enhancing service delivery: translating policy into ... · policy evaluation4. policy evaluation 5....

ENHANCING SERVICE ENHANCING SERVICE DELIVERY: TRANSLATING DELIVERY: TRANSLATING

POLICY INTO POLICY INTO IMPLEMENTATIONIMPLEMENTATION

Prof. T. J MOKGOROProf. T. J MOKGOROPresentation at the 3Presentation at the 3rdrd Annual Service Delivery Learning Annual Service Delivery Learning

Academy, Academy, Feathermarket Centre, Port Elizabeth, Eastern Cape.Feathermarket Centre, Port Elizabeth, Eastern Cape.

28 28 –– 30 July 2004 30 July 2004

ContentsContents

1. Introduction1. Introduction2. Process of Policy Making and Development2. Process of Policy Making and Development2.1 Designing Policies2.1 Designing Policies2.2 Policy Implementation2.2 Policy Implementation3. Policy Maintenance3. Policy Maintenance4. Policy Evaluation4. Policy Evaluation5. Conclusion5. Conclusion

1. Introduction1. Introduction

•• Public policy is the translation of governmentPublic policy is the translation of government’’s s political priorities and principles into political priorities and principles into programmes and courses of action to deliver programmes and courses of action to deliver desired changes. (Modernising Government, desired changes. (Modernising Government, UK, 1999)UK, 1999)

4

Introduction Introduction (Continued)(Continued)

•• 1.1 What can be inferred from this definition?1.1 What can be inferred from this definition?•• Policy is limited to purposive or goalPolicy is limited to purposive or goal--orientated orientated

action rather than to random behaviour or chance action rather than to random behaviour or chance occurrences;occurrences;

•• Policies consist of courses of patterns of action Policies consist of courses of patterns of action taken over time by government rather than their taken over time by government rather than their separate discrete decisions;separate discrete decisions;

•• Policies are not only about decisions to adopt Policies are not only about decisions to adopt laws or make rules on some issues, but also laws or make rules on some issues, but also include issues that are intended to enforce or include issues that are intended to enforce or implement the laws or rules.implement the laws or rules.


•• Public policies result from policy demands on Public policies result from policy demands on some public issues made by citizens, interest some public issues made by citizens, interest groups, civil society, legislators, the executive and groups, civil society, legislators, the executive and other government officials.other government officials.

•• Policy involves what government actually does, Policy involves what government actually does, not just what they intend to do.not just what they intend to do.


•• 1.2 What happens when policies are not well 1.2 What happens when policies are not well designed and implemented?designed and implemented?

•• SocietySociety’’s expectations are not met;s expectations are not met;•• Poor quality public servicesPoor quality public services•• Adverse social and environmental consequencesAdverse social and environmental consequences•• Little or no benefit deliveredLittle or no benefit delivered•• Some sections of society are excluded from Some sections of society are excluded from

benefits.benefits.

2. Process of Policy Making and 2. Process of Policy Making and DeliveryDelivery

•• Three main stages are: policy design, policy Three main stages are: policy design, policy implementation and policy maintenance.implementation and policy maintenance.

•• 2.1 Designing Policies2.1 Designing Policies•• Identification, design and development of policies Identification, design and development of policies

usually involve risk and uncertainty;usually involve risk and uncertainty;•• BEE may exacerbate socioBEE may exacerbate socio--economic inequalities economic inequalities

among among HDIsHDIs

Process of Policy Making and Process of Policy Making and Delivery Delivery (Continued)(Continued)

•• Factors associated with risk includeFactors associated with risk include•• Difficulty in estimating the longDifficulty in estimating the long--term cost of a term cost of a

policypolicy•• Unintended negative consequencesUnintended negative consequences•• A planned policy working against an existing oneA planned policy working against an existing one•• Unexpected occurrence requiring a rethink of the Unexpected occurrence requiring a rethink of the

intended policy.intended policy.


