Scholars have developed various public policymaking models over the years in an attempt toexplicate the process and to teach students andpractitioners how to make public policy. Some scholarsstudy the policy process generally and try to develop aknowledge base that can be applied across policydomains.The following are some of the models of policy making. Theseare not the only theories/models.
Policy is a product, authoritatively determined,implemented and evaluated by the government institutions:Congress, presidency, other elective officials and thebureaucracies both local and national. In this model, a policy does not become a public policyuntil it is legitimized by government entity concerned.Government policies provide legal powers that demandobligations from and command loyalty of the citizens. This typeof policy has its concomitant punitive components. The structure of the various government institutionscontribute to the context of public policy. The Constitutionserves as the highest kind of policy to which all other policiesmust subscribe. Laws passed by Congress, executive orders andjudicial decisions come second in terms of relevance andpriority.
The relationship among these politicaland administrative institutions of governmentdetermine to a large extent the content ofpublic policy. This also clearly describes andvisualizes how the doctrine of separation ofpowers operates as well as the politics-administration dichotomy.
President recommends legislation; may convene Congress; may veto legislation Congress creates departments &LEGISLATIVE appropriates money; confirms EXECUTIVE BRANCH appointments; can override veto and BRANCH impeach President JUDICIAL BRANCH Source: Dye (1995)
A theoretical model of how public policy decisions are (or perhaps ought to be)taken. All possible options or approaches to solving the problem under study areidentified and the costs and benefits of each option are assessed and compared with eachother. The option that promises to yield the greatest net benefit is selected. Rational policy is one that achieves “maximum social gain”; that is, governments should choose policies resulting in gains to the society that exceeds cost by the greatest amount, and governments should refrain from policies if costs are not exceeded by gain.Basic Assumptions of Rational Model•System is stable;•The government is a rational and unitary actor and that its actions areperceived as rational choices;•The policy problem is unambiguous;•Well defined objectives are established; alternatives and consequencesare known; preferences are clear; there are no limitations of time or cost;and,•Policy as maximum social advantage that maximizes the economicbenefit.
Rational-Comprehensive Model 1. Establishment of complete set of operational goals with weights 4. 6. INPUT 3. Prepara Compari- All resources Preparation of 5. son of net needed for complete set -tion of Calcula- expecta- pure complete OUTPUT of alternative rationality tion of net tions and policies set of Pure process expecta- identifica- predic- rationality tion for tion of tions of policy each alterna- benefits alternative tive/s with and costs highest net for each expectation All data alternative needed for 2. Establishment pure rationality of complete process inventory of other values and of resources with weights
Simply put, all considerations are looked into before the decision is made. But is this the reality in decision making? There are a lot of assumptions, requirements without which therational decision model is a failure. Therefore, they all have to be considered.The model assumes that we have or should or can obtain adequateinformation, both in terms of quality, quantity and accuracy. It further assumesthat you have or should or can obtain substantive knowledge of the cause andeffect relationships relevant to the evaluation of the alternatives. In otherwords, it assumes that you have a thorough knowledge of all the alternativesand the consequences of the alternatives chosen.The following are the limitations for the Rational Decision Making Model: requires a great deal of time requires great deal of information assumes rational, measurable criteria are available and agreed upon assumes accurate, stable and complete knowledge of all thealternatives, preferences, goals and consequences assumes a rational, reasonable, non – political world
The main problem with rational-comprehensive approaches is that it is often verycostly in terms of time and other resources thatmust be devoted to gathering the relevantinformation. Often the costs and benefits of thevarious options are very uncertain and difficult toquantify for rigorous comparison. The costs ofundertaking rational-comprehensive decision-making may themselves exceed the benefits to begained in improved quality of decisions..
Incremental ModelThe Incremental Model Slowly building the blocks
The incremental model emphasizes the structured sequenceof activities that are leading to the solution to a problem. This model suggests that major decisions are broken down insmall steps taking place in three major phases: the identification,development, & selection phases. Incremental trial-and-error process is needed to solve a bigproblem in small steps. When roadblocks are hit, decisionmaking can recycle back to the last known good state. The policyprocess is one of disjointed incrementalism or muddling through. Make incremental decisions to achieve an objective and avoidtotal commitment to a decision you cannot change if the stakesare high and the situation allows. In each small step you do notfundamentally “rock the boat”.
Characteristics of Incrementalism (muddling through) •Public policy deals with moving targets; •The process is not completely rational, analysis is limited, information isambiguous and subject to interpretation; •Different stakeholders may hold varied opinions about means and ends; •The process of mutual adjustment of many actors with their own interests andperceptions about what is the public interest or good; •Helps to forge compromise and reduce unnecessary conflicts; Helps to build legitimacy; and, Forecasting helps decision making in uncertain contexts; yet, the political shortterm may remain the main concern (e.g. elections).
