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Policy
Network Analysis:
A Tool for Comparative Political Research
Adrienne WindfwJf-Hfritier
In recent years policy network analysis has been increasingly used as an
analytical approach in political research. This is not just a new fad in
political science, but is instead due to the growing insight that public
policies emerge from the interaction of public and private actors. Less
and less emphasis has been placed on the slate as the central actor, state
actors dealing with powerful large organizations in all sectors of public
policies are instead stressed. What analytical questions are raised by policy
network analysis and what advantages does it have to offer? To what extent
does policy network analysis lend itself a? an analytical instrument to
the comparative investigation of politics and policy making?
The reason why policy network analysis is generally considered to be promising
instrument of political research is twofold. Firstly, it combines explanatory
approaches from different theoretical backgrounds and secondly, a;
previously mentioned, it attempts to explain the emergence of political
decision1-within the context of interacting public and private actors which
are concerned with a specific policy issue. In doing so, it goes beyond
the description of formal institutional decision making; it also clearly
goes beyond the assumption thai one political elite dominates decision processes
in all policy Fields. These specifn virtues of policy network analysis -
or so the argument runs - may, within certain limits, also be brought to
bear in comparative political research.
What is a policy network? A policy network consists of public anc private
actors (institutions, organizations, groups, individuals) and then interactions.
The members of a network are not only actors holding positions with formal
powers of decision, but all 'consequential actors' (Knoke/Laumann.
144 Policy Network Analysis
1978) who direct, coordinate or control material or immaterial resources
in o policy field of common concern. The membership and central positions
within the network are constantly negotiated and embattled among existing
and potential participants. Networks gain stability over a longer period
of time if stable expectations concerning calculable exchange relations
are developed. The exchange of resources between formal and informal actors
within the network is limited and is to a certain extent structured by
institutional rules, organizational structures, contracts, informal routines,
as well as the governance structure of the network. The latter is defined
by political decision and describes the specific policy instruments which
are used in the field, such as conunand-and-control strategies, negotiation
mechanisms or market incentives.
In doing so, the governance structure of a network shapes the incentives
of the participants and induces the latter to act in a specific way. Moreover,
the range and nature of exchange processes, and the Hnuting and enabling
role of institutions are only to be understood within the context of a
specific policy field which lays open particular opportunities of action.
Furthermore, interaction within the network is influenced by a shared
understanding of (he adequate mode of problem solving and an adequate
style of interaction among actors.
In the first section of following contribution to this volume I shall
outline the main theoretical questions linked by policy network analysis.
In the second part, I will discuss in which way and to what extent policy
network analysis can be used in comparative political research. In a third
section, the British and U.S. clean air policy innovations of 1990 will
be analyzed to illustrate the network-analytical approach.
7.1 Policy Network Analysis: Linking Different Theoretical Approaches
Four different theoretical backgrounds come to bear in policy network
analyse:
o) Rational choice theory in the shape of resource exchange and resource
dependence theory, as developed by Aldrich and Pfeffer (1976);
b) the new political institutional ism. as outlined by March and OlMa
(1989);
c) symbolic interaction theory, as elaborated by Bums and Flam (1987)
for the organizational context;
d) public policy analysis (Windhoff-Heritier, 1987). The aforementioned
four strands of theoretical and conceptual thinking are combined within
the framework of policy network analyaii in order to explain the development
of policies: resource dependence theory assumes that rational actors,
each in a position of relative autonomy, interact in a policy field because
they depend upon each other to produce a policy (decision) under an overarching
collective purpose. Within their own organizations they cannot create
all resources and functions required for the policy production, therefore
they are required to enter into transactions with other actors in the
network. The term of "generalized political exchange' has been used
(Marin, 1990) to give expression to roe fact that this exchange may be
multilateral and indirect (through circuits of) as welt as bilateral and,
above all, that it may extend over a variety of resources (Mayntz, 1992:
25).
The actors are engaged in a 'common enterprise* (DiMaggio/Powell. 1983:
149). Membership in the network is. at all times, an object of controversy
and bargaining between the dominant actors of the network and those who
want to gain influence in the network, or enter the network by offering
resources important for the 'problem solution' in the policy field. Each
actor, public or private, is interested in maximizing his resources, material
or immaterial, in order to influence the outcomes of the policy decision
process, to guarantee his survival and to stabilize the relationships
with other actors. On the one hand, the resource dependence model portrays
the actor-organization as responding to the organizational environment,
but, on the other, it also depicts it as an active entity capable of changing
the terms of interaction (Aldrich/Pfeffer. 1976:
83).