•• Minimization or elimination of risk can be Minimization or elimination of risk can be achieved through:achieved through:

•• Identifying need for a policyIdentifying need for a policy•• Understanding the nature of the problemUnderstanding the nature of the problem•• Assessing how policies are likely to work in Assessing how policies are likely to work in

practicepractice•• Identifying and assessing risk to performance and Identifying and assessing risk to performance and

delivery delivery •• Appropriate training for those involved in policy Appropriate training for those involved in policy

developmentdevelopment

2.1.1 Identifying the need for a policy2.1.1 Identifying the need for a policy

Need to Improve services

through e-government

Legal judgement by the courts

on social security for non-citizens

Public concern over

child abuseFarm labourers

lobbying for agricultural

land

Expenditure patterns not

connected with departmental

priorities

Emerging enterprises

feel marginalised by BEE policy

MOT ideas on regulating RAF

Manifesto of the governing

party

The need for a policy

Identifying the need for a policy Identifying the need for a policy (Continued)(Continued)

•• Early identification of issues /challenges/ Early identification of issues /challenges/ problems reduces the risk and crisis problems reduces the risk and crisis management (EWM)management (EWM)

•• Reliable and comprehensive information Reliable and comprehensive information facilitates effective determination of a new facilitates effective determination of a new policypolicy

•• Consideration of circumstances / scenarios that Consideration of circumstances / scenarios that might arise in terms of which the policy may might arise in terms of which the policy may have to respond tohave to respond to


•• Scenarios illuminate the drivers of changeScenarios illuminate the drivers of change•• Understanding the drivers of change helps Understanding the drivers of change helps

decision makers and managers to be in controldecision makers and managers to be in control•• Scenarios sensitize the department to drivers of Scenarios sensitize the department to drivers of

change in the external environment, which change in the external environment, which might present risks or opportunitiesmight present risks or opportunities

•• Assess the interconnection between policy needsAssess the interconnection between policy needs•• Policies of a department might impact on Policies of a department might impact on

different groups in societydifferent groups in society


•• Policy development in one department may impact on Policy development in one department may impact on policies in other departmentspolicies in other departments

•• Departments should be able to respond quickly to Departments should be able to respond quickly to unexpected external events unexpected external events

•• Departments should have policies to deal with such Departments should have policies to deal with such eventualitieseventualities

•• Early warning indicators such Early warning indicators such DiepslootDiepsloot, land , land invasions, kidnappings, may call for examination of the invasions, kidnappings, may call for examination of the effectiveness or appropriateness of a policyeffectiveness or appropriateness of a policy

2.1.2 Understanding the nature of the 2.1.2 Understanding the nature of the problemproblem

•• Sound analysis is critical to understanding the Sound analysis is critical to understanding the nature of the problem or the issue requiring a nature of the problem or the issue requiring a policy responsepolicy response

•• The absence of sound analysis may result in a The absence of sound analysis may result in a solution based on misunderstanding of a solution based on misunderstanding of a problemproblem

•• Misunderstanding a problem may result in Misunderstanding a problem may result in misdirected effort and poor value for moneymisdirected effort and poor value for money

Understanding the nature of the Understanding the nature of the problem problem (continued)(continued)

•• Sound analysis requires reliable data and Sound analysis requires reliable data and personnel with research and analytical skillspersonnel with research and analytical skills

•• Analytical capacity defines issues, determines Analytical capacity defines issues, determines criteria for choice, generates alternative policy criteria for choice, generates alternative policy options and appropriate political feasibilityoptions and appropriate political feasibility

•• Departments should identify key cause or Departments should identify key cause or contributory factorscontributory factors

•• Departments should utilize Departments should utilize ““institutional institutional knowledgeknowledge””

Understanding the nature of the Understanding the nature of the problem problem (continued)(continued)

•• Utilization of institutional knowledge helps Utilization of institutional knowledge helps departments to learn lessons from similar policy departments to learn lessons from similar policy problemsproblems

•• Targeted beneficiaries have different Targeted beneficiaries have different characteristicscharacteristics

•• It is important to understand these, e.g. some It is important to understand these, e.g. some groups in the taxi industry might be opposed to groups in the taxi industry might be opposed to recapitalization.recapitalization.

2.1.3 Assessing how policies are 2.1.3 Assessing how policies are likely to work in practicelikely to work in practice

•• This stage is critical because it :This stage is critical because it :•• Should identify practical constraints which need Should identify practical constraints which need

to be overcome if the policy is to be successfulto be overcome if the policy is to be successful•• Can help to develop more accurate estimates of Can help to develop more accurate estimates of

the likely costs and impact of the policythe likely costs and impact of the policy•• Can assist in minimizing the risk of social Can assist in minimizing the risk of social

exclusionexclusion•• Can help to determine whether the policy is likely Can help to determine whether the policy is likely

to be sustainable in the longer term.to be sustainable in the longer term.

