
Strategic issues Goals &
Objectives
Evaluation
Implementation
The Building-Block View of Strategic Planning
57

58. Summary of strategic planning process
 STRATEGIC INTENT
 Mission-- an organization’s reason for being
 Vision--What an organization aspires to become
 Goals--Qualitative goals for various performance areas
 Objectives--Quantitative operational targets to achieve
 STRATEGIC ANALYSIS
 External analysis-- an organization’s economic, political, cultural, technological, and
micro- environment
 Internal analysis-- an organization’s capacities to compete: technology, human
resources, capital, corporate culture
 STRATEGY FORMULATION
 Grand /Corporate level strategy--selecting businesses to be in
 Organization unit/Business Level strategy—developing competitive
advantages (Generic strategies)
 Functional (or operational) strategy--functional value chains
58

59. Cont…
 STRATEGY IMPLEMENTATION
 Activating strategies – Communicating and Institutionalizing strategies
 Structural Implementation - Building and adjusting organizational structures
 Operational/Functional Implementation - Developing operational systems
 Behavioral implementation - Developing leadership and nurturing corporate culture and
values
 STRATEGIC EVALUATION
 Develop performance goals
 Assess actual performance
 Compare actual with performance goals
 Reinforce or take corrective actions
 STRATEGIC CONTROLS
 Operational controls
 Strategic controls
59

60. 3. Models/theories of Implementation Process
Attempt to find systematic theories that can be generalized to many
cases
a) Top-down (forward mapping) approaches
b) Bottom-up (backward mapping) approaches
c) Synthesis: A Third generation of implementation research
60

61. Top-down Approaches
 Study of the factors that condition successful implementation
 Assumptions
 Clearly defined goals against which performance can be measured
 Clearly defined policy tools for the accomplishment of goals
 Existence of a single statute or other authoritative statement of policy
 Implementation chain that starts with a policy message at the top and sees
implementation as occurring in a chain
 Good knowledge of the capacity and commitment of the implementers
 Focus on creating the proper structures and controls to encourage or
compel compliance with the goals set at the top
61

62. Cont…
 Weaknesses
 Emphasis on clear objectives or goals ,with out consensus on what
program goals are(ex. Management of forests-multiple use )
 Assumption of a single national government that structure policy
implementation and direct service delivery (no consideration given to
vertical structure/federal structure)
 Ability of local actors to ignore messages from the top (strategic delay or
outright refusal)
 Ignores the existence of a wide collection of separate and sometimes
contradictory policies
 Clear distinction between policy formation and policy implementation
62

63. Bottom-up approaches
 View implementation from the perspective of street level
bureaucrats (who implement policies at the point of contact with
the target population)
 Assumptions
 Policy goals are ambiguous rather than explicit and may conflict not
only with other goals in the same policy area, but also with the norms and
motivations of the street level bureaucrats (bargaining and compromise)
 Continuation of the conflicts and compromises that occur
throughout the policy process, not just before it begins and at the point of
enactment
 View implementation as working through a network of actors
 Working through a networks of actors (rather than top-to-bottom
implementation chains)
63

64. Cont…
 Weaknesses
 Overemphasizes the ability of the street level bureaucrats to
frustrate the goals of the top policy makers
 Assume groups are active participants in the implementation process (but
there are policies without publics-highly technical like foreign
trade policy)
 Fails to take in to account the power differences of the target
groups that policy designers choose tools at the top
 Difficult to simplify the factors: tendency to list factors that are important
in implementation success
64

65. Synthesis
 Combining backward mapping with a forward mapping element
 Top policy makers can make choices of policy instruments or tools to structure
implementation
 While realizing that the motivations and needs of lower level implementers must
be taken into account
 Top-down approach is best where there is a dominant program.
 Bottom-up approach is best where one is interested in the dynamics of local
implementation and where there is no single dominant program (Laurence
O’Toole in Birkland,2010)
 Another synthesis is Sabatier’s Advocacy Coalitions include both state and societal
actors at national, sub-national ,and local levels of government having shared
objectives , beliefs and values -cleverly combines the role of knowledge and
interest in the policy process.
(Howlett & Ramesh,2003:152)
65

66. 4. Main actors in policy implementation
 Implementation affects and is affected by a multitude of actors who define problems
and solutions in a given policy domain
 It also includes many who have been marginal players in previous policy
formulation
1 Political institutions
 Legislative bodies are often involved in implementing public policy when they
draft very specific and detailed legislation
 Courts are also involved in implementation when various entities bring
lawsuits in the federal district courts to enforce public laws(eg. disabled
persons access to public facilities) . They also involve in implementation through
interpretation of statutes and administrative rules and regulations
66

67. Cont…
3. The Bureaucracy
 Most of the day to day activities of routine administration are typically with in
the purview of salaried public servant
 With its intra and inter-organizational conflict is the determinant of policy
implementation
 In modern era, legal processes underlies implementation in all (involvement s
and impacts of political institutions in implementation). For example
,
 Civil law –are basic sets of principles governing how individuals will interact
with each other
 Statutory laws- are passed by the parliament to supplement civil law. These
statutes take the form of Bills or Acts usually designate specific administrative
agency as empowered to make whatever “regulations” are required for
successful implementation of the objectives /principles of the Act
67

68. Cont…
 The actual act of administrating policy is performed by civil servants
operating in various kinds of administrative agencies
 The usual form of government agency involved in implementation is ministry
or department
 Different bureaucratic agencies at different level of government (federal,
state, or local)are involved in policy implementation
3. Pressure groups
 Various interest groups besiege administrative agencies because they
have so much discretion in drafting legislations in support of the
legislation
 They seek to influence the guideline and regulations in a way that will
benefit them
68

