Tag Archives: 1000 words

British politics, Brexit and UK sovereignty: what does it all mean? #POLU9UK

 This is the first of 10 blog posts for the course POLU9UK: Policy and Policymaking in the UK. They will be a fair bit longer than the blog posts I asked you to write. I have also recorded a short lecture to go with it (OK, 22 minutes isn’t short).

In week 1 we’ll identify all that we think we knew about British politics, compare notes, then throw up our hands and declare that the Brexit vote has changed what we thought we knew.

I want to focus on the idea that a vote for the UK to leave the European Union was a vote for UK sovereignty. People voted Leave/ Remain for all sorts of reasons, and bandied around all sorts of ways to justify their position, but the idea of sovereignty and ‘taking back control’ is central to the Leave argument and this module.

For our purposes, it relates to broader ideas about the images we maintain about who makes key decisions in British politics, summed up by the phrases ‘parliamentary sovereignty’ and the ‘Westminster model’, and challenged by terms such as ‘bounded rationality’, ‘policy communities’, ‘multi-level governance’, and ‘complex government’.

Parliamentary Sovereignty

UK sovereignty relates strongly to the idea of parliamentary sovereignty: we vote in constituencies to elect MPs as our representatives, and MPs as a whole represent the final arbiters on policy in the UK. In practice, one party tends to dominate Parliament, and the elected government tends to dominate that party, but the principle remains important.

So, ‘taking back control’ is about responding, finally, to the sense that (a) the UK’s entry to the European Union from 1972 (when it signed the accession treaty) involved giving up far more sovereignty than most people expected, and (b) the European Union’s role has strengthened ever since, at the further expense of parliamentary sovereignty.

The Westminster Model

This idea of parliamentary sovereignty connects strongly to elements of the ‘Westminster model’ (WM), a shorthand phrase to describe key ways in which the UK political system is designed to work.

Our main task is to examine how well the WM: (a) describes what actually happens in British politics, and (b) represents what should happen in British politics. We can separate these two elements analytically but they influence each other in practice. For example, I ask what happens when elected policymakers know their limits but have to pretend that they don’t.

What should happen in British politics?

Perhaps policymaking should reflect strongly the wishes of the public. In representative democracies, political parties engage each other in a battle of ideas, to attract the attention and support of the voting public; the public votes every 4-5 years; the winner forms a government; the government turns its manifesto into policy; and, policy choices are carried out by civil servants and other bodies. In other words, there should be a clear link between public preferences, the strategies and ideas of parties and the final result.

The WM serves this purpose in a particular way: the UK has a plurality (‘first past the post’) voting system which tends to exaggerate support for, and give a majority in Parliament to, the winning party. It has an adversarial (and majoritarian?) style of politics and a ‘winner takes all’ mentality which tends to exclude opposition parties. The executive resides in the legislature and power tends to be concentrated within government – in ministers that head government departments and the Prime Minister who heads (and determines the members of) Cabinet. The government is responsible for the vast majority of public policy and it uses its governing majority, combined with a strong party ‘whip’, to make sure that its legislation is passed by Parliament.

In other words, the WM narrative suggests that the UK policy process is centralised and that the arrangement reflects a ‘British political tradition’: the government is accountable to public on the assumption that it is powerful and responsible. So, you know who is in charge and therefore who to praise or blame, and elections every 4-5 years are supplemented by parliamentary scrutiny built on holding ministers directly to account.

Pause for further reading: at this point, consider how this WM story links to a wider discussion of centralised policymaking (in particular, read the 1000 Words post on the policy cycle).

What actually happens?

One way into this discussion is to explore modern discussions of disenchantment with distant political elites who seem to operate in a bubble and not demonstrate their accountability to the public. For example, there is a literature on the extent to which MPs are likely to share the same backgrounds: white, male, middle class, and educated in private schools and Oxford or Cambridge. Or, the idea of a ‘Westminster bubble’ and distant ‘political class’ comes up in discussions of constitutional change (including the Scottish referendum debate), and was exacerbated during the expenses scandal in 2009.

