Public policy slides for students of education

public policy slides

1. INTRODUCTION TO EDUCATION POLICY; THEORIES MODELS AND PRINCIPLES DR. MUHEREZA MARTIN, ASSOCIATE CONSULTANT, UMI [email protected] , [email protected] 0782431423/0704946532

2. INTRODUCTION Educational leaders and managers are required to render policy advice, sensitization and implementation. To perform these roles effectively, the leaders ought to have a good grasp of the nature of education public policy, the process of policy formulation, and monitoring and evaluation of education policies. The course is designed to equip the participants with the relevant/appropriate skills in appreciating the myriad issues related to education policy analysis with the objective of informing and improving educational practice.

3. INTRODUCTION The participants will be introduced to the mechanics of the creation of policy enabling them to critically explore policy formulation. T he participants will be made familiar with the implementation of policy allowing them to critically investigate policy practice. Finally, the participants will be acquainted with policy outputs and outcomes initiating them to a systematic examination of the effects of policy.

4. MODULE AIM To develop the participants’ knowledge, skills, competencies and attitude to strategically manage public and education policy processes.  

5. Learning Outcomes By the end of the module, participants should be able to: Appreciate the concept of public policy and how it is linked with the education policy. Describe the parameters of policy formulation, policy implementation and policy effects Identify the education problems, and formulate education policies

6. AN ACT AN ACT is A written law enacted by Parliament, to enforce the implementation of a policy BYE LAWS: Rules and regulations are enacted by an organization such as a Local Government to provide a framework for its operation and management

7. REGULATIONS A form of laws, which define the application and enforcement of legislation. Policy regulations are made under the authority of an Act, called an Enabling Act.

8. POLICY GUIDELINES Documents that are used to interpret a policy and/or a programme and act as a guide at implementation level. Policy guidelines are often used to advise how one should comply with the policy, and have no force of law. Unless otherwise stated, policy guidelines normally do not have the force of establishing rights, requirements and responsibilities

9. Introduction to Education Policy Concepts Theories Models Principles

10. POLICY CONCEPTS ‘Public Policy Making’: Concepts and Theories In its simplest sense, ‘policy’ refers to a broad statement that reflects future goals and aspirations and provides guidelines for carrying out those goals. Hill (1993: p.47) defines ‘policy’ as ‘the product of political influence, determining and setting limits to what the state does’. To be more precise, when a government takes a decision or chooses a course of action in order to solve a social problem and adopts a specific strategy for its planning and implementation, it is known as public policy (Anderson 1975).

11. POLICY CONCEPTS Policy scientists argue that public policy is best conceived in terms of a process (Jenkins, 1978, Rose,1976; Anderson, 1978). This is because policy decisions are not ‘something confined to one level of organization at the top, or at one stage at the outset, but rather something fluid and ever changing’ ( Gilliat , 1984:p.345). Rose (1969: p.xi ) also made a similar argument when he said, ‘policy making is best conveyed by describing it as a process, rather than as a single, once-for-all act’. This process involves negotiation, bargaining and accommodation of many different interests, which eventually give it a political flavour .

12. POLICY CONCEPTS Political interactions happen within the network through which decisions flow, programmes are formulated and implemented Inter organisational dependencies and interactions take place. Thus ‘policy making’ is not a simple rather a complex dynamic process involving series of actions and inactions of varieties of groups with varieties of interests at different stages. It is important to note that public policy making not only involves the public bodies or public officials as policy actors; Lassance , Antonio (2020-11-10

13. POLICY CONCEPTS Private or non-official groups also play a very active role in policy making. Public private interaction constitutes the structure of the political system within which policy actors influence the policy process.

14. POLICY CONCEPTS Easton’s (1965) ‘Political System Model’ can be employed to explain the policy making process of developing countries. Easton’s (1965) ‘political system’ model views the policy process as a ‘political system’ responding to the demands arising from its environment. The ‘political system’ as defined by Easton is composed of those identifiable and interrelated institutions and activities in a society that make authoritative decisions (or allocations of values) that are binding on society (Rinfret, 2018)

15. POLICY CONCEPTS In developing countries policy making does not always follow the chain of actions identified by Easton. The presence of feedback mechanisms is very infrequent in policy making of developing countries. Support from the society as input for decision making is less significant in the developing country context. Walt (1994) rightly observes that in developing countries, there exist huge examples of retaining power by the governments without popular support.

16. POLICY CONCEPTS But where the matter is complex and/or contested – where intentions are confused and/or disguised – it may not be possible to define the policy ideas clearly and unambiguously. In this case it may be useful to identify a policy in terms of what actually happens.

