chapter 9 Policy evaluation

Policy analysis Policy learning

9.1 概念界定 Policy evaluation: refers to the process of finding out

about a public policy in action, the means being employed and the objectives being served.

9.2 参与政策评估的主体 Bureaucrats and politicians Non-governmental members of policy s

ubsystems Members of the public

9.3 本章的学习重点 How evaluation is conducted the problems the exercise entails the range of results to which it typically

leads Patterns of policy change to which polic

y evaluation typically leads

9.4.1 The rationalist orientation definition

Policy evaluation consists of assessing whether a public policy is achieving it stated objective and,if not, what could be done to eliminate the hurdles.

9.4.2 理性分析面临的现实困难 Goals in public policy are often not stat

ed clearly enough The possiblities for objective analysis are

also limited

9.5.1 政策评估的政治性 Evaluation is not always designed to reve

al the effects of a policy:at times conceal certain facts, feared to show the government in poor light.

Evaluations is not always designed to improve a policy: those outside the government often criticize it to gain partisan political advantage.

9.5.2 启发：政治化的政策评估 Caution against undue reliance upon form

al evaluation. To get the most out of policy evaluation, th

e limits of rationality and the political forces that shape it must clearly be recognized.

9.6 政策评估的三种类型 Administrative evaluation Judicial evaluation Political evaluation

9.6.1 Administrative evaluationmanagerial performance &budgeting systems

行政评估的主体： Government Specialist agencies Financial,legal,and political overseers Private consultants

9.6.2 行政评估的内容 Examine the efficient delivery of govern

ment services Attempt to determine whether or not

‘value for money’ is being achieved while respecting justice and democracy

9.6.3 行政评估过程引入技术分析的必要性

Administrative evaluation requires collection of precise information on program delivery and its compilation in a standardized fashion to allow comparisons of costs and outcomes over time and across policy sectors, which conducted by annual audits and bugeting system.

9.6.4 行政评估的五种类型 Effort evaluation Performance evaluation Adequacy of performance evaluation Efficiency evaluation Process evaluation

9.6.5 Effort evaluation 评估对象： The quantity of program inputs,namely, the amount o

f effort which governments put into accomplishing their goals.

评估的指标： the terms of the monetary cost 目的： to establish a baseline for data which can be used for

further evaluations of efficiency or quality of service delivery

9.6.6 Performance evaluation 评估对象： program outputs 评估目的： Simply to determine what the policy is p

roducing,regardless of the stated objectives

9.6.7 effectiveness evaluation

操作方法： comparing the performance of a given pr

ogram to its intended goals 评估目的 : To find out if The program is doing what

it is supposed to be doing

9.6.8 Efficiency evaluation 评估目的： To assess the costs of a program and judg

e if the same amount and quality of outputs could be achieved more efficiently.

9.6.9 Process evaluation 评估对象： the organizational methods, including rules a

nd operating procedure 目标： To see if the process can be streamlined and

made more efficient

9.6.10 行政评估的技术手段 1970s &1980s, Program Planning and Budg

eting system (PPBS) Zero-based Budgeting (ZBB) Management by Objectives (MBO) Policy and Expenditure management Syste

m (PEMS) Operational Performance Measurement Sy

stem (OPMS)

9.6.11 理性分析固有的限制 The prerequisites for its success are too steep

to be met in the rough-and tumble world of public policy.

Difficult to find out if a particular objective is being achieved.

Impossible to isolate and evaluate the effects of policies.

Difficult to gather reliable and usable information.

9.7.1 Judicial evaluationjudicial review and administrative discretion

评估的焦点： The manner in which government programs ar

e implemented possible conflicts between government action

s and constitutional provisons Established standards of administrative condu

ct and individual rights

9.7.2 司法评估的主体： Judiciary 启动司法评估的两种方式： On judiciary’s own initiative Been asked to do so by a individual or organization filing a case against a gover

nment agency in a court of law

9.7.3 司法评估的内容 Examining the constitutionality of the policy

being implemented Examining whether policy implementation wa

s developed and implemented in a non-capricious and non-arbitary fashion according to principles of due process and accepted administrative law

9.8.1 Political evaluationconsultations with policy subsystem and the public

政治评估的目的： Attempt to label a policy a success or fail

ure,followed by demands for continuation or change

参与政治评估的主体： Everyone with interest with politics

9.8.2 政治评估与选举 One of the most important occasions for politi

cal evaluation in democracies is at election time

Votes at elections or referendums express the voters’ informal evaluation

Public perceptions can and do affect voting behaviour, but a reality governments ignore at their electoral peril

9.8.3 政治评估最常用的方法 Consultation with other members of the rel

evant policy subsystem,by setting up administrative forums for public hearings or establishing special consultative committees and task forces

The effectiveness of this evaluation method depends on whether the views heard are congruent with those of the government

9.9 Policy learning To understand the nexus between policy

evaluation and policy change, we need to comprehend the process of learning.

9.9.1 definitions of policy learning

Peter Hall’s instrumental definition: In the realm of public policy,learning serves th

e purpose of better goal attainment by government

Hugh Heclo: Learning is less conscious activity,often occurr

ing as a government’s response to some kind of societal or environmental stimulus.

9.9.2 两种定义的区别 Whether learning occurs endogenously or exogenously: For Hall,learning is a part of the normal public polic

y process in which decision-makers attempt to understand why certain initiatives may have succeeded while other failed.

For Heclo, policy learning is seen as an activity undertaken by policy-makers largely in reaction to changes in external policy enviornment

9.9.3 Exogenous & Endogenous concepts of policy learning

Endogenous learning

Exogenous learning

Subject of learning

Small,technically specialized policy network

Large,public participative policy comunities

Object of learning

Policy setting,or policy instruments

Perception of problem,or policy goals

9.9.4 two typies of policy learning Lesson-drawing (Richard Rose) Originates within the formal policy process and affec

ts the choice of means or technique while goal achieving

Social learning (Hall) Originates outside the policy process and affects

the constraints or capacities of policy-makers to alter or chage society

9.9.5 决定经验能否被吸取的因素 Whether any lessons will be learned depend

s on policy-makers’ capacity to absorb new information:

Prior knowledge: basic skills, a shared language

Knowledge of the most recent scientific or technological developments in a given field

9.9.6 A model of policy evaluation and learning propensity

links between state and societal actors in public policy

State Administrative Capacity

high

Social learning

Lesson -drawing

high

lowFormal evaluationInformal evaluation

low

9.10 回顾整个政策周期

议程设定

政策构型

决策制定

政策执行

政策评估

1. 每个阶段都不是封闭、孤立的（ self-contained ）

2. 也不是分阶段一步一步地，各阶段之间没有清晰地界定开来，要将这些阶段看成浑然一体的周期（ cycle ）

3. 在政策评估完成之后，下一轮的政策周期又开始启动