69. Cont…
4. Target groups
 Authoritative decision makers ( both political and administrative
in nature ) remain a very significant force in implementation
 But ,target groups join at this stage as a relevant policy community
 Target groups are groups whose behavior is intended to be altered
by government action, play a direct and indirect role in the
implementation process
 Community organizations –parent committee, farmer
committee ,representatives of the poor, civil organizations
69

70. Group work
 Identify and then evaluate factors that cause failure of
policy implementation in Ethiopia.
70

71. Factors for consideration in implementation of policy –
The 5C protocols
 Are critical variables which shape the directions that implementation might
take
1. Content of a policy
 Mediating the choice of ends and means is the content of the policy
 What it sets out to do (i.e. goals); how directly it relates to the issue (i.e.
causal theory); how it aims to solve the perceived problem (i.e.
methods/tools).
 Policy characteristics dictates whether or not particular policies will run
into implementation difficulties
 Policy typology: ‘ambiguity and conflict’- policies such as either
distributive, regulatory, or redistributive
71

72. Cont…
2. Commitment
 The commitment of those entrusted with carrying out the
implementation at various levels to the goals, causal theory, and
methods of the policy.
 Commitment is important not only at the 'street- level' but at all
levels through which policy passes.
 Commitment will be influenced by, and will influence, all the four
remaining variables: content; capacity; context; and clients
and coalitions in keeping with a weblike conception of
interlinkages between the five critical variables,
72

73. Cont…
3.Capacity
 The capacity of the public sector is conceptualized in general systems thinking
terms as the structural, functional and cultural ability to implement the
policy objectives of the government
 Capacity refers to the availability of and access to tangible resources
(human, financial, material, technological, logistical, etc) & the
intangible requirements of leadership, motivation, commitment,
willingness, guts/spirit, endurance, and other intangible attributes
needed to transform rhetoric into action
 Hence, capacity building as a total (structural, functional and ,cultural)
transformation of government is vital in order to mobilize all available
resources to achieve policy objectives
73

74. Cont…
4. Clients and Coalitions
 These dictate the importance of government’s joining coalitions of
interest groups, opinion leaders, and other outside actors who
actively support a particular implementation process
 Implementation is affected by the formation of local coalitions of
individuals affected by the policy
 It is also important, to underscore the saliency of identifying key
relevant stakeholders, as opposed to all identifiable actors
74

75. Cont…
5. Context
 “A context-free theory of implementation is unlikely to produce powerful
explanations or accurate predictions“ (Berman, 1980: 206)
 Implementation pays attention to social, economic, political, and legal
setting.
 These larger contexts impact the implementation process primarily via the
institutional corridor through which implementation must pass
 The nature of the institutional context- the corridor (often structured as
standard operating procedures) through which policy must travel to
implementation process
 Occurring in organized contexts under established norms, values,
relationships, power structures, and ‘standard operating procedure’
 Transactions (bargaining, persuading , accommodation, threats/ pressure, gestures of respect , etc)
among agencies establish effective working relations
.
75

76. Additional points
Challenges /barriers of policy implementation
reading assignment – (Wu,et.al;2010 )
A) Political (support and authorization barrier )
1. Slow authorization
 Plans and resource mobilization proceed slowly due to the existence of multiple
veto points among stakeholders in the network
2. Weak political support
 Plans attains moderate level of success in the pilot project stage while flying under the
radar of key politicians with opposing interest
3. Bureaucratic oppositions
 Key players inter-agency network implement the policy slowly or sabotage the
implementation due to low priority of the project , lacking interest, or competing
interests
4. Poor implementer incentive
 Local implementers who were not consulted during decision making stage have
inadequate incentive to comply with directives
76

77. Cont…
B) Analytical competency barrier
1.Vague/multiple mission
 Intersectoral nature of plans and implementation leads to over conflicting goals or not
clearly specifying tradeoff in operational terms
2. Changing priorities
 Tradeoff made in policy decision making, for example ,between environment and
economic dimension of a policy problem may not be reconsidered in light of the changing
economic and political conditions
3. Poor design
 Social or environmental programs that are unlikely to work as intended given
multiple constraints left unaddressed by program design
4. Uneven feasibility
 Different components of the integrated plan may be operationally liked –one can only
advance if all are jointly present –subjecting the operation to the weakest link
77

78. Cont…
C) Operational capacity barriers
1. Fund limitations
 Funds to implement the approved plans slow to materialize , blocking
progress ,while in the meantime key elements of the situation change" facts on the
ground” and /or initial supporters of the effort lose heart and abandon effort
2. Weak management structure or network coordination capacity
 Poor guides for coordination between major agencies make routine decisions slow
and implementation dysfunctional
3. Lack of clarity in the operational plans
 Approved or funded plans are mismanaged due to poor specification of
roles ,responsibilities and accountability .
 The problem is often worse by poor oversight and information system
78

79. Stage 6: Policy Evaluation
 Is the final step in the policymaking process.
Those who took part in the policymaking process want
to learn whether or not the set policies are achieving
their stated goals; at what costs; and with what effects,
intended or unintended, on society (Dye P. 55).
Evaluation is intended to provide “feedback” linkage
of current policy; identify new problems and set in
motion the policymaking process once again.
79

80. Many Thanks!
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