KABARAK UNIVERSITY

SCHOOL OF EDUCATION, HUMANITIES AND SOCIAL SCIENCES

COURSE CODE : EDMA 810

COURSE TITLE : EDUCATION POLICY FORMULATION, ANALYSIS AND IMPLEMENTATION

LECTURER : PROF. FREDERICK B.J.A NGALA

TASK : CLASS PRESENTATION

QUESTION : ARTICULATE TEN (10) TYPES AND APPROACHES TO POLICY FORMULATION

STUDENT : DAVID AYIEKO OCHIENG’

REG NO : GDECS/M/1447/05/24

DATE: 20TH JUNE 2024

Definition of terms

Articulate

Being in a position to express thoughts and feelings easily and clearly ( Cambridge Dictionary). In this

context, the question requires that we clearly and easily express ten types and approaches to policy

formulation.

Approaches

Approaches are ways of dealing with a situation or a problem ( Oxford Dictionary). Approaches are

routes or steps of developing and understanding a concept or an idea ( Ayieko D. 2024)

Policy

Policies are agreed upon, relatively permanent ways of responding to specific situations or issues ( Prof.

Frederick B.J.A Ngala 2024)

Formulation

To formulate is to devise or conceptualize an idea or theory to guide decision or drive an operation (

Ayieko D. 2024)

Policy Formulation

Policy formulation is the process by which governments and other organizations develop policies that

guide decision-making and action. Effective policy formulation is essential to addressing social and
economic challenges and achieving positive outcomes for individuals and society as a whole. ( Mark O.

2023).

Policy formulation involves the process of identifying and crafting a set of policy alternatives to address

a problem and narrow down the alternatives to arrive at a final policy decision.

Question Part A : Types of Policies

Policies can be categorized as follows; Distributive,Regulatory, Redistributive, Substantive,

Capitalization and Constituent policies. ( Elizabeth H. 2024).

Other types of policies are originated policies, appealed policies, imposed policies, implied and written

and unwritten policies.

1. Originated Policies

Originated policies are those policies which originate at the top management. They are administrative in

nature and flow from the higher level to the lower level. They provide general guidance for the

subordinates and managers.

To effectively guide the actions of the subordinates, the top management of the business formulates

policies for the important functional areas. Such policies are called originated policies. These policies

stem from the declared objectives of the organization ( Bowky Boraboom 2016).
An example of an originated policy is the TSC Integrity Policy of 2019, which requires all Teachers

service commission employees to perform their duties objectively, impartially, efficiently, in a

transparent and accountable manner, to maintain public confidence in the integrity of the office, observe

punctuality, adhere to professional ethics, rules and regulations and deliver the expected outcomes

effectively and efficiently (Nancy N. Macharia 2019).

2. Appealed Policies

An appealed policy stems when a subordinate refers an exceptional problem to his superior or line

manager and appeals for a policy.

There may be times when an employee disagrees with a decision made by his/her manager (or

supervisor) in the application or interpretation in an organization, which results in the employee

receiving a disciplinary action or in a decision affecting the individual’s employment status.This appeal

policy and procedure is designed to allow the manager an opportunity to reevaluate his/her decision and

to provide a way for the employee to appeal the decision through other levels of management ( Brandeis

University 2024).

An example is the Teachers service commission guidelines on the interdiction of teachers. The guideline

reads.

“After interdiction and submission of the required evidence the teacher shall be given a chance to defend

himself/herself in person before the Commission. A case shall be heard and determined in the absence of

the teacher if he/she fails to appear during the hearing.” (TSC 2019).

3. Imposed Policies

An imposed policy is a policy that is imposed by some external forces like governments, trade unions

and trade associations.

● The mandatory union memberships in either KUPPET or KNUT where teachers are expected to

be a member of either of the following teachers unions.

● The mandatory NHIF and National housing levy deductions imposed on the Kenyan employees

by the government of Kenya.

4. Implied Policies

Implied policies are policies that are not clearly stated. They are neither in writing nor verbal and they

are inferred from the behavior of the supervisors.

When policies are not stated, we tend to derive actions from the managers. The policies are not stated

hence we derive policies and actions from the managers.