17. Policies in ministry of education The technical vocational education and training ( tvet ) policy Gender in Education Policy Early Child Hood Development (ECD) Policy National Physical Education and Sports Policy The Education Sector HIV and AIDS workplace Policy Information and Communication Technology in Education Sector Policy The Uganda Students’ Higher Education Financing Policy

18. Policies in ministry of education 8. Basic Education Policy for Educationally Disadvantaged Children 2006

19. THEORIES AND MODELS Elite theory Group Theory Systems Theory Incremental Theory Rational Choice Theory Pluralist theory Mixed Scanning model,

20. ELITE THEORY This model posits/suggests that, contrary to the belief that pluralism has in-built mechanism for ensuring equity in the share of power and influence in society, in reality public policy is by and large the mirror image of the ruling elite’s interest. Vilfredo Pareto in his book „Mind and Society argues that persons of ability actively seek to confirm and aggrandize/ exagerate their social position. The elite group is divided into governing and non-governing ones.

21. ELITE a small group of powerful people who hold a disproportionate amount of wealth, privilege, political power, or skill in a group.  the "elite" are "the richest, most powerful, best-educated, or best-trained group in a society ( Cambridge Dictionary, 2024). a plausible or scientifically acceptable general principle or body of principles offered to explain phenomena

22. ELITE THEORY These few that possess unique qualities such as skills, material wealth, cunning and intelligence have the rights to supreme leadership, while the bulk of the population (masses) is destined to be ruled. Thus social classes are formed (Obi et al, 2008). In his own work entitled „The Ruling Class‟ Gaetano Mosca , an Italian sociologist, posited that in the history of man, only one type of government had existed which was Oligarchy.

23. ELITE THEORY He argued that: In all societies, right from societies that are very meagrely developed and have barely attained the dawn of civilization down to the most advanced and powerful societies- two classes of people appear, a class that rules and a class that is ruled. The first class, always the less numerous, performs all political functions, monopolises power and enjoys the advantages that power brings, whereas the second, the more numerous class is directed and controlled by the first, in a manner that is now more or less legal (Emma, 2018). 

24. ELITE THEORY now more or less arbitrary and violent and supplies the first, in appearance at least, with the instrumentalities that are essential to the vitality of political organism. ( Mosca , 1939). Mosca was also of the belief that apart from the fact that the minority is usually composed of superior individuals, the fact of their being few helps them to be more organised . He also wrote that the larger the political community, the smaller will be the proportion of the minority and the more difficult it will be for the majority to organise for reaction against the minority

25. Group Theory According to this, public policy is the product of the group struggle . What may be called public policy is the equilibrium reached in this group struggle at any given moment, and it represents a balance which the contending factions or groups constantly strive to win in their favor. Many public polices do reflect the activities of groups (Anderson, 1997). This theory attempts to analyse how each of the various groups in a society tries to influence public policy to its advantage at the policy formulation level.

26. Group Theory The central practice of this model is that interaction among groups is a critical ingredient in politics. Public policy is thus a temporary point of compromise reached in the course of competition between mosaics/ varietis of numerous interest groups with cross-cutting membership. The ability of the group that is favoured at one point to sustain its gain depends on its power to counteract the powers of other groups that would make efforts to tilt decisions to their favour . This determines the pattern of allocation of societal resources ( Enemuo , 1999:24).

27. Group Theory The locus/position of power in the society changes from time to time, depending upon the group that succeeds in exerting its own supremacy over the others. The power to determine policy direction changes with the changes in the fortunes of each or a combination of these groups. It is in appreciating the fluidity of power base in society that Latham contends that what we regard as public policy is in reality a temporary equilibrium reached in the course of the inter-group struggle (Latham, 1965).

28. Group Theory As soon as the equilibrium point is altered in the favour of new groups another policy will emerge or the old policy will be modified. Politics in essence entails a dynamic equilibrium created by the struggle between different groups. In Latham’s opinion the legislature acts only as a referee to the inter-group struggle and it ratifies the victories of the successful coalitions, as well as record the terms of the surrender, compromises, and conquest in the form of statutes or Bills (Latham, 1965).

29. Criticism of the Group Theory The group theory has been criticized on the following grounds: First, the group theorists did not really define in clear terms what they mean by the two key concepts in the analysis; group and interests. Thus, while Bentley sees groups as a relation between men, a process of adding man to man, Truman defines it as any collection of individuals who have some characteristic in common. None of these definitions clearly tells us what a group that is really relevant to politics and decision making is.

30. Criticism of the Group Theory Second, the theory was so concerned with the role of groups that it leaves out the individuals and society in their analysis. While not disputing the fact that politics is a struggle between and among groups, one can also not forget that the role of particular individuals is a very important variable. This is particularly important in third world countries, where one-man dictatorship has proved that an individual could indeed hold a whole country to ransom and dictate what happens mostly after decimating all competing groups. Also, the role of the society in this competition for power is completely left out which is a defect.

