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Public Policymaking Processes: Unit 5
Public Policymaking Processes: Unit 5
processes;
identify the various policy actors and the extent of their
influence; and
evaluate the Ethiopian policymaking processes and
2
Class Discussion Questions
① What are the stages involved in the public
policymaking cycle/process? And discuss the activities
performed in each stage.
② Who are the actors in the public policymaking
process? And discuss the roles, duties and
responsibilities of each actor in each of the stages of
policymaking process.
③ Which stage do you think is the most challenging in
the policymaking process? Why?
④ How is the public policymaking process in Ethiopia?
And what strengths and shortcomings do you observe?
3
Policy process
Policy studies focus on how policies are made rather
than their content or their causes and consequences.
It is also a series of activities/processes (political
activities or processes) that occur within the political
system ((Dye, 2005:31).
4
Policy process… cont’d
5
Policy process… cont’d
The Policy Cycle
Policy Adoption
(Policy legitimation)
Policy Implementation
Policy evaluation
7
The Iron triangle model
(Lester and Stewart, 2000:74) Legislative /Parliament Committees
(Senators and staffers )
THE IRON
TRIANGLE
PLAYERS
8
Policy process … cont’d
Traditionally the iron triangles were considered as the
whole (complete) of policymaking process.
But iron triangles are blamed for being resistant to
wider public participation as they dominate policy
space and their continuing access and much influence
on the content of policy.
In consequence, it is argued that policy experts or the
academic community are said to have been adversely
excluded from the policymaking exercise, while in
turn being affected by the policy.
9
Stage 1: Problem Identification
Who decides what will be decided?
In a democracy, it is argued that problem identification
is not the prerogatives/choice of the few.
It can occur any time citizens or groups make demands
upon the government.
A problem can be discussed and placed on the agenda
of national decision-making.
Individuals and groups can organize themselves to
assume the tasks of defining problems and suggesting
solutions.
10
Stage 1… cont’d
“Defining the problems of the society and
suggesting alternative solutions is the most
important stage of the policymaking process” (Dye
(2005: 32).
Problem definition is also considered strategic
where groups, individuals, and government agencies
deliberately design portrayal or symbols to
mobilize the mass as well as promote their
preferred course of action.
11
Stage 1… cont’d
Policy issues (problems) can only be perceived or
succeed when meeting the following criteria:
① If an issue has reached crisis proportions and can no
14
Stage 2: Agenda Setting… cont’d
15
Stage 2: Agenda Setting… cont’d
1. Agenda Universe:
All ideas that could possibly be brought up and
discussed in a society or a political system.
All issues that are commonly perceived by members
of the political community as meriting public
attention.
If ideas are ‘not acceptable’ to a society or a political
system, then it may not be a part of the agenda
universe.
Many ideas in the agenda universe are more or less
“acceptable” in a political sense.
16
Stage 2: Agenda Setting … cont’d
2. Systemic agenda:
All issues that are commonly perceived by
members of the political community as meriting
public attention and as involving matters within
the legitimate jurisdiction of existing
governmental authority (Boundary).
Something considered government can provide
solution to it.
17
Agenda Setting … cont’d
3) Institutional agenda:
List of items explicitly up for the active and
serious consideration of authoritative decision
makers.
Limited number of items reach from systemic
agenda to institutional agenda.
Due to the limited time and resources available to
any institution or society.
4) Decision agenda:
Items that are about to be acted upon by a
governmental body, such as bills, court cases, and
18 regulations.
Stage 2: Agenda Setting … cont’d
Agenda Setting Styles:
A. Agenda setting from the bottom-up
Is a people-driven type of decision making; also considered a
“democratic-pluralist” model.
