Category Archives: public policy

A 5-step strategy to make evidence count

5 stepsLet’s imagine a heroic researcher, producing the best evidence and fearlessly ‘speaking truth to power’. Then, let’s place this person in four scenarios, each of which combines a discussion of evidence, policy, and politics in different ways.

  1. Imagine your hero presents to HM Treasury an evidence-based report concluding that a unitary UK state would be far more efficient than a union state guaranteeing Scottish devolution. The evidence is top quality and the reasoning is sound, but the research question is ridiculous. The result of political deliberation and electoral choice suggests that your hero is asking a research question that does not deserve to be funded in the current political climate. Your hero is a clown.
  2. Imagine your hero presents to the Department of Health a report based on the systematic review of multiple randomised control trials. It recommends that you roll out an almost-identical early years or public health intervention across the whole country. We need high ‘fidelity’ to the model to ensure the correct ‘dosage’ and to measure its effect scientifically. The evidence is of the highest quality, but the research question is not quite right. The government has decided to devolve this responsibility to local public bodies and/ or encourage the co-production of public service design by local public bodies, communities, and service users. So, to focus narrowly on fidelity would be to ignore political choices (perhaps backed by different evidence) about how best to govern. If you don’t know the politics involved, you will ask the wrong questions or provide evidence with unclear relevance. Your hero is either a fool, naïve to the dynamics of governance, or a villain willing to ignore governance principles.        
  3. Imagine two fundamentally different – but equally heroic – professions with their own ideas about evidence. One favours a hierarchy of evidence in which RCTs and their systematic review is at the top, and service user and practitioner feedback is near the bottom. The other rejects this hierarchy completely, identifying the unique, complex relationship between practitioner and service user which requires high discretion to make choices in situations that will differ each time. Trying to resolve a debate between them with reference to ‘the evidence’ makes no sense. This is about a conflict between two heroes with opposing beliefs and preferences that can only be resolved through compromise or political choice. This is, oh I don’t know, Batman v Superman, saved by Wonder Woman.
  4. Imagine you want the evidence on hydraulic fracturing for shale oil and gas. We know that ‘the evidence’ follows the question: how much can we extract? How much revenue will it produce? Is it safe, from an engineering point of view? Is it safe, from a public health point of view? What will be its impact on climate change? What proportion of the public supports it? What proportion of the electorate supports it? Who will win and lose from the decision? It would be naïve to think that there is some kind of neutral way to produce an evidence-based analysis of such issues. The commissioning and integration of evidence has to be political. To pretend otherwise is a political strategy. Your hero may be another person’s villain.

Now, let’s use these scenarios to produce a 5-step way to ‘make evidence count’.

Step 1. Respect the positive role of politics

A narrow focus on making the supply of evidence count, via ‘evidence-based policymaking’, will always be dispiriting because it ignores politics or treats political choice as an inconvenience. If we:

  • begin with a focus on why we need political systems to make authoritative choices between conflicting preferences, and take governance principles seriously, we can
  • identify the demand for evidence in that context, then be more strategic and pragmatic about making evidence count, and
  • be less dispirited about the outcome.

In other words, think about the positive and necessary role of democratic politics before bemoaning post-truth politics and policy-based-evidence-making.

Step 2. Reject simple models of evidence-based policymaking

Policy is not made in a cycle containing a linear series of separate stages and we won’t ‘make evidence count’ by using it to inform our practices.

cycle

You might not want to give up the cycle image because it presents a simple account of how you should make policy. It suggests that we elect policymakers then: identify their aims, identify policies to achieve those aims, select a policy measure, ensure that the selection is legitimised by the population or its legislature, identify the necessary resources, implement and then evaluate. Or, policymakers aided by expert policy analysts make and legitimise choices, skilful public servants carry them out, and, policy analysts assess the results using evidence.

One compromise is to keep the cycle then show how messy it is in practice:

However, there comes a point when there is too much mess, and the image no longer helps you explain (a) to the public what you are doing, or (b) to providers of evidence how they should engage in political systems. By this point, simple messages from more complicated policy theories may be more useful.

Or, we may no longer want a cycle to symbolise a single source of policymaking authority. In a multi-level system, with many ‘centres’ possessing their own sources of legitimate authority, a single and simple policy cycle seems too artificial to be useful.

