Policy Paradox - The Art of Political Decision Making

Policy Paradox Book Notes Overview: 1. The rationality project misses the point of politics -- (taking the politics out of policy making so it relies only on rational, analytical and scientific methods) construct a new view of policy analysis that sees the dark political conflicts but also the valuable creative process for social harmony within it. 2. Categories underlying rational analysis are defined in political struggle construct a mode of policy analysis that recognizes analytical concepts, problem definitions, and policy instruments as political claims themselves (as opposed to status of universal truths) Show why policy analysts and decision makers must bring their own values into the picture 3. Economic view of market vs. what he sees as the real-world market with webs of relationships, community, dependencies, loyalties, deep care for others, influence each other’s desires and goals, and there is a vision for public interest as well as individual interests. --Making public policy rational requires: 1. Model of reasoning – rational decision making ignores our emotional feelings and moral intuitions 2. Model of society 3. Model of policy making In book – Creates a model of political reasoning that is different from the model of rational decision making -- strategic portrayal for persuasion’s and policy’s sake -- Create model of political community (vs. the market) to use as a base for thinking about every aspect of policy analysis / policy making -- preferences based on loyalties and images and how things are presented to them and by whom Plan of book: Ch.1 Set forth the POLIS- model of political community (^^) and everything builds on this takes shape from notion of a policy issue implied in the rationality project: WE HAVE A GOAL, WE HAVE A PROBLEM, A DISCREPENCY BETWEEN REALITY AND THE GOAL, AND WE SEEK A SOLUTION TO THE PROBLEM Part II goals (enduring values of community life that give rise to controversy over particular policies – equity, efficiency, welfare, liberty and security) Theme: behind every policy issue lurks a contest over conflicting conceptions of the same abstract goal or value Part III problems how we know there is a disparity between social goals and the current state of affairs. Part IV solutions – broad types of policy instruments governments can use to solve problems. -Assumptions: All policies involve deliberate attempts to change people’s behavior -Each chapter in Part IV deals with a mechanism for bring about behavior change—rewards, penalties, rules, persuasions, etc. Theme: policy instruments are not just tools, each with its own function and suitability for certain jobs, each policy instrument is like a GAME than a tool. -each has particular ground rules; thus, the policy designer must understand the rules of the game well enough to know standard moves and countermoves with the tools at hand and think about them strategically. * Overall- wants you to acknowledge own core values, deliberate with others, and make the world better. Part I Politics Chapter 1: The Market and the Polis community = starting point for polis < Policy is done for the community by the community > < Collective will & Collective Effort > < collective intention > -- membership -- distinction between political community and cultural community -- mutual aid Altruism – powerful human motive, acting in order to benefit others rather than oneself Public Interest – citizens have private/self-interest- side and public-spirit side << pub interest polis = self-interest market >> Common Problems:- situations where self-interest and public interest conflict Bridge the gap between self-interest and public interest: influence, cooperation and loyalty - These things shape peoples approach – attitude about these things: Influence – fuzzy line between influence and coercion Cooperation – allies, alliances, & because it’s essential to power in that it is more effective form of subordination than coercion. Loyalty – somewhat enduring alliances from cooperation lead to loyalty. Groups – groups and organizations (because of ^^^) are the building blocks of the polis 1. People belong & have a place 2. How groups form / split / reform to achieve public purposes 3. Decisions in the polis are Collective! Information – ambiguous, incomplete, ~ strategically shaded, ~ deliberately withheld >> - Interpretations are more powerful than facts- << Leaving wiggle room for interpretation and framing = better Passion Power – derives from all other elements (^^) and cannot be defined without reference to them ( p. 34) Picture 1 Picture 2 Part II Goals Chapter 2: Equity Issues- distributive conflicts in which equality is the goal. ALL sides seek equality. 