This is done by individuals, groups, candidates seeking election,
19
Stage 2: Agenda Setting … cont’d
Mechanisms for bottom-up Agenda setting
1. Public opinions
20
Stage 2: Agenda Setting … cont’d
B. Agenda setting from the top-down
1. Elite (elitist) agenda setting
2. Political entrepreneurship
23
Stage 2: Agenda Setting … cont’d
Political power determines the viability of success
24
Stage 2: Agenda Setting … cont’d
Policy agenda denial:
May take place through the use of force, and also
resistance in support of prevailing values.
When problems disappear from agenda (when there is
no more of an “issue attention cycle”).
When changes take place in the conditions that gave
rise to a problem.
Due to appearance of new and more pressing
problems, etc.
25
Stage 2: Agenda Setting … cont’d
Three agenda qualities that can go through an
issue-attention cycle include:
those that affect a numerical majority (e.g.
reducing unemployment, poverty);
those that involve social arrangements beneficial
to a majority or a powerful minority; and
those issues no longer found exciting events that
are associated with the problem/issue under
question.
26
Stage 2: Agenda Setting … cont’d
Mechanisms influencing policy agendas/government
policies:
Direct lobbying (testifying at committee hearings, contacting
government offices, presenting research findings, and assisting
in writing policy legislations).
Campaigns via various committees.
Interpersonal contacts while on travel, recreation, shows, etc.
Grassroots mobilization efforts to influence the parliament, top
government offices, etc.
Party influence.
Leadership influence.
Constituency influence (pork barrel projects or “home style”
politics to favoring or appeasing constituencies through some
projects (e.g. highway construction, etc.)
27
-
28
Stage 3: Policy Formulation … Cont’d
Once a problem has been identified and placed on the
agenda, there is still more to do to move it to a fleshed-
out policy.
Policy formulation involves assessing possible
solutions to policy problems or, exploring the
various options available for addressing a problem.
Policy design/formulation is the process by which
policies are designed, both through technical analysis
and political process to achieve a particular goal.
After a policy is designed, it will be enacted and
implemented
29
Stage 3: Policy Formulation … Cont’d
Actors in policy formulations are restricted to
members of the policy subsystem, unlike agenda
setting.
Requirement for participation for actors is some
minimal level of knowledge in the subject area ,at
least hypothetically.
At some point (preferably early) in the policy design
process, decision makers must explicitly consider
five elements of policy design.
30
Stage 3: Policy Formulation … Cont’d
Table 7.1
31
Stage 3: Policy Formulation … Cont’d
1.The goals of the policy
Policies are created to meet towards these goals:
social safety nets for the poor, create jobs, provide
public facilities, fund research on technology, etc.
There are many ways to think and categorize goals.
Deborah Stone lists four main types of goals
Equity vs. Efficiency
Security vs. Liberty/Freedom
Generally, to eliminate, to reduce, or to contain the
problem is the question of goal setting.
32
Stage 3: Policy Formulation … Cont’d
2. The Causal Model
Regards to how to define the problem, which affect the
choice of policy solution
“What causes the problem and what intervention
would alleviate that problem?”
Difficulty in establishing the causal relationships
Identifying the purposes or motives of a person or group
and link those purposes to their actions provides a basis
for establishing causal relationship in human behaviors.
Mechanical cause, Accidental cause
Intentional cause, Inadvertent cause
33
Stage 3: Policy Formulation … Cont’d
3. Targets of the policy
Who is the target of the Policy?
34
Stage 3: Policy Formulation … Cont’d
4. The Implementation of the policy
Who, what, and how to carry out the designed policy
into action
Typical problems at the implementation stages
35
Stage 3: Policy Formulation … Cont’d
5.Policy Tools/Instruments
At first glance, the concept of instrument seems
simple, however in reality it is very difficult to
describe.
Policy tool is a method through which government
seeks a policy objective.
It can also be defined as ‘elements in policy design
that cause agents or targets to do something they
would not do otherwise or the intention of modifying
behavior to solve public problems or attain policy
goals’.