Another is to focus on the factors that undermine this WM image of central control: maybe Westminster political elites are remote, but they don’t control policy outcomes. Instead, there are many factors which challenge the ability of elected policymakers to control the policy process. We will focus on these challenges throughout the course:

Challenge 1. Bounded rationality

Ministers only have the ability to pay attention to a tiny proportion of the issues over which have formal responsibility. So, how can they control issues if they have to ignore them? Much of the ‘1000 Words’ series explores the general implications of bounded rationality.

Challenge 2. Policy communities

Ministers don’t quite ignore issues; they delegate responsibility to civil servants at a quite-low level of government. Civil servants make policy in consultation with interest groups and other participants with the ability to trade resources (such as information) for access or influence. Such relationships can endure long after particular ministers or elected governments have come and gone.

In fact, this argument developed partly in response to discussions in the 1970s about the potential for plurality elections to cause huge swings in party success, and therefore frequent changes of government and reversals of government policy. Rather, scholars such as Jordan and Richardson identified policy continuity despite changes of government (although see Richardson’s later work).

Challenge 3. Multi-level governance

‘Multi-level’ refers to a tendency for the UK government to share policymaking responsibility with international, EU, devolved, and local governments.

‘Governance’ extends the logic of policy communities to identify a tendency to delegate or share responsibility with non-governmental and quasi-non-governmental organisations (quangos).

So, MLG can describe a clear separation of powers at many levels and a fairly coherent set of responsibilities in each case. Or, it can describe a ‘patchwork quilt’ of relationships which is difficult to track and understand. In either case, we identify ‘polycentricity’ or the presence of more than one ‘centre’ in British politics.

Challenge 4. Complex government

The phrase ‘complex government’ can be used to describe the complicated world of public policy, with elements including:

    • the huge size and reach of government – most aspects of our lives are regulated by the state
    • the potential for ministerial ‘overload’ and need to simplify decision-making
    • the blurry boundaries between the actors who make policy and those who seek to influence and/ or implement it (public policy results from their relationships and interactions)
    • the multi-level nature of policymaking
  • the complicated network of interactions between policy actors and many different ‘institutions’

 

  • the complexity of the statute book and the proliferation of rules and regulations, many of which may undermine each other.

 

Overall, these factors generate a sense of complex government that challenges the Westminster-style notion of accountability. How can we hold elected ministers to account if:

  1. they seem to have no hope of paying attention to much of complex government, far less control it
  2. there is so much interaction with unpredictable effects
  3. we don’t understand enough about how this process works to know if ministers are acting effectively?

Challenge 5. The policy environment and unpredictable events

Further, such governments operate within a wider environment in which conditions and events are often out of policymakers’ control. For example, how do they deal with demographic change or global economic crisis? Policymakers have some choice about the issues to which they pay attention, and the ways in which they understand and address them. However, they do not control that agenda or policy outcomes in the way we associate with the WM image of central control.

How has the UK government addressed these challenges?

We can discuss two key themes throughout the course:

  1. UK central governments have to balance two stories of British politics. One is the need to be pragmatic in the face of these five challenges to their power and sense of control. Another is the need to construct an image of governing competence, and most governments do so by portraying an image of power and central control!
  2. This dynamic contributes to state reform. There has been a massive build-up and partial knock-down of the ‘welfare state’ in the post-war period (please have a think about the key elements). This process links strongly to that idea of pragmatism versus central control: governments often reform the state to (a) deliver key policy outcomes (the development of the welfare state and aims such as full employment), or (b) reinvigorate central control (for example, to produce a ‘lean state’ or ‘hollowing state’).

What does this discussion tell us about our initial discussion of Brexit?

None of these factors help downplay the influence of the EU on the UK. Rather, they prompt us to think harder about the meaning, in practice, of parliamentary sovereignty and the Westminster model which underpins ongoing debates about the UK-EU relationship. In short, we can explore the extent to which a return to ‘parliamentary sovereignty’ describes little more than principles not evidence in practice. Such principles are important, but let’s also focus on what actually happens in British politics.

 

1 Comment

Filed under POLU9UK, UK politics and policy

Evidence-based policymaking: lecture and Q&A

Here is my talk (2 parts) on EBPM at the School of Public Affairs, University of Colorado Denver 24.2.16 (or download the main talk and Q and A):

You can find more on this topic here: https://paulcairney.wordpress.com/ebpm/

ebpm notes Denver 2016

3 Comments

Filed under Evidence Based Policymaking (EBPM)

Policy Concepts in 1000 Words: Framing

framing main

(podcast download)

‘Framing’ is a metaphor to describe the ways in which we understand, and use language selectively to portray, policy problems. There are many ways to describe this process in many disciplines, including communications, psychological, and sociological research. There is also more than one way to understand the metaphor.

