Chapter 20: Policy-making by Christoph Knill and Jale Tosun Caramani (ed.) Comparative Politics Section V: Public policies Chapter 20: Policy-making by Christoph Knill and Jale Tosun

Chapter 20: Policy-making Introduction (1/1) Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Policies: Government statements of what it intends to do, including law, regulation, ruling, decision, or order (Birkland 2001). Public policy: A more specific term, which refers to a series of actions carried out to solve societal problems (Newton and van Deth 2005). Public policies are the main output of the political system. By analysing the policy-making process, we gain a fuller understanding of the causes and consequences of policy decisions.

Chapter 20: Policy-making Conceptual models of policy-making (1/3) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making There are several complementary models of policy-making that clarify the relationship between politics and public policies: Institutional model: Public policies are determined by institutions, especially the relationship between the executive and the legislative power Public policies are formulated and implemented only by the executive and the legislative Policy-making seen as smooth technical process

Chapter 20: Policy-making Conceptual models of policy-making (2/3) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Rational model: How can “optimal” policy decisions be reached? Assumption of rational actors Bayesian learning Starting point for public choice / game theory Incremental model: Response to the rational model: Concept of “bounded rationality” Limited changes to existing policies, incremental policy-process No ideal, but realistic description of policy-making

Chapter 20: Policy-making Conceptual models of policy-making (3/3) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Group model: Public policies are the result of an equilibrium reached in interest group struggle Policy-makers are constantly responding to group pressures Policy-changes triggered by changes in relative strength between interest-groups Elite model: Policy-making is determined by preferences of governing elites Elites shape public opinions

Analysing policy-making as a process: The policy cycle (1/4) Chapter 20: Policy-making Analysing policy-making as a process: The policy cycle (1/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Considering the main features of policy-making: Multiple constraints Various policy processes Infinite cycle of decisions and policies It is convenient to analyse policy-making as a policy cycle. The policy cycle (or process model): The policy-process is modelled as a series of political activities: Agenda setting Policy formulation Policy adoption Implementation Evaluation

Analysing policy-making as a process: The policy cycle (2/4) Chapter 20: Policy-making Analysing policy-making as a process: The policy cycle (2/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Agenda setting: The identification of a public problem: Systemic agenda: All societal problems that demand public attention Action agenda: Problems that are up for serious consideration of decision-makers Agenda setting is done by different actors: Public officials The bureaucracy Mass media Interest-groups Political parties and scientific communities Agenda-setting is an important source of power  first mover advantage

Analysing policy-making as a process: The policy cycle (3/4) Chapter 20: Policy-making Analysing policy-making as a process: The policy cycle (3/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Policy formulation: The definition, discussion, acceptance, or rejection of feasible courses of action for coping with policy problems Deals with the elaboration of alternatives of action c) Policy adoption: The formal adoption to take on a policy Policy adoption is determined by a number of factors, of which two are particularly important: The expected costs/benefits of the policy Reduction of the set of feasible policies by the necessity to build majorities (veto players)

Analysing policy-making as a process: The policy cycle (4/4) Chapter 20: Policy-making Analysing policy-making as a process: The policy cycle (4/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Implementation: The conversion of new laws/programs into practice The “black box” between policy adoption and policy outcomes Quality of implementation depends on: Policy type Available resources for implementation Federal or unitary state Role of top bureaucrats (bureaucratic drift) Evaluation: Carried out to measure policy efficiency and effectiveness Provides a feedback loop  powerful tool of policy-making process

The importance of institutions, framing, and policy styles (1/4) Chapter 20: Policy-making The importance of institutions, framing, and policy styles (1/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making The role of institutions: The main institutions are: Electoral system Executives and legislatives The relationship between executive/legislative is of crucial importance in policy-making. Lijphard (1999) differs between two types of democratic systems: Majoritarian systems (fusion of power between executive and legislative power) Consensus democracies (sharing power, balancing executive and legislative power)

The importance of institutions, framing, and policy styles (2/4) Chapter 20: Policy-making The importance of institutions, framing, and policy styles (2/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making The role of cognitive and normative frames: Cognitive frames: Schemes through which actors view and interpret the world Normative frames: Values and attitudes that shape actors views Normative and cognitive frames enable and constrain policy-making. Certain actors have a privileged role in policy-making as they generate and diffuse cognitive frames (mediators or policy-brokers).

The importance of institutions, framing, and policy styles (3/4) Chapter 20: Policy-making The importance of institutions, framing, and policy styles (3/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making National policy styles: Like the policy cycle, the concept of policy styles also serves as a useful heuristic tool for identifying common policy-making patterns among countries. The main idea is that nations matter for policy-analysis. However, empirically, there is a remarkable intra-national variation of policy styles.

The importance of institutions, framing, and policy styles (4/4) Chapter 20: Policy-making The importance of institutions, framing, and policy styles (4/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making There are several typologies of policy styles. According to Knill (1998) national policy styles are defined by two dimensions: State intervention: Hierarchical vs. self-regulation Substantive vs. procedural regulation Detailed requirements vs. open regulations Administrative interest intermediation: Formal vs. informal / legislative vs. pragmatic Open vs. closed relationships between administrative and social actors

The role of international factors for domestic policy-making (1/4) Chapter 20: Policy-making The role of international factors for domestic policy-making (1/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making International factors also have an influence on domestic policy-making. Theories of policy diffusion: Analysis of the spread of policies across political systems from a general perspective Diffusion mainly affects the stage of agenda-setting, less policy-formulation Theories of policy transfer: - Analysis of singular processes of bilateral policy exchange Governments do not learn randomly about policy practices, but through common affiliations, negotiations and institutional membership.

The role of international factors for domestic policy-making (2/4) Chapter 20: Policy-making The role of international factors for domestic policy-making (2/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Policy convergence: Any increase in the similarity between one or more characteristics of a certain policy across a given set of political jurisdictions (Knill 2005). Theories of policy diffusion and transfer describe a process that might result in policy convergence. Since national policy processes are different, convergence is not necessarily the case.

The role of international factors for domestic policy-making (3/4) Chapter 20: Policy-making The role of international factors for domestic policy-making (3/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Mechanisms behind internationalization: Imposition: External political actor forces a government to adopt a certain policy International harmonization: Member states engage voluntarily in international cooperation (negotiated transfer) Regulatory competition: Homogenization as a result of competitive pressures (race to the bottom or race to the top) Transnational communication: Mechanisms purely based on communication (drawing from available experience)

The role of international factors for domestic policy-making (4/4) Chapter 20: Policy-making The role of international factors for domestic policy-making (4/4) Introduction Conceptual models of policy-making Analysing policy-making as a process: the policy cycle The importance of institutions, framing, and policy styles The role of international factors for domestic policy-making Empirical illustration: Policy diffusion: Climate policy instruments (e.g. emission trading systems) mainly through international harmonization Policy transfer: CEECs refugees policies through imposition by EU Policy-convergence: Environmental policies, mainly driven by transnational communication