MONITORING

POLICY
OUTCOME
Public Policy and Program Administration
What We'll
Discuss
TOPIC OUTLINE
A. MONITORING IN POLICY ANALYSIS
B. APPROACHES AND TECHNIQUES
C. MODEL FOR THE ANALYSIS OF POLICY
OUTCOME

 A. MONITORING IN POLICY
ANALYSIS
Policy monitoring forms part of integral stages in the public
policy cycle.
·Policy monitoring comprises a range of activities describing
and analyzing the development and implementation of
policies, identifying potential gaps, outlining areas for
improvement, and holding policy implementers accountable
for their activities.
·Monitoring is defined as an analytic procedure that produces
information on the cause and consequences of public
policies (Dunn, 2004, p. 277).
·It is the process of observing policy implementation
progress, and resource utilization, and anticipating deviations
from expected policy outcomes (Sapru, 2010, p. 267).
Monitoring Cont’

Moni t o r i n g in essence plays a

meth o d o l o gical role in policy analysis.
Info r m a t i on about a policy is
tran s f o r m ed from mere information to
poli c y o u tcomes.
The r e s ultant is production of
prob l e m situations this is what is
pick e d w hen st ructuring policy
prob l e m s .
Moni t o r i n g and control thus forms the
hear t o f p o licy mana gement.

 Four Major Functions of Monitoring

1. Compliance - Monitoring verifies whether the program administrators, staff, and
all stakeholders are in compliance with the standards and procedures put in place
by the legislatures, regulatory bodies, and other professional bodies (Dunn, 2004, p.
277)
2. Auditing - Monitoring helps to determine whether the target groups and
beneficiaries for e.g., families, states, municipalities, or regions, have been reached
by the allocated resources and services.
3. Accounting - Information is produced and enhances accounting for social and
economic changes that follow the implementation of broad sets of public policies
and programs over time.
4. Explanation - Monitoring helps to determine why the outcomes of public policies
and programs differ.
 Steps in Monitoring
1. Planning: Is intended to establish expectations against which the implementer
or policy maker monitors the policy delivery process.
2. Allocation: means application of resources to policy delivery process
3. Implementation: refers to doing the technical work planned in the policy
delivery.
4. Measurement: means observing performance indicators on all parameters
(technical, time and cost) with a view to detecting deviation from policy delivery
(planned performance).
5. Evaluation: Concerned with analysis of the causes of the deviation from
planned performance.
6. Adjustment: Implies taking corrective action to resolve any deviation which
may result from policy delivery.
THEORETICAL ASSUMPTIONS IN POLICY
MONITORING AND CONTROL
Policy/ Programme is measurable in terms of certain indicators or
desired objectives.
Personal responsibility for the programme exists at all levels in the
organization.
Adequacy of time for monitoring is ensured.
There are sufficient tools for deducting/removing deviations from
programme performance.
Provisions exists for adjustments which correct for the deviations from
planned progress.
 CONSTRAINTS IN POLICY MONITORING
Effective policy implementation requires adequate monitoring. Policy
programmes or activities have to be properly monitored in order to
produce the maximum efficiency in resource utilisation. But quite often
monitoring is constrained by many factors and forces operating at the
internal and external levels.

First of all, problems in monitoring relates to poor design of the

implementing system with regard to provision of all details to enable
good monitoring.
Second, time is a constraint for policy monitoring. Too often the
implementing staff feel so pressed to achieve results that they take
shortcuts and try to avoid monitoring and control. Experience has
shown that monitoring and control when adequately designed and
executed can generate the highest quality results in the shortest
possible time.
CONSTRAINTS IN POLICY MONITORING
Third, a common constraint for the policy implementation authority is
the availability of limited corrective actions for application whenever a
programme is found to be deviating in some respect from projected
performance. For example, cost overruns owing to fluctuations in
financial markets often leave the implementing authority with the
feeling that their Implementation task is becoming difficult.
Fourth, a pervasive obstacle to policy monitoring is ignorance on the
part of the monitoring officials about its role and methods. It is often
observed that the monitoring staff and key personnel associated with
implementation of policies lack the requisite knowledge and skills to
monitor and control policy programme performance.