36
Stage 3: Policy Formulation … Cont’d
5.Policy Tools/Instruments …
Policy instruments or tools are also called ‘techniques
37
Stage 3: Policy Formulation … Cont’d
Five Categories of Generic Policies:
41
Types of Policy Alternatives Model
(Howlett & Ramesh, 2003:147)
Level of generality of policy content
Conceptual /policy Practical /program
Affected policy
element
42
Steps Doing policy analysis during policy
formulation
Understanding the Problem
Assessing Symptoms
Framing the Problem
Modeling the Problem
Choosing and Explaining Goals and Constraints
Goal Vagueness: Goals as Outputs
Clarifying the Trade-Offs between Goals
Clarifying the Distinction between Goals and Policies
Choosing a Solution Method
Cost-Benefit Analysis
Qualitative Cost-Benefit Analysis
Modified Cost-Benefit Analysis
Cost-Effectiveness Analysis: Achieving Goals Efficiently
Multigoal Analysis
43
Steps in policy formulation (Rational approach inn policy
anaysis
44
Stage 4: Policy Policy adoption
Decision making is the stage of policy making involving
the selection of a course of action from a range of
policy options, including that of maintaining the status
quo.
It is not synonymous with the entire policy making
process in which a narrower range of key players
involved.
It is also broader than policy adoption as the adoption
focuses on the final steps in decision making for certain
policies and tend to ignore the process leading up the
legitimatization of a new or revised policy (Wu, et
al,2010).
45
Stage 4: Policy Adoption… Cont’d
Main actors in decision making
Often, decision making is more or less the exclusive
business of senior administrators and/or elected
officials (elites)– the main players
There are indirect actors involved in decision
making, such as professional analysts, issue specific
experts ,consultants and lobbyists, etc.
46
Stage 4: Policy Adoption… Cont’d
Policy scientists categorize decision-making in to three main
models depending on the extent to which information is known
about the expected policy outcomes (Wu and et al., 2010).
1. The ‘rational’ decision model
This model is built on the assumption that the
consequences of each alternative policy option can be known in
advance.
According to the model, decision makers should choose the
option that maximizes the attainment of their goals, values and
objectives.
But its applicability is hampered by the need for a large
amount of accurate information on policy impacts and
consequences.
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Stage 4: Policy Adoption… Cont’d
2. The incremental decision model
This model analyzes public decision making as a
time and information constrained process
characterized by conflict, bargaining, and
compromise among self-interested decision-makers
It involves marginal or incremental changes from the
status quo.
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Stage 4: Policy Adoption… Cont’d
3. “Garbage Can” decision model
Applies when there is a very large number of decision makers
and a great deal of uncertainty about both the causes of problems
and their solutions.
In such situations, policy outcomes will reflect the temporary
desires of those actually able to dominate the decision making
process, however transitorily.
In this model the ideas of rational model and incremental model
is largely abandoned.
Instead, a satisficing principles would likely emerge- a decision
making involves satisfying whatever goals are set by a group of
decision makers at the time of the decision.
A range of policy options with potentially better results is never
49
fully explored
Stage 4: Policy Adoption… Cont’d
Policy adoption: is the selection of a particular
policy option through political institutions.
It is done by proximate policymakers who have
constitutional mandates.
The proximate policymakers, as the name indicates,
are much closer to policy affairs.
Policy legitimation is phase of going and attracts
the attention of mass media and most political
scientists.
Law making process is a mandate of the
parliament/congress in many countries.
50
Policy adoption in Ethiopia
The hierarchy of policy adoption
The constitution of the Federal Democratic Republic of
Ethiopia.
The proclamations passed by Parliament and signed by the
president of FDRE.
Council of Ministers Regulations approved by cabinet and
signed by the Prime Minister.
Ministerial Directives issued by authorized ministry and signed
by its Minister.
Guidelines and manuals which explain policies, rules ,and
procedures but which are not themselves legally binding
documents.
