PAD 710 Public Policy Analysis Course Guide PDF

COURSE GUIDE PAD 710 PUBLIC POLICY ANAYSIS Course Team Dr David C. Nwogbo (Course Writer) - NOUN Dr Philip Dahida (Course Editor) - NOUN Dr David C. Nwogbo (Course Coordinator) Dr Yemisi I. Ogunlela (Head of Department) NATIONAL OPEN UNIVERSITY OF NIGERIA PAD 710 COURSE GUIDE © 2018 by NOUN Press National Open University of Nigeria Headquarters University Village Plot 91, Cadastral Zone Nnamdi Azikiwe Expressway Jabi, Abuja Lagos Office 14/16 Ahmadu Bello Way Victoria Island, Lagos e-mail: [email protected] URL: www.nou.edu.ng All rights reserved. No part of this book may be reproduced, in any form or by any means, without permission in writing from the publisher. Printed 2018 ISBN: 978-058-348-5 ii PAD 710 COURSE GUIDE CONTENTS PAGES Introduction………………………………………………… iv What you will learn in this course………………………… iv Course Aims……………………………………………….. iv Course Objectives…………………………………………. iv Working through this Course……………………………… v Course Materials ………………………………………….. v Study Units ……………………………………………….. v Assignment Files …………………………………………… vi Presentation Schedule ……………………………………… vi Assessment…………………………………………………. vi Tutor-Marked Assignment…………………………………. vii Course Making Scheme…………………………………….. vii How to get the most from this Course ……………………… vii iii PAD 710 COURSE GUIDE INTRODUCTION Public Policy Analysis is a two credit course for the Post-Graduate Diploma in Public Administration Programme. The material has been developed to suit post- graduate diploma students in public administration at the National Open University of Nigeria (NOUN) by adopting an approach that highlights the vital areas of public policy analysis. This material is made up of (20) twenty units, housed under four (4) modules covering the study of public policy, dynamics of public policy formulation, implementation and evaluation. The ecology of public policy process, policy and decision-making theories, public policy analysis and the result determinants of success or failure of public policies. Each module is made up of five units. The course guide tells you briefly what the course is all about and the course materials you need to consult. WHAT YOU WILL LEARN IN THIS COURSE The course content consists of the basic concepts in and nature of public policy. It also includes the policy makers and their environment, the concept of public policy analysis, approaches and theories of public policy, bureaucracy and public policy, and some issues in public policy making. COURSE AIMS The aim of the course will be achieved by : giving you an understanding of the techniques used in the formulation, implementation and evaluation of public policies for solving societies needs helping students to take better and rational decision among alternatives. COURSE OBJECTIVES To be sure that the aims of this course will be achieved, the course has been divided into units and each of the units has its own objective. Therefore, make sure you read the objective of each of the various units. The objectives of the course are to: explain the basic and related concepts in public policy analysis such as public problem; public interest; public policy and public policy analysis. examine the critical and dynamic nature of public policy Process examine critically the theories, models and approaches used in policy and decision making scrutinise some critical issues on public policy analysis. iv PAD 710 COURSE GUIDE WORKING THROUGH THIS COURSE In addition, each unit also has specific objectives and self-assessment exercise. The units’ objectives are also included at the beginning of a unit; you should read them before you start working through the unit. You may want to refer to them during your study of the unit to check on your progress. You should always look at the unit objectives after completing a unit; in this way, you can be sure that you have done what is required of the unit. COURSE MATERIALS Major Components of the course include the following: Course Guide Study Units References Assignment Presentation Schedule STUDY UNITS The study units in this course are as follows: Module 1 The Study of Public Policy Unit 1 Basic Concepts in Public Policy Unit 2 Why Study Public Policy Unit 3 Nature and Scope of Public Policy Unit 4 Policy-Making Process Unit 5 Decision-Making Process Module 2 Dynamics of Public Policy Process and Policy and Decision- Making Theories Unit 1 Policy Formation, problems, Agenda and Formulation Unit 2 Approaches to Public Policy Making Unit 3 Dynamics of Public Policy Formulation, Implementation and Evaluation Unit 4 Theories of Public Policy Making Unit 5 Theories of Decision-making v PAD 710 COURSE GUIDE Module 3 Public Policy Analysis Unit 1 Public Policy Analysis Unit 2 Planning and Public Policy Analysis Unit 3 Budget and Public Policy Unit 4 Techniques in Public Policy Analysis Unit 5 Approaches in Policy Analysis Module 4 Public Policy Process and the Environment Unit 1 Bureaucracy and Public Policy Making Unit 2 Determinants of Policy Success or Failure Unit 3 Actors in Public Policy Process Unit 4 The Public Policy Makers and their Environment Unit 5 Impact of the Environment on Policy Making and Implementation There are four modules in this study guide. The first module explains: The study of public policy and the various units treated the following sub topics: Basic concepts in public policy; why study public policy; nature and scope of public; policy policy- making process and decision-making process. module 2 treated dynamics of Public Policy Process, Policy and Decision-Making Theories, Module 3 explained Public Policy Analysis and Module 4 dealt with Public Policy Process and the Environment. ASSIGNMENT FILES There are twenty assignments in this course. The 20 –course assignment which covered all the topics in the course material, are written to guide you to read and understand the various units in the course. PRESENTATION SCHEDULE The presentation schedule is in this reading material to give you the important dates for the programme of this course. This will help to guide you. Ensure that you take note of the various dates and take note that you submit your assignments as at when due. ASSESSMENT There are three aspects to the assessment of this course: first is the self- assessment test; the second is tutor-marked assignments, and third, is a written examination. vi PAD 710 COURSE GUIDE In tackling the assignments, you are advised to be honest to yourself in attempting the exercises; you are expected to apply information, knowledge and skills and techniques gathered during the course. Your assignment should be submitted to your tutor for formal assessment in accordance with the deadlines stated in the presentation schedule and the TUTOR-MARKED ASSIGNMENT There are 20 tutor marked assignments in this course. You are needed to submit ten, then your tutor should select the once the you did better for your continuous assessment which carries 30 marks, while your examination carries 70 marks. COURSE MARKING SCHEME ASSIGNMENT MARKS Assignment 1-20 Do any assignment and the best six will be selected at 5 marks each which will give a total of 30 marks. Final 70% of the overall course marks Examination Total 100% of course marks COURSE OVERVIEW The table brings together the units, the number of weeks you should take to complete them and the assignment that follows them Unit Title of Work Week Assessment Activity end of unit) Course Guide Module 1 1 Basic Concept in Public Policy 1 Assignment 1 2 Why Study Public Policy 1 Assignment 2 3 Nature and Scope of Public Policy 1 Assignment 3 4 Policy Making Process 1 Assignment 4 5 Decision-Making Process. 1 Assignment 5 vii PAD 710 COURSE GUIDE Module 2 1 Policy Formation: Problems, Agenda 1 Assignment 6 and formulation 2 Approaches to Public Policy Making 1 Assignment 7 3 Dynamics of Public Policy 1 Assignment 8 4 Theories of Public Policy Making 1 Assignment 9 5 Formulation, Implementation and 1 Assignment 10 Evaluation Module 3 1 Public Policy Analysis 1 Assignment 11 2 Planning and Public Policy Analysis 1 Assignment 12 3 Budget and Public Policy 1 Assignment 13 4 Techniques in Public Policy Analysis 1 Assignment 14 5 Approaches in Policy Analysis 1 Assignment 15 Module 4 1 Bureaucracy and Public Policy Making 1 Assignment 16 2 Determinants of Policy success or failure1 Assignment 17 3 Actors in Public Policy Process 1 Assignment 18 4 The Public Policy Makers And Their 1 Assignment 19 Environment 5 Impact of the Environment on Policy 1 Assignment 20 Making and Implementation Total 20 20 viii MAIN COURSE CONTENTS PAGE Module 1 The Study of Public Policy……………………. 1 Unit 1 Basic Concepts in Public Policy ………………. 1 Unit 2 Why Study Public Policy………………………. 8 Unit 3 Nature and Scope of Public Policy…………….. 15 Unit 4 Policy-Making Process…………………………. 22 Unit 5 Decision-Making Process………………………. 26 Module 2 Dynamics of Public Policy Process and Policy and Decision- Making Theories……………….. 36 Unit 1 Policy Formation, problems, Agenda and Formulation………………………………………. 36 Unit 2 Approaches to Public Policy Making……………. 47 Unit 3 Dynamics of Public Policy Formulation, Implementation and Evaluation………………….. 52 Unit 4 Theories of Public Policy Making………………… 62 Unit 5 Theories of Decision-Making……………………… 68 Module 3 Public Policy Analysis…………………………… 76 Unit 1 Public Policy Analysis…………………………….. 76 Unit 2 Planning and Public Policy Analysis……………… 87 Unit 3 Budget and Public Policy………………………….. 92 Unit 4 Techniques in Public Policy Analysis…………….. 105 Unit 5 Approaches in Policy Analysis………………… 116 Module 4 Public Policy Process and the Environment…….. 121 Unit 1 Bureaucracy and Public Policy Making ………… 121 Unit 2 Determinants of Policy Success or Failure ………… 130 Unit 3 Actors in Public Policy Process…………………….. 135 Unit 4 The Public Policy Makers and their Environment….. 146 Unit 5 Impact of the Environment on Policy Making and Implementation…………………………………. 153 PAD 710 PUBLIC POLICY ANALYSIS MODULE 1 THE STUDY OF PUBLIC POLICY Unit 1 Basic Concept in Public Policy Unit 2 Why Study Public Policy Unit 3 Nature and Scope of Public Policy Unit 4 Policy Making Process Unit 5 Decision-Making Process UNIT 1 BASIC CONCEPTS IN PUBLIC POLICY CONTENTS 1.0 Introduction 2.0 Objectives 3.0 Main Contents 3.1 Meaning of Public Problem 3.2 Meaning of Public Interest 3.3 Meaning of Public Policy 3.4 Meaning of Public Policy Analysis 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION Public policy analysis as a course of study that has its meaning entrenched in many concepts. This is why for the benefit of enhanced comprehensibility, four key concepts are explained. These concepts are public problem, public interest, public policy and public policy analysis. 2.0 OBJECTIVES At the end of this unit, you should be able to: give definition and meaning of Public Problem identify Public Interest explain Public Policy describe Public Policy Analysis. 