31. Systems Theory The systems theory in political science owes its origin to David Easton who is reputed to be the scholar that attempted to analyse politics from the perspective of systems in his famous work political system‟ which appeared in 1953. His work outlined eight major characteristics described as the intellectual foundation stone of behaviourism which are regularities, verification, techniques, quantification, values, systemisation , pure science, and integration.

32. Systems Theory According to Varma, Easton was able to distill these characteristics from a range of behavioural literature and while they are not unique to systems theory, they do form the basis for the natural linkage between systems thinking and behaviourism (Obi et al, 2008). In other words, a political system may be that system of interactions in any society through which authoritative allocations are made and implemented in the form of policies and decisions.

33. Systems Theory Public policy may also be seen as a political system’s response to demands arising from its environment. The political system, as Easton defines it, comprises those identifiable and interrelated institutions and activities (what we usually think of as government institutions and political processes) in a society that make authoritative allocations of values (decisions) that are binding on society (Anderson, 1997).

34. Systems Theory This environment consists of the social system, the economic system, the biological setting - that are external to the boundaries of the political system. Thus, at least analytically one can separate the political system from all the other components of a society (Easton, 1965). The issues to reflect on include the nature of the components of the system which constitute the sub-systems, and the outside components that impinge on the system directly, which is referred to as supra-system ( Dlakwa , 2004

35. Systems Theory Support is rendered when groups and individuals abide by election results, pay taxes, obey laws, and otherwise accept decisions and actions taken by the political system in response to demands. The amount of support for a political system indicates the extent to which it is regarded as legitimate, or as authoritative and binding on its citizens. On the other hand, outputs of the political system include laws, rules, judicial decisions, and the like. Regarded as the authoritative allocations of values, they constitute public policy.

36. Institutional Theory One of the oldest concerns of political science and public administration is the study of government institutions since political life generally revolves around them. These institutions include legislatures, executives and judiciary; and public policy is authoritatively formulated and executed by them. Traditionally, the institutional approach concentrates on describing the more formal and legal aspects of government institutions: their formal structure, legal powers, procedural rules, and functions . Formal relationships with other institutions might also be considered, such as legislative-executive relations.

37. Institutional Theory Usually, little was done to explain how institutions operated as opposed to how they were supposed to operated, to analyse public policies produced by the institutions and to discover the relationships between institutional structure and public policies. Social scientists turned their attention in teaching and research to the political processes within government or political institutions, concentrating on the behaviour of participants in the process and on political realities rather than formalism. In the study of legislators, attention shifted

38. Institutional Theory from simply describing the legislature as an institution to analysing and explaining its operation over time, from its static to its dynamic aspects. In the academic studies legislature usually came to be about the legislative process. Institutionalism, with its emphasis on the formal or structural aspects of institutions can nonetheless be usefully employed in policy analysis. An institution is, in part, a set of regularised patterns of human behaviour that persist over time and perform some significant social function. It is their differing patterns of behaviour that usually distinguish courts from legislatures, from administrative agencies, and so on.

39. Institutional Theory This model studies the official structures and functions of government departments and institutions in an attempt to learn how public policy takes shape. It focuses on the organization chart of government. While the systems approach is dynamic and process-oriented,

40. Incremental Theory Incremental decisions involve limited changes or additions to existing policies, such as a small percentage increase in ministry of education’s budget or a modest tightening of eligibility requirements for central government scholarship. According to this approach, the policy-makers examine a limited number of policy alternatives and implement change in a series of small steps. It may be noted that each of the alternatives available to the policy-maker represents only a small change in the status quo. This approach recognizes the less than ideal circumstances under which administrators must make policies.

41. Incremental Theory Because of these limitations, the policymakers, though they try to be rational, accept the past policies that satisfy them as legitimate and suffice to deal with the issue. Charles Lindblom is associated with this model. He contends that incrementalism is the typical policy-making in pluralist societies such as the United States. Decisions and policies are the product of give and take and mutual consent among numerous participants in the policy process.

42. Incremental Theory Incrementalism is politically expedient because it is easier to reach agreement when the matters in dispute among various groups are only limited modifications of existing programmes rather than policy issues of great magnitude or of an all-or-nothing character. Because policy makers operate under conditions of uncertainty about the future consequences of their actions, incremental decisions tend to reduce the risks and cost of uncertainty.

43. Incremental Theory . Incrementalism is also realistic because it recorgnises that policy makers lack the time, intelligence, and other resources needed to engage in comprehensive analysis of all alternative solutions to existing problems. Moreover, people are essentially pragmatic seeking not always a single best way to deal with a problem but, more modestly, something that would work. In a nut-shell, incrementalism utilises limited analysis to yield limited, practical, acceptable decisions.

