Improving the approach to conflict in action research through deliberative policy analysis: a territorial development case in the Basque Country

ABSTRACT

This paper focuses on how theoretical work developed in deliberative policy analysis (DPA) can contribute to action research (AR) through a better understanding of the policy world. It is based on a programme in Gipuzkoa, Basque Country (Spain) where action researchers have been collaborating with policymakers since 2009. Our paper shows how concepts like pluralism, agonism and escalation have helped to reframe the approach to conflict in action research for territorial development (ARTD). The aim of the case is not exclusively to demonstrate how this can be done at a micro level, but also to show the usefulness of further interaction between the fields of DPA and AR, based on this experience.     

Deliberative policy analysis: towards a methodological orientation

ABSTRACT

Deliberative policy analysis (DPA) has become a new branch of post-positivist policy inquiry since the release of a book edited by Hajer and Wagenaar fifteen years ago. The status quo of this field, however, is not satisfactory. Particularly, there is apparent shortage of exploration on how to apply DPA to generate insights for policy making. This article undertakes a critical revisit of DPA’s development and to explore the road ahead, especially through the lens of practice. It starts with a brief review of DPA study, mainly focusing on its characteristics, suitable context, and functions. The next section discusses three challenges facing the emerging field: how to render the DPA approach more operable, the absence of “analysis,” and the lack of purposeful and designed pilot practice. It proceeds to argue that the research on DPA will likely take a methodological turn, and offers several considerations for future study: understanding and framing DPA from a practice-oriented perspective, underscoring the importance of DPA’s consulting function, taking a procedural perspective and incorporating consensus building into the process, providing organizational solutions for practicing DPA, and conducting purposeful pilot practices with prior DPA design.     

The practice of deliberative policy analysis in the context of political and cultural challenges: lessons from Thailand

ABSTRACT

This article draws upon insight from a study of those involved in introducing deliberative policy analysis in Thailand at the city scale and presents lessons for both policy practitioners and scholars. The design of each deliberative forum differed, depending on lessons learned from previous forums and the consensus that emerged as a result of deliberation amongst forum facilitators. The underlying principle of this kind of deliberative design is to make deliberative processes authentic, by avoiding coercion, inclusive, by engaging stakeholders who bring forth different ideas, and impactful. To make these forums more exciting, deliberative practices are often linked to other attractive discourses, such as those surrounding smart cities, creative spaces and inclusive development. The case of Thailand sheds light on emerging challenges involved in the practice of deliberative policy analysis in the context of both national political regimes that are not democracies and those in the East.     

Studying democratic innovations: toward a problem-driven approach to case study research

ABSTRACT

Hajer and Wagenaar (2003. Deliberative Policy Analysis: Understanding Governance in the Network Society. Cambridge: Cambridge University Press, xiv, 16) advanced a conception of policy analysis – “Deliberative Policy Analysis” – that “rests on three pillars: interpretation, practice and deliberation.” This form of policy analysis, they argued, supports “more direct, participatory forms of democracy” involving “democratic deliberation on concrete issues” (xv, 29). Since their writing, empirical research on such initiatives – “democratic innovations,” for short – has blossomed. However, while deliberative policy analysis is itself post-positivist in orientation, many researchers bring a (quasi-) positivist orientation to their work on democratic innovations. A key challenge for deliberative policy analysts is, then, how to participate in this field of inquiry while maintaining a post-positivist orientation. Pragmatist philosophy, I submit, can help them to meet this challenge. Pragmatism rejects a number of positivist assumptions about the nature of empirical inquiry. Relatedly, it supports the claim that policy analysis should be interpretive, practice-oriented, and deliberative. Indeed, it suggests that policy analysis cannot avoid being so. By way of illustration, I indicate how pragmatism points to an approach to case study research that rests on the three pillars.     

Enacting reflective and deliberative practices in action research

ABSTRACT

We consider action research as a form of deliberative policy analysis. This analysis explores a “reconstruction clinic” in which stakeholders and public officials engaged memories, hopes and obligations as they sought to resolve controversies over details of policy implementation. We ask how institutional design shaped participants’ reflective and deliberative progress. Reflection in action can prompt not only changes in cognitive frames, but new behavioural capacities for action. Deliberative practices can shape new relationships between parties through the work of apology, recognition, appreciation, and emergent collaboration.     