1 PAD 710 PUBLIC POLICY ANALYSIS 3.0 MAIN CONTENT 3.1 Meaning of Public Problem Defining a public problem is a plausible way of commencing a discourse on Public Policy Analysis. This is because, in the words of John Dewey, a problem well defined is a problem half-solved.” Again, the famous Albert Einstein asserted “if I had an hour to solve a problem I would spend 55 minutes thinking about the problem and 5 minutes thinking about solutions. Therefore, in public policy analysis, the key question is to find out what the policy problem is. Defining a policy problem is an act of conceptualising collective problems or challenges to be dealt with. It involves mobilising others in a specific way to look at problems and solutions (Hanberger, 1997). A policy problem definition has three main components: description of influential conditions and interests, history of prior governmental action or inaction, and persuasive argument, bearing in mind that a public problem is a condition that at least some people in a society view as being undesirable. Public problems can originate in endless ways and require different policy responses (such as regulations, subsidies, Import quotas, and laws) on the local, national, or international level (Sharkansky, & Hofferbert, nd). The public problems that influence public policy making can be of economic, social, or political nature (Hill, 2005). Each system is influenced by different public problems and issues, and has different stakeholders; as such, each requires different public policy (Thei, 2010). In public policy making, numerous individuals, corporations, non-profit organisations and interest groups compete and collaborate to influence policymakers to act in a particular way that suits their interest. 3.2 Meaning of Public Interest Public interest, according to the Random House Dictionary, is the welfare or well-being of the general public; commonwealth, It may be an appeal or relevance to the general populace. However, what is in the ‘public interest’ is incapable of precise definition as there is no single and immutable public interest. In some ways it is easier to make general statements about what is not in the public interest than what is in the public interest. The public interest refers to the "common well-being" or "general welfare". The public interest is central to policy debates, politics, democracy and the nature of government itself. While nearly everyone claims that aiding the common well-being or general welfare is positive, there is little, if any, consensus on what exactly constitutes the public interest. 2 PAD 710 PUBLIC POLICY ANALYSIS The public interest can mean different things or be applied in different ways in different circumstances. The kinds of conflicts that often arise are: Where a decision would advance the interests of one group, sector or geographical division of the community at the expense of the interests of another. Such a decision can be in the public interest in certain circumstances. For example, granting resident parking permits near popular destinations may be in the public interest even though it inconveniences non-residents, because it helps to ensure residents are not overly inconvenienced by people visiting nearby areas. Between two government organisations responsible for advancing different causes which both provide some benefit to the public. For example, it is likely that in many respects a body responsible for protecting the natural environment and a body responsible for harvesting forestry products have equally valid but conflicting views about the public interest. Where a decision requires a balancing of one public interest consideration over another; such as the public interest in providing access to government documents against the public interest in preserving the security of sensitive information (relating to law enforcement, for example). It would be true to say that what is in the public interest often depends on the particular circumstance, and each circumstance raises a range of considerations that often conflict. Sometimes conflicting public interest considerations need to be balanced. Economist Lok Sang Ho defines the public interest as the "ex ante welfare of the representative individual" (Ho, 2011). Public interest has been considered as the core of "democratic theories of government” and often paired with two other concepts, "convenience" and "necessity" (Napoli, 2001), even though in the political sphere, it is used by many to justify a wide range of actions and proposals. However, it is often unclear (even to those using the term) what they mean by this, and there can be a natural suspicion that the phrase may be used as a smokescreen to garner support for something that is actually in the advocate's own interests. Summarily, the concept of the ‘public interest’ has been described as referring to considerations affecting the good order and functioning of the community and government affairs, for the well-being of citizens. The expression ‘for the common good’ is also used. 3 PAD 710 PUBLIC POLICY ANALYSIS 3.3 Meaning of Public Policy Public Policy is a purposive course of actions or inactions undertaken by an actor or set of actors in dealing with a particular problem or matter of concern (Anderson, 1995). Public Policy is a proposed course of action of a person, group or government within environment providing opportunities and obstacles which the policy was proposed to utilise and overcome in an effort to reach a goal or realise an objective or purpose (Carl J. Friedrrich). To Thomas R. Dye, Public Policy is whatever government chooses to do or not to do. Thus, Public Policy is a course of government action or inaction in response to public problems. It is associated with formally approved policy goals and means, as well as the regulations and practices that implement programmes. Dimock, et al. (1983:40) sees public policy as “deciding at any time or place what objectives and substantive measures should be chosen in order to deal with a particular problem”. Chandler and Plano (1988) define public policy as “the strategic use of resources to alleviate national problems or governmental concerns”. Freeman and Sherwoods (1968) posit that it is the public response to the interest in improving the human conditions. In these definitions there is divergence between what governments decide to do and what they actually do. Public policy is a guide which government has designed for direction and practice in certain problem areas. Public policy is the principled guide to action taken by the administrative executive branches of the state with regard to a class of issues, in a manner consistent with law and institutional customs. The foundation of public policy is composed of national constitutional laws and regulations. Government actions and process Public policy making can be characterised as a dynamic, complex, and interactive system through which public problems are identified and countered by creating new public policy or by reforming existing public policy (John, 1998). Emanating from the myriad definitions above is that the concept of public policy as a relatively stable, purposive course of action followed by government in dealing with some problem or matter of concern are the following points: First the definitions link policy to purposive or goal-oriented action rather than to random behaviour or chance occurrences because in modern political systems, Public policies do not just happen. They are designed to accomplish specified goals or product definite results, although these are not always achieved. Second, policies consist of courses or patterns of action taken over time by governmental officials rather than their separate, discrete decisions. Third, public policies emerge in response to policy demands, or those claims for action or inaction on some public issue made by other actors – private citizens, group representatives, or legislators and other public 4 PAD 710 PUBLIC POLICY ANALYSIS officials-upon government officials and agencies. In response to policy demands, public officials make decisions that give content and direction to public policy. These decisions may enact statutes, issue executive orders or edicts, promulgate administrative rules, or make judicial interpretations of laws. 3.4 Meaning of Public Policy Analysis Policy analysis is a technique used in public administration to enable civil servants to examine and evaluate the available options to implement the goals of elected officials. It has been defined as the process of "determining which of various policies will achieve a given set of goals in light of the relations between the policies and the goals" (Geva-May, & Leslie, 1999). Policy analysis can be divided into two major fields: Analysis of existing policy, which is analytical and descriptive i.e. it attempts to explain policies and their development. Analysis for new policy, which is prescriptive i.e., it is involved with formulating policies and proposals. For example: to improve social welfare (Bührs & Bartlett, 1993). The areas of interest and the purpose of analysis determine what types of analysis are conducted. A combination of two kinds of policy analyses together with programme evaluation would be defined as policy studies (Hambrick, et al. 1998). As a technique to examine and evaluate the available options to implement the goals of elected officials, public policy is used in the analysis of existing policy, which is analytical and descriptive i.e., it attempts to explain policies and their development. Public policy analysis involves the study of the causes, processes, formation, implementation and consequences of public policy. It entails the description, explanation and prescription of particular policy choices and content, the determination of strategies or techniques for optimal policy-making. It uses collected data to systematically explain, describe and prescribe public policies with the aid of social science methods, theories and approaches. Public policy analysis can be conceptualised as the study of the formation, implementation and evaluation of public policy, the values of policy-makers, the environment of the policy-making system, the cost of policy alternatives and the study of policies for improving policy- making. Its goal is to improve the basis of policy- making and generate relevant information needed to resolve social problems. Public policy analysis is aimed at improving the basis for public policy making. 5 PAD 710 PUBLIC POLICY ANALYSIS 4.0 CONCLUSION The study of public policy analysis is necessary to all public and private citizens for better understanding of government decision and programmes. Better knowledge of public policies is enhanced by better knowledge of basic concepts in public policy such as public problem, public interest, public policy and public policy analysis. 5.0 SUMMARY The unit discussed the basic and critical concept in public policy. The essence of this unit is to enhance your understanding of public policy analysis. 6.0 TUTOR-MARKED ASSIGNMENT Public problem definition enhances public policy choice in the interest of the public. Expatiate. 7.0 REFERENCES/FURTHER READING Chandler, R.C.&Plano, J.C. (1988). The Public Administration Dictionary. England: ABC-CLIO. Dye, T.R. (1976). Policy Analysis: What Governments Do, Why They Do It and What Differences It Makes. Alabama: University of Alabama Press. Eneanya, A.N. (2010). Policy Research, Analysis and Effective Public Policy-Making in Nigeria. Lagos: Concept Publications Ltd. Geva-May, I.