Understanding

Public Policy
Formulation
Policy Formulation

• Pre-decision phase of policy making.

• Preparedness plan by which the government’s
policy commitment is translated into the stage of
implementation.
• Process of making decisions on what is to be
done, when and how of policy to generate
results.
• Selecting and relating the facts and the making
and using of assumptions regarding the future of
public policy in the visualization and formulation
of policy intent believed necessary to achieve the
desired policy results.
• Formulation of policy serves as the instrumental and behavioural readiness towards
realising the policy commitment of the government. It is the combination of
• Vision setting
• Preparing guidelines
• Objective and priority setting
• Strategy selection, and
• Implementation arrangement in advance with proper planning of resources,
institutional capacity and creation of an enabling environment
• Formulation is the logical step of preparedness for policy that prescribes, enables and
supports for effective implementation. It is “designing a policy” that involves the activities
of
• “Prescribing”
• “Enabling”
• “Supporting”
 1. How to make ‘better policy’?
2. How to design optimal policy development

Key processes in an uncertain and politically

contested environment?

Concerns of 3. How to meaningfully involve citizens and

stakeholders in policy development and
Policy assessment of implementation?
4. How to distinguish between different policy
Development levels and design appropriate development
processes for each level?
5. How to make better use of evidence in the policy
development process?
6. How to overcome the limitations of
traditional vertical policy making approaches
which focus on the mandates and functions
of individual government departments and
effectively address the crosscutting issues
which demand co-ordination and alignment
of government and non government actors?
7. How to close the gap between policy and
implementation?
8. How best to review and evaluate policy and
implementation and learn the lessons from
experience while still on the go?
 • What is the plan for dealing with the
policy problem?
• What is the strategic intent, goals and
Reasoning in priorities?
Policy • What are the priority options ?
• What are the costs and benefits of
Formulation each option?
• What externalities are associated
with each option?
Policy and Strategy Development

Drawing
Inferences
Sharing and
Research Analysis through
Participation
learning and
interaction
Policy
Formulation
Process
 Phases of Policy Development

Phase I: Setting Foundation

Research-based
Articulation Design
Justification

Phase II: Defining Options

Destination Mission Strategic Outcomes

Phase III: Legitimization

Consultation and Communication Plan for
Analysis Approval and Sensitization Implementation
 Policy
articulation
Planning policy Policy intelligence
implementation

Policy Policy review

Steps in
dissemination, and assessment
advocacy and
sensitization

Policy Formulation
Policy
conceptualization
Policy
legitimating

Policy structuring
Policy analysis
Policy
consultation
Reasoning in Policy
Formulation

What is the plan for dealing with the policy problem?

What is the strategic intent, goals and priorities?

What are the priority options ?

What are the costs and benefits of each option?

What externalities are associated with each option?

 Definition and interpretation of policy environment and the
interrelationships therein;

Determination of interrelationships between the policy goals

and implementation capacity (institutional, resources and
Scope of behavioural)

Policy Determination of strategic, structural, procedural and

behavioural formats of policy along with the selection of
Formulatio implementation strategies;

n Institutional and operational arrangements for effective

implementation of policy; and

Pre-determination of probable implementational problems

and searching possible ways for remedies and betterment.
 The process of public policy formulation comprises the following steps:
Step 1.Identification of Policy Issue: Agenda setting
• Public opinion
• Elite opinion
• Expert opinion
• Institutional experience

Process and There are systemic and institutional agenda.

• The systemic agenda consists of “all issues that are commonly

Steps perceived by members of the political community as meriting

public attention and as involving matters within the legitimate
jurisdiction of existing government authority.
• The institutional agenda is “the set of items explicitly up for
active and serious consideration of authoritative decision
makers.
2. Situation Analysis

• Internal environment
• External environment

3. Review of past policies

4. Conceptualization or concept formation

5. Analysis of policy concept

• Stakeholder’s analysis
• Technical analysis
• Economic and financial analysis
• Managerial analysis
• Political analysis
• Social analysis
6. Designing and structuring
the policy
• Structuring the policy
• Consultation and discussion 7. Detail Analysis of Policy
• Moderation and improvements
• Finalization of design and structure

8. Legitimating the 9. Adoption and

proposed policy internalization

11. Wider dissemination of

10. Policy implementation
policy and adoption of
plan
implementation plan
Basic Structure in Policy Formulation

Strategic Intent
Vision Mission

Goals and Objectives

Goals Objectives Targets

Strategies and Plan of Action

Strategies Implementation Plan Reform Plan