 REMEDIAL MEASURES FOR EFFECTIVE MONITORING

Designing the Monitoring System
The emphasis in monitoring is on completion of the policy program or policy activities (technical
performance) on schedule (time performance), and within the sanctioned budget (cost
performance). To enable this, it is necessary to define precisely the specific characteristics of
technical, cost, and time on the basis of which performance should be controlled. It is equally
important to remain sensitive to deviations in all three elements -technical, time, and cost
performance. It is not enough to watch cost performance or scheduling alone. Activity Bar Chart,
Resource Bar Chart, and Cash Flow Projection tools can be properly designed and developed for
monitoring policy performance. These charts and tools can be used to assist considerations,
when a noted deviation is worthy of correction and when it is not. It is not enough to watch cost
performance or scheduling alone. It is possible for a policy delivery to be on schedule and within
budget and still fumble on goal fulfillment.

ZIMCORE HUBS | DESIGN THINKING

 REMEDIAL MEASURES FOR EFFECTIVE MONITORING
Communicating about Performance
The role of routine communications for policy performance is invaluable. Policy progression,
deviations from planned progress, corrections, and plans for completion are key components of
policy communications. Every person involved in the policy program requires ongoing
communications at various levels of detail. Higher-level management (Secretary Director of the
Department concerned or Planning agencies) requires summary reports with a frequency on the
status of policy implementation. Operational members of the program also require detailed '
information. The objective of communications is to keep people informed so that they are on the
right track and provide feedback to those involved in the policy. Further, regular meetings to
review policy progression must be held at all levels in the organization

 REMEDIAL MEASURES FOR EFFECTIVE MONITORING

Monitoring Progress
The objective of monitoring and control is to ensure, through the policy implementation process,
that resource inputs are used as efficiently as possible to produce high-quality policy outputs.
Policy managers must compare the time, cost, and technical performance of the policy to the
budget, schedule, and tasks defined in the policy program. This should be done in a systematic
manner at regular intervals and not in a haphazard way. Any significant deviations from the
planned performance (technical, cost, and time) must be reported immediately, as these
anomalies affect the viability and success of the whole policy program. Further, based on the
information below, it is necessary to update the policy regularly. It must also reflect the current
status of the policy and any changes that become necessary because of new information,
budgetary or time constraints, or other unexpected contingencies.

 REMEDIAL MEASURES FOR EFFECTIVE MONITORING

Improving Capacity of the Monitoring Staff
Effective monitoring largely depends upon the ability, commitment, and attitude of the
monitoring staff. The process of monitoring requires some level of effort on the part of people
who are particularly skilled in the process. It requires skills in planning and accounting as well as
general management. The monitoring staff need to be delegated the requisite authority to
monitor and control. Key functionaries should be made responsible for meaningful contributions
to monitor and control decisions.

 REMEDIAL MEASURES FOR EFFECTIVE MONITORING

Taking Corrective Actions
The policy monitoring and control system, through its reports and meetings, should help in
taking or recommending corrective actions when there are any deviations from the planned
results. There are generally three types of actions, which can be initiated or taken:

·Correction and Improvement: When the policy program continues to signal merit, a
corrective action usually entails a reallocation of resources (staff, money, or time).
·Replanning: Replanning of the policy program may be undertaken to reduce or increase the
size of the policy program in terms of staff, budget, or time schedule. Replanting means
changing peoples' expectations about the policy results.
·Cancellation: Cancellation is the last resort of action. It means the cancellation of the whole
policy program. Sometimes this is advisable, particularly in instances of major crises.

 B. APPROACHES AND TECHNIQUES

The Methods/Approaches to Policy Monitoring

1.Managerial Approaches
This has forms the dominant operational paradigm in implementation of public policies. The
methods involved are: the Critical Path Method (CPM) and the second one is Programme
Evaluation and Review Technique (PERT).
CPM and PERT manage wide-scale policy programmes. Their objective is to address the usage of
material and resource in the most efficient manner. It thus entails planning of a particular
programme, allocating people and other resources, and monitoring their progress.

 B. APPROACHES AND TECHNIQUES

2. Systems Approach
This is a wide ranging method of addressing problems that considers multiple and interacting
relationships.
Monitoring becomes the operational activity that occurs in the process of implementing a given
policy programme.
The main objective becomes resource inputs’ utilization to achieve highest quality of policy output.
Effective monitoring thus requires proper structuring.
·Structuring takes a dual approach, i.e., structuring of the organization and the structuring of the
policy programmes. The combination provides a framework for integration.
Structuring looks at the implementation gaps analyzed in the context of ‘system’ which as a whole
involves delivery of policy programmes and services.

