Jean-Paul Rodrigue (2017), New York:
Routledge, 440 pages.
Policies are developed in response to the existence of a perceived
problem or an opportunity; they never exist in a vacuum. The context
is extremely important because it will shape the actions being considered.
These questions lie at the heart of the need to correctly identify
the problem or opportunity. No policy response is likely to be effective
without a clear definition of the issue. The following elements
need to be considered in defining a problem:
- Who has identified the problem? Is it widely recognized
by society as a whole or is limited in scope to a local pressure
group for example? In the case of the former there may be a greater
willingness to intervene than in the latter, depending on the political
power exerted by the pressure group.
- Do the public authorities have the interest or will to respond?
There are usually many more problems than the policy makers are
willing to address. Many issues remain unaddressed.
- Do the public authorities wish to wield the instruments necessary
to carry out a policy response? The problem may be recognized,
but public authorities may have little ability to effect change.
Such is the problem of many environmental problems that require
- What is the timescale? How pressing is the problem, and
how long would a response takes? Policy makers are notoriously prone
to attempt only short-term interventions, since their mandates are
usually of relatively short duration. Long term issues may not attract
policy makers because the results of any policy intervention may
be decades away.
In defining the problem or opportunity and to help address the questions
above, background studies are required. The state of affairs needs to
be provided which will identify the actors, the issues and the possible
means that are available. It is also important to forecast trends in
order to identify whether the issue is likely to change.
2. Policy Objectives and Options
The eventual success of a policy depends upon establishing clear
goals. If there are multiple objectives they must be consistent.
They must be flexible enough to change over time as the circumstances
evolve. In simple terms the objectives must:
- Who has identified the problem, and why should be seen
to be a problem? Many problems exist, but few are taken up because
they are not brought before a wide audience.
- Is there agreement on the problem? If there is no agreement
that a problem exists, it is unlikely that a strong policy response
will be forthcoming. Effective policies are more likely to be formulated
if there is widespread recognition of a problem and its causes.
A problem for the Kyoto Accord on global warming is that decision-makers
in the US have not been convinced that the problem is due to human-induced
carbon dioxide emissions.
- Is it an issue that can be addressed by public policy?
The price of oil is regarded by many as a problem, but individual
countries have no power to affect the price of this commodity.
- Is it too soon to develop a policy? This argument was
used by the lobby in California that opposed stricter emission controls
on vehicles in the early 1990s, based on the argument that the technology
of alternative energy for vehicles was not sufficiently advanced.
- Is the problem seen differently by groups with different
values? Environmentalists see many transport issues differently
than many other interest groups. Divergence of opinions may affect
how the problem is addressed.
- Is the problem fully understood? Do we know the causal
relationships that may be necessary to provide a solution? Transport
and development, the role of transport in climate change are issues
around which there is a debate.
- Can the relationships between the factors that make up
the problem be quantified? Problem definition is better when
it is possible to measure the scale and scope of the issues involved.
Having defined the problem and objectives, policy options
must be formulated and evaluated. In many cases more than one solution
has to be considered for policy adoption. The objectives may be realized
in many different ways. Best practices from other jurisdictions may
be considered, and all other possible solutions need to be considered.
By evaluating the options it may be possible to identify the one that
best meets the goals that have been established and at the same time
is the best fit for local circumstances. These types of evaluations
are referred to as ex ante, because the outcomes are being assessed
even before the policy is put into practice. Although one can never
completely anticipate the outcome of different prospective policy options,
ex ante evaluations are capable of bringing to light what problems may
develop when the preferred option is implemented. Thus, when the future
policy is to be evaluated (ex post), problems of data, reporting,
and identification of success criteria may have been already anticipated
and resolved through an earlier ex ante assessment.
Many types of evaluation methods are employed in both ex ante and
ex post assessments. These include cost-benefit analysis, multi-criteria
analysis, economic impact and Delphi forecasting. Because evaluation
takes place at several of the steps in the policy process, it is now
regarded as a critically important issue. New ideas involving managing
the policy process include performance based management, where
evaluation is built into the entire process. It means in the policy
process, a great deal of attention has to be paid as to how the goals,
results, and beneficiaries are to be measured. The selection of indicators
has to be agreed upon by policy managers from the inception.