Assessing how policies are likely to Assessing how policies are likely to work in practice work in practice (continued)(continued)

•• Departments could pilotDepartments could pilot--test a policy in part of a test a policy in part of a department, part of a province, before fulldepartment, part of a province, before full--scale scale implementationimplementation

•• Consultation with intended beneficiaries and Consultation with intended beneficiaries and other stakeholders helpsother stakeholders helps

•• Prepare analysis about the impact and costs of Prepare analysis about the impact and costs of different policy optionsdifferent policy options

2.1.4 Identifying and Assessing Risks 2.1.4 Identifying and Assessing Risks to Performance and Deliveryto Performance and Delivery

•• Risks that need to be considered in designing a Risks that need to be considered in designing a policy:policy:

•• The capacity of those required to implement the The capacity of those required to implement the policypolicy

•• The extent to which those intended to benefit are The extent to which those intended to benefit are likely to do solikely to do so

•• Costs of the policy are as estimated and represent Costs of the policy are as estimated and represent value for moneyvalue for money

•• The likelihood of unforeseen adverse The likelihood of unforeseen adverse consequences is minimizedconsequences is minimized

2.1.5 Appropriate Training for Those 2.1.5 Appropriate Training for Those Involved in Policy DevelopmentInvolved in Policy Development

•• Analytical thinkingAnalytical thinking•• Innovative thinkingInnovative thinking•• Political awarenessPolitical awareness•• Effective writingEffective writing•• Oral communicationOral communication•• Project management skillsProject management skills

2.2 Policy Implementation2.2 Policy Implementation

•• The department should carefully consider The department should carefully consider resources required , time period over which the resources required , time period over which the policy is to be developed and how the quality of policy is to be developed and how the quality of the desired outcome is to be achieved and the desired outcome is to be achieved and maintainedmaintained

•• Potential constraints such as staff capability, Potential constraints such as staff capability, budget and ICT should be identified and budget and ICT should be identified and resolved.resolved.

Policy Implementation Policy Implementation (continued)(continued)

•• Department should identify managers Department should identify managers responsible for managing risks associated with responsible for managing risks associated with policy policy

•• Costs and impact of policies need to be Costs and impact of policies need to be monitored, reviewed and evaluated.monitored, reviewed and evaluated.

2.2.1 Managing Risks and Opportunities 2.2.1 Managing Risks and Opportunities during Policy Implementationduring Policy Implementation

•• Planning the implementation of policy should be Planning the implementation of policy should be an integral part of policy designan integral part of policy design

•• Very often policy underVery often policy under--performance occurs performance occurs because implementation has not been well because implementation has not been well thought through and plannedthought through and planned

Managing Risks and Opportunities Managing Risks and Opportunities during Policy Implementation during Policy Implementation (continued)(continued)

•• Implementation problems usually include: Implementation problems usually include: •• Over ambitious timescales or resources not being Over ambitious timescales or resources not being

available when requiredavailable when required•• Those implementing the policy not having the appropriate Those implementing the policy not having the appropriate

skillsskills•• Poor project management resulting in significant and Poor project management resulting in significant and

uncoordinated design changes contributing to cost uncoordinated design changes contributing to cost increases and time delaysincreases and time delays

•• Insufficient contingency planning Insufficient contingency planning •• Roles and responsibilities not being clearly definedRoles and responsibilities not being clearly defined


•• Key Questions in assessing whether a Key Questions in assessing whether a department has sound approach to managing department has sound approach to managing risksrisks

•• Does the department support well thought Does the department support well thought through risk taking and innovation?through risk taking and innovation?

•• Does the department have a risk management Does the department have a risk management policy?policy?

•• Is risk management fully embedded in the Is risk management fully embedded in the departmentdepartment’’s management processes?s management processes?


•• Is the management of risk closely linked to the Is the management of risk closely linked to the achievement of the departmentachievement of the department’’s key objectives?s key objectives?

•• Are the risks associated with working with other Are the risks associated with working with other departments and organisations assessed and departments and organisations assessed and managed?managed?

2.2.2 Project Management2.2.2 Project Management

•• Combining policy skills with programme and Combining policy skills with programme and project management (PPM) techniques provides project management (PPM) techniques provides an effective mechanism that enhances delivery an effective mechanism that enhances delivery on the groundon the ground

•• PPM can help structure and manage the policy PPM can help structure and manage the policy processprocess

•• PPM helps to improve governmentPPM helps to improve government’’s ability to s ability to deliver efficient, effective and high quality deliver efficient, effective and high quality services.services.