Metagovernance,political demand and policy advice: a case from Brazil

ABSTRACT

There has been a call for a “second wave” of scholarship on policy advice to expand our understanding of the relational dynamics within a policy advisory system (PAS). In this article, we use a case from Brazil to address two key gaps in the PAS literature – the lack of attention to systems of network governance and the current predominance of “Westminster” empirical cases. To better understand the impact of policy advice within a system of networked governance, we apply the frame of “metagovernance” – the steering of governance networks. We then introduce and employ the concepts of funnelling, political brokering and gate-keeping to better understand how policy advice is shaped, modified and then either rejected or accepted. The contribution of the article is that, while much of the existing PAS literature describes the contours and key actors within an advisory system, we develop new conceptual scaffolding to better understand the trajectories and impact of policy advice, and the interplay between actors and agents, within a broader system of metagovernance.     

Free provision of services and cross-border labour recruitment

This article identifies how the use of the European Union (EU) mobility rules, as formulated by the EU's Posting Directive, has been linked to the temporary provision of services in practice. It demonstrates how this linkage, legitimised by European Court rulings, undermines the Directive's original intent to provide rights-based regulation of labour mobility in the Union. In the assessment of posting practices, striking findings of two studies co-conducted by the author in 2003 and 2010 are discussed. In the first section, the origins of the Directive are described, followed by sections that contextualise the posting rules in the framework of the fundamental economic freedoms of EU Treaties, and discuss the problems related to implementation and enforcement. Based on the Directive's definition of posting, three issues of governance and practice are raised: (a) regulation of the employment relationship, (b) application of labour conditions and (c) respect for collective agreements. A final section offers policy recommendations in order to deal with the ways in which posting governance and practices currently impede any vision of rights-based mobility in the EU. It is argued that current minimalist interpretation of the posting rules can neither guarantee equal treatment nor protect the rights of temporary migrant workers.     

NAPLAN data: a new policy assemblage and mode of governance in Australian schooling

ABSTRACT

As part of a policy assemblage, the National Assessment Program – Literacy and Numeracy (NAPLAN) is representative of a new mode of governance for Australia's schooling systems, indicative of international trends in educational accountability based on testing. The policy assumption was that the introduction of a national performance measurement system would tightly couple school practices to national agendas targeted at improving learning outcomes. This paper presents a comparative case study of two primary schools within a single Queensland region to interrogate how coupling and decoupling strategies are enacted in respect of the policy usage of NAPLAN data. The granular analysis of the governance relationship between the school principals and their supervisors is set against the politics, policies and pressures of NAPLAN that recast the initiative as high stakes for systems, schools and their leadership. Specifically, we argue that Queensland's choice and enactment of policy instruments have produced a new mode of governance of principal conduct, but one mediated by the specific contexts of the two schools. The analysis shows how this mode has precipitated two types of decoupling.     

Performing the state: the socio-political dimensions of performance measurement in policy and public services

ABSTRACT

This opening paper outlines the rise of public sector performance measurement and performance governance from New Public Management, its trajectory from an administrative tool for organisational monitoring and management, to its insertion into service performance and accountability, to a policy tool defining policy itself. Four key conceptual ways of approaching public sector performance measurement are outlined, and the significance of understanding performance measurement as a socio-technical policy instrument is argued. The paper thematically reviews the papers that follow and how they demonstrate new points of critical analysis in policy studies, including the multiple, mixed and sometimes contradictory purposes for performance measurement, the formation of performance measurement tools, the linkages of performance numbers and governance structures from macro to micro, and the reconfigured roles of professionals in public service delivery. The paper issues a clear challenge to policy researchers to take performance measurement more seriously in understanding the dynamics of policy performance, the achievement of policy objectives, the reframing of policy and the experience of citizens.     

Inclusionary policy and marginalised groups in Aoteaora/New Zealand process,impacts and politics

ABSTRACT

This paper presents the consolidated findings of a four-year research project that evaluated policy inclusion between the New Zealand government and communities of difference – specifically, ethnic/migrant/refugee groups, women/gender and Māori. Policy inclusion builds on foundational principles of deliberative democracy that dialogue and relationship not only improve policy but also foster democratic transitions towards pluralism and diversity. Although associated with the social democratic agenda of the Fifth Labour government, collaborative policymaking with marginalised groups continued in the subsequent National government. Drawing on interviews with policy communities, this paper analyses (a) the processes of inclusionary policymaking, (b) policy impacts and (c) implications for politics of difference. The findings suggest that, overall, the greatest efforts in inclusive policy have been at the level of design, primarily by maximising the presence of members and promoting visibility for communities of difference. These processes have had less impact on sustained, deep political transformations or opportunities for advancing diversity. The findings suggest that inclusionary policymaking had benefits for recognition politics, but against the backdrop of recent neo-conservatism, the prospects for pluralistic politics have been compromised, paving instead a politics of regulation.     