Since the organizational environment does not impose strict requirements
for survival of the organization, there is a range of choices and strategies
available (Child, 1972). Therefore, the criteria by which decisions are
made within the organization also become problematic. Internal power differences
are important and the influence of internal subunits, in interaction with
the demands of various external groups in the network, may come to determine
the outcome (Aldrich/Pfeffer. 1976:84). Contingencies in the network environment
and ensuing uncertainty are absorbed by forming coalitions with
other organizational actors,
through merger, the movement of personnel among organizations, ('interpenetratioii'
cf. Laumann/Knoke, 1978), tacit collusion, or legal contracts. Thus, linkages
are also structured by organizational interdependencieft such as interorganizational
bodies or the multi-membership in various organizations of single actors
(Laumann/Knoke, 1978: 463). The linkages and contracts serve to minimize
transaction costs (Williamson, 1985), i.e. the information costs and costs
which may be incurred in exchange relations if the interacting partner
proves to be unreliable, or to be 'shirking'. For example; actor A may
have invested considerably in the product to be exchanged with actor B,
but the tatter is opportunistic and fails to pay the agreed price.
The existing linkages between the actors are analytically relevant because
they constitute the structure of the network. This structure may be analyzed
under aspects of centralization and decentralization, the number of existing
sub-networks and their horizontal interdependence. Existing linkages reveal
network behavior, the power structure of a network at a given time and
the coherence of a network. They are characterized by different degrees
of intensity, frequency, fonnalization and standardization of interaction
(Laumann et al., 1978: 465), What is 'transported' in these linkages are
material and immaterial resources such as financial means, information
etc. (Tichy/Fombrun 1979:927). The exchange of resources is to an important
degree influenced by the dominating governance structure, that is, the
dominant mode of guidance and control are defined by the policy instrument
used. The latter may have the nature of incentives, negotiation patterns
or command-and-control strategies. A governance structure offers reference
points to the individual actor which allow the decision maker to weigh
up of costs and benefits of particular courses of action (D5hler, 1989:
350).
The existence of governance structures and formal interorganizational
linkages indicates that within the network resources are not freely exchanged,
rather than revealing that their exchange is restricted by institutional
rules. That is where the new political institutionalism comes in. This
approach emphasizes that not only rules and traditions, but also routinization
and 'sunk costs' of customary exchange relations set limits to the rational
resource exchange decisions of the network actors. So do, of course, existing
formal institutions, such as given interorganizational contracts defined
by the constitution, by law or administrative ruling. It was above all
the new statists (Evans et al., 1985;
Krasner 1988) and some organization theorists (March/Olsen, 1989) wh(
emphasized the importance of state structures, institutions and rules
in the shaping of policy decisions by trying to stem the tide of exclusively
economic explanations of policy decisions. They underline the importance
of the 'rule o. appropriateness', according to which decisions in unstructured
situations ue fitted to existing rules, traditions etc., as opposed to
the rule o, 'consequentiality', where decisions strictly follow cost and
benefit calculations (Olsen, 1991).
In the institutionalist view, political and policy decisions must be in
part derived from political institutions as 'irretrievable sources' of
political action, institutions being defined as interconnected rules and
routines which define the adequate action as a relationship between a
role and a situation (March/Olsen 1989). From this point of view, politics
is only in part to be understood as a rational and consequence-oriented
process, and is also to be seen as process oriented in itself: decision
processes are just as much concerned with the attribution of status as
with the definition of truth and virtue, and the maintenance of loyalty
and legitimacy (March/Olsen, 1975: 12). Rules, such a.^ standard operating
procedures,
"...affectthe substantive outcomes of choices by regulating the access
of participants, problems, and solutions to choices, and by affecting
the participants' allocation of attention, their standard of evaluation,
priorities, perceptions, identities, and resources." (Olsen 1991:93)
It would be a mistake, however, to consider the resource exchange approach
and the institutional approach as mutually exclusive. Rather more, they
are closely linked, simultaneously enabling and limiting each other, for
choosing among different courses of action according to one's preference
is only possible if there are a limited number of options. This limitation
is given through the institutional context restricting the range of choice
of possible alternatives of action by setting rules, creating organizational
hierarchies etc. Vice versa, institutions may be understood as developing
from individual choice decisions:
bi-lateral or tri-lateral contracts may be drawn up, or hierarchical organizations
are established in order to save transaction costs (Williamson, 1985).
