Daily Archives: November 10, 2015

The implementation of policy in Scotland #POLU9SP

There are two classic ways to describe and try to explain policy implementation: top-down and bottom-up (see also the policy cycle).

top down bottom up

We can focus on these descriptions of policy implementation to make two points relevant to our discussion so far:

  1. You might think that the ‘Scottish policy style’ and ‘Scottish approach’ produce fewer problems of implementation, but they produce different problems.
  2. An ‘implementation gap’ reinforces our sense (in the previous lecture) that there hasn’t been that much policy divergence in Scotland since devolution.

Implementation and the Scottish policy style

Based on our discussions so far, you might think that the Scottish Government would suffer fewer problems of implementation than the UK government because:

  1. Its public sector landscape often appears to be less fragmented.
  2. It is less likely to oversee a ‘top-down’ policy style with unintended consequences (note the potential confusion over the meaning of top-down).
  3. Its greater willingness to consult helps it gather information and secure ‘ownership’.

Yet, I found that it (generally) had different, not fewer, problems. For example, you do not guarantee implementation success by relying on local authorities rather than private or third sector bodies. Further, the Scottish Government may have more ‘external conditions’ to take into account, since its policies often overlap with those of the UK government and it often does not control the success of its own policies.

Or, high levels of consultation can help produce unrealistic strategies and inflated expectations when a government gives the impression that: a policy choice represents radical change; it is the key actor (rather than one of many players in a multi-level system); and, it plans to enforce not delegate and negotiate policy delivery.

The Scottish Approach and bottom-up implementation

Indeed, isn’t the newest incarnation of the ‘Scottish approach’ more of a bottom-up than top-down strategy? In other words, it sets a broad framework based on policy outcomes and asks local authorities and community planning partnerships to produce their own strategies to achieve those outcomes.

Consequently, it may not make sense to try to explain an ‘implementation gap’ because some of the top-down conditions for success do not seem to apply, including: there are no clear/ consistent objectives (at least according to my interpretation of that condition), and there is no requirement for compliant officials.

Policy divergence and the implementation gap

Yet, many Scottish Government policies can be analysed usefully through the lens of an ‘implementation gap’, including:

  • ‘Free personal care’ for older people. This is an important one, because FPC used to symbolise policy divergence after devolution. Yet, it translated into a less-than-expected reduction in care home costs and, for many people (it is hard to know the number) a replacement of one way of securing free care with another (you should make sure you understand how this happened – see Scottish Politics for more detail). There have also been problems with waiting lists for care, and debate about what counts/ doesn’t count as personal care.
  • Housing and homelessness. Over the years, the Scottish Government has promised higher housing standards and lower levels of homelessness but struggled to translate ambitious aims into outcomes (and, it has produced essentially the same strategy on homelessness twice since devolution).
  • Fox hunting. You can still hunt foxes if you want (anyway, would there be many people there to stop you if you tried?) and the unintended consequence of policy is that you might now catch the wrong ones.

If we have the time, we might also discuss modern examples such as the Curriculum for Excellence. We might also wonder why some policies seem to have been implemented successfully (can you think of examples?).

In many of these cases, the promise of policy divergence mixes with implementation problems to produce less divergence than we might have expected if we focused simply on the initial choices. This conclusion reinforces the idea that constitutional change in Scotland does not tend to produce radical policy change or major divergence from UK government policy.

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Policy change, convergence and divergence since Scottish devolution #POLU9SP

divergence difference

Policy change is already difficult to measure and explain, but in Scottish politics there is an added dimension. It is common to gauge policy change according to the extent to which Scottish Government policy diverges from UK Government policy. This comparison can only take us so far, so I will begin with a discussion of divergence then take us back to Scottish policy change in its own right.

What might cause convergence and divergence?

Here is a list of possible causes, which we can discuss at more depth in the lecture (and can you think of others?):

Reasons for policy divergence (or difference):

  • Different social attitudes
  • Different parties in government
  • Ministers trying to make a difference
  • The larger role of public sector professionals in Scotland
  • Different policy conditions
  • A different policy process or style

Reasons for convergence (or similarity):

  • Public expenditure and borrowing limits
  • Overlaps between reserved and devolved policies
  • A ‘single market’ in the UK and the need to avoid unintended consequences
  • The same party of government
  • A similar role for key professions
  • Incrementalism, inertia, wicked problems and other reasons to limit policy change
  • Similar problems and ways of thinking (and learning)

box 9.2

Policy divergence: ‘Scottish solutions to Scottish problems’

We sometimes describe policy divergence in Scotland as ‘evolution, not revolution’ (although evolution is not the opposite of revolution). In other words, devolution did not produce a radical departure from the past, in the way that we might associate with former Soviet countries. Rather, there is a mix of high profile ‘flagship’ policies mixed with a lot of fairly innocuous updating of the statute book. The big ones from 1999-2007 include:

  • ‘free’ personal care for older people
  • the reduction of higher education tuition fees
  • the abolition of the healthcare internal market
  • mental health legislative reforms
  • the introduction of the single transferable vote in local elections
  • the ‘smoking ban’ (does this example count?)

Then the big SNP government polices included:

  • the abolition of higher education tuition fees (and prescription charges)
  • the minimum unit price on alcohol
  • the reform of criminal justice sentencing
  • the pursuit of renewable energy projects and rejection of new nuclear energy stations
  • the pursuit of new ways to fund capital projects (e.g. schools and hospitals)

So, we have three images of the much-talked-about-before-devolution phrase ‘Scottish solutions to Scottish problems’

The first relates to the idea that Westminster had insufficient time for Scottish legislation, and so devolution would present a new opportunity for policy innovation and new ideas. Yet, perhaps after a honeymoon period, public policy did not appear to change dramatically or mark dramatic policy divergence from the past or the rest of the UK.

The second relates to devolution as a way to avoid policy innovation: to step off the train associated with the constant top-down reform agenda of the UK government. This second image is often a better guide, and we can link it to (a) the idea that devolution in 1979 represented a missed opportunity to cushion the blow of Thatcherism, and (b) current debates on the extent to which devolution can actually protect Scotland from the worst excesses of UK policy (I am paraphrasing the arguments of other people here).

The third relates more to policymaking than policy: ‘Scottish solutions to Scottish problems’ may relate to how Scottish institutions process policy than the actual policy outputs and outcomes (the ‘Scottish policy style’ or ‘Scottish approach’). As we have discussed in several lectures, this is not necessarily a small difference (particularly if you focus on Greer/ Jarman’s account of the differences in the use of ‘policy tools’).

Don’t forget existing differences

We miss a lot if we just focus on divergence, because much Scottish policy reinforces or maintains existing policy differences, such as when the Scottish Government reformed its curriculum and addressed teacher-local authority relations. Can you think of other examples?

Don’t forget policy change

We miss a lot of policy change if we only focus on divergence from UK government policy. For example, maybe the governments innovate and emulate each other (they don’t though – see box 9.2).

Or, they do very similar things or don’t quite manage to do different things:

  • Housing stock transfer and (until recently) the ‘right to buy’
  • Policies to address so called ‘anti-social behaviour’
  • Attempts by the Scottish and UK Governments (often in vain) to address ‘wicked problems’ such as social inclusion/ exclusion and socio-economic inequalities
  • Public health reforms such as tobacco control
  • Agricultural and fisheries policies (although can you identify key differences?)
  • Land taxation
  • Policies in development, such as an expansion of pre-school care and the very long gestation of local income tax

box 9.4

In the next lecture, we can also go into more depth on the idea of policy change, to identify a difference between (for example) policy divergence as a set of policy choices and their actual effect.

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