Introduction: Managing the Policy Process PDF

Wu, Xun. 2018. “Introduction: Managing the policy process”. Contemporary economic, social, and technological changes make the need for good policy and governance more vital ○ Policy processes at national, subnational and international level...

Wu, Xun. 2018. “Introduction: Managing the policy process”. Contemporary economic, social, and technological changes make the need for good policy and governance more vital ○ Policy processes at national, subnational and international level Only governments have potential to address collective issues, especially when working with other governments and nongovernmental actors Ensure effective policies by building institutions and processes for making and implementing them that avoid common errors and replicate conditions and practices needed for success Challenge of governance Increased wickedness of policy problems make it difficult to predict policy effects, due: ○ Ever widening interconnectedness of problems ○ Expanding range of actors and interests involved in policy-making ○ Relentless acceleration in the pace of change and decision-making Other factor is fragmentation and decline in trust of societal, political, and policy institutions Super-wicked problems: ○ Political challenges linked to the need to gain agreement from key actors and public on policy direction and content (on who gets what) Policy actors need to: Identify other actors involved in and affected by policies and policy making Map out their essential interests, ideologies and relationships Assess the waxing or waning of their sources of power and leverage within the process Policy actors need to make compromises between policy theory and practice Disagreements between different levels of government, if left un- or poorly managed, can lead to contradictory policies that are mutually destructive Within single level of government, goal of any policy can be clouded or undermined by desires and strategies of different government agencies Ideological policies are often used by political elites to cement their legitimacy among key supporters ○ Technical or analytical challenges related to determining most effective course of action Difficult to understand policy problems and root causes, and based on that make realistic estimations of future effects and outcomes Most civil servants lack skills and analytical competence to deal with this ○ Operational challenges linked to effectively developing and implementing policy choices  Making and implementing of effective policies require, at a minimum: Well-defined administrative processes delineating the roles and responsibilities of different offices and agencies Adequate resources available for policies to be carried out Compliance and accountability mechanisms in place to ensure that all concerned are performing the tasks expected of them Establishment of incentives that enforce minimum compliance of agencies and officials with duties and encourage them to improve in performance Governments need to ensure that officials and agencies work in unison towards shared goals Coordination hampered by: Silo mentality; each agency focuses on its own core responsibility while ignoring objectives of other agencies with whom they must cooperate to achieve an overall policy objective Different organizational cultures and operating procedures make it difficult to share information and resources, and coordinate operational details Existence of multiple-veto points in many implementation chains, whereby an actor can stop or dramatically slow down joint efforts ○ Interconnectedness of policy problems increasingly requires agencies established in earlier eras to coordinate their efforts in order to achieve policy objectives Policy functions and processes: design and management of effective policies Main limitation on government ability to address policy challenges is the set of deficiencies in the processes by which policies are made, implemented, and evaluated ○ Need to design effective process to identify emerging problems, generate and assess alternative solutions to addressing root causes, implement them in ways that take the behaviour of all stakeholders into account, and finally evaluate the performance of the policies in a way that allows correct lessons to be drawn about smart practices Understanding the policy process Agenda setting; how perceived problems become policy problems that governments commit themselves to addressing ○ Public managers from governments and civil society groups as gatekeepers Formulation; development of alternative courses of government activity designed to address problems which may be on, or expected to appear on, the government agenda ○ Policymakers have brief window of opportunity to come up with actionable solution  Decision-making; governmental authorities deciding on a particular course of action which is expected to address some policy problem ○ Occurs throughout policy process Implementation; policy is given form and effect ○ To improve implementation, governments need to understand their options and spell out their decisions and provide incentives to implementers to improve implementation activities and disincentives towards administrative malfeasance, arbitrariness, and capriciousness Evaluation; assessment of the extent to which a public policy is achieving its stated objectives and, if it is not, what can be done to improve it Actors