Tag Archives: Multi-level governance

The big accountability lie: in Scottish Parliament elections you have to pretend that you’ll succeed (part 2)

In part 1 of this amazing drama I restricted the discussion of ‘governance’ to Scotland. What happens when you expand it to include ‘multi-level governance’ in the UK and EU? It makes it even more difficult to talk about central government control and holding the Scottish Government to account, in a meaningful way, since it shares policymaking responsibility with UK and EU-level authorities.

The concept of MLG helps us understand the wider context of Scottish policymaking. In part 1 we discussed the idea of governance as ‘horizontal’ power diffusion by identifying, for example, the role of interest groups in territorial policy communities, and one aspect of ‘vertical’ diffusion by identifying the extent to which the Scottish Government shares power with local public bodies (see also the so-called ‘Scottish approach to policymaking’).

So, imagine MLG as the formation of policy networks that span more than one level of government, and the ‘emergence’ of policies and practices from multi-level activity. It is important to identify which actors are responsible for those outcomes in theory, to inform discussions of accountability, but difficult to know who to blame in practice when there are blurry boundaries between the actors who make or influence policy. This problem is exacerbated, not solved, by further constitutional change, which is built on a level of shared responsibility, between the UK and Scottish Government, not envisaged in the original devolution ‘settlement’.

Multi-level policymaking: the division of responsibilities

To get a flavour of these overlaps, let’s start with the original settlement, set out in the Scotland Act 1998, which stated which policy areas would remain reserved to the UK Government. Reserved areas are in the left hand column, which allows us to work out the main responsibilities of the Scottish Government. In the middle are some examples of UK/ Scotland overlaps, followed by examples of policy issues that are devolved and ‘Europeanised’.

table 10.1

If we simply compare the left/ right columns, the divisions seem fairly clear. Indeed, compared to many other systems – in which, for example, national and regional governments might share control over healthcare or education – they are.

The ‘Europeanisation’ of policy

Yet, many policy areas were becoming controlled or influenced increasingly by the European Union as they were being devolved. Further, the UK Government is the Member State, with three main implications:

  1. It is responsible for the implementation of EU directives across the UK, which gives it a monitoring role on Scottish policy in devolved areas.
  2. It tends to treat the EU as an extension of foreign affairs/ international relations – a reserved issue – rather than a collection of policy areas which can be reserved or devolved.
  3. It is difficult to consider constitutional change without taking into account key EU rules, in areas such as corporation tax and renewable energy obligations.

Outside of the obvious areas, such as EU rules on free trade and the free movement of people, the most Europeanised and devolved areas tend to be in:

  • Agriculture and fishing. The Common Agricultural Policy and Common Fisheries Policy are negotiated and set at the EU level, often with minimal Scottish Government involvement but with some discretion during implementation.
  • Environmental regulation. Similarly, Scotland’s environmental policies begin with the need to be consistent with EU rules in areas such as water quality and environmental protection.

Then, there is a miscellany of EU advice and regulations with the potential to have a major impact on otherwise devolved policies. For example, the ‘working time directive’ has an impact on doctors’ working conditions, while the habitat directive impacts on planning processes. This is on top of a more general sense that EU rules on trade and the free movement of people have a major impact on any policy area.

The blurry boundaries between reserved and devolved issues

There are many examples of areas in which at least two levels of government are involved. In some cases, this potential for multi-level involvement produced uncertainty about how to act:

  • In the very early years, Scottish ministers expressed uncertainty about their role in issues such as industrial policy and a register of sex offenders.
  • The ‘smoking ban’ raised interesting issues about the ‘purpose test’ to determine who is primarily responsible for key policies. It is part of a larger set of tobacco control policy instruments produced by Scottish, UK, and EU policymakers.
  • Scottish Parliament legislation to introduce a minimum unit price for alcohol has been delayed by court action (it is currently being considered by the ECJ).

