Tag Archives: Michael Mintrom

Policy Analysis in 750 Words: entrepreneurial policy analysis

This post forms one part of the Policy Analysis in 750 words series overview and connects to ‘Three habits of successful policy entrepreneurs’.

The idea of a ‘policy entrepreneur’ is important to policy studies and policy analysis.

Let’s begin with its positive role in analysis, then use policy studies to help qualify its role within policymaking environments.

The take-home-messages are to

  1. recognise the value of entrepreneurship, and invest in relevant skills and strategies, but
  2. not overstate its spread or likely impact, and
  3. note the unequal access to political resources associated with entrepreneurs.

Box 11.3 UPP 2nd ed entrepreneurs

Entrepreneurship and policy analysis

Mintrom identifies the intersection between policy entrepreneurship and policy analysis, to highlighting the benefits of ‘positive thinking’, creativity, deliberation, and leadership.

He expands on these ideas further in So you want to be a policy entrepreneur?:

Policy entrepreneurs are energetic actors who engage in collaborative efforts in and around government to promote policy innovations. Given the enormous challenges now facing humanity, the need is great for such actors to step forward and catalyze change processes” (Mintrom, 2019: 307).

Although many entrepreneurs seem to be exceptional people, Mintrom (2019: 308-20) identifies:

  1. Key attributes to compare
  • ‘ambition’, to invest resources for future reward
  • ‘social acuity’, to help anticipate how others are thinking
  • ‘credibility’, based on authority and a good track record
  • ‘sociability’, to empathise with others and form coalitions or networks
  • ‘tenacity’, to persevere during adversity
  1. The skills that can be learned
  • ‘strategic thinking’, to choose a goal and determine how to reach it
  • ‘team building’, to recognise that policy change is a collective effort, not the responsibility of heroic individuals (compare with Oxfam)
  • ‘collecting evidence’, and using it ‘strategically’ to frame a problem and support a solution
  • ‘making arguments’, using ‘tactical argumentation’ to ‘win others to their cause and build coalitions of supporters’ (2019: 313)
  • ‘engaging multiple audiences’, by tailoring arguments and evidence to their beliefs and interests
  • ‘negotiating’, such as by trading your support in this case for their support in another
  • ‘networking’, particularly when policymaking authority is spread across multiple venues.
  1. The strategies built on these attributes and skills.
  • ‘problem framing’, such as to tell a story of a crisis in need of urgent attention
  • ‘using and expanding networks’, to generate attention and support
  • ‘working with advocacy coalitions’, to mobilise a collection of actors who already share the same beliefs
  • ‘leading by example’, to signal commitment and allay fears about risk
  • ‘scaling up change processes’, using policy innovation in one area to inspire wider adoption.

p308 Mintrom for 750 words

Overall, entrepreneurship is ‘tough work’ requiring ‘courage’, but necessary for policy disruption, by: ‘those who desire to make a difference, who recognize the enormous challenges now facing humanity, and the need for individuals to step forward and catalyze change’ (2019: 320; compare with Luetjens).

Entrepreneurship and policy studies

  1. Most policy actors fail

It is common to relate entrepreneurship to stories of exceptional individuals and invite people to learn from their success. However, the logical conclusion is that success is exceptional and most policy actors will fail.

A focus on key skills takes us away from this reliance on exceptional actors, and ties in with other policy studies-informed advice on how to navigate policymaking environments (see ‘Three habits of successful policy entrepreneurs’, these ANZSOG talks, and box 6.3 below)

box 6.3

However, note the final sentence, which reminds us that it is possible to invest a huge amount of time and effort in entrepreneurial skills without any of that investment paying off.

  1. Even if entrepreneurs succeed, the explanation comes more from their environments than their individual skills

The other side of the entrepreneurship coin is the policymaking environment in which actors operate.

Policy studies of entrepreneurship (such as Kingdon on multiple streams) rely heavily on metaphors on evolution. Entrepreneurs are the actors most equipped to thrive within their environments (see Room).