51
Reflective Discussions
① Evaluate the practice of policy legitimatization
process in the Ethiopian political institutions
② How do you assess the trends of decision making
practices of your organization where you are
currently working in?
52
Stage 5: Policy Implementation
54
2. Strategic planning and management in policy
Implementation
The set of tasks practically associated with implementation is best
understood as a “continuum” of strategic and operational task function”
(Wu,et al.,2010)
Strategic planning is “a disciplined effort to produce fundamental decisions
and actions that shape and guide what an organization is, what it does, and
why it does it” (Bryson, 2004).
Strategic planning is also not one thing but a set of concepts, procedures,
and tools that can help public and nonprofit organizations and communities
become more successful in achieving their mission or vision and creating
public value.
There are several complementary ways of looking at and thinking about
1. The building-block view
strategic
2. planning.
The ABCs of strategic planning
3. The strategic planning process cycle
4. The project management view
5. The Strategy Change Cycle
6. The creating public value view
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The building Block view
A visual model is helpful in presenting the element or building
blocks—of a strategic planning process and plan and the
phases that most processes go through
The four phases are;
① Organizing the planning process and analyzing the
environment
② Identifying and analyzing strategic issues
③ Developing strategies and action plans
④ Implementing strategies
Each of these four general phases consists of several building
blocks of project activity and information that will result in a
specific planning product.
56
Bryson & Alston, Creating and Implementing Your Strategic Plan: A
work book for Public and Nonprofit Organizations 2nd ,2005
Phase Four
Implementing
Evaluation
Strategies
Implementation
Phase Three
Developing Strategies Budgets
and Action Plans Action Plans
Strategies
Phase Two
Identifying and Strategic issues Goals &
Analyzing Objectives
Strategic Issues Mission Values
Phase One:
Organizing the
Process and
Readiness Plan the Stakeholde Mandate SWOC
Analyzing the
Assessmen plan r Analysis Analysis&
Environment Environmental
t analysis
scan
57 The Building-Block View of Strategic Planning
Summary of strategic planning process
STRATEGIC INTENT
Mission-- an organization’s reason for being
Vision--What an organization aspires to become
Goals--Qualitative goals for various performance areas
Objectives--Quantitative operational targets to achieve
STRATEGIC ANALYSIS
External analysis-- an organization’s economic, political, cultural,
technological, and micro- environment
Internal analysis-- an organization’s capacities to compete: technology,
human resources, capital, corporate culture
STRATEGY FORMULATION
Grand /Corporate level strategy--selecting businesses to be in
Organization unit/Business Level strategy—developing competitive
advantages (Generic strategies)
58 Functional (or operational) strategy--functional value chains
Cont…
STRATEGY IMPLEMENTATION
Activating strategies – Communicating and Institutionalizing strategies
Structural Implementation - Building and adjusting organizational structures
Operational/Functional Implementation - Developing operational systems
Behavioral implementation - Developing leadership and nurturing corporate
culture and values
STRATEGIC EVALUATION
Develop performance goals
Assess actual performance
Compare actual with performance goals
Reinforce or take corrective actions
STRATEGIC CONTROLS
Operational controls
Strategic controls
59
3. Models/theories of Implementation Process
60
Top-down Approaches
Study of the factors that condition successful implementation
Assumptions
Clearly defined goals against which performance can be measured
Clearly defined policy tools for the accomplishment of goals
Existence of a single statute or other authoritative statement of policy
Implementation chain that starts with a policy message at the top and
sees implementation as occurring in a chain
Good knowledge of the capacity and commitment of the implementers
Focus on creating the proper structures and controls to encourage or
compel compliance with the goals set at the top
61
Cont…
Weaknesses
Emphasis on clear objectives or goals ,with out consensus on what
program goals are(ex. Management of forests-multiple use )
Assumption of a single national government that structure policy
implementation and direct service delivery (no consideration given to
vertical structure/federal structure)
Ability of local actors to ignore messages from the top (strategic delay
or outright refusal)
Ignores the existence of a wide collection of separate and sometimes
contradictory policies
Clear distinction between policy formation and policy implementation
62
ViewBottom-up approaches
implementation from the perspective of street level
bureaucrats (who implement policies at the point of contact
with the target population)
Assumptions
Policy goals are ambiguous rather than explicit and may conflict
not only with other goals in the same policy area, but also with the
norms and motivations of the street level bureaucrats (bargaining
and compromise)
Continuation of the conflicts and compromises that occur
throughout the policy process, not just before it begins and at the
point of enactment
View implementation as working through a network of actors
Working through a networks of actors (rather than top-to-bottom
implementation chains)
63
Cont…
Weaknesses
Overemphasizes the ability of the street level bureaucrats to
frustrate the goals of the top policy makers
64
Synthesis
Combining backward mapping with a forward mapping element
Top policy makers can make choices of policy instruments or tools to
structure implementation
While realizing that the motivations and needs of lower level
implementers must be taken into account
Top-down approach is best where there is a dominant program.
