This lesson discusses tactical considerations for the specific actions or 'tactics' available to stakeholders when implementing non-market strategies. Tactical options depend upon the particular institutional setting in which stakeholders are acting to influence an issue. Traditional news media and new social media can play an importation role in tactical execution. And stakeholders must consider the ethical implications of various tactical opportunities. Our issue analysis and strategy framework can increase the likelihood that an issue is resolve in our interests by helping to idenify what we can do to influence issue outcomes. We must also cosider what we should do.
[the last three sentences of this intro assume that we move 'Ethics' section to here. If we don't, then move these sentences as placeholder in lesson 5 intro.]
Michael--Not sure what to do with what is below (in the box) on this page. Is it stuff that should be kept?
Lesson 2 provided a parsimonious framework that can be used to assess an issue and its likely resolution in the context of diverse and competing stakeholder interests. This lesson considers various strategies that may be used to influence likely issue resolution. Non-market strategic alternatives depend upon the various 'forums' in which a diversity of stakeholders may engage in order to affect issue resolution. And the predominant forum for non-market interaction will evolve with progress through the issue lifecycle.
What depends on it? depends, in turn, on the stage of the issue life the resolution of issues .
A forum is defined by the set of institutional features, both formal and informal, that govern stakeholder interaction. The forum within which stakeholders engage over an issue will change as the issue evolves through its lifecycle. At early stages, stakeholders in an issue may engage with one another directly. Later, an issue may advance into a more formal, public political phase, wherein stakeholders may attempt to influence an issue within the constraints of a formal legislative, regulatory, or legal framework. The various forums can be distinguished according to the tactical opportunities available to stakeholders and the role of the media.
At the end of this lesson, you will:
I'm leaning toward moving everything below this comment to a new page. Does that work for you?
There are four basic types of forums. Three of these are referred to as public political because the outcomes within these forums affect the public as a whole (at least in principle, even if many out comes are of no interest to large portions of the public in practice.) They include thelegislative forum, which refers to stakeholder engagements that occur leading up to the establishment of new laws. The regulatory forumrefers to stakeholder engagements intended to affect rule promulgation and implementation. And the judicial forum refers to stakeholder engagements within the court system.
The private political forum refers to stakeholder engagements intended to affect an issue that is not being engaged within a public political forum. Traditional and new social media may be used by individuals and groups to influence strategies/tactics chosen by other issue stakeholders, thereby affecting the impact of the issue on their own group's interests. Does this mean that the private political forum is the title of the forum itself, unlike the public political forums, which have sub-categories?
Forums can be described by the actions and strategies available to issue stakeholders. Actions and strategies available to stakeholders are a result of the institutional constraints that describe each forum. For example, if an issue is being resolved in the court system, stakeholders are prohibited from interacting with the jury. Strategies for stakeholder engagement will also depend upon the informational regime (TOO JARGONY) unique to each forum. For example, courts will solicit the advice of expert witnesses whereas legislators will invite input from lobbyists. And the media plays a different role in each forum.
Is this a new subheading? -- Private Political Action --
Between the asterisks seem to be notes--or is this something we'll be filling out later?
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These strategies are a result of the Forums are also distinguished by the rules constraining stakeholder participation in a particular forum, And finally, role ... [predominant stakeholders, typical actions, role of media]
There are four different types of forums.
An issue in the private political forum refers to issues for which stakeholders attempt to influence the resolution of an through direct interactions a
e.g. Shell Brent Spar,
The private political forum refers to the set of stakeholder interactions that
An issue in the private political forum is one that refers to those interactions that are (not mediated by government).
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Forums are the venues in which issues are resolved. Resolution of issues is governed by the institutions characterizing the forum in which they are considered.
Non-market issues have the potential to evolve though various stages, which can be understood as a life cycle. Once an issue is identified, interest goups often form based upon their interests in potential outcomes. Some issues will evolve to a legislative stage, where law makers are lobbied to address the issue. Issues resulting in legislation will eventually be administered through a regulatory framework. And finally, in cases where there are disputes over application of that regulatory framework, interested parties may seek enforcement through the regulatory framework and the court system. [Baron Ch.1, p.13-16] This seems to be the same as the information above. Are these your earlier notes?
what is a forum:
The term "forums" refers to the venues in which a diversity of stakeholders engage in order to affect the resolution of an issue of interest. For example, early in the 'life' of an issue, when it is just emerging, stakeholders may engage with one-another primarily though private "political" interactions.
