Values, Coalition Modification and Regime Replacement in Local Governance By Charles Sampson, PhD...

Values, Coalition Modification and Values, Coalition Modification and Regime Replacement in Local Regime Replacement in Local

GovernanceGovernance

ByCharles Sampson, PhD

Fulbright Scholar and Visiting ProfessorKhon Kaen University

3rd International Conference on Local GovernmentKhon Kaen, Thailand

November 15 and 16, 2012

The Overarching AssumptionThe Overarching AssumptionLocal Governments in democratic

societies are:

universally situated at the bottom of the governance hierarchy,

burdened by statutory impotence, and

negligence

Effective Community Governancewww.effectivegovernance.com 2

Local government as the “begging Local government as the “begging step-child”step-child”


Despite this Peril of CircumstanceDespite this Peril of Circumstance

Local governments are burdened with developing and delivering a variety of services

and have

limited ability to independently generate financial resources


The Common Challenge to Local Governments in Any Democratic Society


Incontrovertible Impotence

Effective Policy Coalition means removing the cloud of dependency and replacing it with the sunshine of liberation



The Key Question

This contribution crosses the boundary between traditional This contribution crosses the boundary between traditional Public Administration, New Governance and New Public Public Administration, New Governance and New Public Governance and BeyondGovernance and Beyond

Modern democratic societies are based on Modern democratic societies are based on three pillars:three pillars:

The market economyDemocratic, public institutions, and;Non-governmental organizations

The framework for these three pillars is provided by the State, which sets all necessary legislation for economic, political and social activities of its residents. The success of any government is based on quality of it’s services and cooperation of all sectors of government.

Types of DemocracyTypes of DemocracyA higher conceptual level than

plebiscitary representative democracy is ‘discursive democracy’ (Dryzek, 1990) and;

Associative democracy (Barber, 1984) or

Strong democracy (Hirst, 1994) where clients, workers, and the public are intimately involved in the identification and clarification of policy issues.

Major Assumption: Channels of Access from Major Assumption: Channels of Access from Officials to the PublicOfficials to the Public

Specialized publics & Interest groups

Educate

Mass Public

PoliticalParties

Officials MassMedia

Seek to Co-opt

Educate: offer alternate candidates & policies

Seek to influence

Educate

Seek to co-opt Educate

& stimulate

Shape Policies

Educate & stimulate

Educate & stimulate

Major Assumption II: Channels of Access Major Assumption II: Channels of Access from Public to Officialsfrom Public to Officials

Specialized publics& Interest groups

Mass public

Participates

OfficialsMassMedia

PoliticalParties Organize government &

opposition

Influence

Seek to influence

Express Opinions

Seek to influence

Participates

Seek to influence


The Genesis ofThe Genesis ofPolicy Coalition TheoryPolicy Coalition Theory

Governance Paradigms

•Traditional Public Administration

•New Governance

•New Public Governance

Theories/Concepts

•Punctuated Equilibrium

•Advocacy Coalition Frameworks

•Urban Regime Theory

Each paradigm relates to challenges governments encounter regarding service delivery, but these paradigms do not address the experiences local officials experience at “street” level.


Three Governance Paradigms

•Public Administration (PA) focuses on government but does not pay sufficient attention to the contributions of non-governmental organizations and citizen stakeholders. The resource allocation mechanism functions at the discretion of the government, and the guiding value is a public service ethos (Gerth &Mills, 1970; Osborne & Gaebler, 1992; Barzelay, l992, 2001; Behn, 1998, 2001). •New Public Management (NPM). The theoretical roots emanate from rational choice and management studies; the emphasis shifts to management of organizational resources and performance benchmarking; the resource allocation mechanism is the market which is tethered to the business like ethos, and its value is manifest by the importance of competition among erstwhile public service vendors. (Osborne, D. and T. Gaebler,1992)•New Public Governance (NPG) is akin to institutionalism and network theory; the state (government) is declared impotent as a resource allocator; non-governmental organizations and citizen stakeholders achieve legitimacy as participants; negotiation and social capital become valuable skills. It is the junction to Policy Coalition Theory (PCT).

