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Article

Jonathan Pierce and Katherine Hicks

The advocacy coalition framework (ACF) was developed to explain policy processes where contentious coalitions of actors seek to translate competing belief systems into public policy. Advocacy coalitions may include interest groups, members of the media, scientists and academics, and government officials that share beliefs about a public issue and coordinate their behavior. These advocacy coalitions engage in various strategies using resources to influence policy change or stasis. As part of this process, advocacy coalition members may learn within and/or across coalitions. This framework is one of the most prominent and widely applied approaches to explain public policy. While it has been applied hundreds of times, in over 50 different countries, the vast majority of ACF applications have sought to explain domestic policy processes. A reason for the paucity of applications to foreign policy is that some ACF assumptions may not seem congruent to foreign policy issues. For example, the ACF uses a policy subsystem as the unit of analysis that may include a territorial dimension. Yet, the purpose of the territorial dimension is to limit the scope of the study. Therefore, this dimension can be substituted for a government body that has the authority or potential authority to make and implement foreign policy. In addition, the ACF assumes a central role for technical and scientific information in the policy process. Such information makes learning across coalitions more conducive, but the ACF can and should also be applied to normative issues, such as those more common among foreign policy research. This article introduces the ACF; provides an overview of the framework, including assumptions, key concepts and theories, and transferability of the ACF to foreign policy analysis; and discusses four exemplary applications. In addition, it proposes future research that scholars should explore as part of the nexus of the ACF and foreign policy analysis. In the final analysis, the authors suggest the ACF can and should be applied to foreign policy analysis to better understand the development of advocacy coalitions and how they influence changes and stasis in foreign policy.

Article

JoBeth Shafran, Bryan D. Jones, and Connor Dye

Bounded rationality is the notion that while humans want to be fully rational beings and weigh the costs and benefits when making a decision, they cannot do so due to cognitive and emotional limitations. The role of human nature in the study and design of organizations can be examined through three general approaches that are explained using metaphors: organization as machine, organization as hierarchy, and organization as canal. The organization-as-machine approach ignores the principles of bounded rationality by assuming the organizational members perform straightforward cost–benefit responses to the incentives put forward by the operators. Later developments in organizational scholarship incorporate elements of bounded rationality and allowed researchers to link human cognitive capacities to the basic organizational features, giving us two new conceptions of organization: organization as hierarchy and organization as canal. Organization as hierarchy focuses on the organization’s use of subunits to create divisions of labor to expand the capacity to process information and problem-solve. Organization as canal recognizes that the weaknesses of human cognition are still channeled into the organizational structure, making it difficult for organizations to update their preferences and assumptions as they receive new information. These principles of bounded rationality in organizational theory can be applied to policy-making institutions. Hierarchical organizations delegate information processing to the subunits, allowing them to attend to the various policy environments and process incoming information. While the collective organization attends to many issues at once, the rules and procedures that are present within the organization and the cognitive limits of decision makers, prevent proportional information processing. Political institutions are unable to respond efficiently to changes in the environment. Thus, organizational adjustment to the environment is characterized as disjointed and episodic as opposed to smooth and incremental. Punctuated equilibrium theory applies these tenets of bounded rationality to a theory of policy change. Congress has been a vehicle for studying bounded rationality in organizations and theories of policy change, as it is a formal institution with bureaucratic elements and is subject to the constraints faced by any formal organization.

Article

Thomas A. Birkland and Kathryn L. Schwaeble

Agenda setting is a crucial aspect of the public policy process. Sudden, rare, and harmful events, known as focusing events, can be important influences on the policy process. Such events can reveal current and potential future harms, mobilize people and groups to address the policy failures that may be revealed by such events, and open the “window of opportunity” for intensive policy discussion and potential policy change. But focusing events operate differently at different times and in different policy domains. Although the idea of focusing events is firmly rooted in Kingdon’s “streams approach” to the policy process, focusing events are an important element of most contemporary theories of the policy process. But not every event works as a focusing event. The process by which a focusing event can yield policy change is complex and involves attention to the problems revealed by the event as well as evidence of learning from the event on the part of policymakers. Although focusing events are important, in many ways the concept remains underdeveloped, with few researchers seeking to understand the dynamics of these important events.

