University of the Philippines Open University Public Policy and Program AdministrationIntroduction to Public Policy and Program Administration Ma. Fe Villamejor-Mendoza e University of the Philippines OPEN UNIVERSITYIntroduction to Public Policy and Program Administration By Ma. Fe Villamejor-Mendoza Copyright © 1998 by Maria Fe Villamejor-Mendoza and the UP Open University Apart from any fair use for the purpose of research or private study, criticism or review, this publication may be reproduced, stored or transmitte, in any form or by any means ONLY WITH THE PERMISSION of the authors and the UP Open University Published in the Philippines by the UP Open University Office of Academic Support and Instructional Services 2/F National Computer Center CP. Garcia Avenue, Diliman, Quezon City 1101 ‘Telephone 63-2-426-1515 Email oasis@upou.edu.ph First Printing, 1998 Printed in the PhilippinesCONTENTS UNIT: Rationale for Public Policy and Program Administration Module 1 The Concept of Public Policy Module 2 The Public Policy Process Public Poicy Defined: With Some inspration from Various Authors and Scholars The Various Meanings and Uses of the Concept Characteristics of Public Policies Examples of Public Policies Guides in Defining Public Policy Public Poicy is Larger Than Decisions Itinvolves Behavior as well as intentions Itinvolves Action as wel as inaction Itls a Purposive Course of Action, But Purposes May be Defined Retrospectively It Has Outcomes Which May or May Not Have Been Foreseen Itls Subjectively Defined Itinvolves ntra- and Inter-Organizational Relationships, and & Key, But Not Exclusive Role for Public Agencies It Anses from A Process Over Time The 'Public-ness’ of Public Policies Towards a Working Definition of Public Policy Assumptions About the Nature of the Policy Process Public Poicy Process Defined Modets of Public Policy Process: ‘Components, Contributions and Limitations Focus on Anderson's Model Policy Demand Poicy Decsion Poicy Statements Poicy Outputs Poicy Outcomes The Rushefsky s (1990) Model Problem Identiication Agenda Building Back to Rushefsky’s Mode! The Mendoza’s Model The Phiippine Policy-Making Process, The Cabinet The NEDA Board The LEDAC The Legislative Mill 5 "7 ” 22 23 23 23 By 24 2 2 26 2 23 34 35 45 45 45 46 49 50 50 53 55 56 60 ol 62 65 or oo]Module 3 ine of Public Policy Module 4 Models, Theories, and Approaches in Public Policy The Effects of Globalization on the Process of Domestic Policy.Making Summary and Conclusion ‘An Enlightoned Future from a View of the Past ‘he Evolution The Seed The Plant andits Branches Synoptic and Anti-Synoptic Tradition The Neo-Pluralist Reaction, Handmaicen ‘Approach and Applied Social Science Dicipine Design Science Naturalistic Inquiry Debates and Other Concems Whatis Policy Science? What Roles Do Palicy Scientists Play? What Are the Controversial Comments on the Field? ‘ATemporary Fad or Stale Material? Too Practcal or Too Theoretical Too Mut-Discipiinary or Too Narrowly Focused on Poitical Science Too Guantitative of Too Subjective Too Underutiized or Too Overutiized Too Conservative or Too Liberal Some Agreements The Policy Science in the Philippines ‘As An Academic Schedule Policy Research institutions and Other Scholarly Activities Future and Prospects: Toward Insitutionalizing Pubic Policy in the Phiippnes Limited Reach of the Academic Discipline Long Gestation Period Newness of Poicy Research Institutions Digointed incrementalism and Individuatism Policy Models Defined Types and Examples of Policy Models ‘The Descriptive and Proces- Oriented Models flite Theory: Policy as lite Preference Group Theory: Policy as Group Equiliorium B 76 84 85 85 87 83 83 89 0 92 2 9 7 7 7 8 98 9 9 100 103 104 105 107 108 108 108 109 116 18 1B 1B 123Insitutionaist Model: Policy as Institutional Activity 128 Neo-Institutionalist Model: Policy as ‘Arenas of Power 126 Streams and Windows Modet: Policy as an Intellectual Process of Interaction between and among the Problem, Policy and Political Streams 129 Game Theory: Policy asa Rational Choice in Competitive Situatons 132 The Prescriptive Output and Effect- Orented Models 136 Rational-Comprehensive Model: Policy as Efficient Goal Achievement 138 Incremental Model: Policy as Variations of the Past 138 The Variants and Other IntegrativeLenses 141 Allison's Mode’ 141 Pfeffer's ‘Power in Organizations Model and Whiteley’s ‘Models ot the Policy Process’ 145 Uses of Poicy Models 148 summary 150 UNIT II: The Policy System and Policy Research and Analysis Module 5 a The Concept of the Policy System 0 ‘The Public Policy System The Framework of the Policy System 170 Paitical Culture m Socio Economics Characteristics 7 Technology| 173 Physical Environment 13 Demographic Charactotisics m Regime Characterstics 174 Focus on the Policy Stakeholders 1 What isStakoholder Analysis? The 176 Concept Explained 150 The Component Steps 1B Uses of Stakeholder Analysis 1e4 Requirements and Limitations 185 Mee . Whats Poy Research and Anas? 191 'y Research and Analysis Policy Advocacy 192 Information for Policy 193 Policy Monitoring and Evaluation 194 ‘Analysis of Policy Detormination 108 ‘Analysis of Policy Content 194What are the Main Features of Policy Research Policy Research Pays Attention to the Politics of Polcy-Making It Views Decision-Making Beyond Resource Allocation or Economics It Emphasizes Creativity and Encourages Innovation It Emphasizes “Futures” as Essential for Current Policy-Making It Approaches Problems and Solutions ‘Systematically Its appiied, Inter- and Mutt Disciplinary, Politically Sensitive and Client-Oriented Basic Principles of Policy Research For Policy Research, Partial formation Available at the Time an Action Must be Taken is Better Than Complete Information After the Time The Ultimate Product of Policy Research is ot a Contnbution to Exsting Knowledge in the Literature, But a Social Policy Modified by the Research Results The Similarities and Differences with Other Types of Research simiarities Differences Doing Policy Analysis Preparations for Policy Analysts Some Do's and Don’tsin Communicating Policy summary References Module 7 Rationale for State Intervention What's the state? and Public Policies What Do youMean by State Intervention? The Rationale for Pubic Policies and the Frameworks for State Intervention ‘The Appropriate Roles of the State or the General Public Functions Circumstances Warranting State Intervention: Focus on the Philosophy of the State The Poitical and Economic Rationaiity or Political and Economic Juiscictions for State Intervention 196 196 196 196 197 197 197 198 198 199 203 204 204 207 207 215 27 218 224 226 223 228 230 235Module 8 Policy Implementation List of Figures List of Tables ‘Appendices Market Failure vs, Government Failure The Market Failures 238 Other Market Failures 248 Goverment Failures 251 Equity 259 Generic Policies 260 Summary and Conclusion 265 Policy Implementation: Where Actions Speak Louder than Words 269 How Policy Instruments and Organizational Forms are Chosen tor Implementation 20 The Impottance of Implementation in the Policy Process 2 Implementation Gap or Policy Faiure 274 Policy Failure Due to Non- Implementation 215 Policy Implementation Due to Unsuccessful Implementation 276 Dssentangiing Success and Failure Factors 278 Success and Failure Factors 280 Preconditions to Successful Policy implementation 285 ‘Approaches to implementation Study 291 Panning for Successful Implementation 295 Anticipating Implementation Problems 295 Approaches to Implementation 297 Summary 300 308-323 viAuthor Reader Instructional Designer Editors ‘Course Manager Encoder Page Layout Production Team © UP Open University CREDITS Romeo C. Quieta Professor College of Social Work and Community Development UP Diliman Dr. Editha V. Maslang Associate Professor College of Social Work and Community Development UP Diliman Prof. Fe Josefa G. Nava Assistant Professor College of Education UP Diliman Dr. Nemah Hermosa Associate Professor College of Education UP Diliman Bernadette $. Pablo Professorial Lecturer UP Open University Ms. Rosita S Zamora Carlos J. Domingo Myrth V. Soriano Renato G. Hagan, Jr Allan B. Pamulaklakin Perfecto E. Ramos, Jr Final Version 2000-BUP Open University Unit : The Nature of and Need for Public Policy The Concept of Public Policy INTRODUCTION Welcome to the study of public policy! This module is the first leg of your cruise into the wonderful and stimulating world of public policy. In this module, you will get a practical introduction into the study of public policy, particularly the concept of “public policy as an output”. You will analyze an array of definitions and meanings of the concept. Later, you will be asked to crystallize your own notion of the public policy To help you with the latter, a guide in defining and distinguishing the publicness of public policy will be given to you. In addition, an explanation on the need to understand both the fields of study and practice of public policy will be provided. SG OBJECTIVES Thope that upon completing this module, you will be able to: © comment on and criticize the meanings and implications of various definitions of public policy; jon of the ‘© explain the essence of public policy and develop your own defi concept; © explain what mak s a policy “public”; and ‘* ascertain the need for studying public policy both as a field of academic discipline and a practice in governance and administration, Module 1: The Concept of Public Policy 7Unit I: The Nature of and Need for UP Open Universty Public Policy TIMING OF ACTIVITIES Thope that you can complete Module 1 within two weeks and in at least 20 hours, broken downas follows: Consulting Course Manual/ Study Guide 10 hrs. Reading 4 hrs Research and Assignment 5 hrs Integration hr. Total 20 hrs. Ifyou are fairly well read and socio-politically aware, you may need just the minimum to complete Module 1. If you are not, you may have to commit more time and effort. Don’t be discouraged if some of these ideas seem abstract and difficult to understand at first. You will find a way to grasp them later, and as you go through this course Read through the course notes below as well as the other reading materials recommended in your Set 2: Core Reading. Also, work on the Self-Assessment jodule and discover how seemingly ‘simple’ the complex term ” is. So, what are you w: public policy puzzle. ing for? Read on and digest these bits and pieces in the 2 Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy @A vctwity 1-1 I very well know that you have your own notion of public policy. But what is public policy really? ‘To answer this seemingly elementary question, I want you to go through the following topic heads found in a local daily (Philippine Daily Inquirer) sometime in June 1996. Opposite them, classify whether they are a) public policies (PP); b) related to public policies (RP); or c) clearly, not public policies (NP). Also, explain why you categorize them as such. ‘The topic heads are 1. Local officials shut down lotto tations in Davao, Cebu 2. Cholera hits Laguna; 1 dead, 75 stricken ill 3 Ramos defends extension of Enrile’s term 4. Ramos, spokesman explain eviction of squatters anew 5. Fog stalls search for 24 RP sailors 6. Campus press in peril 7. CHED orders phase out of 8 accounting schools 8. Internet Class on 9. Solons rush bill vs. private armies 10. Bay fishermen face bleak future 11, Sharpshooter scores again. Single shot frees hostage student 12. Parade of stars ushers in Manila film festival 13. Malaysians deny RP bid to visit jailed Pinoys 14. Rats eat rice in Iloilo 15. Strike fever hits South Korean industries 16. P’lldie first! 17. Japan firm to put up P300-M plant in Cavite 18. Cebu Air to buy long-haul aircraft 19. Uniwide to open thrift bank 20. IMF expects RP to post higher growth this year 21. Electric cars to be launched (in Japan) 22. Welcoat swamps Chowking, 79-65 23. Gas bus makes the going cleaner, greener 24. Fixers rake in multi-million from bureaucratic red tape 25. “Lam not guilty”, The Trial of Rizal 26. Military justice is no justice at all 27. Abadilia finally paid for his crime- ABB 28. ‘Araw ng Maynila Tragedy’, Parachuter dies in 2,000-feet dive 29. Day One of Odd-Even Plan, Some car owners spare no tricks ‘Module 1 The Concept of Public PolicyUnit I: The Nature of and Need for UP Open University Public Policy 30. El Shaddai fund row worries bishops You may make a matrix like this to simplify your work: Topic Head Classification Explanation Your efforts here will not be graded. However, they may help in giving you a better understanding of the complex oxymoron that is public policy. ‘The answers and explanations for this sub-activity are somewhere in this module. Bat don’t “peep” now. Read through them only at the right time, which is later! @? SAQ 1-1 What is public policy? z Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy PUBLIC POLICY DEFINED: WITH SOME INSPIRATION FROM VARIOUS AUTHORS AND SCHOLARS “Public policy”, according to Cunningham (as quoted in Nicolaidis, 1973) “is like an elephant. One readily recognizes it when he or she sees it. However, one cannot easily define it .” ‘An elephant is usually defined as a mammal. It is also a big eared, long-tusked creature. Likewise, it is the animal that conceives the longest, which is about two years. These descriptions do not however, wholly or completely capture the essence of an elephant, Because an elephant is all of these and more. The same can be said of public policy. Many know it. Numerous scholars define it, Predictably, many interpret it differently In the Philippine setting, one often hears of an office policy, a policy set by one’s parents or supervisor, or a policy enacted by government or provided for in the Constitution. An office policy may include rules on tardiness, union organizing ‘or promotions and incentives. A policy set by one’s parents may include having breakfast before leaving the house, going home before curfew hours, or you, taking on a career of their choice, ie., not yours. A policy provided for in the mother of all laws in the country, which is the Constitution, may include the State’s policy of providing equal access to basic services , recognizing equality between the laws of men and women, or that of preserving and maintaining the patrimony of the land. Other examples of these policies are specific acts of Congress approved by the President, official pronouncements by the Executive, or more specific provisions of existing laws and regulations. More specifically, these may comprise the act re- imposing the death penalty on heinous crimes, e.g., murder, kidnap for ransom, rape, ete ‘These may also include the Medium-Term Philippine Development Plan, more commonly known as Philippines 2000; the privatization of government corporations or public enterprises like the Philippine Airlines, PETRON, Manila Hotel; the Water Crisis Act: the deregulation of the airline, oil, telecommunications and retail industries; the liberalization