Practical Steps in Undertaking Policy Analysis in Uganda .pdf

Practical Steps in Undertaking
Policy Analysis in Uganda
By
Dr. Abubakar Muhammad Moki
05 and 06 March 2024
1

Content
 What public policy analysis is
 Theory
 Required skills
 Best practices
 Options
 Principles
 Tools
 Logical steps
 Participatory analysis
 Class exercise
2

What public policy analysis is
 Separation or breaking of a whole
 A detailed examination
 Assessment
 Determination
of essential features, fundamental elements,
components or part
3

Why public policy analysis
Generation or production of evidence to inform:
 Making public policy decisions
 Deciding among alternatives
 Activity, project, and programme planning
 Better public policy implementation
 Scaling up public policy implementation
 Reintroduction of public policy implementation
 Termination of public policy implementation
 Understand nature or essential features
 Satisfying a given problem or issue
4

Required skills for public policy analysis
 Problem solving
 Research, innovation and development
 Data analysis
 Critical analytical and strategic thinking
 Creativity
 Persuasive communication
 Strategic decision making
 Organisational and time management
 Collaboration
 Reading
 Writing 5

Theory of public policy analysis
 Establish and know the problem to be addressed,
through a structured and systematic process
 Identify the available solutions, options, choices,
alternatives, informed by evidence and are logical
 Determine the evaluation criteria for comparing
the available solutions, options, choices, alternatives
to minimize bias in their comparison
 Evaluate and compare the available solutions,
options, choices, alternatives using the
predetermined evaluation criteria in an objective
manner
6

Theory cont…
 Determine the best and or sequence of the
available solutions, options, choices, alternatives in
addressing the identified and known problem from
the evaluation and comparison
 Hence help government make the right choices in
serving the citizens
7

Elements of social inclusion
Best practice
 be focused to best serve the public/citizen interests
 be holistic/inclusive
 be informed by evidence
 be logical
 be forward looking
 have an issue(s) or need(s) or problem(s) it is
addressing
 be carefully analysed against other options to
ensure it is the best selected solution
 be widely consulted to ensure inclusiveness
8

Best practice cont..
 be clear, simple and practical so that everyone can
understand and comply
 be easily communicated or disseminated for easy
access and compliance
 produce benefits that outweigh costs
 be properly and fairly enforceable within the
available resources and context
 be able to be monitored and evaluated to ensure its
intended benefits
9

Options
Options, choices or alternatives for controlling in
public interest may include:
 Do-nothing
 Maintaining Status Quo
 Enhancing Awareness Creation
 Enhancing Coordination
 Enhancing Implementation of Existing Policies
 Enhancing Enforcement of Existing Laws
 Innovation
 Mainstreaming in Implementation of Existing Policies
10

Options cont.
 Mainstreaming in Enforcement of Existing Laws
 Revising Existing Policies
 Amending Existing Laws
 Enhancing Monitoring and Evaluation of
Implementation of Existing Policies
 Enhancing Monitoring and Evaluation of
Enforcement of Existing Laws
 Introducing a New Policy
 Introducing a New law
11

Principles
The principles include:
 Accountability-being responsible
 Proportionality-sizeable
 Consistency-reliable and dependable
 Transparency-open and fair to all
 Targeted-focused on a problem or need
 Risk based-targeted to the greatest risk to public
health, environment resources
 Collaborative-work with others
 Responsive-act in a timely manner
12

Tools
Tools used include:
 Problem tree
 Solution tree
 5 Whys root cause
13

Logical steps
 Definition of the topic/subject/area of focus.
(Includes scope)
 Identification of the main issue of concern in
the topic/subject/area of focus
 Establishment of the causes (main causes and
sub causes) of the main issue of concern
 Determination of the effects/negative
consequences of the main issue
 Formulation of the Problem Statement (Using
the Subject, main issue, causes and effects)
14

Steps cont..
 Establishment of the goal/purpose from the
main issue
 Establishment of the intended outcomes from
the effects
 Formulation of the Purpose and outcome
statement (using the purpose and outcomes)
 Determination of the strategic objectives and
actions from the main causes and sub causes
respectively
 Determination of the possible options using the
strategic objectives and actions and
prequalifying for options analysis
15

