The application of Multiple Streams model in Researches in Brazil
Ana Cláudia Niedhardt Capella/UNESP
Felipe Gonçalves Brasil/UFSCar
Abstract
The study of the policy process as part of the widest field of policy science encompasses
a whole set of complex elements. After a long period predominated by studies on policy
cycle model, criticisms and limitations about this perspective resulted in a search for
“better theories” (Sabatier, 1999). As consequence, in mid-1980, contributions to the
development of other perspectives, such as the models proposed in 1984 by John
Kingdon (multiple streams model), Sabatier and Jenkins-Smith in 1988 (advocacy
coalition framework) and Baumgartner and Jones in 1993 (the punctuated-equilibrium
model) brought a new life to this field. These are the most important theoretical lenses
that advanced the studies of the policy process since the application of these new
analytical models are gaining prominence not just in the United States and Europe, but
worldwide. In Brazil, although the studies on public policies have experienced moments
of strong expansion during the last decades (Marques and Faria, 2013), there is still a
lack of studies about the application of these models. The main objective of this paper is
mapping and building a national database of dissertations, thesis, periodicals and
journals publications that have applied John Kingdon's multiple streams model (1984),
in Brazil between 2003 and 2013. Having this raw database built, this proposal seeks to
advance in the analysis of publications that have applied the Multiple Streams model. To
provide more than an assessment of the use of this model in Brazil, this paper analyze
methods and forms of application, the interaction with other models and theories as well
as sectorial policies that were objects of these studies. As a result, we hope to
demonstrate how the Multiple Streams model is being used to explain Brazilian policies
in a context outside of North America or Western Europe.
Keywords: Multiple Stream, Brazil, public policy
1
Introduction
The study of the Policy Process as a part of the widest field of Political Sciences
involves a complex set of elements like actors and their preferences, interests and
perceptions, characteristics of the institutional context, specificities of the sectorial area
and the multiplicity of projects and programs that comprise a specific policy. Thus, the
long periods required to the analysis and understanding of governmental actions effects
still represent a challenge for the analysts. One of the first theoretical-methodological
resources in the study of such policies, under the perspective of policy sciences,
consisted in the simplification of the policy process through the fragmentation of its
contents into analyzable stages (Lasswell, 1956). The perspective of the stages (or
phases) is based on the idea that all the policies would pass through the same stages.
This perspective enabled not only the simplification of the complex policy process - by
outstanding their core aspects (formulation, implementation, evaluation) - but also
facilitated and boosted the development of the public policy studies (De Leon, 1999).
This first period of theoretical development is also characterized by the centrality
of the debates around the decision-making processes. Public Policy analysis developed
as studies of rational ways to improve decision-making processes through scientific
approaches, which could guide the decision-maker through safe and efficient
techniques. This perspective - that prevailed during the 1960´s, also known as
‘analycentric turn’ (Dunn, 1994) - favored a rational view of the decision-making process
and enabled the understanding of policy making as a logical, technical and neutral
process.
The approaches based on the incrementalism criticized the rational perspective
and the idea of policies as results of sequential and linear stages. Even when different
approaches pointed to distinct ways of conceiving the nature of the decision-making
process, the debates between rationalist and incrementalist analysts ended up
relegating the studies on public policies to simple investigations of the decision-making
process. Therefore, until the end of the 1970´s - the “classical period” of public policies
studies (John, 2013) – the explanations based on the idea of stages or cycles focusing
the decision-making process dynamics dominated the field of policy analysis. From the
mid-1980s, however, the "search for better theories" (Sabatier, 1999) contributed to the
development of other theoretical perspectives. The centrality of the studies about
decision-making process gave room to approaches that somehow highlighted the
influence of ideas, language and argumentation on the policy process, enabling the socalled argumentative turn (Fischer and Forester, 1993). The “synthetic approaches”
(John, 1998) aimed to provide elements to the study of the public policies by considering
their complexity, that is, taking into account the multiple aspects which may influence a
2
policy. These approaches were successful in synthetizing the knowledge avaliable at the
public policy field, especially the concepts related to institutions, nets, social-economical
processes and the role of the ideas. John (1998; 2003) identifies three main synthetic
approaches which may provide answers to the field of public policies: the Multiple
Streams approach – proposed by John Kingdon in 1984, the Advocacy Coalition
Framework presented by Sabatier and Jenkins-Smith primarily in 1993 and the
Punctuated-Equilibrium Theory developed by Baumgartner and Jones in 1993. Such
new theoretical perspectives, largely complementary, brought new perspectives to the
field of public policy in the last decades. Such models not only supported the organization
of researches related to themes like policy changing or the participation of the actors,
their ideas, beliefs and policy-making, but also stimulated new researches. These three
approaches were tested in several studies and, by focusing several sectorial policies in
different countries; they have contributed to enlarge the knowledge about the policy
process (Weimer, 2008; Nowlin, 2011). The researches based on such models in
different realities have resulted in extensions and reviews - properly documented in the
international literature – also many times debated among their own authors. In a recent
review about the development of the theoretical field of public policies, John (2013)
points that the three approaches currently constitute the ‘state of the art’ of this field and
there have been only minimal theoretical advances so far.
