STAGES OF EDUCATIONAL

POLICY FORMULATION
Unit objectives
a)Explain educational policy formulation
b)Analyze stages in policy formulation
c)Discuss challenges of policy formulation
 POLICY FORMULATION
• Policy formulation refers to process of
creating or inventing a policy.
• The policy formulation process typically
includes an attempt to assess as many areas
of potential policy impact as possible, to
lessen the chances that a given policy will
have unexpected or unintended
consequences.
 POLICY FORMULATION
APPROACHES
• There are a number of policy formulation
approaches. These include:
– Policy formulation as a top down
approach
– Policy formulation as a bottom up
approach
– Policy formulation as a revolutionary
approach
 1. TOP DOWN APPROACH
• Policies are formulated at the top and then
transmitted and translated; passing through the
hierarchies to those who will implement them at
the bottom/ground. e.g. minister states that no
more UMITASHUMTA in primary schools, this
goes thorough different levels to teachers who
will stop children from participating in it
• The idea is that policy makers do it with
assumption that grassroots' part will remain
silent.
• It gives very little room for people to participate.
 Top down approach cont…….
• This approach follows a legal approach i.e.
the leaders at the top have the mandate and
responsibility of making the policies and
those at the bottom use bylaws to implement
the policies.
• The approach assumes that if the policy is
clearly stipulated at the top, then it is likely
to be implemented at the bottom.
 Conditions Necessary for Top-Down
Approach Policy Formulation
a) Creating and sustaining the commitment of those
involved
b)Having clear and stable policy objectives
c) Ensuring that the policy innovation has priority over
competing demands
d)Ensuring that there is a real expectation of solid
outcomes inherent in policy, not just a symbolic one
e) Ensuring that the causal theory which underlies the
policy reform is correct and adequate
f) Allocating sufficient financial resources
g)Creating, as far as possible, a stable environment within
which policy is being implemented
 2. BOTTOM UP APPROACH
• It follows the inadequacies of top-down approach and
emphasizes the importance of the various actions at
the implementation process particularly those at the
bottom. (worms eye view)
• This approach recognizes how individuals and groups
at bottom level through their collective ideas can
influence the formulation of the policies.
• It is completely in contrast with top-down approach,
and thus it takes as a starting point the individual at
the street/gound/grassroot level
• By involving the street level people, several actors
are brought in to policy making process and this gives
the people the idea of policy ownership.
 3. REVOLUTIONARY
ItAPPROACH
is an approach believing in bottom up approach
with a belief and recognizes that:
• Policy formulation is a process of interaction,
negotiation and transaction between the key
decision makers of the bureaucracy who are not
pleased.
• Policy making and policy implementation is
evolutionary, and not separate, as policy potential
takes specific form through negotiation and
interactions with its environmental conditions.
• Sometimes it is called the transactional mode of
formulation and implementation of policy
 The Transactional Mode of Formulation
and Implementation of Policy
• According to Warwick, this mode require
transactions among policy proponents,
implementers and others whose support is
important in successful implementation
• The transactional mode brings out important
aspects of the deliberate action to achieve
results, conscious dealings between results
and policy’s environments and
communication.
 STAGES OF FORMULATING
POLICY AND POLICY ANALYSIS
• Stage One: Situational Analysis
• Stage Two: Generation of Policy Options
• St age three: Evaluation of policy options
• Stage four: Selection of a Policy Option
• Stage five: Implementing policy options
• Stage six: Evaluation of Policy Outcomes
 Situational Analysis
• Is a stage that requires the thorough study
and understanding of the context. i.e. the
general situation surrounding the policy to be
formulated. These include:
The National historical Background
• Location (place where the policy
formulation takes place
• Population (type, nature, composition…)
• Culture of the people (religion, clothing,
daily economic activities
 Situational Analysis
Political context:
• Ideology in the country
• Actors of policies
• Other national political policies from
manifesto, press release…
Economic context:
• Level of economic development
• Nature/kind of distribution (who gets what)
• Labour market
 Situational Analysis
Educational Sector:
• Opportunities
• Educational structure
• Equity
Internal and external efficiencies and resource
availability
• Management
• Existing policies
Dynamics of change:
• Pressures for change (why change)
• Possible resistance to change
• Interest groups
 Stage Two: Generation of Policy
Options
• Normally policies emerge due to the desire for
change forced by social, political and economic
forces in the society e.g. the need for change of
higher education policy can be due to economic
recession in the country.
• Policy option is one of several, mutual exclusive
alternatives facing a person who decides public
policy. For each policy problem, there are more
than one alternative solutions.
Generation of Policy Options
• When faced with an opportunity to decide policy,
an experienced policymaker will usually consider
competing alternatives before making a decision.
They will consider the pros and cons of choosing
one competing proposal over another.
• According to Haddad, (1995) educational policy
options can be generated in different modes i.e.
– System mode
– Incremental mode
– Ad-hoc mode
– Importation mode
System mode
• This mode relies on the generation of data and
make comparisons.
• It starts with formulation of options e.g.
education management policies, curriculum
implementation option, enrollment option or
primary education policies
• Then option prioritization i.e. which priority is
better, more agent than others.
