Analytical framework - The Politics of Water Institutional Reform in Neopatrimonial States - page 32

The policy cycle as a heuristic model is not incompatible with neo institutionalist approaches.
The analytical starting point of a political process is the problem perception (see Figure 4). The
usage of the term problem perception instead of simply problem points to the subjective
character of a political problem: It is a social construct. A problem is not an objective fact; it is
the perceived difference between a norm or ideal and an empirically observed situation. Both,
the ideal as well as the observation are social constructs influenced by the values and perspec
tives of the actors that are a consequence of institutions (Fischer 1993: 457f).
In addition, agenda setting does not arise from an 'objective' urgency of a perceived prob
lem. Rather, policy studies have shown that it follows from other factors like an applicable
problem definition, interests and capacities of actors, political majorities, trends, or windows of
opportunity. As a multitude of actors participates in the development of policies, their respec
tive motivations, interests, and stakes influence the outcome. Agenda setting refers to the abili
ty of actors to call attention to problems and their possible solutions. This in turn influences
the direction of the future policy process (Kingdon 1984). In order to become a relevant topic
the constructed problem has to convince influential actors or has to be constructed by them
themselves. There are two principal modes of agenda setting: inside initiation and outside
initiation. While the latter refers to the fact that the political administrative system is ap
proached with perceived problems from the outside (e.g. mass media, experts, population),
inside initiation refers to interest groups setting their problems on the agenda without public
attention (see Jann, Wegrich 2003: 84f).
As should have become apparent by now, problem perception and agenda setting are not
only the starting point of a political process, they are already political processes themselves
which in turn are affected by the preferences, values, and capacities of the relevant actors
(Jann, Wegrich 2003: 84f, 89). Therefore, one objective of this study is to uncover the latent
reasons why a certain problem perception evolves and why a placement on the political agenda
succeeds.
But in order to analyze problem perceptions it is necessary to look at the whole policy
process: Is the problem perception of the main actors contested by others? How does it find
its expression in policy formulation and implementation? Implementation means the adoption
of measures and rules that should facilitate conformist behavior. It “encompasses those actions
by public or private individuals (or groups) that are directed at the achievements of objectives
set forth in prior policy decisions” (Van Meter, Van Horn 1975: 447f, cited in Najam 1995: 7).
The arena of policy implementation also comprises compliance: Compliance refers to the
actual behavior of conforming to a prescription 19 . For instance, the farmer has to pay the water
fees, hence has to comply, while the water administration has to collect the fee and has to
employ sanctions in case of non payment, hence, it has to implement the policies. Therefore,
compliance can be considered to be the result of effective implementation. In order to study
the implementation process, a specific sub school of policy analysis developed. A detailed
discussion of the implementation research approach will follow in the subsequent chapter.
At the end of this section, a limitation to the applicability of policy analysis has to be
mentioned: Policy analysis is conceptualized as an analysis in a democratic context. In particu
lar, analysis is only possible when the processes of decision making are transparent, at least to a
certain degree. It is applied mainly to Western liberal democracies. When analyzing policy in
authoritarian regimes or defective democracies, policy analysis reaches its limits. These limita
19 The fundamental definition given by Oran Young (1979) is: “Compliance can be said to occur when the actual
behavior of a given subject conforms to prescribed behavior, and non-compliance or violation occurs when actual
behavior departs significantly from prescribed behavior” (cited in Simmons 1998: 77).