Tag Archives: Political science

Evidence Based Policy Making: 5 things you need to know and do

These are some opening remarks for my talk on EBPM at Open Society Foundations (New York), 24th October 2016. The OSF recorded the talk, so you can listen below, externally, or by right clicking and saving. Please note that it was a lunchtime talk, so the background noises are plates and glasses.

Evidence based policy making’ is a good political slogan, but not a good description of the policy process. If you expect to see it, you will be disappointed. If you seek more thoughtful ways to understand and act within political systems, you need to understand five key points then decide how to respond.

  1. Decide what it means.

EBPM looks like a valence issue in which most of us agree that policy and policymaking should be ‘evidence based’ (perhaps like ‘evidence based medicine’). Yet, valence issues only command broad agreement on vague proposals. By defining each term we highlight ambiguity and the need to make political choices to make sense of key terms:

  • Should you use restrictive criteria to determine what counts as ‘evidence’ and scientific evidence?
  • Which metaphor, evidence based or informed, describes how pragmatic you will be?
  • The unclear meaning of ‘policy’ prompts you to consider how far you’d go to pursue EBPM, from a one-off statement of intent by a key actor, to delivery by many actors, to the sense of continuous policymaking requiring us to be always engaged.
  • Policymaking is done by policymakers, but many are unelected and the division between policy maker/ influencer is often unclear. So, should you seek to influence policy by influencing influencers?
  1. Respond to ‘rational’ and ‘irrational’ thought.

Comprehensive rationality’ describes the absence of ambiguity and uncertainty when policymakers know what problem they want to solve and how to solve it, partly because they can gather and understand all information required to measure the problem and determine the effectiveness of solutions.

Instead, we talk of ‘bounded rationality’ and how policymakers deal with it. They employ two kinds of shortcut: ‘rational’, by pursuing clear goals and prioritizing certain kinds and sources of information, and ‘irrational’, by drawing on emotions, gut feelings, deeply held beliefs, habits, and familiarity, make decisions quickly.

I say ‘irrational’ provocatively, to raise a key strategic question: do you criticise emotional policymaking (describing it as ‘policy based evidence’) and try somehow to minimise it, adapt pragmatically to it, or see ‘fast thinking’ more positively in terms of ‘fast and frugal heuristics’? Regardless, policymakers will think that their heuristics make sense to them, and it can be counterproductive to simply criticise their alleged irrationality.

  1. Think about how to engage in complex systems or policy environments.

Policy cycle’ describes the idea that there is a core group of policymakers at the ‘centre’, making policy from the ‘top down’, and pursuing their goals in a series of clearly defined and well-ordered stages, such as: agenda setting, policy formulation, legitimation, implementation, and evaluation. In this context, one might identify how to influence a singular point of central government decision.

However, a cycle model does not describe policymaking well. Instead, we tend to identify the role of less ordered and more unpredictable complex systems, or policy environments containing:

  • A wide range of actors (individuals and organisations) influencing policy at many levels of government. Scientists and practitioners are competing with many actors to present evidence in a particular way to secure a policymaker audience.
  • A proliferation of rules and norms maintained by different levels or types of government. Support for particular ‘evidence based’ solutions varies according to which organisation takes the lead and how it understands the problem.
  • Important relationships (‘networks’) between policymakers and powerful actors. Some networks are close-knit and difficult to access because bureaucracies have operating procedures that favour particular sources of evidence and some participants over others, and there is a language – indicating what ways of thinking are in good ‘currency’ – that takes time to learn.
  • A tendency for certain ‘core beliefs’ or ‘paradigms’ to dominate discussion. Well-established beliefs provide the context for policymaking: new evidence on the effectiveness of a policy solution has to be accompanied by a shift of attention and successful persuasion.
  • Policy conditions and events that can reinforce stability or prompt policymaker attention to lurch at short notice. In some cases, social or economic ‘crises’ can prompt lurches of attention from one issue to another, and some forms of evidence can be used to encourage that shift, but major policy change is rare.

These factors suggest that an effective engagement strategy is not straightforward: our instinct may be to influence elected policymakers at the ‘centre’ making authoritative choices, but the ‘return on investment’ is not clear. So, you need to decide how and where to engage, but it takes time to know ‘where the action is’ and with whom to form coalitions.