For example, I think that most scholars describe this image (from litemind) of someone deciding which part of the world on which to focus.

framing with hands

However, I have also seen colleagues use this image, of a timber frame, to highlight the structure of a discussion which is crucial but often unseen and taken for granted:

timber frame

  1. Intentional framing and cognition.

The first kind of framing relates to bounded rationality or the effect of our cognitive processes on the ways in which we process information (and influence how others process information):

  • We use major cognitive shortcuts to turn an infinite amount of information into the ‘signals’ we perceive or pay attention to.
  • These cognitive processes often produce interesting conclusions, such as when (a) we place higher value on the things we own/ might lose rather than the things we don’t own/ might gain (‘prospect theory’) or (b) we value, or pay more attention to, the things with which we are most familiar and can process more easily (‘fluency’).
  • We often rely on other people to process and select information on our behalf.
  • We are susceptible to simple manipulation based on the order (or other ways) in which we process information, and the form it takes.

In that context, you can see one meaning of framing: other actors portray information selectively to influence the ways in which we see the world, or which parts of the world capture our attention (here is a simple example of wind farms).

In policy theory, framing studies focus on ambiguity: there are many ways in which we can understand and define the same policy problem (note terms such as ‘problem definition’ and a ‘policy image’). Therefore, actors exercise power to draw attention to, and generate support for, one particular understanding at the expense of others. They do this with simple stories or the selective presentation of facts, often coupled with emotional appeals, to manipulate the ways in which we process information.

  1. Frames as structures

Think about the extent to which we take for granted certain ways to understand or frame issues. We don’t begin each new discussion with reference to ‘first principles’. Instead, we discuss issues with reference to:

(a) debates that have been won and may not seem worth revisiting (imagine, for example, the ways in which ‘socialist’ policies are treated in the US)

(b) other well-established ways to understand the world which, when they seem to dominate our ways of thinking, are often described as ‘hegemonic’ or with reference to paradigms.

In such cases, the timber frame metaphor serves two purposes:

(a) we can conclude that it is difficult but not impossible to change.

(b) if it is hidden by walls, we do not see it; we often take it for granted even though we should know it exists.

Framing the social, not physical, world

These metaphors can only take us so far, because the social world does not have such easily identifiable physical structures. Instead, when we frame issues, we don’t just choose where to look; we also influence how people describe what we are looking at. Or, ‘structural’ frames relate to regular patterns of behaviour or ways of thinking which are more difficult to identify than in a building. Consequently, we do not all describe structural constraints in the same way even though, ostensibly, we are looking at the same thing.

In this respect, for example, the well-known ‘Overton window’ is a sort-of helpful but also problematic concept, since it suggests that policymakers are bound to stay within the limits of what Kingdon calls the ‘national mood’. The public will only accept so much before it punishes you in events such as elections. Yet, of course, there is no such thing as the public mood. Rather, some actors (policymakers) make decisions with reference to their perception of such social constraints (how will the public react?) but they also know that they can influence how we interpret those constraints with reference to one or more proxies, including opinion polls, public consultations, media coverage, and direct action:

JEPP public opinion

They might get it wrong, and suffer the consequences, but it still makes sense to say that they have a choice to interpret and adapt to such ‘structural’ constraints.

Framing, power and the role of ideas

We can bring these two ideas about framing together to suggest that some actors exercise power to reinforce dominant ways to think about the world. Power is not simply about visible conflicts in which one group with greater material resources wins and another loses. It also relates to agenda setting. First, actors may exercise power to reinforce social attitudes. If the weight of public opinion is against government action, maybe governments will not intervene. The classic example is poverty – if most people believe that it is caused by fecklessness, what is the role of government? In such cases, power and powerlessness may relate to the (in)ability of groups to persuade the public, media and/ or government that there is a reason to make policy; a problem to be solved.  In other examples, the battle may be about the extent to which issues are private (with no legitimate role for government) or public (and open to legitimate government action), including: should governments intervene in disputes between businesses and workers? Should they intervene in disputes between husbands and wives? Should they try to stop people smoking in private or public places?