Project Management Project Management (continued)(continued)

•• PPM offers a discipline to control resources and to PPM offers a discipline to control resources and to manage risk more effectivelymanage risk more effectively

•• PPM encourages formal recognition of responsibilities PPM encourages formal recognition of responsibilities and a focus on what a programme is to deliverand a focus on what a programme is to deliver

•• PPM implies making planning explicit, managing risks PPM implies making planning explicit, managing risks and recognising dependenciesand recognising dependencies

•• PPM facilitates the development of policy making PPM facilitates the development of policy making where implementation and delivery are considered from where implementation and delivery are considered from the startthe start

Project Management Project Management (continued)(continued)

•• PPM offers tools to manage the interdependencies of PPM offers tools to manage the interdependencies of policies across departmental boundariespolicies across departmental boundaries

•• PPM is about organisational and cultural change as well PPM is about organisational and cultural change as well as programme deliveryas programme delivery

•• PPM requires a clear articulation of the resources PPM requires a clear articulation of the resources required to deliver the planrequired to deliver the plan-- resources and outcomes resources and outcomes are linkedare linked

•• PPM helps to build team ethosPPM helps to build team ethos•• PPM planning enhances the delivery of a policy in an PPM planning enhances the delivery of a policy in an

uncertain environment.uncertain environment.

3. Policy Maintenance3. Policy Maintenance

•• Refers to a departmentRefers to a department’’s ability to adapt to changes ability to adapt to change•• Departments need ability to maintain service delivery in Departments need ability to maintain service delivery in

the event of change, or when something unexpected the event of change, or when something unexpected occurs which derails a policy occurs which derails a policy

•• Departments should be able to modify a policy in Departments should be able to modify a policy in response to changing circumstancesresponse to changing circumstances

•• Departments may need to terminate a policy if it is no Departments may need to terminate a policy if it is no longer cost effective, or if it is not delivering intended longer cost effective, or if it is not delivering intended outcomes.outcomes.

3.1 Maintaining Service delivery3.1 Maintaining Service delivery

•• Departments need to be aware of their capacity Departments need to be aware of their capacity constraints, and hence contingency plans in case there constraints, and hence contingency plans in case there is an increase in public demand in a particular policy is an increase in public demand in a particular policy areaarea

•• Departments should make a realistic assessment of Departments should make a realistic assessment of whether they have capacity to deal with potential whether they have capacity to deal with potential problemsproblems

•• When risks are identified, they should be assessed for When risks are identified, they should be assessed for probable impact, and assigned to the relevant managerprobable impact, and assigned to the relevant manager

Maintaining Service delivery Maintaining Service delivery (continued)(continued)

•• Identification of risks should be an onIdentification of risks should be an on--going going process / activityprocess / activity

•• When handling a major project, a department When handling a major project, a department should make provision for flexibility so that it should make provision for flexibility so that it can respond when things do not go according to can respond when things do not go according to plan.plan.

3.2 Modifying Policies3.2 Modifying Policies

•• Reasons which may require policy modification: Reasons which may require policy modification: •• The policy or an aspect of it may no longer be The policy or an aspect of it may no longer be

effective in its present formeffective in its present form•• The requirement of the public may have changed The requirement of the public may have changed

or be better understoodor be better understood•• There may be opportunities to deliver policies There may be opportunities to deliver policies

more costmore cost--effectivelyeffectively•• Change in one policy may require other policies Change in one policy may require other policies

to adapt.to adapt.

Modifying Policies Modifying Policies (continued)(continued)

•• What does a department require in order to What does a department require in order to know when an existing policy needs to be know when an existing policy needs to be modified?modified?

•• Comprehensive monitoring to assess the Comprehensive monitoring to assess the performance and effectiveness of policiesperformance and effectiveness of policies

•• Departments should have reliable and sensitive Departments should have reliable and sensitive data on current performance of a policydata on current performance of a policy

•• Departments need to know whether services are Departments need to know whether services are meeting public expectations and whether the cost meeting public expectations and whether the cost and quality of services are reasonable.and quality of services are reasonable.


