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ASSIGNMENT SOLUTIONS GUIDE (2014-2015)

M.P.A.-15 Public Policy and Analysis Disclaimer/Special Note: These are just the sample of the Answers/Solutions to some of the Questions given in the Assignments. These Sample Answers/Solutions are prepared by Private Teacher/Tutors/Auhtors for the help and Guidance of the student to get an idea of how he/she can answer the Questions of the Assignments. We do not claim 100% Accuracy of these sample Answers as these are based on the knowledge and cabability of Private Teacher/Tutor. Sample answers may be seen as the Guide/Help Book for the reference to prepare the answers of the Question given in the assignment. As these solutions and answers are prepared by the private teacher/tutor so the chances of error or mistake cannot be denied. Any Omission or Error is highly regretted though every care has been taken while preparing these Sample Answers/ Solutions. Please consult your own Teacher/Tutor before you prepare a Particular Answer & for uptodate and exact information, data and solution. Student should must read and refer the official study material provided by the university. SECTION – I Q. 1. Examine the various stages of Policy Cycle. Ans. Policy analysis is “determining which of various alternative policies will most achieve a given set of goals in light of the relations between the policies and the goals”. However, policy analysis can be divided into two major fields. Analysis of policy is analytical and descriptive–i.e., it attempts to explain policies and their development. Analysis for policy is prescriptive-i.e., it is involved with formulating policies and proposals (e.g., to improve social welfare). The area of interest and the purpose of analysis determines what type of analysis is conducted. A combination of policy analysis together with programme evaluation would be defined as policy studies. The six steps to policy analysis includes: 1. Verify, define and detail the problem ● State the problem meaningfully ● Determine the magnitude and extent of the problem ● Continually re-define the problem in light of what is possible ● Eliminate irrelevant material ● Question the accepted thinking about the problem ● Question initial formulations of the problem ● Say it with data ● Locate similar policy analyses ● Locate relevant sources of data ● Eliminate ambiguity ● Clarify objectives ● Resolve conflicting goals ● Focus on the central, critical factors ● Is it important? Is it unusual? Can it be solved? ● Identify who is concerned, and why? ● What power do concerned parties have? ● Make a quick estimate of resources required to deal with the problem. 2. Establish evaluation criteria ● What are the important policy goals, and how will they be measured? ● Identify criteria central to the problem and relevant to the stakeholders. ● Clarify goals, values and objectives ● Identify desirable and undesirable outcomes ● Is there a rank order of importance among the criteria? What will be the rules for comparing alternatives? ● Administrative ease ● Costs and benefits

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Effectiveness Equity ● Legality ● Political acceptability 3. Identify alternative policies ● Consider a wide range of options ● Consider the status quo, or no-action alternative ● Consult with experts ● Brainstorming, delphi, scenario writing ● Redefine the problem if necessary 4. Assess alternative policies ● Select appropriate methods and apply them correctly ● Estimate expected outcomes, effects, and impacts of each policy alternative ● Do the predicted outcomes meet the desired goals? ● Can some alternatives be quickly discarded? Continue in-depth analysis of alternatives that make the first cut. 5. Display and distinguish among alternatives ● Choose a format for display ● Show strengths and weaknesses of each alternative ● Describe the best and worst case scenario for each alternative ● Use matrices, reports, lists, charts, scenarios, arguments 6. Implement, monitor, and evaluate the policy ● Draw up a plan for implementation ● Design monitoring system ● Suggest design for policy evaluation ● Was the policy properly implemented? ● Did the policy have the intended effect(s)? Q. 2. Define Inter-Governmental Relations and discuss its role in Policy-making. Ans. Inter-Governmental Relations: The concept or the phrase Inter-Governmental Relations (IGR) has entered the orbit of common political discourse. The scholars and the policy-makers suggest the need to the origin and characteristics of IGR. IGR have been defined as “an important body of activities or interactions occurring between government units of all types and levels with in a system”, this is according to Anderson but now IGR can be defined as the relationship between different organs that involves the relationship between officials, non-officials, citizens and members from civil society. While making a policy, it is not possible to isolate it from the effect and impact of the government agencies. Therefore, it is necessary to take the help of officials and the non-officials, mentioned above while formulating the policies. To achieve the desired goal while making the policies and implementing them in an effective and efficient manner, the Union government