Public policy formulation and implementation

/program administration
Mpa 205/206

Serg imperio
simperio@Spup.edu.ph
 Hello and welcome to this course!
• One very crucial work of public administrators
is the inception, implementation and review
of PUBLIC POLICIES.
• Peoples’ aspirations, needs and concerns are
embodied in public policies; the same thing is
true with regard to the leaders’ aspiration of
efficient and effective public service delivery,
as well as their vision for an ideal society.
• Policies may lead to the formulation of
PROGRAMS and PROJECTS geared toward the
realization of the common good.
• To ensure the effectiveness of these policies
and programs, public administrators need to be
equipped with the necessary knowledge and
skills not only to conceptualize but also to
implement and assess them.
• And it is hoped that this course may help public
administrators manage projects and programs.
 Course Description
• This course is an introduction to the
processes, methods and issues involved on
policy formulation and implementation (, and
the planning, organization, budgeting,
implementation and evaluation of programs
and projects. )
 Course Objectives
• At the end of the course, the students are expected
to:

1. explain the public policy process and its

administrative processes;
2. appraise given policies according to varied criteria;
3. analyze roles and methods of participation in the
public policy making process;
4. explore the need for alternative policies;
 Course Objectives
5. analyze critically policies in the national and
local levels;
6. formulate alternative workable policies;
7. show evidence of research skills in
accomplishing their course requirements; and
8. exhibit Paulinian core values such as Christ-
centeredness, commission, charity, charism
and community.
Course Outline
 General Outline
1. The Meaning of Policies
2. Theories of Policy-Making Process
3. Players/stakeholders of Policy Making
4. Types of Policies
5. Factors affecting the formulation,
implementation and evaluation of policies
6. Characteristics of a good policy
7. Discussion of Various Policies
 List of references
• Anderson, James(2013). Public policymaking: an
introduction 8th ed. USA: CENAGE Learning.
• Bowman, Ann and Kearney, Richard(2013). State and
local government 9th ed. International edition .USA:
Wadsworth CENGAGE Learning.
• Kettl, Donald. (2015 ) Politics of the administrative
process 6th ed. Canada: Sage Publications.
• Shafritz, Jay, Russell, E, Borick, C.(2013) Introducing
public administration 8th ed.USA: Pearson Education
Inc.
 Internet references
• CSULB. Models of Public Policy-Making. Retrieved
from
http://web.csulb.edu/~msaintg/ppa590/models.ht
m
• CliffNotes. The Policymaking Process. Retrieved from
www.cliffnotes.com/study-guides/american-govern
ment/public-policy/the-policy-making-process

• DILG. Sourcebook on rationalized local planning

system (RPS). Retrieved from.
www.dilg.gov.ph/reports-and-resources/resources-a
nd-downloads/3/
• http://sites.google.com/site/kirnspup
• http://elibrary.worldbank.org/
• https://www.slideshare.net
Requirement:
 The following need to be submitted to
complete the course:
• Kindly answer the questions indicated in the
slides marked YOUR TASK.
• Your answers may be encoded and sent as
attachment to our ms teams assignments
• These answers are subject to discussion when we
have the opportunity to meet.
• A 2-page REFLECTION PAPER after all pertinent
topics are discussed may be required.
• Final exam
LESSON PROPER
 CHAPTER 1: THE MEANING OF POLICY

• In this chapter, we will:

• define what are policies;
• Explain the stages of policy process; and
• Discuss the importance of policies to nation-
building
What are Policies? Here are some definitions:
• From the point of view of Politics:
• (1) The basic principles by which a government is guided.
(2) The declared objectives that a government or party
seeks to achieve and preserve in the interest of national
community.
• From the point of view of Management:
• The set of basic principles and associated guidelines,
formulated and enforced by the governing body of an
organization, to direct and limit its actions in pursuit of
long-term goals.
Read more: http://www.businessdictionary.com/definition/policy.html
 Policies are also understood as
• … a system of laws, regulatory measures, courses of
action, and funding priorities concerning a given
topic promulgated by a governmental entity or its
representatives.
• It is an attempt by a government to address a public
issue by instituting laws, regulations, decisions, or
actions pertinent to the problem at hand…
• (from Dr. Jo Balucanag-Bitonio’s Powerpoint
presentation c/o www.slideshare.net)
 Public policies are…
• Commonly embodied in constitutions,
legislative acts and judicial decisions;
• They may also be created by an executive
order, bureaucratic regulation, or provincial /
city/ municipal/ barangay ordinance
 Why policies?
• To promote the common good
• To serve the interest of the
government (for the improvement of
the bureaucracy, weed out
corruption, develop better image of
the government)
 Sharing…
• Give examples of policies that
• Promote the common good
• Serve the interest of the government
 YOUR TASK 1: Based on the discussions above,
kindly answer the following questions:
• 1. Kindly give an example of a POLICY that is
being implemented in your respective agency.
This policy may either promote the common
good or serve the interest of your agency.
Briefly discuss its purpose, how it is
implemented, and its effects either to the
common good or to your agency.
Let us continue or discussion:
• The public policy process is
composed of the following stages:
– Agenda Setting
– Policy formulation
– Policy adoption
– Policy implementation
– Policy assessment/ evaluation
• The public policy process is composed of the
following stages:
– Agenda Setting- problem identification- thru
meetings , consultations, dialogues, fora, strategic
planning, issue identification, goals and objectives
– Policy formulation: management
– Policy adoption: greatly affected by politics
– Policy implementation: agency concerned with
partner-agencies and cso’s, LGUs, accreditation
bodies
– Policy assessment/ evaluation: surveys-stakeholders
Let us now move on to
chapter 2 …
 II. Theories /models of policy making
process
• In this chapter, we will:
• study the different theories or models of the
policy making process;
• Discuss the merits and shortcomings of each
theory;
• Determine and discuss which theory is being
applied in your own agency.
 Experts recognize the following theories /
models :
• Institutional model
• Rational comprehensive model
• Elitist model
• Incremental model
• Streams model

