Policy Advocacy 1 P olicy Making: Models and Theories Policy Instruments SWP5SPA

1. Policy Advocacy 1 • Policy Making: Models and Theories • Policy Instruments • SWP5SPA

2. This lecture • Aim of the lecture is to build core knowledge of the policy making process, an overview of policy players, and an introduction to policy instruments. This knowledge is a foundation for effective advocacy. • The lecture • Outlines policy making models and theory useful for social work practitioners/ policy advocates • Presents a rational model of policy making • Examines tensions between rationality and politics in the policy process • Presents more political theories of policy making • Presents a typology of policy instruments useful in designing policy alternatives which are to be the focus of your advocacy

3. What goes into policy? Otto Von Bismarck( early 20th Century) is famously quoted as saying “If you like laws and sausages, you should never watch either one being made.” Is it similar for policy? Is policy making messy and chaotic or is it step wise and sequential? In this subject we argue following Mc Clelland (2014) that policy is the product of rationality and the political interaction between individuals and various political and policy institutions and their rules. Combines limited rational with political models of policy making Social workers practicing policy advocacy require knowledge of these processes.

4. Policy making models and theories Policy models describe how policy is made or should be made: create some order from complexity and simplify the policy world. Descriptive of ‘stages’ policy goes though. (See for example Althaus et al 2013. ) Rational policy models are often top down and suggest that good policy is made by experts in a scientific and sequential manner : politics messes things up. Policy theory tells us why some policy is made rather than other policy , why certain kinds of decisions are made: it is explanatory theory .(See for example Kingdon 2003.) It more likely to explain why some ideas win over other ideas. Maddison and Dennis 2013 ch 4 explain thi s well In this lecture we look at the rational policy cycle model , then two theoretical approaches to policy making: theory of policy agendas by Kingdon, theory of policy coalitions by Sabatier

5. A rational policy cycle model see Althaus, Bridgman and Davis (2013 or 2007 )Ch 3. • The policy cycle model “creates order and injects rigour”. Good policy is made through a systematic approach. (Althaus et al 2007 page 32)

6. Stages in the Rational Model of the Policy Cycle • Issue identification emergence of problem and policy agenda setting • Policy Analysis research to identify possible policy solutions • Policy instrument/s selection of effective and efficient instrument to achieve policy objective ( see additional slides) • Consultation engagement with key stakeholders to test and improve proposed policy • Coordination of resources, responsible agencies, fit with overall policy approach of the government • Decision making formal decision to adopt policy, usually by Cabinet • Implementation legislation (where necessary) and program • Evaluation review to inform policy improvement (Althaus et al 2013 )

7. Limitations of the rational model • Model assumes movement is always in one direction and that stages in policy always follow the same sequence – it’s never that regular ( Edwards 2001 in Mc Clelland 2014 p 57) • It is not possible for analysis to look at all of the options and therefore evidence has to be selective and limited ( Maddison and Dennis 2013 p. 72) • It does not adequately account for the impact of power and politics on policy (Dalton 1996 cited in Mc Clelland 2014 p 35) • It does not give appropriate emphasis to the difficulty and complexity of getting an issue on the policy agenda or to the contest over a way an issue is constructed as it enters the policy agenda ( see Kingdon 2003 below) • The model does not acknowledge the importance of ongoing relationships and networks in policy arenas which drive policy in particular directions (See Sabatier 1988) • No casual explanation of how policy moves from one stage to the next ( Sabitier Jenkins in Maddison and Dennis 2013)

8. Incremental rationality • Often policy development and change • is ‘incremental’ or the product of ‘muddling through’, rather than evidence based and deliberate in the way the rational model assumes • Bounded or limited rationality (Lindblom 1979 in Maddison and Dennis 2013 page 72) • Trial and error, selecting familiar options, progressing incrementally

9. Using the rational model critically in policy practice and advocacy • It provides a useful framework for conceptualising the policy process and targeting your policy advocacy. • Different forms of advocacy are necessary at different points in the policy process • Do not wait for an invitation to participate in the ‘Consultation’ phase of the policy cycle, seek advocacy opportunities at all points in the process • In practice strive to use this model as an ideal to assist achieve good policy, emphasise the importance of rigorous research to good policy • Seek opportunities to introduce evidence and rationality into the policy process • Social work can provide you with the ideal vantage point to for issue identification and advocacy to influence the political agenda • Use the model as a tool in policy analysis • Never let this model blind you to issues of politics and power

10. Policy is always a political process • “Policy is the continuing work done by groups of policy actors who use available public institutions to articulate and express the things they value.” (Considine, 1994, p.4) • “In a sense everything in the policy world is just process. The movement of people and programs around common problems… none of these initiatives stays fixed for very long because the problems themselves keep moving and changing. We cannot therefore afford to view policy as just a study of decisions or programs. The specific decisions which often interest us are merely important punctuation marks within this flow not the thing itself (Considine, 1994, p.4). • “Policy is a social and political process of compromise involving different interests and shaped by underlying structures of power. “(Dalton, 1996, p. 19)

11. A critical model of policy making: Recognition of power and contest • Powerful interests and social policy: • Mc Clelland and Marsden 2014 (ch 3 page 37) argue that a critical model policy process recognises the power of global capital to constrain policy making. • No one player has all the power or all the knowledge. Power is exercised throughout the policy process and in all arenas. • There are different theories of power which provide different explanations of how power is exercised in policy processes: See Mc Clelland 2014 page 39 for 4 models of power: Marxist, elitist, corporatist and pluralist • Power as ability to influence actions of others as well as discourse : influence meaning and ideas. The way we use terms is determined by the power of discourse. See Mc Clelland page 36 for definitions. To be included in workshop discussion

