Design and test of Geophonino-3D: A low-cost threecomponent seismic noise recorder for the application of the H/V method Juan Luis Soler-Llorens & Juan José Galiana-Merino & José Juan Giner-Caturla & Pedro JaureguiEslava & Sergio Rosa-Cintas & Julio Rosa-Herranz & Boualem Youcef Nassim Benabdeloued
Weareverypleasedtointroducethethirdeditionof Public Policy Praxis (PPP),andwearegratefultoallthe professorswhohaveadoptedthisbookoveritsfirst16yearsandforallthekindwordsfromboththemand theirstudents.Moreover,thoughthisisasignificantrevision,weareconfidentthatthoseprofessorswhohave beenusingthebookwillfindtheheartandessenceunchanged,andwiththenewonlineTeachingAppendix available to professors we were able to save cases we cut Yet we believe that this edition will appeal to a broader cross-section of faculty More importantly, we believe the third edition is improved for students studyingpublicpolicy.
Reviewsofthefirstedition(PPP1)stressedthattherealstrengthofthebookwasthatitrelatedcasesto policy and analysis When the first edition of the book came out, the discipline was caught up in a debate betweenpositivismandpostpositivism,andourbookwas,inpart,aresponsetothatdebate.Wehopedthat ourbookwouldprovideamiddlegroundbetweenthefascinatingtheoryofpostpositivismandtheusefulness of positivism Today the field has largely moved away from that debate and increasingly narratives and politicsrightlystandalongsideoftherationalapproach,BigData,andevidence Adoptersovertheyearshave praisedusalmostequallyforourpracticaltoolsandourverypoliticalapproachtopolicyanalysis,whichled to students learning a mixed methodology and key tools drawn from both positivism and postpositivism. Althoughweunderstandandteachtheimportanceofbringingrigor,asystematicapproach,andtheoldtools ofthetradetobearonpolicyanalysis,wealsocritiquedtheinsightfulcriticsofthatdominantapproachand demonstratedthattheirinsightsneededtobe(andcouldbe)madeusefultothepractitioner.
With this third edition we have worked to improve on achieving the key goals that drove the first two editions Wecontinuetobelievethebookmustbe:
Althoughwestilltargetbothfutureandcurrentprofessionalpolicyanalysts,aswearguedoriginally,anyone who wants to understand and affect public policy (eg, elected officials, citizen activists, interest group leaders,publicadministrators)mustbeapolicyanalyst
Sincethepublicationofoursecondedition,wehaveseenwarandterrorismcontinuetoplaguetheworld, the first African American president elected in the United States, a continuation of the disturbing trend of schoolshootings,criticalnewissuesemerge,andrenewedcallstoaddressissuessuchasclimatechange,plus thehugeimpactofnewtechnologies,globalization,andsocialmediaallimprovingourlives(ortakingthem over?).ThesechangesandreviewersofPPP2pulledusindifferentdirections.Somereviewerswantedusto retainournowclassiccasesandboxes,notingtheissueschosenwereallstillsalient;otherswantedcasesand boxeswithnewtopics Weultimatelycompromised,sothiseditionincludesalmostallofthecasesandminicasesofthepast includingBig-Mart,thePocatelloPrisonsitingcase,andtheYellowstonebisoncase but alsonewonesinvolvingtopicssuchase-cigarettes,redpandasinNepal,andgeneticallymodifiedorganisms (GMOs) The new online Teaching Appendix, available to professors, allowed us to save cases cut or significantlyedited
Furthermore, while adopters and some reviewers appreciated the consistent flow of our book over the years, others believed that the placement of old Chapter 8 (“The Positivist Toolbox”) neglected it, and suggestedthatitwouldbetterfitafterChapter2’sdiscussionoftherationalmodel WeagreedandthuslongtimeadopterswillhavetogetusedtoChapters3–7nowbeingChapters4–8
The two of us share a common mentor Rick Foster who taught us early in our academic careers that politics and policy were “messy” and that power explained much more about the policy process than did rationality Initially,webothtriedtoresistthisviewbutultimatelycametoseeitasararetruism Whenwe firstdiscussedthegenesisofthisbookin1996,wefoundthat,despiteliving2,000milesapartformanyyears, westillsharedtheseviewsaboutmessinessandpower Luckilyforus,therestofthepolicyanalysisliterature wasfinallystartingtocatchupwithourmentor.
The emergence of postpositivism and postmodernism into the field of policy analysis during the 1990s vindicatedsomeofourviewsofhowpolicyismadeandimplemented,andgaveusintellectualtermstohang
our collective hats on in PPP1 These academic orientations talked about subjectivity and ambiguity or, in otherwords,theprimacyofpolitics Thesewereinsightsthatourmentorhadgainedinthe1960s,1970s,and 1980s without ever hearing of postpositivism and postmodernism. Again, though, none of this meant we rejected rationality, rigor, or pragmatism Indeed, our central critique of postpositivism and postmodernism was that its adherents had often failed to explain how to make it useful Praxis is “about” theory informing practice, and we believed that this mattered Public administration and policy analysis education has long emphasizedtidiness,stages,andrationality.Partofthisisexplainedbythefactthatacademiaitselfstresses falsification,objectivity,andneutralityinscience,butpractitionersfrequentlymustdealwithaworldwhere objectivityisbuffetedby,repressedby,andsometimesdefeatedbyvalueconflict Aspart-timepractitioners, andregularlyworkingwithfull-timepractitioners,thisisnotourscholarlyopinion,butgroundedintheworld policyanalystsconfront.
