Lecture No 22 STEPS OF PUBLIC POLICY MAKING

Deciding on the strategy will be determined by

Methods of Policy Making The Synoptic method requires one single central planning authority for the whole of society, combining economic, political, and social control into one integrated planning process that makes interaction unnecessary. It assumes that:- the problem at hand does not go beyond man's cognitive capacities; b) There exists an agreed criteria by which solutions can be judged. c) The problem- solvers have adequate incentives to stay with synoptic analysis until it is completed.

Methods of Policy Making 2. Incremental method of policy making relies on interaction rather than on a complete analysis of the situation to develop a blueprint for solving problems. The incremental approach to policy making is built on the following assumptions: Policy options are based on highly uncertain and fluid knowledge, and are in response to a dynamic situation. (b) No 'correct' solution can therefore be found, or technically derived from a diagnosis of the situation but can have several options. c) Policy adjustments are expected to remedy an experienced dissatisfaction with past policies, improving the existing situation or relieving an urgent problem.

Dimensions of policy making

Decision Making At one end of the spectrum is the societal/personalistic mode where decisions are reached by negotiation among a variety of interest groups e.g. teachers, parents, unions. On the other end is the organizational and or bureaucratic mode wherein decisions are made within the organizational entity.

Decision Making From the incremental to the synoptic approach is placed on the vertical axis. On the one extreme (quadrant I) is the rational mode which is a composite of the synoptic method where decisions are rational, centrally controlled and completely technical and evidence based. On the other extreme (quadrant III) is a composite of the incremental method where decisions tend to be political and have a self interest agenda.

Decision making Analytic techniques carried on in ignorance of the political , social and bureaucratic realities do not go far. Similarly, decisions that are driven by a political self interest agenda can lead to chaos and revolts.

Policy Planning Processes:- Analysis of the existing situation. The generation of policy options. Evaluation of policy options. Making the policy decision. Planning of policy implementation. Policy impact assessment. Subsequent policy cycles of monitoring & evaluation.

1. Analysis of the existing situation A policy change is normally a response to a problem or set of problems and must, therefore, start with an appreciation of its context. The analysis should consider a number of aspects of the social context, including political, economic, demographic, cultural, and social issues which are likely to affect the decision making and even implementation processes.

i) Country background The general character of a country (location, geography, population, culture, and social stratification patterns) has obvious implications for example on education policy analysis. Typically different groups have different values about the role of education. Insofar as education represents access to economic and political power, then different access or interest in education also means differential access to power.

ii) Political context An analysis of the political environment is necessary for an understanding of the national decision-making process. It is worth distinguishing between the priorities of the national political elite relative to development and those of the educational elite relative to education because sometimes this may cause the head of the ministry of education to have different plans from those of the political elite which appointed him leading to two sets of objectives that are at odds with each other or at least not to be tightly intertwined.

iii) Economic context The analyst wants to understand the present macro-economic situation particularly the human resources situation. This requires an analysis of : The likely trends in the various sectors in the future The financial resources of the country in order to assess what the economy requires from the education sector. What the sector expects to face from the rest of the economy, particularly in terms of general infrastructure and financial resources. Demographic shifts, urbanization, and migration.

iv) Education sector Sector analysis starts with an identification and understanding of the major sector issues relevant to the country. These issues include: (i) access to educational opportunities; (ii) equity in the distribution of educational services; (iii) structure of the education system; (iv) internal and external efficiency; (v) institutional arrangements for the management of the sector.

v) Dynamics of change One key socio-political factor to analyze, therefore, is the presence and relative strength of interest groups. Relevant interest groups such as the providers of education e.g. teachers, and the consumers, students, parents and employers. If the former are well organized - they often are - they can be a powerful force in supporting or opposing any educational change.

Dynamics of change Consumer groups most closely connected with either political policy-makers or decision makers within the education system will be able to exert disproportionate influence. In addition, consumers who can organize themselves into forceful street demonstrations, as have some university students, can effect policy changes very favorable to themselves. Therefore, policy planners need to identify interest groups and assess their openness to reform.

Dynamics of change A separate interest group comprises the officials who administer an education system. Studies suggest that bureaucrats find it in their self-interest to maintain a moderate expansion of the educational system. They tend also to value whatever configuration of education is current and to resist policies that would alter it. Therefore, one important element in policy analysis is to understand what the self-interests of the educational bureaucrats are and to recognize that these are not necessarily identical with those of the teachers, or other educational professionals or consumers

2. The process of generating policy options Policy options can be generated in several different ways to accommodate the disequilibrium. For analytical purposes one can group these processes under the following four modes: i) systemic mode, ii) incremental, iii)ad hoc and iv) importation.

I) Systematic Mode The systemic mode is characterized by following operations: i) Generation of data, ii) Formulation and prioritization of options iii) Refining options. Data is usually derived from two sources: sector analysis, and the existing body of professional knowledge (conventional wisdom, research synthesis, comparative indicators, etc.)

ii) The incremental mode Once a problem within the educational system is recognized, then a solution is frequently forced upon the system. This is especially likely to occur when there is a public debate about a problem. Due to widespread interest and discussion, the system is forced to do something to maintain its legitimacy. The sense of urgency necessitates a quick response.

iii) The ad hoc mode A problem that may be outside the educational system may necessitate a policy. It may not even be a problem but instead the emergence of a new elite or a major political event which requires that the some adjustments or changes are made. Here the policy may have no rational basis.

v) The importation mode This is a policy imported from an outside country or personnel thus the name “importation”. However, a certain policy adopted elsewhere can only be imported successfully if it meets the needs of particular groups in the society,

3. Evaluation of policy options Policy options can be evaluated only if alternative scenarios are developed to allow estimations of the likely implications of the options considered. The 'imaginary' situation that would be created if a policy option were implemented is compared with the present situation, and the scenario of transition from the existing to the imaginary case is evaluated in terms of desirability, affordability, and feasibility.