Coalitions/Governance Paradigms Described in Coalitions/Governance Paradigms Described in the Literaturethe Literature


Government Centered

Mayor Centered (Dahl, 1961),

Federalist; (Stone, 1989)

Caretaker (Stone, 1989)

Maintenance (Stone, 1993)

Developmental (Stone, 1993)

Multiple StakeholderGovernment–Business (Savith & Thomas,

1991)

Entrepreneurial (Stone, 1989)

Pluralist (Elkin, 1987)

Progressive (Stone, 1989) Lower Class Opportunity Expansion (Stone,

1993)Human Capital Regime (Orr & Stocker,

1994)

Caretaker (Stone, 1989)

Maintenance (Stone, 1993)

Developmental (Stone, 1993)

Business Centered

Corporate (Stone, 1989) Entrepreneurial(Stone,

1989)

Caretaker (Stone, 1989) or Maintenance (Stone,

1993) Developmental (Stone,

1993)

Comparing Punctuated Equilibrium, Advocacy Coalition Comparing Punctuated Equilibrium, Advocacy Coalition Framework and Urban Regime TheoryFramework and Urban Regime Theory

Game-Changing Events


Punctuated Equilibrium Advocacy Coalition Framework

Urban Regime Theory

Policy Arena(s) Policy Subsystems Evolving Regime

Dominant vs. Competing Interests

Advocacy Coalition

Policy Images Staged Policy Development

Political Understandings

Caretaker, developmental, middle

class progressives, lower class

opportunity expansion

Institutional Structures Market conditions and democratic processes

Deliberative Arenas Shared Core Beliefs Shared Values

The enabler for policy coalition The enabler for policy coalition theory: Citizen Participationtheory: Citizen Participation

Empower and educate community members

◦Democracy Schools◦Citizenship Schools

Re-educate administrators

◦Communication and interpersonal skills◦Distinguish between managing and

governingEnable administrative structures and processes

◦Democratize institutions and procedures

Most Frequent Participatory Form in Most Frequent Participatory Form in Democratic SocietiesDemocratic Societies

Plebiscitary participatory government, i.e., voting in elections that occur intermittently over extended periods of time

In a plebiscite the public can vote ‘yes’ or ‘no’ but that up or down vote is not always sufficient to achieve full participation

Historical Framework for Participation Historical Framework for Participation

Democratic political systems are designed to reflect and engender an active citizenry but they are also designed to protect political and administrative processes from a too-active citizenry.

The relationship between bureaucrats and citizens supports the formation and implementation of public policy, a notion that is at odds with traditional Western thought.

Why a viable policy coalition Why a viable policy coalition theory is importanttheory is important

Continuing distrust in governmentNeed for administrative legitimacyActive accountability

Communication tools for actualizing policy Communication tools for actualizing policy coalitioncoalition

Informational brochuresPublic hearingsYouth city councilCity festivalsFAQ’s on websitesEstablish a Citizen Participation OfficerEconomic development task forceMayor’s budget message

Roles for Citizens in a Policy Roles for Citizens in a Policy Coalition PactCoalition Pact

Citizens play many roles in communities, which must be recognized and tapped to most effectively engage them in community governance and improvement.

Major roles citizen play include:◦ Stakeholder ◦ Advocate◦ Issue Framer◦ Evaluator◦ Collaborator



Citizen RolesCitizen Roles

Evaluator: Someone who:◦ Assesses community conditions or service quality,◦ Interprets data on performance or conditions, or◦ Evaluates alternative solutions to community problems.

Collaborator: Someone who:◦ Helps forge compromise or build consensus among

different interests to solve problems, ◦ Works in partnership with others to implement

community improvements, or◦ Identifies and helps leverage assets (e.g., other citizens,

small businesses, community organizations, community meeting places) the government may not consider.


Citizen RolesCitizen RolesStakeholder: Someone who:

◦ Is a service customer,◦ Is an “owner” (shareholder) of the government or civic realm,

or◦ Is an interested party concerning community conditions,

existing or proposed projects or policies, or community service problems.

Advocate: Someone who:◦ Tries to protect or advance specific interests, or◦ Encourages the community to act.

Issue framer: Someone who:◦ Helps develop a long-term vision, goals, or strategic plan, ◦ Helps determine what issues get on the community agenda,

and set priorities for allocating resources or acting on issues, or

◦ Defines problems from a citizen’s perspective.◦ Identifies possible solutions to community problems.

Why Robust Citizen Why Robust Citizen Engagement?Engagement?EffectivenessLegitimacySustainabilityOwnership of issuesMobilize resources and supportBring citizens’ energy to

community improvement


Why Citizens in Multiple Why Citizens in Multiple Roles?Roles?