1. equal slices but unequal invitations 2. Unequal slices for unequal merit but equal slices for equal merit 3. Unequal slices for unequal ranks but equal slices for equal ranks 4.unequal slices but equal social blocs ^ redefine recipients 5. Unequal slices but equal meals 6. Unequal slices but equal value to recipients ^ redefine the item being distributed 7. Unequal slices but fair competition with equal starting resources 8. Unequal slices but equal statistical chances of winning cake 9. Unequal slices but equal votes ^ focus on the process of distribution equality often means inequality, and equal treatment often means unequal treatment Picture 3 Dimensions of Equality: 1. MEMBERSHIP 2. MERIT 3. RANK – horizontal (equal treatment of ppl in same rank) and vertical (unequal treatment of ppl in different ranks) equity – assumed to correlate with MERIT – 4. GROUP-BASED DISTRIBUTION – should be used only as a tool to correct deviations from merit-based selection 5. NEED – redefines the boundary of the item. Cake vs. Meal. 6. VALUE- standardized value vs. customized value 7. 8. 9. COMPETITION, LOTTERIES, ELECTIONS – process of distribution Choosing a Distributive Method there is no right answer. - when you confront policy issues, begin by reading the different positions on the issue and identify how they define the three dimensions of the recipients, items, and process. Figure out who is eligible, what makes them eligible, and what social process will carry out the distribution? - Figure out the different INTERPRETATIONS INEQUALITY few ppl would say life distributions (chance and well-being) are fair, but ppl don’t agree on whether & why these inequalities should be lessened. inequality on the community & inequality on democracy -inequality destroys communities -$$ talks in voting & influencing democracy -elected officials are more responsive to the rich Part II Goals cont. Chapter 3: Efficiency – GETTING THE MOST FOR THE LEAST // ACHIEVING AN OBJECTIVE FOR THE LOWEST COST -efficiency = comparative = ration between input and output, effort and results, expenditure and income, or cost and benefit. Picture 4 Markets : network of exchanges - exchanges are voluntary - ppl make exchanges based on information – objective (price/quality) & subjective (needs/desires/preferences) - capitalism vs. markets and efficiency – where does gov’t come in? - Market theory assumes that people are rational and self-interested. In the polis, the goals are formed as a community. - buyers and sellers must have complete and accurate information about the available alternatives. - Voluntarism – are you entering this voluntarily, or out of necessity? trade or livelihood? Picture 5 -- Efficiency is a political claim, a way or portraying a situation that makes some people / thing look more important than others Market theory says societal welfare = to everyone’s individual welfare Nope. Conflicting roles, people are social and often cannot be seen individually for certain policy, ignores distribution, also because we have goals for communities and for individuals, Equality – Efficiency Trade Of -longest running policy argument against redistribution … equality and efficiency are fundamentally incompatible goals 1. Unequal rewards motivate people to be productive 2. Redistribution (equality) wastes a lot of money argument doesn’t hold up against evidence from other nations Picture 6 equality-efficiency trade-off is not a natural law. It is the way political leaders choose to promote economic growth in different ways and to distribute fruits of the economy in different ways. - Markets are a way to organize social activity. More power to the people who control money and property. Part II Goals cont. Chapter 4: Welfare -Most people believe society should help those in dire need, but what is “need” vs. “desire” -Groups of citizens are constantly trying to portray their desires as objective, essential, and impossible to reject. 1. People have symbolic needs as well as material needs 2. Some things enhance welfare by their instrumental value rather than their intrinsic value. 3. People need reliable and secure ways of meeting their needs over time. 4. Welfare depends on quality as well as quantity 5. People have relational needs as well as individual needs. 6. Need is relative as well as absolute. Dimensions of Need 1. Material Needs vs. Symbolic Needs – issue of culture as a need 2. Intrinsic vs. Instrumental Needs (allow you to do something else) – “necessary for what?” 3. Volatility vs. Security – most people dislike losses, more than they enjoy gains aka personal welfare is sensitive to change. SECURITY is paramount. 4. Quantity vs. Quality – what works for policy can distort or disguise what works for human welfare. 