INSTITUTE OF PUBLIC ADMINISTRATION AND MANAGEMENT (IPAM)

UNIVERSITY OF SIERRA LEONE

FACULTY OF LEADERSHIP AND GOVERNANCE

Module: Public Policy Formulation and Implementation

Module Code: PSM 222
Course: BSc. Public Sector Management
Level: UG Year 2
Semester: 2nd
Academic: 2023/24
Lecturer: Osman Thaimu Kamara - Contact: +23276 723064
Email: [email protected] / [email protected]

Lecture two: Public Policy Formulation

Public policy formulation refers to the process of creating, developing, and designing policies to
address specific issues or challenges confronting society. This process entails identifying problems
or issues that require government intervention, conducting research and analysis to understand
their root causes, exploring potential solutions, and ultimately developing policy proposals. As
they get on with the formulation process, policymakers consider various factors such as political,
economic, social, and environmental implications of the policy. Stakeholders are usually consulted
for their input to ensure that the policy reflects the needs and interests of those affected by it.

Once the policy proposals are developed, they are presented to policymakers for review and
approval. The policymaking process usually involves deliberation, negotiation, and compromise
to reach a consensus on the final policy language and contents. The goal of public policy
formulation is to develop effective and efficient courses of action that address pressing issues and
improve the well-being of society.

Governments work in environments that are characterized by complex social and economic
realities. It is therefore expected that they come up with policies that address problems and issues
arising out of these complex realities. The main functions of government are to provide public
services such as health services, education, transportation, maintain law and order, protect and
defend residents and citizens, protect the environment, regulate the economy etc. In the
performance of their role, governments deal with public policy by way of the choices they make
(policy choices), what comes out of these policy choices (policy outputs) and the impact they
create (policy impacts).

Policy Choices:
Policy choices refer to the different options or alternatives that are available to policymakers when
formulating public policies. Policymakers have to decide on the best course of action to address a
particular issue, considering various factors such as available resources, political feasibility,
timeframe, public opinion, and the potential impacts of each option. Policy choices may require
selecting from among different approaches, strategies, or solutions in addressing a problem. For
example, policymakers dealing with an environmental issue may have to choose between
implementing regulations, providing incentives, investing in infrastructure, or conducting public
Page 1 of 7
awareness campaigns to address the issue. The process of selecting policy choices often involves
weighing the potential benefits and drawbacks of each option; taking into consideration what trade-
offs to be made, and evaluating the potential consequences of the selected options. Policymakers
must also take into account the preferences and priorities of stakeholders, in relation to the overall
goals and objectives of the policy. These decisions are made by policy actors (Presidents,
legislative bodies, Governors, administrators, pressure groups etc.)

Example of policy choices that are intended to improve public health may include the following:

- Removing user fee for a certain demography of patients in public hospitals (Free Healthcare)
- Improving the conditions of service of health caregivers
- Giving special incentives to healthcare workers who serve in remote communities
- Refurbishing public hospitals with adequate equipment and supplies
- Building peripheral healthcare units (PHUs) in remote underserved communities
- Introducing mobile clinics to improve access to healthcare facilities {Health on Wheels)
- Building a state-of-the-art diagnostic centre
- Hiring the services of expert doctors from abroad etc.
From the above policy options, the government may be constrained to adopt all of them. As a
result, the most realistically viable options will be selected to improve public health.

Policy Outputs
Policy outputs refer to the decisions and actions taken in response to public issues. At this stage,
policy choices put into action. For instance, the government does things like spending money,
hiring people, or publicizing regulations that are designed to address the issue in question. Outputs
may be synonymous with programs from which projects are developed to implement the policy
choices. Usually, at the top management level of the MDA, there is a directorate that manages a
portfolio, from which several programs could be designed and managed by program managers
who report to a director in that directorate. The projects that emanate from the various programs
are usually managed by project managers who in turn report to their respective program managers.
Example: Under the portfolio of improving healthcare delivery systems, a number of programs
could be developed such as National Immunization Program; Free Healthcare for pregnant women,
lactating mothers and under-fives; Reducing HIV infections; Ending polio, Malaria Control
Program; Increasing Access to Primary Healthcare etc. Out of these programs, the Ministry of
Health and its partners could initiate certain projects to achieve the objects outlined in the various
programs. E.g. Under the “Increasing Access to Primary Healthcare” program, a project to build
PHUs in underserved communities could be initiated; more medical personnel could be trained
and deployed in remote communities to give people in those places access to medical care; Health
on Wheels project (mobile clinics) could also be rolled out etc. Another example could be under
Malaria Control Program, free bed nets could be shared to citizens to prevent them from mosquito
bites; people diagnosed with malaria in government hospitals could be made to receive free
treatment etc.

Page 2 of 7
Policy impacts

Policy impacts refer to the effects of policies through assessment and evaluation to understand
their significance and influence. These impacts are important in determining the success or failure;
the effectiveness, and the implications of policies on various stakeholders and society at large.

