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Designing the Process of Public Management Policy Change: Practical Implications of Case Studies on Brazil and Peru Dr Michael Barzelay Reader in Public Management London School of Economics and Political Science M.Barzelay@lse.ac.uk

Francisco Gaetani (Brazil) Juan Carlos CortĂĄzar Velarde (PerĂş) Ph.D. Candidates, LSE

Inter-American Development Bank, III Meeting of the Management and Transparency Network Washington, D.C., November 14, 2002


The Practical Questions • How can government leaders act effectively to improve public management in their countries? – How can they act effectively to improve public management policies? – What process design issues should they consider? • What considerations should they bring to bear to


The Practical Questions How can government leaders act effectively to improve public management in their countries? How can they act effectively to improve public management policies? What process design issues should they consider? What considerations should be brought to bear in resolving design issues?


Defining Public Management Policies Public management policies are Government-wide institutional rules and routines that guide, constrain, and motivate the public service, typically managed by central agencies


What is Included in Public Management Policy Expenditure Planning Process and Financial Management

Civil Service and Labor Relations

Policy Domain Audit and Evaluation Procurement

Organization and Methods


What Public Management Policies are Not • • • • •

Broad Political Reform Political Decentralization Executive Leadership Program Designs Reform Themes


Case Studies on Change Reference Disciplines

Explanatory Framework (linked explanatory Factors, observer Concepts)

ORDERED EVIDENCE ABOUT THE EXPERIENCE STUDIED (narrative structure) Policy change efforts And decisional outcomes

Scientific Archive New insights


Outline of Generic Policy Change Process Contemporaneous Events

Prior Events

AThe Policy Episode Cycle

Later Events

Related Events t


Outline of Generic Policy Change Process Focusing Events

Prior Events Elections Transitions

Contemporaneous Events

Later Events

E1 Policy Cycle E1-1 Agenda setting The Episode E1-2 Alternative specification

E1-3 Decisionmaking

LE-1 Implementation

Policy-making events

Related Events t


The Brazil Case Period II

Period I

PE1 Real Plan

PE2 Presidential Transition to Cardoso

Contemporaneous Events

Later Events

E1 Managerial Reform of the State Apparatus

E2 Planning and Budgeting System Changes

Related Events

1993

1994

1998

200

t


The Peru Case Period II

Period I PE1 Fujimori Presidential Transition

PE2 Establishing a Redirection in Economic Policy

PE2 Presidential Election and Regime Adjustments

CE1 Managing Economic Policy

E1 Implementing Econ Policy through Institutional Change in Selected Ministries E2 Comprehensive Administrative Modernization

Later Events

Related Events 1989

1990

1995

199

t


Variety in Public Management Policy-Making Issue Profile

Agenda-setting Scope and Face of the Issue


Brazil Agenda Setting Process Policy cycle E1

Issue Profile High – Constitutional amendment Low – Civil Service Selection

E2

High – Brasil en Ação, Avance Brasil (post decision) Low – Conversion to Program Budgeting & Management

Issue Scope Selective but wide - Civil Service - Organization & Methods - Procurement

Focused - Expenditure planning and financial management


Variety in Public Management Policy-Making Institutional Location

AlternativeSpecification

Learning Process

Pacing


Brazil Alternative Specification Process Policy cycle

E1

E2

Institutional Locus Centered in Ministry for Federal Administration and Reform of the State (MARE)

Centered in Planning Ministry and

Learning Process

Pacing

Policy transfer from UK and direct learning

Quick paced, campaign style

Revival of national planning practices, combined with project management disciplines and foreign models of program budgeting

Followed rhythms of Presidential election cycle and macroeconomic situation changes


Variety in Public Management Policy-Making Institutional Location

Decision-Making

Supporting and Opposing Coalitions

Pacing


Brazil Decision-Making Process Policy cycle

E1

Institutional Locus

Supporting and Opposing Coalitions

Constitutional Amendment Presidency and Congress

Constitutional amendment – state governors

Others – Central agencies

Others – segments of Federal bureaucracy President

E2

Centered in Planning Ministry and Presidency

Private sector Segments of Federal Bureaucracy

Pacing Constitutional Amendment - slow

Opportunistic, pace determined by windows of opportunity including effects of time-scale of planning system


Ingredients of Successful Public Management Policy Change Fluid relations within policy subsystem Capable units within policy subsystem

Support from within bureaucracy

Direct learning in alternative-specification

Policy entrepreneurship in agenda-setting and alternative-specification

Combining high and low profile issues

Presidential leadership in agenda-setting and decision-making


Functional Requirements Analysis Successful Public Management Policy Change

Agenda-Setting Process

Alternative-Generation Process

Effective Public Entrepreneurship

Decision-Making Process

Favorable Institutional Arrangements

Presidential leadership

Constitution

Central agency executives

Policy subsystem


Generalizations Failure Modes

Trade-offs

What went wrong in Peru (1996)? (see Executive Summary)

Issue profile Issue definition

Smart Practices Hybrid high and low profile Domestic policy transfer and learning Develop the public management policy subsystem


The Practical Questions How can government leaders act effectively to improve public management in their countries? How can they act effectively to improve public management policies? What process design issues should they consider? What considerations should be brought to bear in resolving design issues?


Research – Practice Linkages Improved Public Management And Policy Achievements

Coherent Research Design

Successful Public Management Policy Change

Country Cases

Comparative Case Research Policy Learning

Effective Public Entrepreneurship Analysis, Ingenuity, And Craftsmanship


Back up slides


Narrative Structure of Policy Change (Baumgartner and Jones) Prior Events

Contemporaneous Events The Episode

E1 Agenda setting PE1 Rule making PE2 Operations

E2 Policy decision making

Later Events

LE1 Rule making LE2 Operations

Related Events t


The Public Management Policy Subsystem Presidency

Central Budgeting Unit

Economic Policy-makers

Int’l Instit.

Supreme Audit Institution

Money-centered central agencies

Presidency Ministry

Legislature

Central Personnel and Civil Service Unit

People-centered Central agencies

Organization-centered central agencies

Central Services Units

Public Employees Assoc.


designing the process of public management policy change: practical implications of case studies ...