of trade; the announcement of public holidays; or even the specilic projects of government instrumentality, e.g., the mega-dike project against lahar of Mt. Pinatubo in Central Luzon. Module 1: The Concept of Public Policy 5Unit I: The Nature of and Need for UP Open Universty Public Policy More recently, these may include the compromise law on “sin” taxes (for products like beer, cigarettes and the like), the Mining Act of 1995, the Social Reform Agenda (SRA) of 1995, the Manila Action Plan for APEC °96, the Indigenous Peoples’ Rights Act of 1997 or the Revised Rape Bill of 1998. All these are so-called policies, in a sense that these are actions, guides to actions, or the rules of the game, taken by individuals or group(s) of persons, purposively for a particular objective or goal. These are also outputs of authorities, whether institutions or individuals, in the policy system. ‘The first sets of examples are basically those of individuals and the private sector, and are thus known as private policies . Reporting on time is a nule or “policy” which an office worker must follow. One has to be prompt, not only out of respect for others’ time, but more importantly, to see to it that he or she productively adds values to the goals of the organization. A son who is not yet independent from his parents, obeys the latter, for his own good. Private policies are seemingly independent of public policies, and vice versa. However, as we will explain later in Module 2, both types of policies, e.g., private and public, do influence each other in a lot of ways. ‘The third set of examples are public policies, i.e., those which citizens generally refer to as what governments do or do not do. They are more or less, the tangible manifestations of government actions and decisions. They are outputs, which, in my conceptualization, are courses of action, sometimes inaction, rules and ‘guidance for action, taken and adopted by government or its instrumentality, presumably io address a given problem or set of interrelated problems in the society. Ideally, they are intended for the common good and welfare of the people. Let me explain my concept of publie policy as an output: First, public policies are courses of action, sometimes inaction, rules and guidance for action. They are moder governments” quintessential response to the environment (Pal, 1992). They connote a plan, a coherent vision, a direction, and a resolve to take on the job. They are sets of directions for government operations. ‘They are what are actually done or intentionally left undone by government, as against what are proposed or intended to be done. They include a series of procedures, processes, rules, modes or ways for governments conduct of the affairs of the State. They connote decisive actions or postures of decisive actions by the State. A number of examples of public policies as courses of action are found in the subsequent pages of this Module, e.g., see pages 17 onwards. As earlier noted, public policies also include intentional withdrawal of governmental action, or government willfully refraining from doing, waiting, or leaving things as they are. These are “inactions” of some sort wherein government 6 Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy does other more strategic things than actively doing particular functions, e.g., policy setting than engaging actively in business, eradicating the poverty of the 100 most poor in each provinces, rather than fighting a seemingly “over-critical” press. For example, the current government's policy of global competitiveness to achieve NIChood by the year 2000, as embodied in our Medium Term Philippine Development Plan (MTPDP), includes actions, sub-policies or strategies intended to realize our dream of becoming the new economic tiger in Asia. These courses of action consist of, among others, liberalizing trade and investments, signing up in the World Trade Organization (WTO), the General Agreement on Tariffs and Trade (GATT)-Uruguay Round and the Asia-Pacific Economic Cooperation or APEC, deregulation, decentralization, and privatization. These also include people empowerment, and a minimalist role of the State in the economy and society. The latter in the reinventing parlance of Osborne and Gaebler (1993), means that the Philippine government merely “steers and not rows” the affairs of the State. The latter also refers to government inactions in the sense that the government is actually withdrawing from actively doing some of the functions which it has been doing in the past, e.g., providing womb to tomb services (Ocampo, 1988), and letting other sectors, e.g., the civil society and the private sector, who can do them better, do them, As you very well know, the government, starting from the Aquino regime, has been aggressively active, despite or in spite international prodding or pressures, in delegating operational policies to sectors within and outside the government. At the same time, it has been concentrating on strategic policies, such as those of the standard-setting, steering, facilitating types. This trend continues up to the present Estrada administration with each governance thrusts until year 2004. More particular examples of government “inaction” include the government’ privatization thrusts, decentralization or the Local Government Code of 1991, the build-operate-transfer policy and others already mentioned above. Another example of inaction is the policy on diplomacy and war. The State does not attract war against her neighbors, e.g., aggression against China with regard to the Mischief Reefs in the Spratlys. Rather, it forges harmonious relationship with other members of the intemational community. Thus, the inaction is with regard to war and aggression. However, there is also action with regard to policy setting and diplomacy. ‘These policies of the steering and “rolling back-of-the-state” mode may or may not be beneficial to us, Filipinos. But only time and vigilance can tell. Second, public policies are taken and adopted by government or its instrumentality. This special characteristic of public policy stems from the fact that they arc defined, assessed, formulated, adopted, implemented, sometimes monitored and evaluated, mainly by what Easton (1965) calls “the authorities” in a political system. They are, Module 1: The Concept of Public Policy 7Unit |: The Nature of and Need for UP Open University Public Policy namely, the “elders, paramount chiefs, executives, legislators, judges, administrators, councilors, monarchs, and the like”. ‘The authorities, he says, are the persons or institutions who “engage in the daily affairs of a political system,” are “recognized by most members of the system as having responsibility for these matters,” and take actions that are “accepted as binding most of the time by most of the members so long as they act within the limits of their roles.” (Ibid.) Public policies are issued by authorities or by the official policy stakeholders which we will discuss in Module 5. Although, of course, other (non-authorities” or unofficial) stakeholders have a role to play in policy-making as well, ‘The civil society, particularly its non-government organizations members, may frown on this idea of “authorities.” Mainly, this may be because in our so-called democratic space, power emanates from the people. Democracy is supposed to be governance “for the people, by the people and through the people.” True enough. But again, this does not ignore the orchestrating role of the state or the officials who are representatives of the people. This qualification in conceptualizing public policy does not ignore the role of other “authorities” in policy-making. It only gives “officious” consideration for the government authorities who have the mandate to formulate, implement and interpret policies for the welfare and interest of the people. Third, public policies are made presumably to address a given problem or set of interrelated problems in the society. Dunn (1991) theorizes, “ (if there is) no problem, (there is) no policy solution”. He insists that public policies exist as intended solutions to the problem(s) that beset the society, e.g., poverty, underdevelopment, environmental degradation, subsistence quality of life, ete. They are either the effects of government interventions, or the causes of changes in the society, however incremental they may be. The airline liberalization policy, for example, otherwise known as Executive Order No. 219 series of 1995 and entitled, “Establishing the Domestic and International Civil Aviation Liberalization Policy” aims to address the need to regulate and prohibit monopolies in the airline industry, when public interests so require. It also aims to control unfair competition, inerease access for Filipino as well as foreign passengers and, more importantly, improve air service availability, quality and efficiency through exposure to markets and competition e Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy Its mandate includes dealing with the perceived inefficiency, un-affordability and poor air service of the Philippine Airlines (PAL) -dominated airline industry. Such is deemed a policy problem that has a solution, e.g., EO 219, whieh is well within the management control of the State or its intrumentalities, The Indigenous Peoples’ Rights Act of 1997, meanwhile, is supposed to respond to the IP's ancestral domain claim. The new Rape Bill of 1998 is supposed to redefine rape as a crime against chastity. The list may go on. But the basic idea remains that public policies have purposes and goals which are intended to solve/tesolve societal problems and concerns. Lastly, public policies are ideally intended for the common good and welfare of the people. President Aquino once said in her State of the Nation Address (1991) that I did not always adopt the ideal solutions proposed by those who have the luxury of contemplation. Govemment ofien had to do ‘what pressing realities compelled it to do. And if the government sometimes lacked better choices, it never lacked the sincere desire to do good. Since policies “can never be completely unintentional” (Pal, 1992), they are ideally supposed to achieve a certain purpose or goal beneficial to the public. ‘They are intended to improve society. Positively, they are undertaken to achieve goals of say, eliminating poverty, preventing crime, so on. In real life though, and particularly in the Philippine context, something sometimes goes awry and even the best intentions are not always met. Nevertheless, as long as public policies are symbolically for the public interest, they seem to be good enough than none at all Otherwise, some public may view society as “not worth saving”, with government not even trying to do or undo things for them (Dye, 1972). In my earlier example above, the policy of global competitiveness and NIChood by the year 2000 is ideally intended to improve the quality of life and make the Philippines more economically comfortable and “powerful”, less poor and more developed. This changed state is the intention of such policy. Whether this can be achieved or not, and to what extent, only the next years or so can tell. Meanwhile, the Newsweek magazine labels “the Philippines as Asia’s New Tiger and no longer the economic laughingstock of the region” (November 25, 1996). Whatever this ‘means, you and I know better. Besides, people frequently judge public policies in terms of their good intentions rather than their more tangible accomplishments. This expanded meaning of the concept of public policy connotes outputs of government, e.g., courses of action or inaction. However, take note that: Module 1: The Concept of Public Policy 9Unit |: The Nature of and Need for UP Open University Public Policy 1. publi policy is not restricted to its outputs, nor to its stated “objectives” or “formal strategies” to pursue government’s objectives, e.g., for the common good and welfare. It encompasses the actual activities taken by government, whether or not a government's strategies and objectives are explicit, or congruent with its activities (Aucoin in Doem and Aucoin, eds., 1979). Public policy is , as Dye (1972) puts it, “whatever governments choose to do or not to do”, and 2. the concept of public policy includes the impacts which result either from a government's action or lack of the same. The logical justification for this inclusion is that governing is essentially the continual choice between preserving or altering the status quo, and that governments must accept responsibility for the extent to which their actions affect the status quo. To me, the above definition and its two qualifications here are a simplified consiruction of the complex concept of public policy and its various components and ramifications. We will graphically flesh out this working definition as we go along this module (See section on “The Anatomy of Public Policy”). Meanwhile, take a look at the various definitions of public policy from the perspective of various authors and scholars. Read through Table 2. 