However, once institutions are in place, they tend to develop a certain
inertia, an interest
01 themselves, and unfold their own dynamics; they go beyond the scope
of individual economic decisions.
"...Institutions have such wide span in time and space that they
evade the control of individual decisions' (Giddens, 1988: 78;
see also: Wmdhoff-Heritier. 1991)
1 Interactions amongst network actors are not only guided by the actors*
rational
interests augmenting their resources through exchanges with other actors,
as well as by the limits set to these exchanges by organizational and
legal rules, but also by, if you will, sorter rules. A common understanding
about the appropriate approach of problem solving is circumscribed as
'the operating ideology' (Sharpe, 1990), or as a 'belief systems* defined
as a "configuration of ideals and altitudes in which elements are
bound together by some form of constraint of functional interdependence"
(Converse, quoted in; Czada, 1991). Bum and Flam (1987), finally, see
it as the appropriate way of dealing with each other, as the 'social role
system*.
These collective belief systems are, of course, closely linked to existing
institutions, for institutions are created as a result of interests, dominant
ideas and the perpetration of the value systems linked to them (Czada,
1991). The "oocial rule systems", if they are backed "...toa
greater or lesser extent by social sanctions and networks of power and
control ...are referred to as rule regimes" (Bums/Flam 1987: 13).
Since social rule systems are collectively shared, they permit supra-actor
descriptions and analyses of the patterning of social traiuftctionA and
social structure m tlie sphere to which they apply. Thus, for example,
prevention has become the dominant idea and value system in fighting juvenile
crime while punishment has increasingly been questioned as an appropriate
problem approach. Or, to give another example, 'compliance by consensus*
has for a long time been regarded as the appropriate way of inspectors*
dealing with industry in British environmental policy.
Finally, policy network analysis uses the concepts and classifying patterns
of public policy analysis. Policy analysis conceives of political and
policy decision making as a dynamic process which follows specific stages
of the policy cycle, although not necessarily in on orderly manner. Thus,
the phases of problem definition, agenda setting, policy formulation,
policy implementation and policy feedback are distinguished in order to
explain the emergence and
transformation of policies
and the underlying political processes. Although all actors who are engaged
in the policy field at one or another of those stages 'belong* to the
network, their relative importance and influence may vary depending on
the phase of the policy cycle; so do the dominant coalitions and cleavage
structures, that is, the 'policy arena', which is structured by the expected
costs and benefits of a specific policy (Windhoff-Heritier, 1987). Accordingly,
the transformation of the policy network in each phase needs to be investigated.
Moreover, policy analysis assumes that the nature of the policy at hand.
the specific features of the problem to be solved, is systematically related
to features of the policy network. Thus, it is expected that redistributive
policies tend to produce polarized cleavage structures in the policy arena
of the network;
they pit those who benefit from a policy against (hose who have to bear
its costs and therefore give rise to a polarized network structure, with
this being so it is assumed that redistributive policies only have a chance
to be implemented, il they are based on *command-and-control', i.e.: precise
regulation followed b) sanctions in case of non-compliance. Hence policy
strategies and the specific opportunities of action open to the network
actors can only be understood in the context of a particular policy and
the specific policy instruments used.
Policy networks often emerge during historical 'watershed situations'
(Skowronek, 1982). When under 'external shocks' such as wars or economic
crisis, specific patterns of interaction between the stale and society
arise. In these situations, the state often plays an active role in creating
specific network structures, or structures of interest intermediation
(Lehmbruch, 1991). Under state leadership policy networks are created
in new fields of activity such a*-nuclear power policy (Czada, 1991),
although the state need not necessarily play o dominant role in the field,
once the new developments have taken off. New networks gain stability
because the actors involved with each other are regularly interacting
over a longer period of time and are evolving calculable exchange relations
(Dohler, 1989) which are based on past experience. Subsequent polic} changes
tend to develop within the structures of the existing network ('path-dependency')
which reveal a considerable resistance towards ne^ innovations.