•• Policy review should be conducted in order to Policy review should be conducted in order to assess the effectiveness and performance of assess the effectiveness and performance of existing policiesexisting policies

•• Reviews can be particularly useful when policies Reviews can be particularly useful when policies existed for a long time without change.existed for a long time without change.


•• Issues that can be addressed through policy Issues that can be addressed through policy reviews include:reviews include:

•• Value for money of a policyValue for money of a policy•• How policy is perceived by the publicHow policy is perceived by the public•• Whether there are any gaps in service provisionWhether there are any gaps in service provision•• How the policy might be adapted to improve its How the policy might be adapted to improve its

effectivenesseffectiveness•• Departments should continuosly seek to better Departments should continuosly seek to better

and innovate ways of delivering policies.and innovate ways of delivering policies.

4. Policy Evaluation4. Policy Evaluation

•• Provides information on the extent to which a Provides information on the extent to which a policy has met or is meeting its objectivespolicy has met or is meeting its objectives

•• Evaluation provides opportunities for Evaluation provides opportunities for departments to learn lessons in policy design departments to learn lessons in policy design and implementationand implementation

5. Conclusion5. Conclusion

•• What have we achieved so far?What have we achieved so far?•• Defined what public policy is Defined what public policy is –– a vehicle for a vehicle for

delivery of governmentdelivery of government’’s prioritiess priorities•• Considered some adverse results of poor policy Considered some adverse results of poor policy

design and implementationdesign and implementation•• Considered the process of policy making, Considered the process of policy making,

emphasizing critical success factors for deliveryemphasizing critical success factors for delivery

5.1 Where to from here?5.1 Where to from here?

•• Departments assess the effectiveness of their Departments assess the effectiveness of their policy making systems to ensure that intended policy making systems to ensure that intended outcomes are realisedoutcomes are realised

•• Departments should do a rigorous analysis of Departments should do a rigorous analysis of barriers to implementation, such as the barriers to implementation, such as the behaviour of implementers, beneficiaries etcbehaviour of implementers, beneficiaries etc

Where to from here? Where to from here? (continued)(continued)

•• When designing policies, departments should include: When designing policies, departments should include: •• Mechanisms to understand critical factorsMechanisms to understand critical factors•• Arrangements for monitoring performanceArrangements for monitoring performance•• Arrangements for identifying practical constraints, Arrangements for identifying practical constraints,

and how they can be overcomeand how they can be overcome•• Estimates of the likely costs and benefits of Estimates of the likely costs and benefits of

policiespolicies•• Arrangements to engage implementers earlyArrangements to engage implementers early•• Assessment of the capability of those responsible Assessment of the capability of those responsible

for implementing policiesfor implementing policies


•• Comprehensive implementation plans should set Comprehensive implementation plans should set out:out:

•• The timetable for delivery of the policyThe timetable for delivery of the policy•• Roles and responsibilities of those involved in Roles and responsibilities of those involved in

delivery and maintenancedelivery and maintenance•• Resources allocated including money, skills and Resources allocated including money, skills and

infrastructureinfrastructure•• How potential barriers are to be tackledHow potential barriers are to be tackled•• Contingency plansContingency plans


•• Performance reporting and monitoringPerformance reporting and monitoring•• The risks identified and the approach to The risks identified and the approach to

managing themmanaging them•• The application of project managementThe application of project management

Conclusion Conclusion (continued)(continued)

•• ““ If I had four hours to chop down a tree, I If I had four hours to chop down a tree, I would spend three of them sharpening my axewould spend three of them sharpening my axe””(Abraham Lincoln)(Abraham Lincoln)

•• We have many trees to chop down (service We have many trees to chop down (service delivery),delivery),

•• Let us spend quality time sharpening our policy Let us spend quality time sharpening our policy implementation axes, andimplementation axes, and

•• Achieve the goals of the Achieve the goals of the ““PeoplePeople’’s Contracts Contract””..

Contact DetailsContact Details

Prof. Tebogo Job MokgoroProf. Tebogo Job MokgoroJob Mokgoro ConsultingJob Mokgoro Consulting

Tel: (011) 468 4622Tel: (011) 468 4622Fax: (011) 468 4877Fax: (011) 468 4877Cell: 083 654 7706Cell: 083 654 7706

EE--mail: mail: [email protected]@mweb.co.za / / [email protected]@jobmokgoroconsulting.co.za

mailto:[email protected]

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