Exceptional Proff 530
Introduction
Topics to be covered include:
· Policy conflicts
· Incremental decision-making
· Citizen engagement in policymaking
· Defining public policy
· Theories of public policy
· Public policy practice
· Policy analysis
· Policy evaluation
· Typical areas addressed by public policy
We will close this course with a brief discussion of policy conflicts, incremental decision making, and how best to engage citizens in the policymaking and implementation processes. We will then review all aspects of public policy that we have discussed in this course so far.
Policy Conflicts
Conflict resolution is a common institution in the public domain and in government. Many agencies have recognized that this process is critical for both making decisions in the first place and in resolving disputes—especially disputes that are highly visible, long-standing, costly, and hotly contested, as many public policies tend to be. This process is being used more and more to supplement or even to replace traditional decision-making processes at all levels of government. Conflict resolution emphasizes process over partisanship, and this has allowed policymakers with political views that are seemingly irreconcilable to reach consensus on matters of policy regarding broad issues like education, transportation, and management of federal lands.
National policy issues have become increasingly local and global, stretching in both directions. Experience with managing the conflicts that arise with respect to them reflects the impact of conflict resolution on policy. Global environmental concerns regarding air and water quality can easily transcend national borders and require international forums to deal with protecting and enhancing those elements. Other centers of power have devolved to states and localities, and these wide-reaching and narrow policy spheres do not always align with pressing policy and planning issues. Therefore, new approaches are required.
As regional approaches that transcend state lines, municipalities, counties, and many other political structures, these approaches have illustrated the need for policies (and decision-making and conflict resolution structures) that take into account the nature and scope of conflicts that arise in these contexts. By demonstrating their efficiency, this experience has created opportunities for other public issues such as education funding and public needs such as child welfare reform that may greatly benefit from conflict resolution approaches.
Some states have created frameworks to encourage and support negotiation and mediation between these levels of policymaking. This allows public institutions the capacity to make policy decisions that last and to build public confidence in these systems by resolving disputes that arise promptly. Beyond the process of institutionalizing, the culture has affected policymakers, agency leaders, and organized citizens alike as all look for ways to reach consensus and to involve those who are affected by the policies that are being made. A receptive climate for conflict resolution will hopefully create an informed, active, and participating citizenry.
Incremental Decision-making
Decision-making in the sphere of public policy typically involves a pattern of action that extends over time and involves a number of routine and non-routine decisions. Observing how public policymakers perform, the decision-making method of incrementalism can be identified. This method has seven steps:
1. It is accepted that problems arise in a context, that problems are not distinct from one another.
2. The guiding criteria are program objectives.
3. A few alternatives are considered, which differ only marginally from the existing program.
4. Some of the consequences of each alternative are considered.
5. The problem may be continually re-defined as different means are proposed to achieve the desired ends; it is adjusted to make it more manageable.
6. Agreement is reached on at least one good solution, even if it is not the best possible solution.
7. A good decision is one which is agreed upon and which produces better conditions in the short run (Saint-Germain, 2002).
LIMITATIONS
The incremental method has a number of limitations. This method does not encourage comprehensive approaches to problems. Instead, the problem is usually seen as one of adjustments at the margin. Values that are not represented among the decision-makers may easily be overlooked, as what is important is defined narrowly. This method assumes that each important value will be represented somewhere in the model so that no single group will have to represent them all.
If decision-makers are isolated, some acceptable alternatives may never be taken into account, as there are political limits to which alternatives can be considered. Only those that do not fundamentally differ are acceptable under the incremental model, and the possible consequences of alternatives that are not suggested are not considered.
ADVANTAGES
Incrementalism relies on past outcomes as a guide, but realizes that some knowledge can be gained at each step. It acknowledges the element of bargaining that occurs in the policymaking process and is geared to the amelioration of present concrete social imperfections, not the promotion of future social goods. This method of decision-making is politically expedient because it is easier to reach agreement when the matters in dispute among many various groups are only modifications of existing programs. Decisions are the product of mutual consent among all participants in a decision process that is more partisan than neutral. With regard to the future consequences that present decision-making actions have, incrementalism reduces their risks and costs.