For example in a school set up, teachers could have extended class hours of teaching because the

Principal is doing it.

5. Distributive Policies

These policies are associated with the public welfare, transfer of goods and services, public education,

health services, public safety, highways, and the like. In other words, distributive policies encompass all

public welfare and assistance programmes.

Example : The National Pre-Primary Education Policy Standard Guidelines 2018

6. Regulatory Policies

These policies are concerned with the regulation of business, trade, safety measures, public utilities and

others. Independent institutions or organizations do it on behalf of the government.

The Policy emphasizes the need for a coordinated effort by the education sector, development partners,

county governments, volunteers, and private agencies in the management of disasters to save lives,

protect school property, and ensure learners' access to education in a safe and secure environment (

Education Sector Disaster Management Policy2017).

7. Redistributive Policies

Social policies are subject to changes in either the initial stages of implementation or at the legislative or

decision-making stages. These are associated with the rearrangement of policies that are concerned with

bringing about specific changes in the economic and social status of the state or the institution.

Despite the ever-present controversy associated with redistributive policies they are frequently utilized

when policymakers perceive that economic growth is not evenly distributed. Minimum wage laws have

redistributive qualities and will continue to be debated at the state and federal government levels for

years to come. Supporters argue that increasing the minimum wage to $15 an hour will generate higher

levels of equality in the distribution of earnings, leading to a reduction in poverty. Those opposed to

minimum wage increases argue that such a law would actually increase poverty due to a reduction in

hours worked and fewer employment opportunities (Bourguignon, 2018).

8. Substantive Policies

Substantive policies focus on those sectors of the society or economy which are affected by various

public policies like educational policies, agricultural policies, urban policies, health policies, defence

policies and many more. These policies are not generally related to the particular segments of the

society.
 9. Capitalization Policies

Under the capitalisation policies, the Union government provides financial subsidies to the local and the

state governments.

There are two key types of capitalizations, one of which is applied in accounting and the other in

finance.In accounting, capitalization allows for an asset to be depreciated over its useful life appearing

on the balance sheet rather than the income statement. Assets are capitalized to record the expense over

time to match the period when benefit is received to when costs are recognized. Another aspect of

capitalization refers to the company's capital structure. Capitalization can refer to the book value cost of

capital, which is the sum of a company's long-term debt, stock, and retained earnings. The alternative to

the book value is the market value. ( Alicai Tuovila 2024).

10. Constituent Policies

Constituent policies deal with laws and create executive power entities. They also deal with fiscal

policies under certain circumstances.

Finally, constituent policies involve the creation and regulation of government agencies and can also

refer to policies that establish the way a government functions. Constituent policies are structural in that

they include the creation of government agencies, usually under the executive branch, that work to

enforce statutory laws created by Congress. Constituent policies are the government’s reaction to

external stimuli. For example, after the terrorist attacks on the U.S. on September 11, 2001, President

George W. Bush’s administration established the Department of Homeland Security to improve the

ability of federal and state government agencies to combat domestic threats.Constituent policies also
encompass law enforcement, fiscal policy development, and public sector bureaucratic regulation. These

policies can be procedural in nature; for example, the Substance Abuse and Mental Health

Administration’s mission is to reduce drug use and aid Americans struggling with mental illness. In this

case, the constituent policy was not the establishment of an agency but establishing the functions of that

agency. The definition of constituent policy has expanded from what Lowi (1964) once envisioned to

include citizen or interest group-initiated policies (Tolbert, 2002). Rather than constituent policies

initiated by Congress or executive branch agencies, Tolbert argues that citizen directed democracy

efforts have also created constituent policies.

11. Foreign Policies

Foreign policy, also known as external policy, is the set of strategies and actions a state employs in its

interactions with other states, unions, and international entities. It encompasses a wide range of

objectives, including defense and security, economic benefits, and humanitarian assistance. The

formulation of foreign policy is influenced by various factors such as domestic considerations, the

behavior of other states, and geopolitical strategies. Historically, the practice of foreign policy has

evolved from managing short-term crises to addressing long-term international relations, with

diplomatic corps playing a crucial role in its development ( Wikipedia , Free Encyclopedia).