in policy process; policy 'communities' Policy community; government actors, international actors, societal actors ○ Government actors; permanent players operating at subnational, national, and international levels who develop, decide upon, and implement public policies Elected officials (legislators, executive members) and appointed administrators The longer tenure and experience of civil servants the larger role in process ○ Societal actors; leaders and representatives from interest groups, religious organizations, companies, labour unions, associations, think tanks, researchers etc. Social media plays big role in agenda setting by publicize and criticize policy proposals and performance ○ International actors; vary from individuals (advisors/consultants) to members of international organizations Features of policy communities ○ Centred on functional sector, like banking, energy, education, or health care -> members represent organization ○ Relationships among public and private actors within functional sector forming a community are typically more informal ○ Relationships between members are often horizontal, rather than hierarchical ○ Members are bound by shared core values ○ Relationships in a community are durable and extend across issues and over time ○ Each member has resources (financial, informational, electoral, etc.) that are of value to others, and this forms the basis for exchange and cooperation among them Effectiveness of policy community depends on its membership’s comprehensiveness and coherence - policy capacity; how policies should/are made and implemented Limitations ○ Exclusion of citizens, thus undemocratic ○ Line separating (beneficial) policy community from crony networks is fuzzy  Exact range of societal and specific state actors involved in policy process depends on the nature and characteristics of policy issue, overall political system, and policy sector Managing policy process; policy acumen, analytical skills and managerial expertise The policy process should be able to: ○ Recognize emerging problems and understand their sources ○ Develop, analyse, and compare alternative solutions ○ Select the most effective solutions ○ Implement them effectively by creating the conducive conditions ○ Assess the performance of chosen solutions and revise or replace them as needed Key is to create effective relationships among policy actors by structuring policy communities in a way that they are focused on problem solving and promotion of broader interests ○ Need policy communities to be cohesive and transparent and open Policy actors often handicapped by narrowly defined self-interests with short-term vision and lack of appreciation of complexities of problems and constraints and opportunities they face Policy actors can make a crucial contribution in their respective domains by leveraging their political acumen, analytical skills, and managerial expertise ○ Policy or political acumen; accumulated knowledge of, and experience in, policy process ○ Analytical skills; for diagnosing a situation or problem and for developing appropriate strategies to address it - like political mapping and stakeholder analysis ○ Managerial expertise; perform managerial functions (planning, organizing, budgeting, coordinating, and monitoring) shapes ability to participate effectively in policy process The Need for Effective Policy and Governance Rapid economic, social, and technological changes increase the need for effective policy-making.  Policy processes occur at all levels (national, subnational, international), where only governments can address collective issues, often with support from other governments or NGOs. Success relies on strong institutions and processes to avoid errors and promote best practices. Challenges in Governance Complexity of Policy Problems: ○ Problems are increasingly "wicked" due to interconnectedness, more stakeholders, and rapid decision-making. ○ Declining trust and fragmentation in institutions compound these challenges. Super-Wicked Problems: ○ Political Challenges: Aligning interests of diverse actors; balancing theory and practical compromises. ○ Technical Challenges: Determining effective actions and forecasting outcomes; limited analytical skills in civil service. ○ Operational Challenges: Efficient policy-making requires clear roles, resources, accountability, and coordination. Issues include siloed agencies, differing procedures, and multiple veto points hindering joint efforts. Policy Functions and Processes Design and Management: Government effectiveness is limited by flaws in policy-making, implementation, and evaluation processes. ○ Need for robust frameworks to identify problems, assess solutions, implement policies with stakeholder input, and evaluate outcomes. Understanding the Policy Process 1. Agenda Setting: Problems recognized by governments and civil society become policy priorities. 2. Formulation: Development of options to address emerging issues, often within a limited window. 3. Decision-Making: Authorities choose a course of action, with decisions recurring throughout the process. 4. Implementation: Governments structure actions, set incentives, and address risks to ensure effective policy realization. 