Public Policy Notes PDF

**DEFINITION AND MEANING OF PUBLIC POLICY** - Public policy is an attempt by the government to address a public issue.  - It is also generally defined as a system of laws, regulatory measures, courses of action, and funding priorities concerning a given topic promulgated by a gover...

**DEFINITION AND MEANING OF PUBLIC POLICY** - Public policy is an attempt by the government to address a public issue.  - It is also generally defined 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(G. Kilpatrick). - When  is term Public policy is used: 1. 2. 3. A company or organization\'s policy on a particular topic. For example, the equal opportunity policy of a company shows that the company aims to treat all its staff equally; and, 4. In Kenya, major policies -which are nation wide affects the whole population or are sectoral in nature - are initiated by use of specific policy documents, legal notices, Sessional Papers, official pronouncements and Acts of Parliament.   Policies address public issues that require attention and are also meant to achieve sustainable development.   **THE POLICY MAKING PROCESS ( Generally)** 1. Agenda-setting: the agencies and government officials meet to discuss the problem at hand(Problem identification); 2. Option-formulation: alternative solutions are considered, and final decisions are made regarding the best policy(Policy Formulation); 3. Implementation: the selected/best policy option is implemented in the final stage(Policy adoption -- formal acceptance as law, regulation, administrative directive, or other decision made according to rules of relevant arena), and, 4. Monitoring and Evaluation(M&E). **RATIONALE OF PUBLIC POLICY** - - - - - - - -   **CRITICAL FACTORS AFFECTING PUBLIC POLICY** - - - - - - - - - -   **CHALLENGES AND TRUTHS ABOUT PUBLIC POLICY** - - - - - - - - - - - **PUBLIC POLICY CONTEXTS** - - - - -   **POLICY ANALYSIS** - - - - - - **METHODOLOGY OF POLICY ANALYSIS** - Methodology is a system of methods used in a particular area of study or activity - Methodology of policy analysis draws from and integrates elements of: 1. 2. 3. 4. 5. - We can then say that policy analysis is a methodology for formulating problems as part of a search for a solution - Policy analysis also seeks to create knowledge that improves the efficiency of choices among alternative policies - Policy analysis is descriptive as it seeks knowledge about the causes and consequences of public policies but it can also be normative as it creates and critiques knowledge and claims about the value of public policies for the past , present and future generations   So what then is difference between academic research and policy research ? **POLICY RESEARCH AND POLICY ANALYSIS** - How the do we differentiate these two then? The answer in that lies in the who the client is, policy researchers are rarely tied to public decision makers while policy analysts are. - Policy researcher lean more on academic discipline but they do contribute to decision makers from time to time through professional journals for example. - Due to the lack of disciplinary orientation, policy research is usually weak as it is hard to translate what the findings are to actual public policy problems as implementation of policy is practical and relies little on academics. - Example...in a study to reduce crime, a policy researcher will recommend that more arrests be made however this is just one stage, a policy analyst will then be left answering questions like how can the arrest rate be increased? What will it cost? What other impacts will result out of this, the policy analyst will actually craft the options and solutions for the decision makers.   **POLITICS AND POLICY ANALYSIS** - Once the results of a policy analysis are ready they are then considered in the political context and producing a set of alternatives with different physical ,social, economic and political cost benefits - Since political regimes are always changing, a policy analyst that would want to outlive a political regime must be as factual and objective as he can possibly be, this proves to be one of the hardest balancing acts for an analyst. - From time to time a policy analyst maybe called upon to provide advice on politically relevant aspects of the analysis. - As the political arena is always changing, analysts must frequently reevaluate stakeholders affected by any policy at any given time.   **CHARACTERISTICS OF A SUCCESSFUL POLICY** - - - - - - **POLICY LEGITIMATION AND IMPLEMENTATION** - - - - - - -   **POLICY EVALUATION** - - - - - -   **SOME DEFINITIONS OF POLICY EVALUATION** - - - - - 1. 2. 3. 4.   **REASONS FOR EVALUATION** Policy evaluation is usually undertaken for one or more of the following reasons; 1. To measure progress towards the achievement of policy objectives 2. To learn lessons from the project/programme for future policy review, redesign or implementation strategies 3. To test the feasibility of an assumption, principle , model, theory or proposed strategy 4. To provide political or financial accountability 5. To advocate a cause better 6. For public relations purposes ***'at the end of the day evaluation should answer the question are the desired goals and benefits achieved? and is the cost reasonable in relation to its effectiveness and benefits?***   **BENEFITS OF WELL-PLANNED EVALUATION** - May include but not limited to: 1. Will provide a precise assessment of the nature and extent of the nature and extent of the impact that can be expected and hence help planners identify the projects likely to produce the best returns on the source invested 2. It can show that the observed changes were not due to the project but due to external factors and thus avoid investment in projects that are unlikely to produce the desired benefits 3. It can help assess the factors contributing to project impact and thus help planners improve project design 4. It can help identify the groups that tend to benefit least from certain kinds of projects and thus propose the special measures needed to encourage these groups to participate. 