  1. Recognise that EBPM is only one of many legitimate ‘good governance’ principles.

There are several principles of ‘good’ policymaking and only one is EBPM. Others relate to the value of pragmatism and consensus building, combining science advice with public values, improving policy delivery by generating ‘ownership’ of policy among key stakeholders, and sharing responsibility with elected local policymakers.

Our choice of which principle and forms of evidence to privilege are inextricably linked. For example, some forms of evidence gathering seem to require uniform models and limited local or stakeholder discretion to modify policy delivery. The classic example is a programme whose value is established using randomised control trials (RCTs). Others begin with local discretion, seeking evidence from service user and local practitioner experience. This principle seems to rule out the use of RCTs. Of course, one can try to pursue both approaches and a compromise between them, but the outcome may not satisfy advocates of either approach or help produce the evidence that they favour.

  1. Decide how far you’ll go to achieve EBPM.

These insights should prompt us to see how far we are willing, and should, go to promote the use of certain forms of evidence in policymaking. For example, if policymakers and the public are emotional decision-makers, should we seek to manipulate their thought processes by using simple stories with heroes, villains, and clear but rather simplistic morals? If policymaking systems are so complex, should we devote huge amounts of resources to make sure we’re effective? Kathryn Oliver and I also explore the implications for proponents of scientific evidence, and there is a live debate on science advice to government on the extent to which scientists should be more than ‘honest brokers’.

Where we go from there is up to you

The value of policy theory to this topic is to help us reject simplistic models of EBPM and think through the implications of more sophisticated and complicated processes. It does not provide a blueprint for action (how could it?), but instead a series of questions that you should answer when you seek to use evidence to get what you want. They are political choices based on value judgements, not issues that can be resolved by producing more evidence.

ebpm pic

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Realistic ‘realist’ reviews: why do you need them and what might they look like?

This discussion is based on my impressions so far of realist reviews and the potential for policy studies to play a role in their effectiveness. The objectives section formed one part of a recent team bid for external funding (so, I acknowledge the influence of colleagues on this discussion, but not enough to blame them personally). We didn’t get the funding, but at least I got a lengthy blog post and a dozen hits out of it.

I like the idea of a ‘realistic’ review of evidence to inform policy, alongside a promising uptake in the use of ‘realist review’. The latter doesn’t mean realistic: it refers to a specific method or approach – realist evaluation, realist synthesis.

The agenda of the realist review already takes us along a useful path towards policy relevance, driven partly by the idea that many policy and practice ‘interventions’ are too complex to be subject to meaningful ‘systematic review’.

The latter’s aim – which we should be careful not to caricature – may be to identify something as close as possible to a general law: if you do X, the result will generally be Y, and you can be reasonably sure because the studies (such as randomised control trials) meet the ‘gold standard’ of research.

The former’s aim is to focus extensively on the context in which interventions take place: if you do X, the result will be Y under these conditions. So, for example, you identify the outcome that you want, the mechanism that causes it, and the context in which the mechanism causes the outcome. Maybe you’ll even include a few more studies, not meeting the ‘gold standard’, if they meet other criteria of high quality research (I declare that I am a qualitative researcher, so you call tell who I’m rooting for).

Realist reviews come increasingly with guide books and discussions on how to do them systematically. However, my impression is that when people do them, they find that there is an art to applying discretion to identify what exactly is going on. It is often difficult to identify or describe the mechanism fully (often because source reports are not clear on that point), say for sure it caused the outcome even in particular circumstances, and separate the mechanism from the context.

I italicised the last point because it is super-important. I think that it is often difficult to separate mechanism from context because (a) the context is often associated with a particular country’s political system and governing arrangements, and (b) it might be better to treat governing context as another mechanism in a notional chain of causality.

In other words, my impression is that realist reviews focus on the mechanism at the point of delivery; the last link in the chain in which the delivery of an intervention causes an outcome. It may be wise to also identify the governance mechanism that causes the final mechanism to work.

Why would you complicate an already complicated review?

I aim to complicate things then simplify them heroically at the end.