Step 3. Tell a simple story about your evidence

People are ‘cognitive misers’ seeking ‘rational’ and ‘irrational’ shortcuts to gather information for action, so you won’t get far if you bombard them with too much evidence. Policymakers already have too much evidence and they seek ways to reduce their cognitive load, relying on: (a) trusted sources of concise evidence relevant to their aims, and (b) their own experience, gut instinct, beliefs, and emotions.

The implication of both shortcuts is that we need to tell simple and persuasive stories about the substance and implications of the evidence we present. To say that ‘the evidence does not speak for itself’ may seem trite, but I’ve met too many people who assume naively that it will somehow ‘win the day’. In contrast, civil servants know that the evidence-informed advice they give to ministers needs to relate to the story that government ministers tell to the public.

how-to-be-heard

Step 4.  Tailor your story to many audiences

In a complex or multi-level environment, one story to one audience (such as a minister) is not enough. If there are many key sources of policymaking authority – including public bodies with high autonomy, organisations and practitioners with the discretion to deliver services, and service users involved in designing services – there are many stories being told about what we should be doing and why. We may convince one audience and alienate (or fail to inspire) another with the same story.

Step 5. Clarify and address key dilemmas with political choice, not evidence

Let me give you one example of the dilemmas that must arise when you combine evidence and politics to produce policy: how do you produce a model of ‘evidence based best practice’ which combines evidence and governance principles in a consistent way? Here are 3 ideal-type models which answer the question in very different ways

Table 1 Three ideal types EBBP

The table helps us think through the tensions between models, built on very different principles of good evidence and governance.

In practice, you may want to combine different elements, perhaps while arguing that the loss of consistency is lower than the gain from flexibility. Or, the dynamics of political systems limit such choice or prompt ad hoc and inconsistent choices.

I built a lot of this analysis on the experiences of the Scottish Government, which juggles all three models, including a key focus on improvement method in its Early Years Collaborative.

However, Kathryn Oliver and I show that the UK government faces the same basic dilemma and addresses it in similar ways.

The example freshest in my mind is Sure Start. Its rationale was built on RCT evidence and systematic review. However, its roll-out was built more on local flexibility and service design than insistence on fidelity to a model. More recently, the Troubled Families programme initially set the policy agenda and criteria for inclusion, but increasingly invites local public bodies to select the most appropriate interventions, aided by the Early Intervention Foundation which reviews the evidence but does not insist on one-best-way. Emily St Denny and I explore these issues further in our forthcoming book on prevention policy, an exemplar case study of a field in which it is difficult to know how to ‘make evidence count’.

If you prefer a 3-step take home message:

  1. I think we use phrases like ‘impact’ and ‘make evidence count’ to reflect a vague and general worry about a decline in respect for evidence and experts. Certainly, when I go to large conferences of scientists, they usually tell a story about ‘post-truth’ politics.
  2. Usually, these stories do not acknowledge the difference between two different explanations for an evidence-policy gap: (a) pathological policymaking and corrupt politicians, versus (b) complex policymaking and politicians having to make choices despite uncertainty.
  3. To produce evidence with ‘impact’, and know how to ‘make evidence count’, we need to understand the policy process and the demand for evidence within it.

*Background. This is a post for my talk at the Government Economic Service and Government Social Research Service Annual Training Conference (15th September 2017). This year’s theme is ‘Impact and Future-Proofing: Making Evidence Count’. My brief is to discuss evidence use in the Scottish Government, but it faces the same basic question as the UK Government: how do you combine principles of evidence quality and governance principles? In other words, if you were in a position to design an (a) evidence-gathering system and (b) a political system, you’d soon find major points of tension between them. Resolving those tensions involves political choice, not more evidence. Of course, you are not in a position to design both systems, so the more complicated question is: how do you satisfy principles of evidence and governance in a complex policy process, often driven by policymaker psychology, over which you have little control?  Here are 7 different ‘answers’.

Powerpoint Paul Cairney @ GES GSRS 2017

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Policy Concepts in 500 Words: Social Construction and Policy Design

Why would a democratic political system produce ‘degenerative’ policy that undermines democracy? Social Construction and Policy Design (SCPD) describes two main ways in which policymaking alienates many citizens:

1. The Social Construction of Target Populations

High profile politics and electoral competition can cause alienation:

  1. 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.
  2. 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.
  3. 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:

SCPD 500 words 2 by 2

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.