10 Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy Table 2. Public Policy as Defined by Various Authors 1. “the relationship of a government unit to its environment” -Eyestone, 1971 2. “whatever governments choose to do or not to do” “Dye, 1972 3. “along series of more or less related activities (rather than discrete decisions)” -Rose, 1969 4. “a proposed course of action ofa person, group or goverament within a given environment providing obstacles and opportunities which the policy was proposed to utilize and overcome in an effort o reach a goal or realize an objective or purpose” -Friedrich, 1963, 5. “apurpesive course of action followed by anactor or set of acters in dealing with problem or matter of concern” «Anderson, 1975, 6. “also a purposive or goal-oriented than random or chance behavior; consists of courses of action than separate, discrete decisions, what governments actually do, not what they intend to do or say they are going to do; based on law and is authoritative; broken down into categories of 1) policy demands; 2) policy decisions; 3) policy statements, 4) policy outputs; and 5) policy outcomes. Anderson, 1975 7. “astute for action, manifesting or clarifying specific organizational goals, objectives, values or ideals, often prescribing the obligatory and most desirable ways and means of their accomplishment. Such a rule fer action established for the purpose of framing, guiding, or directing organizational activities, including decision-making, intends to provide relative stability, consistency, uniformity and continuity in the operations of the organization” = Nicolaidis, 1963 8, “amulti-dimensional entity of the organizational world; has pluralistic purpose, character, form and development, is generally incomplete and sometimes ambiguous to leave enough freedom to the operating levels to shape the (final) policy” -Nicolaidis, 1963 9. “guidance for action”- UN, 1975 10. “‘major guidelines for action directed at future, decided mainly by government organs, formally aim at achieving what isin the public interest by the best possible means” - Drer, 1978 IL. “long series of more or less related choices (including decisions not to act) made by governmental bodies and officials dealing with many different issue areas such as, defense...” - Duna, 1981 12, “anidenifiale set of government actions toward some situations perceived problematic; ‘what those ations are from the perspective ofthe public, ard what their consequences are” - Lynn, 1987 as quoted in Crew, Jr, 1992 Module 1: The Concept of Public Policy TiUnit |: The Nature of and Need for UP Open University Public Policy How is the concept of public policy defined by various scholars and authors? What are ‘your opinions on these definitions? ‘As you may have very well observed, the term “policy” or “public policy” lacks a precise and generally acceptable definition among scholars. Numerous authors define the concept differently. Some define it vaguely. Others define it comprehensively. Some define it sketchily. Others define it lengthily. Eyestone (1971) perceives it as the “totality of government relationship with its environment.” Nicolaidis (1963), meanwhile, describes it as “a multi-dimensional entity which has an important role in maintaining uniformity, consistency, relative stability and continuity in government (organizational) operations.” Some definitions are futuristic. Others are set in the present tense. ‘The bottom line though is that policy has an intention and purpose (although this may be defined retrospectively, or after policies were formulated). As a public policy, it is a set of government action or inaction, directed ideally at improving society and its people. To some extent | have integrated the finer points of these constructs in my working definition above. I suppose you can do the same, can’t you? Werk on your own concept of public policy in your SAQ No. 2, okay? Good luck! Meanwhile, move on. 2 Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy o ASAQ 1-1 told you that the answers to SAQ 1-1 are somewhere in this module. Don’t look farther now, for they are here. For SAQ 1-1, the more probable grouping of the topic heads is as follow Expectedly, there are overlaps in some cases, ie., topic heads are classified in either one of at least two groupings. However, these are explained, together with the justifications for the other topic heads, below: PP or a Public Policy: Topic Heads 1, 3, 7, and 13 Shutting down lotto stations is an act emanating from the Local Government Code’s provision giving local executives (decentralized) discretion to decide on matters beneficial to their localities. President Ramos’ decision to extend the term of General Enrile as the commanding general of the Armed Forces of the Philippines emanates from his discretion to appoint officials of the land , especially so for positions which directly affect national welfare, defense and interest. ‘The Commission on Higher Education is the policy-making body for matters related to tertiary education. Its order of phasing out eight accounting schools may originate from a finding pointing to the students’ low performance in professional licensure examinations (in thi accounting board exams) for the past five years, or from other indicators of mediocre performance of the schools’ graduates and programs, To some extent, topic head 13 is a policy, this time, Malaysia's foreign or defense policy, denying the country’s request to visit Filipinos jailed in Sabah and who were allegedly found maltreated and abused of their human rights in this part of Malaysia. Allowing or disallowing other ‘countries’ meddling into seemingly pure internal affairs of a country is a prerogative or a policy right of a State. RP or Related to Public Policy Topic Heads 1, 2, 4, 5, 6,9, 10, 11, 12, 14, 15, 17, 18, 19, 20, 21, 23,24, 26, 27, 28, 29 Module 1: The Concept of Public Policy 73Unit |: The Nature of and Need for UP Open University Public Policy Topic head 1 could also be technically, only an effect ofa public policy as contained in the Local Government Code of 1991. In this case, the policy is the Code and its contents and intentions. Shutting down lotto stations is a logical consequence of the Code’s authorizations and provisions, granting autonomy to local units the right of local executives to assert this autonomy. Other topic heads speak of either a consequence, effect or impact of good or bad/poor policy (action or inaction, implementation or non-implementation), e.g, the increase incidence of diseases, eviction of squatters, unsuccessful search mission for sailors lost in the sca, a dying campus press, a freed hostage, a crop harvest in peril because of rats, arash of labor strikes in Korean industries, an incentive to put up foreign business in Cavite, another incentive to a private firm (Cebu Air) to upgrade its facilities (aircraft) maybe as a result of the airline industry deregulation or the Open Skies policy of the govemment, the momally questionable flourishing of the “fixing business” as a result of red tape in government, and a tragedy that marred the celebration of a public holiday, or confusion or chaos in the implementation of a government stratezy or traffic plan. Other topic heads speak of a policy demand, public perception, observation or feedback into a government policy, e.g., misgiving on the private armies in the country and the urgency to enact a law to contain or eliminate them, the Alex Buncayao Brigade (ABB)’s threat to wipe out misfits and corrupt in the police and military and their perception that General Abadilla (who was a brilliant officer of the Amny and the Vice Governor of Ilocos Norte before he was ambushed and killed) deserved to die. NR or Clearly Not 2 Public Poli Topic Heads 8, 16, 17, 18, 19, 21, 22, 23, 25, 30 ‘These speak of activities of the private sector, witich may have bearing on existing policies, or vice versa, but were not found too significant to tilt their grouping to either PP or RP. These include an ad for an Intemet class by a computer school, Jose Rizal’s assertion that he isnot guilty of the charge of sedition, the launching of electric cars by private car manufacturers in Japan, the observation that gas bus makes the going cleaner and greener, and the financial row in El Shaddai, a charismatic group within the Catholic church 14 Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy that worries Bishop Bacani or even Cardinal Sin. To some extent, these may have happened as a result of government pronouncements such as shaping up for the Information Highway, gearing for a cleaner environment in car manufacturing, etc. But for this exercise, the topic heads do not have obvious or clear links between these demands, insights, observations, consequences, effects or impacts, on one hand, and particular public policies on the other. As earlier mentioned, your answers to this SAQ are not graded. They are, however, intended to elucidate some aspects or comporents of the module and entice you to ‘more fully appreciate the topics contained herein. Working through the SAAs may prove difficult, But as the saying goes, “No pain, no gain.” THE VARIOUS MEANINGS AND USES OF THE CONCEPT My working definition of public policy above gives us a conceptual anatomy of public policy. Ata more concrete level, however, the concept of public policy may be dissected into its various uses and meanings as boxed in Fig. 1 below: = alabel fora field of government activity = expression of general purpose = aspirations of, for the society = speci = decisions of government proposals or means for achieving larger ends * formal authorizations = program of government * an output or what government actually delivers = atheory or model of cause and effect = aprocess Fig. 1. The Various Uses and Meanings of the Concept of Public Policy Module 1: The Concept of Public Policy 15Unit I: The Nature of and Need for UP Open Universty Public Policy As a label for a field of government activity, public policy may consist of ‘economic policies, social policies, policies on international relations, policies on defense, peace and order, and so on. Economic policies may further include the liberalization of trade (in the airline, downstream oil or retail industry), the MAPA‘96, the Philippine (Individual) Action Plan (LAP) committing to free trade and zero tariff by 2004-2020, the Agricultural and Fisheries Modernization ‘Act, etc. Social policies may include Quality Education by 2000, Health for All, respect for human rights, the Social Reform Agenda and Erap’s “Lingap sa Mahirap” program. The list may go on and on. Despite the seeming compartmentalization of these fields, it is still my belief that they are not mutually exclusive in the sense that one is immune from the influence or interrelation of or by other fields. Likewise, as Aucoin (in Doem and Aucoin, eds., 1979) opines, “although each field or public policy may not be well integrated or coordinated, they are still interdependent, even if they vary in their degrees of interdependence”. For example, becoming an industrialized country depends on the quality of its human resource (which is addressed by the social policies). Achievement of economic growth is not without political stability Sustainable development is not achievable without social, economic, political reforms ‘As an aspiration of or for the society, it may include government pronouncements such as “war against poverty”, “NIC-hood by the year 2000”, “health for all”, “global “competitiveness”, “people empowerment”, “gender equity by 2025”, “food security for all”, “liberation of the masses”, others. Such do more than affect change in societal conditions. They also seem to hold people together and maintain an orderly state. For example, the “war against poverty” may not have a significant impact on the poor, but it reassures moral men, the affluent as well as the poor, that government “cares” about poverty and how it can be reduced or eradicated. President Estrada even states that “even if the poor is alleviated, everyone else, even the rich, is alleviated” SONA 1999). As an expression of general purpose, it may read something like: “it shall be the policy of the State to deregulate the downstream oil industry to foster a truly ‘competitive market which can better achieve the social policy objectives of fair prices and adequate, continuous supply of environmentally-clean and high- quality petroleum products” (Sec. 2, Ch. 1, R.A. 8180, “An Act Deregulating the Downstream Oil Industry, and For Other Purposes”) Asa theory of cause and effect, it may include assuming that “privatization improves industry efficiency, promotes competition, encourages private entrepreneurial behavior, broadens the ownership base, and raises capital” of government corporations (E,O. 237s. 1995). It may also include assuming that with the Social Reform Agenda (SRA) in place, its three agenda, namely, 1) access to quality basic services or the imperatives of survival; 2) asset reform and 6 Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy sustainable development; and 3) institution building and participation, will be addressed. CHARACTERISTICS OF PUBLIC POLICIES Public policy possesses various characteristics. It is also a multi-purpose ‘device’ (Nicolaidis, 1973). It isa guide or norm for action. It isa control device used to keep individual activities within the standards or norms set forth. Likewise, itis a simplification method of acting and doing, e.g.,.as a scale of authoritative or agreeable evaluation of ethical values; as a list of priorities of goals and objectives to be accomplished; a stock of pattern behavior; a list of preferences of ways and means of doing things. IL is a compass for organizational navigation or “policy lighthouses” helping to maintain continuity and uniformity among institutions. It is a regulating device of the communication system. It gives guides as to whom one has to ask or demand certain actions. It is also an adjusting device between overlapping levels of ‘organizational action (Nicolaides, 1993), Expanded into the organization of the State with the government as the main controller and coordinator of public actions, public policy is the essence of governance and service. Although it is important at this point to stress that it “is merely a subset, albeit one of the most important, of all the things that ‘government do” (Pal, 1992). Its the rationale for state intervention into private actions, either to encourage, regulate, inspire or direct (Weimer and Vining, 1994). Moreover, public policy has dual character: command and agreement (Nicolaidis, 1973). Itis a rational articulation of the means and objectives or maximization of government outputs. It is also a method of compromise and agreement between and among parties that may be affected or are affecting the form and substance of policies. This is needed to eliminate conflicts and secure smooth operation of the ‘government and its organs. Its form could be a set of rules arranged hierarchically or logically (normative form) or not as a unified or harmoniously as pictured (empirical), such that it has pluralism, generality, abstractness and intermediateness (Nicolaides, 1973). Module 1: The Concept of Public Policy 7Unit |: The Nature of and Need for UP Open University Public Policy In addition, Nakamura (1981) explains that vagueness may be a characteristic of (the) policy (formulation stage) because it allows coalitions to be built, differences to be papered over, and the “real” policy to be defined at the implementation stage. The specification of lethal injection as against the use of electric chair for death convicts is an example of a clarification at subsequent (policy) stages of a seemingly “vague” policy directive. In addition, this was in response to alls for more humane and economical method of death penalty. To some extent, this is advantageous to the operators at the implementation level since they are more knowledgeable of the problems and solutions at their end. This, however, also poses some gaps in policy and implementation as implementors sometimes unduly skew a particular policy in a particular direction of their choice and interpretation, very much different from those of the policy makers’. We will discuss this phenomenon of “policy failure” or “policy gap” later on in Module & Meanwhile, Aucoin (in Doem and Aucoin, eds., 1979) mentions three prineipal characteristics of public policies: coercive, distributive and systematic. Public policy is coercive in that it entails the capacity of government to bring on citizens the full force of political authority, including of course the imposition of sanctions, eg., death penalty for heinous crimes. Itis distributive insofar as it entails the capacity of government, directly or indirectly, to allocate goods and services, rights and privileges in socio-economic affairs and of equal importance, to arrange the offices or positions of authority in the political system itself, e.g., in distributing powers and functions among the three branches of government: the executive, Legislative, and Judiciary. Finally, public policy is systematic in that it entails the exercise of political authority across the total range of public affai however much these affairs are themselves characterized by discontinuity. Corollarily, Dye (1978) asserts that public policy, being authoritatively defined, determined, implemented and enforced by government institutions, has legitimacy, universality and coercive characteristics. Government lends legitimacy to public policies. Governmental policies are generally regarded as legal and command the loyalty of citizens. They also involve universality in the sense that only government policies extend to or cover all people in the society. In addition, only government monopolizes coercion on society and legitimately imprisons violators of its policies, Taxation is a case in point. Taxing, say, of income derived from the practice of ‘one’s profession, business, and other gainful occupation is a legitimate action of the state, It universally applies to everyone (who is gainfully employed). In addition, it coerces everyone to pay. Otherwise, sanctions (surcharges and other fees) are imposed on those who disobey, violate or fail to obey. “Underground taxation”, i.e., by the rebels or members of the underground movement, which was significantly prevalent during the Marcos regime, is not a legitimate, universal nor coercive policy of the State. It is a “policy” of forces other than the government and theoretically does not impose obedience from everyone. 