Incrementalism is the antithesis of intrusivecentral planning, which can create rigid work systemsunable to deal with the actual problems faced at thegrassroots level. Some scholars point to a danger associated withfocusing on incremental decision rather than "systemicoverhaul." The danger is that any solutions reached willinvolve only relatively insignificant changes for the existingconflict situation and that these changes will be made "onlyat the margin." Radical innovations may be lost if parties areoverly cautious in their attempts to come to an agreement.
Problem streamSolution stream Window of opportunityPolitical stream The Streams Model
The multiple streams model of policy-making is defined by J.W.Kingdon (1984). The model which focuses more on the flow and timing of policyaction than on its component steps, is useful in understanding thecomplexities and realities of policy-making. In this model, particular attention is paid to three streams:the problem stream, the policy stream, and the political stream, whichmove independently through the policy system As noted by Porter and Hicks, this model aims to explain whysome issues and problems become prominent in the policy agenda andare eventually translated into concrete policies, while others neverachieve that prominence. Kingdon’s starting point is the "garbage canmodel" of policy-making, developed in 1972 by Cohen, March, and Olsen.This model contradicts the rational approach to decision-making, claimingthat policies are not the product of rational actions, because policy actorsrarely evaluate many alternatives for action and because they do notcompare them systematically.
Kingdon’s model underlines theexistence of three distinct, butcomplementary, processes, orstreams, in policy-making. It is thecoupling of these streams thatallows, at a given time and in agiven context, for a particular issueto be turned into a policy.
The emergence of a major problem or issue,the proposal of a solution, and a conclusivepolitical climate are important factors in order fora problem to be placed on the government’sagenda. The arrival of a window of opportunity isalso usually required for the government to take aproblem into consideration. Such a window ofopportunity may be predictable (e.g. an election)or unpredictable (e.g. a crisis).
The problem steam The rationale behind this stream is that a given situation has to be identified and explicitly formulated as a problem or issue for it to bear the slightest chance of being transformed into a policy. A situation that is not defined as a problem/issue, and for whichalternatives are never envisaged or proposed, will never be convertedinto a policy. The feeling that a current or foreseen situation is wrongand that something should, and can, be done to modify and/or improveit is thus a prerequisite for turning an issue into a policy. Moreover, it is necessary to be able to demonstrate that theproblems mentioned can actually be attributed to causes within humancontrol and thus that action can be taken to change the situation.
The solution streamThis stream is concerned with the formulation of policyalternatives and proposals.New policies will never be shaped if there are no ideas orpolicy proposals on which they can be based anddeveloped.An important aspect of the streams model developed byKingdon is linked to the idea that such proposals andsolutions, which must be technically feasible, are not initiallybuilt to resolve given problems; rather they float in search ofproblems to which they can be tied.
The political stream Although they take place independently ofthe other two streams, political events, such as animpending election or a change in government, canlead a given topic and policy to be included orexcluded from the agenda. Indeed, the dynamic and special needscreated by a political event may change theagenda.
It is not always necessary for all three streams to meetsimultaneously for a policy to develop. In some cases, partial couplings,the convergence of two of the streams, are sufficient. Contrary to the other models, the streams model does notpicture the policy-making process as one that involves steps andstages. Rather, it views the policy process as the result of theintersection of at least two independent streams at one time. In thismodel, there is no chronological sequence or priority among thestreams. Streams act and react according to their own logic, until awindow of opportunity is opened and two or more streams coincide andbecome a policy.
This model shows that the top of political and economic hierarchies setthe institutional agenda (top-bottom style). It focuses on who sets the agenda.Elites include political officials, corporate representatives, interest groups, andother influential people and institutions. Agenda setting is viewed as follows: Elites on their own randomly select issues they specialize in, or observe hierarchies like congressional committee structure. Society’s elites may select issues that serve their own interests and ignore the public’s interest. The elitist model has the following key assumptions: there exists a dominant class (elites) that monopolize political power; and, ordinary citizens (the masses) have relatively little power over matters that are of concern to elites
Policies may be classified in many different ways. They help usto understand when there is likely to be a conflict over the adoption,enactment, and implementation of policies. The following are samplesof several different types of policies:a.Reactive and Proactive policyb.Substantive and Administrative policyc.Vertical and horizontal policyd. Redistributive and distributive policy
Reactive policy emerges in response to a concern or crisis from theinternal or external environments by: resolving problems and issues meeting stakeholder/public concerns reacting to decisions by other governments, other levels of government, or other departments with intersecting orinterrelated mandates allocating fiscal resources, natural resources, etc. reacting to media attention (generally adverse) reacting to crises or emergencies.