 

 

 

 

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Filed under 500 words, Evidence Based Policymaking (EBPM), Psychology Based Policy Studies, public policy, Storytelling

Three ways to encourage policy learning

Claire Claudio

This is a guest post by  Claire A. Dunlop (left) and Claudio M. Radaelli (right), discussing how to use insights from the Policy Learning literature to think about how to learn effectively or adapt to the processes of ‘learning’ in policymaking that are more about politics than education. The full paper has been submitted to the series for Policy and Politics called Practical Lessons from Policy Theories.

We often hear that university researchers are ‘all brains but no common sense’. There is often some truth to this stereotype. The literature on policy learning is an archetypal example of being high in IQ but low on street smarts. Researchers have generated a huge amount of ‘policy learning’ taxonomies, concepts and methods without showing what learning can offer policy-makers, citizens and societies.

This is odd because there is a substantive demand and need for practical insights on how to learn. Issues include economic growth, the control of corruption, and improvement in schools and health. Learning organisations range from ‘street level bureaucracies’ to international regulators like the European Union and the World Trade Organization.

To help develop a more practical agenda, we distil three major lessons from the policy learning literature.

1. Learning is often the by-product of politics, not the primary goal of policymakers

There is usually no clear incentive for political actors to learn how to improve public policy. Learning is often the by-product of bargaining, the effort to secure compliance with the law and rules, social participation, or problem-solving when there is radical uncertainty. This means that in politics we should not assume that politicians, bureaucrats, civil society organizations, experts interact to improve public policy. Consensus, participation, formal procedures, and social certification are more important.

Therefore, we have to learn how to design incentives so that the by-product of learning is actually generated. Otherwise, few actors will play the game of the policy-making process with learning as their first goal. Learning is all around us, but it appears in different forms, depending on whether the context is (a) bargaining, (b) compliance, (c) participation or (d) problem-solving under conditions of high uncertainty.

2. Each mode of learning has its triggers or hindrances

(a) Bargaining requires repeated interaction, low barriers to contract and mechanisms of preference aggregation.

(b) Compliance without trust in institutions is stymied.

(c) Participation needs its own deliberative spaces and a type of participant willing to go beyond the ‘dialogue of the deaf’. Without these two triggers, participation is chaotic, highly conflictual and inefficient.

(d) Expertise is key to problem-solving, but governments should design their advisory committees and special commissions of inquiry by recruiting a broad range of experts. The risk of excluding the next Galileo Galilei in a Ptolemaic committee is always there.

At the same time, there are specific hindrances:

(a) Bargaining stops when the winners are always the same (if you are thinking of Germany and Greece in the European Union you are spot-on).

(b) Hierarchy does not produce efficient compliance unless those at the top know exactly the solution to enforce.

(c) Incommensurable beliefs spoil participatory policy processes. If so, it’s better to switch to open democratic conflict, by counting votes in elections and referenda for example.

(d) Scientific scepticism and low policy capacity mar the work of experts in governmental bodies.

These triggers and hindrances have important lessons for design, perhaps prompting authorities (governments, regulators, public bodies) to switch from one context to another. For example, one can re-design the work of expert committees by including producers and consumers organizations or by allowing bargaining on the implementation of budgetary rules.

3. Beware the limitations of learning

We may get this precious by-product and avoid hindrances and traps, but still… learn the wrong lessons.

Latin America and Africa offer too many examples of diligent pupils who did exactly what they were supposed to do, but in the end implemented wrong policies. Perfect compliance does not provide breathing spaces to a policy and impairs the quality of innovation. We have to balance lay and professional knowledge. Bargaining does not allow us to learn about radical innovations; in some cases only a new participant can really change the nature of the game being played by the usual suspects.

So, whether the problem is learning how to fight organized crime and corruption, or to re-launch growth in Europe and development in Africa, the design of the policy process is crucial. For social actors, our analysis shows when and how they should try to change the nature of the game, or lobby for a re-design of the process. This lesson is often forgotten because social actors fight for a given policy objective, not for the parameters that define who does what and how in the policy process.

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Here’s why there is always an expectations gap in prevention policy

Prevention is the most important social policy agenda of our time. Many governments make a sincere commitment to it, backed up by new policy strategies and resources. Yet, they also make limited progress before giving up or changing tack. Then, a new government arrives, producing the same cycle of enthusiasm and despair. This fundamental agenda never seems to get off the ground. We aim to explain this ‘prevention puzzle’, or the continuous gap between policymaker expectations and actual outcomes.

What is prevention policy and policymaking?

