Public Policy and Governance Notes PDF

**Public Policy and Governance** Bloc 2 **1a.** **The policy cycle :** Framework for understanding of the policy process, including stages of 1. 2. 3. 4. 5. **Heuristic :** The model's use as a simplified conceptual tool, to help understand and analyse the policymaking process. Not a prec...

**Public Policy and Governance** Bloc 2 **1a.** **The policy cycle :** Framework for understanding of the policy process, including stages of 1. 2. 3. 4. 5. **Heuristic :** The model's use as a simplified conceptual tool, to help understand and analyse the policymaking process. Not a precise description of how things are actually made **Decision-making influences** **Structure :** Pre-existing organisation of governance (institutions, policies legacy...) Established framework within which any new policy must be situated **Agency :** Capacity of actors to make decisions according to their own will, values, ideals and responsibilities. Ability of policymakers to exercise choice. **Policy actors** **Government officials** **Bureaucrats :** Civil servants providing expertise in policy implementation. In-depth knowledge of policy areas and administrative processes. They draft policy proposals, conduct analysis and oversee implementations. **Appointed officials :** Bridge the gap between elected politicians and career bureaucrats. Bring specific policy agendas aligned with the current administration. Setting policy direction and priorities. **Politicians** **Legislators :** Members of parliament or congress. They propose, debate and vote on laws. Represent interests and ideological positions. **Executive leaders :** Presidents, ministers or governors. Significant influence in prioritising issues and direct ressources. Proposing budgets, issuing orders and lead initiatives **Interest groups** They influence policies through **lobbying**, by providing **expert testimony** during hearings, mobilising **public opinion** through campaigns and sometimes **Business associations :** Represent industry interests **Labour unions :** Advocate for worker's rights and benefits **NGOs and Advocacy Groups :** Supports social, environmental or economic causes **Media** They influence policy by **selecting** which issue receives coverage, **framing** them in a way that influences public perception, **investigating** and reporting, providing a **platform** for various actors to voice their opinions. **Traditional :** Newspapers, television and radio **New :** Online news platforms, social medias and blogs **Citizens** Influence policy through **voting**, especially during direct activism. **Public opinion** can shape policies and priorities. They can also participate in **policy implementation** through community-based programs. **Challenges in Policy management** **Complexity :** Issues are often interconnected and multi-faceted, requiring a holistic approach and expertise **Uncertainty :** Information can be incomplete **Resource constraints :** Policy workers must work within a set budget and with time limitations **Political pressures :** Balancing political interests with evidence-based decision-making **Policy tools and instruments** **Regulations :** Rules or directives made and maintained by an authority, such as environmental protection laws or financial sector regulations. They provide clear standards, effective for addressing urgent issues but require effective enforcement **Incentives :** Tools encouraging certain behaviours or actions through rewards or penalties. Includes subsidies or fines. They can influence behaviour while preserving choices and stimulate innovations. They can however be costly and often have unintended consequences. **Information campaigns :** Involves the spread of information to influence public behaviour or opinion. They are cost effective, respect autonomy and provide long-term changes. They however are often insufficient on critical issues as effectiveness depends on trust of the public. **Direct government provisions :** Goods or services directly provided. Includes public services, infrastructure development and social welfare. They address market failures and allow for direct control over distribution of resources. They are however costly and lead to debates around the appropriate role of the government. **1b.** **Definitions** **Polity :** Overall political system of a society, with its institution, processes making up the governing arrangement. Includes formal government bodies and informal power structures. Polity shapes the decision-making processes and power distribution **Institutions :** Rules, norms and structures within political, economic and social relations. Can be formal (laws) or informal (customs, conventions). Provides the 'rule of the game' that shapes behaviours. **Bureaucracy :** Administrative apparatus of governments, staffed by non-elected professional officials. Implements public policies on behalf of elected representatives. **Orientations of Democratic Republics** **Unitary system :** Power centralised in national government, can create or abolish subnational units which only have the power it was granted. Central government can impose policy nation-wide. Uniform policy-making across the country, less duplication so more efficient. However, it can be less responsive to local needs. Examples : Japan, Netherlands, New Zealand **Federal system :** Power is constitutionally divided between national and subnational