Almost. I have done a full draft that I will redraft one more time following external feedback and review (then during copy-editing). I am hoping that you might also read some of it and give me feedback, if only to point out big mistakes before it is too late. To be honest, by this stage, I won’t be adding major new sections or chapters (and I no longer want to read this thing), but please let me know if there are big gaps that I should fill in the third edition.
I have included below the introduction and conclusion (and each chapter should also have its own entry (or multiple entries) in the 1000 Words and 500 Words series) and invite you to get in touch – via email or Twitter DM – if you would like a copy of the whole thing.
People engage in politics to turn their beliefs into policy. They form advocacy coalitions with people who share their beliefs, and compete with other coalitions. The action takes place within a subsystem devoted to a policy issue, and a wider policymaking process that provides constraints and opportunities to coalitions.
The policy process contains multiple actors and levels of government. It displays a mixture of intensely politicized disputes and routine activity. There is much uncertainty about the nature and severity of policy problems. The full effects of policy may be unclear for over a decade. The ACF sums it up in the following diagram:
If the policy issue is technical and humdrum, there may be room for routine cooperation. If the issue is highly charged, then people romanticise their own cause and demonise their opponents.
The outcome is often long-term policymaking stability and policy continuity because the ‘core’ beliefs of coalitions are unlikely to shift and one coalition may dominate the subsystem for long periods.
There are two main sources of change.
Coalitions engage in policy learning to remain competitive and adapt to new information about policy. This process often produces minor change because coalitions learn on their own terms. They learn how to retain their coalition’s strategic advantage and use the information they deem most relevant.
‘Shocks’ affect the positions of coalitions within subsystems. Shocks are the combination of external events – such as the election of a new government with different ideas, or the effect of socio-economic change – and the reaction by coalitions. Events may prompt major change as members of a dominant coalition question their beliefs in the light of new evidence (internal shock). Or, another coalition may adapt more readily to its new policy environment and exploit events to gain competitive advantage (external shock).
The ACF began as the study of US policymaking, focusing largely on environmental issues. It has changed markedly to reflect the widening of ACF scholarship to new policy areas, political systems, and methods.
For example, the flow diagram’s reference to the political system’s long term coalition opportunity structures is largely the response to insights from comparative international studies:
A focus on the ‘degree of consensus needed for major policy change’ reflects applications in Europe that highlighted the important of proportional electoral systems
A focus on the ‘openness of the political system’ partly reflects applications to countries without free and fair elections, and/ or systems that do not allow people to come together easily as coalitions to promote policy change.
As such, like all theories in this series, the ACF discusses elements that it would treat as (a) universally applicable, such as the use of beliefs to address bounded rationality, and (b) context-specific, such as the motive and opportunity of specific people to organize collectively to translate their beliefs into policy.
The ‘Ecology of Games Framework’ (EG) combines insights from many approaches to analyze ‘institutional complexity’ and ‘complex institutional systems’.
The focus is on actors learning how to secure ‘mutually beneficial outcomes’, cooperating to produce and deliver agreed solutions, and bargaining within a system over which no actor has control. Therefore, it is worth reading the posts on game theory, the IAD, and SES first (especially if, like me, you associated ‘game’ with tig, then Monopoly, then The Wire).
In simple games, we need only analyse the interaction between a small number of actors with reference to one set of self-contained rules providing clear sanctions or payoffs. In real world policymaking, many different games take place at the same time in different venues.
Some policy games may be contained within a geographical area – such as California – but there are no self-contained collective action problems:
Examples such as ‘biodiversity’, ‘ecology’ or ‘environmental’ policies command a collection of interdependent policies relating to issues like local planning, protected species, water management, air pollution, transport, energy use, and contributors to such policies or policy problems in other areas of government (such as public services).
Each contributor to policy may come from different institutions associated with many policymaking venues spread across many levels and types of government.
Consequently, many games interact with each other. The same actor might participate in multiple games subject to different rules. Further, each game produces ‘externalities’ for the others; the ‘payoffs’ to each game are connected and complicated.
A focus on ‘complex adaptive systems’ suggests that central governments do not have the resources to control – or understand fully – interaction at this frequency and scale. Rather, policymaking influences are:
Internal to the game, when actors (a) follow and shape the rules of each institution, and (b) learn through trial and error.