When engaged in ‘prevention’, governments seek to:

  1. Reform policy. To move from reactive to preventive public services, intervening earlier in people’s lives to ward off social problems and their costs when they seem avoidable.
  2. Reform policymaking. To (a) ‘join up’ government departments and services to solve ‘wicked problems’ that transcend one area, (b) give more responsibility for service design to local public bodies, stakeholders, ‘communities’ and service users, and (c) produce long term aims for outcomes, and reduce short term performance targets.
  3. Ensure that policy is ‘evidence based’.

Three reasons why they never seem to succeed

We use well established policy theories/ studies to explain the prevention puzzle.

  1. They don’t know what prevention means. They express a commitment to something before defining it. When they start to make sense of it, they find out how difficult it is to pursue, and how many controversial choices it involves.
  2. They engage in a policy process that is too complex to control. They try to share responsibility with many actors and coordinate action to direct policy outcomes, without the ability to design those relationships and control policy outcomes. Yet, they need to demonstrate to the electorate that they are in control. When they make sense of policymaking, they find out how difficult it is to localise and centralise.
  3. They are unable and unwilling to produce ‘evidence based policymaking’. Policymakers seek ‘rational’ and ‘irrational’ shortcuts to gather enough information to make ‘good enough’ decisions. When they seek evidence on preventing problems before they arise, they find that it is patchy, inconclusive, often counter to their beliefs, and unable to provide a ‘magic bullet’ to help make and justify choices.

Who knows what happens when they address these problems at the same time?

We draw on empirical and comparative UK and devolved government analysis to show in detail how policymaking differs according to the (a) type of government, (b) issue, and (c) era in which they operate.

Although it is reasonable to expect policymaking to be very different in, for example, the UK versus Scottish, or Labour versus Conservative governments, and in eras of boom versus austerity, a key part of our research is to show that the same basic ‘prevention puzzle’ exists at all times. You can’t simply solve it with a change of venue or government.

Our UK book will be out in 2018, with new draft chapters appearing here soon. Our longer term agenda – via IMAJINE – is to examine how policymakers try to reduce territorial inequalities across Europe partly by pursuing prevention and reforming public services.

 

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Evidence based policymaking: 7 key themes

7 themes of EBPM

I looked back at my blog posts on the politics of ‘evidence based policymaking’ and found that I wrote quite a lot (particularly from 2016). Here is a list based on 7 key themes.

1. Use psychological insights to influence the use of evidence

My most-current concern. The same basic theme is that (a) people (including policymakers) are ‘cognitive misers’ seeking ‘rational’ and ‘irrational’ shortcuts to gather information for action, so you won’t get far if you (b) bombard them with information, or (c) call them idiots.

Three ways to communicate more effectively with policymakers (shows how to use psychological insights to promote evidence in policymaking)

Using psychological insights in politics: can we do it without calling our opponents mental, hysterical, or stupid? (yes)

The Psychology of Evidence Based Policymaking: Who Will Speak For the Evidence if it Doesn’t Speak for Itself? (older paper, linking studies of psychology with studies of EBPM)

Older posts on the same theme:

Is there any hope for evidence in emotional debates and chaotic government? (yes)

We are in danger of repeating the same mistakes if we bemoan low attention to ‘facts’

These complaints about ignoring science seem biased and naïve – and too easy to dismiss

How can we close the ‘cultural’ gap between the policymakers and scientists who ‘just don’t get it’?

2. How to use policy process insights to influence the use of evidence

I try to simplify key insights about the policy process to show to use evidence in it. One key message is to give up on the idea of an orderly policy process described by the policy cycle model. What should you do if a far more complicated process exists?

The Politics of Evidence Based Policymaking: 3 messages (3 ways to say that you should engage with the policy process that exists, not a mythical process that will never exist)

Three habits of successful policy entrepreneurs (shows how entrepreneurs are influential in politics)

Why doesn’t evidence win the day in policy and policymaking? and What does it take to turn scientific evidence into policy? Lessons for illegal drugs from tobacco and There is no blueprint for evidence-based policy, so what do you do? (3 posts describing the conditions that must be met for evidence to ‘win the day’)

Writing for Impact: what you need to know, and 5 ways to know it (explains how our knowledge of the policy process helps communicate to policymakers)

How can political actors take into account the limitations of evidence-based policy-making? 5 key points (presentation to European Parliament-European University Institute ‘Policy Roundtable’ 2016)

Evidence Based Policy Making: 5 things you need to know and do (presentation to Open Society Foundations New York 2016)

What 10 questions should we put to evidence for policy experts? (part of a series of videos produced by the European Commission)

3. How to combine principles on ‘good evidence’, ‘good governance’, and ‘good practice’

My argument here is that EBPM is about deciding at the same time what is: (1) good evidence, and (2) a good way to make and deliver policy. If you just focus on one at a time – or consider one while ignoring the other – you cannot produce a defendable way to promote evidence-informed policy delivery.