Proactive policy is introduced and pursued through deliberate choice. Itregularly scans its operating environment, identifying potential issuesand factors that could affect the organization and predicts and preparesto mitigate contingency through:Planningstrategic managementrisk managementcriteria selectionpriority making
Substantive policy is concerned with the legislation, programs andpractices that govern the substantive (content) of what the community needs. Itis about particular and specific issues - what government does. Administrative or procedural policy focuses largely upon administrativeprocedures. It is a policy that structures how the political process works - howthe government does things
Vertical policy is the normal or traditionalway in which policy decisions are made. It isdeveloped within a single organizational structureand generally starts with broad overarching policy,sometimes called “corporate” or “framework” policy. Decisions are made at head office and guidesubsequent decisions throughout the organization.At the regional level, regional or “strategic” policy isdeveloped, which translates the national decisionsto the regional level, taking into consideration thespecific requirements of the locus.
Department Secretary (HEAD OFFICE) Bureau Bureau BureauRegional Office Regional Office Regional Office Regional Office Division Division Division
Horizontal policy-making, referred to asintegrated policy, is developed by two or moreorganizations, each of which has authority or abilityto deal with only a part of the situation. It is createdamong organizational components that are similarin hierarchical position. Horizontal issues are challenging because somany players control one tool, one key. All of thekeys need to be aligned to bring a suitable andappropriate result.
Horizontal Policy Public DOH PNP DILG DepEd Public Policy Policy
Other Classification of Policies Process Primary Policy Type Scope Applicable Duration Characteristics MakersStatutory Societal Governs Practice In Force Until In Force Until Public Succeeded By Succeeded ByConstitution / Norm Of Individuals & Deliberation • Constitutional • ConstitutionalCharter Organizations & Notice Amendment AmendmentLaws Throughout • New Law • New LawAppellate Court Jurisdiction (i.e. • Appellate Court • Appellate CourtDecisions State/Nation) Decision Decision-Fiscal Policy Resources For • Fiscal Period Public • Legislative & Implementation Priority Policies Deliberation & ExecutiveAnnual Budget • Subject To Notice Approval Revision OrActs & Repeal By Plenary • UniversityResolutions Body Trustees
Process Primary Policy Type Scope Applicable Duration Characteristics Makers-Regulatory • Within Governs Practice Subject To • Agency Action. Cabinet Officers Scope Of Of Individuals & Revision Or & AgencyAdministrative • Public Notice Primary Organizations In Repeal By DirectorsRules • Legislative Policy. A Specific Policy Plenary Body Or Approval. Area Agency Action • Force of LawInstitutional • Define Govern Agency/ Subject To • Internal • Agency Officials Operating Institutional Staff Revision Or OrganizationalPolicy Manual & • University Policies & Consumers Repeal By Process. Trustees &Standards. Plenary Body Or • Professional • Limited Public AdministrationTenure & Agency Action Standards Notice FacultyAppointmentArticulationAgreements
Public interest: The common good has to be balanced against theprivate or special interests. The process should be fully inclusive forthose often overlooked or unable to participate.Effectiveness: Does the policy achieve its stated goals?Efficiency: Are resources fully utilized in achieving goals andimplementing policy?Economy: Objective and procedures done at the least cost.Consistency: Aligned with the broader goals of government and theConstitution.Fairness and equity: Is the policy fair and just to all members andsectors of society.Reflective: Is policy in consonance with values of freedom, security,diversity, communality, choice, and privacy
Socially acceptable: Citizens and interest groups acceptthat the policy reflects their important values, e.g.,fairness and equity, consistency, justice.Politically viable: The policy has the support of electedofficials and they are comfortable with the decision.Technically correct: The policy complies with scientific ortechnical criteria established to guide or support thedecision.Participative: Demands from the general public, or"bottom up" initiatives, can be as influential as "topdown" directives. Educated and informed public can bemobilized to demand and support desired initiatives.
I. Identify an area or problem where a public policy wasestablished. What model/s was/were used in theprocess of its creation. Justify your answer.2.Among the models of making public policy, which is moreconducive to serving public interest and demands? Why?3.Are all governments governments of the elite? Useexamples to prove your contention.4.Using the following factors/criteria: public interest,effectiveness, fairness and consistency, evaluate theproposed constitutional amendment giving foreigners sameeconomic rights as Filipinos in owning land properties,businesses and public utilities in the Philippines.