5. Evaluation: Assessment of policy impact and opportunities for improvement. Actors in Policy Process Policy Communities: Involve government, international, and societal actors. ○ Government Actors: Legislators, administrators across levels, long-serving civil servants. ○ Societal Actors: Interest groups, unions, researchers; social media's role in shaping agenda and public opinion. ○ International Actors: Range from advisors to international organization members. Features of Policy Communities: Sector-focused, often informal and horizontal, with durable relationships based on shared values and resources. ○ Limitations: Exclusion of citizens (undemocratic); risk of cronyism. Managing the Policy Process Policy processes must:  ○ Recognize emerging issues, analyze solutions, implement effectively, and assess performance. Effective Relationships: Policy communities should focus on problem-solving, be cohesive, transparent, and avoid narrow self-interests. Essential Skills for Policy Actors: ○ Political Acumen: Knowledge and experience in policy processes. ○ Analytical Skills: Ability to diagnose issues and devise strategies. ○ Managerial Expertise: Planning, organizing, and coordinating efforts to enhance policy efficacy.6 Knill. 2012. “Chapter 3: The Context for Policymaking – Central Institutions and Actors” Institutions are rules of the political game; legal rules enforced by state actors Actors as individuals, corporations or other collective entities, who possess policy preferences and desire to realize them National institutions Most essential institution in political system is its constitution, which is a set of fundamental principles and formal rules according to which a state is governed Constitution determines the centralization of power ○ Unitarism; single central government ○ Federalism; sovereignty is shared across several levels of government Constitutions limits government rights in the name of individual rights ○ May also explicitly define public rights Constitution is protected by either constitutional courts or regular courts through judicial review ○ Abstract reviews = made before legislation enters into force, checks compatibility ○ Concrete reviews = tool of ordinary litigation, made by judges who sent in constitution question ○ Constitutional complaints = by individuals, checks whether their rights have been violated by a public authority ○ Division of powers ○ 3 branches of government: legislative, executive, judiciary = horizontal division of powers ○ Executive; implementing public policy, administers bureaucracy 3 forms of democratic government: parliamentary, presidential, semi-presidential  ○ Legislature; parliament - competency to make legislation Typically two houses - lower house usually directly elected and more powerful ○ Judiciary; multiple levels with const. court often being the highest Const. judges are often appointed via a political process (because const. courts deal with policy matters, not regular legal matters) ○ Federalism; federal gov (shared rule) and regional gov (self-rule) To avoid abuse of power of central government Unitary states can also be decentralised, and not be federalist Differentiation usually based on the const. division of labour Good for passing some policies (one state starts, another emulates), not good for others because one state might disagree Unitary states tend to change policies faster and to greater extent Electoral institutions and party systems ○ Elections legitimize policy-makers and determine who is going to have the greatest political influence ○ Majoritarian systems; single-member constituency -> strongest member wins ○ Proportional representation; multi-member constituency -> same share of seats as it won votes ○ Party systems; system of interaction between multiple parties that are engaged in competition Dominant-party system; hegemonic, majority (>50% of votes) over many years Two-party system; two parties with alternating majority (vote shares of 35-45%), very competitive, e.g. USA Multiparty system; multiple parties, none holding majority, coalitions Bipolar system; mix between two-party and multiparty, alternating coalitions Supranational and intergovernmental institutions Supranational = has powers its members do not have because they have delegated a part of their sovereignty ○ Only one example of this (and only partly): EU Intergovernmental = member states who voluntarily cooperate and coordinate, do not surrender sovereignty ○ E.g. NATO, OECD,… The United Nations System ○ General Assembly: main deliberative body, wit all 193 member states ○ Secretariat: Supports activities of the General Assembly and other UN bodies  ○ Economic and Social Council: coordinates economic, social, and related work across specialized agencies (e.g., FAO, WHO, World Bank, IMF). ○ International Court of Justice: settles legal disputes between states; provides advisory opinions to UN bodies ○ Security Council: responsible for maintaining international peace and security ○ UN's Influence on Public Policy: Primarily affects public policy through specialized agencies, programs, and funds (e.g., UNEP, UNICEF). Activities include data gathering, defining benchmarks, sharing best practices, and providing financial/other aid. UN conventions influence member state policies in areas like climate change, human rights, and corruption. ○ UN Conventions: Influence policy under stable conditions without active conflict or disaster. Example: The 1994 Climate Change Convention encourages data sharing, emission reduction strategies, and cooperation on adaptation. Other conventions address corruption, children’s