However, Kingdon uses the additional metaphor of ‘surfers waiting for the big wave’, which suggests that their environments are far more important than them (at least when operating on a US federal scale – see Kingdon’s Multiple Streams Approach).

Entrepreneurs may be more influential at a more local scale, but the evidence of their success (independent of the conditions in which they operate) is not overwhelming. So, self-aware entrepreneurs know when to ‘surf the waves’ or try to move the sea.

  1. The social background of influential actors

Many studies of entrepreneurs highlight the stories of tenacious individuals with limited resources but the burning desire to make a difference.

The alternative story is that political resources are distributed profoundly unequally. Few people have the resources to:

  • run for elected office
  • attend elite Universities, or find other ways to develop the kinds of personal networks that often relate to social background
  • develop the credibility built on a track record in a position of authority (such as in government or science).
  • be in the position to invest resources now, to secure future gains, or
  • be in an influential position to exploit windows of opportunity.

Therefore, when focusing on entrepreneurial policy analysis, we should encourage the development of a suite of useful skills, but not expect equal access to that development or the same payoff from entrepreneurial action.

See also:

Compare these skills with the ones we might associate with ‘systems thinking

If you want to see me say these depressing things with a big grin:

 

 

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Policy Analysis in 750 words: Michael Mintrom (2012) Contemporary Policy Analysis

Please see the Policy Analysis in 750 words series overview before reading the summary. This summary is not 750 words. I can only apologise.

Michael Mintrom (2012) Contemporary Policy Analysis (Oxford University Press)

Mintrom (2012: xxii; 17) describes policy analysis as ‘an enterprise primarily motivated by the desire to generate high quality information to support high-quality decisions’ and stop policymakers ‘from making ill-considered choices’ (2012: 17). It is about giving issues more ‘serious attention and deep thought’ than busy policymakers, rather than simply ‘an exercise in the application of techniques’ to serve clients (2012: 20; xxii).

It begins with six ‘Key Steps in Policy Analysis’ (2012: 3-5):

  1. ‘Engage in problem definition’

Problem definition influences the types of solutions that will be discussed (although, in some cases, solutions chase problems).

Define the nature and size of a policy problem, and the role of government in solving it (from maximal to minimal), while engaging with many stakeholders with different views (2012: 3; 58-60).

This task involves a juggling act. First, analysts should engage with their audience to work out what they need and when (2012 : 81). However, second, they should (a) develop ‘critical abilities’, (b) ask themselves ‘why they have been presented in specific ways, what their sources might be, and why they have arisen at this time’, and (c) present ‘alternative scenarios’ (2012: 22; 20; 27).

  1. ‘Propose alternative responses to the problem’

Governments use policy instruments – such as to influence markets, tax or subsidize activity, regulate behaviour, provide services (directly, or via commissioning or partnership), or provide information – as part of a coherent strategy or collection of uncoordinated measures (2012: 30-41). In that context, try to:

  • Generate knowledge about how governments have addressed comparable problems (including, the choice to not intervene if an industry self-regulates).
  • Identify the cause of a previous policy’s impact and if it would have the same effect now (2012: 21).
  • If minimal comparable information is available, consider wider issues from which to learn (2012: 76-7; e.g. alcohol policy based on tobacco).

Consider the wider:

 

  1. ‘Choose criteria for evaluating each alternative policy response’

There are no natural criteria, but ‘effectiveness, efficiency, fairness, and administrative efficiency’ are common (2012: 21). ‘Effective institutions’ have a marked impact on social and economic life and provide political stability (2012: 49). Governments can promote ‘efficient’ policies by (a) producing the largest number of winners and (b) compensating losers (2012: 51-2; see Weimer and Vining on Kaldor-Hicks). They can prioritise environmental ‘sustainability’ to mitigate climate change, the protection of human rights and ‘human flourishing’, and/or a fair allocation of resources (2012: 52-7).

