Policy Paradox Stone (2002)
description
Transcript of Policy Paradox Stone (2002)
Policy ParadoxStone (2002)
Chapter 12: Rules
John HanceAmy Hager
Haichang XinIfe Nelson
Outline Sources of Rules Function of Rules How a Rule Works Political Nature of Rules What Comprises a Good Rule Perverse Incentives Enforceability of Rules Informal vs. Formal Rules
RULES
Policy-making relies heavily on official rules
Laws = Rules
Sources of Rules
Examples of Society’s Many Rules Rules by Legislative bodies: Statutory
Law Rules by Administrative bodies:
Regulations Rules by Courts: Common Law Rules outlined by the United States
Constitution
Function of Rules Some rules
mandate behavior
Function of Rules Some rules confer
power (i.e. President of the United States is Commander in Chief)
How a Rule Works Rules are intended
to induce compliance
Rules derive their enormous power from legitimacy- in that they are perceived as good and right (why do people obey the speed limit in a school zone?)
How a Rule Works
Rules generally have 2 parts:
1) They prescribe certain actions to be taken
2) Within certain contexts or situations
How a Rule Works1) Prescribe actions to
be taken Formulated as
“if…….then” statementsi.e. IF you hunt
deer THEN you can only do it between the months of October and January.
IF you beat the best team to ever play college basketball, THEN you CANNOT rush the court or your school will be fined $25,000
How a Rule Works2) Within certain
contexts or situations Context (rules depend on
context) Kissing a child is a loving expression when performed by the child’s parents, but kissing a child is molestation when performed by a stranger.
The Gators will only rush a court or field after winning the NATIONAL TITLE
The Political Nature of Rules
Rules INCLUDE and EXCLUDE Rules UNITE and DIVIDE
i.e. Those treated favorably by a rule and those NOT treated favorably by a rule
Thus, rules create alliances
In Search of Good Rules
The tension between precision and flexibility
The essence of precision is that both actions and contexts can be described without ambiguity
Advantages of Precision (Precise Rules)
With precision the argument is that like cases will be treated alike (Consistency is Fair)
Precise rules are said to insulate people from the whims, prejudices, predilections and moods of officials
Precise rules provide predictability Symbolize the Rule of Law
Disadvantages of Precision (Precise Rules)
Rules cannot be perfectly tailored to individual circumstances
Precise rules stifle creative responses to new situations (we can never fully anticipate future circumstances- making it difficult to form rules or laws that account for new facts, technologies and context)
In Search of Good Rules
Must select some feature of a rule as a basis (a process of line-drawing)
Vague Rules are GOOD and BAD The vagueness of rules leads to a
large amount of discretion
Making Rules in the Polis
People try to shape rules to accomplish public and private purposes
There is a tension between precision and vagueness
Making Rules in the Polis When rules are made, they are usually
driven toward vagueness Rules arise from crises or problems
Social Security Act (Great Depression) Food and Drug Administration (Upton Sinclair’s
expose and thalidomide disaster) Civil Rights Legislation (marches,
demonstrations, and urban riots) US Constitution (Colonial Rebellion and the need
for order after loss of government) Declaration of Independence (“injuries and
usurpations” of the King)
The Origin of Rules Crises affect points of view
Create a mentality of absolute prevention (“that kind of tragedy” must never happen again)
Unites communities Makes people temporarily forget about
other conflicts Leads to a desire for wholesale solutions
(“fix the problem”) and politicians follow with vague, grandiose responses
Democracy and Legislators Formal rules are negotiated in elected
legislative bodies by representatives of affected interests
These bodies have characteristics that lead to vague legislation Legislator desire for reelection Must face conflicts with opposing constituency,
and within own constituency When there is a need for substantive rules,
ambiguity is often used
Rules and Tension
There is always some pressure on rules from evasion and disobedience Stems from the idea that rules are made
to prevent people from doing things they would otherwise do (or vice versa)
Interplay between those they govern and those who enforce them From this, perverse incentives arise
Perverse Incentives Incentives unwittingly built into a rule to
comply with it in a way that creates new problems or exacerbates the existing problem Textile factories given production targets in
terms of meters of cloth Medicare payments on basis of average
durations and Tx’s for categories of diseases Hospital’s respond by reporting some
patients as having more severe types of diseases, or discharge when patients are not ready to leave
Perverse Incentive in Practice
Rules and Different Dimensions Where there are multiple goals or we
care about several dimensions, rules governing only one dimension may distort behavior by forcing behavior in a separate dimension State that restricts drinking to age 21
might force younger people to go to more lenient states
Strong minimum wage laws might push businesses elsewhere to alleviate the stress of the imposed rule
Negative Aspects of Rules
Perverse Incentives will never be eliminated
Perverse Incentives are the result of poorly designed rules to some extent, but at the same time, people will always shirk and cut corners
Rules Are Evolving
Rules are continually changing depending on the relevant facts, values and norms
The Enforceability of Rules
Enforceability of Rules
The Enforceability of Rules
Official rules are backed by sanctions such as fines, revocation of privileges or imprisonment
Informal vs. Formal Rules
Formal Rules
A formal rule is concrete, specific and enforceable You may not purchase tobacco products
unless you are 18 years of age
Informal Rules
Informal rules are not explicitly enforced and they generally represent implied social norms (Hance et. al)
Informal rules are heuristics or rules of thumb Covering your mouth when you cough Chewing with your mouth closed
Rules
Questions?