In Brazil, although public policies studies have been through a period of strong
expansion in the last decades (Marques and Faria, 2013), there is not a systematic
investigation related to the application of such models. Some studies presented and
discussed some recent theoretical formulations related to the field of public policies, such
as Faria´s (2003), Capella´s (2006), and Souza´s (2006). However, there is not any study
related to the adoption of these models as explanatory mechanisms in the Brazilian
public policy research. Thus, this paper aims to take a first step by trying to identify and
systematize the studies based on the Multiple Streams Model that were developed in
Brazil from 2003 to 2013. For this purpose, the following section will present the
methodological procedures adopted in this study. The analyses about the incorporation
of this model into the Brazilian academic production will be next presented,
encompassing MSc dissertations, PhD theses and academic journal publications.
Finally, the main findings of this research will be highlighted, pointing out the evolution
on the use of Multiple Streams Model by the Brazilian researchers throughout the last
decade, as well as the different areas of knowledge which have taken over such
theoretical perspectives and the main policy areas investigated with the support of this
model.
3
1.The policy process studies in Brazil
The development of the field of policy studies in Brazil has been the subject of
intense debate in recent decades. Several Brazilian authors pointed to similar
characteristics in the institutionalization of the field in Brazil, based on the researches
that shows he growing attention to this area, or based on studies that depict changes in
themes and methodological approaches of the field. (Melo, 1999; Faria, 2003, 2013;
Arretche, 2003; Souza, 2007; Farah, 2011, 2013; Marques, 2013). The policy sciences
emerged in the United States as a subfield of political science (DeLeon, 2008; Sabatier,
1999), and studies of public policy in Brazil started from a reflection based on a generalist
perspective focused on the role of the State, leaving aside issues relating to the
formulation and management of policies
(Melo, 1999).
Discussing the Brazilian
intellectual production in the field of public policy analysis Melo (1999, p. 60) says that
"the history of Brazilian political thinking in this century is mixed, to a large extent, with
the story of a reflection on the national state". The several and varied studies on
populism, corporativism, authoritarianism and types of political regimes, show the central
point of intellectual reflection was, for decades, the analysis of the state and its
relationship with society. Policies were best understood as a result of these conflicts and
interactions between actors. Resuming Melo’s argument, Faria says:
“In its beginning, political science considered public policy almost exclusively
as outputs of the political system, which justified the fact that the attention of
researchers have focused initially on inputs, that is, the demands and joints of
interest. In other words, before policy analysis was recognized as a subfield
in the discipline, the emphasis of the studies fell as largely in the formation
process of public policy, which appears to reflect the privileged status that
decision-making processes have always enjoyed next to the professionals".
(Faria, 2003:22)
As pointed out by Melo (1999) and Faria (2003), Celina Souza states that the
emergence of public policies as an area of knowledge and academic discipline in Brazil
follows a European tradition of studies and research in this area. Different from the
United States, Brazilian studies followed the model of continental Europe, focused more
on the analysis of the state and its institutions than in policies produced by governments
(Souza, 2007). This intellectual tradition predominated in Brazil until the late 1970s when,
according to Melo "this reflection on the Brazilian State as a monolithic entity, will
gradually give way to a perspective (...) that refuses to thematize the state of globalizing
way - or the role of the state" (Melo, 1999, p.61).
Analyses based on historical and sociological roots, characteristics of studies on
the social and political construction of the nation-state, started to give way to analysis
with empirical bases discussing formulation and implementation of specific policies
areas. Still under construction, the policy studies in Brazil is recent as an academic field,
4
and incipient when compared to development of other nations. The institutionalization of
the field of public policy in Brazil is characterized by specific issues such as the lack of
interest from the social sciences for the process of government's management and the
development of techniques and methods of policy analysis by governments themselves,
through government research institutions: "Anchored in a more rigorous empirical basis,
this first generation of studies introduced an empirical agenda in the debate around
classical themes such as authoritarianism, clientelism and corporatism" (Melo, 1999
p.72).