18 Module 1: The Concept of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy Although of course, some of those given the “bill” by these entities, had no other recourse but to obey. Otherwise, they suffer from other forms of sanctions or persecution, e g., be salvaged or massacred. A ACTIVITY 1- Give examples of public policies. Explain why you think they are public policies. EXAMPLES OF PUBLIC POLICIES For your appreciation, below are some examples of public policies in the country. ‘They include specific acts of the Legislature and the Executive, and the Constitutional Convention of 1987, for that matter. Go through them one by one and try to mentally deduce and explain why they are considered public policies. Module 1: The Concept of Public Policy 79Unit |: The Nature of and Need for UP Open University Public Policy Table 3. Some Examples of Public Policies in the Philippines The Philippine Constitution of 1987 “The State shall establish end maintain a system of frce public education in the elementary ard high schools levels” (Art. XIV, Sec 2) “Civilian authority is, at all times, supreme over the military.” (Art. III, Sec. 3) “The Philippines, consistent with the national interest, adopts and pursues a policy of freedom from nuclear weapons in its territory.” Art. III, Sec. 7) “The State shall promote a just and dynamic social order (Sec. 9)... and promote social justice in phases of national development.” (Sec. 10) “The State recognizes the role of the youth (Sec. 13) and women in nation building.” Sec. 14) “The Ste shall dovelpasereint and independent national economy effetvely controlled by Filipinos.” (Sec. 19) “The State shall ensure the autonomy of local governments.” (Sec. 25) “The State shall maintain honesty and integrity in the public service and take positive and effective measures against graft and corruption.” (Sec. 27) “The State shall guarantee equal access to opportunities in the public service, and prohibit political dynasties as may be defined by law. (Sec. 26) “The State shall establish end maintain one police force, which shall be national in scope and civilian in character, to be administered and controlled by a national police commission.” (Art. 16, Sec. 6) Free Public Secondary Education Act fof 1988 or R.A. 6635 ‘an act providing for better and broader educational opportunity for the people, particularly the poor, by providing free tuition and other fees to qualified students in secondary course offered in government owned schools, colleges and universities. The Comprehensive Agrarian Reform Law (CARL) or 6657 ‘an providing for a comprehensive agrarian reform program in the country: mote particularly, establishing a 10-year gradual program under which beneficiaries, eg, farmers and landless farm workers, would receive three (3) hectares of land, ‘The Generies Act of 1988 or R.A. 6675 an act to promote, require and ensure the production of an adequate supply, distribution, use and acceptance of drugs and medicines identified by their generic names or their scientifically and internationally recognized active ingredients ‘The Code of Conduct and Ethical Standards for Public officials and Employees or RA. 6713 an act promoting high standard of ethics in public service; among these norms are commitment to public interest, justice and sincerity, political neutrality, responsiveness to the public, nationalism and patriotism, commitment to democracy and simple living 20 Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy R.A. 6735 or an Act Providing for a System of Citizens’ Initiative and Referendum under this system of initiative, the people may make a petition (1) proposing amendments in the Constitution; (2) proposing to enact a legislation; or (3) proposing to enact a regional, provincial, city, municipal or barangay law, resolution or ordinance, also this provides for a system of referendum where the electorate may approve or reject a legislation through an election called for the purpose R.A. 7042 or the Foreign Investments Act of 1991 or 7042 ‘an act setting clearer and more liberal guidelines to induce foreign nationals and entities to invest in the country, without compromising our national interest; it provides no restrictions on the extent of foreign ownership for export enterprises, except in areas on the negative list where only 40% of the equity capital is allowed; among those in the latter include the following: (list A) — those areas exclusively reserved for Patlippine nationals by the Constitution and other laws; (list B) those (1) activities which are defense- related, requiring prior clearance and authorization from the Department of National Defense; (2) those which have implications on public health and morals, such as the manufacture and distribution of dangerous drugs, all forms of gambling, nightclubs, bars, beer houses, dance halls, sauna and steam bath-houses and massage clinics; and (list C)— those areas in which existing enterprises already serve adequately the needs of the economy and consumers as determined by the National Economic and Development Authority (NEDA). ‘The Anti-Plunder Act or R.A. 7080 punishes the use of high office for personal enrichment; more specifically, it punishes commission of extortion, theft, robbery, malversation, falsification or bribery, and more importantly, the plunder of the entire nation by any public officer, resulting in grave damage to the national; economy ‘The Foreign Service Act of 1991 ‘an act revising R.A. 708, as amended, which has been the basis law governing the conduct of our foreign service since 1952; it seeks to reorganize and strengthen the foreign service in order to upgrade the career system and enable it to respond to the challenges and demands of twenty-first century diplomacy. The Local Government Code of 1991 or R.A. 7160 Provides for a more responsive and accountable local government structure instituted through a system of decentralization with effective mechanisms for recall, initiative and referendum; decentralizes the powers, responsibilities and resources of the National Government in favor of provinces, cities, municipalities and barangays, with a view to making them more self-reliant and developed. What can you infer from these examples? What are their common strands? their common characteristics? Did you find the characteristics listed in the earlier section present in these examples? Module 1: The Concept of Public Policy 21Unit I: The Nature of and Need for UP Open University Public Policy Do outline your answers to these questions in your notebook. They will come in handy in clarifying your own notion of the concept of public policy. They may also reinforce your integration of the theoretical inputs you have learned so far in this, course, into our very own Philippine experience. This early, you would have been able to contextualize generic concepts and themes into our situations, and vice versa. 2 What are some criteria or guides in defining public policy? SAQ1 GUIDES IN DEFINING PUBLIC POLI suppose that by now, you have already a clearer idea of what public policy is, both in theory and practice, particularly as it is applied in the Philippine context. The following guidelines originally framed by Hogwood and Gunn (1994) but contextualized and explained by the writer here using Philippine examples will, however, further direct you to a more satisfactory understanding and appreciation of the concept of public policy. 2 Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy PUBLIC POLICY IS LARGER THAN DECISIONS Public policy usually involves a series of more specific decisions, sometimes in “rational” sequence, typically generated by interactions among many related decisions. For example, the selective ban on the posting of overseas domestic helpers (DHs) is not a mere decision of the Ramos administration after the infamous “Flor Contemplacion debacle”. It isa course of action arrived at by government after finding out how Filipino DHs in other countries are maltreated, abused or short-changed. It has come as sort of a jolt, or a re-awakening to the fact that our ‘government and its instrumentality here and abroad, particularly our consulate and embassy people, should protect and look afier the welfare of its constituents, more so, this particular human resource and their cohoris. The overseas contract workers (OCW5) are bannered as the biggest revenue earner of the country and hailed as the “new heroes” of the land. Thus, they deserve protection and nurturing from the State. IT INVOLVES BEHAVIOR AS WELL AS INTENTIONS. This is so, particularly because, not all intentions or plans and aspirations, are successfully realized. The Social Reform Agenda (SRA) is a package of interventions intended to improve access to basic services, particularly of the disadvantaged and marginalized sectors, e.g., farmers and fisherfolks, indigenous people, women, others. It is a public policy nevertheless, in spite or despite the ved. possibility that its goals may or may not be successfully acl IT INVOLVES ACTION AS WELL AS INACTION. Public policy also includes the deliberate decisions by government to act or not to act. As mentioned earlier, the government's thrusts toward globalization, privatization, decentralization, people empowerment, de-regulation, and the like, ‘are manifestations of government’s philosophy of minimalist role in the society and economy. Such policies let other sectors do the things they can do better, because they have more resources, capability and willingness than the State. Such, at the same time, however, allow the State to concentrate on aspects it can do better such as policy formulation, standard setting, and “steering than rowing”. Module 1: The Concept of Public Policy 23Unit I: The Nature of and Need for UP Open Universty Public Policy IT IS A PURPOSIVE COURSE OF ACTION. BUT PURPOSES MAY BE DEFINED RETROSPECTIVELY. Purposes may be invented ex post facto or after the fact, in order to rationalize past actions rather than be formulated ex anie or before everything else, as a rational guide to future actions. A policy of the latter includes the de-regulation of industries which sims in general to break up monopolies and make industries competitive. These purposes in the end, should benefit the consumers, For example, with the de-regulation of the telecommunications industry, the monopolistic hold of the Philippine Long Distance Telephone Company or PLDT, the Cojuangco-owned empire, is assumed corrected. This implies entry of more telecommunications companies like the Bayantel of the Lopezes, Globe Telecom of the Ayalas, Islacom, etc. With more competitors, the giant PLDT woke up and instituted “Operation: Zero Backlog”. In addition, the Department of ‘Transportation and Communications (DOTC) drew up a master plan assigning telecommunications carrier per region to ensure maximum hook up to telephone and other communications line of the Filipinos To acertain extent, this resulted in more people connected to telephone lines and in more communication media available in the market ,e.g., cellular phones, internet servers, pagers, etc. at less prohibitive prices. ‘An example of an ex post facto -type of public policy on the other hand, is the creation of government owned- and/or controlled corporations (GOCCs) during the Marcos regime. This policy was consistent with the regime's philosophy of the State, e.g. state and/or crony- capitalism, which resulted in, among others, the creation of pseudo-GOCCs like the tomato canning factory in Ilocos, the Marcos Golf Foundation and the like. As history tells us, these state enterprises were used as milking cows by the authoritarian goverment. IT HAS OUTCOMES WHICH MAY OR MAY NOT HAVE BEEN FORESEEN. Public policy embraces what are intended and what occur as a result of ‘government intervention. Their outcomes may be positive or negative, officially beneficial but sometimes disadvantageous to some sectors. ‘The Mining Act of 1995, for example, is intended to resuscitate the ailing mining industry and open doors to multi-billion investments by some multinational mining companies. Its (short-term) outcomes may include infusion of fresh capital, new technology and the re-birth of the mining industry. It may also include massive extraction of our mineral resources as more efficient technology favors massive ‘open pit mining and the like. It may also include environmental degradation, 24 Wodule 1: The Concept of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy displacement of labor, and utter disregard of claimed ancestral domain of our indigenous people (IPs), as well as their cultural, political and economic dislocation IT IS SUBJECTIVELY DEFINED. ‘As youe will see in Module 5, public policy is differently viewed, structured and defined by various actors, stakeholders and “players in position” who use various “conceptual lenses” (Allison, 1971). Thus, the final structure of a public policy becomes a political resultant, a “hydraulic press” that slants or tilts in favor of those whose interests, power and resources predominate. This is just a teaser, as you could have inferred. I have more explanations on this in Modules 4 and 5 IT INVOLVES INTRA- AND INTER-ORGANIZATIONAL RELATIONSHIPS, AND A KEY, BUT NOT EXCLUSIVE ROLE FOR PUBLIC AGENCIES. Decisions may be taken by single organizations, even by individual actors. But policies typically involve the interplay of many actors and organizations, and the ‘working out of complex relationship between them. The policy-making system in the country is an intricate web of actors, institutions and organizational turf that facilitate, or deter the passage of progressive policies. The proposed rape bill which “redefines rape as a crime against person, not against ‘one’s chastity, and also includes marital rape”, was filed in the 8" Congress. It has not accomplished much because of this intricate web of vocal progressives, conservatives, cause-oriented groups, women’s groups, etc. You may be already familiar with this, and that is good. But I will discuss more of this complex policy system later on. (This proposed bill was finally enacted into law in the 10" Congress towards the latter part of 1998 In addition, the government which has authority, legitimacy and coercive power ‘over public policies, has the key role in policy-making. But as in most pol the land, other sectors, whether private or non-governmental, also have a role to play. They may either be the “agitators”, lobbyists, the critical mass who brought to the attention and agenda of government certain perceived policy problems and ‘The case of the critical press and the issue of press freedom are by no means legitimate concerns in 1999, which have dominated people’s consciousness both in government and beyond. Module 1: The Concept of Public Policy 25Unit I: The Nature of and Need for UP Open University Public Policy IT ARISES FROM A PROCESS OVER TIME. For a policy to be regarded as a “public policy”, it must to some degree, have been generated or at least processed within the framework of governmental procedures, influences and organizations. We will discuss this concept in more detail in Module 2, ? SAQ 1-3 What distinguishes a public from a private policy? 