Identification of Factors Influential in
Identification of Factors Influential in
8; 2013
ISSN 1913-9063 E-ISSN 1913-9071
Published by Canadian Center of Science and Education
Received: June 2, 2013 Accepted: July 17, 2013 Online Published: July 24, 2013
doi:10.5539/jsd.v6n8p118 URL: http://dx.doi.org/10.5539/jsd.v6n8p118
Abstract
Modeling is a modern concept that enables the audience to analyze and understand components. Policy making
models can describe complexity of what happening in real world in a simple and conceivable form. These
models are considered as tools for clarifying thinking about policies and each one examines this issue with a
special approach and from a specific point of view. In this article, it is attempted to present the most prominent
policy making models collected by library study method, their effective factors are identified and the combined
model of policy making in Iran is obtained based on relationships between these factors by interpretive structural
modeling method using views of the experts. The results illustrates that the Cost-benefit analysis, political
currents in society, previous decisions and social influence and power are the most influential factors in policy
making.
Keywords: policy making, policy-making models, combined model, interpretive structural modeling
1. Introduction
No decision maker makes decision in vacuum. A decision usually appears through a complex environment in
which many factors are involved. As Donald K. Hansen states: “decision makers (especially at national level) are
in a very complex environment that encounters many obstacles including international law, various regulations,
institutions and ideologies. Even if these factors are not considered so much as obstacles, a policy maker
encounters issues like bureaucracy, influential figures, media, parliament and cognitive limitations”. David
Brooks states: “a policy maker has general goals in mind but unknown path ahead in which everything is
obscure” (Edwards, 1996). Determination of priorities and distinguishing between optimal and satisfactory
results is sometimes very challenging and how it must be addressed varies with each particular case.
Modeling is a modern word that enables audience to analyze and understand components. Policy making models
can describe complexity of what happening in real world in a simple and conceivable form. These models are
considered tools for clarifying thinking about policies and each one examines this issue from a specific point of
view (Boer et al., 2011). These models also can be effective in identification of the following factors:
identification of the most important aspects of policies, concentrating on obvious characteristics of political
thought, drawing a distinction between important and unimportant events in policy making process, describing
policies and predicting their results (Cockrel, 2002). Some of these models have rationalism approach (from
totally rational to combined models) and others follow realism approach (Gholipour, 2008), that in fact indicates
attitude and logic of decision makers.
As mentioned earlier, each proposed model addresses policy making concept from a specific aspect and
particular point of view. In order to make these models more applicable in general policy makings of country,
this articles tries to review the most important models proposed in policy making area, identify the most
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important factors constittuting these moodels, and obtaain a combined model for poolicy making iin Islamic Republic
Regime.
2. Policy M
Making Modeels
In a generral categorizattion, models pproposed in poolicy making aarea can be caategorized in ttwo general grroups
based on ““decision makiing manner” aand based on “tthe decision m
maker”. First, m
models based oon decision ma aking
manner aree addressed:
2.1 Modelss Based on Deecision Makingg Manner
2.1.1 Process Model
One of thee most appliedd models in ggeneral (publicc) policy makiings is process model. Thiss model focuse es on
detection oof pattern of acctivities or proocesses and inccludes the folloowing steps: prroblem determ
mination, presenting
various soolutions, legitiimizing a soluution, implemeentation, evaluuation. Proponnents of this m model believee that
researcherrs should focuus on strategy making proceess instead off nature of strrategies. This idea helps us find
manner off decision makking and strateegy making (C Clift, 2003; Raabiee & Givriaan, 2005; Alvaani & Sharif za adeh,
2008).
Process m
model was exteended by Osim mo (2011) in foorm of three looops: policy m making processs model was in the
middle looop, tasks to be done in each step were in thhe middle loopp and finally, tools that shouuld be used in each
step were iin the outer looop.
In a range from rationaliism to realism,, Rational Moddel to Gradual Changes Moddel can be conssidered:
2.1.2 Ratioonal Model
In this moodel proposed in rationalism
m approach, thee aim of speciifying strategies is to maxim mize social ben
nefit.
Therefore,, governments should choosse strategies w whose benefits are more thann their costs. TThis model hass two
main guideelines: first, am
mong various strategies, straategies whose costs are moree than benefitss should be avo
oided
and secondd, decision maakers should cchoose those sttrategies that hhave most bennefit comparedd to costs (Sabatier,
2007; Bouulanger, 2005; Rabiee & Givrrian, 2005; Alvvani & Sharif zadeh, 2008).