Stakeholders may engage with one another directly, through "private political action." And stakeholders may attempt to affect an issue through "public political action" by petitioning legislators, regulators, or the judiciary to resolve an issue in their favor. The predominant forum for issue engagement will change as it evolves though the issue life cycle (see Lesson 1, "The non-market environment"--I can link to the particular section here. Which page would you like?). And stakeholders will adjust their roles and strategies to be most effective within / congruent with the constraints and opportunities afforded within each new forum. played and strategies played by the various stakeholders will evolve change with the evolving forum.
Stakeholders develop strategies to pursue their interests, which are typically in conflict with the interests of other stakeholders. Stakeholders' perceptions of how an issue affects their interests is determined by their information environment. This information environment is determined, most directly, by the news media. More indirectly, academic institutions also affect the information environment. Importantly, within an informational environment Stakeholders can attempt to influence an issue by shaping the...something here?
There are several different types of stakeholder groups: individuals, advocacy groups, businesses, academia, media, and government, among others. (or should we hold-aside media and academia?)
Stakeholders may attempt to influence an issue through private political strategies and/or public political strategies.
The issue forum depends upon the stage in the issue life cycle in which an issue is: (Something here?
Stakeholders may find different strategies for influence differ across forums : (Something here?
North [1990] [We'll need the full reference for this to put at the bottom of the page] describes institutions as “the rules of the game in a society or … constraints that shape human interaction. In consequence, they structure incentives in human exchange, whether political, social, or economic.” Institutions can be formal or informal. Formal institutions refer to the codified rules that govern interaction. Informal institutions refer to the customs and commonly-accepted practices that govern interaction. For example, {…} An example will be good here. In my head, I see the connection between institutions as in businesses/bureaucracies that have such rules, and institutions as sets of rules, but I think it would be easy to get lost there, just because folks are so used to referring to "institutions" as the businesses/organizations.
There are four basic forums for resolving non-market issues: Private politics (the court of public opinion), the public legislative forum, the public regulatory forum, and the public judicial forum. This seems the same as above. Was this part of your earlier notes?
What will we learn?
By the end of this lesson, you should be able to...
This lesson will take us one week to complete. Please refer to the Calendar in Canvas for specific time frames and due dates. There are a number of required activities in this lesson. The chart below provides an overview of those activities that must be submitted for this lesson. For assignment details, refer to the lesson page noted.
REQUIREMENT |
SUBMITTING YOUR WORK |
Read Chapter X in the textbook. [should include Baron Ch. 8, 10, and 9. If we want to minimize Baron, we could probably get away w/ dropping explicit readings for all other sections (though still providing references to his material; I can specify where attributions are necessary on later readthrough). But this lesson is very insititutional and we might just want to include the three chapters (legislative, regulatory, judicial) for readings.] |
Not submitted |
On-line quiz | This will be submitted via Canvas. |
If you have any questions, please post them to the Comments area that appears at the bottom of this page and all other pages in this lesson. I will check these comments regularly to respond. While you are on a page, feel free to go through the comments and post your own responses if you, too, are able to help out a classmate.
Once laws are established, the formulation of rules for implementation and the application of those rules occurs within a regulatory forum. The outcomes for these issues are determined through regulatory agency rule-making and rule administration. The Environmental Protection Agency (EPA) is one such arena.
Issues engaged by stakeholders within the court system are resolved within the judicial forum. These issues are resolved through court decisions. For example, if lobbyists contested the electricity generation subsidies in court, that would be resolution through the judicial forum.
In addition, stakeholders may seek to influence an issue within the private political forum. Private political actions, such as protests and boycotts, are not intended to result in new legislative, regulatory, or judicial constraints. Instead, private politics can influence issues by changing the payoffs to the choices facing stakeholders in non-market issues. Some examples of private political action can include blogging that turns viral, phoning or commenting on a company's website, and Twitter campaigns, to name a few.
Non-market issues often evolve systematically through the various forums for non-market action. Early in the life-cycle of an issue, stakeholders will be learning about and assessing the private costs and benefits of alternative positions and issue outcomes. At this stage, stakeholders may engage in private political action in order to influence those payoffs, to themselves and other stakeholders. While the issue is just emerging, the implications for all potential stakeholders are not fully understood. Consequently, the issue is unlikely to be affected from constraints that only arise within formal public political forums–legislative, regulatory, or judicial.