Unfortunately, when we wrote PPP1, the dichotomy between the tidy world of positivism and the messinessofpostpositivismmeantthatmostscholarspickedasiloandstayedthere Butnow,nearly20years later, as suggested earlier, that has changed Smith and Larimer (2013, pp 118–119) argue that there is an “emerging middle ground” between the two camps. They suggest that rationalists realize that they must accountforthe“fracturedandvalue-ladennatureofthepoliticalarena”andthattheunderlyingassumptions of individual rationality have come under increased attack as the social sciences better understand how individualsmakesdecisions(p 19) Atthesametime,SmithandLarimerconclude,therationalistapproachis importantbecauseitprovidesevidenceanddatainpolicydisputesandthisevidenceplaysanimportantrolein the policy process (p 19) PPP3 sits nicely in this new policy world and perhaps our book helped the disciplinelandhere
Public Policy Praxis provides students with the ability to grapple with ambiguity and complexity by offering six different analytical models of policy analysis: the rational model (Chapter 2), the quantitative model(Chapter3),thepoliticalmodel(Chapter5),thepragmaticmodel(Chapter6),apostpositivist-inspired model (Chapter 7), and the democratic model (Chapter 8) By still emphasizing mixed methodologies, students are encouraged, through the use of cases, to synthesize these different models into a workable and practicalapproachtoappliedpolicyanalysis.Inadditiontotheseanalyticalmodels,weprovidespecifictools ofpolicyanalysis,suchasstakeholdermapping,contentanalysis,groupfacilitation,narrativeanalysis,costbenefit analysis, futuring, and survey analysis Students are given the opportunity to try out these globally applicable analytical models and tools in varied case settings (e.g., county, city, federal, international, plus urbanandrural)whilefacingwide-rangingtopics(economicdevelopment,e-cigarettes,GMOs,expansionof humanservices,buildingahealthcareclinicinaruralcommunity,aninner-citydrugprogram,andthebison controversyinYellowstoneNationalPark)thatcapturethediversityandrealityofpublicpolicyanalysisand theintergovernmentalandcomplexnatureofpolitics.WhileourcasesareprimarilysetintheUnitedStates, wethinkthatourcasesplaywellforinternationalaudiences.Forexample,thelessonsfromacaseaboutbison inanationalparkintheUnitedStatescouldeasilybetranslatedtoacontroversyaboutendangeredelephants inAfrica Asweoftentellourstudents,weusecasestoteachthecentralityofpoliticsinpublicpolicy The caseitselfisimportantandinterestingbutcasesareusedprimarilytodemonstratetheoryinaction.
Wehopethis editionofthebookevenbetter capturesourfundamentalviewofpolicy analysis.Westill believethatpolicyanalysisrequiresacombinationofknowledgeandskills Studentsneedtolearnaboutthe politicsofthepolicyprocessaswellashowtodopolicyanalysis Alongwithteaching“howto,”wediscuss thelimitations,thepracticalpoliticalproblems,andtheethicalproblemsassociatedwithdifferenttechniques and methodologies Pedagogically, we rely heavily on a case approach Tactically, we rely on mixed methodologies
Politicsisattheheartofpolicyandadministration,andpolicymakingisrootedinstorytelling Although gettingandkeepingajobasapolicyanalystmaydependonexpertiseandtechnicalskills,policyanalysisis predominantly not about “objective” material facts, but rather about battles among ideas and about socially constructedcategoriesofsharedmeaning(eg,aboutwhatisdeviantandcriminalornormalandaboutwhois undeservingordeserving)
Eventheselectionoftoolsandproceduresisavalue-ladenchoicethatcandeterminetheoutcomeandthe winnerortheloser Thepolicyprocesscentersonvalueconflictandchoosing includingthechoicesrelevant to democracy (eg, what role should public sentiment play and who gets to sit around the table when determining criteria or selecting options) Public policy analysis is fundamentally not about technical questions.
Thus,insum, webelievethatthefailureof politicalscienceand publicadministrationto findandteach practical yet democratic methodologies of policy analysis had real consequences but that today many programs have moved beyond this and our approach is no longer filling a niche but instead is now the mainstream.Wearguethatpragmatismdemandsthatpolicyanalystsunderstandpoliticsandthatthefieldis
largelypolitical Analystsneedtolearntothinkpoliticallyandtounderstandthatpublicproblemsaresocially constructed Thus,policyanalysisismorethanthetechnicalmanipulationofmodels,numbers,andstatistics Consequently, we provide alternative methods to supplement traditional methodology and in the process advocate a more democratic mixed-methodology approach to analysis Praxis requires a marriage of theory andpractice,andourtextfocusesonprovidingagroundingintheorythatcanthenbeappliedinpractice
Organization,Approach,andChangesintheThirdEdition
While there are changes to the book, we never waver from our focus on theory and practice Chapter 1 introducesthecentralityofpower,valueconflict,politics,anddemocracy InChapter1,thenowclassiccase “Drug Abuse and Waterville” throws students right into the world of policy analysis Students are also first introducedtodemocracy,thepolicyprocess,stakeholdermapping(usingthecase“Big-Mart:CheapGoodsat WhatPrice?”involvingthesitingofalargemassmerchandisestoreinacommunity),astakeholdermapping tool, political IOUs, the strategic use of words and numbers, and the role that the analyst’s values play in policyanalysis Chapter1alsoincludesanexpandedintroductiontopoliticalstorytellingasakeycomponent ofthebook.
Chapter 3 opens with a defense of the use of Big Data and evidence in policy decision making Then, using a case integrated throughout the chapter which uses the example of an analyst working for local government, five tools of rational analysis are explored through their application, including sampling and surveys (including an examination of Internet surveys), extrapolation and forecasting, measures of central tendency,discounting,andcost-benefitanalysis Wealsodiscussdata-analyticskills,andtopicsrangingfrom building a new community swimming pool to workplace safety The chapter also reminds readers of: the potentialpitfalls,andsometimesintentionalmisuse,ofthesetools;theirimplicationsfordemocracy;andthe factthattheycannotmakenormativeandpoliticalquestionsgoaway.
Chapter 4 retains the original critique of the rational model An e-cigarette case, “Vaping Politics and Policy Up in Smoke,” helps highlight this chapter’s theoretical and practical critique of rationality The chapter provides examples of the power of various nonrational explanations of policy and then details four critiques of rationality: intellectual/analytical critique, a (new) cognitive critique, a political/institutional critique,andanideological/philosophicalcritique Twomini-casesaddtothepraxiselementasstudentsgetto applytheoriestospecificpolicyproblems Additionaldiscussionsincludethefallacyofblackletterlaw,and rationalityandGMOs,vaccinations,terrorism,andgluten-freediets
InChapter5,twoclassiccases themini-case,“PocatelloPrisonSitingStory:ACaseofPolitics”anda shortened “The Expansion of Human Services in Allegheny County, 1968–95, Section I” highlight this chapter’sformalintroductiontoanonrational(political)modeltopolicyanalysis Thechapterbeginswitha concise but thorough historical and contemporary discussion of developments in policy process theory, includingtheMultipleStreamsApproach,theAdvocacyCoalitionFramework,PunctuatedEquilibrium,and Narrative Policy Framework The chapter then proceeds through the policy cycle of problem identification and agenda setting (including discussion of the role of narratives and language in that process, policy formulation,adoption,andfunding,andpolicyimplementation).
