Tag Archives: British politics

What happens when UK Governments try to control and delegate policymaking? #POLU9UK

To celebrate Andy Murray becoming number 1, I have recorded the podcast in the style of him giving an interview:

 

British politics looks weird because UK governments have contradictory incentives: to look like they are in control, but delegate most, of policymaking; to take but shuffle off responsibility for policy outcomes; to hold on and let go.

These incompatible incentives reflect our incompatible stories of British politics:

  • One stresses central control, the other stresses complexity and emergent outcomes despite central government intervention
  • One stresses the need for central control to ensure clear lines of accountability, the other stresses the need for pragmatism and how ridiculous it is to hold people to account for things over which they have minimal control.
  • One gets all the attention, despite being misleading, partly because it relates to a simple and comforting message on accountability and the exciting world of high politics. The other gets little attention, despite being more accurate, because its message is confusing and often boring.

So, when we discuss the big post-war developments in British politics, and their impact on policymaking and accountability, we should not expect to find a grand or consistent plan. Instead, post war government reforms reflect these contradictions, and prompt a tendency for elected policymakers to delegate or ‘shuffle off’ most responsibility but intervene in unpredictable and inconsistent ways.

What were these big changes? 1. A shift from state to market?

I say this not to diminish the argument that major changes from the 1970s, to alter the balance between the state and market in the UK, were often ideologically driven. Rather, don’t assume that the consistent/systematic application of that ideology is the main explanation. In some cases, governments:

  • diluted their reformist beliefs, preferring pragmatism and realistic aims
  • pursued reforms for simple aims such as to bolster their popularity
  • accepted or reinforced the actions of their predecessors (even if from another party)
  • pursued major reforms after key events and crises seemed to force their hand.

Overall, politics is often about telling a story about handling government or crises well, not actually controlling events and outcomes, and no single elected government can oversee a 10, 20, or 30-year plan to reform the state in the scale we witnessed.

Still, we can now see fundamental differences when we compare the UK state with that of the 1970s. Examples include:

  • A ‘paradigm’ shift in economic policy, from ‘Keynesian’ to ‘monetarist’ economics (see Hall), prompted by economic crisis in the 1970s under Labour and the election of a Conservative government in 1979. For example, governments no longer promise to achieve ‘full employment’ via measures such as capital investment (indeed, the Thatcher government appeared to accept high unemployment while favouring inflation controls).
  • Privatisation. The sale of public assets (including major nationalised utilities and local authority owned social housing), break up of state monopolies, injection of competition in the public sector, introduction of public–private partnerships for major capital projects, and charging for government services.

In both cases, you can see one form of this debate on central control playing out: for some advocates of economic reform and privatisation, this was about producing a ‘rejuvenated’ and ‘lean’ state, with ministers able to focus on core tasks – making strategic decisions and creating rules for others to follow – without having to pretend that they can control the economy or manage major industries. In this account, post-war developments were based on the idea of state planning and central control over the economy and most public services, while post-79 developments were driven by the belief that such planning had failed.

Although prompted by the Conservative government of 1979-97, the Labour government from 1997-2010 reinforced most measures (and privatised more services than Thatcher would have envisaged). It also extended the idea of limiting central government ministerial intervention in the economy by introducing Bank of England independence (making it primarily responsible for interest rates and strategies to manage inflation).

  1. A shift from ‘rowing’ to ‘steering’?

This ‘lean’ theme is summed up in the metaphor (made famous by management consultants Osborne and Gaebler) of ‘steering, not rowing’, in which governments decide to provide direction to public services/ public servants rather than managing them directly. Also look out for the phrase ‘new public management’ (NPM) which mostly describes the application of private business methods to the public sector. Examples include:

  • Civil service reforms to separate strategic ministerial/ operational decisions and make public servants more directly accountable for the latter.
  • Quasi-markets. Public bodies like hospitals and schools are given greater operational independence. One part of the public sector competes with another for (say) the business of commissioning agencies and/ or to compete in league tables of performance.
  • Quangos. The increased use of quasi-non-governmental bodies, sponsored by government departments but operating at ‘arms-length’ from elected policymakers.
  • Public sector reforms in which non-governmental bodies play an increasing role in service delivery while subject to regulation, inspection, and performance management.
  1. Constitutional

These reforms, often designed to give a sense of reinforced central control, are different from decisions by the UK government to shift power upwards, to the European Union, and downwards,(a) in 1999, to devolved governments in Scotland, Wales and Northern Ireland, and (b) through various experiments in regional government (in the early 2000s) and ‘localism’ (from 2010).