• *these models may as well be applied in

program development
• The next slides give you the basic details of
these theories and models; kindly go over
them.
• If needed, you may search the internet for
more explanation of these theories and
models….
 Institutional model
• The activities of individuals and groups are
generally directed towards government
institutions such as, the legislature, executive,
judiciary and bureaucracy. Public policy is
formulated implemented and enforced by
government institutions
Rational comprehensive model
 Elitist model

  Apolicy-making elite acts in an environment characterized by

apathy and information distortion, and governs a largely
passive mass. Policy flows downward from the elite to the
mass. Society is divided into those who have power and those
who do not.
Incremental model
Group model
 Streams model

 This model posits three streams which are always

simultaneously ongoing. When the three streams
converge, a policy window opens, and a new policy
may emerge.
 YOUR TASK 2
• Based on your observations, where do the
policies of your agency come from? Or, which
theory or model best explain their
emergence? Briefly explain or illustrate your
answer.
Let us now turn to the next
chapter:
 III. Players or Stakeholders in policy and
Program Administration
• In this chapter, we will:
• Discuss the various stakeholders that affect
the administration of policies and programs;
• Discuss the stakeholders that actually affect
our policy and program administration n our
respective agencies;
• Point out the positive or negative effects of
these stakeholders to policy or program
administration.
 III. Players or Stakeholders in policy and
Program Administration
• By stakeholder we mean anyone or any
group that has an interest in the agency
or establishment. A stakeholder may be
affected by the operation of the agency,
either directly or indirectly. It may be a
customer/ client, a partner, a
competitor, the community, the service
provider, -- even the environment.
 A number of references list these
stakeholders:
• The Legislature- these are law-making bodies;
as such, framers of policies
• Executive bureaucracy- they propose and at
the same time implement policies
• Courts- their decisions may affect policy
implementation or generate policies
• Media- they inform people about policies;
likewise they help form public opinion on
policies
 A number of references list these
stakeholders:
• Political parties: these groups have an
agenda that may become basis of
policies once they are in power.
• Interest groups: Civil society
organization, Non-governmental
organizations, people and civic
organizations, and even church groups
may influence policy and program
 A number of references list these
stakeholders:
• Political consultants: they lobby for the
approval/disapproval of policies
• Citizens: their sentiments, concerns,
problems generate policies as well as
influence their implementation
• Other governments: for instance, one
country adopts a protectivist economic
policy and its partner countries are affected
 Your task3:
• Discuss how your agency is affected by its
stakeholders in terms of policy formulation or
implementation. Which stakeholder positively
affected your policy or program implementation?
In what way? On the other hand, which
stakeholder had a negative effect on your agency?
Briefly illustrate.
Let us now tackle the next
chapter…
 IIII. Types of policies
• In this chapter, we will:
• Study the different types of policies;
• Give examples of the different types of
policies;
• Classify the existing policies of our agencies
according to the types studied.
IIII. Types of policies and programs
One reference* classifies policies into the following:
• Substantive, administrative
• Vertical, horizontal
• Reactive, proactive policy
• Current, future
*Torjmam(2005) What is policy? Retrieved from
www.caledoninst.org/Publications/PDF/544ENG.pdf
Other literature# add: Redistributive, distributive
#
https://www.angelo.edu/faculty/ljones/gov3301/block6/
objective5.htm
a. Substantive and administrative policy
• Substantive: concerned with the legislation, programs
and practices that govern the substantive aspects of
community work. This dimension of policy includes,
for example, income security, employment initiatives,
child care services and social exclusion.
• Administrative:focuses largely upon administrative
procedures. These involve, for instance, the collection
of statistical information on neighbourhoods and the
evaluation of complex community programs.
 b. Vertical and horizontal policy
• Substantive and administrative policy can be further
classified as vertical or horizontal policy.
• Vertical: refers to policy that is developed within the
organization that has responsibility for its implementation.
• Horizontal : developed by two or more organizations,
each of which has the ability or mandate to deal with only
one dimension of a given situation. Horizontal or
integrated policy is created between parts of an
organization or among organizational components that are
similar in hierarchical position.