& Pal, L.A. (1999). "Policy Evaluation and Policy Analysis: Exploring the Differences". In Nagel, Stuart S. Policy Analysis Methods. Nova Science Publishers. Hambrick, R.J; Bardach, E; Chelimsky, E; Shadish, W.R.; Deleon, P; Fischer, F; MacRae, D; Whittington, D (1998). "Review: Building the Policy Studies Enterprise: A Work in Progress". Public Administration Review. 58 (6): 533–9. Hill, Michael (2005). Public Policy Process. Pearson. Ho, L.S, (2011) Public Policy and the Public Interest, Routledge, Ikelegbe, A.O. (1994). Public Policy-making and Analysis. Benin-City: Uri Publishing Ltd. 6 PAD 710 PUBLIC POLICY ANALYSIS John, P. (1998). Analysing Public Policy. Continuum. Napoli, P.M. (2001). Foundations of Communications Policy. Principles and Process in the Regulation of Electronic Media. Cresskill, NJ: Hampton Press. Rawls, John (1971). A Theory of Justice. Cambridge: Harvard University Press. Sapru, R.K. (2010). Public Policy: Formulation, Implementation and Evaluation. (2nd ed.). New Delhi: Sterling Publishers Private Limited. Sharkansky, I; Hofferbert, R. "Dimensions of State Politics, Economics, and Public Policy". The American Political Science Review.) Thei, G (2010). "Public Policy: The 21st Century Perspective". 7 PAD 710 PUBLIC POLICY ANALYSIS UNIT 2 WHY STUDY PUBLIC POLICY CONTENTS 1.0 Introduction 2.0 Objectives 3.0 Main Content 3.1 What is Public Policy? 3.2 Features of Public Policy 3.3 Reasons for the Study of Public Policy 3.4 Methodological Difficulties in Studying Public Policy 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION The one most important question in public policy analysis is why do we study public policy? It is evident that in every society, there must exist some problems and these problems affect all of us in one way or another. These problems could be in the areas of politics, commerce, education, agriculture, communication, housing, transportation, health etc. In order to solve these problems as they might exist at given points in time, government is always seen formulating policies in response to them and in relation to the objectives of growth, national development and well being of the citizens. Therefore, there need for us to know causes and consequences of public policies as well as their procedures. Thus, this unit attended to this issue extensively. 2.0 OBJECTIVES At the end of this unit, you should be able to: give meaning of Public Policy enumerate the features of Public Policy list reasons for the study of Public Policy analyse the Methodological difficulties in studying Public Policy. 8 PAD 710 PUBLIC POLICY ANALYSIS 3.0 MAIN CONTENT 3.1 What is Public Policy? Public policy is the cornerstone of every democracy and serves a very important purpose in almost every society. In Nigeria, we hear public policy quite often, but do we ever stop to think what good public policy is and what is not? Poverty alleviation, rural development, energy, housing and healthcare are some major public policy issues in our clime today and are the focus of most national lawmakers. There are many laws that positively benefit our society, and there are many that do not. What we can be sure about is that successful public policy is usually made up of two things: Good policy (measurable and positive outcome) and good politics (bi- partisanship). Good public policy solves public problems effectively and efficiently, serves justice, supports democratic institutions and processes, and encourages an active and empathic citizenship. Semantically, Public Policy is pronouncement of government intention(s) by people in position of public trust demanding government actions or in actions and having impact either negative or positive on the majority of the members of a given society (Nwiza, 1997). Public policy can also be seen as the aggregation of peoples hopes, aspirations and intentions embodied in official documents such as legislative enactments, white papers, estimates, government circulars, conclusions of the council of the council of ministers (executive councils) development or rolling plans, etc, or otherwise enunciated and enacted as the current stand on certain issues (Maduabum, 2008). Accordingly, it is a deliberate and binding action by the authoritative organs of the state designed to influence the behaviour of the society. It is not a haphazard action but rather a systematic method of society fundamental national problems. The systematic approach is vital so that the numerous public problems will be prioritized against the available resources. As well as harmonise the various sectoral aspects of the total policy. As a system of laws, regulatory measures, courses of action, and funding priorities concerning a given topic promulgated by a governmental entity or its representatives, public policy almost always involves efforts by competing interest groups to influence policy makers in their favour. This is one unique attribute of public policy. A good public policy begins at inception hence to create strong policy, one must first define the problem, gather evidence, identify causes, 9 PAD 710 PUBLIC POLICY ANALYSIS evaluate the policy, develop solution, select best solution, evaluate benefits and costs, utilised the prince system to, develop political strategies to solve public problems effective and efficient, serves justice, supports democratic institutions and processes and encourage an active/empathic citizenship. Thus, the purpose of public policy is to use a public agency to identify, respond and implement a political process. In essence, Public policy is the means by which a government maintains order or addresses the needs of its citizens through its legal system (Ed Prince, 2004). 3.2 Features of Public Policy Public Policy is a formal documented statement of intentions and sets of actions of a government to either remove certain deficiencies or improve the conditions in any particular area of concern/interest. Thomas Dye defines it as “Whatever governments choose to do or not to do” (1987) while according to Anderson it is a “Purposive course of action or inaction undertaken by an actor or a set of actors in dealing with a problem or matter of concern” (1994). Dean G. Kilpatrick goes a bit further and defines it as a system of laws, regulatory measures, courses of action, and funding priorities concerning a given topic promulgated by a governmental entity or its representatives. Whatever definition you like to use, there are certain features of the whole process of public policy which are common in all the countries. These features are; Exclusive Domain of the Elected Representatives: Public policy formulation is the exclusive domain of the elected representatives of the county; however it is implemented by the state apparatus which formulates strategies to implement it. Consequently policy is distinct from the strategy in the sense that while the policy is fairly general in nature indicating what is to be done and why, the strategy outlines the exact measures to be taken for realising the goals and objectives set out by the policy. Not a Random Act: Policy formulation and implementation is not a random act of an organisation, rather it is a deliberate action taken by a competent authority which initiated the action and is approved by the public representatives, usually the minister in charge of a ministry or the cabinet. 10 PAD 710 PUBLIC POLICY ANALYSIS Different Formats: A policy could either be a part of an overall development policy and strategy of the country i.e. Growth Strategy for Pakistan prepared by the Planning Commission or it could be a specific document addressing a particular issue i.e. Food Security Policy, Poverty Reduction Strategy, National Housing Policy, Climate Change Policy etc. Legal Sanctity: Although it is not a piece of legislation approved by the parliament in the form of an act of parliament, it has the sanctity of its own and can be used as a reference for dispute resolution in the court of law. In some cases the policy itself or parts of the document, which is in essence a value judgment of the regime in power, could be converted into an act of parliament (Shahid 2015). In addition to the ones outlined and discussed above, Ikelegbe (1996) asserted that the main features of a policy is that, first, it involves a choice. It is an important choice or a critical or important decision taken by individuals, groups or organisations. Therefore, there has to be several policy alternatives and policy formation involves the development of several policy alternatives and the choice of an alternative. Second, polices are proposed courses of actions or projected set of decisions. Policies are prospective or are statements of future actions. Policies states what is going to be done or would be done. It outlines a course of contemplated or desired action in relation to certain desired objects or events in the real world. Third, a policy is goal oriented. It is directed at the attainment of certain end states or objectives. A policy has certain purposes or intention. Fourth, policies have to do with particular problems or problems areas. They are not abstracts, but rather relate to and are actually responses to the challenges and pressures arising from an environment. Furthermore, policies are designed and targeted at dissolving existing or future problems or satisfying certain needs. Finally, a policy is a course setting action. It provides the direction, the guide and the way to the achievement of certain goals. It provides the frame within, which present and future actions are undertaken. It is a major guideline for action. 3.3 Reasons for the Study of Public Policy An understanding of public policy from a layman’s perspective will expedite the understanding of why we study public policy. Public policy is your kids' education. It is whether you will get quality health care 11 PAD 710 PUBLIC POLICY ANALYSIS when you need it. It is whether you can afford housing. It is the quality of the air you breathe and the water you drink. Public policy is about whether you have a job or not or whether you can walk down the street in safety. It is the junkie on the corner and the trash and rodents in the gutter. It is how long you will live and how dignified will be your burial.' The scope of government activities effects our lives in countless, often subtle and unrecognised, ways each day, for better or worse. According to Okeke (2001) in a developing country like Nigeria, the government is the biggest spender and the biggest employer of labour, therefore, the activities of government should be interest and concern to the citizenry, especially in this era of massive unemployment and economic hardship. Citing Dye (1981), he provided three reasons why we study public policy. His reasons are corroborated by Anderson (1997). These reasons are as follows: (i) Scientific Reasons: Public policies can be studied to gain greater understanding of their origins, the procedures by which they are developed and implemented, or their consequences for society. This in turn will increase our understanding of the political processes and political behaviour. Therefore, it is in order to extend the frontiers of our knowledge of the causes and consequences of policy decisions, which in turn, improves our understanding of the character and behaviour of organised society such as ours. Emphatically, as a scientific process, the study of public policy provides answers to the classical political science question of who gets what, how and when. (ii) Professional Reasons: The study of public policy contributes to the promotion of professionalism as the understanding of the causes and consequences of public policy permits the application of social science knowledge to the solution of practical societal problems (Okeke, 2001). The essence is that policy analysis has an applied orientation and is intended to determine the most efficient (or best) alternatives (i.e., the one that will yield the largest net social benefit) for dealing with current problems such as reducing air pollution and disposal of household refuse (Anderson, 1997). (iii) Political Reasons: We can also study public policy for political purposes to ensure that the nation adopts the right policies to achieve the right goals. This will help to correct the excesses of the government. Public policy improves the democratic or political capacities of people, and not simply the efficiency and effectiveness of delivery of goods and services. 