have to take the help of the state and the local government without which the desired goals cannot be achieved effectively. While formulating the policies, inter-governmental support is an essential element which can be political guidance, administrative control or financial support, etc. the Union and the State Government needs the support and cooperation of the local government while formulating the policies. To sum up, we conclude that while formulating policies, the union, State and the local Government needs each other support and for this have to interact with each other. Some emergency issues also require prompt and ready response from the Central or the State Governments for tackling them. Example of such a case is the recently raised water crisis issue. In this issue, the inter-governmental support at all levels was required and was proved that IGR’s focus on the significant aspects of the public policy. Another example in this regard is the epidemic caused in one state which do not get limited by the boundaries and in such cases IGRs are involved for supporting each other. Other such issues include natural disasters like cyclones, floods, etc. Some of the characteristics of IGR’s in India include the following: ● They have a bearing on all governmental units in operation, that is, the Union Government, State Government and local government units. All of them are involved in integral policy-making through effective IGRs. ● They aim at purposeful behaviour of the government involved in the policy process at different levels. ● ●

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They aim at regular interaction among public officials, including ministers, legislators, etc. these functionaries, through frequent interactions based on objective data and analysis, can contribute to the attainment of targets for the given unit of governance. ● Interaction amongst all the government actors and officials contributes to improvement of the policy process. ● Financial aspects, like loans, grants-in-aid, revenue sharing, auditing, etc. also strengthen or weaken the intergovernment relations. Financial assistance and help from the upper units to the lower ones is also a step in this direction and an important component of IGRs. ● The planning process (five-year plans and annual plans, with innumerable central schemes and matching aid) is a unique feature of the Indian polity and has considerable influence on the IGRs. Dell S. Wright (1982), while analyzing the policy context of IGRs, brings into focus the following significant traits: ● Inter-governmental actors may be unclear or uncertain about the role they are expected to play. ● Policy purposes and expectations in one plane or jurisdiction of government may be drastically different from the purposes and expectations in another case. ● Boundary or jurisdiction-spanning efforts require extra resources and special strategies, but neither strategies nor resources are real guarantors of success. ● Successful policy-making and execution in IGRs are very difficult to measure. ● Policy-making IGRs has few beginning and ending points, but more continuous knitting and unraveling points. ● Even doubt and distrust, suspicion and hostility are also common in IGRs. Therefore, we conclude that IGR is required at all the levels to meet the desired objectives and for this there is a need for basic and clear understanding between the political leaders and administrators at various levels. For this, the roles of the agencies and the officials should be defined and clarified properly by the policy makers so that the activities can be carried out in an effective and efficient manner. The inter-governmental agencies play a very important role in policy-making. Different levels of the legislature, different ministries and agencies are involved in the process of policy-making. Some of these agencies include the Planning Commission, the National Development Council, the Finance Commission, etc. In context of Inter Governmental Relations (IGRs), these agencies play a crucial role in the formulation of policies. Planning Commission and the National Development Council (NDC). Both the agencies i.e. Planning Commission and the National Development Council (NDC) played an important role in promoting regular and useful centre-state consultation and coordination on sectored issues. The role of the Planning Commission is as follows: ● Advising both the central and the state government on the priorities. ● Advising on the strategies and size of the plan(s). ● Advising on the mobilization and allocation of resources. ● Performing the role by maintaining a close liaison and interaction with the union ministries and with the government of the states. ● While formulating plans take care of the data provided by the committees of the state and the district level. The role of National Development Council (NDC) is as follows: ● Interacting between the Planning Commission, the Union Government and the states in the process of finalization of the plan. ● In strengthening the inter-governmental relations. Finance Commission: The Finance Commission also plays a crucial role in the process of making policies. Some of its roles are as follows: ● Recommending to the President of India the net proceeds of the taxes to be distributed between the centre and the states. ● Suggesting the principles, which govern grant-in-aid to the states out of the Consolidated fund of India. ● Focusing on the revenue gaps and the financial requirements of the states. Q. 3. Examine the role of Civil Society Organizations in policy-making. Ans. Till now, we have studied the role of IGRs, Planning Commission, National Development Council, Prime Minister’s Office and Cabinet Secretariat in the process of making policies. But another important element in the process of making policies is the Civil Society without which the system is incomplete. This is because the society group work for the welfare and sustenance if the interests of marginalized strata of society. ●