26 Wodule 1: The Goncepi of Public PolicyUP Open University Unit : The Nature of and Need for Public Policy THE ‘PUBLIC-NESS’ OF PUBLIC POLICIES How would you distinguish a public policy from other state instruments or from the so-called policies of other sectors? I have ventured an answer to this in earlier sections. Remember the “LUC” of Dye, eg, legitimacy, universality and coercion? ‘Also Nicolaidis’ command and agreement, intermediateness, pluralism, generality, abstractness? ‘Thus, what you will be reading here is my sort of integration of the earlier features of public policy. | have boxed them as follows: * if itis authoritatively determined implemented and enforced by govemmental institutions (Dye, 1971); © ifitis legitimate, universal and coercive in effect (Dye, 1971); © ifit commands obedience as well as agreement (Nicolaidis, 1963); © if it has the key role of government and also the participation of other institutions/ sectors (Hogwood and Gunn, 1984); good of the public (Mendoza, 1991). and more importantly, if itis for the achievement of societal improvement, or ideally for the common Do you have any comment or reaction to this? I will appreciate your feedback on this. Do write or call me. Module 1: The Concept of Public Policy 2Unit I: The Nature of and Need for UP Open Universty Public Policy TOWARDS A WORKING DEFINITION OF PUBLIC POLICY Thave defined the concept of public policy (as an output). I have also reinforced this notion with some examples in the Philippine contest. I have also given you some guides in further understanding this complex and complicated concept. I have also stressed the public character of public policies in the section above. As you may have already grasped, public policy is dynamic and evolves into various forms when defined by different individuals, scholars and students of policy and governance. However, to make the concept less abstract, we can synthesize the various meanings, definitions and connotations of the concept into the following: 1. In terms of form , public policy is a guide, a rule, a course of action or norm for present and future decisions and actions, providing a framework or pattern solutions to anticipated future problems. 2. Its character is that of a manifestation or clarification of specific goals, objectives, values or ideals, as well as normative patterns of action needed for their accomplishments. 3. Itis a theory of cause and effect, is both an output, a process, an outcome and effect 4, Its ultimate objectives are towards stability, consistency, uniformity and continuity in the operations of organizations like governments and. societies 5. Itis public if it is made by government who have the legitimacy, authority ‘or mandate to enforce coercion and universality of actions intended for the ‘common good and welfare. 6. Ithas various manifestations which can be organized into a hierarchy. It ranges from the choice of priorities through plans, to decision rules. Fleshing out the various forms, hierarchy and specificity of public policies, I suggest the following composite definition of the concept of public policy. It > Desired state of affairs vision and mi govemance for Laws, rules, regulations series of government Outcomes; effects; decisions and actions [change or no change purposive course of from the status quo actions Programs Field of activity of government projects Government actions/inaction cause |-———>| errct, IMPACT Fig. 2. The Anatomy of Public Policy As you may have noticed, the anatomy fleshes out public policy from the broader and seemingly more vague “statement of general intent or mission of governance” to the more specific or narrower “governmental actions or inaction, programs, projects and activities”. The range is from the broader to the more detailed or specific aspects of governmental decisions, implying that here, the distinction between policy and administration at most reflects nothing more than an attificial dividing line between the “broader or narrower” aspects of governance. This anatomy also fleshes out other distinctions which I suppose you can easily uncover. Module 1: The Concept of Public Policy 29Unit I: The Nature of and Need for UP Open University Public Policy A acrwiv1s Inthe preceding sections, I have tried to conceptualize and integrate the various meanings, connotations, and implications of public policy. To some extent, I hope I have made myself clear to you and that I have helped you, one way or the other, to understand and appreciate the complex and complicated concept of public policy. It may have a seemingly Western slant. But I hope I have successfully reflected on them, using Philippine experience Since leaming is a two-way street and you, as the learner, have more responsibility to learn, I am encouraging you now to firm up your understanding of the concept. More specifically, how would you define public policy? Thus, on your notebook, draw a model and explain your understanding of the concept of public policy. Inaddition, if you have more time, try to locate other participants in this course and compare notes with them. Also, try to approach your tutor who will gladly exchange ideas and opinions with you SUGGESTED READINGS ‘You will find the materials in Set2 helpful in enriching your understanding of this module. Do read them and digest their relevance to you and Module 1 OTHER NOTES Do not be intimidated by the volume of matcrials you have to go through to complete the course. I will try to give you chunks of information, so that you will not suffer information overload. In addition, I will try to always think of your own difficulties at the moment, so that we will not give you packages that may overwhelm you. I will try to be very reasonable in giving you assignments and projects. Rest assured that I merely want to help you and bring out the best in you. 30 Wodule 1: The Goncepi of Public PolicyUP Open University Unit I: The Nature of and Need for Public Policy ‘The rest of the bargain, however, is that you have to do your part. You have to strive and give your best shot; because as the Saying goes, “no pain, no gain”. Also, if you have any problems or concerns, contact your faculty-in-charge and tutors. They will always be around to help you. Take note: If you have any problems, questions or points for clarification, lift the phone, send your fax message, mail your letter, or send us your e-mail We want you to be enlightened and wise. We also wish you'll enjoy breezing through this course. And now, are you ready for Module 2? Good, you will then advance to the next page. Congratulations for completing Module 1! Module 1: The Concept of Public Policy atUP Open University Unit : The Nature of and Need for Public Poli The Public Policy Process INTRODUCTION I started your cruise with the module on public policy as an output. I did this because the complex concept is more readily grasped by its concrete manifestations or by what one readily senses or feels. When one is asked, “What is public policy?”, the usual answer could be any of the following: 1) an official pronouncement or aspiration (RP 2000 or NIC, a newly industrializing country by 2000); 2) a Constitutional provision, e.g, itis the policy of the State to protect and preserve the national patrimony of the land; 3) a government program, e.g. quality education by 2000, health for all, SRA’s flagship programs; or 4) a government project or particular set of activities, eg. the unified traffic volume reduction scheme, economic zones, or rural electrification. ‘There is nothing wrong with this orientation which I likened to experiencing the coolness of rain on a hot summer day. One readily senses the rain. In fact, one welcomes it. But one does not always think of the processes it underwent, e.g. evaporation and condensation, before it became rain. We also likened public policy to an elephant, but did not yet explain how an elephant came about (conception) and how it became one big mammal (rearing, training, etc.) ‘Thus, in this module, we will enrich what we have learned in Module 1 by focusing on the process or processes that a public policy undergoes. Here, we will try to clarify how policy-making works, assuming some degree of rationality and politics in each of the processes or stages of the policy cycle. We will focus on the process which chums the output that is public policy. Module 2: Public Policy Process 32Unit |: The Nature of and Need for Public Polic UP Open Univer Conceptually, I will provide you with a list of definitions of public policy process; ‘compare and contrast a number of public policy process frameworks; and briefly explain and analyze the different stages of the process. Empirically, Iwill provide a general |, Societal € ndustsy > | roblem by various , iittons, sectorsin the casts, damages ‘orsin — Cabinet met with the noted sectors complained & sought resolution of President the problem by t ‘government Legislature also worked hand in hand with the Executive + ‘What isthe problem? +} Problem is defined by ‘What should be done? Alternatives are assessed and evaluated government (1980s- l 1996s)) Policy Legitimization BOT law, re-organization & & Adoption (1980s-present) privatization of NAPOCOR, power barges. streamlining restructuring of the power problems in implementation ODA procedures & sector, energy supply ‘ofpoliies and programs releases, repair, development & conservation rehabilitation & plans & programs, Power construction of Patrol power plants, Power Crisis Act | reduced brownoutstblockouts ¥ ‘steady power supply people apis indstes mre 1 Productive; society & economy ‘more efficient use of scarce noe comforable(1990-beyong) || ¢—————]_ ae “Ticats of fhe Case of Power Brownouts Module 2: Public Policy Process a4Unit |: The Nature of and Need for Public Policy UP Open University MODELS OF PUBLIC POLICY PROCESS: COMPONENTS, CONTRIBUTIONS AND LIMITATIONS ‘There is an abundance of models and frameworks of the public policy process Figure 5 gives a capsulized glimpse of the more commen frameworks found in policy books and journals. Basically, as in the PAS or problem-alternative- solution genre, there are the models by Anderson (1975, 1978, 1984), Rushefsky (1990), Dunn (1981), Vig and Kraft (1984), Wildavsky (1978), Brewer (1974) and Lasswell (1956). The models by Gonzales (1995) and Mendoza (1994) may also interest you since they are fairly recent and approximate the Philippine policy-making process. They are in the next pages as Figures 6 and 7, respectively ‘As you can see in Figures 5-7, some authors would adda stage or two to the core PAS framework. Others would ignore or skip some steps. FOCUS ON ANDERSON’S MODEL Anderson's model, developed in 1975 and modified in 1978 and again in 1984, is appealing in that it reflects transformations themselves. Anderson in 1975 started by conceptualizing the policy process in terms of categories of action, policy demand, policy decision, policy statement, policy action or output, and policy ‘outcome. Policy Demand ‘These are claims made upon public officials by other actors, private or official, in the political system for action or inaction on some perceived problem. In our earlier example on power brownouts and blackouts, the march by ATOM ‘members and the audience sought by the business community on the President of the Republic, are manifestations of policy demands and articulation of their perceived public problem, eg., the brownouts and the damages, inconvenience, losses, eic. that result from them, which the government and no other sector must ‘authoritatively address. a Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy Policy Decision This pertains to the decision by public officials that authorizes or gives direction and content to public policy actions, e.g., the decision to enact a law or administrative order, The resolve by the government to do something to address the power outages or blackouts in the country, is a policy decision that logically stems from the articulated policy demand above. It was just fortunate that the important stakeholders in government listened and did not turn a deaf ear to the problem. Otherwise, it might have taken ages before the policy problem acted upon. Module 2: Public Policy Process 46ssanarg danod 14nd Jo saBtg eNUANbag puE sjapolY SHAOKIUMA HOME aos *¢ “TLL WopeUTUNaL JO voneuW9L uossavong ‘eoueusIurew AoH0g uonentens Kovice e0URUWOHed Teonoedet vol uonenyeng vonenjena 9 6 uonewuewsoydusy Koyo s0w001NO _JepuDUWiODIY uuoneqwaua|cul, one vuondopyy Karjce} uonenieng, uono9jag sisAeuy suondg ‘sunseoai04 vorewys3 Bunseosios @ uonluyaa anss; p19 01 MoU epI99p 0} BulpIDeq Kotiod wolacie vonewiojuy pou best 26) s0m01g 86) “WuND B POOMBOH “IA va6h EM? BIA “IA ‘uung “A Kddy ——_uoissavong food voneue ‘esneg uonenieng uonenteng @woon Kato uoneoniddy ‘umo 811 8 Aolog uoneuate|duy, uoneueworduy, nding fated ‘Buna6png vonnjosey Warde ndony Aalto uondopy wauiaers food Inut04 Follod uone|Mue4 —UOREINWIO ADI\dg ——UOISOAG ADIjoe} Buping epuady —uchewoy epuaby'e sous6iIAU] —_UoIsso00Ng