To briefly summarize, policy network analysis explains the development
of public policies in terms of complex exchange and transaction processes
between network actors within given institutional restrictions. The structure
and
dynamics of these interactions vary in the different phases of the policy
cycle. Networks as analytical tools are conceived for specific policy
areas'. The policies under discussion and the policy instruments used
offer specific incentives to the concerned actors who, simultaneously,
in their interaction with other network actors are guided by a specific
problem solving ideology and 'social rule system'.
7.2 Policy Network Analysis in Comparative Research
How can the instruments of policy network analysis be used in comparative
political research? What are its advantages and its limits? Comparative
politics faces a general dilemma: it perpetually has to navigate between
Scylla and Charybdis. On the one hand, it must avoid the trap of ending
up with idiosyncratic, highly detailed 'thick descriptions' of single
cases; yet, on the Other, it should not limit itself to collecting highly
aggregated cross-national data such as the number of unemployed, or the
resources spent for welfare purposes and so forth. In the first instance,
much insight and information is gained about the political decision processes
and policy features of a specific country, yet one becomes hopelessly
entangled in infinitesimal details and all attempts of comparison between
countries have to be abandoned. In the second case, comparable macro-data
is at hand. However, we know very little about the processes that lie
behind this data; it remains, beyond the scope of analysis, *a black box*.
Clearly, policy network analysis is prone to make the first mistake. How
can this error be avoided, or how can the danger of ending up with idiosyncratic
case studies at least be managed?
If two or more countries are compared, one can proceed in two phases.
Following "the most similar systems approach" (Teune/Przeworski
1970), the units which are compared are characterized by a large number
of similar independent variables, such as the level of economic and technological
development and the basic political institutions and so forth; the compared
units are different by only a smaller number of variables which - it is
assumed -
explain part of the cross-national differences in network processes and
their policy outcomes. The independent variables may be of either short-term
or long-term 'nature. Departing from the "most similar systems approach",
the first phase 'takes stock' of central common and distinct features
of the compared networks (standard comparative independent variables).
The policy networks of the research units may also be compared with regard
to their outputs-outcomes-impacts, which are treated as dependent variables.
The question is: how do differences in the structure and the operation
of policy networks explain different policy results? The latter may differ
on the level of policy outputs, that is political decisions, (e.g. on
the allocation of resources), on the level of policy outcomes (first tangible
implementation activities), or the level of long-term policy impacts (i.e.
is changes in the state of the environment, human behavior or human health).
Naturally, the first and the second are much easier to measure and to
relate back to the explanatory variables.
The following comparative independent variables are commonly used to describe
important features of the analyzed units or nation-states (Feick/Jann,
1988). Long-term features of political, economic and socio-cultural development:
the level of economic and technological development
the basic features of political institutions
long-term values
the central features of the policy problem at hand (such as the high
technical complexity of the problem to be solved, the redistributive
character of policy etc.) Short-term features of political, economic and
socio-cultural developments:
changes in the world-economy: recession or boom
external shocks such as
international political crisis
crisis in the natural environment
technological innovation.
The above common long-term and short-term factors, typical for all units
under investigation, facilitate the comparability of countries (or sub-national
units).
By contrast, distinctive long- and short-term features, such as the following,
may explain differences in policy outcomes.
Long-term country-specific
political, economic, socio-cultural variables are;
specific aspects of the political institutions (presidential versus i
parliamentarian democracy; bi-chamber system or one-chamber system;
unitary or federalist system, electoral system etc.)
the role of the courts in the political process
the party system (e.g. polarized or not, multi-party etc.)
the associative structure (the number and structure, e.g. centralized
or
decentralized, of organized interests, such as manufacturers' and
employers' associations, trade unions, workers' organizations,
environmental organizations etc.)
(he patterns of public-private cooperation in the implementation of
policies
the policy instruments used in the policy field of research Short-term
country-specific variables are:
electoral outcomes
changes of parties in government
crisis of the national economy; structural crisis? the national economy
national crisis in the natural environment
national cultural 'shocks'
Long-term versus short-term variables are used in order to distinguish
the possible effects of short-term independent variables in a longitudinal
analysis of policy networks. This first stage, describing structural differences
and similarities of the units under comparison (standard variables of
cross-national comparison), provides an impression of structural aspects
and typical patterns of the policy network. The standard variables can
be matched to the routine checklist of questions used for the description
of networks:
a) The standard comparative variable, 'formal political and administrative
institutions', corresponds with the description of the formal ttnicture
of the network. It describes the particular formal powers which actors
in specific positions have specifies the nature of their formal relationships.