44. Criticism of the Institutional Theory It is too conservative, to focused on the current order; hence, it is a barrier to innovation, which is often necessary for effective policies. Another is that in crisis situations, incrementalism provides no guidelines for handling the tasks of decisions. Incrementalism may discourage the search for or use of other readily available alternatives (Anderson, 1997). Incrementalism does not eliminate the need for theory in policy-making, are some of the more enthusiastic advocates contend

45. Institutional Theory Unless changes in policy are to be made simply at random or arbitrarily, some theory is needed to guide the action and to indicate the likely effect of proposed changes (Hayes, 1992:2). Non-withstanding reservations of these sorts, incrementalism has become a form of conventional wisdom. Statements to the effect that policy-making in Uganda is incremental are common.

46. Rational Choice Theory The rational-choice theory, which is sometimes called social-choice, public-choice, or formal theory, originated with economists and involves applying the principles of micro-economic theory to the analysis and explanation of political behaviour (or nonmarket decision-making). It has now gained quite a few adherents among political scientists (Anderson, 1997). Perhaps, the earliest use of rational-choice theory to study the political process is Anthony Downs‟s Economic Theory of Democracy.

47. Rational Choice Theory Downs assumes that voters and political parties act as rational decision-makers who seek to maximise attainment of their preferences. Parties formulate whatever policies will win them most votes and voters, and seek to maximise the portion of their preferences that could be realised through government action. Political parties move toward the centre of the ideological spectrum to appeal to the greatest number of voters and maximise their voting support. Thus, rather than providing „meaningful alternatives‟, parties will become as much alike as possible, thereby providing an „echo rather than a choice‟ (Downs, 1957).

48. Rational Choice Theory This approach is based on economic principles such as the cost-benefit analysis. According to Henry: One tries to learn all the value preferences extant in a society, assign each value a relative weight, discover all the policy alternatives available, know all the consequences of each alternative, calculate how the selection of any one policy will affect the remaining alternatives in terms of opportunity costs, and ultimately select the policy alternative that is the most efficient in terms of costs and benefits of social values (Henry, 2004:314).

49. Rational Choice Theory The rationalist model is conceptually quite simple. Policy-makers using it are expected to take the following steps: 1. Identify all the value preferences currently existing in a society. 2. Assign each value a relative weight, 3. Discover all the alternative policies available to accomplish these values, 4. Know all the costs and consequences of each alternative policy, 5. Select the best alternative which is also the most efficient in terms of the costs and benefits of social values

50. Criticism of the Rational Choice Theory The rationalist model deals with construction of public policies that ensure better public policies. It thus aims at improving public policy-making process. It is the opposite of incrementalism. How much of each value is equal to how much of each other value (Lindblom, 1980). For the above steps to be taken, the rational-choice theory according to Ikelegbe (1996) assumes the following:

51. Criticism of the Rational Choice Theory That perfect information can be obtained: to objectively assess policy alternatives; that there is commonality of values and preferences particularly in the setting of goals and objectives, that the rational actor thinks of the greatest good of the greatest number as a guide to decision-making,

52. Criticism of the Rational Choice Theory that objectives and alternatives can be quantified and compared on a single monetary measure; that the conditions and parameters for the decision are static within the decision-making period. There is no doubt that these assumptions are simply not realisable in the real world situations, hence making the implementation of the model clearly impossible.

53. Criticism of the Rational Choice Theory The rationalist model is appealing in its simplicity. But, there are problems that lie with its implementation . It lacks explicit concern for the political environment in which public policy must be carried out. According to Braybrooke and Lindblom (1964), the rational policy-making process, ideally, is based on knowledge of all of society’s value preferences, and their relative weight, all of the alternatives, all of the potential consequences (costs and benefits) of each policy alternative.

54. Criticism of the Rational Choice Theory The final selection must be that alternative that maximises the weighted value preference. The obvious limitation of this approach is its demand for knowledge (facts and information) not within the reach of mere mortals. The prospects of the successful application of this model in developing countries like Uganda is very dim indeed given the paucity/scarcity of data (in coverage and quality) needed for policy-making

55. Criticism of the Rational Choice Theory Some scholars have argued that the average developing country has neither the technology, the resources nor the time to effectively employ this model in policy-making ( Braybrooke and Lindblom, 1964). This model has a bias toward efficiency to the exclusion of other values such as equity and responsiveness. Rationalist model has its limitations but, it can be useful to policy-makers and administrators as a tool of policy output analysis. Rational-choice studies of political behaviour are usually characterised by rigid and narrow assumptions, mathematical equations, abstractions, and remoteness from reality .