Chapter7 focuses on the power of language and problem definition. The tragedy of school shootings is updatedwithnewanalysisandliterature AdiscussionofHurricaneKatrinaandtheBPoilspillandcausation theory also plays an important rolein Chapter7 Although all of the flaws and problems are explained, the reader learns how to conduct content analysis and narrative analysis, and how to facilitate focus groups, futuringsessions,andmeetingsdesignedtoresolveconflictandbuildconsensus
Chapter8focusesondemocracyasthekeyethicalissueinpolicyanalysisandoncivicengagement(or how to “do” democracy) with updated literature A new mini-case “Kathmandu: Red Pandas, Hunger, USAID, and Agriculture in Nepal” ties together not only ideas from Chapter 8, but 1–7 as well. Also, the chapterstillcloseswith“SoYouWanttobeaPolicyAnalyst?”
Finally, Chapter 9 takes readers back to the first chapter’s Waterville case; readers can demonstrate knowledge of policy analysis as a coherent whole and utilize all of the separate elements they have learned about.Thisshortchapterpresentsvirtuallynonewmaterial.Asthroughoutthebook,andthistimebasedon theentirebook,readersarepresentedwiththechancetoapplywhattheyhavelearnedandtolearnbydoing; theyarethenaskedtoreflectonwhattheydid
breadth of our approach makes it is possible to build an entire course around our text if the cases are fully utilized In particular, the bison case in Chapter6 can serve as a major research project for student analyst teams.
Further,thenewTeachingAppendixisincludedonlineforadoptersandisnotinthebook Reviewersof the second edition thought that this move would give faculty more flexibility on how they use the many teaching ideas in the appendix PartI of this dramatically updated teaching tool available online for faculty adoptersofthetextbookincludesninefullydevelopedteachingexercises,includingcasesrangingfromorgan donationtoaschoolfight,whilecoveringtopicsrangingfromnarrativeanalysistothewayvotingrulesaffect results Additionally, Part II offers nine more teaching aids (such as links to other cases and articles, pedagogicalideasonhowtousematerials,andsupplementalmaterialdirectlytiedtoconceptscoveredinthe text). Topics covered here include cognitive differences between liberals and conservatives, GMOs, the politicsofwolves,andaflagburningcase,aswellasskillssuchashowtodocodingforcontentanalysis It alsoincludesananswersettoproblemsofferedinChapter3
ConcludingThoughts
Thistime, rather than offer concluding thoughts as wedo attheend of each chapter, wearesoliciting your concluding thoughts In general we welcome suggestions, questions, and other input from both faculty and students Wearegladtohavehadthischancetocommunicatewithyou,butwedohopeyouturnitfroma monologuetoadialogue.Learningisaloop,andovertheyearsourstudentshavetaughtusmuch;wehope thatthecirclewidens Wecanbereachedatrclemons@mercyhursteduandmcbemark@isuedu
ACKNOWLEDGMENTS
MarkMcBethwishestomakethefollowingacknowledgments:Thankyoutothemanyfacultycolleaguesand staffmembers(bothinPoliticalScienceandelsewhere)atIdahoStateUniversityfortheircontinuedsupport throughout the years Special thanks to Rick, Cheryl, Jim, Kandi, and Donna Thanks also to the literally hundredsofundergraduateandgraduatestudentsatIdahoStateUniversitywhoseinsightsinto,andinterests in,thefieldofpolicyanalysishavegreatlychallengedmeandhavebeenatremendoussourceofinspiration formorethan20years TherearesomanystudentswhohavegreatlyaffectedmylifeandteachingthatIdare notlistanyindeferencetolengthconstraintsandoutoffearofleavingsomedeservingsouloutinthecold As always I thank my family and friends. Lastly, I thank Randy for first introducing me to postpositivist policyanalysis,forknowingwhentoletmeexperimentwithideasandfortellingmewhenIwentastray,and forhispatienceineditingmyramblings Randy’sGiantsnowhavethreeWorldSeriesrings(sincePPP2came out)andIfindthatfundamentallyunfairbutnonethelesswecontinuetoworkwelltogether.
RandyClemonswishestomakethefollowingacknowledgments:Inthefirstedition,Inotedthat“thelist ofthosetowhomoneowesintellectualdebtsistoolongtolistcomprehensively,andtryingtocomposealist ofjustthemostsignificantcontributorswouldguaranteethatmanywhodeservetobementionedwouldnot receive their due.” Since then I have come to appreciate that the list goes back farther, and is wider, than I originallyunderstood.Luckily,itcontinuestogrowinbreadth,evenasmanyoftheoldsourcescontinueto nourish me I do want to thank Mercyhurst University for my sabbatical, which made meeting our deadline possible;mycolleaguesandfriends,especiallyinthedepartment(Michael,Brian,Joe,Lena,andRolfe);and the political science majors and minors and treasured alumni who often endured first drafts of our arguments,boxes,andcasesinclass.ParticularthanksgotoEliseM.Yablonsky,myundergraduateresearch assistant for two years, who coauthored the Big-Mart case, and Juliet Hilburn, my current undergraduate researchassistantandcoauthoroftheKathmanducase Also,Imustagainnotethefamilyandfriendswhose wellofsupportIhaveparticularlydrawnfrom(theyknowwhotheyare).Mytwo“children,”JackandKatie, continuetobeasourceofjoyandpridenowthattheyareadults AndIcontinuetoowemuchtoMarkforhis friendship, but mostly for his role in a process that was for a third time “intellectually reinvigorating and rewarding, never rancorous, and frequently filled with serious insights and laughter” His students greatly benefitfromhiscreativity,workethic,andcontinuedcommitmenttointellectualgrowth.AsformyGiants, theirchampionshipsixyearsagowasthefirstinmylifetime,soIfeelnoguiltaboutthreeWorldSeriestitles in five years, especially relative to Mark, whose Angels denied me that feeling in 2002 when they beat my GiantsintheWorldSeries
This book is truly coauthored. No matter who originally wrote what, nothing is Mark’s and nothing is Randy’s,andwebelieveitisabetterbookbecauseofthat Also,webothofferourthankstothereviewersof the second edition of our book: Brian Houghton, Kenneth Kickham, and Bonnie Stabile We also want to thankourexcellentPublisheratRoutledge,LauraD H Stearns,forherstrongsupportfor,andassistancein, getting the third edition off the ground; as well as Routledge editorial assistant Brianna Ascher for her professionalismandpromptandclearresponsesthroughouttheprocess Inaddition,weparticularlywantto thanktheprofessionalismandefficiencyofourproductioneditorPeterLloyd
Finally,wewishtoonceagaindedicateourbooktoourstudents(past,present,andfuture),whoallowus to help them learn; to the best political scientist we will ever know, Dr. Richard H. (Rick) Foster; to our familiesandfriends,whoalwayssupportus;andtoLauraandLisa,whocontinue(still)tobothtolerateand (morethanever)inspireus
AccordingtoProverbs1:7–9,fearisthebeginningofknowledge,foolsdespisewisdomandinstruction,and you should listen and heed teaching for it will gain you honors and rewards We tend to agree and would ratherscareyouthanboreyou So,webeginthischapterandthebookbythrowingyourightintothepolitical firestormofdoingpublicpolicyanalysis.Goodluck!
