Policy analysis Flashcards
What is a policy? (Define the three analytical dimensions)
Polity: The institutional arrangements
characterizing a political system. The formel and informal rule of the games - determine how you make policies.
Politics: Policy-making process within the polity, involving various actors and their interactions.
Policy: a 1. Course of action (or non-action) taken by a government or legislature to address a particular issue/particular action. b. Means of exercising power of one social/political group over another.
Arrange the three major analytical dimensions into an equation:
Polity /institutions) + Politics (actors) = Policy
We can keep one factor constant and then see the changes - it is usefull to predict and analyze what happens.
Give an example of differences in scope regarding a policy
Scope 1: Environmental policy
Scope 2: Air policy, water policy, climate policy.
Scope 3: Air policy - emission of smog and particles
Scope 4: Emission allowrances or particle filters for cars
Explain the most important elements of the rational approach (Lasswell 1956).
(How policy-making should be sequentially organized to achieve the optimal solution)
The policy process is rational and ideally follows a logic sequences - the following phases:
- intelligence (collection and processing of all relevant knowledge and information),
- promotion (identification and support of selected alternative),
- prescription (imposition of a binding decision),
- invocation (policy enforcement),
- termination (abrogation of policy),
- appraisal (evaluation of policy effects - against the backdrop of initial objectives and intentions).
What it the critic of the rational approach to policy making-process?
- It is overly ambitions to think that in reality the actors follow such a logic sequence of phases
- Is it possible to ever have a full collection of all relevant knowledge and information on a policy problem.
- Static rather than dynamic view on the process of policy making.
Define and explain the incremental approach to a policy-making process?
The theory of the incrementalism rejected the idea of public policy being mad eon the basis of a fully rational decison-making process.
The incremental model beliefs that public policy is regarded as the political result of the interaction of carious actors possesing diffrent types of information. These actors are characterized by different constraints and interests witch influence the policy decision.
- Policy-makers act within the context of bounded
information, time and limited cognitive resources i.e. bounded rationality where they search for satisfactory solution rather than the optimal one. - The process of ‘partisan mutual adjustment’ can only lead to one outcome: incremental policy change.
- Purports to be a realistic description of how policy-makers arrive at their decisions.
What it the critique of the incremental model? (approach to policy making process)
Even though the incremental model builds upon the concept of bounded rationality, it still presumes that policy-making is characterized by an rational process - the Garbage can model will criticize this and argue that the policy proces do not follow a orderly process at all.
Define and explain the garbage can model? (Analytical approach to understand the policy process)
Policy-making do not follow an orderly proces from problem to solution - instead it is the outcome of relatively independent streams of events. Solutions exist and develop independently of the problem.
Policy is the result of independent streams:
- Actors within an organization go through the ‘garbage’ first and look for a suitable fix, i.e. the ‘solution’.
- The actors involved in the development of solutions might be different from those who discuss the definition of the respective policy problems.
Define the four policy stages?
- Problem and agenda-setting: Why do perceptions of definitions of policy problems change over time/vary across countries?
Why are certain problems ignored while others are placed on the agenda? - Policy formulation and adaption:
How do policy decisions come about? How can policy outputs be explained? - Implementation:
Why do certain policies fail?
Which factors account for the variance in policy implementation? - Evaluation:
How can policy effects (outcomes and impacts) be measured?
Which factors explain variation in policy effects?
Notes: All these stages should be viewed as a political lens - within a certain perspective.
Which typologies do we have that can be used to make an analytical classification of different policies?
Wilson policy typology, Lowi policy typology and Hood and Margetts (2007) NATO-model
Define and explain Lowi policy typology
Type of policy:
A: Regulatory policies:
Policies specifying conditions and constraints for individual and collective behaviour.
B: Distributive policies
(Policies distributing new (state) resources.
C: Redistributive policies (Policies modifying the distribution of exsisting resources)
D: Constituent policies (Policies creating or modifying the states institutions)
Give an example of a regulatory policy
Environmental protection, migration policy, consumers protection.
Give an example of distributive policies and explain what the political dynamic normally is?
Example: Farm subsidies, local infrastructure such as high way or schools.