2.1.3 Satissfactory Modell
The aim of this model iss to find a satissfactory solutioon in current cconditions rathher than the besst way. Limita
ations
of sourcess, time and infformation andd insight of m manager and deecision maker often leave nno other choice for
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decision m
making in this model. In thiss model, sufficciently-good soolutions are prreferred to maaximizing good
dness
(Howlett eet al., 2009).
2.1.4 Graddual Changes Model
M
This modeel considers puublic (general) strategy as coontinuance of pprevious activiities of governnment with min
nimal
modification. It assumess that decision makers do nott examine all ccurrent and prooposed strateggies every year. It is
why this mmodel is considdered a conserrvative model iin public policcy making andd is focused onn past programss and
policies annd designs new
w strategies baased on this proograms (Wyneer, 2011; Alvaani & Sharif zaadeh, 2008). Public
budget andd budgetary pllanning is recoognized as a wwell known straategy or law bbased on Graduual Changes model
m
(Rabiee & Givrian, 20055).
2.1.5 Explloratory-Innovative Model
It is a moddified rational model whose aim is minim mal optimization. In other woords, finding soolution is base ed on
satisfactorry approach annd is performeed through triaal and error. T
This model (likke artificial inntelligence) is more
compatiblee with realityy world. In eexploratory-innnovative plannning, a simpple principle is considered and
comparisoons are done continuously
c aand true and ffalse answers are determineed (Colleti & Murchison, 2002; 2
Tickell, 20008).
By defininng policy makiing process as a systematic pprocess, the folllowing models are taken intto consideration:
2.1.6 Systeem Model
One of m models that havve found widee application is system moddel which connsiders strateggy as a reactio on of
system to forces it receivves from envirronment. Here,, we deal with four main conncepts: inputs w which are dem
mands
and supporrts from societty, outputs which are a set off public policiees and decisionns resulted froom system, political
environmeent which referrs to conditionns or events ouut of borders oof system and, finally, feedbaack which refe ers to
the effectss of system’s programs
p and policies on thhe environment (Weible et aal., 2004; Alvaani & Sharif za adeh,
2008; Rabbiee & Givrian,, 2005).
2.1.7 The IInput-Output Model
M (I/O Moodel)
The Inputt-Output Modeel is considerred primary aanalytic tool ffor obtaining “instant preseentation” of policy
making prrocess. The bassis of this moddel can be seenn in David Easston’s work. E Easton is a fam
mous researcher and
scientist inn political sciennces who introoduced basic m
model in 1965 to describe forrmation of policies based on a set
of needs annd creation off new needs ressulting from itt. This model ccan be used in every organizzation with min
nimal
changes (A Alvi & Gvosdeev, 2010).
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by politicaal elites of Iraan for specifyying issues in order to makee changes, aree change and implementatioon of
reforms inn the constituution and subbsequently creeating an entiity named “S System Expeddiency Recogn nition
Council”. Role of politiical elites of IIran in public strategy scope is more sensible and eviddent due to lac
ck of
important and influentiall elements andd groups in straategy making aand law makinng (Rabiee & G
Givrian, 2005).
2.2.4.2 Thhe Iron-Trianglle Model
making mannerr of agriculturee sector in pastt few decades in which executive
The originn of this modell is in policy m
power, leggislative powerr and pressure group of landhholders determmined policies.. Over time, thhis has been used in
various inddustries includding pharmacology, transporttation, militaryy, housing etc (Cockrel, 20022).
2.2.4.3 Pow
wer Clusters Model
M
In 1971, EEgden used terrm “power nettwork” to desccribe ever incrreasing numbeer of factors thhat play an evident
role is pollicy making. Egden
E introduuced “Power C
Clusters” Moddel that refers to various grroups influentiial in
policy makking which hee calls power cchords or clusters. Power cllusters are gennerated because interested grroups
try to inflluence policies important too them indepeendently or toogether. All ppower clusterss include the same
elements: executive entiities, law makiing commissioons, groups wiith certain inteerests, experts,, aware public, and
unaware ppublic (Cockrell, 2002).
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informatioon and financiaal sources for influencing oor formulating required policcies and they are usually hiidden
and unknoown to publicc. Kings are kknown and selected individduals who are under controol and influenc ce of
kingmakerrs. Active agennts are in the next level andd interested puublic are consiidered next. F
Finally, the last and
most crow
wded level incluudes indifferennt public.
Accordingg to this modell, agenda of puublic policies iis provided byy kingmakers aand presented tto king and ag
gents.