Kathryn Oliver and I have just published an article on the relationship between evidence and policy (summary of and link to our article on this very topic)

We all want ‘evidence based policy making’ but how do we do it? (presentation to the Scottish Government on 2016)

The ‘Scottish Approach to Policy Making’: Implications for Public Service Delivery

The politics of evidence-based best practice: 4 messages

The politics of implementing evidence-based policies

Policy Concepts in 1000 Words: the intersection between evidence and policy transfer

Key issues in evidence-based policymaking: comparability, control, and centralisation

The politics of evidence and randomised control trials: the symbolic importance of family nurse partnerships

What Works (in a complex policymaking system)?

How Far Should You Go to Make Sure a Policy is Delivered?

4. Face up to your need to make profound choices to pursue EBPM

These posts have arisen largely from my attendance at academic-practitioner conferences on evidence and policy. Many participants tell the same story about the primacy of scientific evidence challenged by post-truth politics and emotional policymakers. I don’t find this argument convincing or useful. So, in many posts, I challenge these participants to think about more pragmatic ways to sum up and do something effective about their predicament.

Political science improves our understanding of evidence-based policymaking, but does it produce better advice? (shows how our knowledge of policymaking clarifies dilemmas about engagement)

The role of ‘standards for evidence’ in ‘evidence informed policymaking’ (argues that a strict adherence to scientific principles may help you become a good researcher but not an effective policy influencer)

How far should you go to secure academic ‘impact’ in policymaking? From ‘honest brokers’ to ‘research purists’ and Machiavellian manipulators (you have to make profound ethical and strategic choices when seeking to maximise the use of evidence in policy)

Principles of science advice to government: key problems and feasible solutions (calling yourself an ‘honest broker’ while complaining about ‘post-truth politics’ is a cop out)

What sciences count in government science advice? (political science, obvs)

I know my audience, but does my other audience know I know my audience? (compares the often profoundly different ways in which scientists and political scientists understand and evaluate EBPM – this matters because, for example, we rarely discuss power in scientist-led debates)

Is Evidence-Based Policymaking the same as good policymaking? (no)

Idealism versus pragmatism in politics and policymaking: … evidence-based policymaking (how to decide between idealism and pragmatism when engaging in politics)

Realistic ‘realist’ reviews: why do you need them and what might they look like? (if you privilege impact you need to build policy relevance into systematic reviews)

‘Co-producing’ comparative policy research: how far should we go to secure policy impact? (describes ways to build evidence advocacy into research design)

The Politics of Evidence (review of – and link to – Justin Parkhurt’s book on the ‘good governance’ of evidence production and use)

20170512_095446

5. For students and researchers wanting to read/ hear more

These posts are relatively theory-heavy, linking quite clearly to the academic study of public policy. Hopefully they provide a simple way into the policy literature which can, at times, be dense and jargony.

‘Evidence-based Policymaking’ and the Study of Public Policy

Policy Concepts in 1000 Words: ‘Evidence Based Policymaking’

Practical Lessons from Policy Theories (series of posts on the policy process, offering potential lessons for advocates of evidence use in policy)

Writing a policy paper and blog post 

12 things to know about studying public policy

Can you want evidence based policymaking if you don’t really know what it is? (defines each word in EBPM)

Can you separate the facts from your beliefs when making policy? (no, very no)

Policy Concepts in 1000 Words: Success and Failure (Evaluation) (using evidence to evaluate policy is inevitably political)

Policy Concepts in 1000 Words: Policy Transfer and Learning (so is learning from the experience of others)

Four obstacles to evidence based policymaking (EBPM)

What is ‘Complex Government’ and what can we do about it? (read about it)

How Can Policy Theory Have an Impact on Policy Making? (on translating policy theories into useful advice)

The role of evidence in UK policymaking after Brexit (argues that many challenges/ opportunities for evidence advocates will not change after Brexit)