System mode
• Then refinement i.e. finding data to justify
the importance of the option and its
applicability.
Data can be derived from a series of
research findings, native wisdom,
professional knowledge, or periodic analysis
of educational sector
Incremental mode
• It involves building upon what is existing.
• It starts with problem recognition by identifying,
containing and brainstorming the problem
• It works towards getting corrective measures to
maintain legitimacy/authenticity
• It is a quick response to patch up the problem
• It rectify/satisfy the present problem without
anticipating the future ones
• It is not very in-depth
• Not revolutionary by itself.
Ad-hock
. mode
• The policy made due to forces e.g. a policy may
arise from outside the education system, but force
formulation of policy in education system to solve
it e.g. formulation of educ. Policy to incorporate
HIV/AIDS knowledge.
• It may be formulated to handle a specific
problem, make specific adjustment to handle the
situation e.g. an influx of refugees speaking
foreign language
Importation mode
• This is usually through foreign consultancy,
advisors or studying foreign systems that can give
rise to policy options that have no particular basis
in the country.
Stage three: Evaluation of policy options
• This is the stage where policy options are
examined for selection and they are evaluated in
terms of:
– Desirability
– Affordability
– Feasibility/achievability
– Justifiability/justness
• The rationality of a policy choice should be
justified through series of debates before
adoption. Contrary to that, a policy will fail!
Desirability
How desirable is the policy in terms of;
i. Tune/its impact on various interest groups e.g.
poor, women, children, disabled/handicapped
i.e. for an educational policy to be desired by the
social groups it must be in tune with educational
goals that the social group has set for itself. Refer
goals of education to Tanzanians from ETP.
ii.Compatibility/harmonious/consistent with the
dominant ideology, i.e. national development
goals.
e.g egalitarianism is not compatible to free
market
Affordability
Affordability in terms of
• Fiscal/costs – all policies have financial
implication
• Social costs – can we afford socially
• Political costs
• Opportunity costs – all decisions have
opportunity costs of what one did not decide
• Private cost
• Public cost
Feasibility / Effectiveness
• Is it implementable, is it more implementable
than the other?
• How is the availability of human resource
available to implement the policy
• What stage of development requirement in order
to create the force to implement the policy
• Do the existing culture ready to implement the
policy?
Justifiability /Justness
• Does a policy option have a reason, fact,
circumstance, or explanation that defends its
existence.
• Is it useful to the expected people and does it not
offend any individual or group in the society?
• Example policies allowing pumping more public
money to prestige/special schools (children of the
rich) for the purpose of producing super brains for
a nation may be feasible, desired but may not be
just
• Loan to priority to division one
Stage four: Selection of a Policy Option
• This is sometimes termed as making policy
decision
• After all the discussions, opinions collected and
different interests included in the policy options, the
best option is selected as the policy for the society.
• The problem is, each group, individual and society is
affected differently with environment no policy will
be just, and effective to all at the same time and thus
be accepted by all without doubt.
• The policy to be selected must be that which has
come form the best compromise between conflicting
ideas politically, socially and economically.
• Policies likely to be successfully implemented
should be selected
Stage five: Implementing policy options
• To implement a policy option a schedule of
activities should be drawn up on who is to do
what, when and how
• Physical resources must be allocated and made
available
• Financial resources have to be allocated in a way
to minimize implementation delays
• Required personnel must be released from other
commitments and made to face their new
assignments
• Personnel must posses the technical know-how
and be made to operate in a clearly structured
administration.
Policies Likely to be successful
• There must be some strong interests and
demands for the policy. Low interest and less
mass demand less implementation. e.g. every
teacher prepare lesson plan every week in the
whole country – unsuccessfully
• When the extent of foreign influence is low, the
policy tends to be successful.
• When stakeholders (government senior
executives, opinion leaders, legislators
implementing agencies, the masses etc.) are
sensitized and are in favor of the policy and
are committed to implementation.
Policies Likely to be successful…
• If it fits the environment, different social culture,
political and economic circumstances in the country.
• If there is incentive system put forth to outweigh
oppositions that would hinder implementation
• The language used, abusive, offensive language
will provide conflict between implementers and
masses to hinder implementation. If proper language
is used people will make sure that required labor
and material for school construction, for example,
are available.
• There should be adequate resources and structure
support and follow up to ensure all necessary input
to enhance implementation are available. These
include appropriate, qualified and culpable staff.
Challenges facing policy formulation
a) It is impossible to form the best compromise as people
have different conflicting ideas
b) Lack of incentive system to lessen oppositions that would
hinder implementation
c) Policy may not fit the social-culture, political and
economic environment.
d) Strong interests posed to various policies formulated
e) Adequate resources and all necessary input to enhance
implementation are unavailable
f) If discussions, opinions and interests of different
stakeholders are not included in the policy options
g) If there is lack of mobilization of political support
h) Lack of sensitization of all the stakeholders in education
to a new initiative
• The policy-making process is a
complex one involving a contest
between competing
interpretations of ‘the problem’,
negotiations and compromises
during the policy-formulation
stage.