PUTTING INCREMENTAL DECISION-MAKING INTO PRACTICE
To put the incremental decision-making method into practice, there must be a high degree of continuity in the available methods for dealing with the problems, and the results of present policies must be at least minimally acceptable so that marginal changes would also be acceptable. Thus, incrementalism is not feasible where there are no past policies, where the values have changed, or where the problem has changed significantly.
Citizen Engagement in Policymaking
The participation of citizens in decision-making, especially on the local level, is a cornerstone of building a democratic society. Citizen engagement increases transparency and makes government officials more accountable for their decisions. This ongoing process often covers the period between two elections, where citizens express concerns towards local government and local government informs citizens about how policies have been implemented. One of the most effective ways to involve citizens in policymaking is decentralization . Decentralization requires a sustainable, organized effort on behalf of both local institutions and those on higher levels.
A key prerequisite for sustainable, democratic policy reform is public trust in the elected leadership. The stronger the bond between citizens and elected officials, the more successful and more democratic society will be developed. This relationship strengthens as elected officials respond to the real needs of the citizens, represent their best interests, and improve their quality of life. At local levels of government, the relationship between the two is more tangible and sensitive and therefore more crucial to protect.
Citizen participation in policymaking begins with local elections. The inclusion of citizens in this process does not end once the ballots are counted, but is further regulated with laws, municipal statutes, and internal acts. Town Halls and public hearings, built around informal meetings between citizens and local officials, are held to collect public opinion and exchange information on civic issues before policies are made. The public hearing serves as a tool for local governments to engage their citizens and to build a bridge of trust. Citizens can use public hearings as an opportunity to have their voice heard by elected officials. These officials use them as an opportunity to stay in touch with the people who put them in office between one election and the next.
Defining Public Policy
Public policy includes the specific actions government takes to rectify a public situation, to establish goals and develop methods to accomplish them, to set guidelines and best practices, and to communicate agency expectations and standards. It might be broadly said that public policy is simply what a public official who influences or determines public policy does or does not do about a problem that comes before them to be considered and acted upon.
There are many issues in the United States’ communities that remain unsolved, some of which can be dealt with in the private sphere (requiring only the actions of individuals or families). The larger civil society (which includes social, economic, or political associations or organizations) is required to handle others. Public policy problems are those that must be addressed by the government (federal, state, or local) through laws and regulations.
For each policy action, there are one or more contexts at play for its creation, modification, or rejection. There are five public policy contexts that affect public policy: social, economic, political, government and cultural. The political culture of the United States places a great value on individual freedom, equality, progress, efficiency, and practicality. The economy is practically and pragmatically regulated under this form of democracy, and present problems are dealt with before long-term plans are made. This is also a diverse nation with diverse values, and these differences in values lead to different public policies.
Many persons and groups share power over policy, but the ones that come to mind for many are the official policymakers, which include elected and appointed government officials. A system of checks and balances distributes the authority to make policy, to prevent abuse of power and guarantee individual liberties, and ideally to avoid inefficiency, duplication, and unnecessary expense. The three branches of government are integral in the policy process, but also important to this process are informal policy actors. Whether it is as an institutionalized part of government, a smaller group, or an individual, all stakeholders has a role in the development, implementation, and evaluation of policy.
Many parties are involved in the making of public policy, including businesses, groups, and individuals. These parties compete and work together to influence policymakers to act in a particular way concerning policies that are of interest to them, using a number of tactics to advance their interests. Perfect policies rarely emerge from the political process, and policy outcomes are usually the result of compromises between parties. Public policy originates when a group of officials elected by the people they represent pass a law establishing a public program or service with funding from public sources to enact it. This can happen at the lowest level of government (for example, a homeowners’ association policy regarding water usage) all the way to the federal government (for example, social security). Remarkably, the issues and the players tend to be the same, just at different levels and scale.
Theories of Public Policy
Theories of public policy are used to analyze the process in which policy is made. Often, more than one theory will apply to a policy decision.
· ELITE THEORY
· The elite theory envisions a society where public policy is influenced more by the society’s elites than by the general public. The elite class generally consists of the wealthier, famous, and highly educated people who are often seen on television, over the Internet, and in exclusive conferences, seminars, and gatherings. In our own society, many members of the general public do not have the time or inclination to become fluent on most aspects of political issues, so they take their cues from the elites. Accordingly, elites also have better access to elected officials to influence their voting than the general public does.
