Professional Documents
Culture Documents
Political Strategy
Dennis A. Rondinelli”
APRIL, 1976 75
extent, to the fact that public policy-making is of intervention and interaction techniques into
substantially different from and more complex than strategies for influencing not only the choice of
decision-making in a single corporation. Manage- alternatives but also the implementation of selected
ment science versions of planning theory generally policies.
assume a high level of central control over organ-
izational activities through a hierarchical structure
CHARACTERISTICS OF PUBLIC
that vests authority and responsibility for decision-
POLICY-MAKING
making in a single chief executive or a set of
top management officials. Administrative units are Public policy-making is an inter-organizational,
departmentalized by major purpose, process, rather than an intra-organizational, process. Public
product or clientele, with authority delegated to decisions evolve from the interaction of individuals
various levels, each supervised by and responsible to and groups each seeking a legitimate allocation of
the next higher level. Span of control is limited and resources or authority from the governmental
unity of command is preserved to prevent overlap, system. Policy-making, as political scientists point
duplication and waste and to promote efficiency. out, involves a variety of functions: perception and
In public policy-making, however, these con- definition of needs, problems and goals, formula-
ditions rarely prevail. Indeed, major decisions are tion of proposals and plans; mobilization of
rarely within the purview or authority of a single support; social analysis and political ‘deliberation’;
agency. Planning is usually done by a number of policy enactment and legitimization. Once policies
decision-makers in an organizationally complex are enacted, plans are implemented through organ-
environment under politically dynamic conditions. ization and administration of programs and
The characteristics of this complex decision projects; program results are evaluated and
environment-emerging more frequently not only policies reformulated.6
in the public sector but in large private organiza- In reality, policymaking is itinitely more com-
tions as well-severely complicate conventional plicated than implied by this simple descriptive
processes of comprehensive, long range planning. model. Yet policies do evolve through a cycle of
Harlan Cleveland most concisely summarizes the identifiable stages. The process described earlier is
situation when he observes that: not necessarily sequential; nor are the stages
always clearly distinguishable in practice or
“The organizations that get things done will no longer be mutually exclusive, since some activities may occur
hierarchical pyramids with most of the real control at the
top. They will be systems-interlaced webs of tension in
simultaneously and other functions are inextricably
which control is loose, power diffused, and centers of linked. Plans may be stalled or die before complet-
decision plural. ‘Decision-making’ will become an in- ing the process, or are resurrected later in different
creasingly intricate process of multilateral brokerage both form. Because of the procedural and organizational
inside and outside the organization that thinks it has the complexity, effective planning in the public sector
responsibility for making, or at least announcing, the
decision. Because organizations will be more horizontal, must be based on a thorough understanding of the
the way they are governed is likely to be more collegial, characteristics of the policy-making process :7
consensual and consultative. The bigger the problems to
be tackled, the more real power is diffused and the larger
the number of persons who can exercise it-if they work (1) Policymaking is Essentially a Political
at it. The trend is visible in totalitarian as well as demo- Activity
cratic societies.“s
Public decision-making is a political process
In such an environment planning and decision- rather than an intellectual or deliberative one.
making inevitably become political activities. Policies evolve through social interaction, conflict
Planning cannot assume an objective, rational, resolution and mutual adjustment among groups
technical, value-free role and be effective. Planning with diverse goals. Priorities are determined and
becomes a process not only of analyzing problems, final choices made through compromises among
goals and alternative courses of action, but also of groups with a diversity of values, decision criteria,
advocating positions, influencing behavior and interests, and perceptions of benefits and costs.
intervening in the policy-making process to affect
the outcome of decisions. It becomes a method not
(2) Policy Goals are Adjusted to the
only for choosing alternative courses of action but
Availability of Means to Achieve Them
for designing strategies for executing them. The
characteristics of political decision-making have Rarely are public policies the result of optimal
profound implications for the nature, process, decisions. Goal formulation is situational. Each
techniques and methods of planning. If strategic organization participating in public decision-
planning and management are to become more making pursues its own interests; goals may be
effective in the public sector, theory and practice terminal or instrumental, changing over time in
must : (1) be based on a thorough understanding of relation to changes in social, economic and
the political environment in which policies are political conditions. The level of expectations of
made; (2) adopt a variety of forms and styles that decision-makers are adjusted to the probability,
are directly related to major functions in the subjectively determined, of achieving their objec-
policy-making process; and, (3) fashion a variety tives, to estimates of uncertainties and risks of
APRIL, 1976 77
central control and comprehensive planning of the designed to achieve social acceptance’ and for ‘the
outcome is made more difficult. preparation of operational plans and programmes,
and the measurement of effectiveness of these
programmes in gaining social acceptance’.* Plan-
(9) Public Policy Formulation and
ning must become not only an analytical instrument
Implementation are Characterized by
for defining and selecting goals, but also a means
Long Lag and Lead Times
for designing strategies of intervention in the
Few policy innovations or plans receive im- policy-making process to influence the acceptance
mediate acceptance in the public decision-making and execution of planned objectives. Planning
arena. Social problems must be widely recognized, theory has given little attention, however, to the
support for their solution mobilized, proposals need for, development and utilization of alternative
formulated and enacted and programs implemented intervention techniques. A variety of tactics, other
-a process that, for major social issues, may than those of central co-ordination and control
require a decade to complete. The long lag times most frequently used in hierarchical organizations,
between initiation of plans and their implementa- are available to influence the outcome of policy
tion occur because of the nature of the policy- conflicts in the political arena (see Figure 1).
