CHAPTER 4: POLICY CHAPTER 4: POLICY ISSUES & FORMULATIONISSUES & FORMULATION

Text: Cubbage et al., 1992Text: Cubbage et al., 1992

1. problem formation 1. problem formation

2. policy agenda 2. policy agenda

3. formulation3. formulation

4. adoption4. adoption

5. implementation5. implementation

6. Evaluation6. Evaluation

Chapter 4 examines first 4 steps.Chapter 4 examines first 4 steps.

POLICY PROCESS

Problem formationProblem formation problem perception, problem perception, recognition, & definitionrecognition, & definition

Policy formationPolicy formation research, review, research, review, projection, & selectionprojection, & selection

What is a What is a problemproblem??

What is an What is an issueissue??

PROBLEMS & ISSUES

Problems:Problems:

– Many, but only few become important Many, but only few become important issuesissues

– Characterized by wide disagreementCharacterized by wide disagreement

Problem Formation

4 groups/ways that trigger issues:4 groups/ways that trigger issues:– groups who perceive unfavorable bias groups who perceive unfavorable bias

toward their views toward their views

– groups who exploit issues for own gain groups who exploit issues for own gain

– unanticipated eventsunanticipated events

– people/groups who do it for public interest people/groups who do it for public interest (they do not reap any direct benefits) (they do not reap any direct benefits)

Issue Creation

1. Distributive issues – fund alloc.1. Distributive issues – fund alloc.

2. Regulatory issues – policy dev., directions2. Regulatory issues – policy dev., directions

3. Redistributive issues3. Redistributive issues

3 Types of Issues

2 types of network to identify public forest 2 types of network to identify public forest res. mgmt. issues in NFs:res. mgmt. issues in NFs:– Formal (include SIGs & institutions)Formal (include SIGs & institutions)

– Informal (discussions with citizens)Informal (discussions with citizens)

FS recognizes 3 types of issues: FS recognizes 3 types of issues:

1. emerging1. emerging

2. existing2. existing

3. disruptive3. disruptive

Illustration: USFS Issue Identification

2 types of agenda2 types of agenda

– General or systemicGeneral or systemic

– FormalFormal

GatekeepersGatekeepers – ones with authority to – ones with authority to allow issues for considerationallow issues for consideration

AGENDAS & ISSUE EXPANSION

4 factors help determine if issue will reach 4 factors help determine if issue will reach agenda statusagenda status

1. reaction to the issue itself1. reaction to the issue itself

2. group organization, size, structure, 2. group organization, size, structure, leadershipleadership

3. group representation3. group representation

4. policy process itself4. policy process itself

Four groups dealt with by issue disputants:Four groups dealt with by issue disputants:

1. 1. identification groupsidentification groups – share interest – share interest

2. 2. attention groupsattention groups –related issues –related issues

3. 3. attentive publicattentive public -- generally interested, -- generally interested, informed about policy issues informed about policy issues

4. 4. general publicgeneral public –uninterested, uninformed, –uninterested, uninformed, inactive on most issuesinactive on most issues

Issue Expansion

To attract attention and expand:To attract attention and expand:

AmbiguityAmbiguity – less divisive – less divisive

Socially relevantSocially relevant – affects basic welfare – affects basic welfare

Technical termsTechnical terms – limits expansion – limits expansion

NoveltyNovelty – no precedent attracts attention – no precedent attracts attention

Long-termLong-term consequences consequences

Issue Characteristics

Language, pictures, & mass media --instrumentalLanguage, pictures, & mass media --instrumental

Symbols used for impact (accuracy/reality secondary)Symbols used for impact (accuracy/reality secondary)

Pictures often better than wordsPictures often better than words

Table 4-1 – words describing public policy featuresTable 4-1 – words describing public policy features

– Low pH precipitation (scientists) vs acid rain (citizens)Low pH precipitation (scientists) vs acid rain (citizens)

– Riparian areas (ecologists) vs streambank (citizens)Riparian areas (ecologists) vs streambank (citizens)

– Old-growth forests (foresters) vs ancient forests Old-growth forests (foresters) vs ancient forests (preservationists)(preservationists)

– Current examples & how they affect people?Current examples & how they affect people?

Symbols & Expansion Strategy

Example: Example: Deer management in IowaDeer management in Iowa

Who are in the following groups and what Who are in the following groups and what expansion strategies will you use to reach expansion strategies will you use to reach them?them?

1. identification groups1. identification groups? ?