5. Individual Needs vs. Relational Needs – no less real for being intangible / unmeasurable 6. Absolute vs. Relative Needs – paradox – rising expectations create new “needs” Picture 7 Makings Needs in the Polis___ - multiple ways to define need, multiple claims of what the gov’t should do to enhance citizen welfare. - needs-claiming = democracy. gov’t do this, or we don’t vote for you. - pattern of public need – unique blend of public needs Moral Hazard and the Welfare-Efficiency Trade-Off___ - incompatible goals (efficiency and welfare) - -> rests on moral hazard, assumption about human nature / decision making which is the idea that when a person knows they have insurance, they will behave a little less carefully / not take as much trouble to prevent bad things && this has expanded to predicting people’s behavior. all people are easily persuaded to behave badly in the context of an easy way to gain resources. For welfare, the implications are that if people know they don’t HAVE to work to meet their needs, they won’t aka there needs to be counterincentives, or else welfare will lead to immoral behavior and ultimately less welfare,. Picture 8 Communal provision—people are grateful to the givers to them. Gratefulness and dependence create loyalty. Part II Goals cont. Chapter 5: Liberty Based on Stuart Mill’s On Liberty – single criterion to judge whether gov’t can interfere in individual action and that is “harm to others” AND predicated on distinction between behavior that affects others and behavior that does not AND attribute of individuals not of social groups/roles/orgs AND defines liberty in a negative way as it lacks interference with individual action. Policy Problems —once you identify a harm done to others, which WAY do you decide to go about preventing that harm again because there will be different ways to prevent that interfere with other LIBERTIES different people are accustomed to. —physical and abstract harm – the more abstract and symbolic, the MORE politically contentious policy —spiritual / moral harms – least tangible, most contentious Picture 9 Making Liberty in the Polis: 5 Paradoxes 1. Negative and Positive Liberty –liberal lean positive, conservative lean negative (fear tyrannical gov’t and mandates) 2. Positive Obligations – 3. Paternalism – forced to do things for your own good—experts know what is good for you 4. Freedom of Speech – 5. Multiculturalism — most intense controversies surround the meaning of liberty for cultural minorities. Picture 10 The Liberty-Equality Trade-Of – people have different talents/skills/ambitions to secure society’s most valued resources and opportunities. To maintain equality the gov’t would have to redistribute resources to the disadvantaged from the advantaged. One person’s equality comes at the expense of someone else’s liberty. The Liberty-Welfare Trade-Of – everyone wants help when they need it, but no one wants to be dependent. Dilemma of Dependence. History of the modern welfare state = story of gradually expanding rights for people dependent on the state Part II Goals cont. Chapter 6: Security 3 concepts of security (although many more exist) : insecurity, security and risk resides in the space between a bad thing and the fear of it—not the first shoe, but waiting for the other one. whether something bad will happen but also HOW BAD we expect the bad thing to be 1. Total lack of worry—perfect safety, absence of bad things. Political idea of security—security results from elite policy making. 2. Security as a state of mind- how ordinary people feel in response to events / policies they cannot control. Psychological idea of security—children are oblivious and adults trust their leaders can prevent harms 3. Scientific ideal of security – danger can be analyzed, strategized, and prevents on in the worst cases, planned for. “risk analysis” policy that aims to create security must create it in the PSYCHOLOGICAL sense, as it is a FEELING or PSYCHOLOGICAL State. - risk - expected value - risk analysis is different for individuals, there may not be a healthier or better analysis that worked for everyone MAKING SECURITY IN THE POLIS___ 1. prevent a threat or a danger from materializing 2. when the bad thing happens, take steps to mitigate its harms 3. Provide reassurance to citizens policies can create psychological security without enhancing security in a political or military sense (IE stopped coverage of illegal aliens and the public stopped worrying as much about it) must convince public that political leaders are in control during crises - promise prevention yet prepare for failure to prevent Picture 10 -- expected value -- precautionary principle SCIENCE AND POLIS VIE FOR AUTHORITY___ security issues raise scientific and political questions -- risks are not distributed equally – young men from poorer / less-educated communities = more likely to be killed in combat – security measures in the same way don’t benefit everyone the same (PUBLIC POLICY = COLLECTIVE EFFORT TO SOLVE PROBLEMS AND IMPROVE LIFE) however, in many ways, policy generates risks and insecurity * Ulrich Beck DOUBLE-EDGED SWORDS___ 1. Risk assessment, mere assessment can spur worry 2. Surveillance, question efficacy – are inconvenience costs worth the benefits – 3. Border Control, living in a fortress makes for a fortress mentality 4. Prisons, threats to security inside = crime. Incarceration exacerbates insecurity for the incarcerated and communities 