· GROUP THEORY
· According to the group theory, public policy is essentially the product of a struggle between interest groups who conflict in their efforts to persuade elected officials to enact legislation favorable to its causes. Some insist that these conflicting interests can balance each other out, with the result being good government. This very American theory is highly compatible with Adam Smith’s economic theory, and in the past its advocates have included James Madison and Alexis de Tocqueville.
· INSTITUTIONAL THEORY
· Institutional theory focuses on the structure, roles, powers, and rules of government in determining policy. Under this theory, organization structures and rules often influence how policy actors vote on issues. While this theory rotates around institutions, there are many kinds of institutions that influence policymaking, including political parties, local, state, and federal governments, foreign governments, and even voluntary organizations.
· RATIONAL CHOICE THEORY
· Focusing heavily on economics and mathematical modeling, the rational choice theory carries the basic premise that social behavior results from the behavior of individual actors, each of whom is making individual decisions. Thus, it is assumed that each individual has his or her own individual preferences among the available alternatives. The rational agent is assumed to take account of available information, probabilities of events, and potential costs and benefits in determining preferences, and to act consistently in choosing the best course of action.
POLITICAL SYSTEMS THEORY
· As its name suggests, political systems theory focuses on the broader response of the political system to demands from individuals and groups, such as public opinion and interest groups. This theory is more comprehensive than others. It emphasizes the larger social, economic, and cultural contexts in which policy choices are made and analyzes the interrelationships of political institutions and policy actors. Political scientist David Easton, a champion of this theory, proposed a policymaking process that included input, conversion, output, feedback, and environment.
The elite theory envisions a society where public policy is influenced more by the society’s elites than by the general public. The elite class generally consists of the wealthier, famous, and highly educated people who are often seen on television, over the Internet, and in exclusive conferences, seminars, and gatherings. In our own society, many members of the general public do not have the time or inclination to become fluent on most aspects of political issues, so they take their cues from the elites. Accordingly, elites also have better access to elected officials to influence their voting than the general public does.
Public Policy Practice
The policy process model looks at the various stages of the policy process and the roles and relationships of policy actors within each stage. This model is the logical sequence of activities regarding any new public policy and has six basic stages (Slack, 2017):
Stage 1: Issue Identification-The first stage is issue identification. There are public problems everywhere around the country that disturb or distress people, but not all conditions that Americans may be disturbed by immediately constitute problems, and of those that reach this status policymakers are only aware of those that are brought to their attention. People have to recognize that it is the job of the government to do something about these problems and to urge them to step up and tackle them.
Stage 2: Agenda Setting-The second stage in the public policy process is agenda setting. At the national level, the U.S. Congress physically cannot deal with most of the public problems that occur around the country. Issues that are brought before members of Congress are formulated into bills and become part of the national agenda, a set of problems, understandings of causes, symbols, solutions, and other elements that the federal government tends to. Agenda setting may respond to pressure from interest groups, political parties, and other branches of government, but media and Internet sources also possess a degree of pull.
Stage 3: Policy Formulation-The third stage of the process is policy formulation, the development of proposed courses of action to resolve the issue. Policy formulation entails designing and drafting policy, keeping goals and strategies, costs and benefits, social and political acceptability, and likely effectiveness in mind. At this stage, the public administration concerned examines the various policy options it considers to be possible solutions.
Stage 4: Policy Adoption-The fourth stage is policy adoption. After various proposals have been made and debated, one policy is agreed upon and accepted by the policymakers. At the national level, Congress will adopt a policy when it passes a bill and sends it to the President to be signed into law. Policies may also be adopted when the President signs an executive order. Policy is often built in a series of small steps passed over time by different players, and eventually, a complex policy emerges.
Stage 5: Policy Implementation-The fifth stage is policy implementation. The ways policies are implemented are often different from what was originally intended by the policymakers who passed them because many laws are enacted with ambiguous language, allowing for slight modifications to accommodate reality. At the national level, the executive branch departments and agencies implement most of the laws passed by Congress. Sometimes people and organizations who do not comply with policies are punished, or incentives may be offered for compliance (such as tax breaks). The most carefully crafted and widely accepted policy can fail if not properly implemented.
