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PAP3350 (2)

PAP3350 classnotes part2

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University of Ottawa
Public Administration
Jennifer Wallner

Oct 29, 2012 Policy Instruments Things ppl are making choices GUIDING QUESTIONS • What are policy instruments? • Are all policy instruments the same? • Why some policy instruments and not others? Why public policy Public policies as a means to fix failures and fix economic, social, or political problems • People may lack the necessary incentives to act • People may lack the necessary capacity to act • People may disagree on values that underpin means • Situations may involve a lot of uncertainty o Economics: taught us that theres market failures. o Ppl lack to do some things... ex: do we want to pay taxes, no but we are forced cause of the law and jail time, we want to avoid the penalty. o Lack of capacity to act.. yu have the will to act, but u have a lack of resources to act. Ex: help ppl make their houses more energy efficient to save money on their bills. But sometimes ppl lack the necessary money to invest in fixing their house to make it energy efficient. o Sometimes ppl can disagree on needs and on the values, this complicates policy choices. Policy Instruments • Tools used to overcome problems and achieve objectives • Tools used to influence behaviour • Methods used by governments to achieve a desired effect • They include: • Frameworks, policies, programs, directives, standards, information bulletins, and guidelines • Market-based instruments, regulations, legal requirements, research, technology o Particular ways the u can deals with certified problems to achieve objectives. o Tools used to influence our behaviour. Encourage our behaviour to pay for things on times... o Some sort of authority choices in order to accomplish goals to resolve problems... they include a lot of things... frameworks, policies,... crafted in certain ways to resolve certain problems. o Policy instruments involves a wide range of items, which makes its a cool study on why certain instruments are chosen, they vary... POLICY INSTRUMENTS ALL INSTRUMENTS ARE: • An authoritative choice • A means to accomplish a purpose • Designed to encourage (or discourage) certain behaviour • A response to a defined problem INSTRUMENTS VARY: • “Coercion continuum” – aka the degree of intervention • Assumptions of human behaviour o A means to accomplish: underlining objective, o Designed to encourage: Oriented to try to make us do or do not do something o Instruments vary on 2 key dimensions: Coercion continuum: state intervention, how much is the state pushing u to do something or not to do something. 2- Assumption: the degree to which you think what ppl do or do not do something, whos the target of the instrument it self, do u think ppl are inclined to do something... Consider the problems • What is the severity of the problem? • Who is being affected? • How important is it to decision-makers? • Who has the legitimate authority to act? o 1- if a problem is more seveire, or more salient, the degree of intervention of the state may go up, the state will be more motivated to resolve the problem. NOT ALL INSTRUMENTS ARE ALIKE • Different assumptions of human behaviour • Different assumptions about what can be done • Different assumptions about who should do it • Different assumptions about coerciveness o Instruments vary on the assumptions of human behaviour, .... N.A.T.O Four Contextual Things That Influence Instruments • NODALITY • How central is the government • AUTHORITY • Government’s legal power and other sources of legitimacy • TREASURE • Determines the financial aspects of government • ORGANIZATION • Government capacity for direct action o Used to try to think about wat is required to put in places the policy. Influenced by the resources required to put them into place. o N : attention to how important the gov itself to the particular program. Is the gov providing the program service, are they at the center point, how much info are the giving o A: the gov legal authority and sources of legitimacy. o T: money, how much is required... o O: what is the gov capacity for direct action, do they have admin processes and regulation A Typology of Instruments EVERT VERDUNG’S CLASSIFICATION • Carrots • Sticks • Sermons Carrots • Inducements and incentives • ASSUMPTIONS • valued goods might not emerge without incentives • incentives elicit performance • commonality of interests • COERCIVENESS: medium • INTERVENTION: medium • EXAMPLE: tax credits or grants o 1-they rely on tangible and positive pay offs to encourage citizen from that type of province. Its it not prohibitding the actions involved. o Increasing your capacity to act. o Valued goods might not emerges... Incentives might not get certain performance. Ppl want to do something if u allow them to do so. o