Second, policymakers can only pay attention to a tiny amount of issues for which they are responsible. So, actors exercise power to keep some issues on their agenda at the expense of others.  Issues on the agenda are sometimes described as ‘safe’: more attention to these issues means less attention to the imbalances of power within society.

18 Comments

Filed under 1000 words, agenda setting, PhD, public policy

12 things to know about studying public policy

Here is a blog post on 12 things to know about studying public policy. Please see the end of the post if you would like to listen to or watch my lecture on this topic.

  1. There is more to politics than parties and elections.

Think of policy theory as an antidote to our fixation on elections, as a focus on what happens in between. We often point out that elections can produce a change in the governing party without prompting major changes in policy and policymaking, partly because most policy is processed at a level of government that receives very little attention from elected policymakers. Elections matter but, in policy studies, they do not represent the centre of the universe.

2. Public policy is difficult to define.

Imagine a simple definition: ‘the sum total of government action, from signals of intent to the final outcomes’. Then consider these questions. Does policy include what policymakers say they will do (e.g. in manifestos) as well as what they actually do? Does it include the policy outcome if it does not match the original aim? What is ‘the government’ and does it include elected and unelected policymakers? Does public policy include what policymakers decide to not do? Is it still ‘public policy’ when neither the public nor elected policymakers have the ability to pay attention to what goes on in their name?

3. Policy change is difficult to see and measure.

Usually we know that something has changed because the government has passed legislation, but policy is so much more: spending, economic penalties or incentives (taxes and subsidies), social security payments and sanctions, formal and informal regulations, public education, organisations and staffing, and so on. So, we need to sum up this mix of policies, asking: is there an overall and coherent aim, or a jumble of policy instruments? Can we agree on the motives of policymakers when making these policies? Does policy impact seem different when viewed from the ‘top’ or the ‘bottom’? Does our conclusion change when we change statistical measures?

4. There is no objective way to identify policy success.

We know that policy evaluation is political because left/right wing political parties and commentators argue as much about a government’s success as its choices. Yet, it cannot be solved by scientists identifying objective or technical measures of success, because there is political choice in the measures we use and much debate about the best measures. Measurement also involves (frequently) a highly imperfect proxy, such as by using waiting times to measure the effectiveness of a health service. We should also note the importance of perspective: should we measure success in terms of the aims of elected policymakers, the organisations carrying out policy, or the people who are most affected? What if many policymakers were involved, or their aims were not clear? What if their aim was to remain popular, or have an easy time in the legislature, not to improve people’s lives? What if it improved the lives of some, but hurt others?

5. There is no ‘policy cycle’ with well-ordered stages.

Imagine this simple advice to policymakers: identify your 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 the policy. If only life were so simple. Instead, think of policymaking as a collection of thousands of policy cycles, which interact with each other to produce much less predictable outcomes. Then note that it is often impossible in practice to know when one stage begins and another ends. Finally, imagine that the order of stages is completely messed up, such as when we have a solution long before a problem arises.

6. Policymakers are ‘rational’ and ‘irrational’.

A classic reference point is the ‘ideal-type’ of comprehensive (or synoptic) rationality which helps elected policymakers translate their values into policy in a straightforward manner. They have a clear, coherent and rank-ordered set of policy preferences which neutral organizations carry out on their behalf. We can separate policymaker values from organizational facts. There are clear-cut and ordered stages to the process and analysis of the policymaking context is comprehensive. This allows policymakers to maximize the benefits of policy to society in much the same way that an individual maximizes her own utility. In the real world, we identify ‘bounded rationality’, challenge all of the assumptions of comprehensive rationality, and wonder what happens next. The classic debate focused on the links between bounded rationality and incrementalism. Our current focus is on ‘rational’ and ‘irrational’ responses to the need to make decisions quickly without comprehensive information: limiting their options, and restricting information searches to sources they trust, to make their task manageable; but also making quick decisions by relying on instinct, gut, emotion, beliefs, ideology, and habits.