In some cases, there were tensions about the overlaps of responsibilities:

  • The Scottish Government’s policy on ‘free personal care’ for older people reduced many people’s entitlement to UK government social security payments. It faced similar issues when proposing a local income tax.
  • The UK’s Home Office policy on ‘dawn raids’ on unsuccessful asylum seekers was carried out in Scotland by a devolved police force.

In others, an overlap of responsibilities seems inevitable, since many policy areas are ‘cross-cutting’; they involve many policy instruments and government departments:

  • Fuel and child poverty are addressed with a mix of taxes, benefits, and public services.
  • Cross-cutting UK initiatives – such as the New Deal and Sure Start – require a degree of cooperation with devolved public services.
  • The Scottish Government’s ‘Fresh Talent’ initiative required Home Office approval.

In other words, overlaps are inevitable when any government tries to combine devolved discretion with national control.

So what?

Although this has been a far more boring post, the issues of accountability strategies are a bit more interesting. The debate, in this case, relates to the extent to which:

  • the SNP in government can blame the messy constitution settlement for its limited room for manoeuvre – an argument that it uses, but sparingly, because it also needs to maintain an image of governing competence (which is not supported well by the continuous claim of powerlessness)
  • the opposition parties can criticise this focus, and make the ‘use the powers you have before you ask for more’ argument, but sparingly, because they must know that the Scottish system is a big mess.

This should at least make it more bearable to watch an election debate (perhaps behind a cushion) because very little of this comes up but you know it’s there. Imagine a warring family that only argues about who should take the bins out or pick up their socks when you know what’s really going on under the surface.

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Scottish policymaking in the context of multi-level governance #POLU9SP

This is the first of two lectures in which we consider MLG, as the diffusion of power from central government to other governments and non-government actors, and IGR, as the ways in which those governments share power and cooperate. These concepts can represent two different ways to study the same thing: MLG often describes fluid and unpredictable policy processes, while IGR often focuses on formal powers, the role of institutions, and the resolution of disputes. Referring to MLG and IGR, the subsequent two lectures examine Scottish public expenditure (and the ‘Barnett formula’) and the likely effect of the new Scotland Act.

When I describe multi-level governance (MLG) in the UK, I contrast it with the ‘Westminster model’. The comparison allows us to identify a diffusion of power in two ways:

  1. Vertically – at supranational, national, regional and local levels (hence multi-level).
  2. Horizontally – shared between ministers/ government departments and many non-governmental and quasi-non-governmental organisations (hence governance rather than government).

An initial focus on the UK allows us to challenge (again) the idea that its policy process is ‘majoritarian’, in which power is concentrated at the centre, and governments tend to make policy in a ‘top down’ and uncompromising way. Our previous discussions of policy networks/ communities/ styles already helped us question this image and the idea that its political system contrasts with Scotland’s alleged ‘consensus democracy’. A focus on MLG reinforces this argument, by identifying a tendency of many governments to share power and policymaking responsibility with other actors in and out of government.

MLG also helps us understand the wider context of Scottish policymaking. We have already discussed the idea of ‘horizontal’ power diffusion by identifying the role of interest groups in territorial policy communities, and one aspect of ‘vertical’ diffusion by identifying:

So, imagine MLG as the formation of policy networks that span more than one level of government, and the ‘emergence’ of policies and practices from multi-level activity. It is important to identify which actors are responsible for those outcomes in theory, to inform discussions of accountability, but difficult to know who to blame in practice when there are blurry boundaries between the actors who make or influence policy.

As we discuss next week, this problem may be exacerbated by further constitutional change, which is built on a level of shared responsibility, between the UK and Scottish Government, not envisaged in the original devolution ‘settlement’.

Multi-level policymaking: the division of responsibilities

For now, let’s start with the original settlement, set out in the Scotland Act 1998, which stated which policy areas would remain reserved to the UK Government (why does it matter if the legislation sets out reserved or devolved responsibilities?). Reserved areas are in the left hand column, which allows us to work out the main responsibilities of the Scottish Government (which it inherited largely from the old Scottish Office – devolution did not prompt a major review of its responsibilities). In the middle are some examples of UK/ Scotland overlaps, followed by examples of policy issues that are devolved and ‘Europeanised’.

table 10.1

If we simply compare the left/ right columns, the divisions seem fairly clear. Indeed, compared to many other systems – in which, for example, national and regional governments might share control over healthcare or education – they are.