12 PAD 710 PUBLIC POLICY ANALYSIS Summarily, the field of public policy has assumed considerable importance in response to the increasing complexity of the society. It is not only concerned with the description and explanation of the causes and consequences of government activity, but also with the development of scientific knowledge about the forces shaping public policy. The study of public policy helps to understand the social ills of the subject under study. 3.4 Methodological Difficulties in Studying Public Policy The study of public policy faces a multiplicity of methodological challenges: it lacks the methodological focus of the other social sciences; it combines an analytical with a normative perspective. Indeed, in many ways, 'public policy' lies outside of traditional social scientific discipline with its canonical methodologies, clear-cut objects of study, and claims to its specific form of scientific objectivity. Although methodology has played a defining role for the social sciences since their disciplinary emergence in the nineteenth century, they ended up largely following the path of the natural sciences in becoming ever more differentiated, methodologically formalised and institutionally self-centred. The meta-theoretical reflection on methods has thereby been pushed to the background: inter-disciplinarily is all too often relegated to being an empty buzz-word and the bridging of theory and practice is frequently exhausted by functional issue networks superficially linking together the university with the policy-making process. Being a synthetic meta-discipline within the social sciences, public policy research is an inherently methodological form of inquiry and the integration of different perspectives on social reality as well as the merging together of theoretical understanding and practical engagement is its primary object. As such it has the potential both to re-energise the social sciences as a whole, and to re-conceive the relationship between knowledge and politics. Curiously however, methodology as a distinct field of inquiry has been relatively neglected within the public policy research community, a gap this Research Cluster seeks to address. It explores in new and innovative ways core research questions on, amongst others, the methodological foundations of applied social sciences, new structural phenomena such as network knowledge or e-governance, and the didactics of teaching public policy. 13 PAD 710 PUBLIC POLICY ANALYSIS 4.0 CONCLUSION The study of Public Policy is very crucial to public sector managers because public policy is one subject that affects the lives and well being of the people and the knowledge of it will adequately equip the Public Sector mangers with clearer understanding of the reasons for some, if not all, of governments thought process and its actions or inactions. This will help Public Sector mangers to proffer intelligent advice to the government. From the literature, there are three reasons for studying public policy. They include: a) Professional Reasons b) Scientific reasons and c) Political reasons. 5.0 SUMMARY In this unit, the meaning of public policy was discussed alongside its features and the reasons for the study of public policy. The Methodological difficulties in studying public policy was also discussed 6.0 TUTOR-MARKED ASSIGNMENT What the cardinal reasons for the study of Public Policy? 7.0 REFERENCES/FURTHER READING Anderson J. E. (1997). Public Policy making; an introduction. (3rd ed,). Houghton Mifflin Company. Ed Prince, (2004). Public Policy, Rutgers University. Okeke, M.I. (2001). Theory and Practice of Public Policy Analysis; the Nigerian Experience. Bismark Publications. Shahid Hussain Raja (2015). What are the characteristics of public policy? https://www.quora.com/What-are-the-characteristics-of-public-policy Wayne, Hayes (2014). Why Study Public Policy? http://profwork.org/pp/study/scope.html 14 PAD 710 PUBLIC POLICY ANALYSIS UNIT 3 NATURE AND SCOPE OF PUBLIC POLICY CONTENTS 1.0 Introduction 2.0 Objectives 3.0 Main Contents 3.1 The Nature of Public Policy 3.2 Basic Elements and Scope of Public Policy 3.3 Types of Public Policy 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION Public policy is an attempt by a government to address a public issue by instituting laws, regulations, decisions, or actions pertinent to the problem at hand. Numerous issues can be address by public policy including crime, education, foreign policy, health, and social welfare. The process to create a new public policy typically follows three steps: agenda-setting, option formulation, and implementation; the time- line for a new policy to be put in place can range from weeks to several years depending on the situation. An in-depth understanding of Public Policy will require and understanding of the nature, scope and basic elements of policies as well as its categorisation. This is what this unit did. 2.0 OBJECTIVES At the end of this unit, you should be able to: identify the nature of public policy state and explain the basic elements of public policy state and explain the various typologies of public policy. 3.0 MAIN CONTENT 3.1 The Nature of Public Policy In any society, governmental entities enact laws, make policies, and allocate resources. This is true at all levels. Here, it is correctly argued that public policies are governmental decisions, and are actually the result of activities which the government undertakes in pursuance of certain goals and objectives. Thus, the following points will make the nature of public policy clearer in our minds: 15 PAD 710 PUBLIC POLICY ANALYSIS Public policies are goal oriented: This means that public policies are formulated and implemented in order to attain the objectives which the government has in view for the betterment of the public. Public policy is the outcome of the government’s collective actions; It means that it is a pattern or course of activity or the governmental officials and actors in a collective sense than being termed as their discreet and segregated decisions. Pubic Policy is what the government decides or chooses to do: It is the relationship of the government units to the specific field of political environment in a given administrative system. It can take a variety of forms like law, ordinances, court decision, executive orders, decisions etc Public policy may be positive or negative: It is positive in the sense that it depicts the concern of the government and involves its action to a particular problem on which the policy is made. Negatively, it involves a decision by the governmental officials regarding not taking any action on a particular issue. 3.2 Basic Elements and Scope of Public Policy While basic elements of public policy are the fundamental things to know about public policy, the scope talks about the content and process of public policy making, the causes and consequences of a public [policy, the public demand, how decisions are made the implementation strategies and policies instrument as well as result of the policy, Ikeanyibe (2013) and Okeke (2001) was unable to find a distinction between them hence agreed that policy demand, policy decisions, policy statements, policy output and policy outcome covers the basic elements and scope of public policy. Therefore, the following are the basic elements and scope of public policy: Policy Demands: Policy demands are claims or expectations made on public officials by other actors in the political system. Whatever perceived problems that call for action or inaction of government are understood as policy demands (Ikeanyibe, 2013). According to Okeke (2001), these claims constitute policy demands. Policy Goals: These are objectives that are meant to be achieved through the instrument of policy action. It is important to assert that policy demand may differ from the goals which the political actors seek to achieve through a public policy (Ikeanyibe, 2013). According to Egonmwan (2000), apart from the declared intention for making a public policy, government could also have a hidden intention for introducing a policy. 16 PAD 710 PUBLIC POLICY ANALYSIS Policy Decisions: policy decisions are the resolutions made by public officials to act or not act in a certain way in relation to a specific societal problem (Ikeanyibe, 2013). According to Okeke (2001), public decisions are decisions by public officials that authorise or give direction and content of public policy. Such decisions could include enactment of statutes, issuance of executive orders, and promulgation of edits, administrative rules or making of important judicial interpretation of laws. Policy Statements: Policy statements according to Anderson (1997) are the formal expression or articulation of public policy. They include legislative statutes, decrees, presidential orders, administrative rules and court opinions as well as indicating the intentions and goals of government and how to realise them. Policy Output; This is the tangible manifestation of public policy or the actual thing done to realise policy goals. It is rather the result of implementing the policy in relation to the set objectives. The importance of policy out in the understanding of policy is unequivocal because if government makes a pronouncement and such pronouncement was not enforced, it becomes difficult to that the policy exists as pronounced. Thus, policy outputs must be evaluated in terms of the set targets as evident from policy decisions and statements. Policy Outcomes: According to Ikeanyibe (2013), the concept of policy outcome is related to policy output since it is also the result of implementing a policy. But outcomes include both the intended and unintended consequences of a policy. Anderson (1997) referred to it as Policy’s societal consequences. 