It also describes the degree of centralization or decentralization of
the formal institutional structures within the network.
b) The description of all 'consequential actors' within the network includes
the formal positions described under a), goes beyond this by including
oII actors disposing of resources relevant for the policy problem, even
though
they may have no formal
powers. It is in part covered by the standard variable describing public-private
patterns of cooperation in policy formulation and implementation.
c) The network feature analyzing coalition structures of the network by
which actors try to influence the outcome of policy events by pooling
their resources has no corresponding standard comparative variable. Neither
does the description of the ceotrality of actors which is not exclusively
based on formal powers, but other material and immaterial resources.
d) The network feature 'governance structure' corresponds to policy instruments
used in the policy field under investigation.
e) The dominating 'operating ideology' guiding the problem solving approach
in the field is, to some extent reflected in the analysis of the dominating
social and cultural values in this specific field of public intervention.
A comparison of the network-analysis checklist questions with the standard
comparative variables shows that the latter partially cover the first.
Only partially, because one important aspect of network analysis focussing
on the dynamics of interaction between formal and informal actors, their
exchange processes, tlieir coalition building, their conflicts and the
ensuing cleavage structures cannot be grasped by the standard variables.
This is the aspect of the networks that one author had in mind when he
said: "Network analysis is like trying to take a picture of the Mississippi
River". Yet, the use of a grid of 'objective' network aspects (or:
standard variables) may serve as a starting point for the analysis of
the particularities of policy network dynamics. Often enough, the distinctive
structural network aspects may be the very reasons why the dynamics of
the network processes develop in a specific way and, in consequence, produce
specific policy outcomes.
7.3 Policy Innovations In Clean Air Policy Nenvorks:
Comparing British and American Clean Air Policy
How can comparative policy network analysis explain why and how an important
environmental policy innovation came about in both Britain and the United
States, independently? In IfWO.the British Parliament passed the Environmental
Protection Act; also in 1990, the United Stales Congress enacted the new
Clean Air Act. Both laws, the dependent variable to be explained in terms
of policy outputs and outcomes, are comprehensive and ambitious in scope
and objectives. It is not so much the details of the laws which are of
interest here, as incisive as they may be to both countries, but the very
fact that an innovative departure in policy making occurred in both countries.
In the policy case to be discussed, the comparative analysis - on the
basis of the roost similar systems approach - shows that the network processes
that unfolded in the two countries and brought about the innovation may
be partially traced back to distinctive network structures. With respect
to basic long-term system variables, the United States and Great Britain
fit within the context of the "most similar systems approach"
i.e. .both countries have a simitar level of economic and technological
development and they both have democratic political institutions and similar
socio-cultural value systems. However, there are significant differences
in the finer structure of their political institutions as well as their
problem solving approach in environmental policy-In the British system,
which on account of its unitarian political and administrative structure
may qualify as a centralized network, new initiatives in environmental
policy making flow, as a rule, from the executive, or administrative,
leadership of the central government. Initiatives also may be developed
at the local level, but since the central governments legal and financial
grip on local authorities tightened during the 1980s, there has been less
room for action by local governments. If central government is unwilling
to respond to local initiatives, it can repress the latter more easily
than before, and
o policy stalemate may ensue. This was the case during the 1980s under
the Thatcher government.
By contrast, the U.S. federalist and decentralized policy network offers
o multiplicity of political arenas. The single states can use their far-reaching
powers of decision making to develop new policy initiatives, even if the
Federal government has decided to take no action in a specific policy
field. This was the case under the Reagan administration in the 1980s.
Access to the court system always offers the possibility of changing the
political arena.
In the British case, the question therefore arises, where did the innovation
emerge from? In retrospect, it may be demonstrated that the absence of
subnational, powerful political actors in Great Britain, was however
compensated by its erobeddedness
in the supranational decision structure of European Community. It was
mainly the European Community which broi pressure on the British government
to change its environmental policy in n significant respects. As one official
said: "The influence of the Europ Community on British environmental
policy can hardly be overestimated in past years'(Interview. London December
1991, Her Majesty's Inspectorate Pollution). Policy objectives and policy
instruments, as applied in some of other member states such as Germany,
functioned as a mode) in shaping Community and in turn Great Britain's
policy.