WoIqed UOREONNUD] WO|qald _UOHEOYTUDP! WAIqO4d ——«wEPUBYAdIIog —— PUEWIOG Katou, ve6b 86h suet ‘souer 996) ‘HeMssey “Al BLE ‘AYSAEPLIM “I 0664 ‘AYS}OUSNY “IL ‘uossepuy “1UP Open University Unit I: The Nature of and Need for Public Policy > Problem Analvsis * understanding the problem = receiving the problem: assessing. the symptoms = ffaming the problem: analyzing +———>}_ Information market and government failures, Gathering = modeling the problem identifying policy variables Solution Analvsis * choosing evaluation criteria * specifying policy alternatives * evaluating: predicting impacts of +>] Communicating alternatives & valuing them in terms of Advice criteria set Implementation Monitoring Policy Outcomes & Evaluating Policy Performance Adapted from Weimer and Vining, 1994 Fig. 6. The Policy Process Simplified (Gonzales, 1995)* Module 2: Public Policy Process 48Unit |: The Nature of and Need for Public Policy UP Open University Policy Problem Definition Evaluating “Advocating Performance Change Policy Politics & ‘Agenda Building Implementation: [> \_ Dynamics Citizens’ Access & Successes & iniitves Pitfalls Policy Adoption & Developing "Advocacy Altematves: Stakeholder Analysis Methods & Tools Fig. 7. The Policy Process (Mendoza, 1994) Policy Statements ‘These are formal expressions or articulations of public policy, ¢g., Administrative (AO) Executive Order (EO) or Republic Act (RA). The Power Crisis Act of 1991, the emergency use of power barges, the streamlining of ODA procedures and fund releases, the reorganization of the NAPOCOR and the re-creation of the DOE, as well as the development of an energy supply development and utilization plan, together with the issuance of AO 123, represent the set of decisions and statements, e.g., public policies, taken by the government io resohe the brownout problem and its disruptive effects on the economy and society: In the power outages problem, there seemed to be no disagreement as to the best way to resolve the problem. This may be because the concern then was basically to lick the problem and prioritize government decisions. a Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy ‘There are instances, however, in real life, when an actual or potential course of action by government involves conflict among different segments of the society (Dunn, 1981). In such a case, a policy issue exists. Debates, negotiations, bargaining, compromises and the like follow. Also, the final decision or policy arrived at symbolizes the tilt to those whose interest, power and resource prevailed, ‘An example of a policy issue is the contentious and emotional debate on the death penalty (Solution) for heinous crimes. Pro-life and pro-death advocates would strongly endorse “No” or “Yes” for death penalty. Redefining the crime of rape from a crime against chastity to one against person, whether male or female, is another example of a conflict-ridden polemic. Policy Outputs This pertains to ‘tangible manifestations’ of public policies; they are the things actually done by government in pursuance of policy decisions and statements. they are ‘simply’ what the government actually does, ¢.g., taxes collected, roads constructed, schools created, ete. In our earlier case, this category of action may be noted in the actual number of communities served by power barges; the number of power plants rehabilitated, repaired or constructed; the number of power plant projects under the BOT scheme; the number of Power Patrols created; etc. Policy Outcomes ‘These are the consequences for society, intended or unintended, that flow from the action or inaction by government, e.g. the Ormoc tragedy and the Mt. Parker ‘eruption’ which were the unintended consequences of the government's seeming helplessness in enforcing environmental policies against illegal logging, dynamite fishing and unauthorized mining. These also resulted in the people's seeming disrespect for Mother Nature and a “tragedy of the commons” — type of uniniended effect, which we will explain in Module 7. In the meanwhile, going back to our case, policy outcomes may be identified after examining whether the supply of electricity has normalized or whether brownouts and blackouts have been reduced. Consequently, we would see whether such stabilized situation reduced discomfort, loses and damages in the society and economy. Finally, policy outcomes may be deduced by finding out whether as a result of normalized electric power situation, our country is now on the road to industrialization or not. This framework focused more on the tangible manifestations of each of the stages in the policy cycle, as highlighted in Module 1, e.g., outputs. However, Anderson felt the need to supplement these categories of action with activities or strategies Module 2: Public Policy Process 50Unit |: The Nature of and Need for Public Policy UP Open University to make the process more procedural. Thus, in 1978, he transformed his key categories of action to policy stages. These include policy agenda setting, formulation, adoption, implementation, monitoring and evaluation. Fig. 8 on the next page shows this modified framework in more detail Andersons explanations are in layman’s terms ie., common sense. Study the model well make sure you digest and internalize what he is saying Policy Stages ‘Terminology | Agenda Policy Policy Policy Policy ng Formulation | Adoption _ | Implementation _| Evaluation Definition | Those ‘The develop- | The Application of | Efforts by the problems, | mentof develop- | the policy o the | government among many, | pertinent and | mentof | problem by the | to assess which receive | acceptable | support for | government's | whether the the serious | propesed | a specific | administrative | policy was attention of | courses of | proposal so | machinery effect oF not public action for | that a policy officials dealing with | can be a public legitimized problem or autho- rized Common | Getting the | Whatis being | Getting the | Applying the | Finding out Sense government | proposed io | government | goverament’s | whether the toconsider | be done toaccepta | policyto the | policy action ona | aboutthe | particular _| problem worked problem problem solution to the problem Fig. 8. Anderson's 1978 Policy Process Model 7 Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Pa A PetiviTy 24 Not content with his second framework, Anderson in 1984, supplemented these stages with questions on the most important considerations in each stage of the policy cycle. He wanted us to consider these vital questions in understanding what goes on in the policy process. Now, read through these questions in Table 4 below and make a critique. Be reminded though that a good critique always starts with a good grasp of the subject being examined Apply any one of his models to a policy problem or issue familiar to you, similar to what I did with the power blackouts problem. Go on! Don’t hesitate to bring in your own perceptions of how things and events fall into place. Experiment, tap your creativity and imagination. Write your answers in your notebook. Be conscientious and patient in structuring and scribbling your thoughts. Rewards will come to you soon as you gain a better understanding and appreciation of the course. By the way, there is not only one correct answer to this activity. As long as you go through the stages of the framework/s and reflect on the relevance and implications of these stages in our own setting, you are on the right track You are an expert here and your agency and individual experiences will see you through. Module 2: Public Policy Process 52Unit |: The Nature of and Need for Public Policy UP Open University ‘Table 4. Anderson's 1984 Policy Process Framework 1. Problem Identification and Agenda Formation ~ What isa policy problem? ~ What makes it a policy problem? ~ How dogs it get into the agenda of government? 2. Formulation ~ How are altematives for dealing with the problem developed? ~ Who participates in policy formulation? 3. Adoption - How is a policy alternative adopted or enacted? ~ What requirements must be met? = Who adopts the policy? ~ What processes are used? ~ What is the content of the adopted policy? 4, Implementation - Who is involved? ~ What is done, if anything, to carry a policy into effect? ~ What impact does this have on policy content? 5. Evaluation ~ How is the effectiveness or impact of a policy measured? ~ Who evaluates? ~ Are there demands for change or repeal of the policy? THE RUSHEFSKY’S (1990) MODEL Rushefsky’s (1990) model works in a linear fashion, i.e., as in a straight linc, starting from the first point to the last. He nevertheless recognizes that this, pattern may not always be true in reality, and that complexities occur at every step of the process. In fact, he added that, for most problems, all the stages in his model are going on almost at the same time. Some stages are re ‘isited and re- negotiated as the cycle progresses. And small decisions cumulate to a layer of policy action in other stages. 3s Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public ee ticy Rushefsky’s model has the following stages: ‘Module 2; Public Policy Process 54Unit |: The Nature of and Need for Public Polic UP Open Univer @ Activity 2.2 Can you notice the similarities and/or differences between Rusheisky’s model and the other policy process models? Write your observations in your notebook, okay? Now let me explain Rushefsky’s model using Philippine examples. Problem Identification, Here, the demand for government action to resolve a problem or take advantage ‘of an opportunity is verbalized by affected groups or individuals or those who havea stake in the policy issue or concern. They belong either to the government, private or non-government sector. In addition, attempts to get government to sce that a policy problem or opportunity exists are ventured into by affected or interested parties at this stage In our earlier case, the lobbying by ATOM and business community members is an identification of a policy problem, e.g., power crisis that the government has to address. The societal problem was identified and articulated and assessed. Later, it was assessed by the government as to its severity and adverse impact Rushefsky maintains that a societal problem will not become a policy problem if itis articulated and identified os Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy His contribution in this phase of the policy cycle is distinguishing between policy problems public problems and private problems. He contends that not all private problems become policy problems and that only policy problems should be addressed by government. His distinction goes like this: 1) aprivate problem is limited in effect to one or few persons directly involved: 2) apublic problem has broad effects, including consequences for persons not directly involved ; 3) apolicy problem is a condition or situation that produces needs or dissatisfactions on the part of the people for which public relief or redress is being sought. Going back to the case of power outages, such problem has become unbearable and disruptive affecting not only a limited group of individuals, but almost everyone, including the high and the mighty. It has wrought havoc not only to the industries and economy as a whole but to the lives of the multitude of Filipinos as well. On the other hand, ifa residence or company suffers from power interruption because of its own doing, e.g., illegal connection, electric current overload, non- payment of electric bills, etc., and if the blackout is confined only to their place, then the problem is a private problem. As such, government may not be called upon to do something about it. It should be resolved by the particular power supplierparticular consumers affected and the power supplier. Agenda Building Here, items, particularly the more important ones, are “built” into the agenda of government, so that policy makers are expected to discuss and seriously consider them, later. Policy agenda are the demands that policy makers make choose or feel compelled to act upon. They consist of the sum of all issues judged to require public intervention. According to Rushefsky, there is a so-called agenda formation process. Itis a course wherein private problems are transformed into public problems, which in turn become a policy issue, and later built into the agenda of government, either systemically or institutionally. It is represented by the diagram below (Fig. 9) Module 2: Public Policy Process 56Unit |: The Nature of and Need for Public Polic UP Open Univer private public (policy) problen ———+ problem issue’ ume institutional agenda. = ————* agenda Fig. 9. Rushefsky’s (1990) Agenda Formation Process As mentioned, a policy issue arises when a public problem seeks or demands government action and when there is public disagreement over the best solution to the problem. On the other hand, a systemic agenda consist of all issues commonly perceived by members of the political community as meriting public attention and involving matters within the legitimate jurisdiction of existing governmental activity. They are also known as discussion agenda. An institutional agenda, meanwhile, consist of those problems which public offi feel obliged to give serious attention to. They are otherwise known as the decision agenda If you may recall, in our power brownout case, the problem was articulated not only to the NAPOCOR management which had a direct hand on the power ‘outages experienced in the 1980s-90s. It also reached President Aquino and her cabinet. Afterwards, the problem also reached President Ramos and his cabinet. If this was the case, the private problem of ordinary citizens and individual companies suffering from discomforts, losses and damages because of power ‘outages, reached an alarming proportion and became a policy and public problem. It went further to the systemic agenda of the Aquino and Ramos administrations and then delegated to a smaller sub-committee in the cabinet, with the re-created DOE at the helm This sub-committee was the cabinet cluster which the Aquino administration introduced. There were at least five clusters, e.g., economic, social, political, defense, etc., which were so grouped for manageability and focus in addressing societal concerns. This practice was continued by the Ramos administration and I believe this is still being continued today by the Estrada administration. 