Week 1 Public Policy Study Notes PDF

PUAD A323F Public Policy Studies Week 1 The Foundation of Public Policy—Key concepts and major types of public policy 4 September 2024 (C0512) This is PUAD A323F If you’re not in the right class-- You may leave now. Have a nice day ahead! If you’re in the right class-- Welco...

PUAD A323F Public Policy Studies Week 1 The Foundation of Public Policy—Key concepts and major types of public policy 4 September 2024 (C0512) This is PUAD A323F If you’re not in the right class-- You may leave now. Have a nice day ahead! If you’re in the right class-- Welcome! My name is Percy Lui. I am the instructor and the tutor of this course. To have a rewarding learning experience, please observe a few do’s and don’ts in my class. 2 The do’s and don’ts for Percy’s class Do’s --Ask questions whenever you have doubts about my lectures. --Express your opinions on issues under discussion. --Answer questions that I asked during the lectures. --Switch the ringing tone of your mobile phone to vibrating alert. Don’ts --Talk with your classmates during the lectures. If you really need to talk, you must do so OUTSIDE the classroom. You are free to decide whether to rejoin the class after your conversation. Thanks a million! 3 How to contact the instructor/tutor? And about the assigned readings Instructor/tutor: Dr. Percy Lui (Office: Room A0719. Phone: 2768-5729, E-mail: [email protected]) About the assigned readings : You should read the assigned readings before the next lecture. If you find some readings difficult to understand, don’t panic. Discuss your problems with me as early as possible. 4 Contents of the Course This course is divided into four parts: I. The basics of public policy studies (Weeks 1-2) II. Theoretical approaches to public policy studies and the policy context (Weeks 4-5) III. The public policy process (Weeks 6-11) IV. Public policy analysis, and the relationship between politics and public policy (Weeks 12-13) 5 Assessment Requirements The assessment of the course consists of two components: (i) Course Work— 60% (Tutorial 20% + Mid-term 20% + One Written Assignment 20%). (ii) Final examination—40%. 6 What is public policy? The first question to ask is: Why study public policy? As Anderson points out, public policies “confer advantages and disadvantages; cause pleasure…and pain; and collectively have important consequences for our well-being and happiness” (p.1). 7 What is public policy? Wilson also notes that public policies are much more essential than most people realize. In brief, public policies improve our lives in many ways. Any examples? (read Wilson, p.15 for more examples) Exactly, what is a public policy? 8 What is public policy? One often quoted definition is “Public policy is whatever governments choose to do or not to do” (Dye, 2016, p.1) Dye’s definition focuses not only on government action, but also on …. What is the limitation of this definition? According to Wilson, public policies “are the authoritative statements or actions of government which reflect the decisions, values, or goals of policy makers” (p.15). 9 What is public policy? To Wilson, a public policy is what public officials, not citizens, choose to do or not to do about a public problem (p.16). Public policies can only come from governmental entities, such as legislatures and government agencies. In sum, public policies involve activities like the “allocation of resources, the provision of services, the regulation of behavior, or the distribution of values” (Ibid.). 10 What is public policy? According to Anderson, a policy is “a purposive course of action or inaction followed by an actor or set of actors in dealing with a problem or matter of concern” (p.7). Like Wilson, Anderson also argues that “public policies are developed by governmental bodies and officials…they usually affect substantial number of people” (Ibid.). 11 What is public policy? Anderson’s definition implies the following: (a) public policies are purposive action rather than a random behavior or chance occurrences; (b) public policies consist of patterns of action taken over time by public officials rather than their separate, discrete decisions; 12 What is public policy? (c) public policies emerge in response to policy demands (i.e. claims for action/ inaction on public issues) made by other actors (e.g. citizens) upon public officials and agencies; (d) public policy involves what governments actually do, not just what they intend to do or what officials say they are going to do; 13 What is public policy? To assess whether or not the government really has a policy on an issue, one should look at a policy’s policy outputs (i.e. actions actually taken) and/or policy outcomes (i.e. a policy’s societal consequences). Is “policy outcomes” a good indicator to judge whether a government has a policy on an issue? (e) public policy may be either positive or negative. 14 What is public policy? Positive public policies are those that governments adopted and implemented to deal with public problems. Negative public policies are those that governments decided to do nothing on matters which government involvements were sought; and (f) public policy, in its positive form, is based on law and is authoritative. For details of the above points, read Anderson, pp.6-9. 