2. attention groups2. attention groups??

3. attentive public3. attentive public??

4. general public4. general public??

Issue Expansion: An Iowa Example

Some strategies to keep issues off agenda

1.1. Define issue in dull, narrow, or technical termsDefine issue in dull, narrow, or technical terms

2.2. Discredit group leadersDiscredit group leaders

- Appeal to members rather than deal with leaders- Appeal to members rather than deal with leaders

3.3. Anticipate & respond to problems as they ariseAnticipate & respond to problems as they arise

- Helps localize problems- Helps localize problems

Some strategies to keep issues off agenda

ParticipantsParticipants in formulation of policy proposals in formulation of policy proposals

National:National: president (including advisors in president (including advisors in executive office), Congress, judges, govt executive office), Congress, judges, govt agency personnel (bureaucrats), special study agency personnel (bureaucrats), special study groups or commissions, legislative support groups or commissions, legislative support units (GAO, OTA)units (GAO, OTA)

State:State: equivalent office holders equivalent office holders governor, governor, members of state congress, judges, state members of state congress, judges, state government personnelgovernment personnel

POLICY FORMULATION & ADOPTION

1.1. RationalismRationalism

2.2. IncrementalismIncrementalism

3.3. Mixed scanningMixed scanning

Three Models of Policy Adoption Process

Rationalism: Rationalism:

Policies selected after thorough analysisPolicies selected after thorough analysis

Choice based on clear criteriaChoice based on clear criteria

Involves reasoned choicesInvolves reasoned choices

Policy choice: ex. to max net value to society; to most Policy choice: ex. to max net value to society; to most effectively achieve a given endeffectively achieve a given end

Comprehensive: clear picture of problem, ranking of Comprehensive: clear picture of problem, ranking of goals/objectives; evaluation & comparison of alternativesgoals/objectives; evaluation & comparison of alternatives

CriticismsCriticisms

– Problems/goals/objectives – often unclearProblems/goals/objectives – often unclear

– Data/info/time needs are enormous, costly, impossibleData/info/time needs are enormous, costly, impossible

– Impossible to apply to complex problemsImpossible to apply to complex problems

3 Models of Policy Adoption Process (contd)

Incrementalism:Incrementalism:

Policy formulated as variation of past policiesPolicy formulated as variation of past policies

Little analysis of program alternatives/impactsLittle analysis of program alternatives/impacts

Science of “Science of “muddling through””

Successive limited comparisons (Successive limited comparisons (incrementsincrements))

Fits real world better than rationalismFits real world better than rationalism

CriticismsCriticisms

– Favors most powerful/organized interests in societyFavors most powerful/organized interests in society

– Favors status quo, does not lead to great changes or social Favors status quo, does not lead to great changes or social innovationsinnovations

3 Models of Policy Adoption Process (contd)

Mixed Scanning:Mixed Scanning:

Synthesis of the 2 modelsSynthesis of the 2 models

Allows for both fundamental & incremental Allows for both fundamental & incremental decisions, depend on situationdecisions, depend on situation

Incrementalism is common in CongressIncrementalism is common in Congress

Rationalism – more used at agency/project levelRationalism – more used at agency/project level

Applicable, esp. if there are few alternatives & Applicable, esp. if there are few alternatives & costs/benefits/criteriacosts/benefits/criteria

3 Models of Policy Adoption Process (contd)

Techniques for resolving issues that rely Techniques for resolving issues that rely more on personal meetings more on personal meetings

– Avoids courts & legislature (costs & delays)Avoids courts & legislature (costs & delays)

Mediation & negotiation: 3 formsMediation & negotiation: 3 forms

1.1. Environmental mediationEnvironmental mediation

2.2. Principled negotiationPrincipled negotiation

3.3. MediationMediation

ALTERNATIVE DISPUTE RESOLUTION

Principled Negotiation: 4 steps Principled Negotiation: 4 steps

1.1. Separate personal differences from problems to Separate personal differences from problems to avoid emotional debatesavoid emotional debates

2.2. Focus on interest, not positions 9what people Focus on interest, not positions 9what people want, not a specific program or means of want, not a specific program or means of achieving those wants)achieving those wants)

3.3. There should be many proposed alternatives in There should be many proposed alternatives in search for agreementsearch for agreement

4.4. Objective criteria must be agreed on for Objective criteria must be agreed on for decision-making.decision-making.

DISPUTE RESOLUTION (cont.)