rights, the law of the sea, and rights of persons with disabilities. ○ Policy Constraints: Member states adopting UN conventions often face binding commitments, such as obligations under the Convention against Torture to prevent torture and avoid deporting individuals at risk of torture. World trade organization ○ Main objective is to reduce or completely eliminate trade barriers in order to facilitate free trade Trade policy review mechanism; monitoring of the national trade policies of its member states Dispute settlement mechanism; resolves trade disputes, primarily over trade policy legality Key actors Usually corporate and collective actors ○ Collective = guided and dependent on the preferences of their members ○ Corporate = typically hierarchical, top-down, led by "owner" 3 characteristics: ○ Capability to influence the policy process ○ Perception of the social problem ○ Preferences, can be stable or changeable Public actors ○ Executive; in parliamentary and semi-presidential systems includes head of government (e.g., prime minister) and cabinet ministers ○ Ministerial Structures:  Collective Responsibility: Common in Westminster systems, requiring all cabinet members to publicly support cabinet decisions Ministerial Autonomy: in Germany, where ministers independently manage their departments ○ Cabinet Formation; must have parliamentary majority support, achieved through: One-party government: one party holds the majority and forms cabinet Coalition government: multiple parties form cabinet - three main types: Minimal winning cabinet: only necessary parties for majority Oversized cabinet: more parties than needed for majority, often to secure support for contentious policies Minority cabinet: lacks majority but operates with parliamentary tolerance ○ Presidential Systems: president has full autonomy over executive and policy-making, with cabinet members often serving as advisors or implementers The policy direction is primarily driven by the president’s preferences Legislature ○ Legitimacy function; for political system - facilitate communication between citizens and government and representation of citizens preferences ○ Control and oversight function; over executive - by committee hearings, plenary sessions, inquiries, and ombudsmen to monitor actions and budget ○ Legislative function; influence policy-making through consultation, delay and block passage of policy proposal, initiating and amending proposals ○ In presidential systems likelihood of policy conflict increases due separation between executive (president) and legislative and their independent agenda's Judiciary ○ Constitutional courts can affect policy making by abstract judicial review, unconstitutionality rulings Self-limitation: self-restrain by government to adjust policies pre-emptively to avoid judicial annulment Corrective revision: legislators amend legislation after it has been nullified by the courts to ensure it is constitutional ○ Courts influence policy design by interpreting constitutional principles, often leading to revisions in policy direction ○ Or by acting as agenda-setter - lawsuits bring issues to light ○ Indirect ways; excluding certain actors or political biases Bureaucracy ○ Bureaucrats implement policies and contribute to policy formulation due to their specialized knowledge  Personnel stability: Ensures skilled, stable staff through career paths. Organization: Hierarchical authority with specialization by function Procedures: rules and documentation for consistent decision-making ○ Bureaucratic Systems: Spoils system: appointments based on political loyalty Meritocratic system: appointments based on expertise, promoting autonomy and technical skill, widely used in democracies Political Parties: ○ Core task: Coordination: aligns party caucuses, supports or opposes legislative action, links citizens to elected officials Electoral campaigns: selects candidates, formulates policies, and organizes campaigns Structuring competition: electoral and policy competition among parties Representation: represents members within government and society Private actors Interest groups; make policy suggestions to governments in order to bring public policies more in line with the interests of their members ○ Motivation for joining is selective incentives, pursuing specific goals and political expression ○ Social movements: non-institutional, autonomous network of individuals targeting broader issues (e.g., Civil Rights Movement). Interest groups engage in institutionalized actions ○ Influence in policy-making Inside-lobbying: direct engagement with policymakers Outside-lobbying: public campaigns and media activities to influence policy indirectly Corporatist structures: work with policymakers in exchange, offering resources (e.g., expertise, social consent) in return for policy influence Private interest government: rare cases where business interest groups make legally binding decisions, effectively performing state functions Experts; individuals or groups with relevant knowledge impacting policy-making, often without pursuing specific policy goals. ○ Unlike interest groups, experts are expected to deliver unbiased information critical for effective decision-making ○ Part of epistemic community; networks of recognized specialists with policy-relevant knowledge in a particular issue area, share common interest Limit; concentrates on knowledge elites who possess scientific expertise