56. PLURALIST THEORY Pluralism, in political science, is the view that in liberal democracies power is (or should be) dispersed among a variety of economic and ideological pressure groups and is not (or should not be) held by a single elite or group of elites. (Robert A Dahl) Political science is the scientific study of politics. It is a social science dealing with systems of governance and power, and the analysis of political activities, political thought, political behavior, and associated constitutions and laws. ( Lexico , 2020)

57. PLURALIST THEORY Pluralism assumes that diversity is beneficial to society and that autonomy should be enjoyed by disparate/different functional or cultural groups within a society, including religious groups, trade unions, professional organizations, and ethnic minorities. Pluralism is a political philosophy that holds that people of different beliefs, backgrounds, and lifestyles can coexist in the same society and participate equally in the political process. Pluralism assumes that its practice will lead decision-makers to negotiate solutions that contribute to the “common good” of the entire society.

58. Mixed Scanning model Mixed scanning is a hierarchical mode of decision-making that combines higher-order, fundamental decision-making with lower-order, incremental decisions that work out and/or prepare for the higher-order ones.

59. Mixed Scanning model The term “scanning” is used to refer to search, collection, processing, and evaluation of information as well as to the drawing of conclusions, All elements in the service of decision-making. Mixed scanning also contains rules for allocation of resources among the levels of decision-making and for evaluation, leading to changes in the proportion of higher versus lower levels of scanning based on changes in the situation (Etzioni, (1967 )

60. CRITICISM OF THE MIXED SCANNING MODEL The Mixed Model has received some criticism from scholars who find it to be less scientifically proven, and more akin to popular psychology.

61. Course work Question You are the district education officer and you have been nominated by the Permanent Secretary in the ministry of education to be part of the team developing a policy to address the problem of children in schools in Uganda who have learning difficulties. (a) Discuss the theory that would choose justifying with reasons your choice (b) Discuss the steps you go through in developing the policy of your choice

62. PRINCIPLES OF PUBLIC POLICY MAKING In order to choose a good policy, it is important to have at the back of your mind the following factors; the goodness of different economic states of affairs and the government as the determinant. the role of the state, and the personal freedoms which limit its authority. The individual rights which arise from the desire of people to live together in a viable society. The state which has the duty of protecting persons and their property, and ensuring the rule of law.

63. PRINCIPLES OF PUBLIC POLICY MAKING The issue at hand is whether the state ought to take away property from some one to improve the welfare of others. It is concluded that such an infringement of property rights is unjust, but that nevertheless there may be an overriding welfare argument for redistribution.

64. PRINCIPLES OF PUBLIC POLICY MAKING Utilitarian theory (an ethical theory that evaluates actions by their consequences for happiness or pleasure) and the question of whose utility the state should try to maximize this involves discussion of the value of life There are some overriding constraints—things which no government or person may do to people whatever the consequences; equality is a guiding principle for government intervention.

65. PRINCIPLES OF PUBLIC POLICY MAKING Justice is about protecting persons and property, enforcing contracts, and supporting important social conventions. Those in authority, both persons and government, have duties towards those over whom they have authority. The exercise of these duties often involves some distribution of benefits or burdens. There is then a distributor and something to distribute: and this is a requirement of the concept of distributive justice.

66. Principle One Build and compile rigorous evidence about what works, including g costs and benefits. The available body of facts and other information indicating whether a belief or proposition is true or valid, in this case regarding the impacts of programs. The evidence produced by rigorous evaluations, such as randomized controlled trials and well-designed quasi-experimental studies, that measure program impact Impact is the net effect of a program relative to the status quo

67. Principle One To conduct research and evaluations to identify social programs and policies that produce desirable outcomes (e.g., educational skills attainment) by employing a range of rigorous methodologies. There is need to assemble evaluations in what works to clearly describe programs, and the methodology by which they were evaluated, and their effects. To analyze how much a program or policy costs per outcome achieved (cost analysis) and, in some cases, also measure the monetary value of benefits produced by the program so that costs and benefits can be directly compared (cost-benefit analysis).

68. Principle One Several other elements are critical to the evidence-building process. One is independence : evaluators must be impartial to ensure the validity and rigor of new evidence. Agency leaders can help evaluation staff identify the most relevant questions to examine, but the evaluation itself and the publication of results must be free of influence from program or political leadership that might have a vested interest in a particular outcome.

69. Principle One Another tool is cost-benefit analysis, which measures both the costs and benefits of programs to calculate a return on investment. Cost-benefit analysis can help policymakers compare the relative benefits of spending on programs with the same general goals (e.g., boosting school readiness) or programs with different goals (e.g., boosting school readiness versus reducing delinquency).

70. Principle.2 Monitor program delivery and use impact evaluation to measure program effectiveness . To clearly define the key components of a program model and track the inputs, activities, outputs, and outcomes of program service delivery through process evaluation and performance management To check whether services are delivered as intended, in terms of quantity and quality, and whether programs are meeting their goals

71. Principle.2 The systematic collection of information about a program to identify (or estimate) the specific contribution of that program to intended Outcomes. That specific contribution, in the language of evaluators, is known as a program’s impact There are two key elements to this principle: monitoring a program as it is delivered and evaluating the success of the program. Both steps are important for building knowledge about what works and acting on that knowledge (as discussed in principle three).