Here are five objectives that I maybe think we should pursue in an evidence review for policymakers (I can’t say for sure until we all agree on the principles of science advice):

  1. Focus on ways to turn evidence into feasible political action, identifying a clear set of policy conditions and mechanisms necessary to produce intended outcomes.
  2. Produce a manageable number of simple lessons and heuristics for policymakers, practitioners, and communities.
  3. Review a wider range of evidence sources than in traditional systematic reviews, to recognise the potential trade-offs between measures of high quality and high impact evidence.
  4. Identify a complex policymaking environment in which there is a need to connect the disparate evidence on each part of the ‘causal chain’.
  5. Recognise the need to understand individual countries and their political systems in depth, to know how the same evidence will be interpreted and used very differently by actors in different contexts.

Objective 1: evidence into action by addressing the politics of evidence-based policymaking

There is no shortage of scientific evidence of policy problems. Yet, we lack a way to use evidence to produce politically feasible action. The ‘politics of evidence-based policymaking’ produces scientists frustrated with the gap between their evidence and a proportionate policy response, and politicians frustrated that evidence is not available in a usable form when they pay attention to a problem and need to solve it quickly. The most common responses in key fields, such as environmental and health studies, do not solve this problem. The literature on ‘barriers’ between evidence and policy recommend initiatives such as: clearer scientific messages, knowledge brokerage and academic-practitioner workshops, timely engagement in politics, scientific training for politicians, and participation to combine evidence and community engagement.

This literature makes limited reference to policy theory and has two limitations. First, studies focus on reducing empirical uncertainty, not ‘framing’ issues to reduce ambiguity. Too many scientific publications go unread in the absence of a process of persuasion to influence policymaker demand for that information (particularly when more politically relevant and paywall-free evidence is available elsewhere). Second, few studies appreciate the multi-level nature of political systems or understand the strategies actors use to influence policy. This involves experience and cultural awareness to help learn: where key decisions are made, including in networks between policymakers and influential actors; the ‘rules of the game’ of networks; how to form coalitions with key actors; and, that these processes unfold over years or decades.

The solution is to produce knowledge that will be used by policymakers, community leaders, and ‘street level’ actors. It requires a (23%) shift in focus from the quality of scientific evidence to (a) who is involved in policymaking and the extent to which there is a ‘delivery chain’ from national to local, and (b) how actors demand, interpret, and use evidence to make decisions. For example, simple qualitative stories with a clear moral may be more effective than highly sophisticated decision-making models or quantitative evidence presented without enough translation.

Objective 2: produce simple lessons and heuristics

We know that the world is too complex to fully comprehend, yet people need to act despite uncertainty. They rely on ‘rational’ methods to gather evidence from sources they trust, and ‘irrational’ means to draw on gut feeling, emotion, and beliefs as short cuts to action (or system 1 and 2 thinking). Scientific evidence can help reduce some uncertainty, but not tell people how to behave. Scientific information strategies can be ineffective, by expecting audiences to appreciate the detail and scale of evidence, understand the methods used to gather it, and possess the skills to interpret and act on it. The unintended consequence is that key actors fall back on familiar heuristics and pay minimal attention to inaccessible scientific information. The solution is to tailor evidence reviews to audiences: examining their practices and ways of thinking; identifying the heuristics they use; and, describing simple lessons and new heuristics and practices.

Objective 3: produce a pragmatic review of the evidence

To review a wider range of evidence sources than in traditional systematic reviews is to recognise the trade-offs between measures of high quality (based on a hierarchy of methods and journal quality) and high impact (based on familiarity and availability). If scientists reject and refuse to analyse evidence that policymakers routinely take more seriously (such as the ‘grey’ literature), they have little influence on key parts of policy analysis. Instead, provide a framework that recognises complexity but produces research that is manageable at scale and translatable into key messages:

  • Context. Identify the role of factors described routinely by policy theories as the key parts of policy environments: the actors involved in multiple policymaking venues at many levels of government; the role of informal and formal rules of each venue; networks between policymakers and influential actors; socio-economic conditions; and, the ‘paradigms’ or ways of thinking that underpin the consideration of policy problems and solutions.
  • Mechanisms. Focus on the connection between three mechanisms: the cause of outcomes at the point of policy delivery (intervention); the cause of ‘community’ or individual ‘ownership’ of effective interventions; and, the governance arrangements that support high levels of community ownership and the effective delivery of the most effective interventions. These connections are not linear. For example, community ownership and effective interventions may develop more usefully from the ‘bottom up’, scientists may convince national but not local policymakers of the value of interventions (or vice versa), or political support for long term strategies may only be temporary or conditional on short term measures of success.
  • Outcomes. Identify key indicators of good policy outcomes in partnership with the people you need to make policy work. Work with those audiences to identify a small number of specific positive outcomes, and synthesise the best available evidence to explain which mechanisms produce those outcomes under the conditions associated with your region of study.

This narrow focus is crucial to the development of a research question, limiting analysis to the most relevant studies to produce a rigorous review in a challenging timeframe. Then, the idea from realist reviews is that you ‘test’ your hypotheses and clarify the theories that underpin this analysis. This should involve a test for political as well as technical feasibility: speak regularly with key actors i to gauge the likelihood that the mechanisms you recommend will be acted upon, and the extent to which the context of policy delivery is stable and predictable and if mechanism will work consistently under those conditions.

Objective 4: identify key links in the ‘causal chain’ via interdisciplinary study

We all talk about combining perspectives from multiple disciplines but I totally mean it, especially if it boosts the role of political scientists who can’t predict elections. For example, health or environmental scientists can identify the most effective interventions to produce good health or environmental outcomes, but not how to work with and influence key people. Policy scholars can identify how the policy process works and how to maximise the use of scientific evidence within it. Social science scholars can identify mechanisms to encourage community participation and the ownership of policies. Anthropologists can provide insights on the particular cultural practices and beliefs underpinning the ways in which people understand and act according to scientific evidence.

Perhaps more importantly, interdisciplinarity provides political cover: we got the best minds in many disciplines and locked them in a room until they produced an answer.

We need this cover for something I’ll call ‘informed extrapolation’ and justify with reference to pragmatism: if we do not provide well-informed analyses of the links between each mechanism, other less-informed actors will fill the gap without appreciating key aspects of causality. For example, if we identify a mechanism for the delivery of successful interventions – e.g. high levels of understanding and implementation of key procedures – there is still uncertainty: do these mechanisms develop organically through ‘bottom up’ collaboration or can they be introduced quickly from the ‘top’ to address an urgent issue? A simple heuristic for central governments could be to introduce training immediately or to resist the temptation for a quick fix.

Relatively-informed analysis, to recommend one of those choices, may only be used if we can back it up with interdisciplinary weight and produce recommendations that are unequivocal (although, again, other approaches are available).

Objective 5: focus intensively on one region, and one key issue, not ‘one size fits all’

We need to understand individual countries or regions – their political systems, communities, and cultural practices – and specific issues in depth, to know how abstract mechanisms work in concrete contexts, and how the same evidence will be interpreted and used differently by actors in those contexts. We need to avoid politically insensitive approaches based on the assumption that a policy that works in countries like (say) the UK will work in countries that are not (say) the UK, and/ or that actors in each country will understand policy problems in the same way.

But why?

It all looks incredibly complicated, doesn’t it? There’s no time to do all that, is there? It will end up as a bit of a too-rushed jumble of high-and-low quality evidence and advice, won’t it?

My argument is that these problems are actually virtues because they provide more insight into how busy policymakers will gather and use evidence. Most policymakers will not know how to do a systematic review or understand why you are so attached to them. Maybe you’ll impress them enough to get them to trust your evidence, but have you put yourself into a position to know what they’ll do with it? Have you thought about the connection between the evidence you’ve gathered, what people need to do, who needs to do it, and who you need to speak to about getting them to do it? Maybe you don’t have to, if you want to be no more than a ‘neutral scientist’ or ‘honest broker’ – but you do if you want to give science advice to policymakers that policymakers can use.