7. We talk of actors, but not on stage.

Most policy theories use the word ‘actor’ simply to describe the ability of people and organisations to deliberate and act to make choices. Many talk about the large number of actors involved in policymaking, at each level and across many levels of policymaking. Some discuss a shift, in many countries since the early post-war period, from centralized and exclusive policymaking, towards a fragmented multi-level system involving a much larger number of actors

8. We talk of institutions, but not buildings.

In political science, ‘institution’ refers to the rules, ‘norms’, and other practices that influence policymaking behaviour.  Some rules are visible or widely understood, such as constitutions. Others are less visible, such as the ‘rules of the game’ in politics, or organisational ‘cultures’. So, for example, ‘majoritarian’ and ‘consensus’ democracies could have very different formal rules but operate in very similar ways in practice. These rules develop in different ways in many parts of government, prompting us to consider what happens when many different actors develop different expectations of politics and policymaking.  For example, it might help explain a gap between policies made in one organisation and implemented by another. It might cause government policy to be contradictory, when many different organisations produce their own policies without coordinating with others. Or, governments may contribute to a convoluted statute book by adding to laws and regulations without thinking how they all fit together.

9. We have 100 ways to describe policy networks.

Put simply, ‘policy network’ describes the relationships between policymakers, in formal positions of power, and the actors who seek to influence them. It can also describe a notional venue – a ‘subsystem’ – in which this interaction takes place. Although the network concept is crucial to most policy theories, it can be described using very different concepts,and with reference to different political systems. For example, in the UK, we might describe networks as a consequence of bounded rationality: elected policymakers delegate responsibility to civil servants who, in turn, rely on specialist organisations for information and advice. Those organisations trade information for access to government. This process often becomes routine: civil servants begin to trust and rely on certain organisations and they form meaningful relationships. If so, most public policy is conducted primarily through small and specialist ‘policy communities’ that process issues at a level of government not particularly visible to the public, and with minimal senior policymaker involvement. Network theories tend to consider the key implications, including a tendency for governments to contain ‘silos’ and struggle to ‘join up’ government when policy is made in so many different places

10. We struggle to separate power from ideas.

Policy theory is about the relationship between power and ideas (or shared beliefs). These terms are difficult to disentangle, even analytically, because people often exercise power by influencing the beliefs of others. Classic power debates inform current discussions of ‘agenda setting’ and ‘framing’. Debates began with the idea that we could identify the powerful by examining ‘key political choices’: the powerful would win and benefit from the outcomes at the expense of other actors. The debate developed into discussions of major barriers to the ‘key choices’ stage: actors may exercise power to persuade/ reinforce the popular belief that the government should not get involved, or to keep an issue off a government agenda by drawing attention to other issues. This ability to persuade depends on the resources of actors, but also the beliefs of the actors they seek to influence.

11. We talk a lot about ‘context’ and events, and sometimes about ‘complexity’ and ‘emergence’.

Context’ describes the policy conditions that policymakers take into account when identifying problems, such as a country’s geography, demographic profile, economy, and social attitudes. This wider context is in addition to the ‘institutional’ context, when governments inherit the laws and organisations of their predecessors. Important ‘game changing’ events can be routine, such as when elections produce new governments with new ideas, or unanticipated, such as when crises or major technological changes prompt policymakers to reconsider existing policies. In each case, we should consider the extent to which policymaking is in the control of policymakers. In some cases, the role of context seems irresistible – think for example of a ‘demographic timebomb’ – but governments show that they can ignore such issues for long periods of time or, at least, decide how and why they are important. This question of policymaker control is also explored in discussions of ‘complexity theory’, which highlights the unpredictability of policymaking, limited central government control, and a tendency for policy outcomes to ‘emerge’ from activity at local levels.

12. It can inform real world policymaking, but you might not like the advice.

For example, policymakers often recognise that they make decisions within an unpredictable and messy, not ‘linear’, process. Many might even accept the implications of complexity theory, which suggests that they should seek new ways to act when they recognise their limitations: use trial and error; keep changing policies to suit new conditions; devolve and share power with the local actors able to respond to local areas; and so on. Yet, such pragmatic advice goes against the idea of Westminster-style democratic accountability, in which ministers remain accountable to Parliament and the public because you know who is in charge and, therefore, who to blame. Or, for example, we might use policy theory to inform current discussions of evidence-based policymaking, saying to scientists that they will only be influential if they go beyond the evidence to make manipulative emotional appeals.