The implementation of the selected option represents a critical aspect
of the policy process. The most carefully crafted policy that is widely
accepted by those it affects can flounder because of improper implementation.
It is impossible to define an optimal implementation procedure because
of the wide range of socioeconomic circumstances that policies are applied,
and also because of the diversity of policies themselves. However, a
ten step model of policy implementation can be considered:
- Identify the present conditions and situation.
- Indicate what the goals are.
- Identify the barriers to achieving the goals.
- Identify what is needed from other agencies and the private
- Determine how success will be judged and measured.
- Identify what steps are required to achieve success.
4. Policy Evaluation and Maintenance
The implementation stage is not the final step in the policy
process. The effectiveness of the policy needs to be assessed after a
certain period of time, and steps must be taken to ensure that there are
resources and means to maintain a successful policy. In the past, this
tended to be overlooked, and after a while policies would be sidetracked
by other newer initiatives. The long term effect was the presence of
many different policy initiatives frequently with conflicting goals. The result was that policies in place
frequently conflicted with each other in terms of goals or implementation
On-going program evaluation is thus central to the maintenance of
policy. This has tended to be a difficult issue for managers who today
find their programs being assessed by methods and data requirements that
were never built into the policy initially. Performance Based Management
has become an essential tool in the policy process as a result. Under this system evaluation is built into all stages of the
policy process, and indicators are agreed upon by the managers who carry
out the programs as well as the units that undertake evaluation. If
performance criteria are not met, then policy goals and objectives need
to be revised, if not abandoned altogether. This step can be
controversial since it is an indication that the policy has failed.
- Policies must not face insurmountable external constraints.
By this is meant that the policy must not exceed the jurisdictional
or constitutional limits of the agency. This is a common issue in
federal states, where different transport modes may be under different
examples include cases where the transport issue cannot be resolved
because of international borders. However, transnational agreements,
especially within the European Union, have considerably reduced external
constrains in transport policy implementation.
- In implementing the policy there must be an adequate time
frame and resources. The policy may be appropriate, but may
fail because its implementation took longer or was more
expensive than budgeted.
- The implementing agency must have adequate staff and resources
to carry out the policy. A growing problem with environmental
legislation is that the agencies do not have the means to ensure
guidelines and standards are enforced.
- The premises of policy and theory must be compatible.
At one time public ownership was seen as a valid policy alternative.
Today it may be a valid option in theory in some circumstances,
but is not politically acceptable.
- Cause and effect relationships in the policy must be
direct and uncluttered. A successful policy must be seen to be
based on clear and unambiguous relationships. Complex policies
are more likely to be misunderstood.
- Dependency relationships should be kept to a minimum.
If the agency in charge of implementing the policy has to rely on
others to it carry out, the more fragmented will become the authority.
The implementing agency will become more dependent on others with
not necessarily the same interests.
- The basic objectives of the policy need to be agreed upon
and understood. All actors in the policy process must possess
a clear understanding of the policy and what is required to carry
it out. It goes without saying that all those involved must understand
the policy and have knowledge about their roles in carrying it out.
Information and training are essential elements in the policy process.
- Tasks must be specified in an appropriate sequence. Implementation
is a process with connected steps from conception to the end. If
the steps are not carried out in the correct sequence the policy
may fail. Difficulties may arise, for example, if evaluation is
completed without the indicators of success being agreed upon beforehand,
or if another agency is involved before necessary pre-conditions
for its participation have been completed.
- Communication and coordination need to be on the same
wavelength. Those implementing the policy have to possess the same
information base, have to interpret it in the same way, and to communicate
well with each other.
- There must be compliance. Those agencies involved in
implementing the policy must work towards total compliance. Many
times policies are formulated but their compliance is lacking (see
3 and 7 above).