3.3 Types of Public Policy According to Ikeanyibe (2013), public policies abound. This is because public policies may come in different forms depending on the prevailing circumstances in the society and the considered priorities of the government of the day. One important fact about public policy is that all public policies are biased in favour of some groups and disadvantage others in varying degrees. Hence, public policies usually address specific areas of the society and such limitations are often used as the basis for classification. In other words, public policies are usually qualified with what they are meant to achieve or address, the scope covered or some other adjectival descriptions that will help to make some generalisations about policies. Thus, there are many ways of classifying public policies. These ways include: 17 PAD 710 PUBLIC POLICY ANALYSIS (i) The sector in which the policy is directed like housing, agriculture, defence (ii) Similar policies could be recognised and distinguished in terms of the clientele, issues or problems for which they were designed like social welfare policy, child development policy etc (iii) Substantive and procedural policies (iv) A popular classification of policy was that made by Theodore Lowi (distributive, regulatory, and redistributive) (v) McKinney and Howard (1979) classified public policy into fundamental, major and functional policies. (vi) Yehezikel Dror (1973) classified public policy into Mega and Meta policies (vii) Other classifications include transformative and restorative policies (viii) Reversible ad irreversible policies (Ndiribe, 2007) (ix) Explicit-Implicit Policies (x) Material- Symbolic Policies (Anderson, 1997) (xi) Collective Good-private Good policies Distributive, Regulatory and Redistributive Policies This classification was pioneered by Thoedore Lowi (1962). His classification was based on the objectives which the public policies are meant to achieve. Distributive Policies are types of policies, which involve incremental dispersal of government resources and benefits to different segments of the population and to individuals and institutions. They can be the actual favours, benefits or patronage policies that are dispensed to a small number of people. This dispersal is continual and those not favoured at one point, may be favoured at another time. However, the nature of distributive polices is that recipients and losers do not come into direct confrontation. Although potential beneficiaries seek required favours, they do not often oppose or interfere with favours to others. Examples of distributive policies are those that relate to public land, tariff, orts, etc. Regulatory Policies are policies, which refer to law or policy outputs that regulate distribution, practices, actions and activities. These are policies, which relate to directions, rules and frameworks on activities in various areas such as business, commerce, agriculture, transportation, etc. Their impact is either increases in costs or restrictions or expansion of activities and alternatives to private individuals organisations. Examples are NAFDAC and Standard Organisations. Redistributive Polices are policies that specifically transfers resources from ne group to the other. The rationale is reducing the level of inequality in eth society. They benefit particular segments or 18 PAD 710 PUBLIC POLICY ANALYSIS category of the population, such as the unemployed, homeless, the poor, the retired, etc. They relate particularly to transfer of resources among large groups or classes (Anderson, 1975). Examples of distributive policies are social welfare programmes and some educational and tax policies. Substantive and Procedural Policies Anderson (1997) explained substantive policy as what government is going to do such as constructing highways, overhead bridge, paying welfare benefits etc. substantive policies directly distributes to people advantages and disadvantages, benefits and costs. On the other hand, procedural policies pertain to how something is going to be done. For example the due process law, the federal character commission Act. However, it is usually difficult to discern the difference between substantive and procedural policy since all policies are likely going to provide guidelines in pursuit of some tangible or intangible benefits or costs to the people. Fundamental, Major ad Functional Policies This category of classification was championed by McKinney and Howard (1979) who based their classification in terms of scope of coverage. Fundamental Policies are policies derived from the constitution; hence they are based on constitutional provisions or judicial interpretations of the constitution. Such policies can only be changed or abolished by constitutional amendment and are characterised by large size, high importance and long tenure. They are considered supreme as they determine the nature of other policies. (Ikelegbe, 2005) Major policy is based on legislature enactment made by the highest legislative bodies at varying levels of government. They are either in the form of laws or programmes. Major policies are therefore important and backed by the highest legislative bodies. They could be regarded as general policies, stating broad outlines and frameworks. The various National Development Plans are vivid examples. Functional polices emanate largely from the executive branch but could also emanate from decision and resolution set by legislatures and the courts. They are actually minor policies that relate to regulations and guidelines. They could also be administrative decision that are made in the process of implementing or administering public policy programmes overtime and indifferent situation and circumstances. They are therefore functional and operational policies. Mega and Meta Policies This classification was put forward by Yehezkiel Dror (1973). Mega Policy is a policy that constitutes a framework for others, which usually are minor or secondary policies. Mega policy is a master policy 19 PAD 710 PUBLIC POLICY ANALYSIS within which and by which some other policies within a specific policy issue or area are made. It provides the guide, the direction and the major assumptions and goals for other policies. Mega policies dictate the pace of more specific policies in relation to scope, time, levels of change and orientation. Both the Privatisation and deregulation policies are examples of mega policies. Meta Policy is a policy that relates to policy making. Its attention and goal is on how to make other policies and particularly how to make better policies. Meta policy is concerned with the mode of policy and the system within, which public policy is made. It relates to policies on the process, guides, techniques, methods, requirements and characteristics of policy-making system. It is concerned with the design and redesign of policy-making systems in terms of structure, procedures, patterns, outputs level, models, methods, components, personnel and requirement. The goal of Meta Policies is to influence positively or improve policymaking systems and thus policy making. (Ikelegbe: 1996) Transformative and Restorative Policies Niribe (2007) classified policies according to the nature of effects they have. He talks about transformative and restorative policies. A policy is transformative when its principal aim is changing the status quo. It seeks to effect radical changes. Restorative policy is concerned with returning the society to its previous state or status. All maintenance, regulatory policies not geared towards initiating radical changes are restorative (Ikeanyibe, 2013). 4.0 CONCLUSION The analyses of the nature, basic elements and scopes as well as types of Public Policies in this unit have elucidated more on public policy analysis. The effort was geared to make you a good public policy analyst. There are still other types of public policy like reversible and irreversible policies, explicit and implicit policies, material and symbolic policies as well as collective good-private good policies. Ensure to read them up in Ikeanyibe 2013. 5.0 SUMMARY In this unit, the nature, basic elements and scopes of public policies were treated alongside the types which were elaborately discussed to enhance proficiency in the act of public policy analysis. 20 PAD 710 PUBLIC POLICY ANALYSIS 6.0 TUTOR-MARKED ASSIGNMENT Explain the five types of public Policy discussed in this unit. 7.0 REFERENCES/FURTHER READING Anderson, E.J. (1975). Public Making. New York: Praeger Publishers. Dror, Y. (1973). Public Policy Making Re-examined. London: Leonard Hill Book. Dye, T.(1978). Understanding Public Policy. Englewood Cliff: N.J. Prentice Hall Inc. Ikeanyibe, M.O. (2013). Public Policy in Nigeria; Perspectives on Social Policy and Administration. Enugu: JohnJacob’s Classical Publishers. Ikelegbe, A.O. (1996). Public Policy Making and Analysis. Benin City: URI Publishing Ltd. McKinney, B. & Howard, L.C. (1979). Public Administration, Balancing Power and Accountability. U.S. Oak Park: Illinois Moore Publishing Company Inc. Ndiribe, A.A. Ndiribe (2007). The role of Policy Analysis in Sustainable development. Journal of Public Policy Analysis. Okeke, M.I (2001) Theory and Practice of Public Policy Analysis; the Nigerian Experience. Enugu: Bismak Publication. Theodore, L. (1964). “American Business public Policy, Case studies and Political Theory” World Politics. Vol XVI. No.4. 21 PAD 710 PUBLIC POLICY ANALYSIS UNIT 4 POLICY-MAKING PROCESS CONTENTS 1.0 Introduction 2.0 Objective 3.0 Main Content 3.1 Policy Initiation/ Agenda Building 3.2 Policy Formulation and Adoption 3.3 Policy Implementation 3.4 Evaluation and Termination 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION The policy process refers to the methods, conditions, procedures, activities, interactions and stages by which policies are made. It refers to how policies come about or are made and what is involved in the processing of policies from problems identification to the policy outcome. In this unit, details of the stages of policy making like agenda setting, policy formulation and adoption, implementation, evaluation and termination or reformulation are given. 2.0 OBJECTIVE At the end of this unit, you should be able to: explain the stages in the policy making process. 3.0 MAIN CONTENT Policy – Making Process There are several stages in the establishment and carrying out of a policy by the government. These include agenda building, formulation, adoption, implementation, evaluation and termination. 3.1 Policy Initiation/ Agenda Building In order to create a policy, the government’s attention has to be focused on a pressing problem requiring legislation. For instance, rivers and streams periodically overflow causing great loss to property and life. Further, winds and rains erode the land and rob it of its fertility. A social demand then arises for taking some action regarding the control and 22 PAD 710 PUBLIC POLICY ANALYSIS development of river valleys, and the conservation of natural resources. Thus the legitimate public business comprises the agenda of the state. Again, for example, strife between labour and management may disrupt essential services or raise the cost of living. People may then demand the establishment of social machinery for preventing costly work stoppages and for promoting harmonious labour management relations. In modern times, juvenile delinquency shows a tendency to increase. Hence people look out for ways of diverting the energies of the youth into healthy and useful channels. The agenda of the state thus includes the things that government has to do in order to maintain a vital community. Thus, before a policy can be created, a problem must exist that is called to the attention of the government. 