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PUBLIC POLICY ANALYSIS

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Title: 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 )
Market Failure Government Failure
Lack ofcompetition Barriers to entry and exit Restricted flow of information Externalities and social cost Rising service costs Inability to define social welfare Limits to democracy and the paradox of voting Inability to define the marginal benefts and costs of public goods Political constraints Cultural constraints Institutional constraints Legal constraints Knowledge constraints Analytical constraints Timing of policies
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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

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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 )
Positive Analysis Normative Analysis
A concern with understanding how the policy process works Strives to understand publc policy as it is Endeavors to explain how various social and political forces would change policy Tries to pursue truth through the process of tesing hypotheses by measuring them against the standard of real-world expe-riences 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 . 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 ones 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.
15
Approaches to Policy Analysis ( J.P.Lester
J.Stewart ,Jr., 2000 )
Type of Approach Primary Objective
Process approach Substantive approach Logical-positivist approach Econometric approach Phenomenological ( Postpositivist ) approach Participatory approach Normative approach Ideological approach Historical approach To examine a part of the policy process To examine a substantive area To examine the causes and consequen-ces of policy using scientifc methods To test economic theories To analyze events through an intuitive process To examine the role of multiple actors in policymaking To prescribe policy to decisons makers or others To analyze from a liberal or conservative point of view To examine policy over time
16
Approaches to Policy Analysis ( M.J.Dubnick
B.A.Bardes , 1983 )
Type of Policy Analyst Public Policy Problem Motivation Approach Relevant Training
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
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, Public Policy (J.
Kingdon)
  • The agendais 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 entrepreneurs aware of
    the problem.

Streams are coupled
Kingdons Agenda Setting Model
Window of Opportunity (predictable, unpredictable)
24
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.

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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.

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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 )
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The expansion and control of agendas
Systemic agenda
Institutional 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)
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THE POLICY ARENA
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POLICY IMPLEMENTATION THEORY ( T.A.Birkland,
2006 )
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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 )
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POLICY INSTRUMENTS
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Direct and Indirect Impacts on Implementation
Source G.C. Edwards III, 1980, Implementating
Public Policy, pp. 148
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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
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Metaphor of implementation failure
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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 and The Public
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Types of Evaluations Activities and
Corresponding Evaluating Issues ( Rossi, Freeman
Wright 1979 )
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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

51
Stakeholders can be devided into
Stakeholder Definition
Primary Stakeholders Those 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.
KEY STAKEHOLDERS are those who can
significantly influence the project both
primary and secondary stakeholders may be key
stake- holders
52
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

53
Why use stakeholder analysis ?
Stakeholder analysis aims to
Identify and define the characteristics of key stakeholders Identify people, groups, and institutions that will influence your initiative ( either positively or negatively )
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
Understand the relations between stakeholders, including an assessment of the real or potentials conflicts of interest and expectation between stakeholders
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
54
Stakeholder Analysis Matrix
STAKEHOLDER STAKEHOLDER INTERESTS IN THE PROJECT ASSESSMENT OF IMPACT POTENTIAL STRA-TEGIES FOR OBTAI-NING SUPPORT OR REDUCING OBSTA-CLES
A Benefits - Very important - Engage closely
B Change Fair Keep informed / Keep satisfied
C Damage / Conflits Not very impor- tant Monitor ( mini- mum effort )
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  • TERIMAKASIH
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