Focus of tthis model is on selection oof few individduals from socciety for underrstanding and interpreting policy
making m methods. Like other elite-oriiented models,, this model ddoes not state that despite ppublic wealth is in
hands of a few influentiaal persons, maany of policies formed are inconsistent withh views of pubblic. Public vie
ew of
society is iinfluenced by powerful elites and public have a little conntrol (Cockrel, 2002).
wing table shoows the most important factors that are cconsidered as a basis of thee above mentiioned
The follow
models:
Table 1. E
Effective factorrs in policy maaking models bbased on researrch backgrounnd
Factors Moddels
1-Social iinfluence and power
p Elitees Model-Grooup Model ((Power Clustters, Iron-Triaangle, King and
Kinggmakers)
2-Policy m
making processses Proccess Model – E
Exploratory- Innnovative Moddel
3-Externaal factors Systtem Model – Innput-Output M
Model
4-Previouus policies Graddual Changes M
Model
5-Decisioon maker Entiity Model
Organizattions
6-Cost-innterest analysiss Publlic Selection M
Model – Rationnal Model – Saatisfactory Moodel
7-Problem
m and need Systtem model- Orrganized Disorrder Model – S
Social Decisionn Making Mod
del
8-Politicaal currents Decision making A
Activities Moddel – Organizeed Disorder Moodel
2.3 What H
Have Experiennces of Other C
Countries and R
Regions Been??
It is helpfful to use inteernational com
mparisons as ppart of the w wider evidence base. This can contribute very
positively to the policyy-making proccess, in particcular helping to guide poliicy-makers too new solution ns to
problems and new mecchanisms for iimplementing policy and im mproving pubblic service deelivery. It can also
provide usseful evidencee of what worrks in practice and what doees not work. IIt is of coursee important to take
account off social, econoomic and instittutional differeences which m
may require addjustment to poolicy solutionss that
work elsewwhere to meet Northern Irelaand circumstannces.
There is a range of factors which caan be helpful iin identifying possible counntries or regioons elsewhere from
which to llearn: for exam
mple, regions which have ssuccessfully adddressed simillar social or economic issuees, or
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which have geographical similarities to Iran. It is important in many areas of public service to understand the
importance of factors such as settlement patterns and population density in determining what types of provision
are appropriate and where we might learn lessons from elsewhere. When looking at international comparators, it
is important to do so objectively. Officially published material tells the story which the promoters of a policy or
project wish to tell publicly. It is important to explore beyond that: to find out what criticisms are made as well
as ways in which arrangements are successful; to find out the views of service users as well as providers; to find
out the extent to which a policy has actually achieved its intended outcome and whether there have been any
unintended or unforeseen drawbacks or benefits; Face-to-face contact will reveal more than looking at a website
alone, but given the costs associated with study visits, it is essential to do adequate research in advance to be sure
that a comparator is really relevant (Office of First Minister and Deputy of First Minister in Northern Ireland,
2003).
3. Research Methodology
In this research, the most important factors effective in policy making models are determined by library studies.
Then 11 elites were asked about these factors through questionnaire and two more factors were added according
to their view about policy making in Iran. This way, the ninth factor is called “bases and principle” which
suggests belief and value bases and expediencies of Islamic Republic System. The tenth factor is “top documents
and laws”.
After specification of ten factors mentioned, effective factors in policy making of Iran were structured using
“interpretive structural equations” method and elites’ views.
Interpretive Structural Modeling (ISM) is a well-established methodology for identifying relationships among
specific items, which define a problem or an issue. For any complex problem under consideration, a number of
factors may be related to an issue or problem. However, the direct and indirect relationships between the factors
describe the situation far more accurately than the individual factor taken into isolation. Therefore, ISM develops
insights into collective understandings of these relationships. ISM starts with an identification of variables,
which are relevant to the problem or issue, and then extends with a group problem solving technique. Then a
contextually relevant subordinate relation is chosen (Attri, Dev, & Sharma, 2013). Having decided on the
element set and the contextual relation, a structural self-interaction matrix (SSIM) is developed based on pair
wise comparison of variables. In the next step, the SSIM is converted into a reachability matrix (RM) and its
transitivity is checked. Once transitivity embedding is complete, a matrix model is obtained. Then, the
partitioning of the elements and an extraction of the structural model called ISM is derived (Agarwal, Shankar,
& Tiwari, 2006). In this approach, a systematic application of some elementary notions of graph theory is used in
such a way that theoretical, conceptual and computational leverage are exploited to explain the complex pattern
of contextual relationship among a set of variables. ISM is intended for use when desired to utilize systematic
and logical thinking to approach a complex issue under consideration (Ravi, Shankar, & Tiwari, 2005). The
concept of Interpretive Structural Modeling (ISM) was primary introduced by J. Warfield in 1973. Warfield
proposed ISM due to evaluate the complex socioeconomic systems (Gorvett & Liu, 2007). Sage (1997) stated
that ISM approach facilitates to compel classification and direction on the complex relationships among
components of a complexity of relationships among elements of a socioeconomic system. Moreover Singh and
Kant (2008) interpreted the words of Interpretive Structural Modeling. According to them, ISM is interpretive as
based on group’s judgment and decision whether and how the system’s elements are linked.