Coerciveness: medium to low, in the sense that if we don’t chose to use the carrot, thats our own choice, however if we don’t use it we have less benefits then those who chose to use it. o Intervention: the state is identifying specific types of programs or options it prefers. Ex: fed gov desire to decrease child obesity rates, taxes credits to fams to participate in sports are given to deal with it. Sticks • Authority tools to compel behaviour backed by sanctions • ASSUMPTIONS • People motivated to obey laws or can be compelled to act • People will avoid actions that are costly • Negative behaviours are choices that can be deterred • COERCIVENESS: maximum • INTERVENTION: high • EXAMPLE: drug laws o State using its legitimate authority to apply coercion on ppl. Putting ppl in prision o Ex: parking in places u shouldn’t... you get a ticket if u do it, ppl will avoid actions that are costly, so they wont park illegally cuz they don’t want a fine. o Ex: drug laws... ppl would do lots of drug if there were not strict laws on their use. Drug laws varies on what you are talking about. If you are caught outside a school selling to underage children, you will have strict penalties. Distinction between social harm and individual harm..., operating into black market, issue of protecting children, they are not as capable at making decisions, easier to attract children then adults. Sermons • Information provided to citizens and target populations • ASSUMPTIONS: • If you know it, you will change • No need for coercion – people can choose • COERCIVENESS: minimal • INTERVENTION: low • EXAMPLE: Mothers Against Drunk Driving; o Purely information based. o If u know it, u will change ur behaviour. o No need for coercion, if ppl know the information, they will act and make decisions. o Ex: the graphics on cigarette packaging. Gov has the policy to put those pictures. Info on its own isn’t enough to get ppl to stop tho, because the inner addiction takes power... o Stick against ciggs: the vendors getting fins when selling on underaged, taxes involved its more expensive for cigarette Why certain policy instruments? • Ideologies • The problem at hand • The same instrument can be used to addressed multiple problems • Assumptions of human behaviour • Ideas about government intervention • The mood of the public Oct 31, 2012 -- THEORIES OF DECISIONMAKING RECAP PROGRESS THROUGH THE POLICY CYCLE - • Agenda-Setting • Problem Definition – Ideas & Viability • Focusing Events – Thomas Birkland • Causal Stories – Deborah Stone • Policy Formulation • Instruments • Carrots, Sticks, Stories • NATO Determinants of Instrument Choice • Ideologies • The problem at hand • The same instrument can be used to addressed multiple problems • Existing state capacity - financial resources; administrative resources; policy expertise • Assumptions of human behaviour • Ideas about government intervention • The mood of the public o Why some gov will chose the market to provide some goods... o I: ways in which ppl think in goods should be secured, libeal, conservatives... right favour less government attention, greater role of the gov. o Use meseure to restrict and shrink collective bargeding .. o Exsiting..: the financial resources ex: artivle of afre centric school.. gov of ont and Toronto school board were facing financial rsstrincts. Ceraation of a new program to resolves these problems o Assumptions.. : different ideas of the willingness of actually doing something. Willing to do something, but lack the capacity ex: sermon... Also government intervention, link to the ideologies, link to the markets. Ex: flu vaccines: ministry of health controls it, clinics certified by the ministry give out vaccines and not private providers; Because of the issue of universality, ppl may not get it, if u don’t get the vaccine u get sink and spreads to the population, only clinics give it for security reasons, public health, public safety issues, better for the ministry to control this instead of letting private organizations dealing with it. Ex: Canada post is also not privatised. Alternative Images of Decision- Making • Detached, objective, analytical scrutiny OR • Contentious, nebulous, conflict-riddled o way all our choices and make very clear decisions to benifite ourselves. All our decisions are contingent. Alternative Images of Decision-making 1 • Rational Model: • Classical Economics – Gary Becker • Goal for solving a problem is established • Alternative strategies are explored and listed • Consequences of alternatives predicted and probability of occurrence estimated • Strategy that solves the problem or solves for the least cost is selected MAXIMIZING PREFERENCES FOR MINIMAL COSTS o Comes from public choice theory. o We have certified goals that are clear set and established; we know what are objectives are. We come up with strategies to accomplish these objectives. We then identify