governments. Both levels have their own areas of jurisdictions, and neither can unilaterally change the powers of the other. Allows diversity between regions, and can be well responsive to local preferences. However it can lead to inconsistencies, and requires more intergovernmental coordination. Example : Australia, USA, Germany, India **Confederal system :** Units keep their primary sovereignty and the central government has limited powers delegated by units. Constituent units can nullify the action of the central government. Allows maximum regional autonomy. However coordinated actions can be difficult, and known in history as unstable. The EU has some aspects of it. **The Enlightenment** **Hobbes** (1588-1679) : Without governments, humans would live in a **state of nature** with constant war and conflicts. To escape this, people agree to the **social contract,** they give up some of their natural rights to a sovereign authority in exchange for protection and order. He argued for a **strong centralised government** to prevent chaos. Viewed human behaviour as determined by **self-interest** and **physical laws.** **Locke** (1632-1704) **:** Individuals inherently have **natural rights** simply by being alive. He saw the **social contract** as such, governments are given trust by the people, who can overthrow it if it fails to protect their natural rights. He advocated for **separation of powers.** **Voltaire** (1694-1778) **:** Argued for clear **separation of church and state** but was still **tolerant of religions.** Passionate advocate of **freedom of speech**, while advocating for **social reforms** such as the end of slavery. **Conceptualising liberal democracy** **Social contract theory :** Legitimate political authority comes from the consent of the people, giving up some of their natural rights to the government for protection and social order. Associated with Hobbes, Locke and Rousseau **Duality of Freedom** - - **Representative government :** Should reflect the will of the people, regular elections ensure ongoing consent of the governed **Right to revolution :** If governments fail to represent the people, violating social contract **The *Trias Politica*** - Separation of power and horizontal accountability - - - **Liberty :** Comprised in two types - - They are then transposed into **Human Rights**, protected by the rule of law. It includes **freedom of speech**, of **faith**, of **property** and **ownership** - - **Equality in Justice :** All individuals are equal in front of the law. Laws are applied impartially without discriminations based on race or socioeconomic status. The justice system is made to ensure fairness. Rawls introduces the imaginary scenario of the **veil of ignorance**, under which individuals are asked to design a society's principle without knowing their position within it. It encourages the creation of laws that don\'t favour any group, promoting impartiality. **The market model** Rooted in classical economic theory and liberal political philosophy - - - - **The polis model** Recognises the complexities of decision-making - - - - **The Policy Paradox :** Policy issues can be defined in contradictory ways creating paradoxes. The same policy can be seen as both **beneficial** and **harmful**. Individuals can hold **conflicting views** simultaneously. Policy **outcomes** can be assessed as both **successful** and **unsuccessful** **The rise of bureaucracy** **Before mid-19^th^ century :** Based on feudalism, but the industrial revolution brought changes that needed more technical support **Weberian Bureaucracy :** Named after Max Weber. Developed in the early 20th century, to create an efficient and rational system. Characterised by **hierarchy** and clear chain of command, **specialisation** and division of labour on expertise, **formal rules** and standardised operations, **impersonality** and **merit-based** employment **Policymaking as public administration :** Focus on effective implementation rather than policy formulation. Focus on the **rule of law,** where administration is central. Politics is **irrational** while administrations are **rational,** bureaucrats are neutral and non-political **New Public Management** (NPM) **:** Emerged in the 80s and 90s as an attempt to reform public sector management. - - - - **Quangos :** Quasi-Autonomous Non-Governmental Organisations. Perform governmental functions without being a part of traditional government departments. Funded by the government but works with some degree of independence. Criticised for lack of democratic accountability. Includes advisory committees or regulatory bodies. **Territorial synchrony :** Alignment between a sovereign state's borders and other elements of its territory. - - - **Example -** The Rhine River Bassin It crosses 9 European states creating transboundary challenges (flood risk management, water pollution, ecosystem management) **Loss of territorial synchrony :** Occurs when elements are no longer aligned with the state boundaries. - - - **Global public policy** - GPP Governing arrangement addressing policy issues that transcend national borders. - - - **Political authority in global governance** **State-centric model :** Political authority is traditionally associated with sovereign states. They had exclusive authority within their territories and were the primary actors in IR **De Jure authority :** Legally recognised authority, derived from law, treaties and