Azar (2012) believed that Interpretive Structural Modeling (ISM) approach is a method of structuring known
elements. In this approach, which is in interpretive paradigm, elements are listed and structured based on elite's
views. It is assumed that views of elite groups about connections between elements are basis of modeling of
system or problem and have necessary validity and reliability. In this method, elite group includes 10 to 15 elites.
So, in this research, 11 University professors and scholars of policy making were identified and their views were
used.
4. Analysis
Using concept of “lead to” or “effective on”, factors were assessed two by two and “structural self-interaction”
matrix is formed based on the following symbols:
V: element i influences element j.
A: element j influences element i.
X: mutual relationship.
O: no influence.
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“Research Ability Matrix” is generated based on structural self-interaction matrix. This matrix is a square matrix
whose main diameter is unit and other elements are 0 and 1. We put 1 for X and V signs and 0 for A and O (Azar,
2012). Then, leveling table is formed which shows output elements set, input elements set and common elements
set, and levels are determined based on this table. Element or elements with minimum output set and common
set are put at highest level (Azar, 2012).
Relationships at each level should be specified based on output and input sets. Also, only direct relationships of
elements at K and K-1 levels are shown. Therefore, we have a hierarchical technique in which relationships of
elements of non-consecutive levels are guaranteed through indirect relationships of elements in levels (Azar,
2012). According to results of this research, combined model of factors influential in Iran policy making can be
considered as follows:
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Principles
Decision Maker
Organizations
Based on this model, element “bases and principle” is expressed at first level as a factor that influences all
factors but is not influenced by any factor. At next level, we have “cost-benefit analysis”, “top documents and
laws”, “external factors”, “political currents”, “social influence and power” and “previous policies” all of which
have interconnections with each other which means that each of these factors influences others and is influenced
by others. At next level, we only have “decision maker organizations” that is influenced by all factors of the
former two levels. Finally, the last level includes two factors “policy making process” and “problem and need”
that are influenced by all factors of former levels and influence each other. For simplifying this model, effect of
each level on next level is presented only by direct connection of the two factors but, since elements of the
second and fourth levels influence each other, all of effects can be observed by indirect connection.
5. Conclusions
The most important factors effective in policy making models can be identified by evaluating these models.
However, policy making conditions in Iran is also influenced by Islamic, value and belief principles such as
Velayat-e-Faghih, seeking justice etc. as well as governmental principles such as fighting colonialism and
dictatorship. These factors make decision making conditions of Iran radically different from common systems of
world. Considering this unique characteristic and necessity of a comprehensive evaluation of this issue and in
order to increase applicability of proposed models, it is attempted in this research to identify effective factors,
structure these factors and obtain combined model of policy making in Islamic Republic of Iran.
As literature review indicates, available models approach policy making issue from their own point of views that
can be divided into two groups: “focus on decision maker” and “focus on decision making manner”. Members of
each group evaluate the issue based on a certain aspect. Considering the power and benefits of this approach, as
mentioned before, there must be a comprehensive view in this particular area for application in specific cases
and this research was an attempt to do so.
In the structural model obtained, policy making is based on principles of Islamic Government. This means that
all decisions and policies in Islamic Republic of Iran should be made based on belief, value and governmental
principles and do not have any contrast with them under any conditions. In certain conditions after Islamic
Revolution in Region and world, environmental and external factors had an important role in decision making
and by adapting to principles, are considered one of the most essential factors of decision making in Iran.
Cost-benefit analysis, political currents in society (such as epozosion groups etc.), previous decisions, and social
influence and power (such as monopoly power, social influence and power groups determine and direct political
currents) also influence policy making. These factors are influenced by principles and by each other and at the
same time influence other factors. For example, mutual relation of two factors “social influence and power” and
“political currents” can be justified as follows: social influence and power determine and direct political currents
and, on the other hand, political currents influence and change amount and manner of power and social
influence.
At next level, decision maker organizations, such as ministries and councils, are effective in policy making and
according to relations obtained, these entities are influenced by all factors of previous levels. Finally, factors of
the most influenced level are “policy making processes” and “problem and need” which means that these two
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factors are influenced by all previous factors and have interaction. This way, it can be said that most policies and
decisions of the country are results of structural relationships mentioned here.
According to general classification of various policy making models, the structural model obtained is more
converged to the groups based on “decision making manner” than “decision maker” and considering the leveling
performed in this model, most convergence is observed with rational model (range of rational to satisfactory
models) and system model (due to focus on environmental factors).
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