PUBLIC POLICY ANALYSIS

1. PUBLIC POLICY ANALYSIS Prof.Dr.M.Irfan Islamy,MPA Faculty of Administrative Science BRAWIJAYA UNIVERSITY 2008

2. What is public policy ? • 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 • D.Easton , 1953 : Public policy is the authoritative allocation of values for the whole society • T.R.Dye , 1978 : Public policy is whatever govrnments choose to do or not to do • C.L.Chochran & E.F.Malone , 1995 : Public policy consists of political decisions for implementing pro-grams to achieve societal goals

3. 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 “

4. Public Policy Typology • 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.

5. To be continued ............. • 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.

6. 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.

7. 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 “

8. Market and Government Failures( D.K.Gupta , Analyzng Public Policy , 2001 )

10. What public policy analysis is ? • Chochran & Malone , 1995: Policy analysis describes investigations that produce accurate and useful information for decision makers • 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 • 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

12. 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

13. POLICY ANALYSIS( W.PARSONS , 1997 ) • 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’ ) • 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 • 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

14. Two Main Concerns : Positive & Normative Analysis( C.L.Cochran & E.F.Malone , 1995 )

15. Approaches to Policy Analysis( J.P.Lester & J.Stewart ,Jr., 2000 )

16. Approaches to Policy Analysis( M.J.Dubnick & B.A.Bardes , 1983 )

17. Models of Public Policy Analysis • 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.

18. 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 ) • J.P.Lester & J.Stewart , 2000 : (1) Agenda setting (2) Policy formulation (3) Policy implementation (4) Policy evaluation (5) Policy change and termination

19. 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 • J.E.Anderson , 1975 : (1) Problems and Agendas (2) Policy Formulation (3) Policy Adoption (4) Policy Implementation (5) Policy Evaluation

20. PUBLIC POLICY ANALYSIS SCOPE OF ANALYSIS POLICY FORMULATION POLICY IMPLEMENTATION POLICY EVALUATION ( IMPACT )

21. THE POLICY CYCLE AND THE INFORMATION CYCLE Problem Definition Forecasting needs, defining targets Policy Design Agenda Setting Defining nature size, distributions of problem Decision analysis Political feasibility analysis Opinion polls, surveys, etc. Termination Policy Legitimation Formative evaluation Summative evaluation Impact Implementation Source : W.Persons, 1997, public policy

22. 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.”

23. POLICY STREAM Alternatives, solutions, policy communities, feasibilities. Hidden cluster of participants dominate. POLITICAL STREAM National mood, public opinion, electoral politics, consensus building, Visible cluster of participants dominate. PROBLEM STREAM Indicators, events, definitions, values, collective action. Policy entrepreneursaware of the problem. Streams are coupled Kingdon’s Agenda Setting Model Window of Opportunity (predictable, unpredictable) CPM/HSS2/2008

24. Important Characteristics of Policy Problems( W.N.Dunn , 1981 ) • 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. • 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. • 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. • 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.

27. 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.

28. 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

29. LEVELS OF THE AGENDA( T.A.Birkland , 2006 )

30. Issues characteristics Initiator Issue creation Mass media emphasis Expansion to larger publics Agenda of decision makers Patterns af access Trigger device Symbol Utilization The expansion and control of agendas Institutional agenda 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 * Source : Adapted from Cobb and Elder (1972)

31. THE POLICY ARENA Administrative Process 1. Competence and capacity 2. Decision - Action (Values) Political Process 1. Pressure 2. Supports (Values) Judicial Process 1. Restraint 2. Performance (Values) Policy Making Arena Negotiating (Actors) Bargaining (Groups) Struggling (Values) 1. Review - Investigation 2. Enactments Legislative Process

33. POLICY IMPLEMENTATION THEORY( T.A.Birkland, 2006 )

34. DELIVERY MIX (W. Parsons. 1995. P. 492) MARKET MIX HIERARCHY- BUREAUCRACY COMMUNITY- NETWORK • GOVERNMENTAL MIX • SECTORAL MIX • ENFORCEMENT MIX • VALUE MIX

35. An Analytical Approach for Analyzing Implementation Processes( T.Bredgaard,L.Dalsgaard & F.Larsen , 2003 )

37. POLICY INSTRUMENTS

38. Communications Resources Implementation Dispositions Bureaucratic Structure • Communications • Transmission • Clarity • Consistency • Bureaucratic Structure • Standard Operating Procedures • Fragmentation • Resources • Staff • Information • Authority • Facilities • Dispositions • Effect of Dispositions • Staffing the Bureacracy • Incentives Direct and Indirect Impacts on Implementation Source : G.C. Edwards III, 1980, Implementating Public Policy, pp. 148

39. A Spectrum of Policy Instruments • Information and Exhortation • Subsidies • Auction of Property Rights • Tax and User Charges • Family and Community • Voluntary Organizations • Private Markets • Regulation • Public Enterprises • Direct Provision Level of State Involvement Low High Voluntary Instruments Mixed Instruments Compulsory Instruments

41. Organism metaphor Result of ‘human relations’ or the ‘environment’ Brain metaphor Result of poor Information flows-or ‘learning/ problems Machine metaphor Result of poor chain of command - problems with structure and roles Domination Metaphor Result of labour/ management conflict Culture metaphor Result of the ‘culture’ of the organization ‘implementation failure’ Autopoietic metaphor Result of a ‘self-referencing’ system Power metaphor Result of power in and around the implementation process Psychic metaphor Result of subconscious forces - groupthink/ ego defences/repressed sexual instincts Metaphor of implementation failure

44. CATEGORY OF POLICY EVALUATION( Howlett & Ramesh , 1995 )

47. Types of Evaluations Activities and Corresponding Evaluating Issues ( Rossi, Freeman & Wright – 1979 )

50. 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