Providing a full range of roles:

◦ Helps more people find their comfort zone of what they are willing and able to do, despite their different interests, knowledge, skills, constraints.

◦ Keeps citizens involved longer: e.g., from advocacy to getting things done.

◦ Helps organizations identify more ways to support citizens as effective community partners.

As a result, more people contribute more time and energy to community improvement.


Citizen as Stakeholder Citizen as Stakeholder (Customer)(Customer)Private sector learning: sustained

and complex process to listen to and meet or exceed customer expectations

In person and online: set standards and evaluate service quality and satisfaction


Citizen as Evaluator: ToolkitCitizen as Evaluator: ToolkitManual by the Urban Institute (Harry

Hatry and others) on measuring effectiveness of nine common local public services: How Effective Are Your Community Services? Includes a chapter on trained observer ratings.

JCCI articles and guidebook on conducting citizen-driven Quality of Life assessment, including guidelines for selecting indicators: http://jcci.org/statistics/understandingindicators.aspx

Community Indicators Consortium network of indicators practitioners and researchers: http://www.communityindicators.net/


Citizen as CollaboratorCitizen as CollaboratorCitizens help forge compromise and consensus on

solutions, then partner in implementing improvement.

Citizens as partners in crime reduction, literacy and school success, clean streets, to homeland security.

Focus on vision and partners who can help bring about the vision.

Citizens identify and leverage assets (e.g., other citizens, small businesses, community organizations, community meeting places) the government may not consider.

Examples:◦ Recycling movement◦ Saint Louis Park, Minnesota: building youth assets.


Citizen as Collaborator: Citizen as Collaborator: ToolkitToolkit

Strategic community partnerships -- partner or coalition with like minded groups based on an assessment

Sustain vehicles for connecting citizens to community outcomes -- continuity

Inform citizens on results and repeatedly offer engagement invitations in credible and effective ways

Children First, a call to individuals, families and organizations to give kids the care and support they need: http://www.slpschools.org/cf/

“Asset-based” community improvement approach in Building Communities from the Inside Out by John Kretzmann and John L. McKnight, The Asset-Based Community Development Institute, Northwestern University http://www.northwestern.edu/ipr/abcd.html


Quick Guide to Supporting Citizens in Five Major Roles of Citizen EngagementQuick Guide to Supporting Citizens in Five Major Roles of Citizen EngagementAdapted from Chapter 2 ofAdapted from Chapter 2 of Results That Matter Results That Matter (Jossey-Bass, 2006)(Jossey-Bass, 2006)

Major Roles How You Can Support Or Strengthen The Role

Citizens as Stakeholders (Interested Parties)

Help citizens organize and associate with each other close to home.

Ensure citizens have an opportunity to influence things they care about as stakeholders.

Citizens as Advocates

Help citizens get technical and political help and find the “leverage” they need.

Help citizens “learn the way things work” in the community, and help them learn from each other to be effective advocates.

Citizens as Issue Framers Foundation builders (e.g.,

vision, strategic goals) Agenda setters (issues,

budgets) Problem definers Solution identifiers

Foster deliberative processes in which people listen to each other and make hard choices.

Ensure citizens are engaged early to set agendas, define problems, and identify solutions.

Encourage community centered, boundary crossing problem solving.

Citizens as Evaluators

Provide support to make citizens’ assessments rigorous, credible, and useful.

Provide citizens periodic performance data on issues and services of concern to them, and help them use the data (also helps stakeholder-owner).

Citizens as Collaborators Compromisers Co-producers Asset leveragers

Help citizens voice their opposition to get attention needed for compromise that respects their interest.

Help citizens recognize different stakeholder interests and to think beyond opposition to forge effective compromises needed to solve problems.

Organize opportunities for citizens to be co-producers in their community.

Identify “sparkplugs” to energize community co-production projects, and support them in organizing the community.

Help citizens identify and leverage community assets (including themselves) to make limited investments go further and get big things done.

Perquisites for Vigorous Policy Perquisites for Vigorous Policy CoalitionCoalition


When PCT is achievedWhen PCT is achieved

1. strengthen the ability of municipalities to utilize proper tax

2. improved system of intergovernmental relations

3. improved access to loans and debt finance

4. improved revenue enhancement


Values, Coalition Modification and Regime Replacement in Local Governance By Charles Sampson, PhD...

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