This pressure "from above' was complemented by growing polil mobilization
and activities deployed at the grassroots level by environrnei organizations.
Interestingly, these political actors increasingly use supranational institutions,
such as the Community's Court and the Commissi as leverage points in order
to push for innovations in environmental po Thus, local groups and environmental
associations, such as 'Friends of Earth', have been directly addressing
the Commission to secure implementation of the Community Directives by
local authorities. Both fad the Community legislation and the environmental
movement contributed to modernization of British environmental policy
as it was enacted in the Environmental Protection Act.
In the United States the pressure from grassroots movements has been a
political factor in the policy network for quite some time. Howeve gained
additional weight during the 1980s in view of the stagnation environmental
policy during the Reagan administration. Local actors develo their initiatives
in conjunction with single states. Support was sought from Courts which
were addressed by members of environmental groups. Within a years the
activities unfolded by single states, California foremost among th served
as examples which were followed by other states. They developed sui political
momentum that the Federal government found itself under pressun engage
in new environmental activities. As a result, the new administrat under
President Bush decided to push for a significant amendment of the Clean
Air Act.
In both countries the policy innovation was, to some extent, favore* a
change in the occupation of governmental key positions. In the U.S. advent
of a new Republican administration brought about a change in cen
Protection Act; also in 1990, the United States Congress enacted the new
Clean Air Act. Both laws, the dependent variable to be explained in terms
of policy outputs and outcomes, are comprehensive and ambitious in scope
and objectives. It is not so much the details of the laws which are of
interest here, as incisive as they may be to both countries, but the very
fact that an innovative departure in policy making occurred in both countries.
In the policy case to be discussed, the comparative analysis o on the
basis of the most similar systems approach - shows that the network processes
that unfolded in the two countries and brought about the innovation may
be partially traced back to distinctive network structures. With respect
to basic long-term system variables, the United States and Great Britain
fit within the context of the "most similar systems approach"
i.e.,both countries have a similar level of economic and technological
development and they both have democratic political institutions and similar
socio-cultural value systems. However^ there are significant differences
in the finer structure of their political institution!; as well as their
problem solving approach in environmental policy.
In the British system, which on account of its unitarian political and
administrative structure may qualify as a centralized network, new initiatives
in environmental policy making flow, as a rule, from the executive, or
administrative, leadership of the central government. Initiatives also
may be developed at the local level, but since the central governments
legal and financial grip on local authorities tightened during the 1980s,
there has been less room for action by local governments. If central government
is unwilling to respond to local initiatives, it can repress the latter
more easily than before, and a policy stalemate may ensue. This was the
case during the 1980s under the Thatchcr government.
By contrast, the U.S. federalist and decentralized policy network offers
a multiplicity of political arenas. The single states can use their far-reaching
powers of decision making to develop new policy initiatives, even if the
Federal government has decided to take no action in a specific policy
Held. This was the case under the Reagan administration in the 1980s.
Access to the court system always offers the possibility of changing the
political arena.
In the British case, the question therefore arises, where did the innovation
emerge from? In retrospect, it may be demonstrated that the absence of
ntmdonal. powerful political actors in Greati Britain, was however
compensated by its embeddedness
in the supranational decision structure of the European Community. It
was mainly the European Community which brought pressure on the British
government to change its environmental policy in many significant respects.
As one official said: "The influence of the European Community on
British environmental policy can hardly be overestimated in the past years'
(Interview, London December 1991, Her Majesty's Inspectorate of Pollution).
Policy objectives and policy instruments, as applied in some of the other
member states such as Germany, functioned as a model in shaping the Community
and in turn Great Britain's policy.
This pressure 'from above' was complemented by growing political mobilization
and activities deployed at the grassroots level by environmental organizations.
Interestingly, these political actors increasingly use the supranational
institutions, such as the Community's Court and the Commission, as leverage
points in order to push for innovations in environmental policy. Thus,
local groups and environmental associations, such as 'Friends of the Earth',
have been directly addressing the Commission to secure the implementation
of the Community Directives by local authorities. Both factors, the Community
legislation and the environmental movement contributed to the modernization
of British environmental policy as it was enacted in the new Environmeatal
Protection Act.