72. Principle.2 Monitoring program delivery ensures basic accountability by making sure that programs operate as intended. Monitoring programs is also critical for identifying problems or opportunities for improvement in program delivery so that programs can continually improve. In cases where programs

73. Principle.2 are replicating established models—such as a job training program in Moroto that aims to use the same approach as one in Arua . Monitoring can help ensure fidelity to the model by tracking how well the new program is implementing the core characteristics or intentions of the original Impact evaluation, on the other hand, it aims to answer a specific question: how are things different because of this program relative to the status quo that would have existed without it? Rigorous impact

74. Principle Three Use rigorous evidence to improve programs, scale what works, and redirect funds away from consistently ineffective programs. To adapt a program so that it produces better results, particularly around participant outcomes To take a program that has worked for one population and implement it in a larger population, a different population, or a population in a different context To defund a program that has failed to achieve desirable outcomes in favor of a program that is more effective or is likely to be more effective

75. Principle Three Program evaluation is too often thought of as a “thumbs up or thumbs down” determination—does this program work or not? In reality, evaluation can also be an important tool for program improvement. Impact evaluation can test different approaches within the same program, such as when the National Evaluation of Welfare-to-Work Strategies compared the effects of two available strategies for

76. Principle Three preparing welfare recipients for employment. Findings from program evaluations can and should be used to refine program strategy and improve results. Scaling programs is another way to apply impact evaluations and is an important way to broaden the reach of approaches backed by strong evidence. A program proven effective in one region, for

77. Principle Four Encourage innovation and test new approaches. Building on theory and existing research to develop new ways to address specific program or policy challenges. To determine with rigorous evaluation whether new approaches actually work and achieve desired outcomes. Although a key goal of evidence-based policymaking is to focus resources on approaches backed by strong evidence, only using approaches backed by strong evidence prevents us from finding new and innovative ways to address the nation’s challenges

78. WHY IS THIS PRINCIPLE IMPORTANT? Encouraging innovation should always be an important part of evidence-based policymaking. This is especially true in policy areas where the evidence base is thin and there is limited research to guide funding and programmatic decisions. Testing innovative approaches in these areas is an essential way to advance evidence-based policy.

79. WHY IS THIS PRINCIPLE IMPORTANT? For grant programs, a tiered-evidence design can be a useful strategy to spur innovation. Tier edevidence grant programs include a dedicated funding tier for innovative and relatively untested approaches, often called the development or proof of concept tier. Funding in this tier supports both

80. PRINCIPLES OF PUBLIC POLICY PRINCIPLE 5 Strategy The government ensures a strategic vision and leadership for an agile, innovative and continuously improving public administration responsive to new challenges. A comprehensive, credible and sustainable public administration reform agenda is established and successfully implemented, fostering innovation and continuous improvement.

81. PRINCIPLES OF PUBLIC POLICY PRINCIPLE 5 Public administration reform (PAR) is acknowledged as a political priority and is reflected in the relevant political agendas. A comprehensive PAR agenda, established through dedicated planning documents, covers all reform areas and fosters continuous improvement, agility and responsiveness of the public administration to evolving national and global priorities and challenges.

82. PRINCIPLES OF PUBLIC POLICY PRINCIPLE 5 PAR is coordinated at political and administrative levels; sufficient resources are allocated and the planned reforms are effectively implemented and monitored. All relevant stakeholders are regularly consulted and involved in PAR planning and monitoring; PAR is effectively communicated and values of good public administration are promoted. Public administration bodies encourage and share innovative solutions and approaches across the whole public administration.

83. PRINCIPLE 6 Public policies are coherent and effectively coordinated by the centre of government; decisions are prepared and communicated in a clear and transparent manner. The center of government enables and facilitates policy co-ordination across ministries and relevant institutions to ensure overall policy coherence and better and more sustainable policy outcomes. CoG institutions and their internal units co-ordinate and collaborate actively to ensure good policy outcomes.

84. PRINCIPLE 6 Government decisions are prepared, approved and followed up in a transparent, effective and timely manner, based on clear rules and procedures, through the relevant decision-making structures, including government sessions. Central co-ordination of government communication, both internal and external, helps advance the national policy agenda and counters both mis-information and dis-information.

85. PRINCIPLE 6 Effective and agile procedures and mechanisms ensure continuous government decision-making in crisis situations and management of external risks; the government uses strategic foresight to anticipate and prepare for future scenarios.