  1. ‘Project the outcomes of pursuing each policy alternative’

Estimate the costs of a new policy, in comparison with current policy, and in relation to factors such as (a) overall savings to society, and/or (b) benefits to certain populations (any policy will benefit some social groups more than others). Mintrom (2012: 21) emphasises ‘prior knowledge and experience’ and ‘synthesizing’ work by others alongside techniques such as cost-benefit analyses.

  1. ‘Identify and analyse trade-offs among alternatives’

Use your criteria and projections to compare each alternative in relation to their likely costs and benefits.

  1. ‘Report findings and make an argument for the most appropriate response’

Mintrom (2012: 5) describes a range of advisory roles.

(a) Client-oriented advisors identify the beliefs of policymakers and anticipate the options worth researching (although they should not simply tell clients what they want to hear – 2012: 22). They may only have the time to answer a client’s question quickly and on their own. Or, they need to create and manage a team project (2012: 63-76).

(b) Other actors, ‘who want to change the world’, research options that are often not politically feasible in the short term but are too important to ignore (such as gender mainstreaming or action to address climate change).

In either case, the format of a written report – executive summary, contents, background, analytical strategy, analysis and findings (perhaps including a table comparing goals and trade-offs between alternatives), discussion, recommendation, conclusion, annex – may be similar (2012: 82-6).

Wider context: the changing role of policy analysts

Mintrom (2012: 5-7) describes a narrative – often attributed to Radin – of the changing nature of policy analysis, comparing:

  1. (a) a small group of policy advisors, (b) with a privileged place in government, (c) giving allegedly technical advice, using economic techniques such as cost-benefit analysis.
  2. (a) a much larger profession, (b) spread across – and outside of – government (including external consultants), and (c) engaging more explicitly in the politics of policy analysis and advice.

It reflects wider changes in government, (a) from the ‘clubby’ days to a much more competitive environment debating a larger number and wider range of policy issues, subject to (b) factors such as globalisation that change the task/ context of policy analysis.

If so, any advice on how to do policy analysis has to be flexible, to incorporate the greater diversity of actors and the sense that complex policymaking systems require flexible skills and practices rather than standardised techniques and outputs.

The ethics of policy analysis

In that context, Mintrom (2012: 95-108) emphasises the enduring role for ethical policy analysis, which can relate to:

  1. ‘Universal’ principles such as fairness, compassion, and respect
  2. Specific principles to project the analyst’s integrity, competence, responsibility, respectfulness, and concern for others
  3. Professional practices, such as to
  • engage with many stakeholders in problem definition (to reflect a diversity of knowledge and views)
  • present a range of feasible solutions, making clear their distributional effects on target populations, opportunity costs (what policies/ outcomes would not be funded if this were), and impact on those who implement policy
  • be honest about (a) the method of calculation, and (b) uncertainty, when projecting outcomes
  • clarify the trade-offs between alternatives (don’t stack-up the evidence for one)
  • maximise effective information sharing, rather than exploiting the limited attention of your audience (compare with Riker).
  1. New analytical strategies (2012: 114-15; 246-84)
  1. the extent to which social groups are already ‘systematically disadvantaged’,
  2. the causes (such as racism and sexism) of – and potential solutions to – these outcomes, to make sure
  3. that new policies reduce or do not perpetuate disadvantages, even when
  4. politicians may gain electorally from scapegoating target populations and/ or
  5. there are major obstacles to transformative policy change.

Therefore, while Mintrom’s (2012: 3-5; 116) ‘Key Steps in Policy Analysis’ are comparable to Bardach and Weimer and Vining, his emphasis is often closer to Bacchi’s.

The entrepreneurial policy analyst

Mintrom (2012: 307-13) ends with a discussion of the intersection between policy entrepreneurship and analysis, highlighting the benefits of ‘positive thinking’, creativity, deliberation, and leadership. He expands on these ideas further in So you want to be a policy entrepreneur?

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