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India’s civil society emerged during the national movement itself. Some liberal protections like freedom of speech, assembly, etc. are provided by the Constitution which helps in shaping the civil society. Other legal provisions include reservation for Scheduled Castes and Scheduled Tribes in about one-fifth of the parliamentary constituencies. Over the years, in policy-making process the role of the civil society has increased substantially. To make better policies, it is essential to strengthen the relations with citizens. This in turn acts as a core element of good governance. Government benefits from it by tapping new sources of policy-relevant ideas, information and resources when making decisions. Also other benefits include building public trust in government and raising the quality of democracy and strengthening of civil capacity. The role of Civil Society Organization (CSOs) is mentioned in the Tenth Five-Year Plan. Some of these organizations are actively involved in the economic and social development and includes the organizations like voluntary organizations, corporate bodies, cooperatives and trusts. The skills of these organizations and their closeness with people play a significant role in the policy making process. We will focus on the role and functions of CSOs in the policy-making and in planning. Also we will study the constraints which affect the development of government-civil society relationship. Another important aspect that is covered in this chapter is to analyse the strengths and weaknesses of the civil society organizations and suggest the methods of improving their functioning in the process of making policies. In India, a number of civil society organizations and voluntary groups are working towards political and social welfare. Some religious groups and social reform movements includes Brahmo Samaj, Arya Samaj, Rama Krishna Mission, etc. One such NGO is Child Aid Foundation which aims to provide comprehensive aid and care to poor and needy children to enable them to pursue and complete their educations to as high a level as they desire and are capable of achieving. Details of the NGO is as follows: Mission/Vision: To provide comprehensive aid and care to poor and needy children to enable them to pursue and complete their educations to as high a level as they desire and are capable of achieving. Background: The Founder of CAF, Dr. A. Goswami, came to India in the 1980s on a personal tour. During his extensive travel throughout the country, he repeatedly encountered many needy children. He was moved by their plight and started CAF. Dr. A. Goswami was born, raised, and educated in the U.S.A. He came to India in the 1980’s on personal research work. During his extensive travels, he was moved by the plight of very poor and needy children, and was inspired to help them. This motivated him to acquire Indian citizenship and start Child Aid Foundation. Achievements: Number of children provided food, clothing, shelter, medical care shelter and medical care: 45Number of children provided education: 375 SECTION – II Q. 4. Briefly analyse the different approaches to policy monitoring. Ans. Approaches to Policy Monitoring In order to secure the effective monitoring of policy implementation, different types of models and approaches have been designed. The performance of these models differs from one another. Let us now study some of the approaches to policy monitoring. Managerial Approaches: The managerial approaches play a vital role in the implementation of public policies. The public sector managers are adopting the style of private sector managers which is more business like: (i) CPM and PERT: The two approaches i.e. CPM or Critical Path Method and PERT or Programme Evaluation and Review Technique follow the idea of managing large scale policy programmes. The two approaches are based on the planning of a particular programme and allocating people and both these approaches have proved to be successful. Both the approaches work by controlling the network of activities and events which compose different stages of policy implementation. In CPM, the critical activities are defined and a network is drawn to show the starting period of the policy programme whereas in PERT, the graphic estimation of the resources necessary for policy execution is determined and is based upon the three types of calculations of uncertainty i.e. ● The most probable duration ● The shortest forecast of duration ● The longest forecast of duration The PERT approach is used in the cases where there is high level of uncertainty. Therefore, in this way the two