What is the overall effect of these reforms?

These reforms prompted several debates about the modern nature of the UK state, based on questions such as, Is it ‘hollowing’ or rejuvenated?

  • Is UK central government now less able to influence policy outcomes, and more reliant on persuasion and cooperation from many actors in policy networks? Do we talk about multi-level governance, not government, because no single government can control policy? Is this the great irony of reform: they were designed to reinforce central control but they actually exacerbated the UK’s governance problem?
  • Or, has central government shuffled off direct responsibility for the previously unmanageable parts of the public sector that took up a disproportionate amount of ministerial energy (major industries, local government, Scotland), and become more powerful via regulatory mechanisms or more able to shift blame?

When considering these questions, note how this UK-specific discussion can be supplemented by the ‘universal’ factors we discuss in POLU9UK and covered in the 1000 Words series, including: ministers are boundedly rational, operating in a policy environment with a huge number of actors, and apparently unable to control outcomes that ‘emerge’ from complex systems. In other words, the answer to the ‘hollowing’ question will not come only from an analysis of UK government policies.

What is the effect on ministerial accountability?

As in Scotland, the UK Government has experimented with many forms of accountability based on one of these two stories of central government:

  1. Westminster-style democratic accountability, through periodic elections and more regular reports by ministers to Westminster. This requires a strong sense of central government and ministerial control – if you know who is in charge, you know who to hold to account or reward or punish in the next election.
  2. Institutional accountability, through performance management measures applied to the chief executives of public bodies, such as elected local authorities and unelected agencies and quangos.
  3. Accountability via pluralist democracy, fostering the shared ‘ownership’ of policy with stakeholders to produce choices that both support.
  4. Localist democracy, encouraging a sense of collective responsibility between local authorities and their stakeholders.
  5. User based notions of accountability, when a public body considers its added value to (and responds to the wishes of) service users, or public bodies and users ‘co-produce’ and share responsibility for the outcomes.

Yet, 2-5 generally seem incompatible with, or overshadowed by, 1. Ministers think that the public expects Westminster-style accountability, so they try these other measures but also:

  • Try to show that they still control the direction of delegated services, often with reference to problematic proxies of their own success (see the example of Troubled Families)
  • Intervene in an ad hoc way in the decisions of public bodies that they’d otherwise like to run themselves (see Gains and Stoker)
  • Or, they seem to delegate power to public bodies but introduce so many regulations, budget limits, and performance measures that it is difficult for those bodies to exert their autonomy (see the example of ‘prevention policy’, in which central governments simultaneously support and scupper various forms of prevention and early intervention).

Group work

In groups we can discuss these major reforms and the extent to which they were driven by a grand plan or a series of unfortunate events.

We can discuss accountability and try to explain how and why ministers intervene in some areas but not others.

Since we focused on the two basic stories of (lack of) control in week 2, this week we can zoom in to discuss specific measures to demonstrate success in government or produce the appearance of control. What examples spring to mind?

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Policy networks and communities #POLU9UK

As we discussed in week 2, if you start your study of British politics by describing the Westminster model, you get something like this:

Key parts of the Westminster political system help concentrate power in the executive. Representative democracy is the basis for most participation and accountability. The UK is a unitary state built on parliamentary sovereignty and a fusion of executive and legislature, not a delegation or division of powers. The plurality electoral system exaggerates single party majorities, the whip helps maintain party control of Parliament, the government holds the whip, and the Prime Minister controls membership of the government. So, you get centralised government and you know who is in charge and therefore to blame.

Yet, if you read the recommended reading, you get this:

Most contemporary analysts dwell on the shortcomings of the Westminster account and compare it with a more realistic framework based on modern discussions of governance … Britain has moved away from a distinctive Westminster model.

