QA4ODFL1/Policy/Policy formulation

Policy formulation does not take place in a vacuum, it is a process that is influenced by and responds to a particular context. Policy responses are shaped by cultural context ( Bell & Stevenson, 2006) , which determines the process through which policy is formulated. If policy is about solving problems, the policy process should therefore be rational. This process starts with identification of a problem around which a variety of solution options are sought. The search for the most viable solution results in some degree of consensus being reached on the best option and guidelines are developed around the preferred option. Figure 1 below shows Bell & Stevenson’s easy-to-understand graphic of this linear approach to policy development:

Fig. 1 A linear model of policy development

Source: Bell, L & Stevenson, H (2006:16)

Learning activity 4: The policy process

You will need 30 minutes to complete this exercise if you are familiar with policy processes in your context. If you are not, you will need more time to consult colleagues and other relevant people before you can do the activity.

1. Think of any education policy you know of in your context.
2. Identify the people who were involved in formulating that policy.
3. What processes were followed in developing that policy?

Post your answers in the discussion forum and engage with what others have written.

Our reflection and feedback on Understanding of policy

The policy process you described in the activity above may compare to the policy making process illustrated in Fig. 1 above, which is summarised as follows:

Process	Summary
Step 1: Identifying issues (which normally create a state of uneasiness in people) and define problems	Example can be having many school-going age children out of school. This may be due to limited capacity in existing schools, or the sparsely distributed nature of the population. The latter makes it less cost-effective to build schools for only a handful of learners in particular areas than to provide education through other means.
Step 2: Analysing issues and setting the agenda	Debates, concerns and complaints at political and community levels are held about the high number of out-of-school learners and the negative consequences this has on socio-economic development. These debates culminate in the matter becoming an issue, a problem that needs attention.
Step 3: Selecting from a range of options	Many options for solving the problem are discussed and analysed. For example, some people may suggest transporting learners to distant schools every day; others may suggest using distance education; yet others may suggest using makeshift classrooms where learners are taught by unqualified community-based mentors. Various factors around these different options are considered and one option is finally settled for.
Step 4: Drafting policy instruments	Policy guidelines are developed around the preferred option to guide implementation. The drafting is done by very few people deemed to have expertise, like relevant people in the Ministry of Education. In some contexts, input into the draft policy (White Paper) from various stakeholders is sought before official approval of the policy.
Step 5: Decision making and policy advocacy	To maximise buy-in, policy advocacy is undertaken to familiarise everyone in the context with the policy. Strategies for implementing the policy are also formulated. Resources are mobilised to make implementation feasible.
Step 6: Implementing new policy	Actions are undertaken to give practical effect to the policy text. This is the most critical stage in the policy process as implementation involves a wide range of implementers the majority of who are not part of the policy making process. Often, there are disparities between the spirit with which the policy is developed and the zeal with which it is implemented. This leads to glaring gaps between policy in text and policy in practice. That is why careful monitoring of policy implementation becomes so key. Although this is given as the next stage, monitoring and evaluation actually have to happen as policy implementation unfolds. Where policy implementation is done well, it is accompanied by research which feeds back into the process.
Step 7: Monitoring and evaluating policy	Although there is continuous (formative) evaluation during policy implementation, there is also terminal evaluation that takes place after a certain period of policy implementation – usually 3-5 years. At this stage, an external expert maybe invited to undertake the evaluation and provide feedback with recommendations.

It is worth noting that although policy making has been presented as a linear process above, it is often an iterative and messy process. Usually, the policy making process is a cyclical process. Pause and think!! How much consultation takes place in your context during the education policy process? Who is consulted?

Non-linear approaches to policy formulation

Not all policy making is informed by the rational model, which leads to a linear process. There are many other approaches of policy making that are used in education. Parsons, (2022) refers to policy making as a muddling through process, and advocates that governments should move away from this kind of approach to evidence-based policy making. There are beauracratic policy making models, elite-mass models, institutional models, group models, systems models, (California State University, 2002) . You can read the California State University resource to get more detail on these models of policy making: https://home.csulb.edu/~msaintg/ppa590/models.htm