15 What is public policy? Finally, Lynn defines public policy as “the output of a diffuse process made up of individuals who interact with each other in small groups of a framework dominated by formal organizations. Those organizations function in a system of political institutions, rules and practices, all subject to societal and cultural influences” (Lynn, quoted in Hughes 2018, p.110). 16 What is public policy? Key features of Lynn’s definition are: (a) public policy is the output of government; (b) the formulation of a public policy is an elusive process (i.e. it is not as orderly and linear as one usually thought); and (c) public policymaking does not occur in a vacuum, there are constraints of organizations, institutions, interest groups and even societal and cultural influences. 17 Essential components of a public policy definition Each of the earlier mentioned definitions tells us something about the subject matter of public policy such as its nature and processes. Theodoulou and Kofinis provided us a framework to understand the essential components of a public policy definition. See Box 2.1 (p.24) for an overview of these essential components. 18 Essential components of a public policy definition (I) Action and Inaction—the most obvious form of public policy is an explicit policy action that seek to change the status quo. On the contrary, inaction means do nothing, that is, keep the status quo. The preference for policy action/inaction is the product of a union of political motivations unique to each policy issue. 19 Essential components of a public policy definition Many factors like ideological, partisan affiliation, or constituent interest may affect the decision for action/inaction. For details, read pp.24-25. (II) Formal and Informal Players—every public policy includes an array of formal and informal players/actors. How can one differentiate a formal actor from an informal actor? For details, read pp.26-27. Examples of formal and informal players are… 20 Essential components of a public policy definition (III) Types of Public Policies—obviously, the government would use different types of public policy to achieve different purposes. (IV) Intended Course of Action—public policy actions are reflective of the decisions taken by the government to address a recognized problem in a specified manner. 21 Essential components of a public policy definition Governments may use various policy instruments such as laws to address a recognized public problem like cigarette smoking. How? It is not the choose of instruments that would affect the success/failure of a policy but whether the expected policy goals are clearly defined. A vague policy goal adds to the confusion as to which instruments offer the best means to address the policy problem, and vice versa. For details, read pp.30-32. 22 Essential components of a public policy definition (V) Intentional and Unintentional Consequences—every public policy will have consequences. Think about Q5 on page 34. The question is “does the policy result in intentional or unintentional consequences, or some degree of both types of consequences?” The realization that policies will have both types of consequences helps us to better appreciate the difficulties in addressing a policy problem. For details, read pp.32-33. 23 Essential components of a public policy definition (VI) Policy Making as a Process—many public policy textbooks use a policy cycle (stages-heuristic) approach to study the policy making process. In general, a policy cycle consists of three phases: (a) predecision, (b) decision, and (c) postdecision. 24 Essential components of a public policy definition Read pp.33-34 for details on these phases (i.e. how policies originate, develop, and grow). 25 Critical concepts in public policy Theodoulou and Kofinis point out that to “fairly evaluate…the policy process, and the policy actions that result, it is essential to first become aware of the diverse set of conceptual influences and tensions that mark the field of American public policy” (p.2). In fact, these concepts are not just applicable to the American context, but to any open, pluralistic and liberal countries/cities. 26 Critical concepts in public policy These concepts are listed in Box 1.1 (on p.3) shows below: 27 Critical concepts in public policy I will not examine all these concepts but focus on the following: (I) Power—in public policy studies, power can be understood in terms of (a) the influence on decision-making, (b) the ability to set the agenda, and (c) the ability to persuade and alter perceptions (p.3). 28 Critical concepts in public policy One should not think of power as something that is absolute but as relative to the time, issues, and circumstances in which it is applied. For details, read pp.3-4. (II) Authority and Legitimacy—those who have the authority to make policies possess the rightful basis to compel obedience upon those who are the target of their influence. 29 Critical concepts in public policy In the absence of authority, a higher degree of brute force is necessary to ensure the obedience of those who are being governed. The path from rightful authority to sheer brute force is determined by the presence or absence of legitimacy  effective and just governing requires not only the necessary power but also the rightful authority and the granting of legitimacy to wield such policy power. For details, read pp.4-5. 