public policy-analysis
TRANSCRIPT
PUBLIC POLICY ANALYSIS
Prof.Dr.M.Irfan Islamy,MPAFaculty of Administrative Science
BRAWIJAYA UNIVERSITY2008
1
What is public policy ?
1. J.E.Anderson , 1975 :Public policy is a purposive course of action followed by govern-ment in dealing with some topic or mater of public concern
2. D.Easton , 1953 :Public policy is the authoritative allocation of values for the whole society
3. T.R.Dye , 1978 :Public policy is whatever govrnments choose to do or not to do
4. C.L.Chochran & E.F.Malone , 1995 :Public policy consists of political decisions for implementing pro-grams to achieve societal goals
2
5. William Jenkins’ ( 1978 ) Public policy -- “ as a set of interrelated decisions taken by a political actor or group of actors concerning the selection of
goals and the means of achieving them within a specified situation where those decisions should , in
principle, be within the power of those actors to achieve “
3
Public Policy Typology
1. C.L.Chochran & E..Malone , 1995 :1.1 Patronage / Promotional Policies : as those gvernment actions that provide incentive for idividuals or corporations to undertake activities they would only reluctantly undertake without the promise of a reward. These can be classified into three types : subsidies ; contracts; and licences.1.2 Regulatory Policies : as those which allow the government to exert control over the conduct of certain activites ( ‘negative forms of control’). They include : invironmental pollution; civil & criminal penalties; consumption of tobacco, alcohol; consumer protection ; employee health and safety.1.3 Redistributive Policies : as those which control people by managing the economy as a whole. The techniques of control involve fiscal (tax) and monetary ( supply of money ) policies. They tend to beneft one group at the expense of oher groups through the reallocation of wealth.
4
To be continued .............
2. J.P.Lester & J.Stewart,Jr , 2000. ( Following T.J.Lowi & Others )
2.1. Liberal or Conservative Policies : Liberal policies are those in which the government is used extensively to bring about social change, usually in the direction ofensuring greater level of social equality. Conservative policies generally oppose the use of government to bring about social change but may approve government action to preserve the status quo or to promote favored interests. Such as : Liberals tend to favor a concentration of power in higher levels of government ; whereas Conser-vatives tend to favor decentralization of power and authority.
2.2 Substantive or Procedural Policies : Substantive policies are concerned with governmental actions to deal with substantive problems, such as highway construction; environmental protection; payment of welfare benefits. Procedural policies are those that relate to how something is going to be done or who is going to take action, such as the Administrative Procedures Act of 194 G.
5
To be continued ................
2.3 Material or Symbolic Policies : Material policies provide concrete re-sources or substantive power to their beneficiaries , or , impose real disadvantages on those adversely affected. For example , welfare pay-ments; housing subsidies; etc. Symbolic policies appeal more to cherished values than to tangibles benefits; such as national holidays that honor patriots, concerning the flag etc.
2.4 Collective or Private Goods Policies : Collective goods policies are those benefits that cannot be given to some but denied to others, such as national defense and public safety. Private goods policies are those goods that may be divided into units, and for which consumers can be charged , such as food, trash collection, home security etc.
6
Why government intervene ?
# When society desires health care and a clean environment for everyone, why does the free market not provide it ?
# Do you believe that the free market has proven a superb device for eficient-ly producing goods and services ?
# What do you say when efforts to relieve market imperfections by public policy will also be flawed ?
# Do you agree when others argue that government may be the only actor that can improve market efficiency or alter economic and social costs, risks, and income distribution in a positive way ?
D.L.Weimer & A.R.Vining , 1999 : “ .... Greater equity in the distributions of economic and political resources, should be viewed as only necessary conditions for appropriate government intervention “
7
Market and Government Failures( D.K.Gupta , Analyzng Public Policy , 2001 )
Market Failure Government Failure
1. Lack ofcompetition2. Barriers to entry and exit3. Restricted flow of information4. Externalities and social cost5. Rising service costs
1. Inability to define social welfare2. Limits to democracy and the paradox
of voting3. Inability to define the marginal
benefts and costs of public goods4. Political constraints5. Cultural constraints6. Institutional constraints7. Legal constraints8. Knowledge constraints9. Analytical constraints10. Timing of policies
8
9
What public policy analysis is ?