The foreign policies are meant to create a diplomatic relationship and engagement between two

sovereign states, highlighting the nature, scope and level of engagements between the two or

more states in business, education, military, Sports and arts, security and human capital among

others ( Ayieko D. 2024).

An example of a foreign policy is the “ Kenya Foreign Policy of November 2014.

Immigration policy refers to the set of laws, regulations, and actions that a nation adopts to control the

entry, stay, and rights of foreign individuals within its borders ( Fiveable 2024).

Kenya has migration rules and procedures that regulates the entry and exit of citizens and foreigners into

the country ( Kenya) through the immigration policies that are put in place.

13. Cultural Policies

Cultural policies are policies that aim to improve the accessibility of arts and creative activities to

citizens and promote the artistic, musical, ethnic, sociolinguistic, literary and other expressions of all

people in a country.

14. Education Policies

Education policies are the principles and policy steps and decisions that direct and influence actions in

the field of education, it also involves the collection of laws and rules that govern the operation of

education systems in a country or in institutions and organizations like Non Governmental organizations

and Educational foundations ( Ayieko D. 2024).

Kenya has developed a number of policies that have been used to guide decisions and actions in the

education sector since independence. Some key examples of Educational policies in Kenya include;

● Competency Based Education and Training Policy Framework 2018

Disabilities 2018

● Education for Sustainable Development Policy for the Education Sector 2017

● National Pre- primary Education Policy Standard Guidelines 2018

Question Part B: Approaches/Models to Policy Formulation

Various approaches have been developed by policy scientists in order to simplify the policy formulation

process. Approaches are thus helpful to clarify our thoughts about policy formulation and to develop the

relevant knowledge of policies. Some of the approaches of policy formulation include the following:

Rational, Incremental, Group Theory, Institutional, Game Theory and Systems models.

1. Rational Approach

The Rational Model of Policy Making is also called the Decision Making Model. Under this model, the

rationality principle emphasizes that policy formulation is making a choice among policy alternatives on

rational grounds. Rational policy making is “to choose the one best option”. This model argues that in

order to formulate effective policies, policy makers should be rational and the model suggests five steps
to be followed in policy making (Dror Y. 1986). A policy is said to be rational only when these steps

are followed while formulating the policies. The steps prescribed by Dror include:

● Identification of society’s value preferences and their relative weights;

● Finding of policy alternatives that are available;

● Evaluation of the consequences of each policy alternative;

● Calculation of the ratio of benefits to costs for each policy alternative; and

● Selection of the most efficient policy alternative.

2. Incremental Approach

The Incremental approach to Policy Formulation was put forward by Charles Lindblom, in his book

‘Policy Making Process’. Of all the models, the Incremental Model is popular because of the fact that it

fits well with what actually goes on in government. Policies generally have societal character, since they

determine the fate of people. For this reason any policy should not be formulated on a larger scale

without understanding its repercussions. Hence, Lindblom has proposed the Incremental Model of

Policy Making. According to Lindblom, no policy maker or government would like to formulate a new

policy. If at all the policy maker wants to formulate a new policy, she/he would not do it on a larger

scale. So policies are introduced on a smaller scale in the beginning and then they are expanded

gradually.Under this model, Lindblom states that the policies are expanded slowly and steadily, after

knowing the workability and feasibility of the policy.

Incrementalism allows for policies to be improved over time, reducing the risk of poorly

considered, sweeping changes. Cairney (2012).

The Incremental Model is widely used in a democracy. However, the incrementalism

has been criticized on the ground that the problems being encountered by the governments are so crucial

and critical in nature that the changes brought in the policies through incrementalism are not sufficient

enough to cope with existing realities. Dror criticizes this model, stating that ‘the most harmful effect of

the incremental change argument is that it paralyzes efforts and thus tends to be a self-fulfilling

prophecy’.

3. Group Theory Approach

The Group Theory Model was put forward by a Japanese sociologist, Gaetano Mossaco. Group theory is

an approach which seeks to maintain equilibrium in the society, balancing the interests of various

groups. According to this theory, public policy is a product of group struggle. Individuals having

common interests and demands join hands together and form formal or informal groups, in order to

influence the policies of the government to suit their needs. On the basis of the equilibrium reached in

the struggle of various groups in the policy process, public policies are formulated. Policy formulators

succumb to the pressures of the dominant groups through bargaining, negotiating and compromising.

