chapter 9 Policy evaluation

1. chapter 9 Policy evaluation • Policy analysis • Policy learning

2. 9.1 概念界定 • Policy evaluation: refers to the process of finding out about a public policy in action, the means being employed and the objectives being served.

3. 9.2 参与政策评估的主体 • Bureaucrats and politicians • Non-governmental members of policy subsystems • Members of the public

4. 9.3 本章的学习重点 • How evaluation is conducted • the problems the exercise entails • the range of results to which it typically leads • Patterns of policy change to which policy evaluation typically leads

5. 9.4.1 The rationalist orientation definition • Policy evaluation consists of assessing whether a public policy is achieving it stated objective and,if not, what could be done to eliminate the hurdles.

6. 9.4.2 理性分析面临的现实困难 • Goals in public policy are often not stated clearly enough • The possiblities for objective analysis are also limited

7. 9.5.1 政策评估的政治性 • Evaluation is not always designed to reveal the effects of a policy:at times conceal certain facts, feared to show the government in poor light. • Evaluations is not always designed to improve a policy: those outside the government often criticize it to gain partisan political advantage.

8. 9.5.2 启发：政治化的政策评估 • Caution against undue reliance upon formal evaluation. • To get the most out of policy evaluation, the limits of rationality and the political forces that shape it must clearly be recognized.

9. 9.6 政策评估的三种类型 • Administrative evaluation • Judicial evaluation • Political evaluation

10. 9.6.1Administrative evaluationmanagerial performance &budgeting systems 行政评估的主体： • Government • Specialist agencies • Financial,legal,and political overseers • Private consultants

11. 9.6.2 行政评估的内容 • Examine the efficient delivery of government services • Attempt to determine whether or not ‘value for money’ is being achieved while respecting justice and democracy

12. 9.6.3 行政评估过程引入技术分析的必要性 • Administrative evaluation requires collection of precise information on program delivery and its compilation in a standardized fashion to allow comparisons of costs and outcomes over time and across policy sectors, which conducted by annual audits and bugeting system.

13. 9.6.4 行政评估的五种类型 • Effort evaluation • Performance evaluation • Adequacy of performance evaluation • Efficiency evaluation • Process evaluation

14. 9.6.5 Effort evaluation • 评估对象： The quantity of program inputs,namely, the amount of effort which governments put into accomplishing their goals. • 评估的指标： the terms of the monetary cost • 目的： to establish a baseline for data which can be used for further evaluations of efficiency or quality of service delivery

15. 9.6.6 Performance evaluation • 评估对象：program outputs • 评估目的： Simply to determine what the policy is producing,regardless of the stated objectives

16. 9.6.7 effectiveness evaluation • 操作方法： comparing the performance of a given program to its intended goals • 评估目的: To find out if The program is doing what it is supposed to be doing

17. 9.6.8 Efficiency evaluation • 评估目的： To assess the costs of a program and judge if the same amount and quality of outputs could be achieved more efficiently.

18. 9.6.9 Process evaluation • 评估对象： the organizational methods, including rules and operating procedure • 目标： To see if the process can be streamlined and made more efficient

19. 9.6.10 行政评估的技术手段 • 1970s &1980s, Program Planning and Budgeting system (PPBS) • Zero-based Budgeting (ZBB) • Management by Objectives (MBO) • Policy and Expenditure management System (PEMS) • Operational Performance Measurement System (OPMS)

20. 9.6.11 理性分析固有的限制 • The prerequisites for its success are too steep to be met in the rough-and tumble world of public policy. • Difficult to find out if a particular objective is being achieved. • Impossible to isolate and evaluate the effects of policies. • Difficult to gather reliable and usable information.

21. 9.7.1 Judicial evaluationjudicial review and administrative discretion 评估的焦点： • The manner in which government programs are implemented • possible conflicts between government actions and constitutional provisons • Established standards of administrative conduct and individual rights

22. 9.7.2 司法评估的主体：Judiciary 启动司法评估的两种方式： • On judiciary’s own initiative • Been asked to do so by a individual or organization filing a case against a government agency in a court of law

23. 9.7.3 司法评估的内容 • Examining the constitutionality of the policy being implemented • Examining whether policy implementation was developed and implemented in a non-capricious and non-arbitary fashion according to principles of due process and accepted administrative law

24. 9.8.1 Political evaluationconsultations with policy subsystem and the public • 政治评估的目的： Attempt to label a policy a success or failure,followed by demands for continuation or change • 参与政治评估的主体： Everyone with interest with politics

25. 9.8.2 政治评估与选举 • One of the most important occasions for political evaluation in democracies is at election time • Votes at elections or referendums express the voters’ informal evaluation • Public perceptions can and do affect voting behaviour, but a reality governments ignore at their electoral peril

26. 9.8.3 政治评估最常用的方法 • Consultation with other members of the relevant policy subsystem,by setting up administrative forums for public hearings or establishing special consultative committees and task forces • The effectiveness of this evaluation method depends on whether the views heard are congruent with those of the government

27. 9.9 Policy learning • To understand the nexus between policy evaluation and policy change, we need to comprehend the process of learning.

28. 9.9.1 definitions of policy learning • Peter Hall’s instrumental definition: In the realm of public policy,learning serves the purpose of better goal attainment by government • Hugh Heclo: Learning is less conscious activity,often occurring as a government’s response to some kind of societal or environmental stimulus.

29. 9.9.2 两种定义的区别 Whether learning occurs endogenously or exogenously: • For Hall,learning is a part of the normal public policy process in which decision-makers attempt to understand why certain initiatives may have succeeded while other failed. • For Heclo, policy learning is seen as an activity undertaken by policy-makers largely in reaction to changes in external policy enviornment

30. 9.9.3 Exogenous & Endogenous concepts of policy learning

31. 9.9.4 two typies of policy learning • Lesson-drawing (Richard Rose) Originates within the formal policy process and affects the choice of means or technique while goal achieving • Social learning (Hall) Originates outside the policy process and affects the constraints or capacities of policy-makers to alter or chage society

32. 9.9.5 决定经验能否被吸取的因素 Whether any lessons will be learned depends on policy-makers’ capacity to absorb new information: • Prior knowledge: basic skills, a shared language • Knowledge of the most recent scientific or technological developments in a given field

33. 9.9.6 A model of policy evaluation and learning propensity links between state and societal actors in public policy high Social learning Lesson -drawing State Administrative Capacity high Formal evaluation low Informal evaluation low

34. 9.10 回顾整个政策周期 议程设定 政策构型 决策制定 政策执行 政策评估 1.每个阶段都不是封闭、孤立的（self-contained） 2.也不是分阶段一步一步地，各阶段之间没有清晰地界定开来，要将这些阶段看成浑然一体的周期（cycle） 3.在政策评估完成之后，下一轮的政策周期又开始启动