The political dynamic is normally low/there is consensus because cost are spread.
Give an example of redistributive policies and explain the political dynamic?
Example: Welfare, land reform, taxation reforms
The conflict level is normally high due to winners and losers.
Give an example of a constituent policy? And explain the political dynamic?
Changes of procedural rules of parliaments, creation of new governmental agencies.
Political dynamic is low conflict due to elite powered status of the changes
What is the criticism of Lowi’s (1972) typology ?
- Regulatory policies may have distributive and redistributive effects.
- Difficult to distinguish between distributive and redistributive policies: The classification depends on the individual perception of the actors concerned.
- Policy makers may try to strategic name a policy to influence the societal actors perceived idea of the policy (labelling a policy as distributive even though it has redistributive effects)
- Classification is context dependent: The perception of wether a policy is distributive or redistributive varies over time (es example of an economic boom)
- Not up to date. What about moral issues?. We should emphasize that the effects of a policy can hardly be considered as the only factor influencing patterns of policy making. Many other variables such as; institutional agreements, the party system or general relationships between state and society might have an impact.
Explain Wilsons typology?
Wilsons typology is used to classify who carries the cost and who benefits form the policy.
Each of the four possible combinations yields different impacts on the policy.
Cost-Concentrated & Benefits Concentrated:
When both cost and benefits of a certain policy are concentrated a government maybe confronted with opposition from rival interest groups. Policy decisions will be strongly affected by the positions and resources of relevant interest associations. The level of conflict is high and the outcome is unpredictable (should give a way for the incremental-model of decision making). Example: Agriculture - hormone treated beef or antibiotics in the pigs.
Cost-diffuse & Benefits Concentrated:
Government is likely to be confronted with relevant interest groups that is favorable to their reform. This type of politics suggest the most politically feasible environment for policy change as it offers relatively concentrated benefits e.g. assistance to an identifiable group of citizens. Examples are health programmes that benefit special groups. The Clientistic politics mostly take place behind the scenes and are the result of consensus between political actors and interest groups which allows both sides to pursue their respective interests. There is a low level of conflict.
Cost-concentrated and Benefits-diffuse:
If costs are concentrated and benefits diffuse, a government may encounter opposition form dominant interest groups. In this case entrepreneurial politics are the probable outcome: political entreprenuers who are willing to develop and put though policy proposal despite hard societal pressure. Political dynamic: high level of conflict. Example: Typically comes with events such as natural disaters.
Benefits-diffuse & cost diffuse: When both cost and benefits is widely distributed a government may encounter no or only minor opposition, indicating majoritarian politics as the likely outcome, with policy-makers following a very closely the preferences of the electorate when making their decisions. The political dynamic is low level of conflicts. Example: Universel health care (spread both benefits and cost)
Critique of Wilsons typology?
- It is not a really concrete model → it is a bit unclear.
- It is a bit hard to differentiate between concentrated and diffuse.
Compare Lowis typology to Wilsons typology? (strength and weaknesses)
The approach by wilson is analytically more compelling since its is more precise about the characteristics of policy-making and the actors involved.
Wilsons typology is also more dynamic, since formulating a policy may shift from one type of politics to another.
Lowi - more static and not up to date. Do not take in count the other variables that affect and influence the policy process.
Define and explain Hood and Margetts (2007) typology?
They are classifying public policies based on the underlying governance principle and instrument in the NATO model.
Governance principle:
Nodality
Authority
Tressure
Organization
Under each governance principle is a basic resources, a governance logic, and typical instruments.
Explain “Nodality” in the NATO model?
And explain its basic resource, governance logic, and typical instruments.
Nodality refers to the central role of governments in terms of their role in distributing information within political systems.
The basic resource: Information
Governance logic: Indirect stimulation of behavioral change through information and persuasion (changing individual or collective behaviour in order to achieve a political objectives.
Example: Public information campaign regarding smoking. Publicizing reports and data made by the agencies.
Advantage: It is a relative low cost of application and implementation. Appear to be a good tool in relative short-term crises situations.
Weakness: Limited and uncertain effectiveness.
Explain “Authority” in the NATO model?
And explain its basic resource, governance logic, and typical instruments.
