Public Policy Philippines
- 1. Scholars have developed various public policy making models over the years in an attempt to explicate the process and to teach students and practitioners how to make public policy. Some scholars study the policy process generally and try to develop a knowledge base that can be applied across policy domains. The following are some of the models of policy making. These are not the only theories/models.
- 2. Policy is a product, authoritatively determined, implemented and evaluated by the government institutions: Congress, presidency, other elective officials and the bureaucracies both local and national. In this model, a policy does not become a public policy until it is legitimized by government entity concerned. Government policies provide legal powers that demand obligations from and command loyalty of the citizens. This type of policy has its concomitant punitive components. The structure of the various government institutions contribute to the context of public policy. The Constitution serves as the highest kind of policy to which all other policies must subscribe. Laws passed by Congress, executive orders and judicial decisions come second in terms of relevance and priority.
- 3. The relationship among these political and administrative institutions of government determine to a large extent the content of public policy. This also clearly describes and visualizes how the doctrine of separation of powers operates as well as the politics- administration dichotomy.
- 4. President recommends legislation; may convene Congress; may veto legislation Congress creates departments & LEGISLATIVE appropriates money; confirms EXECUTIVE BRANCH appointments; can override veto and BRANCH impeach President JUDICIAL BRANCH Source: Dye (1995)
- 5. A theoretical model of how public policy decisions are (or perhaps ought to be) taken. All possible options or approaches to solving the problem under study are identified and the costs and benefits of each option are assessed and compared with each other. The option that promises to yield the greatest net benefit is selected. Rational policy is one that achieves “maximum social gain”; that is, governments should choose policies resulting in gains to the society that exceeds cost by the greatest amount, and governments should refrain from policies if costs are not exceeded by gain. Basic Assumptions of Rational Model •System is stable; •The government is a rational and unitary actor and that its actions are perceived as rational choices; •The policy problem is unambiguous; •Well defined objectives are established; alternatives and consequences are known; preferences are clear; there are no limitations of time or cost; and, •Policy as maximum social advantage that maximizes the economic benefit.
- 6. Rational-Comprehensive Model 1. Establishment of complete set of operational goals with weights 4. 6. INPUT 3. Prepara Compari- All resources Preparation of 5. son of net needed for complete set -tion of Calcula- expecta- pure complete OUTPUT of alternative rationality tion of net tions and policies set of Pure process expecta- identifica- predic- rationality tion for tion of tions of policy each alterna- benefits alternative tive/s with and costs highest net for each expectation All data alternative needed for 2. Establishment pure rationality of complete process inventory of other values and of resources with weights
- 7. Simply put, all considerations are looked into before the decision is made. But is this the reality in decision making? There are a lot of assumptions, requirements without which the rational decision model is a failure. Therefore, they all have to be considered. The model assumes that we have or should or can obtain adequate information, both in terms of quality, quantity and accuracy. It further assumes that you have or should or can obtain substantive knowledge of the cause and effect relationships relevant to the evaluation of the alternatives. In other words, it assumes that you have a thorough knowledge of all the alternatives and the consequences of the alternatives chosen. The following are the limitations for the Rational Decision Making Model: requires a great deal of time requires great deal of information assumes rational, measurable criteria are available and agreed upon assumes accurate, stable and complete knowledge of all the alternatives, preferences, goals and consequences assumes a rational, reasonable, non – political world
- 8. The main problem with rational- comprehensive approaches is that it is often very costly in terms of time and other resources that must be devoted to gathering the relevant information. Often the costs and benefits of the various options are very uncertain and difficult to quantify for rigorous comparison. The costs of undertaking rational-comprehensive decision- making may themselves exceed the benefits to be gained in improved quality of decisions. .
- 9. Incremental Model The Incremental Model Slowly building the blocks
- 10. The incremental model emphasizes the structured sequence of activities that are leading to the solution to a problem. This model suggests that major decisions are broken down in small steps taking place in three major phases: the identification, development, & selection phases. Incremental trial-and-error process is needed to solve a big problem in small steps. When roadblocks are hit, decision making can recycle back to the last known good state. The policy process is one of disjointed incrementalism or muddling through. Make incremental decisions to achieve an objective and avoid total commitment to a decision you cannot change if the stakes are high and the situation allows. In each small step you do not fundamentally “rock the boat”.
- 11. Characteristics of Incrementalism (muddling through) •Public policy deals with moving targets; •The process is not completely rational, analysis is limited, information is ambiguous and subject to interpretation; •Different stakeholders may hold varied opinions about means and ends; •The process of mutual adjustment of many actors with their own interests and perceptions about what is the public interest or good; •Helps to forge compromise and reduce unnecessary conflicts; Helps to build legitimacy; and, Forecasting helps decision making in uncertain contexts; yet, the political short term may remain the main concern (e.g. elections).