The ‘Europeanisation’ of policy

Yet, many policy areas were becoming controlled or influenced increasingly by the European Union as they were being devolved. Further, the UK Government is the Member State, with three main implications:

  1. It is responsible for the implementation of EU directives across the UK, which gives it a monitoring role on Scottish policy in devolved areas.
  2. It tends to treat the EU as an extension of foreign affairs/ international relations – a reserved issue – rather than a collection of policy areas which can be reserved or devolved.
  3. It is difficult to consider constitutional change without taking into account key EU rules, in areas such as corporation tax and renewable energy obligations (next week).

Outside of the obvious areas, such as EU rules on free trade and the free movement of people, the most Europeanised and devolved areas tend to be in:

  • Agriculture and fishing. The Common Agricultural Policy and Common Fisheries Policy are negotiated and set at the EU level, often with minimal Scottish Government involvement but with some discretion during implementation.
  • Environmental regulation. Similarly, Scotland’s environmental policies begin with the need to be consistent with EU rules in areas such as water quality and environmental protection.

Then, there is a miscellany of EU advice and regulations with the potential to have a major impact on otherwise devolved policies. For example, the ‘working time directive’ (do you know the details?) has an impact on doctors’ working conditions, while the habitat directive impacts on planning processes. This is on top of a more general sense that EU rules on trade and the free movement of people have a major impact on any policy area.

The blurry boundaries between reserved and devolved issues

There are many examples of areas in which at least two levels of government are involved. In some cases, this potential for multi-level involvement produced uncertainty about how to act:

  • In the very early years, Scottish ministers expressed uncertainty about their role in issues such as industrial policy and a register of sex offenders.
  • The ‘smoking ban’ raised interesting issues about the ‘purpose test’ to determine who is primarily responsible for key policies. It is part of a larger set of tobacco control policy instruments produced by Scottish, UK, and EU policymakers.
  • Scottish Parliament legislation to introduce a minimum unit price for alcohol has been delayed by court action (it is currently being considered by the ECJ).

In some cases, there were tensions about the overlaps of responsibilities:

  • The Scottish Government’s policy on ‘free personal care’ for older people reduced many people’s entitlement to UK government social security payments. It faced similar issues when proposing a local income tax.
  • The UK’s Home Office policy on ‘dawn raids’ on unsuccessful asylum seekers was carried out in Scotland by a devolved police force.

In others, an overlap of responsibilities seems inevitable, since many policy areas are ‘cross-cutting’; they involve many policy instruments and government departments:

  • Fuel and child poverty are addressed with a mix of taxes, benefits, and public services.
  • Cross-cutting UK initiatives – such as the New Deal and Sure Start – require a degree of cooperation with devolved public services.
  • The Scottish Government’s ‘Fresh Talent’ initiative required Home Office approval.

In other words, overlaps are inevitable when any government tries to combine devolved discretion with national control. In the next lecture we can discuss how the UK and Scottish Governments dealt with these overlaps.

 

 

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Fracking policy in the UK: all out for shale?

This post is based on a paper that I co-authored with Manuel Fischer and Karin Ingold: Cairney Fischer Ingold fracking in the UK for Zurich workshop 23 Jan 2015 (updated version: Weible et al book UK Chapter Cairney et al (including tables and appendix) 2016). See also a draft Fracking UK timeline

The UK Government looks like it is as strongly pro-fracking as it can possibly be. Prime Minister David Cameron famously declared: ‘we’re going all out for shale. It will mean more jobs and opportunities for people, and economic security for our country’. Chancellor George Osborne also wrote a detailed letter to ministers asking them to make policy implementation a ‘personal priority.’