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approaches i.e. PERT and CPM helps in monitoring and controlling the policy programmes. (ii) PPBS: PPBS or Planning Programming Budgeting System is another technique or approach used in the analysis of policy programmes. This approach is based upon clearing the goals, outputs and values in the budgetary process in creating a system of analysis and review in which the cost and benefits of a programme is calculated over several years. This approach locates the decisions about pasts of the budget in relation to whole of governments spending strategy. The aims of PPBS approach are as follows: ● Establishing goals and strategies ● Analysing their costs and benefits ● Focusing on the objectives to be achieved, and ● Monitoring through an ongoing review of results But it is argued that this approach as a failure and could not live upto its promise. (iii) Activity Bar Chart: Activity Bar Chart is an approach used for monitoring the technical performance of a policy. This approach helps in monitoring the policy performances by projecting the expectations for policy results. In this approach each technical activity is planned by time and deliverables and also shows the dates by which deliverables should be completed. Systems Approach: Monitoring is an important step in the policy implementation step and aims to ensure the best utilization of resources to produce highest quality of policy inputs. Structuring in a proper way is an essential element of effective monitoring which involves structuring of the organization and of the policy programmes. The structuring of the programme refers to the implementation gaps or something that needs to be analysed in context of the system. The systems approach stresses on the cooperation and coordination within the policy programmes and focusing on the importance of teamwork for effective monitoring. Both monitoring and effective implementation is dependent upon the elements like formulation of a strategy and analysis of what has happened in terms of what should have happened. Formative Approach: In this approach, a schedule is followed in monitoring which works towards the success of a policy programme at the time of its implementation. The approach also includes the conditions required for the successful implementation of the programme. Therefore, formative evaluation is done in the implementation stage in which a programme is administered or managed to provide the feedback in order to improve the implementation process. According to this approach, monitoring involves techniques for the evaluation of the programme and the process by which programme is being managed or delivered. Thus this approach is utilized in correcting or improving the policy delivery process more effectively. Performance Measurement Approach: To know about the effectiveness and efficiency of policy delivery, Performance Measurement Approach is used. In this approach, Performance Indicators (PIs) are watched and the earliest available signs of any deviation from the desired results or performance are detected. PIs can be developed and then used in this approach. The measurement of PIs has the following advantages: ● Determine the progress in moving towards goals ● Identifying the problem ● Contributing towards improving the personnel management. To sum up, we can say that PIs help in improving the capacity of the bureaucracy to control organizations and people. Monitoring and Control Compliance: For the effective delivery of the public policy, monitoring is essential. Therefore, a good policy must have an effective means of enforcement. According to Hood, the four modes of administration enforcement and their effectiveness are as follows: ● Set aside/modify rules (government may choose either to set the rules aside or to modify the rules). ● Spread the word (government may choose to use publicity and persuasion). ● Pursue and punish rule violators (government choose to use legal and police action). ● Make it difficult and impossible to break rules (in this case the enforcement method involves making the grass physically difficult or inconvenient to get at in the first place). On the other hand, Etzioni believes in three kinds of power that provides a link between the enforcement of public policy and the problems of compliance within the organizations responsible for implementing it. According to him, the three reasons that compel people in the organizations to comply with the rules, orders, discipline or policies are: ● Firstly, people do so out of a sense of agreement, love or morality. ● Secondly, they do so because of fear. ● They may do so because it is in their monetary or remunerative interest. Enforcement may, therefore, be the

