Do empirical methods would improve the making of policy?

Answer 1

Semester II Public Policy and Strategy

1.0 Introduction

Prior to get on any policy programme or project, it is important to give adequate consideration to how it will be managed and resourced. Some aspects of the policy making process are very time-consuming, and effective planning is essential.

Policy-making is habitually underestimated and misunderstood, yet it is the central role of the city, town, and county legislative bodies. The policies created by our local governments affect everyone in the community in some way. Public policy determines what services will be provided to the residents and the level of those services, what kinds of development will occur in the community, and it determines what the community's future will be.

Evidence-Based Policy Making has become a major part of government's approaches to policy making. So through out the assignment document I would like to discuss about the basic understanding of the policy making and how the evidence base (especially Empirical Methods) will improve the Policy making process

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2.0 What Is Policy Mean ?

Policy mean a definite Course or Method of action selected (by government, institution, group or individual) from among alternatives and in the light of given conditions to guide and, usually, to determine present and future decisions.

In the other way policy is defined as: "a course or principle of action adopted or proposed by a government, party, business or individual" (From Oxford Dictionary)

Policies are "made" and "implemented" yet it is possible to have policies that are not or cannot be implemented, so that, conceptually, actions that implement policies need not necessarily be part of policy itself.

3.0 Where does Policy Originate?

The traditional constitutional framework of policy-making suggests that politicians make policy and public servants implement it. In practice, this offers a limited understanding of policy-making, which fails to recognize the many competing factors which shape the way policy is formulated, implemented and evaluated

Policies can come from various sources: Ministers, party manifestos, Assembly Committees, international commitments, EU Directives, pressure for change from professionals within a particular part of the public service, research evidence, public opinion and lobbying from the voluntary and community sector, as well as from the planned review of existing policies. Often, the pressure for change will come from several of these sources at once

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4.0 What Is Policy Making?

Policy-making is the process by which governments translate their political vision into programmes and actions to deliver 'outcomes' - desired change in the real world. Thus policy-making is a fundamental function of any government.

The process of policy-making is not a high science, but it is difficult to do well. As in any process, there are tools and techniques that can help in doing the job more effectively. Public policy operates in an extremely wide environment. Governments have obligations to, and are answerable to, every part of civic society. Policy-making often requires a department or the administration as a whole to strike a balance among a wide range of competing interests without losing sight of the desired policy outcome.

4.1 Policy-Making in Current Situation

The world for which policies have to be developed is becoming increasingly complex, uncertain and unpredictable. Citizens are better informed, have rising expectations and are making growing demands for services tailored to their individual needs. Key policy issues, such as social need, low educational achievement and poor health, are connected and cannot be tackled effectively by departments or agencies acting individually. In addition, devolution introduces a system of government which is designed to be more joined-up and responsive than in the past

At the same time, the world is increasingly inter-connected and inter-dependent. National and global events and trends can very quickly become major issues for a regional administration

For example, Swine Flu, Dengue Fever disease outbreak in 2009, rapid Necessity in Admission Of Primary Education, adaptation of information and communications technology and a wide range of interests needs to be co-coordinated and harnessed. In parallel with these external pressures, Ministers expect a focus on solutions

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that work across existing organizational boundaries and on bringing about real change. Civil servants must adapt to this new, fast-moving, challenging environment if public policy is to remain credible and effective.

4.2 Evidence-Based Policy Making

It is crucial that policy decisions should be based on sound evidence. Good quality policy-making depends on high quality information, derived from a variety of sources - expert knowledge; existing local, national and international research; existing statistics; stakeholder consultation; evaluation of previous policies; new research, if appropriate; or secondary sources, including the internet. To be as effective as possible, evidence needs to be provided by, and/or be interpreted by, experts in the field working closely with policy makers.

For example, statisticians, economists, medical officers, inspectors, scientists, and social researchers these professionals should know what relevant published statistics are available and be in touch with the latest research evidence and best practice internationally in the relevant policy areas. They can also advise on commissioning new research and generally point policy-makers in the right direction.

However, evidence is not something that is only generated by external research. In any policy area there is a great deal of important evidence held by both frontline managers and staff in departments, agencies, Boards, schools, hospitals, etc, and the citizen, customer or consumer to whom the policy is directed. Very often these groups will have a clearer idea than the policy makers about what the problems are, why the situation is as it is and why previous initiatives did or did not work.