12. Issue identification according to Kingdon 2003 • Kingdon’s (2003) research has demonstrated the limitations of the rational model in relation to issue identification and entry to the policy agenda. He interviewed 247 decision makers about how they went about doing policy work. • He was able to answer the question; “how does an idea’s time come?” He argued three streams must flow together to create a policy window in which change is possible: policy entrepreneurs bring streams together • Problem stream – many problems in this stream and few reach the policy agenda: many conditions , once they are seen as problems that need to be addressed, then they are on an agenda consider the recent task force on ICE “the scourge of ice” • Policy Stream – availability of a constructive policy solution has to be feasible and acceptable to value base of electorate • Political Stream – political timing, public interest, activity of interest groups etc: see chloe valentine death corners report and social work registration debate : Death of Luke batty • Need to ask what is the policy opportunity here? What is possible right now

13. Policy coalition theory Paul Sabitier (1988) • Based on Heclo’s (1974) idea that policy decisions are the outcomes of major social and political trends and the interaction of people ( players ) competition for power as well as striving for knowledge to better understand policy problems • Need to think in terms of 10 year time spans and policy subsystems • A policy subsystem is the interaction of actors from different institutions who work on a policy issue. Within each policy sub-system are policy coalitions ( these collections tend to share values, beliefs and causal stories) • Policy decisions represent sets of values and causal assumptions about problems ( why does domestic violence occur? Why are indigenous people poor? ) which are mediated by other factors ( institutional rules and resource for example) and ultimately need to interact with sovereign decision makers • Policy is always an iterative struggle over formulation and reformation, shifting public opinion, and policy learning within policy coalitions ( Sabatier 1988 )

14. What kind of process… and being credible • How we conceptualise policy making defines our place in the process. • if we think policy making is an expert activity then… • if we think policy making is not the preserve of experts but a whole host of actors contribute to policy then… • … and you must think about where you are in the policy process • In what social location do I stand and what are the implications of this? • Who can I join with in the policy process to make advocacy more effective? • See Sprechmann and Pelton (2001p. 11 ) on establishing Credibility and their Credibility Checklist • … and remember the obligations of the AASW Code of Ethics

15. Policy systems and policy making • In preparing for advocacy it is important to know and analyse the relevant policy system/ arena/ field and coalitions /networks operating within those fields • Each policy field has a related field of actors • Who is in the field? Analysis of the actors/organisations • What are the ongoing relationships (positive and negative) between actors in the policy field? • What causal ideas and values are in the field? analysis of ideas • Which actors support and oppose which ideas? • Interaction in these policy fields produces the preliminary work of agenda setting and policy development and takes place before more formal policy processes are evident. • Requires understanding of the formal political system

16. Questions from these approaches Where within government rational cycle is this policy ? Is it consultation decision making? Implementation ?agenda setting What is the political opportunity here, are you ready for a policy window to open? What can be achieved now? Who are the policy subsystems and coalitions, where is the power in the filed? what are the arguments in the field what are they arguing for ? Is there consensus or conflict over the problem and its solution? What coalitions are possible

17. Policy instruments • Instruments( mechanisms or strategies government use to achieve goals) Althaus et al (2014 pp 86 ch 6 ) five kinds of instruments drawing on Hood (1983) • Advocacy Speeches, advertising, propaganda: persuading changing peoples opinions behaviours White Papers are often persuasive…softening up… Networks: government facilitate policy objectives through Networks, and players other than government carry out policy or find solutions or policy problems • Money: Fiscal policy Government spending and taxing /Pricing and subsidies to modify behaviour • Government action Income support and provision of goods Services, including education, health, protective services • Law Legislation to proscribe, prescribe or control behaviour • Maddison and Dennis (2013 page 98) questions of control and coercion: least coercive to most coercive

18. Examinable concepts from this lecture • The rational model of the policy cycle, including details of each stage of the cycle from the readings • Limitations of the rational model from the readings • Political theories of policy making; main features • Policy instruments: details from the readings

19. References for this lecture and **Althaus Bridgeman and Davis (2007 and 2013) The Australian Policy Handbook 4th and 5th Edition Considine M., (1994) Public Policy: A Critical Approach MacMillan, Melbourne. Dalton, T., Draper, M., Weeks, W., & Wiseman, J. (Eds.). (1996). Making Social Policy in Australia: An introduction. St Leonards: Allen and Unwin. Kingdon, J. (2003). Agendas, Alternatives, and Public Policies Second Edition Boston: Longman. Maddison, S., and Denniss R., ( 2013) An Introduction to Australian Public Policy. Cambridge Books Online. Ch 4 and ch 5 *McClelland A., and Marston, G., (2014 ) A framework for understanding and action in Mc Clelland and Smyth eds Social Policy in Australia : Understanding for Action. 3rd Edition. Oxford University Press Australia, 10/2014. VitalBook file. Sabatier (1988) An advocacy coalition framework of policy change and the role of policy oriented learning therein. Policy Sciences 21(129-168) *Sprechmann, S., & Pelton, E. (2001). Advocacy Tools and Guidelines: Promoting Policy Change. Atlanta: Cooperative for Assistance and Relief Everywhere, Inc. (CARE).