Article

Over seventy-five years ago, the social sciences were irrevocably transformed by the rise of the policy sciences. The policy sciences, an ambitious multidisciplinary movement founded by the preeminent political scientist, Harold D. Lasswell, offered an unprecedented approach to public policy based primarily on an adaptation of the work of John Dewey and other pragmatists. Although parts of this new approach may be traced to the 19th century, the policy sciences were distinctive. Not only did they mandate the creation of knowledge about the process of policymaking; they also required that the knowledge so created be used to improve that process.

Article

Nikolaos Zahariadis

The Multiple Streams Approach (MSA) builds on the organizational process tradition by (1) unpacking the organizational process “paradigm,” (2) maintaining emphasis on “governmental action as organizational output,” and (3) stressing the importance of ambiguity and temporal sorting as essential blocks of policy making. Operating at the systemic level, it is an actor-centered approach. It conceptualizes foreign policy choice as being made at the system—government—level and is the result of coupling three streams by policy entrepreneurs—policies, problems, and politics—during open policy windows. It differs from traditional models of foreign policy making by stressing process over outcome and stands between the rational and cognitive schools of foreign policy making. The empirical literature finds the MSA is a good candidate to bridge the divide between domestic and foreign policy, shedding light on debates of small versus large state foreign policy behavior by utilizing both qualitative and quantitative techniques.

Article

Patrik Marier

We frequently employ analogies such as a leaking roof or finishing last in a ranking to illustrate that there is a serious problem requiring attention. Unfortunately, policy realities are far more complex and less obvious since policymakers do not benefit from objective measures or clear signals akin to having water dripping over their head to indicate the presence of a problem. In fact, they face a plethora of policy actors constantly engaged in defining policy problems for them based on competing frames of references. The term “policy problems” evokes questions of what makes a social issue a policy problem, but it also raises questions regarding whether problems can actually be solved via a public response and how. Policy problems occupy a crucial role in policy studies, if not for the simple reason that political authorities are unlikely to alter or create policies without the presence of problems. As such, policy problems occupy an important place in popular theoretical frameworks frequently employed in the field of public policy. The formulation of policy problems is at the heart of the punctuated-equilibrium theory since these can result in the creation of new political coalitions seeking transformative policy change. In the social construction of target populations approach, the ways in which the public perceives particular subgroups or subpopulations dictate our understanding of policy problems and the types of instruments to deploy. Frameworks for policy feedback assume that current policies structure the formulation of policy problems along the lines of altering existing policies. In the multiple-streams theoretical framework, policy problems are part of a toolkit used to validate the use of already made solutions by policy entrepreneurs seeking the right opportunity for implementation. A thorough treatment and analysis of policy problems exist within the policy design literature. Scholars operating within this tradition have emphasized the individual characteristics of policy problems and, as importantly, how these matter when it is time to enact solutions. Characteristics of problems, such as causality and severity, are key elements in the identification and formulation of policy problems and their likelihood to feature prominently in the policy agenda of governmental actors. Additional elements, such as the divisibility of policy problems and the extent to which these problems can be monetarized, matter in assessing the possibility of enacting solutions. This raises the fundamental question of whether policy problems can actually be resolved. Mature policies are the norm in industrialized countries, and these are increasingly subject to international agreements. Consequently, there are, for example, many more interdependencies, which have led to the reemergence of wicked-problems analyses. However, a substantial number of contributions have associated complexity with wicked problems, raising questions surrounding their intrinsic qualities and the danger of conceptual stretching.