Desirability This involves three dimensions: (1) The impact of the option on the various interest groups or stakeholders: who would benefit? who might feel threatened? how might the potential losers be compensated? what would make the option desirable to all stakeholders? (2) Compatibility with the dominant ideology and targets of economic growth articulated in national development plans; and (3) The impact of a policy option on political development and stability.

Affordability The fiscal costs of the change as well as the social and political costs need to be evaluated. The difficulty of making these estimations lies in the ability to predict future trends, including economic growth. This is especially important because educational expenditures are more vulnerable to changes in economic situations and political objectives than some other kinds of public expenditure. Therefore, alternative economic scenarios need to be considered

Feasibility In this one analyzes the possibility of a policy been implemented; e.g. is there availability of human resources for implementing the change. This requires estimating the level of training needed for the human personnel (the more sophisticated the programmed and/or technology involved, the more highly trained the personnel need to be) and whether there are enough personnel to implement the policy option. Equally important is the presence of the institutional culture (norms, procedures, environment) necessary to attract, retain, and effectively utilize trained personnel in transforming policies into plans and implemented programmed.

4. Making the policy decision All information that is relevant to the decision is gathered and carefully analyzed so that an optimal policy might be designed and selected. The resulting policy may not be optimal for any single interest group, but has a broad base of political support which will be needed to take the policy from the formulation stage to implementation.

Making the policy decision cont… To assess the soundness of the decision process up to this stage, it is useful to ask questions such as the following: How was the decision made - did it go through all the stages of policy analysis? How radical a departure is the decision from current policy? 3. How consistent is this decision with policies of other sectors? Is the policy diffusely articulated or is it stated in a manner which is easily measurable? Does the policy seem operational or is its implementation implausible?

5. Planning policy implementation Once a policy has been chosen, planning for policy implementation should begin immediately. There must be :- clarity and attention to detail that leaves no doubt as to who will do what, when and how; Physical resources must be located and their availability assured; Financial resources must be appropriated so that implementation delays are minimal; t The personnel needed to put plans into action must be freed from other commitments and made ready to go to work.

Planning policy implementation cont… Mobilizing political support is one often overlooked aspect yet one of the most important. The mobilization of political support ensures that the providers and consumers of a new educational initiative embrace it with enthusiasm. If no political support is given then financial resources to implement policy may not be guaranteed.

6. Policy impact assessment Once the policy has been in place long enough to produce results, a policy assessment check can take place. To carry this out, it is necessary to have some sense of how long it should take for the policy, once implemented, to take hold. While policy output measurement can be carried out on a continual basis, premature attempts at assessment can mis-state the effectiveness of the policy.

Policy impact assessment cont… If assessment reveals that the policy outcome is lacking, it is necessary to determine whether the policy itself is inadequate or whether poor implementation is at fault. Human capital inadequacies or under-funding during the implementation stage are among the many possible causes of failure of a well designed policy.

Policy impact assessment cont… On the other hand, if assessment reveals deficiencies in outcomes and if implementation can be shown to have been well done, then it is necessary to re-examine the policy decision and to determine what adjustments or what new policies should be substituted for the original choice. Once this is accomplished, then one moves again to the planning and implementation stages.

Policy impact assessment cont… The assessment process revolves around the following questions: What have been the actual impacts of the policies in question? Are these impacts desirable given the changes that were hoped for? Are the changes affordable? Did costs prevent their full implementation? Did cost over-runs make it unthinkable to implement them over a longer term or on a wider basis? Can the policy be lived with politically and socially? Are the impacts feasible? Were full impacts accomplished? Would exceptional efforts be required to replicate these impacts in other circumstances?

Stages in the Public Policy Process Feedback on the Public Policy Development of the Public Policy Implementation of the Public Policy Genesis of the Public Policy Stage IV Stage I Stage II Stage III

Competing in the Political Market in the 21st Century Understand current conditions, institutions and processes Develop a strategy for creating political market share Create a politically supportive culture within the organization

The Political Marketplace in the U.S.A. Changes in legislative politics Expanding role of interest groups Declining voter participation Increasing importance of television Increasing importance of global political issues

Corporate Political Activities I. Influencing Public Opinion Speaking out on issues Advocacy advertising Image Advertising Economic education Education - missuses II. Public Policy Formation General business associations Industry and trade associations Lobbying Constituency building Campaign contributions III. Post-Legislation Stage Contact with regulatory agencies Judicial procedures

Business Political Activities Lobbying PAC Contributions Public Advocacy Coalition Building Strategic Grassroots Organization

Designing a Legislative Strategy Determine order of actions and the actors to perform them Establish visible coordinating network for each effort level Build coalitions and use direct mail Key on the potential of media support Identify the Legislative goal Arrange a strategy for reaching the goal Focus on important related Legislation Identify the preferences of the key Legislators Solicit information on constituency groups and policy makers

Media Support Aim media pieces toward the undecided voters Keep stories current, relevant and interesting Plan media appearances to control their direction and fit Key on the visual as well as audio aspects of media events Generate free, in-house media materials to distribute to papers, radio and television Time the release of materials to coincide with deadlines Meet regularly with editorial boards and op-ed writers

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