30 Critical concepts in public policy (III) Representation—in democracies, a key question to ask is “should elected officials defer to the public’s demands (as delegates) or guide by their own convictions of what is best for their constituents and the society (as trustees)?” Elected officials “must trade off between personal conviction and the necessity to serve the policy demands of their constituents” (p.6). Any examples? For details, read pp.6-7. 31 Critical concepts in public policy (IV) Public Interest—this concept is central to the very core of public policy. In brief, one might say that the public interest includes the critical concerns of all or most members of the society. Public consensus may emerge over those issues that affect the many. Any examples? However, it is common that a clear public interest may fail to emerge. Why? 32 Critical concepts in public policy In many circumstances where there is no clear public interest, government may have to define and impose a specific public interest on its citizenry through a public policy.  Public policy is basically an imposed definition of the public interest on society. Any examples? For details, read p.7. 33 Critical concepts in public policy (V) Public vs. Private—What is public? What is private? When should government intervene in private affairs?  these are key questions one must ask before starting the public policymaking process. One could conceive the public and private realms along a public policy continuum. 34 Critical concepts in public policy Government has no role in addressing issues that fall exclusively in the private zone (Why?), and vice versa. Any examples? 35 Critical concepts in public policy The problem is that the dividing line between the public and private zones is not always clear, and it is not static. What would be the major factors that could change the dividing line between the public and private zones? Any examples? Certainly, the preference for more or less government intervention is by no means fixed, but can and does change over time. 36 Critical concepts in public policy Example: the issue of retirement protection in US was widely seen as a private concern before the passing of the Social Security Act in 1935. 37 Critical concepts in public policy As the extent and nature of the role of government within a society is not predetermined, the scope of policy action is (i) a reflection of the array of political, policy, and ideological interests involved in the policy process; 38 Critical concepts in public policy (ii) the period of time in which a problem manifests; and (iii) the pervasive belief that a certain course of action is best given the nature of the problem” (p.13). For details, read pp.9-13. Also think about Q4 on p.20. 39 Critical concepts in public policy Ideology would affect how one sees the role of government and the types of public policies that it should adopt. This is especially so when policy issues fall within the domains of morality or equity. Morality issues involve questions of whether particular types of behavior are bad and whether government should regulate it. Example: prostitution and gambling. 40 Critical concepts in public policy Equity issues entail judgments about justice and the redistribution of resources or privileges from the haves to the have-nots. Example: should government spend more on child care? Briefly, four types of ideological groups can be identified in America: conservative, liberal, libertarian, and communitarian. For details, read Wilson, pp.25-27. Do we see the influence of these ideologies in Hong Kong’s public policymaking process? 41 Critical concepts in public policy 42 Critical concepts in public policy (VI) Needs and Rights—through policy actions, government defines what is a need, the extent to which a society’s resources will be reallocated to meet these needs, and the role government agencies will play in the process. Is there any difference between a “need” and a “want”? It is the government’s responsibility to deliver and ensure that needs of the society and individuals are met. 43 Critical concepts in public policy The idea of rights seeks to delimit the extent to which government, or other actors in a society, can intrude upon individuals’ affairs. The significance of defining one’s rights proves substantial for public policy  once defined by law, the rights of individuals represent a check against the enormous power of the state. Any examples? For details, read pp.13-15. 44 Critical concepts in public policy (VII) Equality and Justice—What is social justice? Does it demand a certain degree and type of equality? These questions often frame the debate over what policy responses should be taken to address profound societal failings. Any examples? In the end, fundamental notions of equality are still subject to debate, as do the very public policies that seek to address the causes and conditions that lead to greater equality. For details, read pp.15-16. 45 Critical concepts in public policy (VIII) Efficiency and Effectiveness These two concepts operate not in a political vacuum, but is defined and redefined by the political and policy preferences of the actors involved throughout the policy process. For details, read pp.17-18. Nevertheless, they are the most frequently used criteria/values that policymakers would consider in the policymaking process. 