In the United States the pressure from grassroots movements has also been
a political factor in the policy network for quite some time. However,
it gained additional weight during the 1980s in view of the stagnation
of environmental policy during the Reagan administration. Local actors
developed their initiatives in conjunction with single states. Support
was sought from the Courts which were addressed by members of environmental
groups. Within a few years the activities unfolded by single states, California
foremost among them, served as examples which were followed by other states.
They developed such a political momentum that the Federal government found
itself under pressure to engage in new environmental activities. As a
result, the new administration under President Bush decided to push for
a significant amendment of the old Clean Air Act.
In both countries the policy innovation was, to some extent, favored by
a change in the occupation of governmental key positions. In the U.S.
the odvent of a new Republican administration brought about a change in
central
positions of the Environmental
Protection Agency, the chief bureaucratic actor in tho network, which
facilitated policy innovations. What we can see, is that -due to the distinctive
institutional network structures - the pressure from below (and from above
in the case of Britain) is translated differently into formal political
power in the two countries. In the case of the U.S., initiatives of grassroots
movements, local environmental organizations, which were supported by
tho courts, are channelled and shaped by single states. Subsequently,
the cumulative impact of the pace-setter functions of several states brought
pressure to bear on federal policies.
The events in California serve to illustrate how a modification of the
governance structure changed the coalition structure and exchange processes
in a subnetwork. The relative inactivity of the Reagan administration
set in motion a conflict between California and the Federal government,
in the course of which environmentalists from California literally forced
E.P.A.to implement the Clean Air Act more strictly. A key role was played
by the courts, a very important latent actor in the policy network because
citizens can turn to the courts to sue the agency for inaction (Bryner,
1984; 318). In California, in 1984 a member of an environmentalist group
sued E.P.A. for failing to implement the Clean Air Act in Greater Los
Angeles. After three years, the court decided in favor of the litigant.
This judgment sparked off a change in the regional policy network and
initiated developments which had repercussions in other states, encouraging
them to also undertake policy initiatives, by-passing the Federal Bovemment,
and thus also changing the clean air policy in the national network.
In Great Britain, by contrast, initiatives from below used the European
Community as a vehicle in order to influence national policy. Quite independently,
however, the pressure from above, from the supranational level, has to
be considered as a factor of influence in its own right. A closer look
into the policy-network in Britain also reveals how - with the new institutional
structures - the stakes in the decision process in clean air policy have
changed, The establishing of 'public access* in administrative procedures
opens new possibilities of access to the network and new possibilities
for environmental associations to bring their resources to bear in the
network exchange processes.
'Public access' means that for the first time the new Environmental Protection
Act opens the administrative decision process to the public which is offered
extensive information about the applications of process operators and
subsequent bureaucratic
authorizations. 'Public access' means, for instance, that the application
for operation is listed in a 'public register' and responses to the application
can be made within twenty-eight days. Additionally, the applicant must
advertize the application in the local newspaper and again the public
can comment upon the application during the twenty-eight days following
publication.
With 'public access', a kind of leverage is offered to environmental organizations
so that they may critically scrutinize the administrative authorization
procedures and play a critical role of surveillance in clean air administration.
Even more so, since all industrial plants also have to publish their emission
monitoring data in the 'public register'. However, after a year and a
half of practical experience with the new act, public interest in using
these opportunities are not yet very pronounced. Rather more the new possibilities
have been taken advantage of by industrial competitors of the applicants
which try to gain information about product components and the quantities
produced by their market competitors. Yet, the Department of the Environment,
by means of a very active information policy, attempts to increase public
interest in clean air policy by daily advertizing air quality measurements
in the news, by offering telephone advice for pollution problems and distributing
abundant information material. Even if it will take some time for a more
active participation of environmental organizations and citizen groups
to materialize, the institutional possibilities of public information
offered by the Environmental Protection Act is - by comparison with other
countries - far-reaching indeed.
The network dynamics producing the new legislation also brought about
changes in the traditional governance structures in the two countries.
In the United States, where command-and-control strategies have been the
central strategy since the 1970s, even stricter elements of hierarchical
guidance and control were established; however, extensive market incentives
were also introduced in some fields. In Britain, with its tradition of
'consensus by compliance', we find slightly more 'command-and-control'
and precise standard setting, more accountability of inspectors' activities
and less negotiating between inspectors and firms and. as described, the
opening up of the system for 'public access'. Linked to the change in
governance structure, we therefore find a partial change of the 'social
rule' system in Britain. The style of interaction between the actors and
the problem-solving approach have both been redefined. In the United States
this change has been more moderate. The basic problem approach remain;
the same, but was however enlarged by the completely contrasting governance
type of market strategies.