the potential consequences and we figure out the probability of the occurrences of these consequences. Then we find the best decisions to solve these problems. o Rationality states the u know wat ur goals are, u make strategies based on their potential achievement of these goals, u consistently ranked ur decisions and have the same preferences. o Outlining the decisions in which the decisions are made. They are predictive. They are prescriptive, trying to articulate the best way to say them Alternative Images of Decision-making 2 • Bounded Rational Model: • Herbert Simon • Can’t identify all alternatives – cognitively limited • Can’t know the consequences – not clairvoyant • Costing is complicated • Conditions are dynamic – efficiency is not constant SATISFICING NOT MAXIMIZING o H.s: is like the godfather of public admin. Came up with the idea that rational choice is nice, that yes individuals do think about the consequences about their accents, trying to get benefits with lower costs, but we cant identify the alternatives. Because we are limited on the time that we have to do something. o We also cant always know the consequences. o Costing is more complicated then the rational model anticipates. Ex: all the fees you have to think about when buying a car, insurance, gas, warranty, monthly pay n for how long, fixing it, changing tires, etc... Same thing goes wen the gov think about making decisions like for taxes... Gov n policy makers underestimate how much things rly cost to maintain. o Help understand why public policy isn’t good at all the problems. Alternative Images of Decision-making 3 • Incrementalism • Charles Lindblom • Analysis limited to familiar alternatives • Goals and values are mixed with empirical elements • Preoccupation with ills rather than benefits • Sequence of trials, errors and revised trials • Components allocated to many participants in policy-making o Charles: god father of theories of public policy. Proposal on policy making in large... o Ppl limit themselves to options they’ve already been experienced with. We have a tendency to turning towards things u know about, exposed to, and u dont care about things u don’t know, u are resistant to it... also because of time issues. o Tendency to restrict ourselves to the unfamiliar, resist change o Separates material goals and objectives, values and goals are mixed together. We each have certain assumptions between things, that will influences the policies and decisions we will consider. Limit the options we will think about. o Decision making is the consequences of trials an errors, going back n forth in trying things o Because we are so limited, public policy makers should make small changes to things and not big changes. o He is a big conservative thinker, resist to change, traditional th Film: 4 of july, theis town is about tourists, rely on this season... theres sharks so the cherif decids to close the beaches. But he is not from there, and its hes first summer working there. Cheif is not considered as a strong person to make decisions. Theyve never closed the beaches ,this has never happened before. Mayor dosnt want the beaches closed, then they let the beaches opened and the lil boy gets eaten by the sharks. They then have a meeting, with business owners... they don’t care that kids dead, they want money from the beaches. The cheif wants it closed but the mayor wants it open... so they sais they were going to wait 24 hours to open it. Beach safety is now on the agenda. And the model that best fits this is: incremental. Because they are still changing something but only for a certain amount of time. Somewhat keeping in with their own practices, not much change. Trial and error, first thought to forget it and ignore it, and obviously made an error in their judgment. The Approaches Type Agent Setting Problem Info Time Strategy Rat. Choice Rational One Well- Perfect Infinite Optimize actor closed defined room Bounded Fallible One open Ambiguous Imperfect Limited Satisfice actor room Incremental Groups Rooms in Multiple Contested/withheld/ Time is Bargain/adjust of different problem manipul. power Competing places definitions actors Nov 5, 2012 - Federalism and Public Policy INSTITUTIONALISM AND PUBLIC POLICY • Paul Pierson, 1995 • Institutions determine the “rules of the game” for political struggles: • Shape group identities • Influence bargaining power • Affect capacities of states o Institutionalism draws our attention to the rules of the game (parlimentary and presidential systems, who can vote in elections) that structures relationships. Between ppl involved in decision making. o How institutions shaped group identities. Influence bargaining power (push ofr their particular interest, gain access to it), and affect capacities of the state (how much control does a state have) WHAT IS FEDERALISM? • Why should we care about it? • How does it influence