They are also well placed to advice on how a new policy can be put into practice on the ground and what pitfalls need to be avoided. Gathering that evidence through interviews, surveys or focus groups can provide a very valuable input to the policy

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making process and can often be done much more quickly than more conventional research. It may well also help to avoid expensive mistakes later

There Are Different Types of Evidence

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Systematic Reviews

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Single Studies

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Pilot Studies and Case Studies

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Experts' Evidence

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Internet Evidence

These kinds of evidence can be supported by empirical methods to project the out comes which will give and guide the policy makers to get the clear idea and produce the better policy making outputs which Leeds to the well formed realistic and implemental Policies to the society

In order to define the role of policy analysis, we need to distinguish between two major processes. These are:

􀂮 Policy formulation, defined as the process of considering alternative policy options and deciding to implement one or several of them.

􀂮 Policy implementation, defined as the process of carrying out the policy (or policies) decided on during the formulation stage.

Within policy formulation, we can further distinguish between policy analysis and policy making. Policy analysis is the process of investigating issues and options, and of drawing up and comparing different proposals. Policy making, on the other hand, is the act of deciding which objectives should be met and selecting the instruments by which to do so.

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Corresponding to these processes are the people who carry them out, namely:

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Policy formulators: policy analysts and policy makers

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Policy implementers.

These are not necessarily different people. The same person may analyze policy, make it and then implement it. However, in doing so, he or she is carrying out distinct roles. Awareness of these roles, and an ability to separate them, are important for everyone involved in policy work.

The purpose of policy is to affect the real world. To do this, political realities must be fully taken into account. While imagination - and even a degree of daring - may be vital ingredients at the policy formulation stage, there is no point in proposing a policy which is bound to be rejected for political reasons. Policy proposals will not be accepted - and policies will not be effective - unless they have the support of prominent politicians and interest groups. Policy analysts must understand and take into account the concerns of politicians if viable policies are to be formulated. Politics and politicians are, in fact, central to policy issues and should not be viewed as irritating side-issues, to be ignored whenever possible.

Priorities in policy formulation

The formulation of good policy is not a matter of random chance, but a skill which can be learned. It is also a skill which requires limited resources to practice. Three main types of limited resources are required:

1.

The ability and time of policy analysts to identify issues and options with an understanding of their probable consequences;

2.

The ability, attention and time of policy makers who must understand the issues involved if they are to make sound decisions;

3.

Other political and bureaucratic resources to bring about necessary legislation and political or financial support for a policy decision or its effective implementation,

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5.0 The role of the policy analyst

The tasks of policy analysis can be described as follows:

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To identify and priorities policy issues

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To clarify government policy objectives relevant to sector

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To identify current policies and their consequences

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To identify alternative viable policy instruments, their probable direct and indirect consequences and the risk that these may not materialize

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To develop criteria and indicators to assess progress towards objectives

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To design viable policy packages, with associated strategies to obtain political support and to ensure organizational effectiveness

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To advocate these viable policy packages in a clear, brief and persuasive way.

In essence, the task of the policy analyst is to help the policy maker take difficult decisions in areas that are often contentious. Senior policy makers must understand the issues involved if they are to make sound decisions. The policy analyst must be able to create and convey that understanding quickly and clearly.

Policy analysis, on the other hand, includes this parallel set of characteristics:

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An inventory or search phase, limited in scope and directed at a particular issue.

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A constrained search for alternatives, which are then all usually evaluated and displayed to the client.

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The preparation of memoranda, issue papers, policy papers, or draft legislation.

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A particular client, be it a chief executive, an elected official, a public interest group, a neighborhood, or a bank, likely to have a particular perspective on the problem.

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An issue or problem orientation, described alternatively as a reactive posture.

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A time horizon often compromised by terms of elected officials and uncertainty.

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A political approach to getting things accomplished.

When analyzing government policy, it is often helpful to distinguish between two elements which are essential parts of any policy. These elements are:

1.

Policy objectives. These are the "ends" of a policy and reflect the overall purpose or long-term aims; they are what the policy is intended to achieve

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Policy instruments. These are the "means" of a policy, the actions used to carry it out and the methods by which its objectives are achieved

The distinction is useful because the same objective can often be served by several alternative instruments. It is only by distinguishing between objectives and instruments that one can begin to assess the relative efficiency of different instruments. Conversely, a single policy instrument may affect several policy objectives.