- 12. Incrementalism is the antithesis of intrusive central planning, which can create rigid work systems unable to deal with the actual problems faced at the grassroots level. Some scholars point to a danger associated with focusing on incremental decision rather than "systemic overhaul." The danger is that any solutions reached will involve only relatively insignificant changes for the existing conflict situation and that these changes will be made "only at the margin." Radical innovations may be lost if parties are overly cautious in their attempts to come to an agreement.
- 13. Problem stream Solution stream Window of opportunity Political stream The Streams Model
- 14. The multiple streams model of policy-making is defined by J.W. Kingdon (1984). The model which focuses more on the flow and timing of policy action than on its component steps, is useful in understanding the complexities and realities of policy-making. In this model, particular attention is paid to three streams: the problem stream, the policy stream, and the political stream, which move independently through the policy system As noted by Porter and Hicks, this model aims to explain why some issues and problems become prominent in the policy agenda and are eventually translated into concrete policies, while others never achieve that prominence. Kingdon’s starting point is the "garbage can model" of policy-making, developed in 1972 by Cohen, March, and Olsen. This model contradicts the rational approach to decision-making, claiming that policies are not the product of rational actions, because policy actors rarely evaluate many alternatives for action and because they do not compare them systematically.
- 15. Kingdon’s model underlines the existence of three distinct, but complementary, processes, or streams, in policy-making. It is the coupling of these streams that allows, at a given time and in a given context, for a particular issue to be turned into a policy.
- 16. The emergence of a major problem or issue, the proposal of a solution, and a conclusive political climate are important factors in order for a problem to be placed on the government’s agenda. The arrival of a window of opportunity is also usually required for the government to take a problem into consideration. Such a window of opportunity may be predictable (e.g. an election) or unpredictable (e.g. a crisis).
- 17. The problem steam The rationale behind this stream is that a given situation has to be identified and explicitly formulated as a problem or issue for it to bear the slightest chance of being transformed into a policy. A situation that is not defined as a problem/issue, and for which alternatives are never envisaged or proposed, will never be converted into a policy. The feeling that a current or foreseen situation is wrong and that something should, and can, be done to modify and/or improve it is thus a prerequisite for turning an issue into a policy. Moreover, it is necessary to be able to demonstrate that the problems mentioned can actually be attributed to causes within human control and thus that action can be taken to change the situation.
- 18. The solution stream This stream is concerned with the formulation of policy alternatives and proposals. New policies will never be shaped if there are no ideas or policy proposals on which they can be based and developed. An important aspect of the streams model developed by Kingdon is linked to the idea that such proposals and solutions, which must be technically feasible, are not initially built to resolve given problems; rather they float in search of problems to which they can be tied.
- 19. The political stream Although they take place independently of the other two streams, political events, such as an impending election or a change in government, can lead a given topic and policy to be included or excluded from the agenda. Indeed, the dynamic and special needs created by a political event may change the agenda.
- 20. It is not always necessary for all three streams to meet simultaneously for a policy to develop. In some cases, partial couplings, the convergence of two of the streams, are sufficient. Contrary to the other models, the streams model does not picture the policy-making process as one that involves steps and stages. Rather, it views the policy process as the result of the intersection of at least two independent streams at one time. In this model, there is no chronological sequence or priority among the streams. Streams act and react according to their own logic, until a window of opportunity is opened and two or more streams coincide and become a policy.
- 21. This model shows that the top of political and economic hierarchies set the institutional agenda (top-bottom style). It focuses on who sets the agenda. Elites include political officials, corporate representatives, interest groups, and other influential people and institutions. Agenda setting is viewed as follows: Elites on their own randomly select issues they specialize in, or observe hierarchies like congressional committee structure. Society’s elites may select issues that serve their own interests and ignore the public’s interest. The elitist model has the following key assumptions: there exists a dominant class (elites) that monopolize political power; and, ordinary citizens (the masses) have relatively little power over matters that are of concern to elites
- 22. Policy Direction Policy Execution Masses
- 23. Policies may be classified in many different ways. They help us to understand when there is likely to be a conflict over the adoption, enactment, and implementation of policies. The following are samples of several different types of policies: a.Reactive and Proactive policy b.Substantive and Administrative policy c.Vertical and horizontal policy d. Redistributive and distributive policy
- 24. Reactive policy emerges in response to a concern or crisis from the internal or external environments by: resolving problems and issues meeting stakeholder/public concerns reacting to decisions by other governments, other levels of government, or other departments with intersecting or interrelated mandates allocating fiscal resources, natural resources, etc. reacting to media attention (generally adverse) reacting to crises or emergencies.