Authority is defined as the states use of law as a central resource for governmental intervention. Implies the legitimacy of legal or official power and gives the ability to force societal actors to follow legal rules.
Basic resource: Law
Typical instruments:
Demand, forbidding, bans, standards. There is economic regulation (taxes, price bans) and social regulation (health and safety at work)
Example: Smooching bans in public places, age restrictions on alcohol.
Advantage: Directly behavioral changes by altering the legal conditions. Highly predictable. Government have minor budget prevention.
Disadvantages:
Regulation entails high cost in terms of regulating and monitoring their proper inforcement. Secondly, no incentive for policies to go beyond legal requirements: minimize innovation. Third: Danger of regulating capture.
Explain “Treasure” in the NATO model?
And explain its basic resource, governance logic, and typical instruments.
This tool is based on money of the various economic tools of government.
Basic instrument: money
Typical instruments:
Treasure involve positive and negative financial incentives. Taxes, User charges, grants.
Example: Grants for research at universities, or grants for public transportation.
Advantage: Easier to implement than control- and monitoring-intensive regulatory policies. Economic tools are carazterised as a high levels of political acceptance, as benefits are relatively concentrated on certain groups and cost are widely spread.
Disadvantages:
Strongly effect the public budget (as long as redistribute rather than distribute)
Difficult to calculate the level of incentives in such a way that they actually unfold their expected effects.
Explain “Organization” in the NATO model?
And explain its basic resource, governance logic, and typical instruments.
Basic instrument: Structures and capacity
Governance logic: Provision of public good or service by the state or state enterprise (rail-way companies). The provision of public good relies on the direct provision of public goods by the state it self (do not just regulate).
Typical instruments: Public organisation
Example: Government-run smoking cessation programs.
Advantages:
Problems indirect provision are avoided, including Political conflicts, long processes of negotiation or ineffective implementation,
Disadvantages:
Public enterprises might lead to ineffecient operations, because of poor performance does not lead to bankrupt.
Define the three policy dimensions?
Policy output: The direct result of the decision-making process which usually involves the adoption of law.
Policy outcome: The way policies induce behavioral change on the side of the targeted actors.
Policy impact: The extent to which a policy decision has actually brought about the expected results. Focus on the extent to which a policy decision and its subsequent implementation have actually brought about the expected results. In this context the focus lies not only on the changes for achieving the predefined goals of a particular public policy.
Define Peter Halls typology (who distinguishes between three components of policy output)
- Policy paradigms (the overarching goal that guides a policy in a particular field.
- Policy instruments (means used to achieve these goals)
- The precise setting or calibration of these instruments.
Hall developed this typology in his analysis of economic policy change in Britain.
In this context so-called first-order changes refer to constellations in which only the calibration of policy instruments is adjusted (instruments setting). Example is tightening or weakening of environmental emission standards.
Second order: changes in instruments. Imply minor adjustment to existing instruments are abolished or replaced by others.
The most fundamental category of change - third order. These refer to the goals guiding a policy in a particular field, including how the problem at hand should be understood. Change in paradigm.
Define the term “policy style”
Policy styles refer to the standard operating procedures of governments in the making and implementing of public policies.
Define the four ideal policy styles (Richardson et. al.)
Acoording to Richardsen et. al. there are two dimensions determing national policy styles, The first dimension relates to a governments apporach to problem solvinging, ranging from anticipatory/active to reactive. The second dimension is about governments relationship to other actors in the policy making process, characterized vy their inclination either to reach concensus with organized groups or to impose decisions. Based on the two axes, four ideal policy styles are identified for west European countries are identified:
- The rationalist consensus style in Germany
- The British negotiation style
- The French concerting style
- The Dutch negotiation and conflict style.
Empirical studies of policy styles reach contradictory conclusions regarding the empirical relevance of this approach.
Define the matrix for potential determinants of policy styles
Country specific
- Hig stability: Socioeconomic, development status, cultural orientation, institutional arrangements
- Low Stability:
Economic situation, Public opinion, government, coalition/government change.
Sector specific:
- High stability:
Nature of the problem, Policy paradigms, typical cleavages and conflict.
- Low stability:
Pressure of problem, current experience current policy developments, current conflicts and bargaining process.