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consequence of: (i) Normative (Normal) (ii) Coercive (Alienative), or (iii) Remunerative (calculative) power. Q. 5. Examine the problem areas in policy evaluation. Ans. Problems in Policy Evaluation: There are number of problems, challenges and dilemmas in the process of policy evaluation and is neglected field. Many authors have worked to study the problems in policy evaluation. Some are as follows: (i) Goal Specification: The goals are vaguely defined, and the evaluation is linked with goal identification. Problems like policy specifies not spell out and are not provided with adequate budgetary support. Another problem is the diversion of funds or non-release of funds. Even if the goals are clearly expressed, they might not be practical and are only intended to serve the purpose of propaganda and political mobilization. (ii) Measurement: Measurement of the results or the outputs is a difficult exercise as the absence of any ready means of judgement of values limits the efficiency and effectiveness of the government. The time span is another problem in measurement. Another problem in the measurement is the problem of administrative organization, skill and competence of the personnel. Another reason is the temptation to inflate or cook update that tends to defeat the very purpose of objective measurement. (iii) Targets: The achievement of target leads to the fulfilment of goals and the most important is to know not only what you intend to do but also to whom you intend to do it. In India, a number of schemes have been developed for rural areas, women and child welfare, poverty alleviation, housing, etc. but all the schemes have not made much impact on the target group. When an evaluation is made on such policies, in indicates the fulfillment of targets. Some other groups gets benefited from these programmes and the programmes indicate a false success which is misleading. (iv) Efficiency and Effectiveness: It is difficult to assign the cost to a particular result and similarly it is difficult to measure effectiveness and also to evaluate efficiency as it is linked with the fulfilment of legal requirements. It is the efficiency which is projected and measured rather than the services produced. (v) Values and Evaluation: The policy evaluators differ from each other in values and perceptions which makes the evaluation of the programme difficult. The value system of individual evaluator leaves an effect over the final evaluation of outcomes. Also the organizations who guides the individual have their own collective values to guide them in evaluating outcomes. Apart from these problems, the analysts also have a number of other common problems. (vi) Information and Data: The evaluation process requires an accurate, comprehensive and comparable data which is not an easy task as it requires a lot of time, skill, energy, resources, etc. it becomes difficult for the evaluation agencies to extract accurate information due to the problems like non-availability of records or data which in turn act as a constraint to the process of policy evaluation. (vii) Methodological Problems: Some problems in evaluation of policies occur due to the techniques and the methods used for the process. Then comes the role of policy analysts or agencies who play a crucial role by utilizing their skills and capabilities. But apart from this, the methodology used and the accuracy achieved is always a doubtful area. (viii) Problem of Resources: Shortages of resources like human, financial and infrastructural is another problematic area in the evaluation process. The investment in the resources is on haphazard basis and is not clear within the government or within the universities and the research institutions in India. (ix) The Optimizing Dilemma: The process of policy optimization requires the achievement or optimization or maximization of the policy goal under all the conditions, but the society such emphasized more on the predictive findings and on the relationship between the policies and goals. (x) The Unforeseen Consequences Dilemma: While evaluating the policies, the evaluator faces some unforeseen consequences in which they go by the data and the methodology adopted. In such cases the evaluation reports do not reflect realities because of the absence of contingency models. (xi) The Equity Dilemma: The policy evaluators do not reach a solution that is both efficient and equitable in the process of evaluation. The Equity Dilemma is related to the frequent conflicts in policy evaluation between policy goals of equity and efficiency. (xii) The Partisan Dilemma: Another problem in the process of evaluation is the Partisan approach. The government employees who are involved in the process of evaluation concentrate more on what their political masters want rather then doing their job impartially. In countries like India, the ‘Yes Minister’ syndrome is the one that rules the roost. We have studied above some of the common problems that occur in the process of policy evaluation which varies

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from country to country and is dependent upon the political system, the party system, media, economic development, availability of resources, etc. the factors that are required to make the policy evaluation effective includes: ● Political will ● Support of administrative agencies ● Involvement of universities ● Research organizations ● Adequate resources availability ● Training to evaluation personnel ● Efficient and effective information system ● Access to communication technologies ● Coordination and sincere efforts, etc. ■■

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