Although this empirical agenda, which began in Brazil during the 1970s, this first
phase of studies bears a strong tradition arising from previous studies, mainly from the
1960s: an excessive enchantment by the state as a research subject. The empirical
improvement advances in understanding the expansion of the state through the study of
economic and industrial policies (directed to national development) as well as the study
of state bureaucracies and decision-making were still attached to theoretical frameworks
already familiar to political science´s scientists, as corporatism and authoritarianism.
Empiricism grows in the late 1970s to mid-1980s through the study of social policy
inserted in the international debate about the welfare state, it´s concepts, potentials and
limitations. By analyzing the political and social spending, studies begun to adopt an
analytical and comparative perspective, seeking to map actors and policy stakeholders,
social policy impacts among other issues. The advance of this kind of empirical studies
gain room among the generic studies about the state, and encouraged a shift of the
research agenda on public policies. Sectoral policies, especially social policies, security,
health, welfare, gain space in the context of social spending cuts in the mid-1980s.
The democratization process and the Federal Constitution of 1988 have opened
a new agenda for policy analysis in Brazil, focused mainly on the relationship between
democracy and the production of policies. New actors and new arrangements in the
relationship between society and the state expanded not only the study of public policy
as redefined and importance of public managers and government bureaucracy in Brazil.
Farah (2013) takes up important authors as Skocpol (1985) and Theodolou (1995) to
note the recognition’s change in of the role of the public administrator. This author
pointed a real change about the dichotomous concept between administration and
politics that presupposes a clear division of functions. Farah says that "The public
administrator is now conceived as a policy maker and not as mere executor." (Farah,
2013, p.101) The objectives of public administration discipline became no longer the
preparation and training of civil servants to work inside the state. Reoriented, public
administration discipline began to prepare students for larger activities involving
formulation, implementation and evaluation of public policies.
5
The recognition of the state as an important actor and the consequent importance
of government bureaucracy (beyond of the execution processes) inserted the field of
public administration in the institutionalization of public policy in Brazil. The 1990s based
on a new democratic context; decentralization and with a public participation forums
show a new paradigm involving politics and public administration. These two sides,
historically understood with different goals and performances, come to share objects of
study and to work together on analysis and management of public policy. Farah (2013)
"Recognition in the Brazilian case was encouraged by post-democratization
challenges and the issues arising from the transformation of the state and the
public in the country. Studies of particular public policies reflect a demand for
reflection on the "new policies" of the federal level, but also, increasingly, from
the local level. The post-1988 decentralization brought with it huge challenges
formulation and management of public policies at the local level, these
challenges that ended up reflecting on the research agenda and research in
the field of public administration." (Farah, 2013: 120)
Celina Souza (2007) and Farah (2013), refers to the process of Brazilian
democratization as a propellant factor to the growing of the field of public policies. In one
hand, the changes in the state's role provided political openness, participation
opportunities for new actors and increased performance of local governments. On the
other hand, the restrictive policies reflect the political and economic conditions. It began
to require efforts in understanding "how to do and how to think" policies in a historically
unequal country. Arretche (2003) says that the transformations in post-1988 Brazilian
society aroused interest in the area of policy process, mainly connected on federalism
issues of centralization and decentralization. The decentralization of power, the
autonomy and accountability of federal entities - especially the Local level - linked the
debate between policy process and social participation in Brazil, post-democratization.
“The growing interest in this issue is directly related to recent changes in
Brazilian society. The intense process of innovation and experimentation in
government programs result in much of the electoral competition, the
autonomy of local governments as well as state reform programs, as well as
the opportunities to participate in various sectoral policies is the segment
access traditionally excluded for elected office, whether by numerous new
interest representation modalities aroused not only a huge curiosity about the
"micro" operating mechanisms of the Brazilian state, but also revealed
widespread ignorance about its operation and effective impact. "(Arretche,
2003: 07)
The various experimentations in programs and policies led to a 'boom' in studies
of sectoral and local policies in Brazil. Consisting basically from overly descriptive case
studies in health, Education, social security, among others, "these new issues of the
Brazilian political agenda are, paradoxically, a problem for the development of the
research agenda in public policy." (Arretche, 2003:08). The large increase in case
studies in specialized sectoral areas with low methodological rigor, excessive
description; Low analysis and thematic dispersion, caused a horizontal and
6
uncoordinated growth of studies on public policy. Reflecting this academic production,
Souza (2007) and Farah (2013) point to the difficulties in the systematization of
knowledge, as well as for vertical construction inability field that enables referencing
previous studies and the development of comparative analysis, essential for the
development and consolidation of the field of public policy in Brazil.