1. Chochran & Malone , 1995:Policy analysis describes investigations that produce accurate and useful information for decision makers
2. Dunn , 1981 : Policy analysis is an applied social science discipline which uses multiple
methods of inquiry and argument to produce and transform policy -relevant information that may be utilzed in political setting to resolve policy problems
3. Jenkins-Smith, 1990 :Policy analysis is a set of techniques and criteria with which to evaluate public policy options and select among them .... to rationalize the development and implementation of public policy .... and as the means to greater efficiency and equity in allocation of public resources
10
11
CHARACTERISTICS OF PUBLIC POLICY ANALYSIS( H.Lasswell , 1971 )
1. MULTI-METHODS 2. MULTI-DISCIPLINARY 3. PROBLEM-FOCUSED 4. CORCERNED TO MAP THE CONTEXTUALITY OF THE POLICY PROCESS, POLICY OPTION AND POLICY OUTCOMES 5. WHOSE GOALS IS TO INTEGRATE KNOWLEDGE INTO AN OVERARCHING DISCIPLINE TO ANALYSE PUBLIC CHOICES AND DECISION MAKING AND THEREBY CONTRIBUTE TO THE DEMOCRATIZATION OF SOCIETY
12
POLICY ANALYSIS( W.PARSONS , 1997 )
1. META ANALYSIS : is concerned with understanding the idea that the analysis of public policy proceeds by employing metaphors ……. By describing something in terms of something else….. As devices to explore the ‘unknown’. ( models : ‘stagist’ ; ‘pluralist-elitist’; ‘neo –marxist’; ‘policy discourse’ )
2. MESO ANALYSIS : is a middle-range or bridging level of analysis which is focused on the linkage between the definition of problems, the setting of agendas and decision-making and implementation processes
3. DECISION ANALYSIS : analysis of decision-making process and analysis in and for decision-making : who gets what and how ? ( Elitism , Pluralism, Marxism, Corporatism, Professio-nalism, and Technocracy )
4. DELIVERY ANALYSIS : is the analysis of implementation, evaluation, change and impact
13
Two Main Concerns : Positive & Normative Analysis( C.L.Cochran & E.F.Malone , 1995 )
Positive Analysis Normative Analysis
1. A concern with understanding how the policy process works
2. Strives to understand publc policy as it is3. Endeavors to explain how various social
and political forces would change policy4. Tries to pursue truth through the process
of tesing hypotheses by measuring them against the standard of real-world expe-riences
5. Usually deals with assertions of cause and effect :
“ If the Indonesian government raises interest rates , then consumers will borrow less “. This statement may be tested by setting-up an experiment within a state. The results may confirm or refute the statement .
1. Is directed toward studying what public policy ought to be to improve the general welfare
2. Deals with statement involving value judgments about what should be. For example : “ The cost of health care in Indonesia is too high”. This statement cannot be confirmed by referring to data. Whether the cost is too high or is appropriate is based on a given criterion. Its validity depends upon one’s values and ethical views. Individuals may agree on the facts of healthcare costs but disagree over their ethical judgments regarding the implications of “the cost of health care”.
14
Approaches to Policy Analysis( J.P.Lester & J.Stewart ,Jr., 2000 )
Type of Approach Primary Objective
1. Process approach2. Substantive approach3. Logical-positivist approach
4. Econometric approach5. Phenomenological ( Postpositivist )
approach6. Participatory approach
7. Normative approach
8. Ideological approach
9. Historical approach
1. To examine a part of the policy process2. To examine a substantive area3. To examine the causes and consequen-
ces of policy using scientifc methods4. To test economic theories5. To analyze events through an intuitive
process6. To examine the role of multiple actors
in policymaking7. To prescribe policy to decisons makers
or others8. To analyze from a liberal or
conservative point of view9. To examine policy over time
15
Approaches to Policy Analysis( M.J.Dubnick & B.A.Bardes , 1983 )
Type of PolicyAnalyst
Public PolicyProblem
Motivation Approach RelevantTraining
Scientist Theoretic Search for theory, regularities, truth
Scientific methods, objectivity, pure analytic
Basic research metods, canons of social science research
Professional Design Improvement of policy and policy-making
Utilization of know-ledge , strategic
Strategic, cost-benefit analysis, queuing, simula-tion, decision ana-lysis
Political Value maximization
Advocacy of policy positions
Rhetoric Gathering useful evidence, effective presentation
Administrative Application Effective & Efficient policy implementa-tion
Strategic, Managerial
Strategic, same as for Professional
Personal Contention Concern for policy impacts on life
Mixed Use of many mo-dels & techniques from other approa-ches ; less sophisticated
16
Models of Public Policy Analysis
1. K.E.Portney , 1987 :1.1 The Policy Making Process : “ public policy not as a product of government
but as a political process “ . (1) Problem formation ;(2) Policy formulation ; (3) Policy adoption ; (4) Policy implementation ; and (5) Policy evaluation .