 B. APPROACHES AND TECHNIQUES

3. Formative Approach
This entails taking management steps to ensure execution of policy.
Here, monitoring starts with a schedule and works for the success of a policy programme when it’s
being implemented and the conditions that promote successful implementation.
Management information system becomes critical since there is centralization of information
system.
This creates a routine of collected information. It helps feed managerial decision-making process
through analyzing the acquired information at every stage of a policy. Formative approach has
helped to develop efficiency.
 B. APPROACHES AND TECHNIQUES
4. Performance Measurement Approach
Employed to check effectiveness and efficiency of a policy delivery. Measurement in this case is a
kin to monitoring.
It implies watching performance indicators (PIs) on all parameters with a view to detecting the
earliest available signs of any deviations from desired results.
Should any deviation be detected far from the expected results, the implementers are tasked with
exerting influence on the aspect or changing the parameters to return to desired course.
The argument in this approach is that, performance can provide a substitute for profit so as to
improve the management of schools, hospitals, local government and other services (Jackson,
1988, pp.11-16).
 B. APPROACHES AND TECHNIQUES
5. Social Experimentation Approach
It is the process of systematically manipulating policy actions in a way that permits more or less
precise answers to questions about the sources of change in policy outcomes.
It is a deliberate method for maximizing the difference between policy actions in a small and
carefully selected group of programs and addressing their consequences prior to making large-
scale investments in untested programs.
It is similar to laboratory experiments in scientific methods before administering wide-scale usage
of a product.
In comparison method, two or more groups are used in social experiments.

 B. APPROACHES AND TECHNIQUES

6. Social Auditing Approach
Social auditing tries to overcome oversimplification of both social accounting and experimentation
(Dunn, 2004, p.295).
It measures the relationships between inputs, processes, outputs and impacts. This is in a bid to
trace the effects of inputs from the onset to the final stage without the threat of other factors
affecting the results.
This monitors the quality and quantity of inputs in relation to the outcomes. A good example is
education policy. This approach thus looks into what goes on inside the “black box”. The process
monitored is that of resource diversion and transformation (Ibid, 296).

7.Research and Practice Synthesis

Social auditing and social experimentation requires the collection of new information about policy
actions and outcomes. Social systems accounting though based mainly on available information,
also requires new data especially about subjective social conditions whose information is either
outdated or unavailable.
Research and practice synthesis involves systematic compilation, comparison and assessment of
the results of past efforts to implement public policies.
 B. APPROACHES AND TECHNIQUES
Two Methods of research synthesis approach are:
1.Case Survey
This is a set of procedures used to identify and analyze factors that account for variations in the
adoption and implementation of policies. It requires case coding scheme, a set of categories that
capture key aspects of policy inputs, processes, outputs, and impacts.
2.Research Survey
This is a set of procedures used to compare and appraise results of past research on policy
actions and outcomes.
It yields empirical generalizations about sources of variation in policy outcomes, summary
assessments of the confidence researchers have in these generalizations, and policy alternatives
or action guidelines that are implied in these generalizations.
It requires the construction of a format for extracting information about research reports.
Like the case survey, it requires the construction of a format for extracting information about
research reports (Dunn, 2004, p. 299)

 B. APPROACHES AND TECHNIQUES

8. Monitoring and Control Compliance
The delivery of public policy is unlikely and uncertain without monitoring compliance. A good policy, if it
is to be carried out, therefore, must have effective means of enforcement.

Kenneth Boulding distinguishes between three kinds of power, that is, threat, exchange, and love.
Enforcement through threats can have productive and integrative consequences (exercise of
power by income tax authorities).
The use of exchange power may involve bargaining to settle terms of trade.
The power of love may involve an appeal to a moral sense or a sense of citizenship. It calls for
compliance on the basis of social and personal responsibility.

 B. APPROACHES AND TECHNIQUES

As a model for a delivery strategy, Bouldings' classification points towards the mix of enforcements:
threat, exchange and love. For proper implementation and effective functioning, Hood examines and
identifies four modes of administrative enforcement and their effectiveness.

1.Set aside/modify rules (government may choose either to set the rules aside or to modify the
rules).

2.Spread the word (government may choose to use publicity and persuasion).

3.Pursue and punish violators (government may choose to use legal and police action).

4.Make it difficult and impossible to break rules (in this case the enforcement method involves
making the grass physically difficult or inconvenient to get at in the first place).
The Techniques
to Policy
Monitoring
Monitoring has several aspects in public policy delivery. It may involve physical progress of the
implementation of policies (e.g. water and forest policies), productivity and profitability in performance
for public sector units in the core sector, and maintenance of resource assets created to be
monitored selectively so that expenditure is utilized purposefully. Primarily there are three areas in
which policy monitoring has to play its role.
They are:
I) Technical performance, including the use of human - resources;
ii) Time performance; and
iii) Cost (budget) performance.