5. It can estimate the period during which the impact are likely to occur and thus increase the precision of project analysis procedures.   **TYPES OF EVALUATION** **Formative evaluation** - Also referred to as prospective , appraisal or feasibility studies are undertaken to improve the program - Wholey described it as; 1\. Evaluability assessment which determines if a program is ready to be managed for results 2\. What changes are needed 3\. Whether the evaluation would contribute to improved program performance - Typically conducted during the development of a program - These evaluations also assess the feasibility of the different policy options which one can choose from - This assessment identifies and assesses both the financial implications as well as the intended results in terms of outputs and incomes for each option   **Ongoing or process evaluation** - One objective of evaluation is to determine the progress on selected social, economic or sectoral and national development objectives - During the implementation process there is also a need to keep track of the time, spending, objectives and quality and quantity of the outputs - This type of evaluation focuses primarily on the effectiveness, efficiency and levels of public participation in the implementation process ( Shafritz,1998) - It provides the necessary information on progress and performance so as to;   **Summative evaluation** - A further objective of evaluation is to is to determine if a project is implemented effectively and is reaching its intended beneficiaries. - Summative evaluation determines/comprises the following; 1. 2. 3. 4. - After any changes are identified it is important to establish their cause as it may not be good for the policy - Summative evaluation therefore focuses on the end product as well as on the impact or changes that are products brought about by real life conditions to which it was applied.   **Short, medium- and long-term evaluations** - It is easy to evaluate/assess concrete outputs over a short period of time ie houses built, patience treated, crime rate etc but this only measures quantity - To measure quality the more time needs to be factored in and in such cases then the evaluation needs to be undertaken in the long term with policy indicators to give approximations of the values being looked out for - There is no objective definition that exists to distinguish between short, medium long-term periods for this purpose   **Sectoral or integrated evaluations** - Evaluation can be narrowly designed for one policy sector only e.g health impact of anti-AIDS policy, environmental impact of growing trees - It can also be done simultaneously on many policies thus making it integrated. This type will assess; 1. Policy's impact on the size of the public service 2. The effectiveness and efficiency of its service delivery 3. Cost to the taxpayer 4. Its effect on equity 5. Representivity and empowerment of previously disadvantaged groups - It should be noted that increase in the scope of an evaluation that is evaluating many projects at once increases the complexity, the cost and the project life of the evaluation itself.   **EVALUATION DECISION AND DESIGN ; WHEATHER AND HOW TO DO IT** - Ideally evaluation should be systematically planned for and incorporated into the policy design - The different kinds of evaluation should be identified early and designed appropriately at an early stage of the policy project or programme as this will ensure systematic and effective data generation and monitoring of systems - Doing the above also ensures that there is enough funds to do the evaluation because it will form part of the approved budget. - The decision to evaluate should be carefully considered because it can be a complex task that could consume a lot of resources and sometimes the evaluation is just not worth it as results maybe clear without any additional research.   **STAKEHOLDER ANALYSIS** - Who is stakeholder? Simply put they are interested parties in the policy problem - Discuss various examples of stakeholders - This is a crucial part of policy analysis as it is critical to definition of the public problem and the weighing of proposed solutions - It can be an ongoing participatory process or it can be an assessment conducted by a single party such as an analyst - It is at this point that ideas and feedback is gotten from the stakeholders it is believed that with the ultimate participation then the best policy will be designed and its implementation will be successful. - Interaction of stakeholders takes place during the design and implementation stage   **WHY STAKEHOLDER ANALYSIS?** - The problem affects many people and groups - There is not one party that is in charge of solving the problem so parties need to work together, organizations have partial responsibility  - Problems can be defined at this point - It can also be when implementation is done - For identification of supporters and critics and trying to mitigate the same.   **HOW TO CONDUCT STAKEHOLDER ANALYSIS** - Identify the stakeholders rank them based on levels of importance who are they?  - Consider who might adversely impact?  - Then think of who are the vulnerable groups?  - Proceed to then identify supporters and opponents  - Look at what is the relationship amongst the stakeholders - Identify who amongst the stakeholders who has influence, who holds authority - Purpose to identify each stakeholder criteria for success of the policy, what will they regard as end success? - Measure how the policy corresponds with the above criteria - Consider what can be done improve performance **AGENDA SETTING** - - - -   **Why is agenda setting crucial?