PPG Lecture Notes
Lecture #8 - Policy design
Process of prep when issue from institutional agenda reaches decision agenda.
Sidney: “Identifying and/or crafting a set of policy alternatives to address a problem & narrow
set of solutions in prep of final policy decision.”
Elements of PD:
Goals
Target groups of policy
Agents (actors implementing policy)
Implementation structure, rules / regulations needed
Policy instruments
Rationales, explanation of why
Assumptions
Actors involved by institutional factors → dominant political ideas, ideas of affected groups,
setting (level of gov)
K&T: policy design confined to executive, parliaments & state bureaucracy (ministers)
Civil servants influenced by
→ experts, international organisations, interest groups & party ideology
Role of policy instruments - Finding best means to achieve solution:
- Rules & regulation
- Financial measures
- Communication
When do instruments fit?
→ Complicating factors: behavioural change
→ Consider impediments: do thing people otherwise would not have done
Inhibitions to overcome to change behaviour
• Not see oneself as directed by law / law does not allow
• Lack of incentives or capacities
• Disagreement w/ values goals or means
• Problem to act unclear / non-visible or vague
• Lack of motivation or misunderstanding of intention
1. Authority tools
“Simple statements backed by the legitimate authority of gov. granting permission,
prohibiting, or requiring action under circumstances.”
2. Incentive tools
“Utility maximisers not positively motivated to take policy-relevant action, unless influenced
by anchorage or coerced by manipulators of money, life or liberty.”
, Inducements → positive: taxes breaks, grants …
Charges → consequences, paying when passing set limits
Sanctions → penalty failure to comply
Force → use of policing
3. Symbolic tools
“Motivated to take policy-related actions based on values & beliefs.”
• Persuasive communication or positive labelling
STONE - Policy as a combination of carrots & sticks
Considerations:
- Rational assumptions
• a utilitarian model of behaviour (self-interst)
• unitary actors can behave rationally
• orientation to the future
- Design incentives
• gap between design & implementation
• complex web relations, gap implementation & target
- Rules indirect commands
- Rules depend on the legitimacy of actors
- Rules define inclusion & exclusion
Communication as persuasion
1. Attempts to communicate policy decisions
2. A form of indoctrination
Policy conflict manipulation prevails (scientific results to influence, use of misleading info &
disclosing strategically)
Lecture #9 - Policy implementation
Outcomes → specified results on the basis of goals
Impacts → (un)intended consequences of policy on society
Implementation is the transformation of output into outcomes
Formulating outcomes
- Specification of program details - How & by who?
- Allocation of resources - budget & personnel
- Decisions - how specific cases carried out
* Mainly analysed form 1970s, the effectiveness of large scale programs
1. Top-down approach
Decision making by central gov. (Pressman & Wildavsky)
Rationalistic approach, goal attainment = implementation success
Need for bureaucracy, many levels of management
BUT
Lecture #8 - Policy design
Process of prep when issue from institutional agenda reaches decision agenda.
Sidney: “Identifying and/or crafting a set of policy alternatives to address a problem & narrow
set of solutions in prep of final policy decision.”
Elements of PD:
Goals
Target groups of policy
Agents (actors implementing policy)
Implementation structure, rules / regulations needed
Policy instruments
Rationales, explanation of why
Assumptions
Actors involved by institutional factors → dominant political ideas, ideas of affected groups,
setting (level of gov)
K&T: policy design confined to executive, parliaments & state bureaucracy (ministers)
Civil servants influenced by
→ experts, international organisations, interest groups & party ideology
Role of policy instruments - Finding best means to achieve solution:
- Rules & regulation
- Financial measures
- Communication
When do instruments fit?
→ Complicating factors: behavioural change
→ Consider impediments: do thing people otherwise would not have done
Inhibitions to overcome to change behaviour
• Not see oneself as directed by law / law does not allow
• Lack of incentives or capacities
• Disagreement w/ values goals or means
• Problem to act unclear / non-visible or vague
• Lack of motivation or misunderstanding of intention
1. Authority tools
“Simple statements backed by the legitimate authority of gov. granting permission,
prohibiting, or requiring action under circumstances.”
2. Incentive tools
“Utility maximisers not positively motivated to take policy-relevant action, unless influenced
by anchorage or coerced by manipulators of money, life or liberty.”
, Inducements → positive: taxes breaks, grants …
Charges → consequences, paying when passing set limits
Sanctions → penalty failure to comply
Force → use of policing
3. Symbolic tools
“Motivated to take policy-related actions based on values & beliefs.”
• Persuasive communication or positive labelling
STONE - Policy as a combination of carrots & sticks
Considerations:
- Rational assumptions
• a utilitarian model of behaviour (self-interst)
• unitary actors can behave rationally
• orientation to the future
- Design incentives
• gap between design & implementation
• complex web relations, gap implementation & target
- Rules indirect commands
- Rules depend on the legitimacy of actors
- Rules define inclusion & exclusion
Communication as persuasion
1. Attempts to communicate policy decisions
2. A form of indoctrination
Policy conflict manipulation prevails (scientific results to influence, use of misleading info &
disclosing strategically)
Lecture #9 - Policy implementation
Outcomes → specified results on the basis of goals
Impacts → (un)intended consequences of policy on society
Implementation is the transformation of output into outcomes
Formulating outcomes
- Specification of program details - How & by who?
- Allocation of resources - budget & personnel
- Decisions - how specific cases carried out
* Mainly analysed form 1970s, the effectiveness of large scale programs
1. Top-down approach
Decision making by central gov. (Pressman & Wildavsky)
Rationalistic approach, goal attainment = implementation success
Need for bureaucracy, many levels of management
BUT