Policy impacts are measured through various methods such as interviews, surveys, policy
document analysis, focus groups, expert panels, literature reviews, and data triangulation. Both
qualitative and quantitative data analysis methods are employed to assess impacts and research
use. Scoring criteria, case studies, and retrospective data collection are common approaches
utilized in these evaluations2.

The effects that policy choices and policy outputs have on citizens, such as making them wealthier
or healthier or ensuring that the air they breathe is less polluted. These impacts may be influenced,
in part, by other factors in the society such as economic productivity, education, peace and stability
etc. These impacts also reflect to some degree the success or failure of public policy choices and
outputs. E.g. the introduction to the Free Healthcare Program was prompted by alarming indices
recorded on maternal and infant mortality by both local and international reports. When the
program was rolled out, the number of pregnant women accessing healthcare facilities increased
significantly, and the mortality figures dropped drastically. Lactating mothers were also able to
access free healthcare for themselves and their under-five children which reduced the rate of
infant mortality and enhanced the wellbeing of lactating mothers.

At this level, an evaluation is conducted to assess whether the impacts meet expectations. Policy
impacts are assessed through a structured evaluation process that aims to demonstrate the outcomes
and effectiveness of policies. By measuring and understanding these impacts, policymakers can
make informed decisions about future policy designs, and ensure the efficient allocation of
resources.

Models of Public Policy-Making

These models address how public policy is made. Policy-making is only one part of the entire
policy process. Models are abstract representation of reality and are useful for exploring the policy
process and its outcome.

1. Institutional Model
This model focuses on the traditional organization of government. It describes the duties and
arrangements of bureaus and departments. It considers constitutional provisions, administrative
and common law, and judicial decisions. Strictly speaking, a policy is not a public policy until it
is adopted, implemented and enforced by some governmental institution. The Institutional Model
underscores the significance of governmental bodies in policy development and execution,
highlighting their roles in legitimizing policies, extending policy coverage to the entire population,
and possessing the power to enforce policies effectively.

The government lends legitimacy to policies to make them legally binding; it extends policies
universally to cover all people in society; it monopolizes the power to coerce obedience to public

Page 3 of 7
policy, or to sanction violators. Traditional studies using the institutional approach focused on
institutional structures, organization, duties, and functions. For example, if a ministry develops a
policy that needs to be adopted in parliament that policy has to follow the prescribed institutional
route before it becomes legitimate. The policy draft needs to be sent to the Law Officers
Department (LOD) to draft the policy to a bill for cabinet approval. When the cabinet approves,
the minister in charge takes the bill to parliament; parliament debates and amends (where
necessary) and approves the bill. The approved bill is again taken to the LOD for a draft ascent
copy. The draft ascent copy is again taken to parliament for certification by the Clerk of
Parliament. The certified bill is then taken to the president for ascent. So one can clearly see a trail
of institutions that are involved in the formulation of the policy.

2. Elite-Mass Model
The Elite-Mass Model highlights the power dynamics and hierarchical structures influencing
public policy-making, A policy-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. Elites share values
that differentiate them from the mass. The prevailing public policies reflect elite values, which
generally preserve the status quo. Elites have higher income, more education, and higher status
than the mass. Public policy may be viewed as the values and preferences of a governing elite. The
elites shape mass opinion more than vice versa. Public officials and administrators merely carry
out policies decided on by the elite, which flows 'down' to the mass.
The model assumes that:
 The model envisions society as divided between a ruling minority (elite) and a powerless
majority (mass)
 The few individuals in power are not representative of the mass population, as the elite are
disproportionately drawn from the upper echelons of society.
 To maintain stability and avert revolutions, there needs to be a gradual and continues
movement from non-elites into elite positions, contingent upon their acceptance of elite
values.
 The elite possess political power and determine and impose decisions that are deemed valid
for the entire society. The political power, capable of influencing and enforcing decisions on
society, predominantly resides with the elite rather than the masses.
 Elites generally agree on fundamental societal values such as private property, limited
government, and individual liberty, reflecting a conservative outlook
 Changes in public policy under this model are likely to be incremental and align with
evolving elite values rather than mass demands.
 Active elites exhibit minimal susceptibility to influence from apathetic masses, emphasizing
the dominance of elite preferences in policy formulation.

Implications are that the responsibility for the state of affairs rests with the elites, including the
welfare of the mass. The mass is apathetic and ill-informed; mass sentiments are manipulated by
the elite; the mass has only an indirect influence on decisions and policy. As communication flows
only downward, democratic popular elections are symbolic in that they tie the mass to the system
through political parties and occasional voting. Policies may change incrementally but the elites

Page 4 of 7
are conservative and won't change the basic system. Only policy alternatives that fall within the
range of elite value consensus will be given serious consideration. Competition centers around a
narrow range of issues, and elites agree more than they disagree; there is always agreement on
constitutional government, democratic procedures, majority rule, freedom of speech and of the
press, freedom to form political parties and run for office, equality of opportunity, private property,
individual initiative and reward, and the legitimacy of free enterprise and capitalism. The masses
cannot be relied on to support these values consistently, thus the elite must support them.