The potential for public political action increases as the costs and benefits of an issue become more clearly defined. First, stakeholders may attempt to create a framework for public governance through legislative action. If legislation is created to address an issue, regulatory action will be required to establish rules for public governance. These regulations define how regulatory authorities commit to resolve conflicts that are not resolved through market-based exchange. Finally, some stakeholders may conclude that a conflict has not been resolved through regulatory administration. In this case, they may decide to improve their outcome through court action.
Private and public non-market forums represent a broad range of opportunities for non-market action. The remainder of this lesson discusses tactical options specific to each of these non-market forums.
Private political action can influence stakeholders by changing the payoffs to non-market action. As discussed in lesson 1, market-based exchange often has non-market consequences. And affected stakeholders have incentives to influence the incidence of these non-market effects. Private political action can be used achieve relatively passive objectives, such as informing key stakeholders. And private political action can also be use for more active campaigns, such as boycotts. Various tactics can be employed to change stakeholder payoffs through private political action.
Letter writing campaigns can be used as a private political tactic to affect non-market issues. Letter writing can influence a non-market issue by providing information that can change stakeholders’ behavior. For example, advocacy groups and universities use letters to build support and solicit donations. And neighborhood groups write letters to encourage residents to monitor and report suspicious activity. Can you think of an energy issue that some stakeholder attempted to influence through private political letter writing?
Protesting or picketing can also be used to affect non-market issues. The First Amendment to the United States Constitution gives people the right to peaceably assemble:
“Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances.”
Peaceful assembly for protest can lead to a change in stakeholder behavior by disrupting production and informing the broader public about an issue. For example, a public health advocacy group that believes a particular plastic is hazardous may organize a public demonstration to demand a change in bottled water packaging. Beverage company executives may elect to make costly supply and production process modifications if they believe consumers will be influenced by the protest. Can you provide an example of an energy issue that was affected through private political protest?
Media campaigns can also be used to exert private political influence. Similar to letter writing and protest campaigns, stakeholders can use various media channels to share information and motivate action. For example, a child advocacy group concerned with toy safety can encourage manufacturers to avoid lead-based paint, even if they do not propose legislative restrictions. The group can write editorials or appear on news programs to inform parents about products containing lead-based paint. Companies may unilaterally improve product safety hazards if they believe their sales are at risk.
Using today's technologies, people can even create and upload videos about their position to sites like YouTube. The one below is one such example.
Governments and regulators can have a substantial impact on organizational interests. (fn: For example, corporate leaders rate governments second only to customers in their potential to impact enterprise value, see Managing Government Relations for the Future: McKinsey Global Survey Results, February 2011 (https://www.mckinseyquarterly.com/Managing_government_relations_for_the_... [1] downloaded June 20, 2011)) Many stakeholders seek to influence issues by establishing formal political institutional constraints. And the tactics they use are mediated through formal institutional settings. Because these institutional settings are established to ensure public access to the political process, they are referred to as ‘public political’ forums.
Three public political forums are defined by the loci of key decisions (political bargains?) determining the constraints that govern non-market issues. The legislative forum comprises the set of stakeholder engagements that can result in new laws. Many legal statutes, however, direct a regulatory agency to promulgate rules specifying how those statutes will be applied in practical situations. The regulatory forum refers to those stakeholder engagements that determine regulation promulgation and administration. Finally, stakeholders may attempt to resolve issues through courts when existing laws and regulations do not adequately resolve associated conflict. The judicial forum refers to those stakeholder engagements intended to influence issues through the court system. Stakeholders can utilize a variety of tactics within these forums to influence issue outcomes.
The legislative forum: (B ch8)
Stakeholders engage in non-market activities to affect issues that are not resolved through cooperative exchange. One way to affect those issues is by establishing laws. Laws delineate property rights by assigning the costs and benefits of an exchange to particular stakeholders. Thus, stakeholders engage in the legislative forum when they attempt to influence issues through new and revised legal constraints.
Legal constraints can be implemented at the national and/or sub-national level. In the United States, a bi-cameral legislature establishes federal law. Thus, stakeholders must employ tactics within both the House of Representatives and the Senate in order to have an influence in the legislative forum. Most US States also establish laws through bi-cameral legislatures.[1] Counties and local municipalities (e.g. cities and townships) may also establish ordinances that can affect the incidence of costs and benefits associated with non-market issues.
Some stakeholders are distinctive of issues resolved in the legislative forum. Legislators, obviously, are distinctive of the legislative forum. The elected officials who vote on proposed legislation may be influenced by a variety of stakeholders and interests. At the local level, a Board of Supervisors will typically serve the legislative function. In any case, it is important to understand the particular officials driving legislation at issue. In addition, it is important to consider the key staffers that legislators rely upon for research and advice.