86. PRINCIPLE 7 The government plans and monitors public policies in an effective and inclusive manner, in line with the government fiscal space. inclusive manner, in line with the government fiscal space. A harmonized and coherent policy planning, monitoring and reporting system, with clear procedures and key institutional responsibilities, is established. Political priorities and agenda, as articulated in the government programme or other similar political statements, are effectively planned and implemented through relevant policy planning documents.

87. PRINCIPLE 7 Policy and financial planning documents are coherent and aligned with each other in terms of policy priorities, objectives and activities. Policy planning documents meet quality requirements and contain adequate analysis and information, including on policy objectives, indicators with targets and monitoring framework. They are developed in a participatory manner and are publicly available.

88. PRINCIPLE 7 Policy planning documents include financial cost estimates that are aligned with the medium-term and annual budgets, and financial resources are available to ensure smooth and full implementation. Performance and results, including achievement of policy objectives and outcome indicators, are regularly monitored and reported on; monitoring reports are published on time to enable public scrutiny. Guidance, quality assurance and methodological support are provided to institutions during the planning, monitoring and reporting of policy planning documents

89. PRINCIPLE 8 Public policies are developed based on evidence and analysis, following clear and consistent rules for law making; laws and regulations are easily accessible. Government policy promotes better regulation, evidence-based and inclusive policymaking is established and applied in practice during policy development and legislative drafting. Ministries have clear internal rules and procedures for planning and managing effectively the development of policies and legislative drafting.

90. PRINCIPLE 8 Regulatory impact assessment (RIA), or other similar tool(s), is adopted and systematically used to support policy development, facilitate consultation and inform decision-making at all key stages of policymaking, covering both primary and secondary legislation, including the impact on the environment and climate where necessary.

91. PRINCIPLE 8 Alternative non-regulatory options, possibilities for regulatory simplifications and effective monitoring and enforcement mechanisms are systematically considered and analysed during policy development. All possible impacts of policy proposals are systematically analysed ; reasonable efforts are made to quantify and monetise key impacts, including additional costs on the state budget, businesses and citizens.

92. PRINCIPLE 8 The selection of specific analytical approaches and the level of analysis of policy options are proportionate to the complexity of the issue under consideration and the scale of anticipated impacts. The (RIA Regulatory impact assessment) oversight, quality control, support and guidance functions ensure full and consistent implementation of existing rules and methodologies, enhance the quality of policy analysis, strengthen capacities and enable continuous improvement of the system. Laws and regulations are clear, coherent and consistent in content, structure, style and language. i . All primary and secondary legislation, including consolidated versions, is easily accessible and available free of charge through a central online database(s). Administrative guidance documents,

93. PRINCIPLE 9 All key external and internal stakeholders and the general public are actively consulted during policy development. Procedures are in place and consistently applied and monitored to enable pro-active and effective public consultations with stakeholders and the general public, allowing businesses, non-governmental organisations and citizens, including from vulnerable groups to participate in and inform government policymaking.

94. PRINCIPLE 9 Consultation with the general public is conducted in an accessible and transparent manner. Ministries hold constructive dialogue with key external stakeholders and collect, analyze and use all responses when finalizing the policy proposal. They transparently report on the outcome of the public consultation process and how consultees’ views have shaped and influenced policy.

95. PRINCIPLE 10 Public policies are effectively implemented and evaluated, enhancing policy outcomes and reducing regulatory costs and burdens. Preparatory activities necessary for effective implementation of laws and policies, such as adoption of secondary legislation and harmonisation with other legislation, preparation of guidance, communication and capacity building, are done prior to the policies taking full effect.

96. PRINCIPLE 10 Businesses and citizens receive advance notification about upcoming changes in the rules and regulations that will affect them, and sufficient time is allowed for the affected groups to adjust to and align with the new regulatory framework. The responsible institutions effectively monitor policy implementation and ensure regulatory compliance, based on robust and relevant data, including evidence gathering through direct feedback and consultations with affected stakeholders.

97. PRINCIPLE 10 . Inspections are conducted based on risk analysis and considering the proportionality principle. They are planned and conducted in a co-ordinated and transparent manner to minimise burdens, increase compliance and ensure effective use of public resources Compliance with existing regulations is promoted through provision of information, guidance, checklists and other tools. Enforcement actions take into account the profile and behaviour of specific regulated entities.

98. PRINCIPLE 10 The government engages in international and regional regulatory co-operation to improve regulatory quality and coherence, increase compliance and achieve better and more sustainable policy outcomes.

99. PRINCIPLE 11 The parliament effectively scrutinises the government policymaking and ensures overall policy and legislative coherence. The parliament effectively scrutinises and oversees government policymaking. The parliament ensures that the legislation enacted is clear, concise and intelligible. Parliamentary committees debate and scrutinise legislative initiatives, with active participation of government ministers and senior public servants, and ensure consultation with key stakeholders, while also minimising any risks of undue external influence.