Monitoring of these areas involves many techniques, which are applied in the policy delivery process.
I. Techniques for Monitoring Technical Performance
There are several methods and techniques
for monitoring the technical performance
of policy delivery.

Technical Team
The Planning Department or Policy Monitoring Division in the Secretariat may be
assigned the work of observing the technical performance of the policy delivery.
This division may hold the technical Directors (Heads of the directorates)
accountable for policy delivery performance. But the Department Head may not be
in a position to directly oversee/observe policy performance.
Techniques for Monitoring Technical Performance
Activity Bar Chart
An Activity Bar Chart is a graphic way of showing the schedule of policy delivery. The
chart can provide information relating to the list of objectives to be achieved; calendar
for the policy delivery; list of programs/activities to be performed with starting and
ending dates; and list of people (personnel) with allocated functions and
responsibilities.

Peer Review
Another technique of measuring the technical performance of a policy delivery
depends on the ability of the group (peer review) to estimate the degree of technical
completion at any point in time. Peers are colleagues of the program implementing
staff, with more or less the same status.
Techniques for Monitoring Technical Performance
Third-Party Technical Review
The third party technical review works as a peer review, but people in it are largely
unknown to those most intimately involved in the programme. Sometimes,
programme sponsors, or funding agencies or a steering committee wants to get
technical performance monitored by parties, which have no interest or stake in the
policy programme. Third party review is, sometimes, taken in periods of crisis in the
programme. But in large and complex policy programmes (forestry, health and
education), they can be planned to occur at periods that help and ensure adequate
policy control.
II. Techniques for Monitoring Time Performance
The goal of time monitoring is to ensure that policies are delivered on time. Schedules
are used to plan time in the context of policy delivery. When a person uses the Activity
Bar Chart to indicate when programs are expected to be completed or delivered, he or
she has a useful method of tracking time in relation to a policy's technical performance.
 Techniques for Monitoring Time Performance
Resource Bar Chart
A Resource Bar Chart is a useful monitoring device, which helps to assess the
impact of schedule delays on all aspects of the programme. But the resource bar
chart, as a technique for monitoring time will have little meaning until the data is
arrayed so as to enable one to compare actual performance against expected
performance. Any type of resources can be arrayed against time in the chart and
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 Techniques for Monitoring Time Performance
Schedule of Expenditure
Like planning policy delivery, it is possible to plan the schedule of expenditure for
the programme. For instance, once one has budgeted the individual activities the
budgets can be aggregated by output. Then the division heads can calculate the
monthly expenditures expected throughout the programme. Thus on the basis of
activity-level monitoring data, the format permits the policy management -
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III. Techniques for Monitoring Cost Performance

Monitoring cost performance is of critical importance to policy delivery. As with

technical performance, cost performance can be an important strategy for monitoring
policy delivery.
 Techniques for Monitoring Cost Performance
Budget as a Technique for Policy Monitoring
The budget of the policy delivery can serve as a tool for monitoring if it is compared
to actual costs as they are incurred. However, its main shortcoming is that detection
of a financial deviation may crop up too late to do anything about it. This is because
the policy delivery budget is comprised of aggregated cost category totals. In other
words, those figures mirror estimates per category at the end of the policy
program. Used as a technique for monitoring one would have to wait until the end
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 Techniques for Monitoring Cost Performance
Cash Flow Projection
A similar technique called Cash Flow can be used for monitoring finances of policy
delivery. It may be done on the basis of a single activity, output, or the program as a
whole. But this technique also accommodates the concept of income. The Cash
Flow Projection, in a way, permits the monitoring staff to not only assess the costs
and incomes but also anticipate cash shortages, in a period when cash is scarce,
even though the funding for the whole program is good enough.
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 POLICY OUTCOMES
Successful policy implementation depends upon an appropriate match of three
elements, that is, inputs, outputs, and outcomes. Inputs constitute resources
(personnel, funds, and technologies) that implementers use to generate
outputs. These outputs are the actual decisions of the implementers. The
concept of outcomes emphasizes on what actually happens to target groups
intended to be affected by the policy.
Lane and Ersson observe, "... outcome analysis in evaluation research came to
include all kinds of results that were relevant to the understanding of policies,
including outcomes that had no link whatsoever with a policy but affected the
evaluation of whether a policy had succeeded or not".
 POLICY OUTCOMES
To analyse the policy outcomes, Lane and Ersson note, "... impact assessments
are undertaken to estimate whether or not interventions produce their
intended effects." The aim of impact assessment is to show how and why a
given policy has worked at the expected level the extent to which policy goals
are met or fulfilled the claims of the government or public agency concerned.
Not only are the answers to such questions complex, but often the justifications
get enmeshed in politics.
 POLICY OUTCOMES
The outcomes in health, education, economy, and so on may be viewed as
formed by an array of inputs and forces, of which "policy" is one of the most
influential of forces at work on real-world problems. At an analytical level, the
profile of these forces usually depends on the framework being deployed, which
tends to emphasise one or more of these factors as having a determining or
dominant role in influencing the outcomes of public policy. The extent and
quality of influence of such forces would differ between countries due to
differences in culture, demography, and so on as well as between particular
policy sectors.
 The importance of policy monitoring in the