Legislative committees are also distinctive of the legislative forum. Typically, much legislative progress occurs within the committee structure. For example, in the US Senate, a standing Committee on Energy and Natural Resources will coordinate much of the deliberation on laws related to energy and resource issues. The Senate has another 19 standing committees for handling other types of issues.[2] And these committees may solicit input from public panels and forums.
Finally, legislators are also supported by legislative agencies and services. For example, within the US Federal Government, the Congressional Budget Office prepares analyses and reports used by House and Senate Committees within their policy deliberations.
Individual legislators are particularly important stakeholders within legislative forums. And their staffers, legislative committees, and supporting legislative agencies and services are influential agents within this forum. As a result, various stakeholders will attempt to influence an issue by interacting with legislators and other influential legislative groups. Stakeholders influence an issue within the legislative forum through lobbying, providing legislative testimony, affecting electoral support, public advocacy, and judicial action as a legislative tactic.
Lobbying refers to direct, private engagement of elected officials. There are several bases for rapport between stakeholders and legislators. Legislators may value the technical information provided by stakeholders. For particularly technical issues, legislative staff may lack the capabilities necessary for sophisticated analyses. Legislators also value political information that stakeholders can provide. Such information is useful to legislators who want to understand constituents’ interests and/or are seeking reelection. Providing political and technical information forms the basis for interactions to influence legislative decision-making and obtain valuable information.
Stakeholders can directly engage with elected officials through public testimony. The legislative process includes a number of opportunities for public input. Legislative committees typically schedule public hearings to solicit comments on proposed legislation. Legislative committees will also solicit written testimony from interested stakeholders. Finally, legislative committees may even coordinate workgroups to formulate recommendations for pending legislation.
Stakeholders can influence issues by providing electoral support. Stakeholders often provide financial support for legislative campaigns to increase the likelihood that politicians with shared interests are elected. Stakeholders can also provide support in elections by advocating for particular candidates with shared interests.
Stakeholder groups can also influence legislators through public advocacy for issues of interest. In this case, Stakeholders are attempting to influence legislative decision-making through conversation with the electorate. Legislative candidates may be influenced if they believe prospective voters share a particular set of interests.
[1] Nebraska has a unicameral legislature and is the one exception to this rule. (http://nebraskalegislature.gov/about/history_unicameral.php [2] dowloaded June 26, 2011.)
[2] http://www.senate.gov/pagelayout/committees/d_three_sections_with_teaser... [3]
The regulatory forum: (B ch10)
… define/discuss
- issues addressed (i.e. via regulation promulgation and administration)
- stakeholders (… + regulators). stakeholder roles in decisionmaking
… typical tactics (informational campaign, regulatory advisory group participation, …)
- participating in rulemaking – serving on committees, providing public comments / testimony
- negotiating administration
[introduction] Even in cases where laws are established to resolve non-market issues, they are often insufficiently precise for practical application. Regulators may be required to codify rules clarifying how laws will be applied. And because even the best-written regulations cannot anticipate every possible situation, regulators will retain some degree of discretion in regulatory administration. Stakeholders can engage in the regulatory forum to influence rulemaking and regulatory administration.
[what is rulemaking?] Rulemaking refers to the quasi-legislative activities of various government agencies. Legislatures often promulgate relatively vague legal requirements, proscriptions, or operability standards. (??? Insert example of ambiguously-stated law? E.g.Clean Air Act ???) Regulators must devise rules to clarify how those laws will be applied in practice.
Governmental organizations employ various procedures for rulemaking. And even within the same country, different regions, states and municipalities may establish unique institutional constraints to govern rulemaking. Generally, regulations are promulgated and administered through a political process exhibiting some degree of stakeholder input.
Within the US, for example, the Administrative Procedures Act of 1946 (APA) governs federal rulemaking.[1] The Act requires publication in the Federal Register the legal authority and terms for substantive rules proposals. Stakeholders are given “an opportunity to participate in … rulemaking through submission of written data, views, or arguments with or without opportunity for oral presentation.” The rule-promulgating agency is required to consider relevant stakeholder input and “incorporate into the rules adopted a concise general statement of their basis and purpose.” The agency must publish the final rule at least 30 days prior to its effective date.