And, if you read this post on the pervasiveness of policy networks and communities, you get something like this:

‘Policy networks’ or ‘policy communities’ represent the building blocks of policy studies. Most policy theories situate them at the heart of the policy process.

So, you may want to know: ‘How did we get from the one case of affairs to the other case of affairs?’ (source). Here are some possible explanations to discuss.

One account is wrong

In our grumpy account, we pretty much complain that the incorrect story still wins because it sounds so good. The uncool academics have all agreed that the ‘governance’ story best sums up British politics, but the media and public don’t pay attention to it, politicians act as if it doesn’t exist, and cool Lijphart gets all the attention with his ‘majoritarian’ model of the UK which accentuates the adversarial and top-down nature compared to the utopian consensus democracies in which all politicans hold hands and sing together before agreeing all their policies.

One account is wrong most of the time

When less grumpy, we suggest that our account is correct most of the time. People pay attention to the exciting world of elected politics and governing politicians, but it represents the tip of the iceberg. Most policy is processed below the surface, away from the public spotlight, and this process does not match the UK’s majoritarian image. Instead, policymakers tend to work routinely with other policy participants to share information and advice and come to collective understandings of problems and feasible solutions.

What explains the shift from one image to the other?

If we go for the latter explanation, we need to know how this process works: what prompts a tiny number of issues to receive the excitement and attention and a huge number to receive almost none? I’ll give you some ideas below, but note that you can find the same basic explanation of this agenda setting/ framing process in many theories of the policy process. You should read as many as possible and, in particular, those on framing, punctuated equilibrium, and power/ideas. Combined, you get the sense of two scenarios: one in which people simply can’t pay attention to many policy issues and have to ignore most; and, one in which people exploit this limitation to make sure that some issues are ignored (for example, by framing issues as ‘solved’ by policymakers, with only experts required to oversee the implementation of key choices).

The general explanation: powerful people have limited attention

You’ll find this general explanation squirrelled away somewhere in almost everything I’ve written. In this case, it’s in the networks 1000 words post:

  • The size and scope of the state is so large that it is in danger of becoming unmanageable. The same can be said of the crowded environment in which huge numbers of actors seek policy influence. Consequently, the state’s component parts are broken down into policy sectors and sub-sectors, with power spread across government.
  • Elected policymakers can only pay attention to a tiny proportion of issues for which they are responsible. So, they pay attention to a small number and ignore the rest. In effect, they delegate policymaking responsibility to other actors such as bureaucrats, often at low levels of government.
  • At this level of government and specialisation, bureaucrats rely on specialist organisations for information and advice.
  • Those organisations trade that information/advice and other resources for access to, and influence within, the government (other resources may relate to who groups represent – such as a large, paying membership, an important profession, or a high status donor or corporation).
  • Therefore, 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.

A specific explanation: even ‘majoriarian’ governments seek consensus even when issues become high profile

I like this story about Brent Spar as an example of ‘bureaucratic accommodation’. In a nutshell (from p577), they argue that we began with a high profile issue in which Greenpeace occupied a Shell oil rig that was due for disposal, got Shell to change its policy through high profile campaigning, but that they came to quieter agreement within government by agreeing on specific policies without shifting their basic principles. Many of us saw the conflict but few saw the consensus building that followed (and, in fact, preceded these events). There are many stories like this, in which relatively short periods of highly salient policymaking ‘punctuate’ much longer spells of humdrum activity.

brent-spar

Group activities

So, in our group work we can explore the key themes through examples. I’ll ask you to identify the conditions under which Westminster-model-style activity happens, and the conditions under which we’d expect policy communities to develop. I’ll ask you to compare issues in which there is high salience and conflict with issues that are low salience and/ or low conflict. I might even ask you to remember some high profile issues from the past then ask: where are they now?

 

 

 

 

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Policymaking in the UK: do you really know who is in charge and who to blame? #POLU9UK

This week, we continue with the idea of two stories of British politics. In one, the Westminster model-style story, the moral is that the centralisation of power produces clear lines of accountability: you know who is in charge and, therefore, the heroes or villains. In another, the complex government story, the world seems too messy and power too diffuse to know all the main characters.