For the UK Government, fracking has three main benefits: ‘energy security, decarbonisation and economic growth’. It has shown clear support for test drilling to assess the economic feasibility of fracking. It has reinforced this support with a range of policies:

Yet, in two crucial ways, it has not gone all out for shale. First, it is part of a loose coalition of organisations which, ‘on average’, is tentatively pro-fracking. The coalition includes UK government bodies; government agencies monitoring adherence to regulations; the three main UK political parties – Conservative, Labour, Liberal Democrat (at least while in coalition government); the Energy and Climate Change Committee of the House of Commons, currently with a government majority; private energy companies (Cuadrilla, IGas Energy, Centrica, Total, Shell, National Grid) and industry groups (United Kingdom Onshore Operators Group, Oil & Gas UK, Chemical Industries Association; the NGO, No Hot Air; and, groups generating and sharing research: Royal Academy of Engineering, Royal Society, British Geological Survey, CNG Services, Geological Society, Policy Exchange. The common element to this coalition is a wish to approve test drills, to get a better sense of the economic potential of shale gas (which only depends partly on production potential – note the currently low oil and gas prices), and support extensive regulation. Only some members of this coalition favour the ‘all out’ strategy. This coalition competes with an anti-fracking coalition which, while much smaller number, has a less equivocal political position. It includes the Green Party, NGOs such as the Campaign to Protect Rural England, Frack off, Friends of the Earth, and WWF UK, and, a research group, Tyndall Centre Manchester.

Second, it has not taken a centralist approach to energy security. Instead, it shares power across several levels of government. It has overall responsibility for energy policy, and retains ownership of mineral and gas resources, but has not centralised many aspects of fracking policy which are made by: devolved governments, responsible for developing national planning guidelines (Scotland will also soon receive powers on licensing); local authorities charged with granting planning permission for individual drilling sites; and public bodies responsible for ensuring environmental protection and health and safety. It also shares responsibility for environmental policy with the European Union. The UK has taken responsibility for strategic issues, related to energy security, the generation of evidence to address the economic viability and environmental uncertainty regarding fracking, the tax and incentives regime, and the UK-wide system granting energy companies the right to operate to extract minerals, but not the decision to approve drill sites in local areas. This is reflected in its rather convoluted ‘roadmap’ for private companies, which involves at least 15 steps and interaction with government and a large number of public bodies, culminating in the need to satisfy local authorities that they should drill in their area (public bodies, such as environment agencies also implement a complex mix of EU, UK and devolved regulations).

Currently, the result is that we don’t quite know what will happen, particularly since devolved and local governments are much more hesitant to approve actual development in their areas. The UK government may be ostensibly ‘all out for shale’, but this is not reflected in key decisions on the ground.

On this basis, we could expect one of three things. First, as events proceed and local areas begin to make decisions on individual sites, the anti-fracking coalition may swell, to reflect a growth in opposition or the decision of local authorities to reject planning applications. This is particularly likely if incidents such as tremors/ earthquakes should happen again close to test drilling sites. Second, the majority coalition may swell, but change further, to reflect an important degree of hesitant and prudent pro-fracking attitudes that are not sufficient to produce commercial fracking. Or, third, the majority coalition becomes more in favor of fracking, perhaps following the development of test drills and the gathering of evidence that suggests that regulations are sufficient and the commercial potential of shale gas is more certain. The latter outcome is by no means certain.

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Policy Concepts in 1000 Words: the Westminster Model and Multi-level Governance

ideal-type

(podcast download)

A stark comparison between the ‘Westminster Model’ (WM) and Multi-level Governance (MLG) allows us to consider the difference between accountable government and the messy real world of policymaking. The WM may be used as an ideal-type to describe how power is centralized in the hands of a small number of elites:

  • We rely on representative, not participatory, democracy.
  • The plurality electoral system exaggerates the parliamentary majority of the biggest party and allows it to control Parliament.
  • A politically neutral civil service acts according to ministerial wishes.
  • The prime minister controls cabinet and ministers.

We may also identify an adversarial style of politics and a ‘winner takes all’ mentality which tends to exclude opposition parties. 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.  Power is centralized and government policy is made from the top-down. In turn, the government is accountable to public, via Parliament, on the assumption that it is powerful, responsible and takes responsibility for public policy.