5. Weapons, gun rights v gun control Picture 11 The Security-Democracy Trade-Of - citizens cannot have both, one must be sacrificed for the other - emergency powers – survival at stake – laws will be broken / stretched beyond democracy have to sacrifice democracy in order to secure its future vs. rule of law secures democracy’s future Part III Problems Chapter 7: Symbols ex. Noose as a symbol that tells a story – symbol = anything that stands for something else, has meaning from interpretations, uses and response – can stand for organization or set of ideas. Picture 12 two broad story lines in policy politics – stories of change (decline or rising) & stories of power (helplessness or control) -synecdoche, metaphors, ambiguity SYMBOLS ARE MEANINGS OF INFLUENCE AND CONTROL, EVEN THOUGH IT IS HARD TO TELL WHO IS INFLUENCING WHO. MEANING OF A SYMBOL IS INVESTED IN IT BY THE PEOPLE WHO USE IT – NOT INTRINSIC. Policy stories have universal themes and CLUTURALLY specific variations. - Stymied progress story - Change-is-only-an-illusion story - Conspiracy story - Blame-the-victim story THERE IS ALWAYS CHOICE – convert helplessness into human decision Synecdoche - whole is represented by one of its parts – typical cases that define larger problems, ex = horror stories to generate fear that spur change with less questions - Suspend critical thinking Metaphors -imply larger narrative story and prescription for action - Living organisms - Natural laws of social behavior - Ex. Slippery slope - Ex. Containers / fixed space—Mexican workers “spill over” US borders - Disease – behavior to spread like disease - Metaphorical war on …. Ex poverty, crime, drugs, etc. Ambiguity -A symbol can mean more than one thing, and can mean different things at the same time to different people. Helps synchronize diverse motivations, expectations, values – collective action becomes possible - Unites people. Picture 12 - opponents can claim different victories from same resolutions Part III Problems cont. Chapter 8: Numbers MEASUREMENT – common way to define a problem is to measure it – how to count the problem - what counts as what - numbers work like metaphors – select one part and ignore the others - WRONGFUL EXCLUSION - WRONGFUL INCLUSION - what legitimately counts as what Numbers as Norms and Symbols___ Normative : -- measuring a problem creates pressure to solve, but also an “acceptable” number ex. Unemployment numbers that are in the acceptable average for “Full Employment” Helplessness & Conflict HIDDEN STORIES IN NUMBERS___ numbers are used to tell stories Numbers: - present aura of expertise and authority - To count something is to assert that the phenomenon occurs often enough to count - to count something is to assert that it is an identifiable entity with clear boundaries THE PROBLEM OF COUNTABILITY - counting makes a community – moves an event from singular to plural – common feature - numbers promise a distinctive kind of conflict resolution Roe v. Wade opinion—Justice Blackmun organizing of “interests” Picture 13 - numbers symbolize PRECISION, accuracy, and objectivity. MAKING NUMBERS IN THE POLIS counting & measurement are complex social processes people have strong incentive to manipulate measures, and the possibilities for manipulation are endless. because measures determine allocation of resources from policy makers In the polis- double – blindness is out of the question – should be no separation between the measured and the measurers. Picture 14 -- measures are strategically selected but strategically presented—they never stand alone. Part III Problems cont. Chapter 9: Causes to identify a cause in the polis, is to place burden son one set of people instead of another, tells the oppressors vs. victims story. - casual theories have a political life independent of the evidence for them. CASUAL STORIES AS PROBLEM DEFINITIONS Picture 15 ^ can be seen as a map to show how political actors push an issue from one territory to another in the struggle for political power. - Gulf oil spill example Types of casual stories: “complex systems,” “institutional systems,” “historical systems,” MAKING CAUSES IN THE POLIS___ - RISK pushes problems from accidents to PURPOSE - when the harms at issue are injury or death a cause and effect relationship is accepted widely - civil rights – Picture 16 In polis – causal stories need to be fought for, defended, and sustained. conservatives- hold individual responsible liberals- hold society responsible USING CAUSES IN THE POLIS___ -demonstrate possibility of human control over bad conditions 1. Challenges or protect and existing order 2. identify causal agents / assign responsibility 3. legitimize and empower particular actors as fixers of the problem 4. Create new political alliances among people who stand in the same victim relationship to the causal agent Picture 17 Part III Problems cont. Chapter 10: Interests interests= the sides in politics = people and organizations who have a stake in an issue