CHAPTER 4: POLICY ISSUES & FORMULATION

1. CHAPTER 4: POLICY ISSUES & FORMULATION Text: Cubbage et al., 1992

2. POLICY PROCESS 1. problem formation 2. policy agenda 3. formulation 4. adoption 5. implementation 6. Evaluation Chapter 4 examines first 4 steps.

3. PROBLEMS & ISSUES • Problem formation problem perception, recognition, & definition • Policy formation  research, review, projection, & selection • What is a problem? • What is an issue?

4. Problem Formation • Problems: • Many, but only few become important issues • Characterized by wide disagreement

5. Issue Creation • 4 groups/ways that trigger issues: • groups who perceive unfavorable bias toward their views • groups who exploit issues for own gain • unanticipated events • people/groups who do it for public interest (they do not reap any direct benefits)

6. 3 Types of Issues 1. Distributive issues – fund alloc. 2. Regulatory issues – policy dev., directions 3. Redistributive issues

7. Illustration: USFS Issue Identification • 2 types of network to identify public forest res. mgmt. issues in NFs: • Formal (include SIGs & institutions) • Informal (discussions with citizens) • FS recognizes 3 types of issues: 1. emerging 2. existing 3. disruptive

8. AGENDAS & ISSUE EXPANSION • 2 types of agenda • General or systemic • Formal • Gatekeepers – ones with authority to allow issues for consideration

9. 4 factors help determine if issue will reach agenda status 1. reaction to the issue itself 2. group organization, size, structure, leadership 3. group representation 4. policy process itself

10. Issue Expansion Four groups dealt with by issue disputants: 1. identification groups – share interest 2. attention groups –related issues 3. attentive public -- generally interested, informed about policy issues 4. general public –uninterested, uninformed, inactive on most issues

11. Issue Characteristics To attract attention and expand: • Ambiguity – less divisive • Socially relevant – affects basic welfare • Technical terms – limits expansion • Novelty – no precedent attracts attention • Long-term consequences

12. Symbols & Expansion Strategy • Language, pictures, & mass media --instrumental • Symbols used for impact (accuracy/reality secondary) • Pictures often better than words • Table 4-1 – words describing public policy features • Low pH precipitation (scientists) vs acid rain (citizens) • Riparian areas (ecologists) vs streambank (citizens) • Old-growth forests (foresters) vs ancient forests (preservationists) • Current examples & how they affect people?

13. Issue Expansion: An Iowa Example Example: Deer management in Iowa Who are in the following groups and what expansion strategies will you use to reach them? 1. identification groups? 2. attention groups? 3. attentive public? 4. general public?

14. Some strategies to keep issues off agenda

15. Some strategies to keep issues off agenda • Define issue in dull, narrow, or technical terms • Discredit group leaders - Appeal to members rather than deal with leaders • Anticipate & respond to problems as they arise - Helps localize problems

16. POLICY FORMULATION & ADOPTION Participants in formulation of policy proposals • National: president (including advisors in executive office), Congress, judges, govt agency personnel (bureaucrats), special study groups or commissions, legislative support units (GAO, OTA) • State: equivalent office holders  governor, members of state congress, judges, state government personnel

17. Three Models of Policy Adoption Process • Rationalism • Incrementalism • Mixed scanning

18. 3 Models of Policy Adoption Process (contd) Rationalism: • Policies selected after thorough analysis • Choice based on clear criteria • Involves reasoned choices • Policy choice: ex. to max net value to society; to most effectively achieve a given end • Comprehensive: clear picture of problem, ranking of goals/objectives; evaluation & comparison of alternatives • Criticisms • Problems/goals/objectives – often unclear • Data/info/time needs are enormous, costly, impossible • Impossible to apply to complex problems

19. 3 Models of Policy Adoption Process (contd) Incrementalism: • Policy formulated as variation of past policies • Little analysis of program alternatives/impacts • Science of “muddling through” • Successive limited comparisons (increments) • Fits real world better than rationalism • Criticisms • Favors most powerful/organized interests in society • Favors status quo, does not lead to great changes or social innovations

20. 3 Models of Policy Adoption Process (contd) Mixed Scanning: • Synthesis of the 2 models • Allows for both fundamental & incremental decisions, depend on situation • Incrementalism is common in Congress • Rationalism – more used at agency/project level • Applicable, esp. if there are few alternatives & costs/benefits/criteria

21. ALTERNATIVE DISPUTE RESOLUTION • Techniques for resolving issues that rely more on personal meetings • Avoids courts & legislature (costs & delays) • Mediation & negotiation: 3 forms • Environmental mediation • Principled negotiation • Mediation

22. DISPUTE RESOLUTION (cont.) • Principled Negotiation: 4 steps • Separate personal differences from problems to avoid emotional debates • Focus on interest, not positions 9what people want, not a specific program or means of achieving those wants) • There should be many proposed alternatives in search for agreement • Objective criteria must be agreed on for decision-making.