Why is there more tobacco control policy than alcohol control policy in the UK? (it’s not just because there is more evidence of harm)

Evidence Based Policy Making: If You Want to Inject More Science into Policymaking You Need to Know the Science of Policymaking and The politics of evidence-based policymaking: focus on ambiguity as much as uncertainty and Revisiting the main ‘barriers’ between evidence and policy: focus on ambiguity, not uncertainty and The barriers to evidence based policymaking in environmental policy (early versions of what became the chapters of the book)

6. Using storytelling to promote evidence use

This is increasingly a big interest for me. Storytelling is key to the effective conduct and communication of scientific research. Let’s not pretend we’re objective people just stating the facts (which is the least convincing story of all). So far, so good, except to say that the evidence on the impact of stories (for policy change advocacy) is limited. The major complication is that (a) the story you want to tell and have people hear interacts with (b) the story that your audience members tell themselves.

Combine Good Evidence and Emotional Stories to Change the World

Storytelling for Policy Change: promise and problems

Is politics and policymaking about sharing evidence and facts or telling good stories? Two very silly examples from #SP16

7. The major difficulties in using evidence for policy to reduce inequalities

These posts show how policymakers think about how to combine (a) often-patchy evidence with (b) their beliefs and (c) an electoral imperative to produce policies on inequalities, prevention, and early intervention. I suggest that it’s better to understand and engage with this process than complain about policy-based-evidence from the side-lines. If you do the latter, policymakers will ignore you.

What do you do when 20% of the population causes 80% of its problems? Possibly nothing.

The theory and practice of evidence-based policy transfer: can we learn how to reduce territorial inequalities?

We need better descriptions than ‘evidence-based policy’ and ‘policy-based evidence’: the case of UK government ‘troubled families’ policy

How can you tell the difference between policy-based-evidence and evidence-based-policymaking?

Early intervention policy, from ‘troubled families’ to ‘named persons’: problems with evidence and framing ‘valence’ issues

Key issues in evidence-based policymaking: comparability, control, and centralisation

The politics of evidence and randomised control trials: the symbolic importance of family nurse partnerships

Two myths about the politics of inequality in Scotland

Social investment, prevention and early intervention: a ‘window of opportunity’ for new ideas?

A ‘decisive shift to prevention’: how do we turn an idea into evidence based policy?

Can the Scottish Government pursue ‘prevention policy’ without independence?

Note: these issues are discussed in similar ways in many countries. One example that caught my eye today:

 

All of this discussion can be found under the EBPM category: https://paulcairney.wordpress.com/category/evidence-based-policymaking-ebpm/T

See also the special issue on maximizing the use of evidence in policy

Palgrave C special

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Filed under agenda setting, Evidence Based Policymaking (EBPM), Prevention policy, public policy, Storytelling, UK politics and policy

Telling Stories that Shape Public Policy

This is a guest post by Michael D. Jones (left) and Deserai Anderson Crow (right), discussing how to use insights from the Narrative Policy Framework to think about how to tell effective stories to achieve policy goals. The full paper has been submitted to the series for Policy and Politics called Practical Lessons from Policy Theories.

Imagine. You are an ecologist. You recently discovered that a chemical that is discharged from a local manufacturing plant is threatening a bird that locals love to watch every spring. Now, imagine that you desperately want your research to be relevant and make a difference to help save these birds. All of your training gives you depth of expertise that few others possess. Your training also gives you the ability to communicate and navigate things such as probabilities, uncertainty, and p-values with ease.

But as NPR’s Robert Krulwich argues, focusing on this very specialized training when you communicate policy problems could lead you in the wrong direction. While being true to the science and best practices of your training, one must also be able to tell a compelling story.  Perhaps combine your scientific findings with the story about the little old ladies who feed the birds in their backyards on spring mornings, emphasizing the beauty and majesty of these avian creatures, their role in the community, and how the toxic chemicals are not just a threat to the birds, but are also a threat to the community’s understanding of itself and its sense of place.  The latest social science is showing that if you tell a good story, your policy communications are likely to be more effective.

Why focus on stories?

The world is complex. We are bombarded with information as we move through our lives and we seek patterns within that information to simplify complexity and reduce ambiguity, so that we can make sense of the world and act within it.

The primary means by which human beings render complexity understandable and reduce ambiguity is through the telling of stories. We “fit” the world around us and the myriad of objects and people therein, into story patterns. We are by nature storytelling creatures. And if it is true of us as individuals, then we can also safely assume that storytelling matters for public policy where complexity and ambiguity abound.