Article

Guillaume Fontaine

Comparative public policy (CPP) is a multidisciplinary enterprise aimed at policy learning through lesson drawing and theory building or testing. We argue that CPP faces the challenge of conceptual and analytical standardization if it is to make a significant contribution to the explanation of policy decision-making. This argument is developed in three sections based on the following questions: What is CPP? What is it for? How should it be done? We begin with a presentation of the historical evolution of the field, its conceptual heterogeneity, and the persistence of two distinct bodies of literature made of basic and applied studies. We proceed with a discussion of the logics operating in CPP, their approaches to causality and causation, and their contribution to middle-range theory. Next, we explain the fundamental problems of the comparative method, starting with a synthesis of the main methodological pitfalls and the problems of case selection and then revising the main protocols in use. We conclude with a reflection on the contribution of CPP to policy design and policy analysis.

Article

Linda Courtenay Botterill

Since the late 1990s, increased attention has been given by governments and scholars to evidence-based policymaking (EBPM). The use of the term EBPM appears to have emerged with the election of Tony Blair’s government in the United Kingdom (UK) and a desire to be seen to be taking ideology and politics out of the policy process. The focus was on drawing on research-based evidence to inform policymakers about “what works” and thereby produce better policy outcomes. In this sense, evidence-based policy is arguably a new label for an old concern. The relationship between knowledge, research, and policy has been a focus of scholarly attention for decades—Annette Boaz and her colleagues date it to as early as 1895 (Boaz et al., 2008, p. 234). In its more recent form, EBPM has been the subject of much debate in the literature, particularly through critiques that question its assumptions about the nature of the policy process, the validity of evidence, the skewing in favor of certain types of evidence, and the potentially undemocratic implications. The first concern with the concept is that the EBPM movement runs counter to the lessons of the critique of rational-comprehensive approaches to policymaking that was launched so effectively in Lindblom’s article “The Science of ‘Muddling Through’” and never really refuted, in spite of attempts by advocates of the policy cycle and other rational models. The second problem is that the rhetoric of evidence-based policy does not recognize the contested nature of evidence itself, an area that has been the subject of a large body of research in the fields of the sociology of science and science and technology studies. These studies draw attention to the value-laden nature of scientific inquiry and the choices that are made about what to research and how to undertake that research. Third, the emphasis has been on particular types of evidence, with particular methodologies being privileged over others, running the risk that what counts as evidence is only what can be counted or presented in a particular way. The choice of evidence is value-laden and political in itself. Finally, attempts to take the ideology or politics out of policy are also potentially undemocratic. Policymaking is the business of politics. In democratic systems, politicians are elected to implement their policies, and those policies are based on particular sets of values. Leaders are elected to make collective decisions on behalf of the electorate and those decisions are based on judgments, including value judgments. Evidence surely must inform this process, but, equally, it cannot be decisive. Trade-offs are required between conflicting values, such as between equity and efficiency, and this can include deciding between solutions that the evidence suggests are optimal and other societal priorities.

Article

As a part of the policy process, implementation follows policy as formulated and decided upon. Three aspects can be distinguished as inherent to the term implementation. The first one regards the temporal order in which implementation in a policy process takes place. The second aspect concerns the causal logic, while the third one is about the form of authority. Policy implementation is looked at and talked about from two fundamentally contrasting perspectives. One can be called an “ideal” perspective, the other a realistic one. “Ideal” stands here for a use of the term implementation without further reflection; the phenomena the term refers to are taken for granted. By contrast, the alternative perspective can be labeled as a realistic one. This perspective is a construction as well, but instead of taking things for granted it invites for empirical observation and testing. From an ideal perspective implementation is viewed as following instructions. Implementation is seen as a separate stage, identifiable as such. Inputs are supposed to determine outputs, while authority is exercised in a hierarchical relationship. From a realistic perspective implementation is seen as practice. It is approached as a multilevel phenomenon. Results of a policy process are explained by a variety of factors and social mechanisms. Authority is exercised as based on various sources. Both the view on implementation as following instructions and its realistic opposite shed a relevant light on implementation and its place in the policy process. Each view can be found in the practice as well as the study of the policy process. In the expectations about national politics the view on implementation as following instructions may be more observed than the alternative view, while at the street level of government the opposite can be supposed. However, these concern empirical questions. As far as implementation research is concerned, the normative appeal of the assumptions underlying the view on implementation as following instructions makes that view still occurring. At the same time, these assumptions have been challenged rather fundamentally, both at a theoretical and empirical level. The opposite character of the two views has consequences for the ways implementation and its place within the policy process are understood, but also for the ways in which variation in the results of policy processes is explained. Ultimately, understanding and explaining those results are enhanced when an approach is adopted in which elements from both views have been incorporated.