Bottom-up approach is best where one is interested in the dynamics of local
implementation and where there is no single dominant program
(Laurence O’Toole in Birkland,2010)
Another synthesis is Sabatier’s Advocacy Coalitions include both state and
societal actors at national, sub-national ,and local levels of government
having shared objectives , beliefs and values -cleverly combines the role of
knowledge and interest in the policy process.
(Howlett & Ramesh,2003:152)
65
4. Main actors in policy implementation
Implementation affects and is affected by a multitude of actors who define
problems and solutions in a given policy domain
It also includes many who have been marginal players in previous
policy formulation
1 Political institutions
Legislative bodies are often involved in implementing public policy
when they draft very specific and detailed legislation
Courts are also involved in implementation when various entities
bring lawsuits in the federal district courts to enforce public laws(eg.
disabled persons access to public facilities) . They also involve in
implementation through interpretation of statutes and
administrative rules and regulations
66
Cont…
3. The Bureaucracy
Most of the day to day activities of routine administration are typically
with in the purview of salaried public servant
With its intra and inter-organizational conflict is the determinant of policy
implementation
In modern era, legal processes underlies implementation in all
(involvement s and impacts of political institutions in
implementation). For example ,
Civil law –are basic sets of principles governing how individuals will
interact with each other
Statutory laws- are passed by the parliament to supplement civil law.
These statutes take the form of Bills or Acts usually designate specific
administrative agency as empowered to make whatever “regulations”
are required for successful implementation of the objectives
/principles of the Act
67
Cont…
The actual act of administrating policy is performed by civil servants
operating in various kinds of administrative agencies
The usual form of government agency involved in implementation is
ministry or department
Different bureaucratic agencies at different level of government
(federal, state, or local)are involved in policy implementation
3. Pressure groups
Various interest groups besiege administrative agencies
because they have so much discretion in drafting legislations in
support of the legislation
They seek to influence the guideline and regulations in a way
that will benefit them
68
Cont…
4. Target groups
Authoritative decision makers ( both political and
administrative in nature ) remain a very significant force in
implementation
But ,target groups join at this stage as a relevant policy
community
Target groups are groups whose behavior is intended to be
altered by government action, play a direct and indirect role in
the implementation process
Community organizations –parent committee, farmer
committee ,representatives of the poor, civil organizations
69
Group work
Identify and then evaluate factors that cause failure
of policy implementation in Ethiopia.
70
Factors for consideration in implementation of policy –
The 5C protocols
Are critical variables which shape the directions that implementation
might take
1. Content of a policy
Mediating the choice of ends and means is the content of the policy
What it sets out to do (i.e. goals); how directly it relates to the issue
(i.e. causal theory); how it aims to solve the perceived problem (i.e.
methods/tools).