Mini-Case:DrugAbuseandWaterville
Thiscaseistypicalofcasesadministered,aspartoftheapplicationprocess,duringcompetitionsfor publicmanagementjobsandinternshipsintheUnitedStates Suchcasesaredesignedtoevaluatehow much prospective public managers know about public policy analysis You would be given directions similartothefollowing:
Three deaths in the last year due to heroin overdoses, the recent busts by the state police of two “meth houses” in the space of one month, and the arrests of a couple of well-known Waterville High Schoolathletes,allegedlyinvolvedinthelocaldrugtrade,haveledtocallsfromcommunityleadersto combatthedrugproblem
Waterville is a community with an annual per capita personal income of $27,500 This compares withastateaverageof$32,000 Thestoryoflocalbusinessclosingshasbeenafrequentoneinrecent years, and the one major industry in Waterville left town last summer when the corporate bosses in Houston, Texas, decided to relocate the plant to Mexico This left slightly more than 400 people, who hadbeenearningabove-averagewages,unemployed ItwillalsocostWatervilleasignificantportionof cityandschooltaxmonies
Whilestateandnationalratesforbirthstounmarriedteenshavebeensteadilydecreasinginthepast decade, that is not true in Waterville Their teen birth rate and their overall divorce rate are both far aboveaverage Thereisalsoagreatdealofracialtensioninthetown,where25percentofthepopulation is Hispanic. This was exacerbated when one member of the city council proposed the creation of an ordinancetoforbidlandlordsfromrentingtoillegalaliens,forwhichhewasverballyattackedasracist. Uptonow,thesignificantconflictbetweencityofficialsandleaderswithintheHispaniccommunityhas centeredonissuessuchasuseofthecityparks;zoning;dances;andpolicepractices,hiringpolicies,and priorities.
Several members of the city council are concerned that the drug problem is an “epidemic” and are calling for a “war on drugs” Mayor Joyce Allen told the local paper that without some type of action from the city government, this problem will destroy the community and drive out more businesses A priesttoldhiscongregationthattheverysoulsofthetownanditschildrenwereontheline.
The city manager has asked you to conduct a public policy analysis to identify the potential problems, issues, and policy alternatives, and to prepare and present a recommendation to the city council Whatdoyoudo?
Unless you have conducted a public policy analysis in the past (and possibly even if you have), you undoubtedlyhaveseveralquestions Youmaybeaskingquestionssuchasthese:(1)HowdoIbestpresentthe information?(2)WhatdoIincludeintheanalysisandwhatdoIleaveout?(3)HowdoIseparatemyown feelingsfromwhatshould,orshouldnot,bedone?(4)HowdoIwritethreepagesonthissubjectbasedon onlyonepageofinformation?
Don’tpanicordoubtyourself Thisexerciseispartiallydesignedtodemonstratetoyouthatyourpolicy analysisskillsleavesomethingtobedesired,thusencouragingyoutocontinuereadingthisbook Throughout thebookyouwillbelearningandapplyinglessons,skills,andapublicpolicyanalysismethodology allof which would help you tremendously with this task. Indeed, at the end of the book, you will be offered the
Thanksforcompletingthecase Whileyourprofessormighthaveyouworkonthisasagrouptasklater,for now you need to think about, and thus be prepared to discuss, the following questions: How would you describetheprocessyouusedtorespondtoyourtask?Didyoutrytobeobjective?Didyourecognizeyour valuescomingintoplay?Doyoubelievethatitisappropriateforananalyst’spersonalvaluestoaffectpolicy recommendations?WhoinWatervillewouldyoubetryingtoplease?Whodoyouworkfor?Howshouldyou approach your job? Should you use your expertise and be “scientific,” or should you use more democratic1 means that encourage citizen participation? Should you just accept the stories of major players, or is that a mistake because individuals view and describe issues based on their own interests? What type of decisionmakingtoolsshouldyouuse?Shouldyouusenumbersand,ifso,howdoyouusethemappropriately?