For more information, see Key policy theories and concepts in 1000 words

To listen to the lecture (about 50 minutes plus Q&A), you can download here or stream:

You can also download the video here or stream:

To be honest, there is little gain to watching the lecture, unless you want to laugh at my posture & shuffle and wonder if I have been handcuffed.

 

7 Comments

Filed under 1000 words, Evidence Based Policymaking (EBPM), public policy

Whatever happened to multiple streams analysis?

Cairney jones psj pic

John Kingdon published his Agendas, Alternatives, and Public Policies in 1984. What has happened since then? Put simply, it is now a classic text, and it took off in a way that Kingdon did not expect. Put less simply, it contributed to the intellectual development of policy theory and inspired a huge number of studies under the banner of ‘multiple streams analysis’ (or the ‘multiple streams approach’, MSA).

In our PSJ article, Michael Jones and I sum up this theoretical and empirical contribution and give some advice about how to produce effective MSA analysis.

MSA’s intellectual contribution: 1. ‘Universal’ concepts.

Kingdon identifies many elements of the policy process that we describe as ‘universal’ because they are abstract enough to apply to any case study.

  1. Ambiguity and competition for attention.
  • There are many ways to understand and frame any policy problem, but the policy agenda can often be dominated by one ‘frame’.
  • There are many problems to solve, but few reach the top of the policy agenda.
  • There are many possible solutions to problems, but very few gain attention and even fewer gain support.
  1. Decision-making processes are neither ‘comprehensively rational’ nor ‘linear’.
  • New information is difficult to gather and subject to manipulation.
  • Actors have limited resources such as time and cognitive ability. This limitation forces people to make choices before they have considered all possibilities and made sure that their preferences are clear.
  • The policy process does not follow a policy cycle with ordered stages, in which (i) a policymaker identifies a problem, (ii) a bureaucracy produces many possible solutions, and (iii) the policymaker selects the best solution according to her aims and values.

These ‘universal’ insights underpin MSA’s specific contribution, in which Kingdon draws on the ‘garbage can model’ to suggest that we think of these three ‘stages’ (metaphorically) as independent streams which must come together at the same time, during a ‘window of opportunity’ before any major policy change will take place:

  1. Problem stream – attention lurches to a policy problem.
  2. Policy stream – a solution to that problem is available.
  3. Politics stream – policymakers have the motive and opportunity to turn it into policy.

MSA’s intellectual contribution: 2. New theories and perspectives.

Let’s take one example of Kingdon’s influence: on the early development of punctuated equilibrium theory (PET). In their own ways, MSA and PET are both ‘evolutionary’ theories, although they identify different kinds of evolutionary metaphors or processes, and present somewhat different implications:

  • Kingdon uses the evolutionary metaphor partly to help explain slow and gradual policy development despite lurches of attention and the importance of windows of opportunity. Note the importance of the idea of ‘feasibility’ and ‘softening’, as potential policy solutions emerge from the ‘policy primeval soup’. Kingdon is describing the slow progress of an idea towards acceptability within the policy community, which challenges the notion that policies will change whenever attention lurches to a new problem. On the contrary, a feasible solution must exist, and these solutions take a lot of time to become both technically and politically feasible, before policymakers develop the motive and opportunity to adopt them.
  • Baumgartner and Jones identify the conditions under which Kingdon’s picture of slow progress, producing ‘partial mutations’ should be replaced by their identification of fast, disruptive, ‘pure mutation’. For example, major ‘policy punctuations’ may occur when issues break out of one policymaking ‘venue’. In such cases, more radical change may be acceptable to the policymakers – in other venues – that are less committed to existing policies and, therefore, less likely to select a policy solution only when it has been ‘softened’.

Such examples (explored in more depth in our article, and in my article on evolutionary policy theory) highlight the potential to trace the long term intellectual development of policy theory back to influential scholars such as Kingdon.

MSA’s empirical contribution: 1. How useful is the metaphor?

Michael and I identify a blessing and a curse, related to two aspects of Kingdon’s original work:

  1. The barriers to entry are low. If you are looking for an easy way into policy theory, you can read some of Kingdon’s book and feel you have gained some insight.
  2. The metaphor is flexible. You don’t have to learn a huge codebook or set of rules before you dive into empirical analysis.