Thus, in the process of group struggle, the demands and desires of the pressure groups enter the

government arena and policy is formulated. An example is the Inter-Parties Parliamentary Group

(IPPG) in the Kenyan political arena where the opposition and civil society pushed for the

democratization of the election process in Kenya.

4. Institutional Approach

Public policy is an institutional activity since it is formulated through cooperative effort. Policy

formulation is not an individual effort. Many people or many agencies join together and formulate a

policy by following a set of rules and procedures. This model argues that policy formulation is the
outcome of the internal agenda of government institutions rather than the result of external pressures and

influences. This model states that in policy formulation, power is exercised by different individuals and

groups such as the Prime Minister, Members of Parliament, bureaucrats, leaders of interest groups. In

this model, policies do not take the shape of a public policy unless they are adopted and implemented by

government institutions. Thus, government institutions give public policy three distinctive

characteristics as follows:

● Firstly, the government gives legal authority to policy, as it gets the approval of

the law making body.

● Secondly, a policy gets universal character, as it can be applied to the entire

society.

● Thirdly, public policy is backed by coercive power, since it is formulated by the

government. The government can thus impose legal sanctions on violators of its

policies.

Thus, according to the Institutional Model, the structure and pattern of the government alone decides the

quality of a public policy and it has a direct bearing on the policies.

5. Game Theory Approach

Game theory talks about strategic decisions that players make in a competition, where each participant or

player seeks to maximize gains and minimize losses. In a competition, one person’s gain becomes

another person’s loss. On similar lines, the Games Theory Model is applied for policy formulation as

well. A public policy may not provide advantages to all sections of the people. Formulation of a

particular policy may be gainful to one section of the society, whereas to another section it might be a

loss. For example, formulation of the Central procurement of Textbooks in Kenya policy required that the

booksellers in Kenya lost business as the Kenyan parents and the Government gained.
 6. Systems Approach

The Systems Model put forward by Easton, views the Policy Process as a political system that responds

to the demands of the environment. According to this model, a policy is the response of the political

system to the changing demands and desires of the people. The political system consists of various

interrelated institutions and activities in a society that comes up with policy decisions in the society.

Conclusion

In conclusion, there are various types of policies that are applicable in different contexts in

organizations. As have been discussed, these policies include; Originated policies which originate at the

top management to the subordinates, appealed policies stemming when a subordinate refers an

exceptional problem to his superior or line manager and appeals for a policy, imposed policies which

are imposed by some external forces like governments, trade unions and trade associations. The Implied

policies which are policies that are not clearly stated. They are neither in writing nor verbal and they are

inferred from the behavior of the supervisors.

Other types of policies are, Distributive,Regulatory, Re- distributive, Substantive, Capitalization and

Constituent policies.
 REFERENCES
1. Dror Y. (1986) Policy-Making Under Adversity. New Brunswick,N.J.
Transaction Books

2. Charles E. Lindblom. The Policy Making Process. New Jersey: Prentice Hall Inc.,
1968, 120 pp.

3. Easton D., A systems analysis of political life, Chicago–London, 1979.

4. Easton D., The analysis of political structure, New York–London, 1990.

5. Elizabeth H. 26th Jan 2024, Essayrx.com

6. https://www.linkedin.com/pulse/policy-formulation-john-ossai/
7. Alicia Tuovila (2024) Capitalization: What It Means in Accounting and Finance
https://www.investopedia.com/terms/c/capitalization.asp#:~:text=In%20accountin
g%2C%20capitalization%20allows%20for,to%20when%20costs%20are%20reco
gnized.
8. Maricopa Community Colleges: Types of Public Policies
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textbook/#:~:text=Constituent%20policies%20are%20structural%20in,governme
nt's%20reaction%20to%20external%20stimuli.
9. Fiveable https://library.fiveable.me/key-terms/ap-hug/immigration-policy
10. Brandeis University (2024) Office of Human Resources; Appeal Policy and
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