3. Systems Model
Relies on information theory concepts such as input, output, and feedback. Sees the policy process
as cyclical. Asks, "what are the significant variables and patterns in the public policy-making
system?" What goes on within the 'black box' of conversion of demands into public policy? What
are the inputs and outputs? Public policy is viewed as the response of the political system to forces
brought to bear on it from the outside environment. The environment surrounds the political
system. In this model, "environment" means physical: natural resources, climate, topography;
demographic: population size, age, and distribution, and location; political: ideology, culture,
social structure, economy, and technology. Forces enter the political system from the environment
in the form of demands and support. Demands are brought to it by persons or groups in response
to real or perceived environmental conditions, for government action. Support indicates acceptance
and adherence to decisions taken by the political system and that support is given wherever citizens
obey laws, vote in elections, pay taxes, protect public property etc., and conform to public policies.
The political system is a group of interrelated structures and processes that can authoritatively
allocate resources for a society. The actors are the legislature, the executive, the administrative
agencies, the courts, interest groups, political parties, and citizens.

Outputs are decisions and actions and public policy. The political system is an identifiable system
of institutions and processes that transform inputs into outputs for the whole society. The system
preserves itself by producing reasonably satisfactory outputs (compromises are arranged, enacted
and enforced). It relies on deep rooted support for the system itself and its use, or threatens to use,
force to ensure compliance.

4. Group Model
The Group Model underscores the pivotal role of interest groups in influencing public policy
outcomes through their collective actions, interactions, and lobbying efforts. The model
emphasizes the dynamic interplay among groups as a central aspect of political decision-making
processes. Public policy results from a system of forces and pressures acting on and reacting to
one another. This pressure usually comes from interest groups and it focuses on the legislature and
the executive as they are the main policy-makers. Agencies may be captured by the groups they
are meant to regulate, and administrators become increasingly unable to distinguish between
policies that will benefit the general public and policies that will benefit the groups being regulated.
Interaction among groups is the central fact of politics. Individuals with common interests band
together to press their demands (formally or informally) on government. Individuals are important
in politics only when they act as part of or on behalf of group interests. The group is the bridge
between the individual and the government.
Page 5 of 7
 The task of the political system is to
1) Establish the rules of the game
2) Arrange compromises and balance interests
3) Enact and enforce compromises in public policy
It is also called equilibrium theory, as in physics. Influence is determined by numbers, wealth,
organizational strength, leadership, access to decision makers and internal cohesion. Policy makers
respond to group pressure by bargaining, negotiating, and compromising among competing
demands. Executives, legislators, and agency heads all put together coalitions from their
consistencies to push programs through. Political parties are coalitions of groups.
The Democrats have traditionally been central city, labor, ethnics/immigrants, the poor, Catholics,
liberals, intellectuals, blacks, and Southern blue-collar workers. Republicans have been wealthy,
rural, small town, whites, suburbanites, white-collar workers, conservatives, and middle class.

The entire system assumes:

 a 'latent' group supports the rules of the game
 there is overlapping group membership which keeps groups from moving too far
out of the political mainstream
 there are checks and balances on group competition

4. Streams and Windows Model

The Streams and Windows Model, based on the Multiple Streams Framework (MSF) developed
by John Kingdon, offers a comprehensive understanding of the policy-making process,
encompassing three essential streams that must converge for a "policy window" to open and place
a potential policy on the public agenda. The model highlights the dynamic nature of policy-
making, emphasizing the role of problem identification, solution proposal, and political alignment
in opening policy windows for effective policy change and implementation.

Key aspects of this model include:

 In the Streams and Windows Model, three streams — the problem stream, policy stream,
and political stream — are crucial elements that must align to create a policy window of
opportunity
 The problem stream involves identifying and defining societal issues as problems that
necessitate governmental action. These definitions come from ongoing debates within
policy communities and can be influenced by slow developments or sudden focusing
events that draw attention to pressing issues.
 The policy stream comprises proposed solutions advocated by policy entrepreneurs,
highlighting specific and well-thought-out policy ideas that targets a given problem
 Policy entrepreneurs propose solutions that are often ideological in nature, advocating for
specific policy options that they believe can address widespread issues effectively.
 The political stream represents the national mood, active elected officials, interest groups,
and social movements that influence decision-making processes and policy agendas.

Page 6 of 7
  When an opportunity emerges where a defined problem aligns with an acceptable solution
and the political will exists, a policy window opens for policy entrepreneurs to push for
necessary action
 Policy windows are brief periods where the convergence of the problem stream, policy
stream, and political stream creates opportunities for policy change and enactment.
 These windows are characterized by the alignment of defined problems with viable
solutions, coupled with a supportive political environment that enables the advancement of
policy agendas.

Page 7 of 7