The case and the discussion questions were successful in preparing you for the rest of this book if they madeyouthinkaboutissuesthatyounormallydonotthinkabout.Infact,thissimplecaseisveryimportant forsettingthestagefortherestofthebook.Andthisbook’ssubjectmatterishelpfulwhetherornotyouever holdajobformallydoingpolicyanalysis Governmentpolicydeterminesthelikelihoodofthefoodyoueat makingyousick,graduatesgettinggoodjobs,workersgettinginjuredorkilledonthejob,andhowmuchof yourpaycheckyougettokeep,aswellaswhatthatcollectedmoneyisspenton.Italsoimpactsthecostand availabilityofhealthcare,troopsbeingsenttofightoverseas,thecleanlinessoftheairandwateryoubreathe anddrink,andyoursafetywhenwalkingdowntown,flying,orincaseofapandemicornaturaldisaster The simple fact is this: from the minute you get out of bed until the minute you go back to bed, public policy affects your life. If you want to have the chance to affect it back, you need to learn to think like a policy analyst who understands politics, power, and stories If you don’t choose that route, like second-graders scramblingforthelastchairwhenthemusicstopsinagameofmusicalchairs,othersareverywillingtograb thatchair,sitinit,andmakedecisionsforyou
It is also important that we explain the “praxis” part of the book’s title, although you may already have turnedtoadictionary,Wikipedia,oryourprofessorforanexplanation Althoughtherearemoreideologically loadeddefinitionssomemaywishtoimposeontheterm,quitesimply, praxis means“theory-guidedaction,” whichmeansthataspracticinganalystswewantyoutothinkcriticallyaboutyourroleasananalystandapply whatyoulearn.Praxisrequiresbothactionandreflection.Ouruseoftheterm praxis alsoreflects,asdoesthe use of cases, our belief that we need both theory-guided practice and theory capable of guiding, and being guided by, practice Consequently, our approach is both guided by and tailored to both scholars and practitioners Our focus is both on “how to do” policy analysis and on how to ask questions and pose answersforyourconsideration aboutthenatureandmeaningofpolicyanalysisitself.Theunifyingtheme between those concerns, the way to get praxis, is to focus on “how it really works” in the so-called “real” world
Policyanalysisiscomplexandrequiresamethod,tools,andpoliticalknowledge Infact,whatwebelieve makes our book unique is that both of us believe that political knowledge is an essential aspect of policy analysis In fact to do a good job, we argue that policy analysis requires a mixed methodology As you go through the book, the meaning of the phrase “mixed methodology” will become increasingly clear Policy analysisisalsoaffectedbytheanalyst’svalues especiallyhisorherunderstandingofdemocracyandview oftheappropriateroleofgovernment.Beginningpolicyanalysisstudentsoftenmistakenlybelievethatgood analysiscanbelearnedbymemorizingsteps,justlikebakingacake:stepone,youdefinetheproblem;step two,youchoosecriteriatoevaluatesolutions;andsoforth Althoughyouwilllaterlearnafive-stepdecision model (in Chapter 6), we contend that good policy analysis is about critical thinking tied to an improved theoreticalunderstandingofdemocracy;humanrationalityandnonrationality;politics,power,andthepolicy process;aswellashowvarioustoolsareused(andmisused)
Infact,acentralelementofpraxisistheabilitytoreflectonyourengagementwithreality Wewillargue thatcentraltopraxisinthepolicyworldistheanalyst’sabilitytounderstandandanalyzestories Muchofour teaching and scholarship has revolved around what is commonly called narrative analysis. That is, trying to researchandteachthepowerofstoriesandlanguage
IntroducingNarrativeAnalysis
As you know, stories (also called narratives) have beginnings, middles, and endings They have heroes and villainsandinnocentvictims Well-toldstoriesengageusemotionallyandintellectually,makinguscareabout andidentifywithsomeoneelse’sexperience Thetellersofthestoriesstrategicallyframetheirstoriesforusin ways that expand or limit who is affected. Like a painting, the story frames a picture for us, focusing our attention on certain things, placing other things in the background, and leaving still other things completely out of the picture Some stories, like landscape paintings, move what previously had been thought of as backgroundintotheforeground,makingitthesubjectofthestorybeingtold
Thetellerofthetalechoosesthefocus,thewords,thecharacters,andtheanalogies,andtheygettoleave outsidetheframeofthenarrativethepartsofthestorytheydon’twantyoutofocuson Forexample,stories imposedifferentiatedtimeframesontotheveryundifferentiatedpassageoftime Anarrativealsopresentsa versionofthestory,usuallyasifitweretheonlypossiblestory Yetthatisrarelyifevertrue Onecansee this, and the potential power of your story carrying the day, in the following example. In the run-up to the 2008SummerOlympicsinChina,the New York Times carriedaneditorialbyNicholasKristof(April3,2008) explainingthatwhilethetensionbetweentheUnitedStatesandChinaispartiallybasedinconcreteinterest conflicts,itisrootedin“competingnarratives”thatprovideverydifferentlensesthroughwhichtoviewthe storyofTibet.FortheChinese,heargued,Tibetfitsnicelyintothelongandhumiliatingstoryofimperialism andinterference;offoreignerstryingtobreakup,weaken,andstopChinafromclaimingitsrightfulplacein theworld Yet,AmericanscategorizedthestoryofTibetaspartofthelongstruggleagainstcolonialismand anoppressivegovernmentdenyingbasichumanandpoliticalrights Thesortofpressurebroughttobearon China, by the United States and by the rest of the world, as well as China’s response, depends largely on whichnarrativeresonatesbest
In a sense, stories are like theories Consider the role of theory Theories are supposed to accurately describe what you can observe, and they are supposed to explain That is, they are supposed to help make senseoftheworld.Politicalsciencestudents,forexample,areoftentaughttheoriesaboutpowerandstructure. In essence, students are given special lenses with which to view the world These lenses often make visible things that they had not seen before Noted sociologist C Wright Mills (1959/1976) taught this with his concept of the “sociological imagination” His point is that we cannot simply look at the world objectively, butratherthatweseetheworldthroughthelenseswehavebeengiven.Thetheoriesandstoriesinourheads determinewhatquestionsweaskandwherewelook,ultimatelyaffectingwhatwesee
Another simple, but powerful example of this is exemplified by this famous cognitive psychology experimentthatyoucantryforyourself.Readthefollowingparagraph,andthenbeforereadingon,closethe bookandtrytorememberandexplainwhatyoujustread:
Theprocedureisactuallyquitesimple Firstyouarrangethingsintodifferentgroups Ofcourse,onepilemaybesufficientdependingon howmuchthereistodo Ifyouhavetogosomewhereelseduetoalackoffacilities,thatisthenextstep,otherwiseyouareprettywell set It is important not to overdo things That is, it is better to do too few things at once than too many After the procedure is completedonearrangesthematerialsintodifferentgroupsagain Thentheycanbeputintoappropriateplaces Eventuallytheywillbe usedoncemoreandthewholecyclewillthenhavetoberepeated
(BransfordandJohnson,1972,p 723)
Okay,howdidyoudo?Didyouunderstandit?Couldyourememberitandexplainittosomeoneelse?Iflike most people the answers to these questions are: not that good, not really, and no don’t feel bad This is simplyabouthowthebrainworks.Nowthough,readthenoteattheendofthechapter2 whichtellsyouwhat theparagraphisabout,thenrereadtheparagraphandseeifitmakesmoresenseandismorememorableand explainable
Politicalstoriesthen,areattemptsbystakeholderswhenthereareconflictingvaluesandinterestsatstake, to frame the issues, to direct the public’s attention, to persuade, to convince people either to care or not, to placeblame,ortodeclareaproblemasbeingsimplythewaythingsare (Theterm stakeholders simplyrefers toindividualsorgroupsthathaveaninterestinapolicyissue Laterinthechapteryouwillbeintroducedto theprocessofstakeholderanalysis)Inpoliticalstories,itisalmostguaranteedthatthestorybeingspunhasa point, sometimes a very sharp point. Sun Tzu famously said that battles are won before they are fought, by choosing the terrain on which the battle occurs; that’s exactly what political stories are attempting to do Public opinion in the United States about gun control depends on whether a proposal is “just about backgroundchecks”orifthatsameproposalisinsteadseenasbeingaboutanationalregistryandanattackon theSecondAmendment.Policyanalystshavetolistentothesestoriesandattempttounderstandthemwithin thecontextofthepolicyissuebeingdiscussed RecallthatintheWatervillecaseseveraldifferingstorieswere
beingtoldaboutthesituationanditscauses
Atenetofdemocracyisthateverybodyshouldbeallowedtotelltheirstoriesandthatseveralstoriesmay be equally valid even though they come to widely disparate conclusions. But yet, not all stories are equally valid Somestorytellersusefaultylogicandquestionableevidence,andthecritical-thinkinganalystmustbe able to use his or her “crap detector” and sort out differences in stories between those that are simply emanatingfromvalueconflictandthosethatareintentionallymanipulativeandmisleading Onereasonallof thismattersisthecentralityofconflictinthepoliticalrealm:conflictoverbothendsandmeans,commonly fueled by differing values, especially once we move beyond the general to the specific That is, while most people agree with general principles such as when the Declaration of Independence claims “All men are createdequal,”therehasbeenagreatdealofdisagreementaboutitsimplicationsandapplicability
Chapter Roadmap: In this chapter we examine the theory of “value conflict” as first elaborated by sociologistsFullerandMyers,andthenconsiderhowvalueconflictrelatestowhatpoliticalsciencetellsus about political systems Again, because a central tenet of our approach to policy analysis is that political knowledge matters, power, democracy, representative democracy, pluralism, and elitism are discussed, and insightsareprovidedintohowknowledgeofpowerandananalyst’snormativeviewofpoweraffectsapublic policyanalysis Weexplainhowtoconductastakeholderanalysisandletyoutryitoutinanothermini-case, and then conclude with our first major case study It allows you to apply most of what you learn in this chapter,andtolearnbyapplying
Theconcludingcasehelpsillustratetheprocessofpolicymakinganddemonstrateshow“valueconflict” andviewsof“powerstructures”fitintotheanalysis Incompletingthecase,you thestudentpolicyanalyst mustconfront,consider,anddecideyourroleindemocraticgovernance Ultimately,howanalystsanalyze is tied directly to how they believe policy problems are created and to their view of the proper role and locationofpoliticalpower.Adiscussionofthesetwoconceptsfollows.
Whatisapublicproblem?Thisisaquestionthateverypolicyanalystmustconfront Decidingwhatisoris not a problem is a highly subjective process For example, a medium-size community is experiencing populationgrowthatarateof3.5percentperyear.3 Anativeofthecommunitywhohasastablejobmight definethegrowthas“urbansprawl.”Toher,growthmeansincreasedtrafficandpollution;itmeansthather favoritefishingholewillbecomecongestedandpolluted,hertaxeswillincreasetopayfornewcommunity infrastructure,andthecultureofhercommunitywillchange Thisindividualwantsherlocalgovernmentto enact policies to stop or control this growth. These might include strict land-use zoning that would prohibit subdivision development and commercial development or increasing fees on utility hook-ups to discourage commercial,industrial,andresidentialin-migration
However,noteveryoneinthecommunitywillsharethisviewofthesituation Anotherindividual,perhaps alocalrealestateagent,willseethegrowthnotasaproblem,butratherasanopportunity.Heseesthegrowth ascontributingtomorebusinessforhim,bettereducationforhischildren,betterhealthcare,bettershopping, and more cultural opportunities He will not want the city government to discourage growth but instead to implement policies that will increase growth, including actively recruiting new businesses, lowering utility fees,andhavingapro-growthzoningpolicythatwillaccommodatedevelopers.
What does a policy analyst do in such a situation when some in the community subjectively view the “objective fact” of growth as a problem and others perceive progress? Does this community have a “problem,” and, if so, what policies should be implemented? Who decides if an objective fact is a problem andrequiresgovernmentpolicy?Whatifthecommunityisevenlysplitbetweenthosewhowantgrowthand thosewhowanttostopit?Whatpolicies,ifany,shouldberecommended?Theanswerstothesequestionsare notsimpleorclearandaredeterminedbytheanalyst’sviewofdemocracy,power,andgovernment
Asarule,politiciansandinterestgroupsstrategicallyportrayissuesinadualisticmanner Inthisexample, aHobson’schoicewouldlikelybeofferedbyeachofthecompetingsides.Thepro-growthproponentswould arguethat“Thecommunitymusteithergrowordie”4 Thisstatementisdesignedforconcernedcitizenswho, of course, do not want their community to die and would therefore want to continue growth policies Similarly,theanti-growthcoalitionswouldpositthat“Wemuststopthegrowthorliveinacesspooloffilth, crime,anddrugs.”Again,thishyperbolicstatementisaimedatthetypicalcitizenwhoisunlikelytowantto live in a community such as the one described by the anti-growth coalition as the consequence of further growth The analyst, however, must recognize these predictions of dire consequences as political posturing Box1-1addressesthequestionofsincerityversuspoliticalposturing.
Box1-1DoYouReallyBelieveWhatYouAreSaying?