regulations. An example can be the UNSC resolutions. **De Facto authority :** Practical influence recognised and respected even without formal legal status. Often based on expertise, resources or moral standing. An example can be the influence of NGOs in environmental policy. **Hybrid authority :** Many global governance arrangements involve a mix of both. Reflecting the complex reality of global policy-making. An example can be the Paris Agreement on climate change as it combines formal state commitment with informal influence of non-state actors. **Sources of political authority in GPP** **Delegation :** States granting authorities to IOs. This transfer of authority is often formalised through treaties or agreements. Example : States delegating authority to the WHO during Covid-19 **Self-authorisation :** NSAs claim authority based on their expertise, moral standing or representation, often seen in technical areas. Example : Scientific bodies assert authority in climate change policy based on their expertise **Recognition :** Authority established through acceptance by other actors. Can be formal (UN recognition) or informal (widespread trust in an NGO's influence). It can easily evolve overtime. **Legitimacy in Global Governance** **Input Legitimacy :** Focuses on the nature of the participation and representation of decision-making processes. Concerned with who is involved and how they are selected. Focuses on inclusiveness, transparency and accountability. Example : Efforts to increase developing country representation in international financial institutions. **Output Legitimacy :** Based on the effectiveness of policy outcomes. Evaluates whether global governance arrangements deliver desired results. Example : Assessing the effectiveness of global health initiatives in recusing disease burdens. **Throughput Legitimacy :** Concentrates the quality and fairness of processes. Examines how decisions are made, not who makes them and what they achieve. Example : Evaluating the consultation and negotiation processes in international climate change conferences. **Challenges to State Authority** - - - **New forms of authority** **Epistemic :** Based on expertise and specialised knowledge. Scientific bodies, think tanks and academic institutions challenge traditional political authority with technocratic approaches **Market :** Influence of the private sector, where corporations and financial institutions shape policies through economic leverage. Market-based solutions are preferred over state-led interventions **Moral :** Influence based on ethical or normative claims, appealing to universal values and overriding state sovereignty concerns. Examples : NGOs, religious leaders or social movements. **Accountability in Global Governance** - - - **Democratic Legitimacy** - - - **2a.** **What is decision-making ?** Task in policy-making involving selection of a course of action. Decisions can be **'positive'** when they select something new, or **'negative'** when choosing not to alter an already existing policy. In general it consists of - - - - The process varies according to the nature of decision-makers involved, the source of their authority, their background, values etc. **Actors in decision-making** Policy decisions **more technical than political** are not only driven by political considerations, as it needs to consider factors such as potential long term effectiveness, often requiring technical expertise. While elites play a major roles, many actors play in formal decision-making : - - - - **Decision-making models :** Used to capture its dynamics. Categorised into three types **Comprehensive rationality :** Idealised view of how decisions should be made. Seeks to maximise efficiency and effectiveness. Based on **logical** thinking and **evidence.** Decision-makers choose options that help them achieve goals aligned with their values. It provides a clear and logical framework for decision making, encouraging analysis and aims for optimal solutions rather than satisfying. It however assumes that perfect information is available, can be unrealistic due to time and resource constraints **Bounded rationality :** The limitations on human decision-making due to cognitive constraints, limited information and time pressures. **Incremental :** Realistic view oh how policies are made in practice Process in which **time** and **information** are limited, and where various decision-makers find a **compromise**. New ideas will be made by **comparing** new ideas to the results of **earlier decisions.** This leads to small, or 'incremental' changes. Final decisions are about what **satisfies** the differing interests (politically possible) rather than what is technically best. It also has **limitations :** Preference for the status quo, and thus not able to solve problems caused by the status quo perpetuating existing inefficiencies. Leads to conservatism and resistance to necessary large-scale changes **Three orders of policy change** - Hall 1989 - - - **Garbage can :** When decision makers are **numerous** and **unsure** about what causes problems and how to solve them. Policy outcomes then **make little sense** and reflect what decision makers want at the moment. Decision reflects desires of the most influential. The idea of best possible choice (rational) or making small improvements (incremental) is given up. Decision-makers will just try to **reach** the set goals, it\'s the **'satisficing'** principle. When