In contrast, MLG suggests that power is spread widely across the political system:

  • Vertically – at supranational, national, regional and local levels ((hence multi-level).
  • Horizontally – shared between government departments and a range of non-governmental and quasi-non-governmental (quango) bodies (hence governance rather than government).

The hook is that we are witnessing a major transformation: from national governing institutions to supranational and sub-national governing institutions; and, from central government to the different levels of government and non-governmental organizations that interact with them. MLG identifies blurred boundaries between formal and informal sources of authority which make it difficult to identify clear-cut decisions or power relations.

In the international arena, MLG suggests that it is difficult to identify sovereignty within national governments. Rather, they are tied increasingly to the policies agreed between states and implemented by international organizations. In the domestic arena, the interdependence between public and private actors (and levels of government which share responsibility) suggests that governments do not rely solely on formal decision-making powers. Instead, they may choose (or be forced) to ‘steer’ rather than ‘row’, negotiating the delivery of public services with a range of organizations, when in the past they delivered them directly.

table 8.1

We can think of these contrasts in two main ways. The first approach is a specific empirical look at countries such as the UK, considering how we got to this point. Much of the UK governance literature suggests that governments created their own domestic governance problems through things like:

  • Privatization. The sale of public assets, break up of state monopolies, injection of competition, introduction of public–private partnerships for major capital projects, and charging for government services.
  • Quasi-markets. One part of the public sector competes with another for the ‘business’ of commissioning agencies.
  • Reforming the civil service by giving them more responsibility to manage their own budgets, and separating the policymaking and delivery functions in government departments.
  • The increased use of quangos (often to bypass local government as a delivery body) – public bodies sponsored by government, but operating at ‘arm’s length’ from elected policymakers and administratively separate from government.
  • Contracting out – commissioning non-governmental bodies to deliver public services.

People like Rhodes have argued that the overall effect of these ‘new public management’ reforms, combined with a process of devolution and Europeanization, is a decline in the capacity of central government to control public policy. The rise of new ways to deliver policy – from a unified civil service and accountable local government to a ‘patchwork quilt’ of quangos and non-governmental organizations – has produced service fragmentation and barriers to effective communication. It has also diminished accountability to Parliament via ministers, with much responsibility devolved to agencies, quangos and the private sector or lost to European institutions. The counter-case is that the government was never effective at controlling peripheral functions of the state such as the nationalized industries. Governance changes, such as privatization and civil service reforms, mark a return to core competencies, with the centre making strategic decisions and creating accountability and regulatory mechanisms to ensure that these functions are carried out by others.

The second approach is conceptual, considering the extent to which any system can concentrate policymaking power in the ‘core executive’ even if it tried. ‘Governance’ can be traced to a universal problem in which policymakers have to find ways to deal with the disconnect between their huge responsibilities and their ability to pay attention only to a tiny proportion of the things for which they are responsible. Policymakers devolve the responsibility for policy management to civil servants. Unelected civil servants, unable to secure the attention of ministers, tend to seek legitimacy through consultation. They also depend upon groups for information and advice. The result is policy networks/ communities, or policymaking relationships between those in formal positions of responsibility and those who seek to influence them. It is difficult to attribute responsibility solely to the former. Decision-making authority is dispersed and policy outcomes are determined by a series of negotiations between various levels of government and interest groups. Our focus shifts from formal powers and the capacity to make and enforce decisions, to the much more messy systems in which the distinction between formal and informal sources of authority becomes less meaningful. With decision-making responsibility shared across multiple levels of government (and with non-governmental actors), formal responsibility may be less important than a willingness to engage in policymaking and negotiate with other jurisdictions. In effect, MLG continues and extends a policy networks focus on the move from government sovereignty to a loss of decision-making control and the need to negotiate and share decisions rather than impose them.

This conceptual focus allows us to make connections between our study of different countries. Consider, for example, how this discussion of MLG (largely in Europe) compares to my description of punctuated equilibrium as it began in the US.

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