46 Types of public policies Major types of public policies are as follows (the typologies listed here are by no means exhaustive): (I) Constitute policies—they are policies that concern with the establishment of government structure, rules or procedures for the conduct of government…(Anderson, p.11). Read Anderson, pp. 11-12 for details and US examples. Try to identify some local examples. 47 Types of public policies (II) Distributive policies—these policies involve allocation of services or benefits to particular individuals, groups, corporations, and communities. Those who seek benefits usually do not compete with one another. Nor do their benefit represent a direct cost to any specific group  appear to create only winners and no specific losers. Read Anderson, pp. 12-13 for details and US examples. Try to identify some local examples. Also read Theodoulou and Kofinis, pp.28-29. 48 Types of public policies (III) Redistributive policies—these policies shift resources, benefits, rights, and privileges among the various population segments  usually from haves to have-nots. Because specific target populations garner benefits at the expense of other target populations, redistributive policies are often highly contentious  there are winners and losers. Read Anderson, pp. 15-16 for details and US examples. Try to identify some local examples. Also read Theodoulou and Kofinis, p.29. 49 Types of public policies (IV) Regulatory policies—these policies represent governmentally mandated rules on the actions of specific target populations. These policies aim to “alter or restrict behaviors and practices that are deemed to have a negative effect on a given aspect of the society” (Theodoulou and Kofinis, p.29). There are two major types of regulatory policies—economic and social. Read Anderson, pp. 14-15 for details and US examples. Try to identify some local examples. Also read Theodoulou and Kofinis, p.29; and Wilson, pp.18-19. 50 Types of public policies (V) Self-regulatory policies—these policies represent an attempt of self-manage rules that restrict or control behavior by the actual target population. These policies tend to benefit the regulated group because it often preempts the degree of regulation that might otherwise be imposed by the government (Theodoulou and Kofinis, p.29). Read Anderson, p.15 for more information. Try to identify some local examples. 51 Types of public policies (VI) Material and Symbolic policies— material policies provide tangible resources or substantive power to their beneficiaries, or impose real disadvantages on those who are adversely affected. In contrast, symbolic policies have little real material impact on people. They are principally rhetorical and seek to inform or persuade the population, often by presenting a particular point of view. 52 Types of public policies Most policies are neither entirely symbolic nor wholly material. The symbolic and material categories should instead be viewed as the poles of a continuum, with most policies being ranged along the continuum depending upon how symbolic or material they are in practice. Read Anderson, pp. 16-18 for more details and US examples. Try to identify some local examples. Also read Theodoulou and Kofinis, pp.29-30. 53 Types of public policies (VII) Morality policies—these policies involve moral issues and notions of right and wrong. They tend to be grounded in religion and entail conflicts over values and principles. Read Wilson, p.20 for more information. Any examples? Wilson also examines four other types of public policies, namely allocational, developmental, foreign, and defense policies, read pp.19-21 for details. 54 Conclusion In this lecture, we first examined some definitions of public policy. Then we discussed six essential components of a public policy definition. After that, we reviewed some critical concepts in public policy, and finally, we studied seven major types of public policies. What we haven’t discussed thus far is the reasons for public policies. 55 Conclusion As Wilson notes, one often asks the question “why do we need government and public policies? Why can’t the free market and private enterprise provide all the conveniences we want?” (p.21). The answer is simple—market fails sometime, and the profit maximization orientation of the market makes it an inappropriate tool to carry out certain tasks  we need government and public policies. 56 Conclusion According to Wilson, we need government and public policies to: (a) uphold law, order and justice; (b) prevent unintended market harm; (c) weather business cycles or respond to economic crises; (d) lessen the impact of market disorganization; (e) mandate fair business practices; 57 Conclusion (f) enforce consumer protection; (g) compensate for natural monopolies; (h) provide public goods; and (i) administer redistribution. For details, read Wilson, pp.22-25. Though government and public policies are an essential and regular aspect of life in our society, we have mixed feelings about government and public policies. 58 Conclusion What explains the ambivalence? What explains the lack of trust and confidence in government? Read Wilson, pp.27-33 for reasons why Americans are ambivalence toward government and public policies. In next lecture, we will explore major values a government may want to achieve through its public policies. 59 References Dye, Thomas R. 2016. Understanding Public Policy. 15th ed. Boston, MA: Pearson Education, Inc. Hughes, Owen E. 2018. Public Management and Administration: An Introduction, 5th ed. London, UK: Palgrave. 60