making process, because of the dispersion of in- Central co-ordination and control are often the
fluence, the multiple channels for exercising in- least useful techniques in organizationally complex
fluence, and the ability of a wide variety of groups decision situations because policy-making, by its
to delay or veto action. Policy execution requires very nature, provides access for a diversity of
the formulation of strategic plans for exploiting the semi-autonomous participants. Groups can em-
proper timing and atmosphere for action. ploy tactics of social influence to create unantici-
pated demands, to delay, obstruct and veto plans,
build and mobilize support for a variety of alterna-
(10) Policy Enactment and Implementation
tive policies, and subvert central control in plan
Require a Strong Coalition of Support
implementation. In order to influence the outcome
Public plans are formulated, enacted and im- of public decisions intervention strategies must be
plemented through concerted efforts and pooled formulated that incorporate both direct and in-
resources of groups and individuals organized into direct techniques of influence.
coalitions. Coalition building is essential to policy
formulation and execution because of the fragmen-
(1) Indirect Influence Tactics
tation of authority, organizational complexity and
unequal distribution of power that characterizes Techniques such as information dissemination,
decision-making. Coalitions may vary in size from education and training, persuasion and consulta-
small elites %th substantial resources to potentially tion, as opposed to central control and co-ordina-
large constellations of groups with mutual interests tion, are indirect, voluntary, and require a low
in the outcome of a decision. Coalitions shift over degree of direct intervention by planners in specific
time, expanding, contracting, dispersing and re- policy conflicts. They often provide a strong base
forming in response to changes in the political of influence in early stages of policymaking by
environment and changes in perceptions of issues, attempting to shape the environment or atmos-
costs and benefits. Every coalition attempts to phere for problem recognition and the need for
carve out a ‘policy space’ or ‘sphere of influence’ action. Psychological manipulation, modeling, and
over a set of issues from which it can dominate techniques that psychologists, refer to as ‘shaping
decision-making. Innovation and change often and reinforcement seek to influence behavior while
require destruction or reformulation of existing allowing a large degree of choice in compliance.g
spheres of influence and the creation of new Non-coercive adaptation can influence behavior in
coalitions based on different perceptions of prob- support of planned objectives through tacit
lems, new goals, redefinition of needs, or dis- co-ordination, by obtaining the mutual consent of
satisfaction with existing programs and policies. those potentially affected by proposed plans, and
through provisions of incentives and rewards.
Adaptive adjustments are often made in the
PLANNING AS THE DESIGN OF
content of plans to avoid adverse effects for groups
POLITICAL INTERVENTION STRATEGIES
that are likely to oppose the plan because of
Conventional approaches to planning are not perceived losses.
effective under the politically dynamic conditions
of public policy-making. Even within private cor-
(2) Direct Intervention Tactics
porations, Taylor argues, ‘it is clear that the
theory and practice of strategic management is Other techniques of political intervention require
inadequate to handle social and political problems’. more direct exercise of control and more intensive
As public and private organizations become more interaction in policy conflicts. Reciprocal exchange
intertwined in policy-making, new and improved and compromise, promises and threats, formal and
approaches to government and corporate planning informal bargaining and negotiation, and media-
are needed for ‘developing strategies and policies tion, together with subsidies or regulation may be
used in combination with other indirect influence initiation of change can evolve only from a creative
tactics to reinforce desired political behavior or to planning approach. Problem perception, identifi-
discourage undesired actions. Techniques requiring cation of threats and opportunities, and change-
the most direct control, the least freedom of com- initiation do not generally emerge from ‘routine’
pliance, and the most intense intervention in bureaucratic forms of programming. The innovative
political conflict are authoritative prescription, planning style anticipates and seeks change, explores
pre-emption, command and coercion and force. and exploits opportunities for new policy direc-
The most effective technique or combination of tions, crystallizes dissatisfaction with current
tactics must be determined by strategists through conditions and searches, through what Etzioni has
analysis of the problem or issues under considera- called ‘mixed scanning’ processes, for marginally
tion, the power and resources of potential con- better alternatives. Innovative planning is con-
tenders in political conflict, and the organizational cerned not so much with operational issues as with
environment in which plans and policies must be the contextual or strategic aspects of policy. It is
formulated and implemented. futuristic, often concerned with forecasting and
predicting trends as well as with searching for
TAILORING PLANNING STYLES TO potential solutions to problems that are still in
POLICY-MAKING FUNCTIONS the experimental or pilot stages. In other situations,
The concept of planning as strategic intervention in
innovative planning is less concerned with the
and management of public policy-making recog- future, but directed more toward re-orienting
nizes not only that a multitude of decision-makers perspectives of decision-makers on current prob-
plan, but that a variety of planning functions and lems, redefining social values, changing decision
roles must be performed in order to influence agendas, altering priorities and immediate goals of
public decisions. One style of planning, essential resource-allocating organizations comprising the
and appropriate for a particular decision-maker at major spheres of influence over strategic policy
one stage of the policy-making process, may be issues.