The blessing is that both factors allow a lot of material to be produced in diverse and perhaps innovative ways. The curse is that it is difficult to see the accumulated results from all that effort. If the MSA is there to help explain one case, and one case only, then all is well. If we want more – to compare a lot of cases in a meaningful way – we have a problem.

MSA’s empirical contribution: 2. How have other scholars used the metaphor?

Michael Jones and his colleagues identified a huge number of MSA studies: over 300 applications, in over 40 countries, in 10 years. However, they also identify a high proportion of theoretical superficiality: scholars mention Kingdon, but do not go into much detail on the meaning of key MSA concepts, or explain how they used those concepts in a meaningful way to explain policy or policymaking.

Michael and I zoomed in to focus on the ‘state of the art’, to see how the best studies used MSA. We found some interesting work, particularly in studies which extended Kingdon’s original focus on the US federal government (in the 1980s) to subnational and supranational studies, and used MSA to explain developments in many other countries. The best work identified how the MSA related to wider policy theory discussions and/or how we might adapt MSA to deal with new cases. However, we also found a lot of applications which made cursory reference to theory or the MSA literature, or studies which used MSA largely as a way to identify their own models.

It all adds up to a lot of activity but it is difficult to know how to sum up its value. The flexibility of the MSA has allowed people to take it in all sorts of directions, but also to use it in a way that is difficult to relate to Kingdon’s original study or important new developments (put forward by scholars such as Zahariadis).

Where do we go from here? Some simple rules for you to consider.

So, we propose three simple rules to help maintain MSA flexibility but allow us to accumulate empirical insights or encourage conceptual development: demonstrate proficiency with MSA; speak to MSA; and, speak to broader policy research.

In other words, a lot has been written about MSA and policy theory since 1984. The world has changed, and so too have the ways in which we describe it. So, put simply, it would be weird if people continued to produce scholarly research based simply on one book written in the 80s and little else (you might be surprised about how much of this approach we found, and how few people explained MSA concepts before presenting their empirical analysis).

We don’t call for a set of rigid rules to allow systematic comparison (although I really like the suggestion by a colleague, presented with tongue firmly in cheek, that we have become the ‘multiple streams Taliban’). Instead, at the very least, we encourage people not to submit Kingdon-inspired articles for review until they have read and digested a lot of the MSA literature. That way, we’ll be able to go beyond the sense that we are all using the same conceptual descriptions without knowing if we mean the same thing or if my results can be compared usefully with yours.

5 Comments

Filed under 1000 words, public policy

What is a policy entrepreneur?

From pages 271-2 of Understanding Public Policy

For example, ‘policy entrepreneur’ is used by Kingdon (1984: 21; 104) to describe actors who use their knowledge of the process to further their own policy ends. They ‘lie in wait in and around government with their solutions at hand, waiting for problems to float by to which they can attach their solutions, waiting for a development in the political stream they can use to their advantage’ (Kingdon, 1984: 165–6). Entrepreneurs may be elected politicians, leaders of interest groups or merely unofficial spokespeople for particular causes. They are people with the knowledge, power, tenacity and luck to be able to exploit windows of opportunity and heightened levels of attention to policy problems to promote their ‘pet solutions’ to policymakers (see also Jones, 1994: 196 on their ability to reframe issues).

John’s (1999) treatment of entrepreneurs is similar, but he perhaps replaces the image of a surefooted calculating individual with someone that follows a trial and error strategy; entrepreneurs try out combinations of ideas, ‘to find the one that replicates’ (1999: 45).

In policy transfer, entrepreneurs can be consultants, NGOs or think tanks which promote best practice internationally. International entrepreneurs often have added credentials, either from the exporting country or from a supranational institution such as the World Bank that ties its cooperation to the use of a particular expert (Dolowitz and Marsh, 2000: 10). The classic case is the Harvard professor who travelled the world selling new public management, backed notionally by the US government (Common, 1998: 441). In this case the entrepreneur is perhaps guaranteed some level of success and is always on the road and looking for business rather than waiting for the right opportunity to act.