 

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The Politics of Evidence Based Policymaking:3 messages

Really, it’s three different ways to make the same argument in the number of words that suits you:

  1. Guardian post (700 words): ‘When presenting evidence to policymakers, scientists and other experts need to engage with the policy process that exists, not the one we wish existed’
  2. Public Administration Review article (3000 words) To Bridge the Divide between Evidence and Policy: Reduce Ambiguity as Much as Uncertainty (free version)
  3. Book (40,000 words)The Politics of Evidence Based Policymaking (free version)

For even more words, see my EBPM page

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Policy Concepts in 1000 Words: Feminism, Postcolonialism, and Critical Policy Studies

In the 24 other posts in this series, I know the material well and am thinking primarily about communicating it to a new audience. In this post, I would like to (a) admit my limited understanding of topics such as feminist and postcolonial studies, and concern about oversimplifying key points, but (b) set out some thoughts about the links between them and the topics I discuss on this site. I would appreciate your comments and suggestions on relevant further reading for students of public policy.

Let’s begin with a transition from two other posts: combining theories, and critical policy studies/ the NPF. Both posts raise the same basic question: what is science? This question leads to a series of concerns about the criteria we use to determine which theories are most worthy of our investment, and the extent to which social scientific criteria should emulate those in natural science.

One set of criteria, which you can find in the ‘policy shootout!’, relates to the methods and principles we might associate with some branches of natural science (and use, for example, to support astronomy but not astrology):

  • A theory’s methods should be explained so that they can be replicated by others.
  • Its concepts should be clearly defined, logically consistent, and give rise to empirically falsifiable hypotheses.
  • Its propositions should be as general as possible.
  • It should set out clearly what the causal processes are.
  • It should be subject to empirical testing and revision

If we were to provide a caricature of this approach, we might associate it with other explicit or implicit principles, such as:

  1. The world exists independently of our knowledge of it, and our role is to develop theories to help us understand its properties (for example, discover its general laws).
  2. These principles help us produce objective science: if the methods and results can be replicated, they do not depend on individual scientists.

In other words, the caricature is of a man in a white lab coat gathering knowledge of his object of study while remaining completely separate from it. Such principles are generally difficult to maintain, and relatively tricky in the study of the social world (and it seems increasingly common for one part of PhD training to relate to reflexivity – see what is our role in social scientific research)? However, critical challenges go far beyond this point about false objectivity.

The challenge to objective science: 1. the role of emancipatory research

One aspect of feminist and postcolonial social science is to go beyond the simple rejection of the idea of objective social science: a further key (or perhaps primary) aim is to generate research with emancipatory elements. This may involve producing research questions with explicit normative elements and combining research with recommendations on social and political change.

The challenge to objective science: 2. a rejection of the dominant scientific method?

A second aspect is the challenge to the idea that one dominant conception of scientific method is correct. Instead, one might describe the scientific rules developed by one social group to the exclusion of others. This may involve historical analysis to identify the establishment of an elite white male dominance of science in the ‘West’, and the ‘Western’ dominance of science across the world.

To such scientists, a challenge to these criteria seems ridiculous: why reject the scientific principles that help us produce objective science and major social and technological advances? To their challengers, this response may reflect a desire to protect the rules associated with elite privilege, and to maintain dominance over the language we use to establish which social groups should be respected as the generators of knowledge (the recipients of prestige and funding, and perhaps the actors most influential in policy).

The challenge to objective science: 3. the democratisation of knowledge production

A third is the challenge to the idea that only well-trained scientists can produce valuable knowledge. This may involve valuing the knowledge of lived experience as a provider of new perspectives (particularly when people are in the unusual position to understand and compare their perspective and those of others). It also involves the development of new research methods and principles, combined with a political challenge to the dominance of a small number of scientific methods (for example, see rejections of the hierarchy of knowledge at which the systematic review of randomised control trials is often at the top).

Revisiting the live debate on the NPF and critical/ interpretive studies

This seems like good context for some of the debate on the NPF (see this special issue). One part of the debate may be about fundamentally different ideas about how we do research: do we adhere to specific scientific principles, or reject them in favour of a focus on, for example, generating meaning from statements and actions in particular contexts?

Another part may reflect wider political views on what these scientific principles represent (an elitist and exclusionary research agenda, whose rules reinforce existing privileges) and the role of alternative methods, in which critical policy studies may play an important part. In other words, we may be witnessing such a heated debate because critical theorists see the NPF as symbolic of attempts by some scholars to (a) reassert a politically damaging approach to academic research and (b) treat other forms of research as unscientific.