inappropriate for others. If planning is to become
more effective in influencing the outcome and (2) Advocacy Planning
quality of public decisions, a number of distinctive
planning styles that are directly related to policy While the innovative approach is useful for
formulation and implementation functions, must defining the directions and parameters of desired
be used. Seven approaches are suggested here (see change and assisting decision-makers to delineate
Figure 2). problems and needs, ultimately, objectives must
be translated into specific proposals. Only demands
(1) Innovative Planning that are clearly and persistently expressed receive
Perception of needs, goals and problems and the serious public attention. Individuals and groups
APRIL, 1976 79
Determination
and Technical
Allocative
Planning
skilled at innovative planning often lack the attempts to preserve an image of objectivity;
interest and ability to promote demands publicly, adjunctive planners most often perform informa-
thus requiring another form of planning-advocacy. tion collection and analysis functions and make the
Advocacyplanning makes no pretense of objectivity. results available to all contenders in policy contlict
Its purpose is to represent a policy position or the without becoming absorbed in the imbroglio them-
perceptions of a particular ‘interested public’. selves. Adjunctive functions are often performed by
Advocate planners strive to translate felt needs of ‘think tanks’, foundations and research institutes
groups and organizations into policy demands, to with interests in national policy, and by regional
obtain access to decision centers and leverage points, planning agencies, municipal research bureaus and
and to satisfy those demands through authoritative city planning commissions at the local level.
allocation of tangible resources. Adjunctive planners perform ‘research and de-
Advocate planners seek to develop leadership, velopment’ functions: they organize and imple-
induce participation, develop and promote argu- ment demonstration projects, gather operational
ments and disseminate information in support of a and planning data, and evaluate positions and
policy position. If the objective is to assist groups proposals as inputs for policy conflict resoluti0n.l’
and organizations to obstruct, delay or modify
policy proposals adverse to their interests, advocacy
(4) Allocative Planning
planning takes on a lobbying function. Advocacy
includes formulation of coalition-building strate- Allocation of scarce resources among competing
gies, communication of policy demands, presenta- demands and interests is the essence of policy-
tion of policy positions to authoritative decision making. Allocativeplanning seeks to facilitate policy
makers through direct persnal contact, psycho- enactment by proposing resource distribution
logical field manipulation and intermediation. plans that result in satisfactory tradeoffs among
Through adversary functions it moves to counter competing groups. Allocative planning is often
and offset the impact of opposing plans. sequential, an incremental series of compromises
aimed at attaining mutually acceptable positions
by various participants in the policy-making process.
(3) Adjunctive Planning
It seeks, where necessary, to balance economic,
In both support mobilization and deliberation political, social, physical and other criteria, to
phases, participants in political conflict often seek allocate tangible and symbolic rewards, to mediate
assistance in analyzing issues and positions from between pressing and long-term considerations in
‘third parties’, sources considered to be more order to find alternatives acceptable to a coalition
neutral, who place policy analysis within a broader large enough to enact and implement a plan. At a
social context. Information and analysis is sought technical level allocative planning institutionalizes
from sources outside the immediate arena of resource distribution proposals through operating
political conflict. The functions required are, in a and capital budgets. But it attends to the distri-
sense, adjunctive. The adjunctive planning style bution of normnancial resources as well.
APRIL, 1976 81
not only for the analysis of alternative courses of (5) Harlan Cleveland, The Future Executive: A Guide for
Tomorrow’s Managers, Harper 8 Row, New York
action, but also for fashioning strategies to in-
(1972).
fluence behavior in policy implementation. n
(6) Charles 0. Jones, An introduction to the Study of
Public Policy, Wadsworth, Belmont,California (1970).