1.2 The Causes and Consequences of Public Policies :” the focus is on either intended or unintended impacts of governmental decisions or non-decisions “
( the results of government action or inaction ). (1) Public policy inputs ----- (2) Policy conversion process ----- (3) Public Policy outputs ----- (4) Public policy outcomes ------ (5) Public policy feedback ----- ( back to no.1 )
1.3 Public Policy Prescription : “ attempts to use a variety of economic, mathe- matical, computer science and operations research techniques to systemati- cally help us answer the question : What policy should we pursue in the fu- ture ? And often attempts to find ways of making policy a more rational process, and mostly never deals with the issue directly but to prescribe ways of improving the policymaking process.
17
4. D.J.Palumbo , 1987 :(1) Agenda seting : defining nature, size, and distribution of problem(2) Problem definition : forecasting needs, defining targets(3) Policy design : decison analysis(4) Policy legitimation : opinion polls, surveys etc.(5) Implementation ( formative evaluation )( ) Impact ( summative evaluation)(7) Termination ( political feasibility analysis )
5. J.P.Lester & J.Stewart , 2000 :(1) Agenda setting(2) Policy formulation(3) Policy implementation(4) Policy evaluation(5) Policy change and termination
18
2. B.W.Hogwood & L.A.Gun , 1984 :(1) Deciding to decide ( issu search or agenda setting )(2) Deciding how to decide ( or issue filtration )(3) Issue definition(4) Forecasting(5) Setting objectives and priorities( ) Options analysis(7) Policy implementation, monitoring and control(8) Evaluation and review(9) Policy maintenance, succession, or termination
3. J.E.Anderson , 1975 :(1) Problems and Agendas(2) Policy Formulation(3) Policy Adoption(4) Policy Implementation(5) Policy Evaluation
19
PUBLIC POLICY ANALYSIS
SCOPE OF ANALYSIS
20
POLICYFORMULATION
POLICYIMPLEMENTATION
POLICYEVALUATION
( IMPACT )
THE POLICY CYCLE AND THE INFORMATION CYCLE
Problem Definition
Forecasting needs,defining targets
Decision analysis
Defining naturesize, distributionsof problem
Political feasibility analysis
Summative evaluation
Formativeevaluation
Opinion polls,surveys,etc.
Policy DesignAgenda Setting
Termination
Impact
Policy Legitimation
Implementation Source : W.Persons, 1997, public policy
Agendas, Alternatives, & PublicPolicy (J. Kingdon)
“The agenda…is the list of subjects or problems to which government officials, and people outside of government closely associated with those officials,
are paying some attention at any given time.”
CPM/HSS2/2008 23
PROBLEM STREAM
Indicators, events, definitions, values,
collective action. Policy Policy entrepreneursentrepreneurs aware
of the problem.
POLICY STREAMPOLICY STREAMAlternativesAlternatives, solutions, , solutions, policy communities, policy communities, feasibilities. Hidden feasibilities. Hidden cluster of participants cluster of participants dominate.dominate.
POLITICAL STREAMPOLITICAL STREAMNational mood, public National mood, public
opinion, electoral opinion, electoral politics, consensus politics, consensus
building, Visible cluster building, Visible cluster of participants of participants
dominatedominate..
Streams Streams
are are coupledcoupled
Window of OpportunityWindow of Opportunity(predictable, unpredictable)(predictable, unpredictable)
Kingdon’s Agenda Setting Kingdon’s Agenda Setting ModelModel
Important Characteristics of Policy Problems( W.N.Dunn , 1981 )
1. Interdependent : Policy problem in one area frequently affect policy problems in other areas. In reality policy problems are not independent entities; they are parts of whole systems of problems.