EFFECTIVE implementation process cannot be overstated. It is

at the heart of government policymaking. Ensuring
POLICY the proper implementation of policies requires
proper monitoring. Monitoring like all other aspects
MONITORING of policy management requires a significant level of
MECHANISM effort. Investing in policy management through
monitoring is a direct investment.

The following are some ideas for improving policy

monitoring capacity:

 Effective Monitoring Enhancing Administrative

Communications System Capacity for Monitoring
Policy monitoring involves the application of Monitoring necessitates some effort on
several techniques. These in return help the part of personnel who are particularly
monitor data program/policy status, knowledgeable about the process. It
deviations from planned progress, necessitates planning abilities as well as
corrections, and plans to policy delivery. administrative support.

 Designing Standard Monitoring
Instruments
Designing standard monitoring systems for
the process, which provide good detail for
good control of policy delivery, is critical for
effective program monitoring. Besides,
performance criteria, standards, and data
collection procedures must be established
for each of the factors to be measured.
Delegation of Authority
The importance of authority in the
implementation process cannot be
overstated. It gives you the direction and
control you need to get things done. It is
necessary to delegate authority as far
down the organization as possible for
effective policy monitoring.

 Holding Monitoring Meetings
It is critical to hold regular meetings to
review the progress of a program in order
to ensure effective monitoring. Meetings
should be well-organized and held on a
regular basis. Key personnel should be
rewarded for their valuable contributions
and for presenting/monitoring pertinent
data.
Involvement of the Staff
The involvement of all program staff is
one of the most important characteristics
of timely monitoring. In other words, the
program in-job charge's is to make sure
that the program staff is properly trained
and motivated to monitor policy
implementation under their jurisdiction.

C. A MODEL FOR
THE ANALYSIS OF
POLICY OUTCOME
Program based M&E (Result Based Monitoring)

This f o c u ses on the process of

impl e m e n t ation, how resources are
used , p r o gress of activities, on going
acti v i t i e s , depends on the nature of
the w o r k .
Indi c a t e s the information to be
coll e c t e d , sources and uses of
info r m a t i on.
Proj e c t i n p uts, resul ts, progress, wider
impa c t .

Result Framework
 The Results Matrix

When d e signing s trong and effecti v e

inte r v e n t ions, structured monitoring and
repo r t i n g tools are instrumental i n
guar a n t e e ing accountability and
achi e v i n g results.

To s t r u c t ure the en visioned projects an d

high l i g h t the logical interlink age s
betw e e n the vario us project element s ,
the R e s u l ts Matrix provides guidance.

Key Elements of the Results Matrix include:

Key Elements of the Results Matrix include:

Indicators
1. Output
2. Outcome
3. Impact
Targets
Baselines
Data sources and collection methods
Assumptions

 Result Based Monitoring and

Evaluation (RBM) for Programm M&E
RBM focuses on:
Achieving results,
Implementing performance
measurement using the feedback to
learn and change.
RBM integrates: strategy, people,
resources,processes and
measurements to improve
decision-making, transparency and
accountability.

 Why measure outcome?

If yo u d o not meas ure outcome, you
cann o t t e ll success from failure.
If y o u c a nnot see su ccess, you cannot
rewa r d i t .
If yo u c a nnot reward success, you are
prob a b l y rewarding failure.
If y o u c a nnot see su ccess, you cannot
lear n f r o m it.
If y o u c a nnot recognize failure, you
cann o t corre c t i t .
If y o u c a n demonstrate results, you
can w i n public su pport and donor
inte r e s t .
Thha
annk
k
T
y
yoou
u!!