Stage 6: Policy Evaluation-In the sixth and final stage, policy evaluation, an oversight group or organization inspection determines the effectiveness of a policy as intended by policymakers, who often try to determine what a policy is actually accomplishing or whether or not it is being carried out efficiently. The policy’s results must be assessed after a certain period of time, and steps must be taken to ensure that it can remain successful with the level of resources and means committed to it. This step was often overlooked in the past, leading newer initiatives to sidetrack established policies. Many different policy initiatives’ goals regularly conflicted.
Policy Analysis
· POLICY ANALYSIS DEFINED
· Policy analysis is the process of identifying alternative policies and deciding which one is most likely to accomplish a certain set of goals in regards to the situation. This systemic investigation of alternative policy options weighs evidence for and against each option in order to inform the public deliberation and debate process. Its primary function is to collect and contribute relevant information and impartial assessments in the policymaking process.
· DECISION-MAKING
· Methods of policy analysis make it possible to provide recommendations as to what the preferred policy approach is to achieve economic, social, or political goals. Policy analysis also allows for the evaluation of existing policies so that recommendations may be made on how new policies or changes in policy can lead to improvement. As public policy is implemented and developed, policy analysis is an extremely important tool.
· Policy analysis guides the decision-making process as the most effective policy for achieving the established goal is crafted. A systematic approach is used to evaluate policy options and to determine how they would address the goals and objectives that policymakers deal with. The outcome of this process provides a basis for recommendations for how to implement the most appropriate policy for achieving the established goals. The policy analyst often employs quantitative and qualitative research and models such as the process, institutional, and rational models to analyze and compare existing policies and to recommend potential modifications. This scientific approach indicates that policy analysis is an effective tool that can lead to an effective and efficient public policy.
· POLICY IMPLEMENTATION
· Policy analysis also plays an instrumental role during the policy implementation process by identifying opportunities for improvement. The process can be perceived as a performance measurement tool for public policies, providing a basis for policy modification by identifying the policy’s weakness, strengths and areas that need improvement. As public policy is implemented, policy analysis can serve as a tool for corrective action by identifying aspects of the policy that are in need of change.
· POLICY ANALYSIS STEPS
· The first step in conducting a policy analysis is to define and analyze the problem. What is the nature of the problem? How did it arise, and what were its major causes? How serious is this problem, and why is it important to deal with it as a matter of public policy?
· The second step is to construct policy alternatives. What are the realistic options for dealing with the problem?
· The third step is to develop evaluative criteria. What course of action is most suitable considering equity, efficiency, and effectiveness? What course of action is the most socially, politically, and administratively feasible?
· The fourth step is to assess policy alternatives. Which course of action is most likely to produce the desired outcomes? What evidence is available?
· The final step is to draw conclusions from the results of the analysis.
Policy analysis is the process of identifying alternative policies and deciding which one is most likely to accomplish a certain set of goals in regards to the situation. This systemic investigation of alternative policy options weighs evidence for and against each option in order to inform the public deliberation and debate process. Its primary function is to collect and contribute relevant information and impartial assessments in the policymaking process.
Policy Evaluation
A statement of goals for solving a problem is adopted whenever a policy problem is identified in order to elucidate what the policy alternative should accomplish. A goal statement is usually very broad and offers a long-term solution (or set of solutions) to solving the problem indefinitely. From this goal statement, several objectives are created. To measure these objectives, criteria are identified and are used to compare how different proposed policy alternatives will meet the goals stated in the goal statement and solve the identified problem. These criteria set the rules to follow in comparing different solutions to the problem (or policy alternatives). The primary evaluative criteria used in policy evaluation are as follows:
· Effectiveness, or a measurement of how well a policy achieves its goal;
· Efficiency, a measurement of the cost of a policy in relation to its expected benefits; and
· Equity, a measurement of the level of fairness in the distribution of costs and benefits in society.
In addition, there are five other additional criteria that might be used:
· Ethics, or a measurement of the impact of the policy on cultural norms;
· Political feasibility, a measurement of the level of acceptance of a proposed policy by elected officials;
· Social acceptability, a measurement of the level of public acceptance and support of a proposed policy;
· Administrative feasibility, a measurement of the ability to implement a proposed policy; and
· Technical feasibility, a measurement of the availability and reliability of the technology needed to implement a proposed policy.
