Giliberto Capano

Understanding Policy Change as an Epistemological and Theoretical Problem

Abstract Change is the fundamental focus of those who are interested in studying public policy. As a result of the multidimensional nature of policy dynamics, policy change is a very ambiguous area of academic study, and one full of pitfalls. All aspects of policy change have been dealt with, all the possible independent variables have been examined (ideas, interests, institutions, socio-economic structures, political institutions, internationalization, individual entrepreneurship, social culture and values, and so on), and a great many theoretical frameworks, combining diverse causal mechanisms, have been proposed. However, when choosing certain independent variables, or the specific design of the dependent variable, or a particular sequence of causal factors, policy scholars make a series of strong epistemological and theoretical choices which they are often not conscious of (as revealed by the fact that their frameworks and theories may be incoherent and characterized by evident shortcomings). In this paper, I am going to present the kind of analytical questions which need to be resolved from the epistemological and theoretical points of view, in order to grasp the essence of policy change and the potential consequences of the aforesaid choices. I shall then review the way in which the most important policy/change frameworks (Multiple Stream Approach, Punctuated Equilibrium Framework, Advocacy Coalition Framework, and Path Dependency Framework) have attempted to solve the epistemological and theoretical puzzle, the degree to which they are coherent, and the pros and cons of the solutions they adopt. Finally, I conclude by presenting a number of recommendations for further theoretical reflection and empirical investigation regarding the epistemological and theoretical coherence and effectiveness of theories of policy change.

Introduction: The Determinants of Policy Change: Advancing the Debate

Abstract The issue of policy dynamics is a key one in policy studies and one which is particularly amenable to comparative policy research. Understanding how policies change and the conditions which facilitate or constrain such changes is required if policy managers are to effectively manage policy dynamics and, as such, is a key subject of interest to policy analysts. However, before comparative research can generate valid results, several key issues with respect to the definition, conceptualization and operationalization of policy change must be addressed.

From Bologna to Lisbon: the political uses of the Lisbon ‘script’ in European higher education policy

This contribution explores the transformation of higher education policy from the mere co-ordination of educational curricula by national governments to the embodiment of the Lisbon Agendas ‘governance architecture’, together with its impact on national policies, institutions and actors. It does so by charting change in both policy outputs and policy outcomes in four different European countries – England, the Netherlands, Germany and Italy – and by relating these changes to the ideational and organizational aspects of the Lisbon Strategy. We suggest that Lisbon acted as a ‘script’ to be followed by national governments and other policy actors, enabling them to gradually adapt to Lisbon-induced ideational and organizational pressures, and to shape national organizational and communicative discourses that can overcome entrenched interests and transform the prevailing perception of higher education so deeply rooted in national cultural and policy traditions.

Governing Without Surviving?: An Italian Paradox: Law-Making in Italy, 1987-2001

Almost 25 years ago, Di Palma portrayed the Italian political system as one in which parties, executives and political élites survived without governing. Much of his interpretation was based upon a careful empirical investigation of the actual functioning of the legislative process. We adopt the same perspective in order to evaluate if, after the major events and institutional transformations which have shattered the Italian political landscape, Di Palmas original hypothesis still holds at the turn of the century. In spite of the lack of control of the ordinary legislative process exhibited by executives in the last four legislatures (1987-2001), together with a marked systemic instability, the last few years have witnessed the successful introduction of significant reforms in several sectors. Paradoxically, during the 1990s, the major political actors have shown themselves to be more capable of governing than of surviving.

Bringing Governments Back in: Governance and Governing in Comparative Policy Analysis

Abstract In many visions of governance, governments are portrayed as playing a “steering”, rather than “rowing”, role. The widespread use of privatization, deregulation, decentralization and third-party governments are often mentioned as concrete manifestations of the broad transformation which has led to new forms of governance. Examined more closely, however, the large and growing body of literature on governance has done little to clarify what is “new” about “new governance”. Does it indicate a clean break from institutions and processes of the past, or is it merely chronicling an assortment of instrument changes necessary for governments to adapt to changing socio-economic conditions? Do the changes really indicate the emergence of a new system in which the government is merely another player on a par with societal and international counterparts? More fundamentally, is governance a normative framework reflecting the hopes and desires of those who prefer smaller governments, or an empirical description of an existing reality? This article briefly surveys existing studies in the field as an introduction to the articles in this special issue. These articles provide strong arguments in support of the view that governments continue to play a pivotal role in policy-making, and that if this fact is not taken into consideration then the perception is of governance risk being anchored to a merely normative or prescriptive view rather than an empirically robust one.