3.2 Policy Formulation and Adoption Policy formulation involves adoption of an approach for solving a problem. In other coming up with an approach to solving a problem. There may be choice between a negative and a positive approach to a problem. The legislative branch, the executive branch and the courts may favour dependence on impersonal forces to correct momentary difficulties. However interest groups may desire vigorous human interference with these forces to control persistent difficulties. Either of these approaches involving the formulation of policy. After a policy is formulated, a bill is presented to the National Assembly, or proposed rules are drafted by regulatory agencies. The adoption of a policy takes place only when legislation is passed, or regulations are finalised or a decision has been passed by the Supreme Court. 3.3 Policy Implementation Policy implementation is the process of translating policy mandates into action, prescription into results and goals into reality. It refers to the processes and reality. It refers to the processes and activities involved in the application, effectuation and administering of a policy. It is the actions taken to carryout accomplish and fulfill the intents, objectives and expected outcomes of public policies. It is the act and process of converting a policy into reality and of enforcing a policy (Pressman & Wildavsky, 1979). Meanwhile, the implementation process consists of the implementing organisation, the environment particularly the political and economic environment, the policy target group, the objectives and the enunciated method o implementation and policy resources. The carrying out of policy or its implementation is usually done by other institutions than those that were responsible for its formulation and 23 PAD 710 PUBLIC POLICY ANALYSIS adoption. Many problems are technically so complex and difficult that the legislature does not try to deal with them in detail. The legislature thus indicates the broad lines of policy, and leaves the elaboration of the policy to other governmental agencies. The complexity of the policy, coordination between the agencies putting it into effect and compliance, determine how successfully the policy is implemented. 3.4 Evaluation and Termination After the implementation, stage, performance appraisal comes up which is done through evaluation. The essence is to know how well a policy is doing in relation to intended purposes, objectives target and intended accomplishments. It relates to whether intended services have been delivered, intended outcome or other desired and state is achieved, or whether the target problem or situation has experienced the desired changes. Performance answers the question of how the policy has fared in its interaction with the environment. The degree of achievement of the aforementioned aspects, determines the level of performance. Performance encompasses effectiveness and efficiency. Evaluation involves checking how well the policy is working out, which is definitely a difficult task. The cost-benefit analysis is used by people inside and outside government to determine whether government expenditure on a particular program, is justified by the benefits derived from it. Further, different or also contradictory interpretations may be obtained from the data that forms the basis of the cost -benefit analysis. History has shown that once implemented, policies are difficult to terminate. When they are terminated, it is usually because the policy became obsolete, clearly did not work, or lost its support among the interest groups and elected officials that placed it on the agenda in the first place. 4.0 CONCLUSION In this unit, we have seen the logical sequence of stages of policy- making processes beginning with the identification of a given problem, followed by public and government awareness of the problem known as agenda setting, which leads to the development of various courses of action to solve the given problem known as policy formulation, which is followed by governmental adoption and legitimisation of a given course of course of action, resulting in the implementation of the adopted course of action, which then leads to a policy evaluation to determine if the objectives of the course of action are being achieved, and finally the cycle comes full circle when new problems are identified resulting in policy modification or termination. 24 PAD 710 PUBLIC POLICY ANALYSIS 5.0 SUMMARY Public policy is a set of objectives set by the government relating to the general health and welfare of the public and actions taken to accomplish it. The public policy process is the manner in which public policy is formed, implemented and evaluated. In this unit we formally, stated that a policy established and carried out by the government goes through several stages from inception to conclusion. These are agenda building, formulation, adoption, implementation, evaluation, and termination. 6.0 TUTOR-MARKED ASSIGNMENT Describe policy formation and policy formulation. 7.0 REFERENCES/FURTHER READING Anderson, E.J. (1975). Public Making. New York: Praeger Publishers. Ezeani, E.O. (2005). Fundamentals of Public Administration. Enugu: Zik-Chuk Publishers. Ikeanyibe, M.O. (2013). Public Policy in Nigeria; Perspectives on Social Policy and Administration. Enugu; JohnJacob’s Classical Publishers. Ikelegbe, A.O. (1996). Public Policy Making and Analysis. Benin-City: URI Publishing Ltd. Okeke, M.I. (2001) Theory and Practice of Public Policy Analysis; the Nigerian Experience. Enugu; Bismak Publication. 25 PAD 710 PUBLIC POLICY ANALYSIS UNIT 5 DECISION-MAKING PROCESS CONTENTS 1.0 Introduction 2.0 Objectives 3.0 Main Content 3.1 Meaning of Decision-Making 3.2 Characteristics of Decision-Making 3.3 Types of Decision 3.4 Why Study Decision Making 3.5 Levels of Decision-Making Process 3.6 Factors Affecting Decision-Making 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION Every day, people are inundated with decisions, big and small. Understanding how people arrive at their choices is an area of cognitive psychology that has received attention. Theories have been generated to explain how people make decisions, and what types of factors influence decision making in the present and future. In addition, heuristics have been researched to understand the decision making process. 2.0 OBJECTIVES At the end of this unit, you should be able to: explain what its take in decision-making state the characteristics of decision describe the levels of decision making process enumerate the factors affecting decision-making. 3.0 MAIN CONTENT Decision-Making Process While, a decision is a choice made between 2 or more available alternatives, decision making is the process of choosing the best alternative for reaching objectives. 26 PAD 710 PUBLIC POLICY ANALYSIS 3.1 Meaning of Decision-Making Decision-making is usually defined as a process or sequence of activities involving stages of problem recognition, search for information, definition of alternatives and the selection of an actor of one from two or more alternatives consistent with the ranked preferences”. Decision-making can be regarded as a problem-solving activity terminated by a solution deemed to be optimal, or at least satisfactory. It is therefore a process which can be more or less rational or irrational and can be based on explicit or tacit knowledge and beliefs. Decision making is the process of making choices by identifying a decision, gathering information, and assessing alternative resolutions. Using a step-by-step decision-making process can help you make more deliberate, thoughtful decisions by organising relevant information and defining alternatives. This approach increases the chances that you will choose the most satisfying alternative possible. 3.2 Characteristics of Decision-Making The following are the characteristics of decision making: Objectives must first be established Objectives must be classified and placed in order of importance Alternative actions must be developed The alternatives must be evaluated against all the objectives The alternative that is able to achieve all the objectives is the tentative decision The tentative decision is evaluated for more possible consequences The decisive actions are taken, and additional actions are taken to prevent any adverse consequences from becoming problems and starting both systems (problem analysis and decision-making) all over again There are steps that are generally followed that result in a decision model that can be used to determine an optimal production plan In a situation featuring conflict, role-playing may be helpful for predicting decisions to be made by involved parties (Monahan, 2000; Armstrong, 2001) 27 PAD 710 PUBLIC POLICY ANALYSIS 3.3 Types of Decision It is not often realised that there are different types of decision making. Although this may seem obvious it’s not always understood. And even when it is, decision types may not be fully considered when decisions are being made. The following are the main types of decisions every organisation need to take: 1. Programmed and Non-Programmed Decisions Programmed decisions are concerned with the problems of repetitive nature or routine type matters. A standard procedure is followed for tackling such problems. These decisions are taken generally by lower level managers. Decisions of this type may pertain to e.g. purchase of raw material, granting leave to an employee and supply of goods and implements to the employees, etc. Non-programmed decisions relate to difficult situations for which there is no easy solution.These matters are very important for the organisation. For example, opening of a new branch of the organisation or a large number of employees absenting from the organisation or introducing new product in the market, etc., are the decisions which are normally taken at the higher level. 2. Routine and Strategic Decisions Routine decisions are related to the general functioning of the organisation. They do not require much evaluation and analysis and can be taken quickly. Ample powers are delegated to lower ranks to take these decisions within the broad policy structure of the organisation. Strategic decisions are important which affect objectives, organisational goals and other important policy matters. These decisions usually involve huge investments or funds. These are non-repetitive in nature and are taken after careful analysis and evaluation of many alternatives. These decisions are taken at the higher level of management. 