** - - - We can then say that policy making is both substantive in that it addresses what is to be done and procedural in that it addresses who acts , why and how. **WHAT ARE POLICY ISSUES AND WHY ARE THEY ISSUES(ISSUE IDENTIFICATION)** - An issue is a theme or topic that generates attention because different opinions exist about it i.e. should Muslim women be allowed to cover or hide their faces in public? - In democratic policy systems where citizens participate freely in public life policy issues identify themselves from the attention that they generate in public debates. The more intense and widespread the debate the stronger and more urgent the need to deal with it.   **WHO DOES POLICY AGENDA SETTING AND WHY** - There are generally three approaches to agenda setting **1)Let it happen** This means that government takes a relatively passive role in agenda setting. Govt. does not assist individuals or groups to define the problem or set priorities. It is important to note that this approach ignores the unequal distribution of power and forces in society. Clearly this approach will further marginalize the poor and favor those who have access to resources as those who are the strongest are the ones that shape the process **2)Encourage it to happen** Here Govt. reaches out to one or more policy communities by assisting them to define the problem. This approach unlike what was discussed above introduces efforts to equalize resources as here people are facilitated in problem identification. The biggest problem with this approach is that Govt. chooses unilaterally who needs assistance, this could obviously present a bias in favor of one group, nevertheless this is a very proactive approach as the government actually engages its citizens **3)Make it happen** Here the Govt plays an active role in identifying and defining the problem and resolving them without waiting for public demands. Public problems are identified together with their effects, but the Govt. sets its own agenda   **WHO THEN DOES IT?** **ELECTED POLITICAL OFFICE BEARERS** - In democracies elected political representatives receive the mandate from the electorate to shape and give the content of public policy - In presidential systems, the legislative and the judiciary branches of government are also very important potential agenda setters because of the balance of power amongst the state organs **APPOINTED OFFICIALS** Here, career public managers in the public sector agencies work closely with politicians. They are both the receivers and the manufacturers of policy problems. They have considerable power to determine what goes onto the policy agenda because they have direct control of resources **COURTS OF LAW** Those in the legal profession contribute to policy making and agenda setting potentially goes beyond the narrow interpretation of legal framework and provisions. Courts of law play a significant role in agenda setting depending on weather ; 1. Interpret their mandate as judicial officers 2. Apply the current state of the law actively 3. Weather they are willing to extend their focus beyond a descriptive refection of the status quo in society. They can decide to proactively assist in policy transformation.   **CIVIL SOCIETY, BUSINESS AND LABOUR INTEREST GROUPS AND INDIVIDUALS** They mobilize resources in the form of more supporters, finances and logistics to empower them achieve their goals. Interest groups exist as long as issues are not formally on the Govts. Agenda or are not a priority at the moment. **THE MEDIA** The media has the single most dominant impact in shaping public opinion and hence the policy agenda. They also have the advantage as they have the resources and the benefit of an audience weather passive or not. Through the media the public can both be indoctrinated and educated about policy issues. It should however be noted that a policy that is heavily backed by the media might not necessarily conform to rational. That being said the strength of the media lies in the fact that they reach millions of people in a relatively short time.   **HOW DOES AGENDA SETTING WORK** - The activities of rational agenda setting consist of ;  - Within a democratic policy system, these activities cannot be executed successfully in the absence of systematic and effective public participation process.   **PUBLIC PARTICIPATION** - In Kenya it is provided for under articles 10,118,124,201,221 and 232 - Political leaders often use the methods below to raise and mobilize mass public awareness; 1. 2. 3. 4. - The UNDP defined public participation as popular participation entails the creation of opportunities that enable all members of a community and the larger society to actively contribute to and influence the development process and to share equitably in the fruits of development. - Acceptable community participation normally takes place in the following ways; 1. 2. Community participation can take place through the involvement of individual opinion leaders in the concerned community 3. The members of the public can also be directly involved in mass activities and public meetings 4. The community can also be engaged through the leaders of legitimate organizations that are with the community   Is this conclusive? Are there others ways in which this can be done? - Community participation can be consist of four different types of involvements; 1. Ratification, this simply means the approval of decisions once they have been taken. In effect this means the legitimation of a decision once it has been made. This is a weak approach to participation as it can only demonstrate support but not change any content 2. Consultation, means using the audience as a sounding board. Here opinions, suggestions, advice and recommendations are sought before any decisions are taken. Here a great opportunity exists to influence decisions. It will be a weak form of participation if the leaders are not ready to accept the views of public but can also be very strong if they accept to. 3. Negotiations, direct involvement by parties in discussions leading up to joint decision making in a peaceful way. It does not guarantee an agreement but more-so guarantees that the public is part of the decision making process. This is a very effective form of participation 4. Execution, means the direct involvement in the planning, drafting , implementation and evaluation of policy programs once the decision to adopt them is taken. This is the most effective type of participation because it presents the opportunity to monitor and be part of the process of execution to ensure that the policy is being implemented correctly.   **APPROACHES TO PUBLIC PARTICIPATION** 1. Bottom-up participation where the participation is stimulated by individuals ,interest groups or the community 2. Top down participation where the participation is initiated by high- level government authority or by a NGO working as a development agency in the community For the above to be considered legitimate they must meet the following criteria; 1. 2. The absence of coercion in the process 2. Responsiveness to the needs and priorities of the community 2. Negotiations with the leaders and the community with regard to the change that is to take place 2. Consistent participatory planning, design and implementation of the different aspects of the project concerned 2. Flexible implementation in order to adapt to changing circumstances and needs of the community   **DIFFICULTIES FACED IN PARTICIPATION** - - - - - Is it possible that participation can have disadvantages?    **POLICY IN MORE AND LESSER DEVELOPED STATES** - - - -   **DIMENSIONS OF GOVERNANCE AND DEVELOPEMENT** **GOVERNANCE** - - - So we can say that when there is good governance there is  mobilization, application and coordination of all available resources in the public and private sector domestically and internationally in the most effective, efficient and democratic way **DEVELOPEMENT** - Development policies are those that empower people to exercise choice especially about the quality of life that they would prefer to maintain - Development is therefore used here as an outcome of governmental interventions in society that succeeds in empowering people to consider feasible options in their lives - There are three levels of development as discussed below; 1. 2. 3. - Governments in developing nations struggle constantly with maintaining the first two levels while the governments of more developed nations focus on achieving the third level   **SUSTAINABILTY** - It can be viewed from two perspectives 1. 2. **RELATIONSHIP BETWEEN GOVERNANCE, DEVELOPMENT AND SUSTAINABILITY** - The role of the state in governance, development and sustainability implies the following; 1. 2. 3. 4. **KENYA'S FOREIGN POLICY** - Globalization has led to emergence of an international network of social and economic systems that has had both positive and negative effects in the foreign policy. - As the world has globalized, so have new global security threats far removed from the classical notion of inter-state conflict. Kenya has experienced the direct impact of these threats which include transnational organized crime, terrorism, piracy, drug and human trafficking, proliferation of small arms and weapons, and money laundering amongst others. - This has therefore compelled Kenya to find new anchors for the conduct of its foreign relations. **POLICY OBJECTIVES** - Kenya's policy seeks to pursue the following objectives;    **GUIDING PRINCIPLES** - The execution of Kenya's Foreign Policy and the conduct of her international relations are guided by the following principles:   **NATIONAL VALUES THAT GUIDE FOREIGN POLICY** - The policy is inspired and guided by the following national values and aspirations of the Kenyan people as enshrined in the Constitution of Kenya:   **SOURCES OF FOREIGN POLICY IN KENYA** Though Kenya has in the past not had a written single foreign policy framework document, the conduct of Kenya's foreign relations has been informed by various official documents, and executive pronouncements and circulars, including the following:   **PILLARS OF KENYA'S FOREIGN POLICY** **PEACE DIPLOMACY PILLAR** - The objectives of this pillar are to: 1. 2. 3. 4. - In pursuing these objectives, Kenya's foreign peace diplomacy continues to draw on Kenya's experiences in mediation, conflict resolution and peacekeeping.   **ECONOMIC DIPLOMACY PILLAR** - The objectives of this pillar are to: 1. 2. 3. 4. 5. 6. 7. 8. **DIASPORA DIPLOMACY PILLAR** - The Government of Kenya recognizes the huge and untapped potential of Kenyans Abroad which can contribute to the country's national development agenda. - The Diaspora pillar aims to harness the diverse skills, knowledge, expertise and resources of Kenyans living abroad. Discuss how Rwanda was rebuilt - The objectives of this pillar are to: 1. 2. 3. 4. 5.   **ENVIRONMENT DIPLOMACY PILLAR** - Kenya recognizes its enormous stake in the sustainable management of its own natural resources, those of the region and the world. The strong orientation towards environmental issues is therefore a distinct feature of Kenya's Foreign Policy. - Among key issues underlined by the environment pillar is the effective implementation of the Multilateral Environmental Agreements (MEAs) such as the Convention on International Trade of Endangered Species (CITES). - The objectives of this pillar are to: 1. 2. 3. 4. 5. **CULTURAL DIPLOMACY PILLAR** - Over the years Kenya has continuously placed emphasis on cultural recognition and understanding as the basis for dialogue. It is through cultural activities that a nation's idea of itself is best represented. Kenya's cultural diplomacy aims to increase awareness of her cultural richness and to generate interests in the country's cultural heritage. - The objectives of this pillar are to: 1. 2. 3. 4. 5.