100. PRINCIPLE 11 The government co-ordinates its legislative work plan closely with the parliament and regularly shares information about new legislative initiatives. The parliament ensures effective planning and timely consideration of all legislative proposals The government shares with the parliament all policy documents and supporting materials, such as regulatory impact assessments and reports on the outcome of public consultation. Supporting materials are revised, if necessary, to reflect any major amendments agreed during parliamentary debates.

101. PRINCIPLE 11 Extraordinary and/or shortened procedures for adopting laws are not used excessively, to allow adequate time for preparation and scrutiny. If such procedures are used, an ex post review of these laws is carried out at the earliest possible time to assess the relevance and effectiveness of the regulatory rules and procedures

102. PRINCIPLE 11 The government reviews and provides comments on all new legislative proposals initiated by the members of parliament to highlight possible policy incoherence and implementation risks, such as creation of unfunded mandates. The parliamentary services provide expert advice and support to members of parliament for initiating and drafting new laws based on evidence and with input from key stakeholders. i . The parliament regularly reviews implementation of major laws and public policies to assess their effectiveness and hold the government accountable.

103. PRINCIPLE 12 The employment framework balances stability and flexibility, ensures accountability of public servants and protects them against undue influence and wrongful dismissal The government has a clear policy on public service, and the political-level responsibility for the area is established. Legislation on the public service provides for clear and adequate material, horizontal and vertical scopes Public servants have the obligation to act professionally and neutrally and the right to reject unlawful instructions, and they have protection against undue political and other interference in their professional judgement.

104. PRINCIPLE 13 Effective leadership is fostered through competence, stability, professional autonomy and responsiveness of accountable top managers. 1. Ability to Influence Others; influence is “the ability to produce effects on other people’s behavior.” Influencing others requires building a strong sense of trust with your colleagues. 2. Transparency—to an Extent: Part of building trust is being transparent. The more open you are about the organization’s goals and challenges, the easier it is for employees to understand their role and how they can individually contribute to the company’s overall success.

105. PRINCIPLE 13 3. Encourage Risk-Taking and Innovation; Experimentation is critical to establishing and maintaining your institution’s competitive advantage. Great leaders recognize this and encourage risk-taking and innovation within their organization. 4. Integrity and Accountability One of the most important aspects of leadership is demonstrating integrity. The ability to balance power and accountability can set successful leaders apart from ineffective ones.

106. PRINCIPLE 13 5. Act Decisively; In today’s fast-changing, complex business environment, effective leaders need to make strategic decisions quickly—even before any definitive information is available. 6. Demonstrate Resilience; Every decision you make won’t result in success. There will be times when you’re met with failure; it’s your job as a leader to exercise resiliency.

107. References Abdulsami , I. (1987). The Concept and Process of Public Policy. A paper presented at the national workshop for chief nursing officers, in Zaria, Wednesday 3 rd June, 1987. [2] Anderson, J.E.(1997). Public Policy-Making: An Introduction 3 rd ed. Boston: Houghton Miffilin Company. [3] Braybrooke , D. &Lindblom, E. (1964).A Strategy of Decisions. Free Press of Glencoe, New York. [4] Dlakwa , H.D. (2014). Concepts and Models in Public Policy Formulation and Analysis. Kaduna: PylamakServicies Ltd Nigeria.

108. References [5] Downs, A. (1957). An Economic Theory of Democracy. New York: Harper and Row. [6] Dye, T.R & Zeigler, L.H. (1990).The Irony of Democracy. 8 thedition . Monterey, Califf : Books/Cole [7] Hayes, M.T. (1992). Incrementalism and Public Policy. New York: Longman. [8] Henry, N. (2004). Public Administration and Public Affairs. 9 thed . New Delhi: Prentice Hall. [9] [9] Latham,E . (1965). The Group Basis of Politics, New York: Octagon Books [10] Mitchell, W.C. (1982). Textbook Public Choice: A Review Essay. Public Choice, XXVIII. [11] Mosca , G. (1939). The Ruling Class, (Translated by Hannah D. Kahn), New York: McGrow-Hill Book Company.

109. References [12] Obi, E.A, Nwachukwu, C.L. and Obiora , A.C. (2008).Public Policy Analysis and Decision Making. Onitsha: Bookpoint Educational Ltd. [13] Simon, H.A. (1957). Administrative Behaviour : A Study of Decision-Making Processes in Administrative Organisation . 2 nded . New York: The Macmillian Company. [14] Weischler , L.F. (1982). Methodological Individualism in Politics. Public Administration Review, XL III, May/June.

110. GROUP DISCUSSION QUESTION The Uganda Students’ Higher Education Financing Policy; Discuss the theory and principles that guided the development of this policy. Highlight the challenges experienced if any and show how they can be overcome.