Specifying criteria is a difficult task when a goal statement involves vague, fuzzy, or conflicting goals. It is imperative that there be no ambiguity present in the criteria and their measures used. All results produced by applying them should be uniform, regardless of who measures them, and if the measurements are repeated the results should be the same. Criteria and measures should also be appropriate to the unit of analysis that is used.
Cost Benefit Analysis-Cost benefit analysis is often conducted to determine which policy option to adopt. Essentially, it measures the gains and losses in terms of dollars of each course of action to determine which is most fiscally optimal. It is used most often when a program or project begins and when different options or courses of action are being appraised and compared. It can also be used to evaluate a program’s overall impact in dollar amounts. A cost benefit analysis will total the costs of a program or activity and compare them against its total benefits. It assumes that these costs and benefits can be expressed in quantitative values, including both tangible and intangible returns. A major advantage of this type of analysis is that it forces policymakers to consider the various factors that should and will influence their choices.
Impact Assessment-Impact assessment measures the effectiveness of organizational activities and judges the significance of changes brought about by those activities. Being able to assess and articulate impact is a powerful means of communicating a policy, internally and externally. Impact is seen as the positive and negative, intended or unintended long-term results produced by a policy either directly or indirectly, and should be seen as the contribution of the intervention to the overall goal. Impact analysis can play two roles in policy evaluation: predicting what the impact of an intervention might be so that policymakers can be informed of the potential risks, and assessing the extent that policy corrects the problem it was intended to address. Typically, impact assessment focuses on the effects of the policy, rather than the cost and efficiency of the intervention, its unintended effects, and how the experience from this policy can be used to improve the design of future policies.
Typical areas addressed by Public Policy
Economy-The United States has the world’s largest economy and one of its largest human populations, so issues of economic and healthcare policy are extremely important. U.S. economic policy governs the largest economy in the world, one with a gross domestic product of over $18 trillion and several of the world’s most important financial markets. Each year, the U.S. government passes a budget, which it typically manages to exceed, resulting in a deficit. A budget deficit can be good as well as bad, but if allowed to grow out of control it can substantially add to the country’s national debt.
Healthcare-Healthcare policy in the United States affects the health and well-being of hundreds of millions of people. Equity issues are rife in the healthcare policy fields; the question of who pays for what and who benefits the most and least pervade the nation’s economy and health industry alike. To take care of the health of the nation’s 340 million citizens, the Department of Health and Human Services (DHHS) contains several agencies that serve different health-related purposes. Programs such as Medicare, Medicaid, and the Affordable Care Act (ACA) have helped millions of uninsured Americans receive the healthcare they need but they are not without their controversies.
Poverty-Between 1970 and 2015, the poverty rate in America has varied between 10 and 15 percent of the population. During this same time, the population of the US increased from 203 million to 320 million. For the millions of Americans living below the poverty line, hundreds of welfare programs have been instituted to provide help. The active programs designed to assist the poor are generally means-tested programs, which means that the recipient must meet an income test.
Education-The main purpose of education policy is to help people avoid or overcome poverty. As far as elementary and secondary education is concerned, the federal government in recent decades has enacted several major policies, the first being the Elementary and Secondary Education Act (ESEA), signed by President Lyndon B. Johnson in 1965. Issues such as merit pay, teacher standards, teacher salaries, school choice, and student testing remain in the forefront of educational reform today.
Foreign-The attacks on the World Trade Center and Pentagon on September 11, 2001 served as an eye-opener for the millions of Americans who stood watching in terror on that day. This act of terrorism brought US foreign policy to the headlines for the average citizen. The issues that fall under foreign policy are wide, deep, and expansive. How we deal with nation states and others in the international arena is complex and changes depending on the context of international relations, the ideology of our ruling party, and the impact of the voices of other stakeholders in the process.
Conclusion
As we have seen in this course, there is much involved in public policy, a field that can encompass health care, the economy, our relationships with foreign countries, and virtually every other aspect of American life. But while public policy making involves many steps and stakeholders, citizens play a key role.
References
Saint-Germain, M. (2002) Decision-Making in Public Policy. California State University, Long Beach. Retrieved from http://web.csulb.edu/~msaintg/ppa590/decision.htm .
Slack, B. (2017). The Policy Process. Hofstra University. Retrieved from https://people.hofstra.edu/geotrans/eng/methods/ch9c2en.html .