The politics of water scarcity in the western states

Water is a scarce and highly prized commodity in the arid Western states. Not surprisingly, water policy creation is very much a challenge for a number of reasons. Citizens hold multiple water values such as economic development and the protection of wildlife which are often contradictory. State prior appropriation laws are not easily reconciled with federal reserve rights and the public trust doctrine. There are multiple governmental and nongovernmental actors who work to influence and implement policy in a decentralized political system. If actors lose a policy battle in one decisionmaking arena (such as a legislature), they often try to influence policy at another venue (a court, Congress or an agency). Policymaking involves water issues that are dynamic over time. Furthermore, there are several types of water policy (distributive, allocative, redistributive and cooperative) that vary according to who pays costs and receives benefits, the level of conflict, the openness of decisionmaking to interested parties, and the level of government which dominates. Long ago, Mark Twain was correct when he said “Whiskey’s for drinking, water’s for fighting about.”     

Introduction: social policy and economic development in late industrializers

This Supplement in the International Journal of Social Welfare presents the main findings of a United Nations Research Institute for Social Development research project on social policy in late industrializers, covering countries in East Asia, Latin America, Middle East and North Africa (MENA), and sub-Saharan Africa, as well as the Nordic countries. One of the findings from the research is that social policy has been used as an integral part of economic development in successful late-industrializing countries. In the MENA region and sub-Saharan Africa, however, social policy was tried for too short a period to be properly implemented and tested. East Asian and Latin American countries started with a narrow-based social policy, but social policy in East Asia was extended to foster social solidarity, bringing people into the mainstream of social change. Such findings suggest that social policy is multifunctional, not only in terms of social protection but also economic development and democratic governance.     

共治民主：应对气候变化的民主模式初探

应对气候变化是一个特殊的公共领域。为应对气候变化,民族国家和国际政治都已经悄然发生并将继续发生调适性变化,这就是共治民主的形成。在这一人类活动领域,无论聚合民主还是协商民主,抑或一种局限于二者之中的参与民主概念,都不敷使用。共治民主是利益相关各方共同合作或自主实现公共利益的过程;它是共治定向的而非共识定向的;它是合作的,而非博弈的;它是社会的,而非政治的。     

‘Let the King Save the Poor’: The Discursive Mechanism Underlying the Under‐exercise of Social Rights in South Korea

This study was prompted by discrepancies observed between the quantitative expansion and the qualitative stalemate in social policy in South Korea. Despite a revamped social security system, changes in South Korean social policies have not led to significant coverage expansion or improved income and poverty distribution. The frequent appearance of the Korean proverb that ‘even the King cannot save the poor’ in policy participants' narratives reflects a lack of confidence in the Government's ability to address persistent social disadvantages and the prevalence of a fatalistic policy perspective. This proverb has a conceptual affinity with an individualistic approach and has effectively functioned as a governance tool to oppress the progress of welfare rights. This research shows that an expenditure‐based model could lead to actual policy situations being misrepresented. Further, institutional policy arrangements may not be a sufficient condition for improving policy performance. It is suggested that a rights‐based approach should be adopted for both theorization of the transition of the welfare regimes and discursive practice for a policy paradigm change.     

Activation Reform and Inter‐Agency Co‐operation – Local Consequences of Mixed Modes of Governance in Sweden

Organizational reform has become a recurring solution to problems of social exclusion and unemployment. In Europe, and other parts of the world, there is a trend towards policies of ‘activation’ in employment and social policy. The idea of flexible, individualized and tailor‐made services is coupled with managerial and market‐based reforms as well as collaborative governance. In these complex structures of service provision, coordination and inter‐agency co‐operation have become key concerns. Based on a study of a recent reform of programmes for newly arrived refugees in Sweden (Etableringsreformen), this article seeks to contribute to the literature on governance of ‘activation’ by examining the consequences of mixed modes of governance (market and collaborative) on local inter‐agency co‐operation. Drawing on data from in‐depth case studies in two municipalities, it is demonstrated how the coupling of managerial practices and quasi‐markets with existing collaborative arrangements has created barriers for inter‐agency co‐operation. The results indicate that institutional tensions between governance forms represent an important factor for explaining governance failure in this policy area.     

