Public policy-analysis

PUBLIC POLICY ANALYSIS
Prof.Dr.M.Irfan Islamy,MPA
Faculty of Administrative Science
BRAWIJAYA UNIVERSITY
2008
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 ofcompetition
2. Barriers to entry and exit
3. Restricted flow of information
4. Externalities and social cost
5. Rising service costs
1. Inability to define social welfare
2. Limits to democracy and the paradox
of voting
3. Inability to define the marginal
benefts and costs of public goods
4. Political constraints
5. Cultural constraints
6. Institutional constraints
7. Legal constraints
8. Knowledge constraints
9. Analytical constraints
10. Timing of policies
8

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

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 is
3. Endeavors to explain how various social
and political forces would change policy
4. 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 approach
2. Substantive approach
3. Logical-positivist approach
4. Econometric approach
5. Phenomenological ( Postpositivist )
approach
6. Participatory approach
7. Normative approach
8. Ideological approach
9. Historical approach
1. To examine a part of the policy process
2. To examine a substantive area
3. To examine the causes and consequen-ces
of policy using scientifc methods
4. To test economic theories
5. To analyze events through an intuitive
process
6. To examine the role of multiple actors
in policymaking
7. To prescribe policy to decisons makers
or others
8. To analyze from a liberal or
conservative point of view
9. To examine policy over time
15

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
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
POLICY
FORMULATION
POLICY
IMPLEMENTATION
POLICY
EVALUATION
( IMPACT )

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

Agendas, Alternatives, & Public
Policy (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. PPoolliiccyy
eennttrreepprreenneeuurrss aware
of the problem.
PPOOLLIICCYY SSTTRREEAAMM
AAlltteerrnnaattiivveess,, ssoolluuttiioonnss,,
ppoolliiccyy ccoommmmuunniittiieess,,
ffeeaassiibbiilliittiieess.. HHiiddddeenn
cclluusstteerr ooff ppaarrttiicciippaannttss
ddoommiinnaattee..
PPOOLLIITTIICCAALL SSTTRREEAAMM
NNaattiioonnaall mmoooodd,, ppuubblliicc
ooppiinniioonn,, eelleeccttoorraall
ppoolliittiiccss,, ccoonnsseennssuuss
bbuuiillddiinngg,, VViissiibbllee cclluusstteerr
ooff ppaarrttiicciippaannttss
ddoommiinnaattee..
Streams
are
coupled
WWiinnddooww ooff OOppppoorrttuunniittyy
((pprreeddiiccttaabbllee,, uunnpprreeddiiccttaabbllee))
KKiinnggddoonn’’ss AAggeennddaa SSeettttiinngg
MMooddeell

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

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
Trigger
device
Issue
creation
Issues
characteristics
Symbol
Utilization
Mass
media
emphasis
Expansion
to larger
publics
Patterns
af access
Agenda
of decision
makers
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
Institutional
agenda *
• 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)

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

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

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

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

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
Bureaucratic
Structure
Resources
Dispositions
Implementation
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
Voluntary
Instruments
Mixed
Instruments
Compulsory
Instruments
Low High
Family and Community
Voluntary Organizations
Private Markets
Information and Exhortation
Subsidies
Auction of Property Rights
Tax and User Charges
Regulation
Public Enterprises
Direct Provision

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

CATEGORY OF POLICY EVALUATION
( Howlett & Ramesh , 1995 )
ADMINISTRA
TIVE
JUDICIAL POLITICAL
Evaluating
Managerial
Performance and
Budgeting Systems
Judicial Review
and
Administrative
Discretion
Consultations with
Policy Subsystems
and
The Public

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

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 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.
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
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 )
54

Public policy-analysis

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