Article

Archives, including primary documents such as meeting minutes, memoranda, white papers, blueprints, drafts for laws, and acts, are a crucial part of a consistent research inquiry that provide significant understanding of the public-policy processes in public administration. Within qualitative methods for studying public policy and public administration, archives are a key step of the process-tracing method for comparative historical analysis. Archival research is the backbone of any process-tracing exercise. Using archives for public administration studies requires rigorous planning. It starts with the definition of a time horizon of analysis that sets the dates over which the analysis will be performed. The time horizon will also help design the types of documents and indicators needed to identify the decision-making process, along with the goals and the budget performance that will accompany the policy decision. The key elements of time, sequence, selection, and classification of archives in public-policy studies determine the causal process mechanisms within a public-policy process. Identifiers, data-mining software, and sequencing are additional tools for improving classification and interpretation.

Article

Policymakers regularly face decisions pertaining to the making of international law and compliance with international law. International relations scholars have attempted to explain the broad patterns of state behavior that emerge from such decisions by approaching international lawmaking and international legal compliance from the perspectives of state power, interests, and identity. These explanations reflect the growing interdisciplinary connections between the study of international law and the study of international relations. Although there have been fewer interdisciplinary connections between the study of international law and models of foreign policy decision-making, closer examination of each of the main international relations approaches to international lawmaking and international legal compliance suggests corresponding models of foreign policy decision-making. Further work remains to develop these connections and to incorporate transnational actors and processes into the analysis of foreign policy decision-making. Such work has both scholarly and practical relevance, insofar as foreign policy decision-making takes place in an increasingly legalized international environment even as the existing, post–World War II international order faces increasing challenges from nonliberal states.

Article

Jonathan Klüser and Marco Radojevic

Research on policy agendas and agenda-setting has developed into an important subdiscipline of comparative politics, which seeks to understand how political actors allocate scarce attention. The theoretical origins of the field describe agenda-setting as a “conflict of conflicts,” that is the political struggle over the question of which issues receive attention. Modern scholars have expanded on these ideas and turned them into important theoretical models of the agenda-setting process. The most influential of these models are Kingdon’s multiple streams approach and Baumgartner and Jones’ punctuated equilibrium theory. The former analyses the emergence of issues in the separate streams of policies, politics, and problems, whose coupling is necessary for any issue in order to be considered for political decision-making. In contrast, the latter stresses the importance of negative and positive feedback mechanisms in order to explain long periods of incremental policy change and sudden radical changes, which characterize the policy process. Inspired by the second approach is the Comparative Agendas Project, which is a comprehensive and comparative data collection effort about policy agendas using a unified taxonomy. These data enable scholars to research the entire political process from media inputs via government throughput to legislative output. Studying governmental agendas, it is paramount to stress that—against common wisdom—political ideology does not play a decisive role in the agenda-setting process. Rather, both leftist and rightist governments seek to portray themselves as potent problem-solvers and respond to problematic societal condition in order to prove their competence. Looking at the media as one potentially powerful political agenda-setter, it turns out that newspapers and television channels’ power to steer the political agenda hinges on a variety of conditions. Generally, media outlets are most successful in setting the agenda if they report on issues that otherwise would not have been brought to the public’s attention. But even then, the media’s role appears to be restricted to narrowing down the issue menu from which politicians can choose when setting their agenda. The study of political agendas is by no means limited to these areas, as shown by the hundreds of articles that have been published in major political science journals over the past decades. While the agenda approach has not yet developed into a theory of politics, it has certainly become a major subdiscipline of comparative politics, which has helped make sense of the political world.

