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Social Policy Notes for an Analytical Framework

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Social Policy Notes for an Analytical Framework ISSN 1564-4162 social SERIES policy Building consensus and establishing compacts in social policy Notes for an analytical framework Carlos F. Maldonado Valera Andrea F. Palma Roco 179 Building consensus and establishing compacts in social policy Notes for an analytical framework Carlos F. Maldonado Valera Andrea F. Palma Roco This document was prepared by Carlos Maldonado Valera, Social Affairs Officer in the Social Development Division of the Economic Commission for Latin America and the Caribbean (ECLAC), and Andrea Palma Roco, consultant in the Social Development Division of ECLAC, in the framework of the project “Social covenant for more inclusive social protection” (GER/12/006) executed by ECLAC in coordination with the German Agency for International Cooperation (GIZ) and financed by the Federal Ministry of Economic Cooperation and Development of Germany (BMZ). The authors are grateful for the contributions and comments they received from Martín Hopenhayn, Rodrigo Martínez, María Nieves Rico and Ana Sojo and would also like to thank Daniela Huneeus, Claudia Robles, Cecilia Rossel and Luis Hernán Vargas. Also considered in the paper were comments made by Laís Abramo, Fernando Filgueira, Sonia Fleury, Christof Kersting, Fabián Repetto and Göran Therborn at the international seminar “Social covenants for more inclusive social protection: experiences, obstacles and opportunities in Latin America and Europe”, held at ECLAC headquarters in Santiago, Chile, on 20 and 21 March 2013. The opinions expressed in this document, which has not undergone formal editorial review, are the sole responsibility of the authors and do not necessarily reflect the views of the Organization. United Nations Publication ISSN 1564-4162 LC/L.3660 ORIGINAL: SPANISH Copyright © United Nations, June 2014. All rights reserved Printed in United Nations, Santiago, Chile Member States and their governmental institutions may reproduce this work without prior authorization, but are requested to mention the source and inform the United Nations of such reproduction. ECLAC – Social Policies Series No. 179 Building consensus and establishing compacts in social policy... Contents Summary ................................................................................................................................................... 7 I. Introduction: Why are compacts important? .............................................................................. 9 II. A toolkit for analysing the emergence of social compacts and devising roadmaps to establish them ........................................................................................................................... 11 A. Classic pluralism and interest group theory ........................................................................... 13 B. The various neo-institutional approaches ............................................................................... 14 1. Neo-institutionalism associated with rational choice theory .......................................... 15 2. Historical neo-institutionalism ....................................................................................... 19 3. Organizational neo-institutionalism ............................................................................... 23 4. Cognitive/constructivist neo-institutionalism ................................................................ 26 C. Strengths and weaknesses of the various paradigms and questions on the emergence of compacts in the case of social policy .................................................... 30 III. Towards the identification of basic elements for analysing the emergence of compacts and consensuses in social policy ............................................................................. 33 A. Actors ..................................................................................................................................... 35 B. Practices and strategies .......................................................................................................... 38 1. Types of mediation within the State and between the State and actors and coalitions in conflict ................................................................................................ 40 2. Representation of sectoral or corporatist interests outside formal decision-making structures and procedures ................................................................... 41 3. Use of informal negotiation mechanisms ....................................................................... 41 4. Configuration of actors, formation of coalitions and strategies for negotiation and mobilization of resources ..................................................................... 42 5. Crafting of proposals, discourses and rationales around the possible alternatives and use of technical arguments to justify interests at stake ........................ 42 6. Management of media and interaction with public opinion ........................................... 43 7. Allocation and sharing of political costs and dividends of reaching an agreement or consensus ................................................................................................ 43 3 ECLAC – Social Policies Series No. 179 Building consensus and establishing compacts in social policy... C. Factors .................................................................................................................................... 44 1. Bureaucratic and previous policy or decision inertias (status quo) ................................ 44 2. Existing norms and procedures for changing the status quo .......................................... 45 3. Correlation of forces among the main political actors in the various levels of government and electoral and legislative majorities ....................................... 45 4. Tensions and mobilizations around the allocation and redistribution of resources (social, economic and fiscal) .......................................................................................... 46 5. Events that alter the scope and perceptions of economic, political and social priorities in a given moment and historical context ....................................................... 47 6. Resources and capabilities available in a given context/moment in a public policy sector (technical, political, financial and communications) ................................ 47 D. Conceptual frameworks in social policy ................................................................................ 48 1. Views on the role of the State, the community, families and individuals in generating social welfare ........................................................................................... 49 2. Notions about citizenship and democracy ...................................................................... 51 3. Views on legitimate means and mechanisms for achieving acceptable levels of social welfare ................................................................................................... 51 4. Concrete approaches, methodologies, techniques and instruments for coordinating social welfare and social protection mechanisms ..................................... 52 E. Some dialectic issues typical of social welfare and protection policies in Latin America in recent years ................................................................................................ 54 1. Guarantee social rights up to what point? A political and/or economic decision .......... 54 2. Conditionality, redistribution of resources through (non)contributory systems and incentives or disincentives to work and individual effort .......................... 55 3. Targeting as a means or an end? .................................................................................... 56 4. Protect whom? The priority groups and objectives in recent social protection reforms .......................................................................................................... 58 IV. Questions for analysis and preliminary findings ....................................................................... 59 A. Some questions for analysing the emergence of consensuses and compacts ......................... 59 1. What favourable elements signal open policy windows of opportunity for a consensus or compact? .......................................................................................... 59 2. Who are the veto players whose consent is indispensable? ........................................... 60 3. Is the social policy sector going through a phase of crisis and questioning, or is it showing signs of stability and strong continuity inertias? .................................. 61 4. In a given moment and context, what policy alternatives and what conceptual frameworks for social policy influence how social reality and public action are perceived? .................................................................................... 61 B. Some preliminary findings from reforms where a compact was possible .............................. 63 Bibliography ............................................................................................................................................ 65 Annex ....................................................................................................................................................... 69 Series Social Policy: Issues published ...................................................................................................
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