If we relate the analysis of the two case studies back to the above set
of independent variables, it becomes clear that long and short-term distinctive
features of the two policy-networks go some way in explaining why innovations
were brought about in the clean air policy of both the United States and
Britain. In summary, the following long-term distinctive institutional
features seem the most important: the federalist structure in the United
States and in the British case the embeddedness into the supranational
network of European environmental policy which set into motion the dynamics
of innovation. In the United Kingdom, the European Court also plays an
important role since national and subnational actors gained new avenues
of influence by having access to it. In the United States, the courts
also had an important impact in Bpeeding up the decision-process in California,
which, in turn, triggered off innovations in other sub-networks and, finally,
in the entire national network.
As to the short-term variables, the electoral outcomes in the United States,
although not involving a change in the governing party, offered the possibility
of choosing new leading personnel with new policy ideas (head of the E.P.A.).In
the case of Britain, the relatively high percentage of votes obtained
by the Green Party in the European election put Margaret Thalcher's government
under considerable pressure to take some action in environmental policy.
Not surprisingly, the state of the national economy had, and has an important
impact on network innovations in environmental policy. The new Clean Air
Act, in its most ambitious version was shaped before the on-set of the
recession in the United States in 1989/90, subsequently was diminished
in its requirements during the economic down-turn. The British Environmental
Protection Act was passed before the recession hit Britain.
'External shocks' clearly played a role in the United States spurring
legislative action, e.g. the Prince William Sound accident with the oil
spilling of the Exxon Valdez which sharpened public attention for environmental
issues in general. Also, the rapidly deteriorating air quality in California,
especially in the Los Angeles Basin ("Los Angeles is fighting for
breath"), gave rise to alarmed policy reactions in the state.
Thus, going through the standard comparative variables of policy fields
in the United Stated and Britain, important simil;
differences in the network structure become apparent which - to a I -
explain policy innovation.
7.4 Conclusions
In summarizing we may say that a systematic comparison of polii processes
can be implemented, to the extent that common and distin and short-term
features in formal network structures are controlled. I framework of comparable
and distinctive, mostly structural, netwo specific dynamic processes unfold
which are less accessible to a c-analysis. Yet, aspects of the basic network
structure to a consider! explain the specific nature of the network processes,
the resul) developments and their results.
A longitudinal cross-national comparison of policy networks i insightful
because it permits the identification of country-specific i and convergences
of policy patterns and the effects of short-term ir variables or events.
It reveals cross-national diffusion process application of social rules
and technologies in problem solving over of time, as well as their impact
on the underlying political patt< supranational institutional influences
may be identified, such as the EC directives on national policy patterns
of the member states, as impact of economic changes in the world economy.
'External shocks' innovative phases or 'watershed phases' in policy making
which in ti a restructuring of the network.
Despite the aforementioned limits to comparison, polic analysis offers
considerable advantages: It systematically links all 'coi actors' in a
policy network, be they public or private, and - in the cas actors -on
all political and administrative levels. By including private approach
draws attention to non-state organizations employing prohl Btrategies
which present competing strategies to those of the state. 1 o case in
point, the mass media with their activities may also play an
role in clean air policy and BipuficaoUy enhance the effectiveness of
state measure*; i so may alao wholesale trade in the field of waste-disposal
policy.
Furthermore, by comparing different networks under the question how ors
similar policy problems solved In different countries or subnatlonal units,
policy netwoik analysis draw attention to equivalent functions. In the
field of clean air policy, for instance, SO3 (sulphur dioxide) standards,
as they are released into atmocpoere by coal-fired power plants, are set
by administrative decision in Gennany. However in Great Britain, they
were for a long time decided by the Quef Inspector who set them individually
for each plant under his jurisdiction, Therefore, the British Chief Inspector
was the functional equivalent of the SO2 standards in other countries3.,
At the end of the day, we may conclude that whomsoever expects stringent
causal evidence, rendering possible precise 'technological' policy recommendations,
from comparative policy network analysis will be disappointed. But whoever,
more modestly, makes an attempt to answer the question: which policy features
and actor patterns, which contextual variables do countries have in common,
that. with reasonable success, solve specific policy problems may consider
policy network analysis as a useful analytical toot of comparative politics.
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