‘Entrepreneur’ is used in rational choice to explain why some individuals seek to provide public services or form political parties or interest groups when we assume that most free ride (McLean, 1987: 29). In business, entrepreneurs are innovative actors who provide a good or service that otherwise may not be provided; in return for their services they take a profit. The amount of profit depends partly on the level of competition by different entrepreneurs (1987: 28). In politics, it may be more difficult to sell goods, particularly when they are non-excludable (Chapter 7). Political entrepreneurs may profit through other means: when people make voluntary donations; when organizations pay politicians to try to secure contracts or other favours; and, through taxation. Again, the amount of profit depends in part on the level of competition: a high taxing, corrupt politician might be replaced by a cleaner and cheaper opponent (1987: 29). In other cases, politicians pursue measures simply because they believe that there will be an electoral payoff (Mclean, 2002: 541). In the case of organizations, there are people who value a good or service so much that they pay for it regardless of the ability of others to free ride. Or, there are entrepreneurs, driven partly by ideology, who provide a cheap solution to a problem shared by many in exchange for a donation to pursue further initiatives (McLean, 1987: 32).

Mintrom and Vergari (1996: 431; see also Mintrom and Norman, 2009) use ‘entrepreneur’ in a similar way to Kingdon (someone selling ideas) and to rational choice (someone solving a collective action problem) to explain change within the ACF. For example, coalitions are born when entrepreneurs frame issues to encourage members with common beliefs to coalesce around an issue.

Overall, while ‘entrepreneur’ may be a key concept used to explain the timing and degree of policy innovations, we need to be clear about how we use the term. Who are the entrepreneurs? What is their role? What skills do they posses? Do entrepreneurs sell ideas or services? Do they benefit from policy outcomes that favour their beliefs, or material outcomes? Is an entrepreneur a domestic actor joining streams from within, or an external actor applying pressure (or both)?

Posted for comparison with ‘knowledge broker’ – EBPM and ‘knowledge brokers’

9 Comments

Filed under 1000 words, public policy

How to teach public policy to non-specialists

Write a textbook or find one already written. This isn’t just a self-promoting statement. I partly wrote a textbook because I couldn’t find a way to teach public policy theories without one. Consider your other choices:

  1. A course guide/ syllabus with representative books and articles per topic per class. In most cases, there are no representative texts that will do the job. In the main, scholars write for other scholars. They publish articles with a very specific aim. They don’t have the space to set things out in an accessible way. They don’t say how their work relates to the work of everyone else. So, when you try to recommend a small number of texts, you find that they are too specialist and they provide minimal context. In most chapters of textbooks, you will find an attempt by one scholar to combine all of this mess into one coherent account of a significant part of the literature.
  2. A book that brings together the state of the art in an edited volume. In cases like the excellent Theories of the Policy Process (or other, as good, ‘handbooks’ on policy concepts), often the main authors (or the nearest best thing) try to sum up their work. However, they are still speaking to other scholars. Indeed, in the TOPP series, they now update their progress since the last edition – which is great for me, and other academics, but not great for students with no prior knowledge of the field.
  3. The key book. In some cases, you can point to the book/ article that set the field on fire. A good example is Agendas and Instability by Baumgartner and Jones. I recommend this book highly, and often argue that it remains the best thing they have written (all things considered). However, it is also over 20 years old (or, over 5 years old if you get the 2nd edition with the added chapter at the end) and it does not include much reference to the quantitative and comparative work that they have done since.

So, you need something that students can get into before they get into the harder-to-reach literature; to stop them giving up when they find some initial, not-very-accessible, articles inaccessible; and to encourage them to read further. Even then, policy theory is a tough sell, which partly explains why I am forever seeking ways (such as 1000 words posts, but see also ICPP ‘Policy Approaches’) to make the initial explanation shorter and more straightforward.

This is not a process of dumbing down. Instead, it’s good teaching. It’s an attempt to see the topic through the eyes of someone who has (as yet) done little reading on it, does not have enough knowledge of the wider literature to understand it, and is looking to build on something they understand.

In more general terms, it’s good communication. The same process, to turn something specialist into something readable to non-specialists, is useful when we engage with other audiences:

All of these things require a level of simplicity and clarity that we don’t always find in the specialist journals, no matter how many we read.

3 Comments

Filed under 1000 words, public policy