External to the game, when physical resources change, or central levels of government change the resources of local actors.
Insights from the wider literature
The EG brings in wider insights – from theories in the 500 and 1000 Words series – to analyse this process. Examples include:
As with the IAD, the EG emphasis is on (a) finding solutions to complex (largely environmental) policy problems, with reference to (b) initiatives consistent with self-organising systems such as ‘collaborative governance’. Like most posts in this series, it rejects a naïve attachment to a single powerful central government. Policymaking is multi-centric, and solutions to complex problems will emerge in that context.
ecological sciences approaches to ‘complex social-ecological systems’
The result is a framework that resembles CPR studies in key respects. Ostrom’s 2009 article in Science provides a visual emphasis on the interactions between ‘first-level’ concepts including users, their governance system, resourcesystem (such as a protected park) and resourceunits (such as its trees):
It also raises similar questions, such as ‘When will the users of a resource invest time and energy to avert “a tragedy of the commons”’?
It answers them with reference to ‘second level’ concepts describing factors that encourage users to (a) value long term sustainability and (b) self-organize to secure this outcome. This table summarizes many of them:
Note that Ostrom describes their effect as indicative because, ‘As in most complex systems, the variables interact in a nonlinear fashion …Simple blueprint policies do not work’.
As a result, we have a super-complicated framework to help us understand an even more super-complicated world. For some, the SES framework serves to ‘diagnose’ the sustainability of social-ecological systems and explore the prospect of more effective self-organisation to manage resources. However, as with the IAD, effective use of the framework itself requires a fair amount of immersion in the language of analysis.
Classic studies suggest that the most profound and worrying kinds of power are the hardest to observe. We often witness highly visible political battles and can use pluralist methods to identify who has material resources, how they use them, and who wins. However, key forms of power ensure that many such battles do not take place. Actors often use their resources to reinforce social attitudes and policymakers’ beliefs, to establish which issues are policy problems worthy of attention and which populations deserve government support or punishment. Key battles may not arise because not enough people think they are worthy of debate. Attention and support for debate may rise, only to be crowded out of a political agenda in which policymakers can only debate a small number of issues.
Studies of power relate these processes to the manipulation of ideas or shared beliefs under conditions of bounded rationality (see for example the NPF). Manipulation might describe some people getting other people to do things they would not otherwise do. They exploit the beliefs of people who do not know enough about the world, or themselves, to know how to identify and pursue their best interests. Or, they encourage social norms – in which we describe some behaviour as acceptable and some as deviant – which are enforced by the state (for example, via criminal justice and mental health policy), but also social groups and individuals who govern their own behaviour with reference to what they feel is expected of them (and the consequences of not living up to expectations).
Such beliefs, norms, and rules are profoundly important because they often remain unspoken and taken for granted. Indeed, some studies equate them with the social structures that appear to close off some action. If so, we may not need to identify manipulation to find unequal power relationships: strong and enduring social practices help some people win at the expense of others, by luck or design.
In practice, these more-or-less-observable forms of power co-exist and often reinforce each other:
Example 1. The control of elected office is highly skewed towards men. Male incumbency, combined with social norms about who should engage in politics and public life, signal to women that their efforts may be relatively unrewarded and routinely punished – for example, in electoral campaigns in which women face verbal and physical misogyny – and the oversupply of men in powerful positions tends to limit debates on feminist issues.
Example 2. ‘Epistemic violence’ describes the act of dismissing an individual, social group, or population by undermining the value of their knowledge or claim to knowledge. Specific discussions include: (a) the colonial West’s subjugation of colonized populations, diminishing the voice of the subaltern; (b) privileging scientific knowledge and dismissing knowledge claims via personal or shared experience; and (c) erasing the voices of women of colour from the history of women’s activism and intellectual history.
It is in this context that we can understand ‘critical’ research designed to ‘produce social change that will empower, enlighten, and emancipate’ (p51). Powerlessness can relate to the visible lack of economic material resources and factors such as the lack of opportunity to mobilise and be heard.
In policy studies, there is a profound difference between uncertainty and ambiguity:
Uncertainty describes a lack of knowledge or a worrying lack of confidence in one’s knowledge.