The APA provides for several exceptions to this rulemaking procedure. Agencies are not required to follow this rulemaking procedure for interpretive statements of existing rules. They are not required to follow this procedure for rules specifying the agency’s organization and operation. And they are not required to follow these procedures when “the agency for good cause finds … that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.” In addition, the requirement for 30 day advance publication of new rules is not necessary when the rule change “grants or recognizes an exemption or relieves a restriction.” It is important to understand the rulemaking procedures determining opportunities for stakeholder influence in the regulatory forum.
[what is regulatory administration?] Regulatory administration refers to monitoring and enforcement of promulgated regulations. Regulators execute these obligations through routine regulatory administration and the quasi-judicial processes established for formal adjudication.
Regulatory administration refers to the routine activities necessary to ensure regulatory compliance. In cases where stakeholder activities are regulated through a public registry, for example, regulators will need to process applications and award permits to engage in the regulated activity. Regulators may also need to monitor regulated activities by conducting inspections and maintaining updated records. And they may assess and collect penalties for regulatory violations. Finally, regulators will also gather and share information through various informal communications and engagements with the regulated community and other public stakeholders.
Regulatory administration also includes formal adjudication processes established to award permits, determine violations, and assess penalties. In many cases, regulations specify a quasi-judicial framework for administration. For example, many oil and gas producing states establish a commission to encourage responsible stewardship of state energy resources. A paid civil servant who manages routine regulatory administration typically leads these commissions. For more substantive and less routine commission decisions, a group of elected or appointed commissioners will meet on a routine basis. (??? Could also illustrate w/ any public utility commission. Need to dig into a particular one to get the terminology correct. ???)
[how can stakeholders influence key decisionmakers in the regulatory forum?] Several attributes distinguish regulators from key decisionmakers in other public political forums. Whereas legislators have a direct relationship with the electorate, regulators’ relationship is indirect. The heads of regulatory agencies are seldom elected; they are more likely to be political appointees or career civil servants. This indirect relationship with the electorate means regulators will be less responsive to electoral pressure.
Instead, regulators may be more responsive to research and stakeholder participation in rulemaking. Whereas legislators have greater latitude to pursue their own and various stakeholders’ interests in policymaking, regulators are more constrained by statutory and procedural obligations. Incorporating stakeholder research and comments into the rulemaking process is often used to demonstrate that regulators have fulfilled those obligations. And in times of budgetary pressure, regulators may substitute stakeholder input for research that they do not have resources to undertake. Consequently, regulators may be more responsive to substantive research and stakeholder input to policymaking, as compared lobbying based on political pressure.
In addition to formal procedural opportunities for stakeholder input, regulators may also coordinate informal and ad hoc advisory groups. Participation in these work groups can help to establish ongoing relationships for information discovery and information sharing. Of particular importance, these groups may be given the task of establish a framework for evaluating stakeholder input. As a result, regulator-sponsored work group participants may exert significant influence in the regulatory forum.
Finally, stakeholder-sponsored coalitions may organize independently in order to influence key decisionmakers in the regulatory forum. Stakeholder-led coordination is useful when regulators do not organize stakeholders. Smaller, less-influential stakeholders may benefit by participating in groups to pool authority. And perhaps more importantly, stakeholder-led coordination reduces the cost to regulators of aggregating preferences and opinions of seemingly diffuse stakeholder groups. In practice, however, influence efforts of stakeholder-led groups are at greater risk of being ignored if regulator buy-in is not secured a priori.
[1] see Public Law 79-404, Administrative Procedures Act (or US Code Title 5, Part I, Ch. 5, Sub.Ch. II, para. 553.)
The judicial forum: (B ch9)
… define/discuss
- issues addressed (i.e. via court decisions), role of precedence; note different from judicial action as tactic in legislative forum, insofar as judicial forum is about having the courts resolve issue uncertainty via court decision
- stakeholders (… + judiciary). stakeholder roles in decisionmaking
… typical tactics (legal representation, negotiated settlements)
- filing a case
- negotiating a settlement
… define/discuss media objectives, constraints, and role in private and public politics
- why is media important when thinking about non-market action (i.e. section motivation)
- model of media behavior – objectives, constraints
- role of media in non-market issues
In this lesson we introduced the concept of....
At this point, you should be able to perform the following tasks:
If you log on to Canvas you will find an on-line multiple choice quiz, Quiz #X. Complete that by the date noted on the calendar tab in Canvas.
You have reached the end of Lesson X! Double-check the list of requirements on the first page of this lesson to make sure you have completed all of the activities listed there.