or are affected by it In polis – interest formation is more dynamic than the process pictures in market model or even liberal democratic theory. – interest group leaders attract members and supporters by raising public awareness about issues, mantra for political organizing MAKING INTERESTS IN THE POLIS___ representation – define an interest or speaks for the people MOBILIZING INTERESTS___ -when people understand their problems are shared by others and organize to influence policy this is mobilization -interest mobilization is crucial to citizens’ capacity to define their problems and link them to policy solutions RATIONAL CHOICE THEORY : PLURALISM TURNED ON ITS HEAD___ -- people in polis do not live in isolation therefore different than prisoners’ dilemma and have incentives from society and friends to mobilize -- people can and do talk to each other can problem solve together -- cooperative efort generates a perpetual energy that keeps generating more collective action -- participation tends to follow the laws of passion rather than laws of matter -- The Internet facilitates communication and connection -- symbols and ambiguity can change the way people interpret their interest and defeat the logic of rational choice HOW INTERESTS AND ISSUES DEFINE EACH OTHER___ Picture 18 - political issues fit in more than one box ex. Social security policy issues don’t determine the kind of political contests that occur: instead politics shapes the way policy issues are portrayed and perceived in the first place GOOD INTERESTS VS BAD INTERESTS___ Picture 19 Part III Problems cont. Chapter 11: Decisions Rational Decision Making__ problems cast as a choice between alternative means for achieving a goal—rationality means choosing the best means to attain any goal 1. Define goal 2. Imagining alternative means for attaining the goal 3. Evaluating the likely consequences of pursuing each alternative 4. Choosing the alternative most likely to attain the goal MAXIMUM TOTAL WELFARE ex. Cost-benefit analysis MAKING DECISIONS IN THE POLIS___ differ for the rational model – not dramatic stories, not determinateness (you will not get a definite answer just by going through the process), no hidden storylines – overall rational model = persuasive techniques mounted by people with STAKES in the OUTCOME defining goals – means of gathering support issue framing – means of focusing on the issue and its outcome as the best and only way to solve problem or issue controlling the political meanings of the alternatives – language matters in the polis – labels create different points of reference against which people evaluate alternatives –language = influence policy makers in polis are concerned with how alternatives will be PERCIEVED as well as the practical outcomes. How diferent audiences interpret a decision is PART OF its outcome. Picture 20 evaluating policy alternatives with cost-benefit analysis – important consequences of an action are often intangibles and hard to define, let alone measure. ** instead of taking prices as given, policy makers should analyze the forces that create prices and sometimes put their efforts into changing prices by changing the power realtions that set them. decide which consequences to include in the analysis in the first place—arbitrary and strategic ETHICAL DECISIONS___ utilitarianism says we should judge actions by their results * In democracies, the process of decision making has value independent of the outcomes *** Rational decision model – NEEDS analysis done by single mind to change to accept that power can be held by multiple minds /actors - authority is and should be dispersed shared, negotiated and constantly contested. Part IV Solutions Chapter 12: Incentives carrots and sticks – incentive and deterrence purpose of incentives is to bring individual motives into line with community goals – what is good for the community is also good for the individual 3 parts: incentive giver, incentive receiver, incentive itself DESIGNING INCENTIVES: SOCIAL DYNAMICS___ -must understand the complex causes of the behavior you seek to change. Deep understanding of WHY. - must understand the social relations created by the incentives themselves. -- encourage to cooperate (positive incentives) -- create a climate of conflict and divide (negative incentives) REWARDS, just as penalties, ARE EFFORTS BY ONE PARTY TO CONTROL THE BEHAVIOR OF ANOTHER Implementing incentives in the POLIS__ Picture 21 INCENTIVES AND DEMOCRACY___ Picture 22 Part IV Solutions cont. Chapter 13: Rules rules mandate behavior – command people, organizations, gov’ts to act in a certain way Power comes from being “good” rules -- like cases will be treated alike Picture 23 Part IV Solutions cont. Chapter 14: Facts Two faces of persuasion ugly faces of persuasion = propaganda & indoctrination Picture 24 Business’s power to persuade – government’s power to persuade Picture 25 Part IV Solutions cont. Chapter 15: Rights Part IV Solutions cont. Chapter 16: Powers