1. The concept of policy cycle Flashcards
What is the original concep of the policy cycle?
The policy processes can be seen as being located within a set of interrelated stages through which policy issues and deliberations flow in a more or less sequential fashion from inputs (problems) to outputs (policies). The policy cycle is made up of policy stages that have an inbuilt sequential order to them. According to the idealised linear conception, it always starts with agenda setting, but the circular model is closer to reality. Due to its highly consensual nature, there is considerable backwards and forwards movement between the stages.
what are the 5 stages?
- agenda setting
- policy shaping (incl. policy-proposing and formulating)
- decision making
- implementation
- evaluation/monitoring
Describe the stage of agenda setting!
- An issue begins to attract attention on the policy agenda (mostly by Comm)
- Policymakers give an issue consideration
➔ government agenda: issues being discussed without a formal proposal
➔ decision agenda: proposals on which decisions will be taken - many actors in the EU capable of influencing the former
o low politics (issues not affecting sovereignty or security): lobby groups, ideas by national govts, suggestions from expert committees, EP committees - formal proposal is limited to Commission → except for CFSP/CSDP: mostly the High Representative assumes policy initiating (up to the MS/HR to launch decision making procedure)
- monopoly to table legislative proposals
- In most cases items already going on → ongoing issues. Or developing, refining and updating existing policies → improvement of the situations.
Describe the stage of policy shaping!
- identification of policy goals and formulation of specific policy proposals
- it does not decide EU policy but identifies options (narrows down the number of realistic policy alternatives)
- many policy actors involved but Comm. is by far the most important:
o Issues Green papers to stimulate discussions on a given topic on the European level: basis of future legislative proposals made by the European Commission
o 300 communications and reports on an annual basis: analysing the diff situations and their improvements
o Has a number of institutional resources: (1) access to key information; (2) the perception that draft legislation must come from the Commission; (3) monopoly on drafting most EU legislation (power given by TFEU)
o Works closely with other policy actors: needs outside expertise and advice to seem credible (on specific issues) and does not want to see MS resistance (if it doesn’t take MS interest into account, proposal in the Council will not pass) - It usually consults widely: interested parties, experts, national govt reps members of diff EP committees (meets regularly w/MEPs)
Describe the stage of Decision-making !
According to John Peterson it is the most politicized policy process stage because it involves final choices being made on matters that are considered public importance and also includes policy actors entering into hard commitment (national politicians in the EP, EUCO and Council of Ministers). it involves 3 diffreent types of decisions:
1. History-making decisions
2. Policy-setting decisions
3. Policy shaping decisions
What are history-making decisions?
- History-making decision shapes the fundamental structure of the EU by changing the EU treaties or by specifying fundamental, long-term priorities → two types
1) Intergovernmental conferences (IGC): MS meet outside of the framework of the EU and they make decisions by unanimity (intergovernmental basis). They set the framework within which the EU operates. These usually concern high politics: fundamental choices about the distribution of powers and resources btw the EU and institutions as well as MSs.
2) In the framework of the EU, in the Council (Heads of State and Govts): Involves making fundamental choices. They make decisions on years to come, for example the budget, the Multi Annual Financial Framework (MFF). It is also called constitutional decision-making because it usually equals to the creation of a new constitution (EU has no constitution only treaties)
Bargaining tactics which include coalition forming, persuasion and management of meaning, bluffing, issue linkage and side payments and splitting positions through the middle.
What are policy-setting decisions?
They concern the choice btw policy alternatives in a specific issue area
o within the framework of the EU: taken by Council sometimes Commission or EP
o e.g. Does the EU strive for the reduction of greenhouse gas emission or not? If so, what %?
o major ‘what’ questions: from a range of possible alternatives, what policy option will be pursued?
What are policy shaping decisions?
They deal with the details of the policies including the formulation of policy options and the specification of more general policies
o takes place within the Council and one of the working groups of Council
o very low level of decision making (details, up to national officials)
o national officials and MS preferences
o the development of alternatives for decision making
o E.g. It is decided to reduce greenhouse gases, how this will be done?
What are policy shaping decisions?
They deal with the details of the policies including the formulation of policy options and the specification of more general policies
o takes place within the Council and one of the working groups of Council
o very low level of decision making (details, up to national officials)
o national officials and MS preferences
o the development of alternatives for decision making
o E.g. It is decided to reduce greenhouse gases, how this will be done?
Describe the stage of Implementation!
What are the 3 main forms of EU legislation (legally binding to the MS)?
- directives: concern policy areas, setting out broad principles and framework of EU law
up to the MS how to decide and achieve the goals that are set by the directives
every MS if they implement on the constitutional level is free to decide the form of implementation
deals with policy
Art. 288 TFEU — directives ‘shall be binding, as to the result to be achieved, upon each MS…but shall leave to the national authorities the choice of form and methods’ → not applicable directly in the MS but must be transposed into national legal systems by appropriate national procedures - regulations: more technical and specific adjustments to existing EU law
- decisions: like regulations, for the purpose of admin. legislation, they are not generally applicable for all EU MS, but addressed to certain actors
reg. + dec. deals with administration, in practice the two overlap
Which transposition problems may occur in MSs?
opposed/expressed strong reservation in the Council about a directive
have existing legislation that is very diff from the contents of a directive
have a weak legislative and/or admin. capacity to transpose all EU law that has already been adopted on EU level
directives with wide range of flexibility to adjust
o Solution: the Commission keeps a close watch to ensure that national incorporation does not involve the main provisions of directives being avoided or misunderstood.
What are delegated acts and implementing acts non-political?
➔ delegated acts: quasi-legislative, no comitology system is used → with the purpose of adopting non-legislative acts of general application to amend/supplement certain non-essential elements of the legislative act
➔ implementing acts: more limited in scope, controlled by the MS acting via comitology committees → where uniform conditions for implementing legally binding Union acts are needed
In which role is the Commission acting?
The Commission is acting in legal and guardian role, monitors and exercises surveillance over national policy implementation and uses sanctions to deal with transgressions. National authorities must submit regular reports to it and the Comm. undertakes a few on-the-spot inspections
Describe the fifth stage: Evaluation/monitoring
Assessing effectiveness and efficiency can be difficult because in some areas rational tools (CAP highly political) cannot be used, features of the policy making outcome evaluation difficult (CSFP, CSDP), multi-layered policy responsibilities (environment).
➔ 3 stages:
1. during policy development (ex-ante evaluation): are the policy goals clear? what are the benefits and costs?
2. while policy is being implemented: is the policy being implemented as it was intended? are there any management weaknesses?
3. after a policy program has been completed (ex-post evaluation): were the policy goals achieved? where could improvements be made if the policy activity is to be continued?
- Barroso Commission! Ex-post evaluation given more importance than before as their number and scope was widened. It is now generally acknowledged that should not be significant changes to an existing legislation without evaluation.