7 | Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy The cluster on economic development then, to whom the energy problem was assigned, can be considered in this power crisis case as the locus of the institutional agenda. It was where specific solutions were identified, assessed and decided for policy enactment or formulation. In addition to lobbying and seeking audience with authorities, there are other ways foran issue/problem to become part of the policy agenda. These include, ‘among many, a) pressures (suggestions) by interest groups; b) desires of important people or group in the community; ©) attention given by media; 4d) triggering events; €) personal interests of legislators; £) pressures of public opinion or public outery; and g) statistics and indicators, ‘Technically, what ATOM and the business leaders did fall under a) and b). Their actions were complemented by the activities of the tri-media, e.g., print, radio, ‘TV; thus, bringing the policy problem to the attention of everyone, including the government leaders, In other policy concerns, worthy examples are the investigative exposes of the journals and dailies, e.g., the Philippine Daily Inquirer, Today, Manila Chronicle, Star, on such topics as the pork barrel, vanishing indigenous tribes, child abuse and exploitation, domestic violence, privatization of government-owned and/or controlled corporations, de-regulation of the oil industry, heinous crimes, the plight of overseas contract workers (OCW), globalization, APEC, the problems of garbage disposal and traffic, and the like. Other important activities of the media include the television's public affairs programs like “Hoy Gising!”, “Brigada Siete”, “Probe Team’, “Inside Story”, “Dong Puno Live”, “Magandang Gabi Bayan”, “I witness” “Debate with Mare and Parc” and “Correspondence” which continue to provide incisive reports on various societal issues and concerns. After the issue on Flor Contemplacion, for example, the same unfortunate fate ‘was avoided to fortunately benefit Sarah Balabagan. The Philippine media brought to the consciousness of people in government, both here and in our embassies abroad, and of others concerned, the abuses suffered by the OCWs and the need for the State to do something to alleviate their sad plight. Module 2: Public Policy Process 38Unit |: The Nature of and Need for Public Policy UP Open University ‘Triggering events like the Ormoc tragedy, the Bocaue Pagoda tragedy, the Mt. Pinatubo eruption, the Ozone Disco fire, the flattening of two hills in Bohol’s famed Chocolate Hills, the death of Macli-ing Dulag, the assassination of Ninoy Aquino, the Cebu Pacific crash, the sinking of the “Pearl of the Orient”, the death of John Kennedy Jr. and his wife in a plane crash en route to Martha’s Vineyard, the closure of the Manila Times, etc. all spurred people to reflect on why these eventshappened, what inadequacies can be corrected, and more importantly, what reforms can be done to avoid them from happening again. Tam sure, the memory of these events is still fresh in our minds. We can still recall vividly the frail bodies being excavated from the mud of the Ormoc flashfloods; the rumbling lahar as well as the graying ashfall of Mt. Pinatubo. Who can forget the wails and stampede in the Bocaue pagoda and Ozone fire tragedies, the blood-stained land in the Cordillera after Macli-ing Dulag was slain? Who can forget the long funeral march for the slain senator, Ninoy Aquino? Didn’this death galvanize the country into one victorious “Yellow Revolution” against the dictator? Our history and current events provide us inspiration, drive and resolve to heed the lessons of the past, especially the dark past, to act, and never allow then to happen again. @ CTUNITY 2-3 Inthe meantime, there are numerous instances wherein policy problems were included in the agenda of government because of other agenda setting methods ebove. Can you think of at least one instance? Scan your memory bank for recent and not too recent examples, okay? Scribble your thoughts in your notebook As in the previous activities, there is no one correct answer. Yours is as good as mine. Your perception of how things went in the past and at present ismore o less what has happened. Iam sure you also have documents to support your perception of things? i Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy BACK TO RUSHEFSKY’S MODEL The subsequent stages in Rusheiky’s policy process model are more or less the same as in the other models. Policy Formulation is the stage where a policy, plan, program or project to remedy the problem is developed. It is also the stage for real and conceptual problem solving. Policy Adoption is the acceptance by some person or group that has power or authority to make decisions on a referred toher/him/them. Budgeting is a multifaceted process of providing funds to an adopted preferred solution to a problem. Jmplemeniation is carrying out a policy, program, project or activity intended to address a particular (set of) problem (s). Evaluation is assessment of how well a policy, program, project or activity has worked. Policy Succession is the phase when reflection on whether a policy is to be changed, amended or terminated is done. Rushefsky’s contribution is his insistence that budgeting be part of the policy process. Unlike other schools of thought that normally subsume such phase under policy adoption and implementation, Rushefsky asserts that resources should be allotted officially to ensure a more successful policy implementation. A policy thrust on food security for example, will not achieve its purpose/s if funds were not alloted to agriculture. Quality education by 2000 will mean nothing if schools and teachers exist only in plans. For as one of our local sayings mouth: “Konting bato, konting buhangin, konting semento ang kailangan bago matavo ang rebulto!” Rushefsky’s model also stresses the need for policy succession or termination, particularly if the reason for a policy's existence has already been satisfied. Although logical in other setting, it does not seem to work in our culture because ‘our people are sentimental and tend to cling to the past. In addition, our goverment seem does not hent on ending what has been started, especially if it is perceived as good. As a people, we don’t let go of anything too easily. I will explain this kind of Filipino political culture in Module 5. Module 2: Public Policy Process 60Unit |: The Nature of and Need for Public Policy UP Open University 29 SAQ 2-3 How is policy-making and reform done in the Philippines? ‘THE MENDOZA’S MOD! Initially. I prepared my policy process model (Fig. 1) for the PPPA (Public Policy and Program Administration) curriculum committee of the College of Publ Administration, U.P., in 1994, At that time we at the College were evaluating the PPPA field of specialization in the MPA program. Our initial assessment then was that the PPPA curriculum was too ‘compartmentalized in the sense that each course (PA 241-Introduction; PA 242.1- Economies of Public Policy; PA 242.2-Tools; PA 243- Project Management; PA 245-Program Administration, PA 247-Policy Paper; PA 248-Workshop) deals with particular topics and phases of the policy cycle distinctly and separately. Also, there was no course integrating or weaving all these courses into one wholistic framework. Thus, PA 244 (The Policy Process) was born; and so was my model. The Mendoza model is basically a reflection of the politics and rationality of public policy-making in the country. The process is cyelical and dynamic. Each phase is replete with objectivity, subjectivity, balance and tilt, rationality and politics. Each may be the beginning or end. Each reflects some of the foci of the PPPA courses at the College of Public Administration e.g., overview of public policy and program administration, policy methods and tools, project evaluation, implementation analysi a | Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy My model is similar to other policy process paradigms in the sense that policy making is raced backward from problem identification to agenda building, and forward to policy formulation, adoption, implementation and evaluation Itis different from other models in that it emphasizes problem re-definition, assuming a serious evaluation of policy performance has been made, or that an agitated sector/s have already perceived a critical problem and re-defined it as well, in order that it becomes more acceptable to the policy agenda makers and setters. Also, it espouses more participation by citizens and other institutions of democracy, as well as their advocacy role for change and reform in the society. Moreover, itadvocates orientation to the processes, methods and tools of policy analysis and research in developing altemative policy solutions. This is crucial, particularly in our society where the technology of policy science has yet to seep into the consciousness of our policy makers and analysts. Likewise, the tool of stakeholder analysis is stressed to promote its use in making our policies more politically acceptable and administratively, technically feasible. My model also stresses the ingredients for successful policy implementation in ‘order to influence a more serious concem for the possible successes and pitfalls in implementing government policies. Thave a more detailed step-by-step explanation of the phases in my policy eyele model in the PA 244 course offering of the MPM. My students and I are also applying this model in the PA 244 residential course in our MPA. Whether residential or distance mode, don’t hesitate to enroll in PA/PM 244 later, okay? So, ‘til we meet again? THE PHILIPPINE POLICY-MAKING PROCESS ‘The Philippine policy-making process is generally characterized as precedent- bound, based on laws and forged by such structures and mechanisms provided for in the Constitution and other laws of the land. Such institutions include the bi- cameral legislative body, composed of the Senate and the House of Representatives; the executive branch of government, headed by the President of the Republic; and the judiciary headed by the Chief Justice of the Supreme Court. This has review power over the decisions of the executive and legislative branches, particularly on such questions as constitutionality and statutory construction By and large, the process of policy making in the country follows the models so far presented in earlier sections. However, Sec. Sobrepena of the Presidential Module 2: Public Policy Process 62Unit |: The Nature of and Need for Public Policy UP Open University Management Staff (PMS) (then of the NEDA and METRO Bank) visualizes the process more specifically into the following: (sce Fig. 10) AGENDA SETTING POLICY POLICY * identification and FORMULATION LEGITIMATION, definition of >| = development of JADOPTION problems, crises and specific proposals = mobilization of advocacy of action or series of support and alternative enactment in proposals in the form of response to the legislation, emerging crisis executive . ‘ification of orders, ind choice of administrative means for achieving regulations and them court decisions POLICY EVALUATION POLICY = government reviews and IMPLEMENTATION attempts to determine + = mobilization of whether policies/programs resources and have worked and should be application to goal continued achievement Fig. 10. The Public Policy-making Process in the Philippines, Sobrepena (1995) In every branch of goverment, various mechanisms are in place for public policy- making. Among them are 1) the Cabinet; 2) the NEDA Board; 3) special consultative bodies as the LEDAC (Legislative-Executive Development Advisory Council), for the Executive branch; and 4) the committees and the procedures for enacting laws, for the Legislative. For the judiciary, various courts, from the, municipal, regional trial courts to the Court of Appeals and Supreme Court, represent its tiers and structures for policy and decision-making oso Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy By levels of government, local units (LGUs) pattern their system of decision and policy-making with that of the national government However, other LGUs may : GROUPS CLUSTERS CABINET OTHER . OTHER SECTORS GOVERNMENT AGENCIES Fig. 11. The Executive Policy-making Mechanism through the Cabinet Among the urgent administration bills which emanated from the cabinet were the proposed national ID system, the Power Crisis Bill, the Omnibus Energy Bill, the Rape Bill, etc. Some of these were submitted to the Legislature as urgent administration bills for enactment into law. Some remained with the Executive and formulated into Executive Orders like the one creating the SPCPD or the Southern Philippines Council for Peace and Development. As earlier alluded to, the participation of interest groups and other agencies beside those in the regular departments in the cabinet policy-making process is ad hoc. The cabinet has not yet institutionally opened its membership to other sectors. This may be due to the confidentiality of most of the decisions of “national importance”. This may also be so because the formal structure has not yet recognized the need to institutionalize membership of other sectors Module 2: Public Policy Process 66Unit |: The Nature of and Need for Public Policy UP Open University THE NEDA BOARD ‘The NEDA Board is like the mini-cabinet or the midi-cluster. Its chair is also the President of the Republic. Its vice chair is the Director-General of the NEDA Secretariat. Among its members are the Executive Secretary and the Secretaries of the following departments: Finance, Trade and Industry, Agriculture, Environment and Natural Resources, Public Works, Budget, Labor, Local Government, Agrarian Reform, Foreign Affairs and Health. The NEDA Secretariat, meanwhile, consists of staff and line offices at the national and regional levels Figure 12 show the organization of NEDA including the agencies and inter-agency committees attached to it. ‘ATTACHED, NEDA BOARD NEDA BOARD AGENCIES INTER-AGENCY COMMITTEES = Tariff Commission* = Development Budget = Philippine National Coordination Committee Volunteer Service ~ Infrastructure Committee Coordinating Agency* ~ Investment Coordinating ~ Philippine Institute for ‘Committee Development Studies** = Social Development Population Commission* ‘Committee - National Statistical - Committee on Tariffand Coordination Board Related Matters «Nscny* DIRECTOR GENERAL NATIONAL, REGIONAL, CENTRAL DEVELOPMENT DEVELOPMENT SUPPORT OFFICE OFFICE OFFCICE, Fig. 12. The NEDA Organization Per E.0. 