Sometimesitishardtobelievethatourpolicyopponents,ormediasourceswithabiasdifferentfromour political leanings, really believe what they are saying And often the people making political statements areconsciouslytryingtotellapersuasivestorythattheythemselvesmaynotfullybelieve,butfrequentlythey reallydobelieveexactlywhattheyaresaying Thiscanstillbecalledpoliticalposturing,though,because(as wewilldiscussinsomedetailinthenexttwochapters)proponentsofdifferentpoliciesclearlytrytoframe the issue in politically astute ways When President Clinton signed the Family and Medical Leave Act into law in early 1993, it was against the backdrop of more than five years of hard lobbying against it by corporations and the groups that represent them (eg, the US Chamber of Commerce and the National AssociationofManufacturers) Thedirewarningstheyissuedwerethatgivingemployees12weeksofunpaid leave for serious medical problems or family emergencies would lead to reduced competition in the global market,wouldreduceproductivity,and(accordingtotheNationalFederationofSmallBusinessesandothers) wouldcostjobs Somehow,theeconomymanagedrecordexpansionanyway
Afteraverylongbattlethatplayedoutsimilarly,the2006midtermelectionsresultedinadealinlateMay 2007thatledtoabilltoincreasethefederalminimumwageby$210(inthree70-centincrementsspreading out until summer 2009). Some economists, politicians, and interest group leaders first fought and then criticized the bill, with arguments about hurting the people who need help the most, causing a rise in unemployment,andhurtingbusiness Priortothesecondeditionofthisbook,ouranalysisofpastincreases, bothatthefederallevelandinmanystatesandevensomecities,suggestedalessthandraconianoutcomethat wouldhaveapositive,ifminimal,effect.Bythewritingofthethirdedition,pressurestoraisetheminimum wageandargumentsfor“alivingwage”hadtakenholdacrossthecountryandwonmanybattlesincitiesand statesacrosstheUnitedStates
SimilartalesofhowdestructivetheAffordableCareAct(Obamacare)wouldbetotheeconomyhavenot been borne out, as the economy instead has rather steadily recovered, private sector job growth been very strong,and,accordingtothenon-partisanCongressionalBudgetOffice,theAffordableCareActhashelped reducethedeficitandrepealingitwouldincreaseitby$137billionoverthenextdecade
Source:NoamN Levey 2015 “RepealingACAIncreasesDeficit,ReportConcludes” The Spokesman-Review June20,p A-3
Itisimportanttorealizethatsuchstark,zero-sum,anddualisticchoicesdonotoftencorrespondclosely with reality. Competing interests can often find compromises, shared values, and, most important, shared intereststhatcanbeusedtocreateawin–winpolicy Perhaps,afterreadingthisbook,youwilldecidethatan appropriate role for an analyst in a democracy is to facilitate a consensus-building process or at least a process that widely seeks input and that provides the opportunity for increased collective understanding of problemsandpolicieswithgreatercollectiveacceptance.
Intheirclassicstudyofsocialproblems,FullerandMyers(1941)identifysuchdifferingdefinitionsofthe “socialfacts”asillustrativeofwhattheyterm value conflict Value conflict theory centers on objective and subjective conditions. The objective condition is an empirical fact (e.g., the community is growing in population) The subjective condition is the perceptions of the objective condition by individuals or groups withdifferentvaluesorinterests(ie,onepersonseesthegrowthasbad;anotherseesthegrowthasgood) Whendiscussingvalueconflict,onecansometimesdifferentiateinterests(tangible,direct,relatedtopower, money,etc.)fromvalues(beliefs,emotions,etc.),anditoftenseemsthattodayissuesaremorevalue-based.A county clerk who won’t issue marriage licenses to people of the same sex because of his values is different than having a direct interest such as safety or power or wealth, even though the result (discrimination and refusal to do his job and follow the law) may be the same But part of the problem is that our interests and values are often so inextricably tied up even we don’t recognize the difference and it would be hard or impossibletopullthemapart So,theclerkmighthavenotonlyafaith-basedobjection,buthisobjectionmay beintimatelytiedinwithhismembershipinachurchfromwhichhegetspowerandstatusaswellasasense ofcommunityandidentity AnotherpersonmightnotlikeGMOsbecauseheorshereallyhatesMonsantoand mostcorporations(values)butalsoheorsheisconcernedabouthisorherownhealth(interest).
Fuller and Myers argue that social problems (public problems) go through a natural history of (I) awareness, (II) policy determination, and (III) “reform” (implementation of policy) Importantly, the values andinterestsofindividualsandgroupswillconflictateachstage
ThedeathofactorRockHudsoninJune1985wasatriggeringeventthatbroughttheAIDSepidemicto theattentionoftheAmericanpeople.However,theproblemwasviewedprimarilyasoneaffectinggaysand intravenousdrugusers Bythemid-1980s,AIDSgroupshadsuccessfullyorganizedintoapoliticalforceand were putting pressure on the federal government for funding and action Finally, in 1987, President Ronald Reagan gave a speech in which he formally recognized AIDS as a major problem needing federal policy action Thediseasehadofficiallybecomeaproblemthatrequiredpolicyaction5
Problem definition occurs in a highly political environment For a problem to receive swift government attention,itmustthreatenthevaluesandinterestsofthemostpowerfulinthesociety,orasignificantlylarge numberofcitizens,orseemaseriousthreattoasmallbutfavorablyperceivedgrouportoagroupthathas traditionallyreceivedprotectionfromthegovernment.InthecaseofAIDS,thediseasethreatinitiallyseemed aimedatsomeoftheleastpowerfulandmoststigmatizedpeoplein society(drugusers, gays,andblacks especiallyHaitians) ItwasnotperceivedasathreattothemajorityofcitizensortowealthierAmericans,who havetremendousinfluenceoverpolicymakinginAmericangovernment In2014theworld’sslowresponseto theEbolaoutbreakinAfricawassimilarlycritiquedintermsofmoreeconomicallydevelopedcountriesonly caringwhentheysawtheriskofitspreadingtotheirshores
Problemdefinitionoccursinthecontextofvalues,interests,andpoliticalpower,butnotnecessarilyinthe contextofpublicinterests Thereare,however,methodsfordisenfranchisedgroupstogainpowerandhave problems that threaten their interests defined as policy problems. The means of politics include trading, compromising,rewarding,andcoercion Throughaggressivepoliticalorganizing,AIDSgroupswereableto usethelegitimacyoftheircauseandtheirgrowingpoliticalstrengthtobringtheproblemtotheattentionof the federal government Additionally, actor Rock Hudson’s collapse and tragic appearance was laid on the AIDSdoorstep.Thenumberofvictimsgrewtoepidemicproportions,andsoonAIDSbecamerecognizednot just as a “gay disease” but rather as a disease that affected “innocent” victims like Ryan White, Elizabeth Glaser, and hemophiliacs These victims personalized the threat via blood transfusions, making everyone potentiallyvulnerable