For example, an instrument used to raise dairy prices will normally affect the welfare of producers and consumers as well as the level of milk production.

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6.0 What does Empirical Methods mean?

According to the Oxford English Dictionary (2nd Edition, 1989), empiric is derived from the ancient Greek for experience, empirical data is information that is derived from the trials and errors of experience. In this way, the empirical method is similar to the experimental method. However, an essential difference is that in an experiment the different "trials" are strictly manipulated so that an inference can be made as to causation of the observed change that results. This contrasts with the empirical method of aggregating naturally occurring data.

Adding further confusion is another connotation of empiric. Strict empiricists are those who derive their rules of practice entirely from experience, to the exclusion of philosophical theory.

The Oxford English Dictionary further states that an empiric is "one who, either in medicine or in other branches of science, relies solely upon observation and experiment" [emphasis added]. In this case, an empiricist can be someone who conducts an experiment but without using a hypothesis to guide the process, i.e., strictly by the trial-and-error method. This is counter to one of the main tenets of the scientific method, that of the hypothetic-deductive method, where the manipulation of the variable in an experiment is dictated by the hypothesis being tested.

The empirical method is generally characterized by the collection of a large amount of data before much speculation as to their significance, or without much idea of what to expect, and is to be contrasted with more theoretical methods in which the collection of empirical data is guided largely by preliminary theoretical exploration of what to expect. The empirical method is necessary in entering hitherto completely unexplored fields, and becomes less purely empirical as the acquired mastery of the field increases. Successful use of an exclusively empirical method demands a higher degree of intuitive ability in the practitioner

(McGraw-Hill)

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7.0 How Empirical Method improve the Policy Making

In the policy analyzing part, the empirical method is giving its major inputs. The policy analyst are using various empirical methods for the analyzing part of the policy which is giving more statistical and also the practical analyzing report which Is very clearly understandable and also could be able to predict the things based on the empirical analysis techniques

In the analyzing part of the policy making the policy analyst collect vast set of relevant data and information of the particular policy issue Once the evidence is given properly in a methodological way the policy making part will be easy process

Because of the empirical method and absorption it in the poly analyzing will be a definite advantage and also enhance policy making process with the correct evidence of the relevant issue. Solution can be made according to the empirical result which will more practical and easy most of the time

There are number of techniques used by the policy analyst to make the maximum better out put used empirical methodologies which is concerning Time, Cost, decision support techniques and other well know function of the statistical analyzing methods many of the economical policy making process based on the empirical methods.

There are evidence can be stated for evidence based policy makings with the use of empirical methods

Good decision making is based on good data. Sample survey and experimental design techniques are aid in getting good data. Empirical methods, primarily statistical tools, are used in designing data capture, obtaining useful information from data, and presenting results convincingly to various audiences. Statistical tools include probability modeling and regression analysis. Statistical software enables empirical methods to be applied.

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8.0 Evidence

Some of the examples are stated below which are collected from the web

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TRANSPORT 2010: THE TEN YEAR TRANSPORT PLAN

BACKGROUND

In December 1999 DTLR began work to prepare a 10 Year Plan for Transport. The result, Transport 2010, was published in July 2000. This is a long term investment plan to transform Britain's transport systems, and to tackle the associated problems of congestion and pollution. In the past, a strategic approach to transport has been hampered by 'stop-start' funding associated with traditional Public Expenditure rounds.

APPROACH

DTLR took a long term look at the investment needs of the transport system, and linked it to the outcomes that the Government wished to achieve in policy terms. The Plan was drawn up as part of the Spending Review process (which looks at public spending over the coming three years) but looked further ahead over a 10 year period, and also took account of the potential contribution of the private sector given its importance in providing both infrastructure and services. A dedicated Task Force was set up to manage the process. The Plan built on an earlier comprehensive statement of policy set out in the Integrated Transport White Paper. Economic models were used to link public and private investment and other transport policy measures to outcomes over a 10 year period. The result was a programme of investment linked to firm Public Service Agreement (PSA) targets. The task of forecasting and predicting all the key relationships over a ten year period was a demanding task with uncertainty increasing towards the end of the period. The Plan had to make assumptions about the outputs that would flow from the proposed investment recognising that decisions would be taken by a number of different bodies following processes established by the White Paper to ensure an integrated approach. The Plan also looked at the impact of three illustrative scenarios for the costs of motoring over the 10 year period. Accompanying the publication of the Plan was The Background Analysis, a document setting out the assumptions and analysis underlying the Plan. There is an on-going commitment to maintain, monitor and review the Plan, and to take forward work to improve key aspects. The Commission for Integrated Transport has been asked to provide advice as part of the review process. To inform the review the Department's main transport model is being revised and expanded into a fully multi-modal model. This draws on the advice of outside consultants and on discussions with a wide range of outside experts and stakeholders.