Based on our (hopefully) forthcoming article (which has a heavy debt to Jones and Peterson, 2017 and Catherine Smith’s popular textbook) here we offer some abridged advice synthesizing some of the most current social science findings about how best to engage public policy storytelling. We break it down into five easy steps and offer a short discussion of likely intervention points within the policy process.

The 5 Steps of Good Policy Narrating

  1. Tell a Story: Remember, facts never speak for themselves. If you are presenting best practices, relaying scientific information, or detailing cost/benefit analyses, you are telling or contributing to a story.  Engage your storytelling deliberately.
  2. Set the Stage: Policy narratives have a setting and in this setting you will find specific evidence, geography, legal parameters, and other policy consequential items and information.  Think of these setting items as props.  Not all stages can hold every relevant prop.  Be true to science; be true to your craft, but set your stage with props that maximize the potency of your story, which always includes making your setting amenable to your audience.
  3. Establish the Plot: In public policy plots usually define the problem (and polices do not exist without at least a potential problem). Define your problem. Doing so determines the causes, which establishes blame.
  4. Cast the Characters:  Having established a plot and defined your problem, the roles you will need your characters to play become apparent. Determine who the victim is (who is harmed by the problem), who is responsible (the villain) and who can bring relief (the hero). Cast characters your audience will appreciate in their roles.
  5. Clearly Specify the Moral: Postmodern films might get away without having a point.  Policy narratives usually do not. Let your audience know what the solution is.

Public Policy Intervention Points

There are crucial points in the policy process where actors can use narratives to achieve their goals. We call these “intervention points” and all intervention points should be viewed as opportunities to tell a good policy story, although each will have its own constraints.

These intervention points include the most formal types of policy communication such as crafting of legislation or regulation, expert testimony or statements, and evaluation of policies. They also include less formal communications through the media and by citizens to government.

Each of these interventions can frequently be dry and jargon-laden, but it’s important to remember that by employing effective narratives within any of them, you are much more likely to see your policy goals met.

When considering how to construct your story within one or more of the various intervention points, we urge you to first consider several aspects of your role as a narrator.

  1. Who are you and what are your goals? Are you an outsider trying to affect change to solve a problem or push an agency to do something it might not be inclined to do?  Are you an insider trying to evaluate and improve policy making and implementation? Understanding your role and your goals is essential to both selecting an appropriate intervention point and optimizing your narrative therein.
  2. Carefully consider your audience. Who are they and what is their posture towards your overall goal? Understanding your audience’s values and beliefs is essential for avoiding invoking defensiveness.
  3. There is the intervention point itself – what is the best way to reach your audience? What are the rules for the type of communication you plan to use? For example, media communications can be done with lengthy press releases, interviews with the press, or in the confines of a simple tweet.  All of these methods have both formal and informal constraints that will determine what you can and can’t do.

Without deliberate consideration of your role, audience, the intervention point, and how your narrative links all of these pieces together, you are relying on chance to tell a compelling policy story.

On the other hand, thoughtful and purposeful storytelling that remains true to you, your values, your craft, and your best understanding of the facts, can allow you to be both the ecologist and the bird lover.

 

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How can governments better collaborate to address complex problems?

Swann Kim

This is a guest post by William L. Swann (left) and Seo Young Kim (right), discussing how to use insights from the Institutional Collective Action Framework to think about how to improve collaborative governance. The full paper has been submitted to the series for Policy and Politics called Practical Lessons from Policy Theories.

Collective Action_1

Many public policy problems cannot be addressed effectively by a single, solitary government. Consider the problems facing the Greater Los Angeles Area, a heavily fragmented landscape of 88 cities and numerous unincorporated areas and special districts. Whether it is combatting rising homelessness, abating the country’s worst air pollution, cleaning the toxic L.A. River, or quelling gang violence, any policy alternative pursued unilaterally is limited by overlapping authority and externalities that alter the actions of other governments.

Problems of fragmented authority are not confined to metropolitan areas. They are also found in multi-level governance scenarios such as the restoration of Chesapeake Bay, as well as in international relations as demonstrated by recent global events such as “Brexit” and the U.S.’s withdrawal from the Paris Climate Agreement. In short, fragmentation problems manifest at every scale of governance, horizontally, vertically, and even functionally within governments.

What is an ‘institutional collective action’ dilemma?