Although some aspects of these stories are specific to the UK, they relate to some ‘universal’ questions and concepts that we can use to identify the limits to centralised power. Put simply, some rather unrealistic requirements for the Westminster story include:

  1. You know what policy is, and that it is made by a small number of actors at the heart of government.
  2. Those actors possess comprehensive knowledge about the problems and solutions they describe.
  3. They can turn policy intent into policy outcomes in a straightforward way.

If life were that simple, I wouldn’t be asking you to read the following blog posts (underlined) which complicate the hell out of our neat story:

You don’t know what policy is, and it is not only made by a small number of actors at the heart of government.

We don’t really know what government policy is. In fact, we don’t even know how to define ‘public policy’ that well. Instead, a definition like ‘the sum total of government action, from signals of intent to the final outcomes’ raises more issues than it settles: policy is remarkably difficult to identify and measure; it is made by many actors inside, outside, and sort of inside/outside government; the boundary between the people influencing and making policy is unclear; and, the study of policy is often about the things governments don’t do.

Actors don’t possess comprehensive knowledge about the problems and solutions they describe

It’s fairly obvious than no-one possesses all possible information about policy problems and the likely effects of proposed solutions. It’s not obvious what happens next. Classic discussions identified a tendency to produce ‘good enough’ decisions based on limited knowledge and cognitive ability, or to seek other measures of ‘good’ policy such as their ability to command widespread consensus (and no radical movement away from such policy settlements). Modern discussions offer us a wealth of discussions of the implications of ‘bounded rationality’, but three insights stand out:

  1. Policymakers pay disproportionate attention to a tiny proportion of the issues for which they are responsible. There is great potential for punctuations in policy/ policymaking when their attention lurches, but most policy is made in networks in the absence of such attention.
  2. Policymakers combine ‘rational’ and ‘irrational’ ways to make decisions with limited information. The way they frame problems limits their attention to a small number of possible solutions, and that framing can be driven by emotional/ moral choices backed up with a selective use of evidence.
  3. It is always difficult to describe this process as ‘evidence-based policymaking’ even when policymakers have sincere intentions.

Policymakers cannot turn policy intent into policy outcomes in a straightforward way

The classic way to describe straightforward policymaking is with reference to a policy cycle and its stages. This image of a cycle was cooked up by marketing companies trying to sell hula hoops to policymakers and interest groups in the 1960s. It is not an accurate description of policymaking (but spirographs are harder to sell).

Instead, for decades we have tried to explain the ‘gap’ between the high expectations of policymakers and the actual – often dispiriting- outcomes, or wonder if policymakers really have such high expectations for success in the first place (or if they prefer to focus on how to present any of their actions as successful). This was a key topic before the rise of ‘multi-level governance’ and the often-deliberate separation of central government action and expected outcomes.

The upshot: in Westminster systems do you really know who is in charge and who to blame?

These factors combine to generate a sense of complex government in which it is difficult to identify policy, link it to the ‘rational’ processes associated with a small number of powerful actors at the heart of government, and trace a direct line from their choices to outcomes.

Of course, we should not go too far to argue that governments don’t make a difference. Indeed, many ministers have demonstrated the amount of damage (or good) you can do in government. Still, let’s not assume that the policy process in the UK is anything like the story we tell about Westminster.

Seminar questions

In the seminar, I’ll ask you reflect on these limits and what they tell us about the ‘Westminster model’. We’ll start by me asking you to summarise the main points of this post. Then, we’ll get into some examples in British politics.

Try to think of some relevant examples of what happens when, for example, minsters seem to make quick and emotional (rather than ‘evidence based’) decisions: what happens next? Some obvious examples – based on our discussions so far – include the Iraq War and the ‘troubled families’ agenda, but please bring some examples that interest you.

In group work, I’ll invite you to answer these questions:

  1. What is UK government policy on X? Pick a topic and tell me what government policy is.
  2. How did the government choose policy? When you decide what government policy is, describe how it made its choices.
  3. What were the outcomes? When you identify government policy choices, describe their impact on policy outcomes.

I’ll also ask you to identify at least one blatant lie in this blog post.

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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.

 

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