Thesethings,inadditiontopoliticalorganizing,increasedpublicandeventuallygovernmentconcern.A crucialrolewasplayedbyUS SurgeonGeneralDr C EverettKoop Koopmetwithandlistenedtodozens ofgroupsandissuedastarklyclearreportthatportrayedAIDSnotasagaydiseaseormoralissue,butasa serious public health issue potentially affecting everyone.6 In his role as an advocate, his prominence, credibility,andofficialofficegavehisproblemdefinitionimmediatelegitimacyandledtoanincreasedsense ofurgencyintermsofapublicpolicyresponsetothistragedy Underhisdirection,informationonAIDSwas mailedtoallAmericanhouseholds(afirstforhisoffice)
Stage II: Policy Determination
Just defining an objective condition as a social or public problem does not automatically lead to successful policyadoption.Instead,thevaluesandinterestsofindividualsandgroupswillcontinuetoclash.Inthecase of HIV/AIDS, the policies that were proposed by various key groups were ideas such as increased sex educationinpublicschools;educationabout,andfreedistributionof,condomsamongyoungpeople;andthe distribution of free, sterilized needles to intravenous drug users These policy suggestions caused great conflictbecausethebehaviorstheyrecognizeconflictedstronglywithviewsofacceptablebehaviorheldby powerful groups in the country, such as the religious right In addition, there was worry among other more organized and politically powerful health political action committees that funding for HIV/AIDS would diminish funding for other important health issues Out of the value-infused struggle, an HIV/AIDS policy eventuallyemergedfromaseriesofcompromisesthatwasinfluencedgreatlybyAmericanfederalism,where some states and local communities promoted condom use and provided free needles and others did not In fact,itisdifficultnearly35yearslatertodeterminetheexactnatureof“Americanpolicy”onHIV/AIDS
Stage III: Policy Implementation
Even after policies are adopted, value conflict continues in the implementation process, as well as affecting changes in awareness and continued battles over problem definition and what, if anything, to do about it Fuller and Myers stress that value conflict is a never-ending process One such conflict in the HIV/AIDS policy arena was over whether private drug companies should benefit from publicly subsidized research. Various HIV/AIDS drugs have shown success in alleviating the symptoms of the disease and slowing its progress Drug manufacturers make billions of dollars from these and future drugs that will combat the disease;yetsignificantpercentagesofthesedrugsoriginatedfromfederallyfundedresearch Itseemedunfair tomanythatdrugcompanieswouldprofitsogreatlywhenthosecompaniesdidnotinvesttheirownmoneyin theresearch
Inaddition,valueconflictovereducationalpoliciesandcondomandneedledistributioncontinues Groups continuetoorganizepoliticallyatthenational,state,andlocallevelstoresistHIV/AIDSeducation,inthefear thatsucheducationwillleadtosexualpromiscuityamongtheyoungoranacceptanceofthe“gaylifestyle.”If thesegroupsholdpoliticalpower,theycanultimatelyundomanyHIV/AIDSpolicies Ironically,thesuccess of policies can (and did) lead to reduced concern about the problem, undercutting support for such controversialpolicies
Intheequallypoliticalrealmofimplementation,valueconflictalsoplaysout.Forexample,intheUnited States implementation is never uniform because (1) the United States political system is not unified, and policyisalmostalwaysfragmentedanduneven;and(2)stateandlocalelectedofficials,administrators,and even low-level bureaucrats have considerable discretion in how policies are implemented. Accordingly, in somestatesandlocalcommunitieseducationhasbeenusedextensively,whereasinothercommunitiesithas rarely been used In some areas, education is done well and implemented wholeheartedly; in other areas, educationispoorlydoneandgrudginglyandhaltinglyimplemented Box1-2 on needle exchange programs alsodemonstrateshowdifferentstatesanddifferentgovernorscandecidetoignoreorenforcelaws,aswellas shapepolicy.Toprovidealongerlookatpolicydevelopment(whichisalong-rungame)welefttheoriginal story(Box1-2)asitappearedinthefirstedition,addedanupdateforthesecondedition,anddidsoagainfor the third edition Implementation, discretion, and fragmentation are crucial political issues that will be discussedfurtherinChapter4.
Common in many countries, states, and communities, government programs exchanging clean needles for usedoneshaveconsistentlybeendeemedavaluablewaytopreventthespreadofHIVinfection NewJersey a state with more than 9,000 orphans who lost their mothers to AIDS, 26,000 people with AIDS, the nation’s third-highest rate of intravenous HIV infection, and the nation’s highest rate of infection among women and children not only won’t pay for needles, it used undercover police and arrests of those distributing clean needles to prevent AIDS activists from violating the state ban on distributing syringes Governor Christine Todd Whitman (R) is adamantly opposed to needle giveaways, claiming they send the wrongmessagetochildrenaboutdruguse.
TheUS SurgeonGeneral,theCentersforDiseaseControlandPrevention(CDC),andmostpublichealth expertssupportsuchexchanges,citingstudiesthatshowtheyreducethespreadofHIVsignificantlyandthat providing syringes does not increase drug use or addiction David W Troast (a personal acquaintance of Whitman and a prominent businessman) was appointed by the governor to lead New Jersey’s Advisory Commission on AIDS Like Koop, he studied the problem, talked to experts, read the studies, and came to believe that a needle exchange was necessary The commission believes new HIV infections in New Jersey could be cut in half by a needle exchange program Across the border in New York and in Pennsylvania, fellowRepublicangovernorsoflargestatessupportneedleexchangeprogramsascosteffectivefortaxpayers (treatingAIDSvictimsoftentops$20,000peryear)aswellassavinglives
Thegovernorisnotalone,though AlthoughPresidentClintonwilladmitthatthespreadofHIVcanbe decreased with no increase in drug use he gave in to pressure from the “drug Czar” General Barry R McCaffreyandtheRepublicanmajorityinCongress,andagreedtoprohibitfederalmoniesfrombeingusedto payforneedles
Whitman’soppositionissostrongshefinallywrotetheNewJerseycommissionandtoldthemtomoveon to other proposals because she would not change her mind She says common sense, her experience as a mother,andherexperienceholdingchildrenbornwithproblemsstemmingfromtheirmother’sdrugusehave ledtoherbeingconvincedthattheconventionalwisdomisobviouslywrong Shehascalledthestudiesthat deny it leads to increased drug use “dubious, at best” Needle exchange proponents are largely resigned to waitinguntilhertermexpiresintheyear2001