Define the terms “actors” in the context of public policy
Actors: As a group of individuals who participate in policy processes and whose preferences will ultimaltely determine the policy choice.
Define the term “institutions”
Institutions as established sets of formal rules that determine extent to which actors preferences may be transported into public policies. The institutions we talked about are those who correspond to formal organizations.
What is the most essential institution in the political system?
The most essential institution in a political system is its constitution; a set of formal principles and rules in which a state is governed. In some states they are flexible → in others rigid (so they cannot easily be modified to deal with short term policy).
- Determines the centralization of power.
- Constitutions establish the three banches of government and assign them to make, implement and interpret laws.
- In most countries the constitution is protected by a supreme court.
- Abstract review; check that a legislative bill is compatible with the constitution before it enters into force.
What does the concept of policy styles seeks to identify?
It seeks to identify stable country- or sector specific patterns of policy-making. In this the political dimensions are important.
What are the three characteristics we must pay attention to in order to understand how actors determine policy output?
- their capabilities
- perceptions
- preferences
Define the term “public actors”
Actors who are elected by the people.
Define the three most important public actors?
- The executive
- The legislature
- The judiciary
What is the difference between government as institution and government as collective actor?
The government as an institution is defined by its formal powers.
The government as collective actors is defined as persons who have preferences regarding the policy area they are responsible for and which they express in front of others.
Define the horizontal and vertical power seperation.
Horizontal power seperation is among the three most important public actors:
1. Executive
2. Legislative
3. Judiciary.
Vertical power seperation is:
- National level (example is federalism)
- Subnational level
What is a constitution and what is its most important role?
- The constitution is a set of fundamental principles and rules/laws that determine how a country should be governed.
- In some countries the constitution is flexible, meaning that they can be changed by regular majoriatian vote. In other countries they are more rigid and any changes must be approved by super-majorities.
- The constitutions set the most basic rule of the game in any government in how power can be executed.
Define a federal system of power?
A federal system of power is a vertical power seperation. It gives out some regional power, such that national power is distributed out between a national government and usually some states.
The advantage is that a federal system may have better encounter with regional problems than the national government (like in the US). It also drives innovation: as policies that turned out will in one state might be implemented in another state.
Disadvantage: Economic aspect. Maintaining individual parliaments, governments and administrations on a federal level is expensive.
What/and how is the constitution protected?
The constitution is protected by a supreme court. In some countries like Denmark, ordinary courts are fulfilling the task
What does the horizontal division of power (legislature, executive and judiciary) and potential vertical power devision (federal/unitary state) have of consequence for policy-making?
The speed og change and the number of options available.
What is the role of the executive?
The executive is in charge of implementing public policies and have the administrative responsibility to the bureaucracy.
What is the role of the legislature?
The legislature (the parliament) is the branch of government endowed with the competency to make legislation.
Define the three forms of democratic government?
Presidential, semi-presidential and parliamentary.
What is the electoral systems (majoritarian/proportional) consequence for policy-making?
The speed of change and the number of options available.
Which are the most important international institutions?
Supranational, delegated sovereignty and may adopt rules that take precedence and direct effect in the member states. Example: EU.
Can limit national actors freedom and options to a large extent.
Intergovernmental: not delegated sovereignty and therefor dependent on the voluntary compliance of the Member States. Examples: UN and WTO.
Can limit national actors freedom and options to some extent.
What is the role of the bureaucracy?
- For implementing the policy the executives relies on the bureaucracy. They are not only involved in the policy implementation, but also in the formulation do to their expertise and knowledge.
- Two types of bureaucracy; the implementing and the ministerual bureaucracy.
- Provides stability and structure to the process → political neutral (Denmark). The bureaucracy that are not political natural (USA) will be less stabile to the process.
Is a unitary state synonymous with a centralized state?
No not necessarily. It depends on the horizontal seperation of power. It depends on the concentration of the decision-making power in the hands of government.
What is the speed-level of policy processes in unitary vs. federal states?
In unitary states, the research indicates that the state tend to change policies to a greater extent and more rapidly. Unitary state in comparison to federal states seems to monetary policies more swiftly and radically, moving quickly from high to low inflation-interest.