Steps cont..
 Options analysis (Triangulation using 6
parameters)
 Benefits
 Cost
 Positive impact and its distribution
 Negative impact and its distribution
 Ease of implementation and enforcement
 Ease of monitoring and evaluation
 Making a conclusion which summarizes the
option analysis to inform the best option/choice
16

Steps cont..
 Making a Regulatory Impact Assessment (RIA)
Report
 Making the selected option/choice document
17

Participatory analysis
 Involves stakeholders in the assessment
 Provides assessment that is credible
 Is useful with practical and constructive
recommendations
 Leads to enhancing public policies
 Provides accountability to stakeholders
18

Participatory analysis -methodology
 Presentations
 Brain storming
 Questions and answers
 Group discussions and plenary sessions
 Case studies
 Consultations
 Review of documents
19

Participatory analysis-justification
The reasons for participatory review or
analysis includes:
 Ensures ownership of results
 Result-based orientation
 Cost-effectiveness
 Triangulation for quality assurance
20

Participatory analysis-scope
i. Has three dimensions (Effects, Implementation
and Cross cutting)
 Effects has five aspects
 Implementation has four aspects
 Cross cutting has two aspects
 Each of the aspects has a number of model
questions
ii. Can be done at three levels;
 Before approval of a public policy.
 During implementation of a public policy.
 Post-implementation of public policy.
21

Dimensions and aspects
22
Effects
• Impact
• Effectiveness
• Relevance
• Unintended changes
• Equity
Implementation
• Processes
• Cost and efficiency
• Feasibility
• Acceptability
Cross cutting
• Sustainability
• Partnerships and
synergies

Impact
 What will happen as a result of
implementation?
 What is happening as a result of
implementation?
 What happened as a result of
implementation ?
23

Effectiveness
1. What changes will occur from
implementation (positive, neutral, negative)
on the targeted problem?
2. What are the changes occurring from
implementation (positive, neutral, negative)
3. What changes occurred from
implementation(positive, neutral, negative)
24

Relevance
1. Will the identified activities be able to
address the problems?
2. Are the activities properly addressing the
problems?
3. Did the activities address the problems?
25

Unintended changes
1. What unintended changes may occur?
2. What unintended changes are occurring?
3. What unintended changes occurred?
26

Equity
1. Will the policy create, reinforce or correct
social inequalities?
2. Is the policy creating, reinforcing or
correcting social inequalities?
3. Did the policy, reinforce or correct social
inequalities?
27

Implementation -processes
1. What activities will be carried out during
implementation of the policy?
2. What are the activities being carried out
during implementation of the policy?
3. What activities were carried out during
implementation of the policy?
28

Cost and efficiency
1. What will be the financial costs and benefits
of the implementation?
2. What are the financial costs and benefits of
the implementation?
3. What were the financial cost and benefits of
the Implementation?
29

Feasibility
1. Will the required resources be available?
2. Are the required resources available?
3. Were the required resources available?
30

Acceptability
1. Will the targeted problem be considered a
social issue for intervention?
2. Is the targeted problem being considered a
3. Was the targeted problem considered a
31

Cross cutting
1. Sustainability
2. Partnerships and synergies
3. Inclusiveness
32

Sustainability
1. Will there be capacity to sustain the
expected results over time?
2. Is there capacity to sustain the results over
time?
3. Was there capacity to sustain the results
over time?
33

Partnership and synergies
1. How will the implementation of UNALP
advance collaboration with various
stakeholders?
2. Is implementation of UNALP advancing
collaboration with various stakeholders?
3. How did the implementation of UNALP
advance collaboration with various
stakeholders?
34

Inclusiveness
1. Gender considerations
2. Climate change
35

Opportunities in public policy analysis
i. Public policy research, innovation and
development
ii. Public policy advisory services
iii. Public policy implementation
iv. Public policy monitoring, evaluation,
accountability and learning
v. Institutionalizing best practice and public policy
analysis in public policy management in public
and private sectors
vi. Supporting public policy development
processes and building capacity of public policy
actors at all levels 36

Class assignment
 In groups, identify a subject of your choice
and practice the logical steps of public policy
analysis
 Explain the theory of public policy analysis
and how it application with examples
 Present challenges in public policy analysis
with practical suggestions to the challenges
 Discuss the levels of public policy analysis
with justification or each level
 Describe participatory analysis, and its
justification
37

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