Where do we go from here?

If so, we have raised the stakes considerably. When I wrote previously about the problems of combining the insights and knowledge from different theories, it often related to the practical problems of research resources and potential for conceptual misunderstanding. Now, we face a more overt political dimension to social research and some fundamentally different understandings of its role by different social groups.

Can these understandings be reconciled, or will they remain ‘incommensurable’, in which we cannot generate agreement on the language to use to communicate research, and therefore the principles on which to compare the relative merits of approaches? I don’t know.

Initial further reading

Paying attention to this intellectual and political challenge provides a good way ‘in’ to reading that may seem relatively unfamiliar, at least for students with (a) some grounding in the policy theories I describe, and (b) looking to expand their horizons.

Possibly the closest link to our focus is when:

First, we know that policy problems do not receive policymaker attention because they are objectively important. Instead, actors compete to define issues and maximise attention to that definition. Second, we do the same when we analyse public policy: we decide which issues are worthy of study and how to define problems. Bacchi argues that the ‘conventional’ policy theorists (including Simon, Bardach, Lindblom, Wildavsky) try to ‘stand back from the policy process’ to give advice from afar, while others (including Fischer, Drysek, Majone) “recognise the analysts’ necessarily normative involvement in advice giving” (p200). Combining both points, Bacchi argues that feminists should engage in both processes – to influence how policymakers and analysts define issues – to, for example, challenge ‘constructions of problems which work to disempower women’ (p204). This is a topic (how should academics engage in the policy process) which I follow up in a study of EBPM.

For a wider discussion of feminist studies and methods, have a look at:

  • Fonow and Cook’s ‘pragmatic’ discussion about how to do feminist public policy research based on key principles:

‘Our original analysis of feminist approaches to social science research in women’s studies revealed some commonalities, which we articulated as guiding principles of feminist methodology: first, the necessity of continuously and reflexively attending to the significance of gender and gender asymmetry as a basic feature of all social life, including the conduct of research; second, the centrality of consciousness-raising or debunking as a specific methodological tool and as a general orientation or way of seeing; third, challenging the norm of objectivity that assumes that the subject and object of research can be separated from each other and that personal and/or grounded experiences are unscientific; fourth, concern for the ethical implications of feminist research and recognition of the exploitation of women as objects of knowledge; and finally, emphasis on the empowerment of women and transformation of patriarchal social institutions through research and research results’ (Fonow and Cook, 2005: 2213).

  • Lovenduski on early attempts to reinterpret political science through the lens of feminist theory/ research.

Note the links between our analysis of power/ideas and institutions as the norms and rules (informal and formal, written and unwritten) which help produce regular patterns of behaviour which benefit some and exclude others (and posts on bounded rationality, EBPM and complexity: people use simple rules to turn a complex world into manageable strategies, but to whose benefit?).

With feminist research comes a shift of focus from sex (as a primarily biological definition) and gender (as a definition based on norms and roles performed by individuals), and therefore the (ideal-type) ‘codes of masculinity and femininity’ which underpin political action and even help define which aspects of public policy are public or private. This kind of research links to box 3.3 in Understanding Public Policy (note that it relates to my discussion of Schattschneider and the privatisation/ socialisation of conflict, which he related primarily to ‘big business’).

box 3.3 gender policy

Then see two articles which continue our theme of combining theories and insights carefully:

  • Kenny’s discussion of feminist institutionalism, which seems like one of many variants of new institutionalism (e.g. this phrase could be found in many discussions of new institutionalism: ‘seemingly neutral institutional processes and practices are in fact embedded in hidden norms and values, privileging certain groups over others’ – Kenny, 2007: 95) but may involve ‘questioning the very foundations and assumptions of mainstream institutional theory’. Kenny argues that few studies of new institutionalism draw on feminist research (‘there has been little dialogue between the two fields’) and, if they were to do so, may produce very different analyses of power and ‘the political’. This point reinforces the problems I describe in combining theories when we ignore the different meanings that people attach to apparently identical concepts.
  • Mackay and Meier’s concern (quoted here) that new institutionalism could be ‘an enabling framework – or an intellectual strait-jacket” for feminist scholarship’. Kenny and Mackay identify similar issues about ‘epistemological incompatibilities’ when we combine approaches such as feminist research and rational choice institutionalism.