 C. Reactive and Proactive Policy
• Reactive policy emerges in response to a concern or
crisis that must be addressed – health emergencies
and environmental disasters are two examples.
• Proactive policies, by contrast, are introduced and
pursued through deliberate choice. The national
skills and learning agenda exemplifies this approach.
Knowledge and learning increasingly have been
recognized as vital keys that unlock the doors to
both economic wealth and social well-being.
 Current and future policy
• Current: those in the agenda
• Future: those not in agenda
 Distributive, Redistributive
• Distributive Public Policy: refers to the provision of
benefits to citizens, groups, or corporations.
Governments also use distributive policy to
encourage certain activities. Tax abatements and
farm subsidies to promote economic development,
and tax write-offs for homeowners to promote the
housing industry, are good examples. Distributive
policy is also evident when the government
promotes the purchase of U.S. savings bonds.
 Distributive, Redistributive
• Redistributive Public Policy: The major
purpose of redistributive policy is to promote
equality. The government redistributes societal
wealth from one group to another group. This
occurs when the government provides benefits
directly to citizens through social programs
such as welfare. Progressive taxation, where
tax rates increase as your income increases, is
another example of a redistributive policy.
 YOUR TASK 4:
• Give examples of Philippine/ Chinese policies
that may fall under those classifications
learned. Explain or illustrate
• Look into your agency’s policies again. How
would you classify them? Explain/illustrate
Let us now proceed to the next
chapter
 V. Factors in policy making and evaluating
policies
• In this chapter, we will:
• Study the various factors that are considered
in the formulation and evaluation of policies ;
• Apply these factors in assessing selected
policies of our respective agencies
 V. Factors in policy making and evaluating
policies
• These may be • Public interest
considered in • Effectiveness
assessing • Efficiency
policies and • Economy
programs:
• Consistency
• Fairness and equity
• Reflective
 V. Factors in policy making and evaluating
policies
• Public interest: does the policy reflect, or
promote public interest?
• Effectiveness: is the policy effective, or, are we
doing the right thing? does it attain its desired
objective?
• Efficiency: is the policy implemented efficiently;-
are we doing things rightly- the
steps/procedures being followed, or the
schedule followed(like in a program/project)
V. Factors in policy making and evaluating
policies
• Economy: is the policy cost-effective to
implement?
• Consistency: is the policy consistently
applied?
• Fairness and equity: is the application
fair and equitable?
• Reflective: is it reflective of the people’s
sentiments or needs?
Let us now move on to the next
chapter…
VI. Characteristics of Good Policies
• In this chapter, we will
• Review other factors that can be used to
assess policies
• Point out which of our policies fulfill these
characteristics
VI. Characteristics of Good Policies
• The following are regarded as characteristics
of good policies :

• Socially acceptable
• Politically viable
• Technically correct
• Participative
 Socially acceptable
• Does it reflect the needs or concerns of the
people
• Is it culturally sensitive, Or is it discriminatory?
• Does it respect the people’s religious and
ethical beliefs, or does it offend them?
 Politically viable
• Are there enough bureaucrats to support its
passing or implementation?
• Or, is it way ahead of its time?
 Technically correct
• Are the plans and details of the policy in order
so that there are no impediments in its
implementation?
• Do we have all the resources or technology for
its implementation?
 participative
• Were the people consulted, especially those
affected, before it was approved?
• Do the people have a role in its
implementation?
 Your task 5:
• Examine your country’s or agency’s policies
and assess them according to the factors and
characteristics of good policies. Which of them
do you think successfully pass all these factors
and characteristics? On the other hand, which
of them may not pass all these factors and
characteristics? Why? Discuss .
We now proceed to the last
chapter….
 VII. Discussion of Various Policies and
Programs
• In this chapter, we will
• Discuss and share all our observations,
comments, assessments on various policies
and programs of our respective agencies and
the Philippine administrative system in
general.
• We do this in plenary.
 VII. Discussion of Various Policies and
Programs
• Policies and programs to be discussed may be
related to:
• Economy, Health Care
• Welfare and Education
• Environment, Energy, and Transportation
• Homeland Security and Foreign Policies
• Others, especially those pertaining to one’s
agency/workplace
• End of powerpoint presentation….

• Final requirement will be announced later

• Send all requirements to our ms teams account

channel (reports ) simperio@spup.edu.ph

• serg