3. Tactical (Policy) and Operational Decisions Decisions pertaining to various policy matters of the organisation are policy decisions. These are taken by the top management and have long term impact on the functioning of the concern. For example, decisions regarding location of plant, volume of production and channels of distribution (Tactical) policies, etc. are policy decisions. Operating decisions relate to day-to-day functioning or operations of business. Middle and lower level managers take these decisions. An example may be taken to 28 PAD 710 PUBLIC POLICY ANALYSIS distinguish these decisions. Decisions concerning payment of bonus to employees are a policy decision. On the other hand if bonus is to be given to the employees, calculation of bonus in respect of each employee is an operating decision. 4. Organisational and Personal Decisions: When an individual takes decision as an executive in the official capacity, it is known as Organisational decision. If decision is taken by the executive in the personal capacity (thereby affecting his personal life), it is known as personal decision. Sometimes these decisions may affect functioning of the organisation also.For example, if an executive leaves the organisation, it may affect the organisation. The authority of taking organisational decisions may be delegated, whereas personal decisions cannot be delegated. 5. Major and Minor Decisions Another classification of decisions is major and minor. Decision pertaining to purchase of new factory premises is a major decision. Major decisions are taken by top management. Purchase of office stationery is a minor decision which can be taken by office superintendent. 6. Individual and Group Decisions When the decision is taken by a single individual, it is known as individual decision. Usually routine type decisions are taken by individuals within the broad policy framework of the organisation. Group decisions are taken by group of individuals constituted in the form of a standing committee. Generally very important and pertinent matters for the organisation are referred to this committee. The main aim in taking group decisions is the involvement of maximum number of individuals in the process of decision making. 7. Policy, Administrative and Executive Decisions Ernest Dale has classified decisions in business organisation as under (a) Policy decisions, (b) Administrative decisions and (c) Executive decisions. 29 PAD 710 PUBLIC POLICY ANALYSIS Policy decisions are taken by top management or administration of an organisation. They relate to major issues and policies such as the nature of the financial structure, marketing policies, outline of organisation structure. Administrative decisions are made by middle management and are less important than policy decisions. According to Ernest Dale the size of the advertising budget is a policy decision but selection of media would be an example of administrative decision. Executive decisions are those which are made at the point where the work is carried out. Distinguishing between these three types of decisions Dale writes, "policy decisions set forth goals and general courses of action, administrative decisions determine the means to be used and executive decisions are those made on a day-to- day basis as particular cases come up". 3.4 Why Study Decision Making We study decision making for the following reasons: (i) Managers face problems everyday and in solving these problems mangers are taking decisions. Decision making is so much part of the manager that it is now identified as a major intellectual focus. It is also pervasive. (ii) Because of value judgment. That is, that some bad decisions are good or bad. People thus, ask, what makes a good or bad decision? (iii) The need to survive and keep afloat because of the assumption that it is only good decisions that could keep one afloat. So people now study decision making process to train managers to avoid pit-falls. 3.5 Levels of Decision-Making Process Management remains “the least efficient activity in any organisation”, according to management thinker Gary Hamel, and is increasingly disconnected from what is happening on the front line, a point surely underlined by the recent debacles over Libor. Nonetheless, despite thousands of books written on the subject, and billions invested in it to streamline organisations, unwieldy hierarchies remain stubbornly in place and here is where decisions usually are made. 30 PAD 710 PUBLIC POLICY ANALYSIS When “flat organisation” structures were first being promoted by the likes of Peter Drucker nearly 30 years ago, the renowned organisational psychologist Elliott Jaques contended that all organisations had four real decision-making levels, which he termed “requisite hierarchy”. Those at the front line made day-to-day calls, managers’ outlook was month to month, directors were paid to decide on matters affecting year- to-year performance, and the board was there to oversee the development of the business a year and beyond. In line with new Public Management, we shall adopt John Spence (2015) Four Level Decision Making. According to him, A while back when I was running one of the Rockefeller foundations I had a fairly large staff but had designed our team with a very flat organisational structure. When a company is organised in such a manner, successful delegation and quick decision making is a must. To foster such an environment I developed a pretty straight-forward four level decision making protocol to quickly identify who should be making which kinds of decisions. Level 1 = Delegation This is the kind of decision that I do not need to be involved in at all. You do not need to tell me about it – just make the decision completely on your own and implement it right away. You own this decision. Level 2 = Discussion Talk to me, or someone else in the organisation, to get input, information and suggestions, but make the decision completely on your own. You also own this decision. Level 3 = Consensus On a decision like this let’s get the team together and talk it through. Let’s get everybody’s ideas, expertise and input, then we will make the decision together as a management team. We all own this decision together and will do whatever the team agrees is the best course of action. Level 4 = My Call A level 4 decision is ultimately my choice as the leader. I will get everyone’s input, ideas, suggestions and expertise. We will talk it through together. But at the end of the day I will make this decision for the entire organisation and it will be completely my responsibility. I own this decision 100%. I rarely had to make any level 4 decisions, and as we worked on this system together we were able to push more and more things down to level 1 or 2 – thereby freeing up a lot of my time and letting people play 31 PAD 710 PUBLIC POLICY ANALYSIS a much bigger role in how they ran their part of the business. The way we implemented this was also simple. I handed out a sheet that explained the levels, and then every time someone came to me to make a decision for them, I would say: “That is a level one – you handle it” or “That is a level 2 – am I the best person to give you input on that topic?” and so forth, until people could pretty much figure out what sort of decisions fell into which category and they could just do what was appropriate. Of course there are many other factors involved in effective delegation, such as; adequate training, transparency, empowerment, acceptable risk taking and such, but I found this system to be a nice way to help my team make better and faster decisions. 3.6 Factors Affecting Decision-Making Whenever we are involved in making decisions a number of factors can affect the process we follow and ultimately the decision we make. We can organise the factors affecting decision making into three major groups: Perception Issues, Organisational Issues and Environmental Issues 1. Perception Issues Perception can be described as the way in which individuals interpret their environment. An individual's perception can influence how they make decisions and solve problems. For example, when information about a problem needs to be gathered the individual's perception will impact on where the information is sought and the type of information regarded as relevant. Perception can be influenced by the following: The Perceiver The perceiver, the individual perceiving the object, will be heavily influenced by their personal characteristics. The types of personal characteristics that can affect an individual's perception include: Background and experience, Personal values, personal expectations and Personal interests. The Object The object, which refers to any person, item or event, can have an impact on the way it is perceived. For example, when a manager receives a number of reports to read he may be more inclined to read the one with the most colourful cover as this one stands out. The relation an object has to other objects can also affect the perception of the perceiver. For example, an individual team member may be judged on the actions of the whole team even when it is more appropriate for them to be judged on their own merits. 32 PAD 710 PUBLIC POLICY ANALYSIS The Situation Time, location and other situational factors can influence our perception of an object. For example, a Team Leader may notice team members who work late on the same evenings as the Team Leader. However, team members who work late on other evenings may not be noticed by the Team Leader. 2. Organisational Issues A number of Organisational issues can impact on the decision making process. These issues include: Policies and procedures, Organisational hierarchy, Organisational politics. Policies and Procedures Many organisations have formalised policies and procedures which have been developed to resolve common problems and to guide managers when making decisions. For example, many organisations have documented disciplinary procedures which guide managers through a process of resolving issues with staff members. Organisational Hierarchy Organisational hierarchy refers to the management structure of the organisation. Most organisations have different levels of management which carry with them different degrees of authority. The degree of authority directly impacts on the nature of the decisions an individual can make. For example, a Customer Contact Centre Team Leader cannot make decisions about the overall goals of the organisation. However, the Team Leader can make decisions about how their team contributes to the achievement of the organisation's goals. Organisational Politics Organisational politics refers to behaviour displayed by individuals and groups which is designed to influence others. Individuals and teams will often use politics to: Advance their careers, Advance their interests and ideas, and Increase their rewards. Organisations are made up of individuals with different beliefs, values and interests. These differences are often the driving forces behind organisational politics. For example, two teams believe they require an extra team member. Unfortunately the organisation can only afford one new employee. The two teams may well use politics in an attempt to influence their manager to allocate the new employee to their team. 33 PAD 710 PUBLIC POLICY ANALYSIS 3. Environmental Issues Environmental issues are the external factors that affect the organisation. The types of external factors that can have an effect on decision making include: The market in which the organisation operates The economy Government legislation Customers' reaction to the organisation's products and services 4.0 CONCLUSION People make decisions about many things. They make political decisions; personal decisions, including medical choices, romantic decisions, and career decisions; and financial decisions, which may also include some of the other kinds of decisions and judgments. Quite often, the decision making process is fairly specific to the decision being made. Some choices are simple and seem straight forward, while others are complex and require a multi-step approach to making the decisions. In this, we have successfully addressed decision making, in the context of meaning, characteristics and types of decisions people make. We also look at why we study decision making, levels of decision making process and lastly, factors that influence decision making, 5.0 SUMMARY Decision making is an important area of research in Public Administration. Understanding the process by which individuals make decisions is important to understanding the decisions they make. There are several factors that influence decision making. After an individual makes a decision, there are several differing outcomes, including regret and satisfaction. 