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B E N E F I T S

The Plan provides a firmer foundation for investment in transport, linked to outcomes in 2010, and was successful in securing £180 billion of private and public investment over the ten year period. It provides the basis for monitoring, reviewing and evaluating progress against DTLR's PSA targets.

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DEFRA: WASTE AND RESOURCES ACTION PROGRAMME

BACKGROUND

UK Government is committed to significantly reducing the quantities of waste going to landfill, and increasing recycling. Delivering a sustainable increase in recycling without large and long-term government subsidy will rely on strong markets for recycled materials. However, many existing markets for recycled materials are already running at full capacity, and others are new, fragile or non-existent.

APPROACH

DEFRA has established Waste and Resources Action Programme (WRAP). This is a new, independent body, sponsored by government, to promote the development of markets for recycled materials. It is not an agency, nor a non-Departmental Public Body (NDPB), but a private company, flexible enough to operate in the private sector, but with checks and balances in place to ensure that the Government receives value for money from its sponsorship. It was recognized that the Government did not have the appropriate skills and understanding of working in a business environment to undertake the task itself. Also, as an independent company, WRAP will be well placed to attract private sector funding, and to use that funding to test out innovative financial mechanisms.

B E N E F I T S

Such an innovative and pioneering approach to a problem has meant that there was not a great deal of experience to draw on. However, this conversely meant that DEFRA had the freedom to work from a blank sheet, and the lack of established procedures meant that officials were able to operate more quickly and flexibly.

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DTI: RADIO SPECTRUM

BACKGROUND

Radio spectrum is the raw material on which mobile telephones, broadcasting and a bewilderingly wide range of other applications depend. It is a finite national resource with high economic value. However, until 1998, sitting tenants had no incentive to use more efficient and modern technology or to make way for entirely new users. This situation was transformed by the Wireless Telegraphy Act 1998.

APPROACH

In the interests of promoting more efficient use of the radio spectrum, a basic tenet of government administration was set aside - that the price of a license should reflect the cost of administering it. The Government was keen to adopt an approach that would unlock the economic value of the radio spectrum for the UK. It was also keen to allow companies to gain access to the spectrum they needed to exploit new technology and bring innovative services to UK businesses and citizens. To achieve these objectives, it was decided that licenses for the new 'Third Generation' mobile telephone services would be auctioned. The UK was the first country in the world to auction 3G licenses and the outcome 'astonished the telecommunications and financial sectors around the world'. The project was taken forward by a team of about 15 civil servants. Creativity was encouraged amongst the team '..and the standing agreement in the team was that in pursuing the published objectives, nothing was inherently unthinkable'. The team was supported by extensive and expensive external advice from bankers, lawyers, auction designers and technologists. The results more than justified this investment. An additional strength of the approach was the highly consultative process that was adopted, involving an inter-departmental steering group bringing together all the Whitehall interests. In addition, consultative machinery involving all the key industrial stakeholders was established to ensure transparency.

B E N E F I T S

The benefits of this approach were considerable and far-reaching. The first such auction of five licenses of spectrum to run next generation ('3G') mobile phone networks led to licenses being assigned to the operators who valued them most and would generate the greatest economic and consumer benefits. The licensees include a completely new entrant to the UK mobile telecommunications market, which will be good for competition and consumers. Furthermore, because the five licensees are highly motivated to build networks and grab market share, 'UK businesses and consumers

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will have advanced services here before most other countries. This would not have been achieved by a conventional approach'. Finally, the auction raised £22.5 billion for the Exchequer, although revenue was by no means the primary consideration. The proceeds have been used to reduce the National Debt and so will bring economic benefits long into the future.

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