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SUBJECTS › GOVERNANCE › The Policy-Making Process
The Policy-Making Process

The Policy-Making Process

MRSC, September 2000

Contents

Introduction

"Democracy means government by discussion, but it is only effective if you can stop people from talking."

Clement Atlee

There is no question that effective policy-making requires lots of process. But in the end, it requires decisiveness too. While citizens and interest groups value the opportunity to participate, they also expect efficiency in the process of analyzing issues and bringing them to resolution. "Democratic efficiency" may sound like an oxymoron, but it is a worthwhile goal. Drawn out, inconclusive processes wear out participants and frustrate everyone. Such processes may make citizens less willing to participate in future community activities.

In this section, the policy-making process as exercised by individual councilmembers or commissioners is outlined and described. The main focus is to highlight practical tips that can make everyone involved more effective in managing that process, participating in it, and influencing outcomes more effectively.

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Get Issue on the Agenda

A councilmember has little or no power acting alone. If there is an issue or problem that should be addressed by your city or county, it has to be put on the public agenda. Some issues are so important that there is a consensus that something must be done. However, your issue may be in competition with others for time and attention. The support of other members of the legislative body is needed to commit time and resources to study the issue. The same is true for the chief executive. A budget is needed to carry out the studies and conduct the processes needed to bring resolution to important policy issues.

There are many catalysts for new or revised public policies. An economic calamity, such as the closing of a mill in the community, might generate a need for a new economic development policy. Technological innovations, such as networked computers and the Internet, are raising a myriad of technology policy issues for local governments today. Ecological shifts brought about by dramatic growth and development threatens Salmon species, requiring governments to respond. On some issues the community may have no choice but to act because of federal or state requirements like the Endangered Species Act and the Growth Management Act. On other issues, there may be local discretion to address them or not. These policy issues will need the consent and support of other elected officials to place them on the local agenda.

The policy-maker must be prepared to explain why action is necessary and why this issue is more important than other issues that compete for time, attention, and resources. What is the problem that needs to be solved? What are the implications of not acting? What is at stake? Why is government involvement or action required? Can someone else, such as a non-profit entity, address this problem?

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Document Existing Conditions

Issues become part of the public agenda when there is a shared perception that a problem must be solved, an issue resolved, or an opportunity realized. Explain the problem and recognize that everyone does not share the same definition of problem.

Existing conditions provide a reference point against which possible actions are compared. The task of documenting existing conditions will probably be assigned to staff. Councilmembers must recognize that resources need to be budgeted for these staff activities.

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Define Goals and Objectives

Policy action requires public support, or at a minimum, a working majority of the legislative body. The development of goals is an important part of the search for agreement. Conceptually, the idea is to move from the more general to the specific: first reaching agreement on broad principles before getting to specific means.

Goals are qualitative in nature, for example:

  • Create a community where people can live, work, and play in an environment that is safe, vibrant, and aesthetically pleasing.

  • Preserve greenbelts and natural areas.

  • Provide for the efficient and safe movement of people and goods.

Objectives are quantitative, providing yardsticks to measure goal achievement. Some examples are:

  • Create 1,500 new affordable housing units by the year 2005.

  • Acquire outright or purchase the development rights to preserve 1,000 acres of greenbelts by the year 2005.

  • Improve intersections in the downtown so they function no worse than Level of Service E, at or near the capacity of the roadway, during morning and afternoon peak hours.

Goal development can be a time-consuming process that requires the full attention of the governing board. All members should participate. There will need to be give and take among the participants. Goals should reflect what the governing board wants to accomplish. Avoid getting too detailed. Let staff figure out how to achieve goals. Organizations cannot do everything at once. Setting goals helps prioritize where time, energy, and resources go.

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Generate Alternatives

What options are there for attaining the policy-making body's goals? It is important to consider a range of reasonable alternatives. If alternatives favored by an influential interest group are excluded, it will be very difficult to reach a decision that has strong support.

  • Do not prematurely lock into one choice. That will impede your ability to build a consensus and to bring other interests over to your position.

  • Be respectful of costs to government. All levels of government are expected to do more with less. This is especially true for local government. Are there low or no cost solutions? Think creatively.

  • Be mindful of ongoing costs. These have to be budgeted. For example, if the city spends money to purchase land and develop a park, it also needs to pay for ongoing maintenance.

  • Think of what it will take to implement your solution, including administrative costs. Policy that cannot be implemented is ineffective. The more complex a solution, the more likely it is to meet with resistance.

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Identify Key Interest Groups

This is an important step in defining criteria for evaluating alternatives. Who else cares about this issue? How will they be impacted? Will they be positively or negatively affected by various solutions? Which interest groups are logical allies? Who is likely to oppose the action(s)?

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Evaluate Alternatives

This task will likely fall mainly to staff, and will often be addressed through formal process requirements such as the preparation of environmental impact statements. Some key considerations are:

  • Address the costs and consequences of doing nothing.

  • Recognize that there are tradeoffs and costs to others. Anticipate criteria that are important to others. You lose credibility if they are ignored. The same weight does not have to be placed on other interests' criteria, but the real impacts cannot be ignored. In many cases, there are legal requirements to address the impacts.

  • Test the sensitivity of assumptions. How would the findings and conclusions change if the assumptions were modified?

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Decide

Even if everything is done right, some decisions are hard because they address a difficult issue. A few points to review are:

  • Recognize constraints, such as budgets, laws, and authority. Balance dreams with the reality of what needs to be changed. Small changes can have major impacts through time.

  • Recognize that there are often more than two positions on an issue. This makes it difficult to get a majority, much less a consensus.

  • Think about how alternatives might be combined into "win-win" solutions that address needs of multiple parties.

  • Treat all parties with respect. Remember that even if you do not win this one, long-term relationships count.

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Implement and Monitor

Even if you have done a great job in involving all the parties, analyzing alternatives, and achieving consensus, the process is not complete. Too many well-intentioned plans sit on a shelf and collect dust. Make sure that implementation responsibilities are clearly assigned.

Policies often have unintended consequences. Monitor the implementation of policies and revise them as necessary. It is better to discover (sooner than later) that the assumptions were not correct so that early corrective action can be taken. Unintended consequences can create bigger problems down the road. Consider sunset ordinances that require formal policy review after a set time period, especially if the council embarks on an untried innovative policy direction.