policy development? o Federalism: multiple level of governemt, each have their forms of responsibilities. System of government. Authority is allocated and devided. Authority is constitutionally allocated or devided between 2 or more gov. One order is not subordinate to another. Have some sort of impartial arbitrator, which are the courts. o all fed countries should answer the question who should do it? o The division of power is also territorially rooted. It is geographic integrations . how federalism can shap political identities. Why we care o Wht should be done The dead hand of federalism A POETIC PHRASE COINED BY HAROLD LASKI, 1939 - Division of Powers - Weak National and Subnational Governments - Incapacity to Respond - Lack jurisdictional authority - Ineffective Practices - Diminished ability to respond to circumstances - Inconsistent Policies - Inadequate coordination in the face of major problems o Reflecting on the crises of the great depression o Federalism was a dead hand. Federation will becom unitary states. The division of pwers will end. The creat national and subnational government. o Incapacity to respond: even if they wanted to respond he was blocked by the courts. Because he was out of the jurisdiction. o Leads to inafective practices. o Inconsistent policies: one state is use completely different practices from another state. T.H. Marshall and Social Citizenship o Turns our attention to diff issues. o TH. British. Came up with the idea SC. o Citizenship have 3 components: 1- civil aspect of ur citizenship, the rule of law, the fact that there are courts n proseesies, the rule n rulers are controlled, subject to the same laws.2- Lter societies evolved further, came in political dimension, the right to participate. Universal political rights. 3- societies are struggling to achieve. Social aspect. The right to share in the same degree of civilized life… ppl know matter what theyr standing can access similar types of right, levels of social justice and particitpate equally and get benefits in their society . higher level of citizenship. Federalism and the Welfare State • Laggards Behind the Unitary Leaders • Decentralized and constrained • Joint-Decision Traps and Pre-Empted Space • Shared jurisdiction – de jure or de facto • Resistant to Retrenchment • Shared jurisdiction – de jure or de facto • Racing to the Bottom? • Substate competition as a driver o Known as social policy instead of welfare sate, because in th e north americain state it seems like a negative image. o What falls under the term social policy? Wat is social policy and welfare state? Health care, child care, education. Social policy are the programs in practices put in by the state to protect the population from the risks that they experiences. These risks are connected to the individuals participation in the labour market.- In the labour market u can get injured on the job, and need time off from work, gov put in place disability insurance. We have this inplace cuz u cant substein ur life style, and have a problem. Couontries put in strategies to help out ppl. -You can get laid off, when problems happen with the economy. Seasonal umemployement. Govs put in the employement insurance that u are eligible and u pay into this system, you can access this. When u have employment insurance, u have a time period and actively looking for a job, the rules of this vary. –another risk is maternity leave. Mothers participating. They dont lose their job… this is important to the state cuz the state still want women to be having children. They also want women to work cuz they want a maximum about of labour force active. –pension. Getting old. Old age security payment. Need to retire. Social policye are wat sates put in place to respond to these problems o Laggers:Federal countries tend to invest leas o Joint-d: u can create this. Require both levels of gov for the pension plan. Both levels need to agrre to the program. One level of gov can move to an area and take up the action and preventing any type of policy programs. o Restant,,: federal countries are resistant to change. Because it riqueres 2 or more to get a program, they don’t want change. This can be positive or negative. o Racing..: situations were sub state gov lack economic capacity will try to cut one another. Or pursues policies at the lowest level. the evidence of racing to the bottom is thin in most countries. It dosnt tend to come out. Territorial Politics and Social Policy SICK BABIES DESERVE THE SAME HEALTH CARE and INTERPROVINCIAL MOBILITY o Sick children deserve the same access of health care anywere in the country. But this can cause a problem because all provinces don’t have the same policies. (In)Equality in Education? Sub-state variations in per pupil spending England Canada Germany United States Standard Deviation as a 8.55
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