- 25. Proactive policy is introduced and pursued through deliberate choice. It regularly scans its operating environment, identifying potential issues and factors that could affect the organization and predicts and prepares to mitigate contingency through: Planning strategic management risk management criteria selection priority making
- 26. Substantive policy is concerned with the legislation, programs and practices that govern the substantive (content) of what the community needs. It is about particular and specific issues - what government does. Administrative or procedural policy focuses largely upon administrative procedures. It is a policy that structures how the political process works - how the government does things
- 27. Vertical policy is the normal or traditional way in which policy decisions are made. It is developed within a single organizational structure and generally starts with broad overarching policy, sometimes called “corporate” or “framework” policy. Decisions are made at head office and guide subsequent decisions throughout the organization. At the regional level, regional or “strategic” policy is developed, which translates the national decisions to the regional level, taking into consideration the specific requirements of the locus.
- 28. Department Secretary (HEAD OFFICE) Bureau Bureau Bureau Regional Office Regional Office Regional Office Regional Office Division Division Division
- 29. Horizontal policy-making, referred to as integrated policy, is developed by two or more organizations, each of which has authority or ability to deal with only a part of the situation. It is created among organizational components that are similar in hierarchical position. Horizontal issues are challenging because so many players control one tool, one key. All of the keys need to be aligned to bring a suitable and appropriate result.
- 30. Horizontal Policy Public DOH PNP DILG DepEd Public Policy Policy
- 31. Other Classification of Policies Process Primary Policy Type Scope Applicable Duration Characteristics Makers Statutory Societal Governs Practice In Force Until In Force Until Public Succeeded By Succeeded By Constitution / Norm Of Individuals & Deliberation • Constitutional • Constitutional Charter Organizations & Notice Amendment Amendment Laws Throughout • New Law • New Law Appellate Court Jurisdiction (i.e. • Appellate Court • Appellate Court Decisions State/Nation) Decision Decision -Fiscal Policy Resources For • Fiscal Period Public • Legislative & Implementation Priority Policies Deliberation & Executive Annual Budget • Subject To Notice Approval Revision Or Acts & Repeal By Plenary • University Resolutions Body Trustees
- 32. Process Primary Policy Type Scope Applicable Duration Characteristics Makers -Regulatory • Within Governs Practice Subject To • Agency Action. Cabinet Officers Scope Of Of Individuals & Revision Or & Agency Administrative • Public Notice Primary Organizations In Repeal By Directors Rules • Legislative Policy. A Specific Policy Plenary Body Or Approval. Area Agency Action • Force of Law Institutional • Define Govern Agency/ Subject To • Internal • Agency Officials Operating Institutional Staff Revision Or Organizational Policy Manual & • University Policies & Consumers Repeal By Process. Trustees & Standards. Plenary Body Or • Professional • Limited Public Administration Tenure & Agency Action Standards Notice Faculty Appointment Articulation Agreements
- 33. Public interest: The common good has to be balanced against the private or special interests. The process should be fully inclusive for those often overlooked or unable to participate. Effectiveness: Does the policy achieve its stated goals? Efficiency: Are resources fully utilized in achieving goals and implementing policy? Economy: Objective and procedures done at the least cost. Consistency: Aligned with the broader goals of government and the Constitution. Fairness and equity: Is the policy fair and just to all members and sectors of society. Reflective: Is policy in consonance with values of freedom, security, diversity, communality, choice, and privacy
- 34. Socially acceptable: Citizens and interest groups accept that the policy reflects their important values, e.g., fairness and equity, consistency, justice. Politically viable: The policy has the support of elected officials and they are comfortable with the decision. Technically correct: The policy complies with scientific or technical criteria established to guide or support the decision. Participative: Demands from the general public, or "bottom up" initiatives, can be as influential as "top down" directives. Educated and informed public can be mobilized to demand and support desired initiatives.
- 35. I. Identify an area or problem where a public policy was established. What model/s was/were used in the process of its creation. Justify your answer. 2.Among the models of making public policy, which is more conducive to serving public interest and demands? Why? 3.Are all governments governments of the elite? Use examples to prove your contention. 4.Using the following factors/criteria: public interest, effectiveness, fairness and consistency, evaluate the proposed constitutional amendment giving foreigners same economic rights as Filipinos in owning land properties ,businesses and public utilities in the Philippines.
- 36. I