Are good governance principles institutionalised with policy transfer? An examination of public–private partnerships policy promotion in China

This article explores the following question: To what extent are good governance principles being institutionalised in China as a result of public–private partnerships (PPP) policy transfer? Since 2013, China has been pursuing PPP and applying aspects of related good governance drawing from Western experience despite its radically different fragmented authoritarian regime. This makes China a unique case to observe the extent to which good governance principles can be institutionalised in very different contexts. This article assesses the degree of institutionalisation of three good governance principles that guide PPP policy elsewhere: transparency and accountability, willingness to collaborate and equity between partners. It argues that while the PPP policies have been applied extensively in recent years, these good governance principles have been institutionalised to varying degrees as they have had to be adapted and compromised to fit with existing power relations in authoritarian China. The findings aim to add value to the literature regarding PPP policy transfer and good governance, by revealing the challenges of institutionalising good governance principles through PPP policy transfer in an alien context.     

Studying policy advisory systems: beyond the Westminster-bias?

ABSTRACT

Research on policy advisory systems has rapidly proliferated over the last decade and now focuses on advisory system change dynamics. Yet, empirical studies predominantly focus on the study of policy advisory systems in Westminster systems and it is those studies upon which theorization relies. This paper argues that this Westminster-prevalence resulted in a Westminster-bias of our understanding of policy advisory systems and directs attention to more abstract or general analytical dimensions that may be relevant for the comparative study of policy advisory systems and research on advice systems in transitional and developing countries.     

The Fiscal Crisis of National Health Insurance in the Republic of Korea: In Search of a New Paradigm

In 2001, National Health Insurance (NHI) in Korea, the social insurance system for health care with universal population coverage, experienced a serious fiscal crisis as its accumulated surplus was depleted. This fiscal crisis is attributed to its chronic imbalance: health care expenditure has increased more rapidly than have insurance contributions. The recent failure in implementing pharmaceutical reform was a further blow to the deteriorating fiscal status of the NHI. Although the NHI has since recovered from the immediate fiscal crisis, this has mainly been because of a temporary increase in government subsidy into the NHI. The strong influence of the medical profession in health policy‐making remains a major barrier to the introduction of policy changes, such as a reform of the payment system to strengthen the fiscal foundations of the NHI. Korea also has to restructure its national health insurance in an era of very rapid population ageing. A new paradigm is called for in the governance of the NHI: to empower groups of consumers and payers in the policy and major decision‐making process of the NHI. The fiscal crisis in Korean national health insurance sheds light on the vulnerability of the social health insurance system to financial instability, the crucial role of provider payment schemes in health cost containment, the importance of governance in health policy, and the unintended burdens of health care reform on health care financing systems.     

Jobs in the Bush: Global Industries and Inclusive Rural Development

How do rural communities manage the challenge of local governance and community capacity‐building, given the policy choices of central government (both state and national) in favour of global resource‐development industries? Central government policy choices expose rural communities to the vagaries of the global economy, even as the Australian government's stated intent vis‐à‐vis rural Australia is the exact opposite: to encourage locally driven economic and community sustainability. Rural development policy in Australia often has the effect of denying the very outcomes it hopes to achieve. On the one hand, government policies encourage rural communities to be independent, to build ‘social capital’, and to add value to their local produce; on the other hand, macroeconomic policies change the contexts within which these communities function, creating a tension which is difficult to reconcile. In the case of the Western District of Victoria, an established agricultural and pastoral region, the cycles of economic activity have been disrupted in recent years by new and exciting global industries whose trajectories sit largely outside local control. This paper questions whether governments have a systemic view of the impact of these competing demands on rural communities, and calls for a more informed, whole‐of‐government policy‐making for the development of Australia's rural regions.     

Joined–up Food Policy? The Trials of Governance,Public Policy and the Food System

To address the policy malfunctions of the recent past and present, UK food policy needs to link policy areas that in the past have been dealt with in a disparate manner, and to draw on a new ecological public health approach. This will need a shift within the dominant trade liberalization–national economic competitiveness paradigm that currently informs UK food policy, and the international levels of the EU and the WTO trade rules, and grants the large corporate players in the food system a favoured place at the policy–making tables. The contradictions of the food system have wrought crises that have engendered widespread institutional change at all levels of governance. Recent institutional reforms to UK food policy, such as the FSA and DEFRA, reflect a bounded approach to policy integration. Initiatives seeking a more integrated approach to food policy problems, such as the Social Exclusion Unit's access to shops report, and the Policy Commission on the Future of Food and Farming, can end up confined to a particular policy sector framed by particular interests—a process of "policy confinement". However, the UK can learn from the experience of Norway and Finland who have found their own routes to a more joined–up approach to public health and a sustainable food supply by, for example, introducing a national food policy council to provide integrated policy advice. Also, at the local and community levels in the UK, policy alternatives are being advanced in an ad hoc fashion by local food initiatives. More structural–level interventions at the regional and local governance levels are also needed to address the social dimensions of a sustainable food supply