230 * Agencies under the administrative supervision of NEDA ** Agencies aitached to NEDA for policy and program integration or coordination, vr | Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy ‘The flow of the policy-making process through the NEDA Board is similar to that of the cabinet, with slight modifications. This is presented in Fig. 13 below DEPARTMENTS AGENCIES NEDA BOARD | __y COMMITTEES NEDA BOARD 4 OTHER AGENCIES, GOVERNMENT AND. PRIVATE Fig. 13. The Policy-making Mechanism through the NEDA Board As you may have noticed, the unofficial stakeholders, e.g., other agencies both in the public and private sectors, are also included in the process. Their participation, though, is basically in the form of inputs, e.g., demands or support, to policy decisions of the formal structure. As of 1995, some of the major policy decisions arrived at through the NEDA Board were the following: 1) the Capital Market Development Program, approved on May 9, 1995, which has the objectives of a) promotion of diversified and competitive capital market; and b) enhancement of investors’ confidence by introducing internationally-accepted standards in the conduct of business; 2) the National Information Technology Plan 2000, approved on 19 July 1994, to spur the country to global competitiveness through information technology (IT) diffusion; 3) the Government Infrastructure Program, approved on 19 July 1994; and 4) the National Policy, Strategy and Action Plan for Urban Sewerage and Sanitation, approved on 15 March 1994 (Sobrepena, 1995). Recently, NEDA has come up with the “Philippine National Development Plan, Directions for the 21" Century” and the “Philippine Medium Term Development Plan, 1999-2004.” Module 2: Public Policy Process 68Unit |: The Nature of and Need for Public Policy UP Open University THE LEDAC ‘The LEDAC is a special consultative body, which aims to provide advisory and consultative mechanism to ensure consistency in coordinating executive development planning and congressional budgeting. Constituted in 1992 under R.A. 7640 dated December 9, 1992, it also aims to provide a mechanism for consensus building and serve as a consultative and advisory body to the President. Based on LEDAC Notes (1995), it is composed of the following: Chair: President of the Republic Vice Chair: Vice President Members: President of the Senate Speaker of the House of Representatives Seven (7) members of the Cabinet to be designated by the President Three (3) members of the Senate to be designated by the President of the Senate, at least one of whom shall come from the dominant minority party Three (3) members of the House of Representatives to be designated by the Speaker of the House, at least one of whom shall come from the dominant minority party A representative of the local government units A representative of the youth and A representative of the private sector from any or a combination of the following: business, cooperatives, agriculture and labor. o Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy Per LEDAC Resolution No. 2 on May 19, 1993, a LEDAC Secretariat was formed with the following internal structure (Fig 14): EXECUTIVE COMMITTEE, (Chairis NEDA Ditector-General; the following are Members: Office of the President- Presidential Management staff (OP-PMS) Head; CPBO director-General; and Senate Representative) EXECUTIVE DIRECTOR ADMINISTRATIVE GROUP TECHNICAL GROUP Fig. 14. The Internal Structure of the LEDAC Secretariat Unofficially, itis held that the LEDAC was created to facilitate appreciation by the Legislature of the Executive's urgent bills in Congress. The animosity and undue checks and balances between these two branches in the past were believed to cause the delays in the reform efforts of government. Thus, there was a need to ‘open the communication lines and smoothen the flow of policy-making between them. Among the important policy issues tackled by the Council in 1994 were 1) the phased reduction in the forward cover on oil; 2) impact of peso appreciation on the domestic economy; 3) proposals on how to mobilize savings to sustain economic ‘growth; 4) possible lowering of interest rates for loans granted to farmers by the Land Bank of the Philippines (LBP), Philippine National Bank (PNB) and Development Bank of the Philippines (DBP); and 5) the participation of Philippine ‘troops in the peacekeeping operation of the United Nations in Haiti (LEDAC, 1995). Module 2: Public Policy Process 70Unit |: The Nature of and Need for Public Policy UP Open University Its major accomplishments relative to the Uruguay Round of the General Agreements on Tariff and Trade (UR-GATT) comprise the following, » 2) 3) 4) 5) 6) identification of safety nets and adjustment measures that need to be put in place to cushion the adverse impact of the GATT-UR on the economy: preparation of a list of existing laws and administrative issuances which need to be passed, repealed or amended to conform with the trade treaty; identification of communication/advocacy strategies to promote public awareness of the GATT-UR, preparation of the GATT-UR Master Plan and the GATT-UR ‘Communication Plan; provision of a separate GATT Fund in the General Appropriations; and facilitation of the passage into law of the Anti-Dumping Bill and Exports Development Act. ‘The Council discussed, deliberated and decided on these policy concerns using a process flow drawn below (Fig. 15): DEPARTMENTS/ AGENCIES LEGISLATIVE BODIES LOCAL GOVERNMENT UNITS NON-GOVERNMENT ORGANIZATIONS. A\/ Fig. 15. The Policy-making Process through the LEDAC Being a special consultative body, LEDAC’s link with various sectors giving inputs is more direct than in other mechanisms. Its only problem is to manage, screen out and assess the more important policy concerns and propose resolution of more manageable problems, with the help ofits Secretariat. As itis its Executive Committee works on a part-time basis with members doing other equally pressing tasks in their respective agencies, e.g., the NEDA Director- General, et al 7A Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy THE LEGISLATIVE MILL The process of policy legitimization and adoption, which the Legislature undergoes, is explained in our Political Science courses at the undergraduate level. Things have not yet changed since the first bi-cameral legislature in the 1940s. The increments though are in the names and number of committees so far formed as of the present Congress. ‘The policy making process in the Legislature is basically the flow chart of how a bill becomes a law. Here, policy enactment is not the Legislature’s monopoly nor sole prerogative since a presidential action (approval or veto) is needed for a bill to become a law. There are few cases in our recent history when the President vetoed a bill. Among these are the veto on debt cap and moratorium (1989, 1992); another one, on the use of the COMELEC budget for constitutional amendments (1997 General Appropriations). Most bills when they have passed through third reading or the Conference Committee stage are almost always approved by the President. The flow chart is reproduced below for your information and appreciation. Kindly refer to Fig. 16 on the next page. Among the national policies that went through the legislative mill, particularly the last (ninth and tenth) Congress, are: 1) R.A.s 7636 (An Act Repealing RA 170, Otherwise known as the Anti- Subversion Act), 2) (An Act to Impose Death Penalty on Certain Heinous Crimes), 3) (Modernization of the Armed Forces of the Philippines), 4) (Inter-Country Adoption of Filipinos Act), 5) (New Central Bank Act), 6) (General Appropriations Act of 1994), 7) (Restructuring the VAT (Value-Added Tax) System), 8) (Amending the Omnibus Investment Code of 1987), 9) (Creating the Department of Energy), 10) (National Water Crisis Act), and 11) (Creating the Metropolitan Manila Development Authority). Module 2: Public Policy Process 72Unit |: The Nature of and Need for Public Polic UP Open Universi A. PCTIVITY 2-4 Make a matrix summarizing the main points stressed by various models of public policy process. Also write your own reflections of the power of these in explaining policy-making and reform in the county. mod ‘Your matrix and practical application exercise will enhance your grasp of the framework of public policy-making we seem to have in our setting. They will also help you value the power of models in describing, clarifying, explaining and possibly, predicting public policy outcomes and proces the country. sin 3a Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy ADill introduced in the House of ADill introduced in the Senate is Representatives is labeled “H” labeled “S” and assigned a number and assigned a number ACTION ON BILL FIRST READING ]— Reading of Title/Author(s) ———— ] FIRST READING Referring to Appropriate Standing Copmce Commitee Studies & Recommends: If Action is Favorable, the Report is submitted through the Committee on Rules Ifunfavorable, the Bill is laid on the table ‘and the author’ are informed Committee on Rules Calendars Bill for Floor Discussion ' ' SECORDREADING] — reorpiscuhonvetaes [SECOND RERDING Pood of Amendmens vate prrmorre$one— —_Disristiond illn Fn Fam __ remo mall cal Vow cast off CONFLICTING PROVISIONS, L__, an Ad Hoc Conference Committee is constituted to Reconcile Differences Foor Delitefation onthe Contetence Commitee Repor Voting PRESIDENTTAL ACTION te wer S Failure to Act within 30 days after s Receipt, Bll lapses into Law 1 Returns to Originating House with Explanation Legislative Accepts or Overrides by 2/3 Vote in Beth Houses Fig. 16. How a Bill Becomes a Law: A Flow Chart Module 2: Public Policy Process 74Unit |: The Nature of and Need for Public Policy UP Open University THE EFFECTS OF GLOBALIZATION ON THE PROCESS OF DOMESTIC POLICY-MAKING ‘The policy stages explained in this module focused on the internal (domestic) mechanisms for policy-making and reform. This does not imply ignorance of the international context of policy-making nor a deliberate attempt to insulate local from international domains. It is but to focus more on the local arena, ‘The real policy is however replete with interfaces and influences of external patterns, trends and developments. In this section, I would like us to realize and reflect on a real and present danger and challenge which is globalization. As a theoretical construct, globalization brings about an orientation beyond parochial turfs, It widens one’s perception beyond local boundaries. It agitates “think global”, “be competitive”, “find your niche!” Its influence could be appreciated in the following representation below: GLOBALIZATION AND THE INTERNATIONAL ARENA, I LOCAL POLICY- MAKING SYSTEMS As you can see, globalization provides a broader vision of the process of policy- making and reform worldwide. It emphasizes interdependence, though sometimes, lopsided relationships occur between and among nations in the globe. Globalization brings with it both positive and negative effects on individual country’s policy-making systems. It may impose conditionalities and limits to economic growth and social changes. It may on the other hand expose peoples and governments to new and creative ideas that may bring about substantive reforms. 5s | Module 2: Public Policy ProcessUP Open University Unit I: The Nature of and Need for Public Policy Empirically, though, globalization creates tensions on the independence of national governments to formulate pol consistent with the needs and aspirations of their constituencies. This is particularly evident in cases where individual nations do not temper the effects of globalization to suit local needs. Agreements and commitments entered into by the Philippine government at the international level, ¢g., GATT, International Protocol on Human Rights, Child Labor, Women in Development, have significant impacts on the lives of the Filipinos. These would also require revisions and adjustments on our existing laws and policies and such may aggravate than alleviate conditions existing in our country. An example of the latter is the death penalty law, which many believe will deter commission of heinous crimes. Internationally though, it is not in conformity with the provisions of the Intemational Protocol on Human Rights. Opening up trade and dismantling barriers to competition is internationally sound. Domestically, though, it compromises the viability and growth of Filipino industries. ‘As students and practitioners of public policy, public administrators and governance, the challenge is for us to understand how to tame the tempest that is globalization and work out reforms that will redound to our advantage as a nation. ‘The more we think local in a global setting, the more we will be advantaged by teforms. SUMMARY AND CONCLUSION In this module, | introduced you to another perspective at studying public pol ic., as. aprocess. I also explained a number of frameworks of the policy process and public policy focused on three important ones: 1) Anderson’s, Rushefiky’s, and Mendoza’s. In the latter part of this module, I delved on the policy-making processes and mechanisms in the country, both at the executive and legislative branches. I also touched on the effects of globalization on domestic policy making and reform. ‘A process connotes a (sequential) pattern of action, involving a number of functional categories, steps or phases of activity. Its course is tedious, long and winding. Some policy concerns go through the entire cycle. Some don’t Module 2: Public Policy Process 76Unit |: The Nature of and Need for Public Policy UP Open University ‘The policy process, meanwhile, is both rational and political. It is political because it involves conflict and struggle among individuals and groups having ‘opposing desires on issues of public policy. It is rational, in the sense that stages logically flow from those before them, Understanding public policy (making) as a process helps capture the flow of action in the policy process. Itis open to change. Thus, additional steps can be introduced if experience indicates they are needed. This framework also yields a dynamic and developmental rather than cross-sectional or static view of the policy process. Moreover, it emphasizes the relationships among political phenomena rather than simply listing factors or developing classification schemes. It is not culture- bound, and can be utilized to study public policy-making systems here and elsewhere. ‘The policy-making process in the country is precedent-bound, based on law and hinges on formal structures and mechanisms in place, as provided for by the Constitution and other laws. People participation is encouraged in the different phases of the policy cycle. However, their participation in most formal structures is not yet institutionalized, ‘The advent of globalization made us think of policy-making systems beyond our internal policy processes. Although it may be a challenge for nations to take on, only time will tell whether our policy processes will dominate or not in real global policies and politics. In conclusion, this module attempted to describe the framework of public policy process, both in terms of generic models as well as actual mechanisms and structures existing in the Philippine setting. However, the problems and inadequacies in these ‘empirical and conceptual explanations may have been glossed over here. Hence, it is up to you to reflect on ways to improve our present policy process and help enshrine and enhance empowerment and people participation in policy-making and reform. Thope you have learned a lesson or two, in the modules we have done so far. Also, I hope you are still craving for more. Pause for a while before leafing through the next module. In addition, prepare for a game of pictionary as we unveil the history and evolution of the field of policy science. See you! 7T.._ Medule 2: Public Policy Process