Article

Croatia’s accession to the European Union (EU) meant, in political terms, the recognition of its political and normative-institutional achievements in the establishment of a nation state and the democracy. At the same time, for the vast majority of Croatian citizens EU membership also had a symbolic meaning: a departure from the troubled past and a return to the Western, European cultural circle, which they have always felt they belong to. This feeling is the source for the strong pro-European orientation, which, as state independence was being achieved, and democracy established—as an expression of the strong political will of Croatian citizens for freedom and autonomy—helped achieve those historical and political goals. The EU was perceived as a framework that would enable those goals to be realized, so there was a general political consensus about joining it among all relevant political actors, and the vast majority of Croatian citizens granted their consent. The path to full EU membership was long and arduous, primarily because of the specific conditions that marked the process of establishing a Croatian state and a democratic order. On the one hand, these are endogenous structural and socio-cultural factors: the structure and activity of political actors and the functioning of institutions, which were significantly marked by their authoritarian political and historical legacy. On the other hand, was a war of aggression and a struggle for freedom and independence with long-lasting and difficult social and political consequences. These specific conditions—which none of the other acceding countries had—slowed down the process of democratization and, consequently, hampered the EU accession process. All these reasons are why Croatia had the most comprehensive and longest accession negotiations, including the most extensive body of pre-accession conditions. Although the extent and duration of negotiations, as well as the lack of expected support from the EU (especially during the war) have led to an increase in Euroskepticism and criticism of the EU—and consequently to the low turnout in the referendum for accession—the pro-European orientation remained dominant in Croatia. In general, public support for EU accession in Croatia was based on a set of mutually connected factors: identity-based (cultural affiliation), institutional-political (democracy), and utilitarian (socioeconomic benefits). In the period after joining the EU, due to insufficient preparation, Croatia has relatively slowly used the opportunities (especially economic) provided by EU. Nevertheless, EU membership has accelerated the increase in institutional capacity and better use of European Structural and Investment Funds (ESIF). At the same time, the free movement of people, goods, capital, and services, and the opportunities brought by the open EU market, had a double impact: strengthening the economy due to greater orientation toward the EU market, but also slower economic growth, due to structural problems (the lingering power of the state, and regulations to the economy and the market) and increased emigration of the highly educated younger population (chronic labor-force deficit). Nonetheless, through Croatia’s participation in the EU institutions, the real benefits of full membership are becoming increasingly visible, and the sense of integration in the EU’s social, political, cultural, and economic space is growing stronger. At the same time, EU membership affects further improvement of the normative-institutional framework of Croatia.

Article

Santiago Anria and Christopher Chambers-Ju

Since the dual transition to democracy and the market in Latin America, associational linkages or the exchanges between parties and interest associations representing different groups in society gained prominence for their crucial role in structuring political representation and framing policy processes. In the early 21st century, how do the relationships between political parties and interest associations vary across and within countries? The literature on party–voter linkages has begun to examine the distinct relations that emerge when political parties interact with interest associations that represent societal groups in order to incorporate those groups into party organizations or coalitions. Although associational linkages can be constructed when party leaders reach out to interest associations, they can also be constructed when interest associations negotiate the terms of their political support. One approach to analyzing associational linkages involves focusing on the diverse relationships that emerging societal actors established with political parties. Social movements have constructed movement-based parties. These parties are a particularly puzzling phenomenon because they incorporate social movements into their organizations without necessarily demobilizing them. Emerging sectors of organized labor have also established an array of relationships to parties, with unions engaging in contentious or electoral mobilization, with different degrees of support for political parties. There are major opportunities to advance a broad agenda for research on associational linkages that highlights cross-regional contrasts and changes in the political economy.