policy makers look for a solution they'll stop as soon as they find something good enough, and never explore what might work better. **Limitations :** Lack of clarity over policy, multiple irreconcilable ways of thinking about a problem, implies that organisations are political coalitions **Lindblom -\>** Believes that policy decisions usually don\'t change much because, first it is politically easier to follow the order rather than changing it, and second the governmental procedures favour small changes over big ones. **Hobson's choice -\>** A strategy to make one's preferred outcome appear as the only possible alternative. During issue framing, one may suggest an attractive alternative amongst less attractive ones. It is used to popularise and gain legitimacy for actions taken. Obama used it in his speech to announce the invasion of Qadaffi's Libya. **Controlling the Political Meanings of Alternatives -\>** Labelling and use of certain language to define policy shapes its impacts and visions. Thinkers believe it distorts rational thinking. Politicians are often worried about how a policy will be perceived, for electoral reasons (comparison table rational model vs polis model, see policy paradox page 260) **Policy selection :** Decision makers include, Members of **bureaucracy** acting according to legal rights, whose authority is granted by legislatures. They often focus on legality and mandates, and decisions are often made according to budget efficiency **Legislatures** and executives issuing legal acts and rules. Decisions of governments can be made for electoral and clientelistic reasons. Members of political executives (ministers and their staff) also play a big role, **What influences a leader's decisions** - - - Members of the **judiciary** who can overturn rules and order to replace them with their own ruling in the name of constitutional mandates. Selections are made by legal experts based on past precedents, on their interpretations of the constitution and on their assessment of facts and evidence used by others to support their decisions. The issue of **time** in decision-making is important. The process can be quick, in case of emergencies such as wars and invasions but the passage of a bill into a law can take years. Obamacare is an example of a lengthy decision-making process. **Challenges in decision-making** - - - **Poor outcomes** often come from **precipitated** decisions, made by **small, isolated groups** of decision-makers without attention to their practicality, leading to the gap between policy design and interpretation. Another factor is the **ability of decision-makers to learn from their mistakes**, as their reputation may be affected. They need to be able to reassess and adjust a decision. **Strategies for effective decision-making** Capacity to handle **surprises** is a critical element of success. Policy decisions are dominated by imperatives and made without consideration for their long-term impacts. (The Great Leap Forward in Mao's China which led to severe famines was motivated by his unrealistic approaches). The **ideological** conviction that free market principles would improve situations led to precipitated privatisation and failure in developing countries, often pushed by institutions (IMF) or policy makers. - - - - - **Ethical decisions :** Thinkers like **Ascomb** bring ethical considerations. She wrote that sometimes consequences aren\'t all that matters, sometimes people decide on principles rather than on calculation. - - **Leadership in decision-making** **What influences a leader's decisions ?** - - - **Approaches to expertise in decision-making** **Decisionism :** Decisions not determined by law should be made by **political representatives**. Politicians then chose evidence that aligns with their interests and ideologies. Politics "on top", experts "on tap". It maintains democratic principles. However, decisions are influenced by **ideology** rather than knowledge, there is a risk of ignoring relevant expert knowledge. **Technocracy :** Decisions can be made by **technical analysis,** removing the need for politicians. Experts should hold power. It is potentially more efficient as decisions are guided by knowledge. However, It lacks democratic accountability, and can overlook non-technical factors. **Pragmatism :** A midway point. Discussion and **compromise** between **experts and politicians.** **Case study** **The EU Common Agricultural Policy** Established in **1962,** aiming to increase **agricultural productivity,** ensure stable food **supply** and maintain decent **standards of living** for farmers. It was one of the EU's largest (and most problematic) budgetary commitments. **Incrementalism** since priorities were different for all **2b.