Policy characteristics dictates whether or not particular policies will
run into implementation difficulties
Policy typology: ‘ambiguity and conflict’- policies such as either
distributive, regulatory, or redistributive
71
Cont…
2. Commitment
The commitment of those entrusted with carrying out the
implementation at various levels to the goals, causal
theory, and methods of the policy.
Commitment is important not only at the 'street- level' but at
all levels through which policy passes.
Commitment will be influenced by, and will influence, all the
four remaining variables: content; capacity; context; and
clients and coalitions in keeping with a weblike conception
of interlinkages between the five critical variables,
72
Cont…
3.Capacity
The capacity of the public sector is conceptualized in general systems
thinking terms as the structural, functional and cultural ability to
implement the policy objectives of the government
Capacity refers to the availability of and access to tangible resources
(human, financial, material, technological, logistical, etc) & the
intangible requirements of leadership, motivation, commitment,
willingness, guts/spirit, endurance, and other intangible attributes
needed to transform rhetoric into action
Hence, capacity building as a total (structural, functional and
,cultural) transformation of government is vital in order to mobilize
all available resources to achieve policy objectives
73
Cont…
4. Clients and Coalitions
These dictate the importance of government’s joining coalitions
of interest groups, opinion leaders, and other outside actors
who actively support a particular implementation process
Implementation is affected by the formation of local coalitions
of individuals affected by the policy
It is also important, to underscore the saliency of identifying key
relevant stakeholders, as opposed to all identifiable actors
74
Cont…
5. Context
“A context-free theory of implementation is unlikely to produce powerful
explanations or accurate predictions“ (Berman, 1980: 206)
Implementation pays attention to social, economic, political, and legal
setting.
These larger contexts impact the implementation process primarily via
the institutional corridor through which implementation must pass
The nature of the institutional context- the corridor (often structured as
standard operating procedures) through which policy must travel to
implementation process
Occurring in organized contexts under established norms, values,
relationships, power structures, and ‘standard operating procedure’
Transactions (bargaining, persuading , accommodation, threats/ pressure, gestures of respect
, etc) among agencies establish effective working relations
.
75
Additional points
Challenges /barriers of policy implementation reading
assignment – (Wu,et.al;2010 )
A) Political (support and authorization barrier )
1. Slow authorization
Plans and resource mobilization proceed slowly due to the existence of
multiple veto points among stakeholders in the network
2. Weak political support
Plans attains moderate level of success in the pilot project stage while flying
under the radar of key politicians with opposing interest
3. Bureaucratic oppositions
Key players inter-agency network implement the policy slowly or sabotage
the implementation due to low priority of the project , lacking interest, or
competing interests
4. Poor implementer incentive
Local implementers who were not consulted during decision making stage
have inadequate incentive to comply with directives
76
Cont…
B) Analytical competency barrier
1.Vague/multiple mission
Intersectoral nature of plans and implementation leads to over conflicting
goals or not clearly specifying tradeoff in operational terms
2. Changing priorities
Tradeoff made in policy decision making, for example ,between environment
and economic dimension of a policy problem may not be reconsidered in light of
the changing economic and political conditions
3. Poor design
Social or environmental programs that are unlikely to work as intended
given multiple constraints left unaddressed by program design
4. Uneven feasibility
Different components of the integrated plan may be operationally liked –one
can only advance if all are jointly present –subjecting the operation to the weakest
link
77
Cont…
C) Operational capacity barriers
1. Fund limitations
Funds to implement the approved plans slow to materialize , blocking
progress ,while in the meantime key elements of the situation change" facts
on the ground” and /or initial supporters of the effort lose heart and abandon
effort
2. Weak management structure or network coordination capacity
Poor guides for coordination between major agencies make routine
decisions slow and implementation dysfunctional
3. Lack of clarity in the operational plans
Approved or funded plans are mismanaged due to poor specification of roles
,responsibilities and accountability .
The problem is often worse by poor oversight and information system
78
Stage 6: Policy Evaluation
79
Many Thanks!
80