In Unitary states the number of actors having to consent in order to enable a policy to pass is lower than in federal states, which is likely to increase the speed of policy-making as well as the radicalism of the measures proposed (which can be good or bad depending on the context).
What are the two primary electoral systems?
Proportional representation:
Seats are shared among parties in proportion to te share of votes they have received. Some countries use tiers: where the seats a devoted first in lower ties (valgmandskredse) and then in higher tie (national level).
Majoritarian systems: The strongest party in each constituency wins the seats. This is a very straight forward way of voting.
Who are the most important private actors?
A: Interest groups: Trying to influence the policy-making process in accordance with their members interests.
B: Interest groups (public): Trying to influence the policy making process in a given area (not only for its members but on a broader more public level)
C: Social groups 1) Defines themselves negatively vis-a-vis other groups 2) collective identity 3) Collective action options. Often a question of top-down vs. bottom up
D: Experts: Individuals or groups trying to influence policy making on the basis of special knowledge, but not necessarily with a particular goal in mind (neutral).
Explain the macro level/structure based theories?
The Cleavage approach (Lipset & Rokkan 1967)
Basic assumption(s):
* That certain enduring socioeconomic problems exist in societies which affect policy choices by means of
creating lasting divisions between social groups (i.e. social cleavages).
* The main argument is that variation in the importance of cleavages explains variation in policy.
The six cleavages:
1. Centre-periphery
2. State-Church
3. Rural-Urban
4. Workers-employers
5. Materialists-Postmaterialist
6. Open-Closed Societies
Who are the actors involved in a policy evaluation?
Actors involved in the policy evaluation are diverse, ranging from researchers consulting firms, think tanks and NGOs, to courts, political bodies and the executive.
Define an administrative evaluation
Administrative evaluation is usually carried out within government bodies and examines the delivery of government services. It is performed by specialist agencies: financial, legal and political overseers, or private consultants.
What is the main objective of the administrative evaluation?
The main objective of the administrative evaluation is that the policy attains their goals at the least possible cost and least burden on the policy addresses. - It attains the policies effectiveness and efficiency – whether the best possible affect is achieved by the lowest possible use of resources.
Define and explain a process evaluation, effort evaluation, efficiency evaluation and an effectiveness evaluation.
Process evaluation is about exploring possibilities for making operating procedures more efficient.
Effort evaluation assesses the amount of effort governments put into attaining their policy objectives.
Efficiency evaluation is about a public policies costs and the ways of accomplishing intended goals at lower cost.
Effectiveness evaluation compares the goals of the policy, and the ones accomplished.
Explain the difference between ex ante og ex post evaluation?
Ex post: Assessment of the delivery of government services, after it has ben done.
Ex ante: Policy appraisal, that seek to inform decision makers of the predicted effects before a potential policy is made.
What is the aim of the administrative evaluation?
The aim of the administrative procedure is to increase the empirical basis of political decisions and to make regulatory processes more transparent.
Define and explain a judicial evaluation
- It is principally concerned with legal issues relating to the way in which policies are developed and implemented.
- Judicial evaluation represents one of the few means in which private actors can challenge the activities of public actors.
Define and explain a political evaluation
Political evaluation is based on a rather unsystematic and technically not very sophisticated way of gathering and interpreting information about public policies.
It is not a tool for policy evaluation, but more a tool to frame a policy in a positive or negative way.
It is strongly related to the party competition.
What is the risk of a political evaluation?
Political parties, and private actors such as fish tanks, NGOs and interest groups can use political evaluations as an instrument rather than a tool to measure policy effects - it can put a certain policy in good or bad light in terms of how it is framed.
Explain a scientific evaluation
- Policy evaluation can also constitute a social scientific activity which aims to provide neutral answers to the question of whether a given policy is effective or not.
- The evaluation is conducted by social scientists in accordance to research standards.
What is the disadvantage with scientific evaluation?
It can only be carried out by experts in the field.
A systemic scientific evaluation requires time and resources that are typically not available to policy makers. Especially in situations where the findings are to used in the policy evaluation is difficult to provide.
Evaluation research is only loosely connected to the political process that produces public policies.