Ambiguity describes the ability to entertain more than one interpretation of a policy problem.
Both concepts relate to ‘bounded rationality’: policymakers do not have the ability to process all information relevant to policy problems. Instead, they employ two kinds of shortcut:
‘Rational’. Pursuing clear goals and prioritizing certain sources of information.
‘Irrational’. Drawing on emotions, gut feelings, deeply held beliefs, and habits.
I make an artificially binary distinction, uncertain versus ambiguous, and relate it to another binary, rational versus irrational, to point out the pitfalls of focusing too much on one aspect of the policy process:
Policy actors seek to resolve uncertainty by generating more information or drawing greater attention to the available information.
Actors can try to solve uncertainty by: (a) improving the quality of evidence, and (b) making sure that there are no major gaps between the supply of and demand for evidence. Relevant debates include: what counts as good evidence?, focusing on the criteria to define scientific evidence and their relationship with other forms of knowledge (such as practitioner experience and service user feedback), and what are the barriers between supply and demand?, focusing on the need for better ways to communicate.
Policy actors seek to resolve ambiguity by focusing on one interpretation of a policy problem at the expense of another.
Actors try to solve ambiguity by exercising power to increase attention to, and support for, their favoured interpretation of a policy problem. You will find many examples of such activity spread across the 500 and 1000 words series:
A focus on reducing uncertainty gives the impression that policymaking is a technical process in which people need to produce the best evidence and deliver it to the right people at the right time.
In contrast, a focus on reducing ambiguity gives the impression of a more complicated and political process in which actors are exercising power to compete for attention and dominance of the policy agenda. Uncertainty matters, but primarily to describe the role of a complex policymaking system in which no actor truly understands where they are or how they should exercise power to maximise their success.
High profile politics and electoral competition can cause alienation:
Political actors compete to tell ‘stories’ to assign praise or blame to groups of people. For example, politicians describe value judgements about who should be rewarded or punished by government. They base them on stereotypes of ‘target populations’, by (a) exploiting the ways in which many people think about groups, or (b) making emotional and superficial judgements, backed up with selective use of facts.
These judgements have a ‘feed-forward’ effect: they are reproduced in policies, practices, and institutions. Such ‘policy designs’ can endure for years or decades. The distribution of rewards and sanctions is cumulative and difficult to overcome.
Policy design has an impact on citizens, who participate in politics according to how they are characterised by government. Many know they will be treated badly; their engagement will be dispiriting.
Some groups have the power to challenge the way they are described by policymakers (and the media and public), and receive benefits behind the scenes despite their poor image. However, many people feel powerless, become disenchanted with politics, and do not engage in the democratic process.
SCTP depicts this dynamic with a 2-by-2 table in which target populations are described positively/ negatively and more or less able to respond:
2. Bureaucratic and expert politics
Most policy issues are not salient and politicised in this way. Yet, low salience can exacerbate problems of citizen exclusion. Policies dominated by bureaucratic interests often alienate citizens receiving services. Or a small elite dominates policymaking when there is high acceptance that (a) the best policy is ‘evidence based’, and (b) the evidence should come from experts.
Overall, SCPD describes a political system with major potential to diminish democracy, containing key actors (a) politicising issues to reward or punish populations or (b) depoliticising issues with reference to science and objectivity. In both cases, policy design is not informed by routine citizen participation.
Take home message for students: SCPD began as Schneider and Ingram’s description of the US political system’s failure to solve major problems including inequality, poverty, crime, racism, sexism, and effective universal healthcare and education. Think about how its key drivers apply elsewhere: (1) some people make and exploit quick and emotional judgements for political gain, and others refer to expertise to limit debate; (2) these judgements inform policy design; and, (3) policy design sends signals to citizens which can diminish or boost their incentive to engage in politics.
For more, see the 1000-word and 5000-word versions. The latter has a detailed guide to further reading.
These posts introduce you to key concepts in the study of public policy. They are all designed to turn a complex policymaking world into something simple enough to understand. Some of them focus on small parts of the system. Others present ambitious ways to explain the system as a whole. The wide range of concepts should give you a sense of a variety of studies out there, but my aim is to show you that these studies have common themes.