6.0 TUTOR-MARKED ASSIGNMENT What are the factors that affects decision making? 7.0 REFERENCES/FURTHER READING Krantz, D.H. & Kunreuther, H.C. (2007). Goals and plans in decision making. Judgment and Decision Making. 2(3), 137-168. Jullisson, E.A., Karlsson, N. & Garling, T. (2005). Weighing the past and the future in Decision-Making. European Journal of Cognitive Psychology, 17(4), 561-575. 34 PAD 710 PUBLIC POLICY ANALYSIS Abraham, C. & Sheeran, P. (2003). Acting on intentions: The role of anticipated regret. British Journal of Social Psychology, 42, 495- 511. Dietrich, C. (2010). "Decision Making: Factors that Influence Decision Making, Heuristics Used, and Decision Outcomes." Inquiries Journal/Student Pulse, 2(02). Retrieved from http://www.inquiriesjournal.com/a?id=180 35 PAD 710 PUBLIC POLICY ANALYSIS MODULE 2 DYNAMICS OF PUBLIC POLICYPROCESS AND POLICY AND DECISION-MAKING THEORIES Unit 1 Policy Formation: Problems, Agenda and formulation Unit 2 Approaches to Public Policy Making Unit 3 Dynamics of Public Policy Formulation, Implementation and Evaluation Unit 4 Theories of Public Policy Making Unit 5 Theories of Decision-Making UNIT 1 POLICY FORMATION: PROBLEMS, AGENDA AND FORMULATION CONTENTS 1.0 Introduction 2.0 Objectives 3.0 Main Content 3.1 Policy Problems 3.2 Policy Agenda 3.3 Who sets the agenda? 3.4 How to Get Problems onto the Agenda 3.5 Why Some Issues Are Ignored 3.6 Policy Formulation 4.0 Conclusion 5.0 Summary 6.0 Tutor-Marked Assignment 7.0 References/Further Reading 1.0 INTRODUCTION The policy process refers to the methods, conditions, procedures, activities, interactions and stages by which policies are made. It refers to how policies come about or are made and what is involved in the processing of policies from problems identification to the policy outcome. However, having x-rayed the complete process in the last unit, we purposefully used this unit to equip the student with the latent knowledge about the dynamics and idiosyncrasies of the pre-decision stage of the whole process called the policy formation stage. The need for the emphasis is because of its relevance in the entire process. 36 PAD 710 PUBLIC POLICY ANALYSIS 2.0 OBJECTIVES At the end of this unit, you should be able to: explain the nature policy problems definition describe Policy Agenda and Policy Agenda Setting state Policy Formulation and its importance in policy process. 3.0 MAIN CONTENT 3.1 Policy Problems As Anderson (1997) observed, older studies of policy formation devote little attention to the nature and definition of public problems. Instead, problems were taken as “given”, and analysis moved from there. However, it is now conventional wisdom that policy study that does not consider the characteristics and dimensions of the problems that stimulate government action is less than complete. It is important to know both why some problems are acted on and other are neglected and why problem is defined in one way rather than another. This helps one determine where power lies in the political system. Moreover, whether a problem is foreign or domestic, a new item or the outgrowth of an existing policy, or limited or sweeping in scope helps to determine the nature of the ensuring policy making process. Evaluating a policy also requires information on the substance and dimensions of the target problem in order to appraise the policy effectiveness. Policy Problem can be defined as a condition or situation that produces needs or satisfaction among people ad for which relief or redress through government action is sought. Such conditions as dirty air, unwholesome food, the practice of abortion, urban congestion, crowded prison that may become problems if they produce sufficient anxiety or dissatisfaction to cause people to seek for a remedy. For this to happen, people must have some criterion or standard by which the troubling condition is judged to be both unreasonable and unaccepted and appropriate for government to handle. Something in effect needs to tell us that inflation and unemployment will have unacceptable economic effect. If people think that a condition is normal, inevitable, or their own responsibility, then nothing is likely to happen because it is not perceived as a problem. If a group of people, for instance, is afflicted by depressed economic condition but regards these conditions as inevitable and legitimate and neither does anything about them nor somehow elicit actions by others on their behalf, then, according to the definition, no problem exists because conditions do not become public problems unless they are defined as 37 PAD 710 PUBLIC POLICY ANALYSIS such, articulated by someone, and then brought to the attention of the government. This action can be and frequently is taken by legislators and other government officials who are often scouting around for problems that they can claim credit for solving. As stated earlier, to be converted into a problem, a condition must also be seen as an appropriate topic for governmental action and further as something for which there is a possible governmental remedy or solution. As Wildavsky contended “a problem is a problem only if something can be done about it. It means that government or government officials cannot is unlikely to deal with a problem unless it is coupled with a solution. Conditions can be defined as problems, and redress for them can be sought by persons other than those who are directly affected. Again, there is always a possibility that others will define a problem differently than those affected. Indeed, problems are often defined differently by individuals and groups possessing varying interest and values. Although many problems are persistent, how they are defined may change as values and conditions change because conditions that at one time was accepted as the normal order of things may later, because of social change, be treated as problems. For centuries, wife-beating, child abuse and other forms of family violence were regarded as private matter, today; they are no longer so treated. Changes in public attitude, media attention, the women’s movement and other factors changed our notions about acceptable conduct in family matters. A variety of national or state laws pertaining to family violence now are on the statute books. There is still however uncertainty as to the pervasiveness of family violence. The definition of a problem is often a political process whose outcome will help determine appropriate solutions. Another facet of problem definition is causation, hence a condition may be defined as a problem but what causes the condition? Many problem- crime, poverty, unemployment, inflation, air pollution have multiple causes. Again, the nature and scope of some public problems may be difficult to specify because they are diffuse or invisible. Because measurement may be imprecise, policy makers may be uncertain about the magnitude of the problem and in turn about effective solution or even whether there is a need for governmental action 38 PAD 710 PUBLIC POLICY ANALYSIS 3.2 Policy Agenda We frequently read about demands being made by this group or that individual or some public officials for action by a governmental body on some problems, whether it be IPOB demand to secede or curbing corruption in the public sector. Of the thousands of demands made, only a few will receive serious consideration by public policy makers. This process is called policy agenda. The policy agenda is composed of the demands that policy-makers agree to consider. It is not the sum of all political demands, and is ranked according to the political priorities of the policy decision-makers. A number of individuals or groups can try to get their issues onto the policy agenda, including leaders, interest groups, crisis or disaster, mass organisations or protests, media attention, etc. “Non-decisions” are the decisions to avoid considering certain issues. Since it is not all the demands on government that gets to be considered by the government, the question that comes to mind is how then do problems reach the agendas of governmental organisations such as the National Assembly. Professor John Kingdon proposed agenda setting which is the process by which problems and alternative solutions gain or lose public and elite attention. Group competition to set the agenda is fierce because no society or political system has the institutional capacity to address all possible alternatives to all possible problems that arise at any one time. This may be it is contended that Agenda setting is not a rational process, but a struggle over the definition of the problem. All interests are not equally represented in this struggle, and some problems are more likely to reach the agenda than others. Hence, the rational approach assumes that no important problems are unperceived and that all problems are accurately defined by all participants who agree on an objective definition. May decision-makers assume that if a problem has not been brought to their attention, then it does not exist. The implications of this assumption are like the ostrich with its head in the sand. In actuality, there is no agreement on what the problem is or even whether it is a public issue. There is no agreement on the values or tradeoffs that should be made in areas of conflict (e.g., environmental protection versus jobs). Conflict arises because different groups would be affected in different ways by any potential definition of the problem or any potential solution. Interest groups place issues where they will have the most control over the decision-makers. Not all problems create “publics” or equally powerful groups. Corporations and institutions are more likely to survive and get their issues on the agenda over the long term. Also, within a capitalist system, a high degree of business success must be supported by public policy. 39 PAD 710 PUBLIC POLICY ANALYSIS A problem must be accepted on the agenda for the policy-making system to take action. Once on the agenda, it is hard to displace an issue (e.g., poverty, education,

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