** **Analytical knowledge** Decision making often involves **technical analysi**s such as economic measurement or assessment in order to **maximise** effectiveness and efficiency of **choices**. **Rationality project :** Belief that decision-making can be purely objective based on rational evidence **Critique of the Rationality project :** Stone challenges the belief that policy analysis can be purely objective. She believes that **policy choices** as well as the **framing** of problems are inherently political decisions as they involve value judgement. There is a limited use of **scientific methods** in resolving policy paradoxes. **Cost-benefit analysis :** Weighing the negative and positive consequences of an action to see whether it will or not be a loss. It subtly pushes analysts to ignore what they can\'t monetise. They sometimes do the extreme opposite and monetise unpriceable things like human lives. They also use market prices to determine - - **Cost-effectiveness analysis :** When goals can be **quantified** but **not monetized,** used to clarify strengths and weaknesses of decision alternatives. What provides the **most benefits** with a certain **budget**. Not all goals can be quantified not monetised, that is why both quantitative and qualitative are often combined **Risk :** Combination of likelihood and consequences of an event Many **biases** can affect decision making - - - - **Decision matrix :** A way to access the outcome of different alternatives according to set criteria.Research evidence, **Authority in governance** (Hajer) **:** Seen as the capacity to issue communications that can be rationally justified and elaborated upon. Emphasis on ability to provide reasoned arguments and explanations for decisions. Is not inherent in titles but comes from interaction, is a quality of communication rather than fixed attribute. Can be gained and lost through quality of communication. **Classical modernist governance** Associated with the nation-state system. - - - - - - - - - **Challenges to classical-modernist governance** **Implementation deficit :** Difficulty in translating policies into effective action. **Learning deficit :** Struggle to adapt and learn from past experiences **Legitimacy deficit :** Decreasing trust in traditional governing institutions **Network governance :** Involvement of NSAs to address transboundary issues **Media in politics :** Increased role as they shape public opinions and agendas. **Uncertainty :** Commonly considered in terms of risk, vulnerability, and opportunities and threats. - - - **The precautionary principle :** If there is a possibility of harm in a situation it requires intervention **Decision-making failure** - - - **Hierarchical government :** Characterised by **top-down** and **centralised** decision-making, in which power is concentrated at **top levels**. Relies on vertical chains of command, **rigid** in responding to complex problems as it follows formal rules and **procedures**. **Networked governance :** Involves **decentralised** and distributed decision-making with **multiple actors**, both private and public, in which power and authority are shared between stakeholders. Emphasis on collaboration and **horizontal** relationships. More **flexible** in addressing complex changing issues - - **Models of network coordination** - - - **Multi-level governance networks** **Type 1** - Non intersecting Hierarchical governments, described with the **Russian doll** model. Levels include Supranational - National - Regional - Local. Examples : Federal systems like USA or Germany **Type 2** - Functionally specific Task specific jurisdictions that operate at various territorial scales. **3a.** **Agenda setting :** Process by which issues come to receive attention from policymakers and may become subject of policy action. Involves identification of problems, framing of policy issues and getting them to the government\'s formal agenda. - - - **Phases in agenda setting** 1. 2. 3. 4. **Challenges :** The information **overload** created competition for **attention.** There is difficulty in **defining** complex interconnected problems. There is often **resistance** from those **benefiting** from the status quo. **Agenda-setting capacity of global policy networks :** Can promote new understanding of issues at global scale. Their effectiveness depends on their ability to produce information and indicators, capacity to quantify issue magnitude and consequence of inaction, and skill in taking advantage of preference shifts. **Policy windows** - - - - **Social mobilisation agenda-setting :** Process of bringing together various actors to raise awareness and demand action on an issue. Bottom-up approach to agenda setting. **Venue-shopping :** Strategy seeking out the most favourable institutional venue to advance a policy goal. Appealing to different decision-making levels depending on where one believes it can achieve the most success **Silent action agenda-setting :** Model emphasising on the almost invisible role played by interest groups in shaping agendas. Groups promote policy preferences for their own interests, avoiding publicity to prevent mobilisation. Even in pluralist systems, the upper-classes have significant influence. **Kingdon\'s multiple-streams framework :** Explains how policies are formulated, and how certain issues take more importance. - - - **Policy windows :** Kingdon argues that these three streams must be aligned for the policy window to open. **Policy entrepreneurs :** Individuals or groups advocating for solutions within the framework. They often use their resources and networks to influence decision-makers and mobilise support. **Critiques :** Can be said to be an oversimplification of the complexity that is policy-making. Does not adequately represent power dynamics, or roles of institutional structures. **3b.** **Causal theories** Assign responsibility and blame. Stone describes multiple types, used in policy discourse - - - **Problem definition process** **Public problem :** Realisation that a situation is not normal and could be improved or acted upon, matter of collective responsibility. - -