2. Subjective : The external conditions that give rise to a problem are selectively defined, classified, explained and evaluated. Although there is a sense in which problems are objective , but they are typically intrepreted in markedly different ways. Policy problems are mental artifacts that come about by transforming experience through human judgment.
3. Artificial : Policy problems are possible when human beings make judgments about desirability of altering some problematic situation. Policy problems are products of subjective human judgment… and also come to be accepted as legitimate definitions of objective social conditions… and are therefore socially constructed, maintained, ans changed.
4. Dynamic : There are many different solutions for a given problem as there are definitions of that problem. Problem and solutions are in constant flux, hence problems do not stay solved.
24
25
26
AGENDA SETTING PROCESS( T.A.Birkland , 2006 )
AGENDA SETTING :- is the process by which problems and alternative solutions gain or lose
public and elite attention ; - group competition to set the agenda is fierce because no society or poli-
tical instituions have the capacity to address all possible alternatives to all possible problems that arise at any one time ;
- group must therefore fight to earn their issues places among all the other issues sharing the limited space or to prepare for the time when a crisis makes their issue more likely to occupy a more prominent on the agenda.* An agenda is a collection of problems, understandings of causes, symbols,
solutions, and other elements of public problems that come to the attention of members of the public and their governmental officials.
27
ISSUE ATTENTION CYCLES (IACs)(Anthony Downs : 1972)
2 Alarmed discovery Euphhoric enthusiasm
1 Pre - problem 3 Realizing cost of significant progress
5 Post - problem
4 Gradual decline of public interest
LEVELS OF THE AGENDA( T.A.Birkland , 2006 )
29
The expansion and control of agendas
Initiator
Triggerdevice
Issuecreation
Issues characteristics
SymbolUtilization
Massmediaemphasis
Expansionto largerpublics
Patternsaf access
Agenda of decisionmakers
Systemic agenda• All issues commonly perceived by members of a political community as meriting public attention of public authorities.• To get access to systemic agenda an issue must have : widespread attention/awarness shared concern of a sizeable portion of public shared perception that it is a matter of concern to a public authority
• Explicitly up for active and serious consideration by decision makers.• May be an old item which is up for regular review or is of periodic concern. Or it may be a ‘new’ item.
Or governmental/ formal
Institutionalagenda *
*
Source : Adapted from Cobb and Elder (1972)
THE POLICY ARENA
Administrative Process1. Competence and capacity2. Decision - Action (Values)
Political Process1. Pressure2. Supports (Values)
Policy Making ArenaNegotiating(Actors) Bargaining (Groups)Struggling
(Values)
1. Review - Investigation2. Enactments
Legislative Process
Judicial Process1. Restraint2. Performance (Values)
32
POLICY IMPLEMENTATION THEORY( T.A.Birkland, 2006 )
33
• GOVERNMENTAL MIX• SECTORAL MIX• ENFORCEMENT MIX• VALUE MIX
MARKET
HIERARCHY-BUREAUCRACY
COMMUNITY-NETWORK
MIX
DELIVERY MIX(W. Parsons. 1995. P. 492)
An Analytical Approach for Analyzing Implementation Processes( T.Bredgaard,L.Dalsgaard & F.Larsen , 2003 )
35
36
POLICY INSTRUMENTS
NO R. Lineberry G. Edwards III C. Hood
1. Organizational Units Bureaucratic Structure Organization
2. Standard Operating Procedures Disposition Authority
3. Coordination & Communication Communication Nodality
4. Allocation of Resources Resources Treasure
Direct and Indirect Impacts on Implementation
Communications
BureaucraticStructure
Resources
DispositionsImplementation
Source : G.C. Edwards III, 1980, Implementating Public Policy, pp. 148
Communications• Transmission• Clarity• Consistency
Resources• Staff• Information• Authority• Facilities
Bureaucratic Structure• Standard Operating Procedures• Fragmentation
Dispositions• Effect of Dispositions• Staffing the Bureacracy• Incentives
A Spectrum of Policy Instruments
Level of State Involvement
VoluntaryInstruments
MixedInstruments
CompulsoryInstruments
Low High
Fam
ily a
nd C
omm
unity
Vol
unta
ry O
rgan
izatio
ns P
rivat
e M
arke
ts
Info