Article

Brooke N. Shannon, Zachary A. McGee, and Bryan D. Jones

Bounded rationality conceives of people engaging in politics as goal oriented but endowed with cognitive and emotional architectures that limit their abilities to pursue those goals rationally. Political institutions provide the critical link between micro- and macro-processes in political decision-making. They act to (a) compensate for those bounds on rationality; (b) make possible cooperative arrangements not possible under the assumptions of full or comprehensive rationality; and (c) fall prey to the same cognitive and emotional limits or canals that individual humans do. The cognitive limitations that hamper individuals are not only replicated at the organizational level but are in fact causal.

Article

Kyle Beardsley, Patrick James, Jonathan Wilkenfeld, and Michael Brecher

Over the course of more than four decades the International Crisis Behavior (ICB) Project, a major and ongoing data-gathering enterprise in the social sciences, has compiled data that continues to be accessed heavily in scholarship on conflict processes. ICB holdings consist of full-length qualitative case studies, along with an expanding range of quantitative data sets. Founded in 1975, the ICB Project is among the most visible and influential within the discipline of International Relations (IR). A wide range of studies based either primarily or in part on the ICB’s concepts and data have accumulated and cover subjects that include the causes, processes, and consequences of crises. The breadth of ICB’s contribution has expanded over time to go beyond a purely state-centric approach to include crisis-related activities of transnational actors across a range of categories. ICB also offers depth through, for example, potential resolution of contemporary debates about mediation in crises on the basis of nuanced findings about long- versus short-term impact with regard to conflict resolution.

Article

Since the 1990s, historical institutionalism has established itself as a frequently used approach in the study of European integration. One basic tenet of those who use this approach is to take history seriously in the study of European integration—in particular how historical choices on institutionalizing particular procedures and policies explain subsequent patterns of agency. Looking at the manner in which time and institutional structures affect outcomes is central in this approach. In the context of the European Union (EU), the works that have adopted this approach have typically examined developments in policies and institutions over time. While sharing with other institutionalist approaches (such as rational choice and sociological institutionalism) the recognition that “institutions matter,” historical institutionalism introduced particular concepts such as “path dependence” and “critical juncture” into the study of the EU. The distinct contribution here is the capacity of historical institutionalism to explain the persistence of institutional structures and the continuity of policies as well as the reasons for change. In the study of European integration, this approach has been adopted in many areas of research, ranging from studies about the legal foundations of the EU, the workings within institutions of the EU, the process of enlargement, to analyses of various sectors of EU policy-making, and the study of the multiple crises confronting the integration project in the 2010s.

Article

Ana Bojinović Fenko and Marjan Svetličič

Despite having fought for their bare survival against hostile foreigners, after finally reaching their independence and international recognition in 1991/92, paradoxically, even before fully assuming statehood Slovenians were eager to engage in yet another international integration—the European Union. This historical and societal wager, rather than merely political elites’ driven perspective, dominates as the prevailing reason for pursuing EU membership; thus security assurance to a small geopolitically transit state, economic benefits of a larger common market in conditions of economic globalization, and cultural proximity of Slovenian to European society explain Slovenian general identity-related elements favoring membership in the EU. There is also a more immediate time-space related explanatory factor for this, namely, the collapsing of the socialist Yugoslavia starting by the end 1980s and a view of assuring the democratic political life and market-lead economy via integration with Western European countries rather than South Slavic nations or following other alternative scenarios like full liberalization with all partners’ strategy. Authors critically evaluate where and why during the effort of becoming an EU member state and performing excellently as one during the first four years, the state fell short of capability-building and/or seizing the opportunities of EU membership. As the latter has been most brutally exposed via the effects of the 2008–2014 economic and financial crisis, of key importance for Slovenians currently stands a self-reflection of its development strategy, enhancing competitiveness, and the state’s role within the European family of nations. The main challenge is how to overcome the small state hindrances and more effectively formulate and project national interest to the EU level; with that in mind, the central questions for Slovenians remain assurance of social security to citizens, upgrading economic union to face more effectively global challenges and inter-state solidarity, refreshing enlargement policy for the remaining Western Balkans non-member states and ensuring Slovenian participation in the group of core states leading the European integration.