So far, I provide one link between postcolonial studies and public policy, since this seems like the best way ‘in’.

  • Munshi and Kurian’s identify the use of ‘postcolonial filters’ to reinterpret the framing of corporate social responsibility, describing ‘the old colonial strategy of reputation management among elite publics at the expense of marginalized publics’ which reflects a ‘largely Western, top-down way of doing or managing things’. In this case, we are talking about frames as structures or dominant ways to understand the world. Actors exercise power to reinforce a particular way of thinking which benefits some at the expense of others. Munshi and Kurian describe a ‘dominant, largely Western, model of economic growth and development’ which corporations seek to protect with reference to, for example, the ‘greenwashing’ of their activities to divert attention from the extent to which ‘indigenous peoples and poorer communities in a number of developing countries “are generally the victims of environmental degradation mostly caused by resource extractive operations of MNCs in the name of global development”’ (see p516).

It is also worth noting that I have, in some ways, lumped feminism and postcolonialism together when they are separate fields with different (albeit often overlapping and often complementary) traditions. See for example Emejulu’s Beyond Feminism’s White Gaze.

Hopefully some more suggested readings will appear in the comments section …

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Policy Concepts in 1000 Words: The Policy Cycle and its Stages

See also What is Policy? and the Policy concepts in 1000 words series

(podcast download)

The classic way to study policymaking is to break it down into stages. The stages have changed over the years, and vary by country, but the basic ideas remain the same:

  1. Descriptive. Let’s simplify a complex world by identifying its key elements.
  2. Prescriptive. Let’s work out how to make policy, to translate public demands into government action (or at least to carry out government policy).

cycle

A cycle divides the policy process into a series of stages, from a notional starting point at which policymakers begin to think about a policy problem to a notional end point at which a policy has been implemented and policymakers think about how successful it has been before deciding what to do next. The image is of a continuous process rather than a single event. The evaluation stage of policy 1 represents the first stage of policy 2, as lessons learned in the past set the agenda for choices to be made in the future:

  • Agenda setting. Identifying problems that require government attention, deciding which issues deserve the most attention and defining the nature of the problem.
  • Policy formulation. Setting objectives, identifying the cost and estimating the effect of solutions, choosing from a list of solutions and selecting policy instruments.
  • Legitimation. Ensuring that the chosen policy instruments have support. It can involve one or a combination of: legislative approval, executive approval, seeking consent through consultation with interest groups, and referenda.
  • Implementation. Establishing or employing an organization to take responsibility for implementation, ensuring that the organization has the resources (such as staffing, money and legal authority) to do so, and making sure that policy decisions are carried out as planned.
  • Evaluation. Assessing the extent to which the policy was successful or the policy decision was the correct one; if it was implemented correctly and, if so, had the desired effect.
  • Policy maintenance, succession or termination. Considering if the policy should be continued, modified or discontinued.

The cycle is useful in many ways. It is simple and understandable. It can be applied to all political systems. The emphasis on cycles highlights fluid policymaking.  There is also a wide range of important studies (and key debates) based on the analysis of particular stages – such as the top-down versus bottom-up approaches to the study of policymaking.

top down bottom up

However, the stages approach is no longer central to policy studies, partly because it does not help explain what it describes, and partly because it oversimplifies a complex world (does it also seem to take the politics out of policymaking? In other words, note the often-fraught politics of seemingly-innocuous stages such as evaluation). The policymaking system may be seen more as a collection of thousands of policy cycles, which interact with each other to produce much less predictable outcomes.  Indeed, many of the theories or concepts outlined in this series serve as replacements for a focus on cycles (see the The Advocacy Coalition Framework and Multiple Streams Analysis in particular).

The prescriptive side of cycles and stages is a bit more interesting, because it may be both unrealistic and useful at the same time. Stages can be used to organise policymaking in a simple way: identify policymaker 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.  The academic idea is simple and the consequent advice to policy practitioners is straightforward.  It is difficult – but not impossible – to describe a more meaningful, more realistic, analytical model to policymakers (and give advice on how to act) in the same straightforward way.

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