In many cases governments would be better off coordinating and working together, but they face barriers that prevent them from doing so. These barriers are what the policy literature refers to as ‘institutional collective action’ (ICA) dilemmas, or collective action problems in which a government’s incentives do not align with collectively desirable outcomes. For example, all governments in a region benefit from less air pollution, but each government has an incentive to free ride and enjoy cleaner air without contributing to the cost of obtaining it.

The ICA Framework, developed by Professor Richard Feiock, has emerged as a practical analytical instrument for understanding and improving fragmented governance. This framework assumes that governments must match the scale and coerciveness of the policy intervention (or mechanism) to the scale and nature of the policy problem to achieve efficient and desired outcomes.

For example, informal networks (a mechanism) can be highly effective at overcoming simple collective action problems. But as problems become increasingly complex, more obtrusive mechanisms, such as governmental consolidation or imposed collaboration, are needed to achieve collective goals and more efficient outcomes. The more obtrusive the mechanism, however, the more actors’ autonomy diminishes and the higher the transaction costs (monitoring, enforcement, information, and agency) of governing.

Collective Action_2

Three ways to improve institutional collaborative governance

We explored what actionable steps policymakers can take to improve their results with collaboration in fragmented systems. Our study offers three general practical recommendations based on the empirical literature that can enhance institutional collaborative governance.

First, institutional collaboration is more likely to emerge and work effectively when policymakers employ networking strategies that incorporate frequent, face-to-face interactions.

Government actors networking with popular, well-endowed actors (“bridging strategies”) as well as developing closer-knit, reciprocal ties with a smaller set of actors (“bonding strategies”) will result in more collaborative participation, especially when policymakers interact often and in-person.

Policy network characteristics are also important to consider. Research on estuary governance indicates that in newly formed, emerging networks, bridging strategies may be more advantageous, at least initially, because they can provide organizational legitimacy and access to resources. However, once collaboratives mature, developing stronger and more reciprocal bonds with fewer actors reduces the likelihood of opportunistic behavior that can hinder collaborative effectiveness.

Second, policymakers should design collaborative arrangements that reduce transaction costs which hinder collaboration.

Well-designed collaborative institutions can lower the barriers to participation and information sharing, make it easier to monitor the behaviors of partners, grant greater flexibility in collaborative work, and allow for more credible commitments from partners.

Research suggests policymakers can achieve this by

  1. identifying similarities in policy goals, politics, and constituency characteristics with institutional partners
  2. specifying rules such as annual dues, financial reporting, and making financial records reviewable by third parties to increase commitment and transparency in collaborative arrangements
  3. creating flexibility by employing adaptive agreements with service providers, especially when services have limited markets/applications and performance is difficult to measure.

Considering the context, however, is crucial. Collaboratives that thrive on informal, close-knit, reciprocal relations, for example, may be severely damaged by the introduction of monitoring mechanisms that signal distrust.

Third, institutional collaboration is enhanced by the development and harnessing of collaborative capacity.

Research suggests signaling organizational competencies and capacities, such as budget, political support, and human resources, may be more effective at lowering barriers to collaboration than ‘homophily’ (a tendency to associate with similar others in networks). Policymakers can begin building collaborative capacity by seeking political leadership involvement, granting greater managerial autonomy, and looking to higher-level governments (e.g., national, state, or provincial governments) for financial and technical support for collaboration.

What about collaboration in different institutional contexts?

Finally, we recognize that not all policymakers operate in similar institutional contexts, and collaboration can often be mandated by higher-level authorities in more centralized nations. Nonetheless, visible joint gains, economic incentives, transparent rules, and equitable distribution of joint benefits and costs are critical components of voluntary or mandated collaboration.

Conclusions and future directions

The recommendations offered here are, at best, only the tip of the iceberg on valuable practical insight that can be gleaned from collaborative governance research. While these suggestions are consistent with empirical findings from broader public management and policy networks literatures, much could be learned from a closer inspection of the overlap between ICA studies and other streams of collaborative governance work.

Collaboration is a valuable tool of governance, and, like any tool, it should be utilized appropriately. Collaboration is not easily managed and can encounter many obstacles. We suggest that governments generally avoid collaborating unless there are joint gains that cannot be achieved alone. But the key to solving many of society’s intractable problems, or just simply improving everyday public service delivery, lies in a clearer understanding of how collaboration can be used effectively within different fragmented systems.

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