rmat
ion
and
Exho
rtatio
n S
ubsid
ies
Auc
tion
of P
rope
rty R
ight
s T
ax a
nd U
ser C
harg
es
Reg
ulat
ion
Pub
lic E
nter
prise
s D
irect
Pro
visio
n
40
Metaphor of implementation failure
MachinemetaphorResult of poor chain ofcommand - problemswith structure and roles
DominationMetaphorResult of labour/management conflict
PsychicmetaphorResult of subconsciousforces - groupthink/ego defences/repressedsexual instincts
OrganismmetaphorResult of ‘human relations’ or the‘environment’
‘implementationfailure’
AutopoieticmetaphorResult of a ‘self-referencing’system
BrainmetaphorResult of poor Information flows-or‘learning/ problems
CulturemetaphorResult of the ‘culture’of the organization
PowermetaphorResult of power in and around the implementationprocess
42
43
CATEGORY OF POLICY EVALUATION( Howlett & Ramesh , 1995 )
ADMINISTRATIVE
JUDICIAL POLITICAL
Evaluating Managerial
Performance and Budgeting Systems
Judicial Review and
Administrative Discretion
Consultations with Policy Subsystems
andThe Public
45
46
Types of Evaluations Activities and Corresponding Evaluating Issues( Rossi, Freeman & Wright – 1979 )
Research for Program
Planning and Development Monitoring Evaluation Impact Evaluation
Cost – Benefit Cost - Effectiveness
Purpose Designing programs in conformity with intended goals
Testing implementation as corresponding to program design
Testing program effectiveness in reaching program goals
Calculating program economic efficiency
Evaluation Questions
1. Extents and distribution of target problem population
2. Research and development for program planning and implementation
1. Is it reaching targets? 2. Is it delivering services
according to design?
1. Does program cause intended changes?
2. Are changes substantively significant?
1. How much does each service unit cost?
2. How do the total cost and benefits compare
48
49
WHO ARE STAKEHOLDERS ?
A stakeholder is any person, group or institution that has an interest in a development activity, project or programme. This definition includes both intended beneficiaries and intermedi-ries, winners or losers, and those involved or excluded from decision-making process
50
Stakeholders can be devided into :
Stakeholder Definition
Primary StakeholdersThose who are ultimately affected, ie who expect to benefit from or be adversely affected by the inter-vention. Those with high power and interests.
Secondary Stakeholders Those with intermediary role. Those with high interest but low power , or high power but low interest.
51
KEY STAKEHOLDERS : are those who can significantly influence the project ; both primary and secondary stakeholders may be key stake-
holders
What is stakeholder analysis ?
# A stakeholder analysis is a technique you can use to identify and assess the importance of key people, groups of people, or institutions that may significantly influence the success of your activity , project or programme
# A methodology used to facilitate institutional and policy reform processes by accounting for and often incorporating the needs of those who have a ‘stake’ or an interest in the reforms under consideration
52
Why use stakeholder analysis ?
Stakeholder analysis aims to :1. Identify and define the characteristics of key stakeholders ; Identify people, groups, and institutions that will influence your initiative ( either
positively or negatively )
2. Assess the manner in which they might affect or be affected by the programme / project outcome ; Anticipate the kind of influence, positive or negative, yhese group will have on
your initiative
3. Understand the relations between stakeholders, including an assessment of the real or potentials conflicts of interest and expectation between stakeholders ;
4. Assess the capacity of different stakeholders to participate Develop strategies to get the most effective support possible for your initiative and
reduce any obstacles to successful implementation of your program
53
Stakeholder Analysis Matrix
STAKEHOLDER STAKEHOLDER INTERESTS IN THE
PROJECT
ASSESSMENTOF
IMPACT
POTENTIAL STRA-TEGIES FOR OBTAI-NING SUPPORT OR REDUCING OBSTA-
CLESA - Benefits - Very important - Engage closely
B - Change - Fair - Keep informed /- Keep satisfied
C - Damage / Conflits
- Not very impor- tant
- Monitor ( mini- mum effort )
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
TERIMAKASIH
70