The Italian parliament: In search of a new role?

The consolidation of Italian democracy dates back to the early 1950s. This half-century – a rather long period compared to the other Southern European countries – is now traditionally perceived as being composed of two different time intervals. The first 40 years were marked by continuous crises but even more by an overall political stagnation, and the last decade characterised by deep changes both in the institutional structure and in the partisan composition of the political system. The Italian Parliament has been at the centre-stage of both periods. Through a careful examination of its internal organisation and accomplishment of major functions – electoral, oversight, expressive and legislative – the chapter identifies the actual extent of the transformation experienced in the last legislatures. A clear picture emerges of an institution looking for a new role, caught between a majoritarian thrust and the Europeanisation process. This work is the result of a lengthy collaboration by the two authors on these topics and of a joint research project. Although each section was thoroughly discussed, sections 1, 3, 4 and 5 were written by Marco Giuliani and sections 2, 6 and 7 by Giliberto Capano.

Political Science and the Comparative Study of Policy Change in Higher Education: Theoretico-Methodological Notes from a Policy Perspective.

Policy change is a fundamental object of interest in social sciences, and in higher education too. This essay presents several reflections for a comparative research strategy on policy change in higher education from a political science point of view. Three basic assumptions are developed: politics is not only power but also research for solutions to collective problems; the explanation of policy change calls for configurative models able to enlight the relationship between structural and individual factors; the concept of network is a fruitful analytical lens to measure and map such relationships. According to these assumptions, the author tries to emphasise how even if absolutely significant the explanative models based on macro-factors have important shortcomings in view of the diversity and the complexity of policy changes in the different national experiences. Then, the proposal is to complement the macro-approaches by analysing of the policy-making processes and the logic of action of all the actors involved. The macro-factors shape the context of micro-behaviour, restricting the alternative of choice, but the choice itself is a matter of actors.

Governance Reforms and Organizational Dilemmas in European Universities.

The aim of this article is to examine how European universities, confronted with national reforms of their governance, have tried to resolve the dilemmas traditionally associated with internal reorganization, the redistribution of power, and the reformulation of teaching and research policies. The article does not focus on the central governance of universities—which is the object of most current analyses—but on their “peripheral” units and decision-making processes. There are four basic organizational dilemmas encountered when structuring the internal organization and functioning of universities. They concern the degree of differentiation and integration of the organizational units, the role and modes of action of middle management, the search for synergies and the optimal extent of aggregation, and the degree of centralization or decentralization of functions and processes. The article offers a comparative analysis of eight universities in four European countries—the United Kingdom, the Netherlands, Germany, and France—aimed at understanding how these universities have dealt with such organizational dilemmas.

The re-regulation of the Italian university system through quality assurance. A mechanistic perspective

Abstract This paper traces the developments of quality assurance in the Italian university system since the early 1990s. Based on the theoretical assumption that the ‘quality assurance’ label covers a wide range of different mixes of policy tools by means of which governments regulate (substantially at a distance) the systemic dynamics of their university systems, this paper adopts a mechanistic perspective in order to show how the Italian version of quality assurance, and of the respective NPM policy tools, has been significantly affected by the ambiguity of governments’ approaches to the question, and by the basic inability of universities to perform as corporate actors. This has resulted in quality assurance policy becoming yet another set of formal rules to be complied with, and has had the effect of partially re-centralizing the governance of the entire university system.

Casting Light on the Black Hole of the Amendatory Process in Italy

The amendatory process is a hidden aspect of Italian law-making. All scholars and observers are perfectly aware of the importance of the complex, sometimes apparently chaotic, dynamics of the process of amending bills. However, despite this awareness, the amendatory process as such has rarely been the subject of empirical investigation: hence the present articles intention to try to fill this void, using a consistent, representative data-set to construct a substantial, quantitative description of the amendatory games played out in Italys chamber of deputies during the period from 1997 to 2006, and to compare the two legislatures covering that period. This is the first systematic attempt to shine a little light on the ‘black hole’ of the Italian legislative process.