The interdisciplinary field of public policy, however, provided approaches that
overcome disciplinary boundaries previously produced by traditional institutions of
knowledge. According to Faria:
“The development of new technologies, the provision of various incentives for
interdisciplinary work, the reform of academic research centers and the
creation of new institutions producing knowledge, sheltered in government, in
non-governmental organizations NGOs and think tanks, have gradually
redundant the intensification of interdisciplinary research "(Faria, 2013: 11)
The inherent interdisciplinarity of public policy analysis, not just as a subject but
also as an area of practical action both within the government and in societal, has
experienced growth and legitimacy in recent decades. First, the government field a return
to state planning and the need for information for production and monitoring of public
policies in each and the relationship between the three levels of government, Faria also
attentive to the importance of this growth within society. Interest groups, NGOs and
organized actors in the new spaces of popular participation begin to implement and
produce knowledge and insights into the policy analysis. (Faria, 2013) Already in the
academic, Brazil experienced the emergence of several courses of graduation and posgraduation in the area with different nomenclatures as:
public policy, public
administration, public policy management, public administration and social management
(Coelho, Pires, Fonseca, Vendramini, Midlej e Silva, 2014). Played mainly by the
emergence of new federal institutions of higher education and increase the supply of
places to the public and free education programs, the initial scene that had thirteen
existing courses until 1995 was transformed in the next few years, until 2012, to an offer
with 76 undergraduate programs - bachelor and technicians - in the public field. (Coelho,
Pires, Fonseca, Vendramini, Midlej e Silva, 2014) Added to this factor, the emergence
of courses and research areas in public policy analysis in postgraduate programs in
various areas, especially in the social sciences and political science, but also in
management programs, Law, Urban Planning, Public Health among others. (Faria, 2013)
Currently, the field of public policy in Brazil has a solid institutionalization in
undergraduate and graduate programs with wide geographical coverage and inserted
into various programs coming from related areas. The challenges for the analysis of
public policies in Brazil, however, are still closely related to the history and trajectory of
this field in the country. Farah (2013), to resume statements about the research and
7
production of public policies in the field of Public Administration, points to important
aspects that need to be overcome by the literature. (Souza, 1998; Pacheco, 2003)
According to the author five weaknesses can be highlighted:
a)
b)
c)
d)
e)
The occurrence of low utilization of recent foreign literature;
Low methodological rigor, with a predominance of the use of poorly
designed methodologies and poorly suited to the study objects;
Academic production with normative bias, directed to practical issues to
the detriment of theoretical and empirical development
Disregard of previous research efforts, with reduced possibility of
collective learning by cumulative knowledge
Thematic dispersion. (Farah, 2013: 121)
Marques (2013) analyze public policies in political science and defines three
important boundaries for the progress of studies on public policies: The first concerns
the deepening of studies of the relationship between executive and legislative branches,
its actors and acting processes. "Building bridges between this analytical tradition and
studies on the functioning of bureaucracies and internal dynamics of the State seems to
me to be one of the most important frontiers for policy studies in the country." (Marques,
2013: 45) The second challenge is to deepen the studies on the effects of institutional
arrangements for the formulation and implementation of policies. The relationship
between the political processes, organizations and political environments is still a gap in
national studies. The third and final border indicated by Marques concerns especially in
the implementation process and the role of bureaucracies and institutional changes.
By analyzing the history of public policy field consolidation in Brazil, still new and
under construction, it is possible to make causal relationships between current and future
challenges of the field with the dissipated and interdisciplinary way that this
institutionalization process occurred. Since then some of these identified challenges
have been inserted in the research agenda on public policies by new researchers.
Among them we can mention the studies on the role of bureaucracy in policy
implementation (Lotta, 2012, 2015); advances in network analysis of policies and
different institutional environments (Marques, 2012, 2014) the application of theories and
policy-making analysis models and changes in the government agenda in Brazil.
(Capella, 2015).
8
2. Methodology
To analyze the use of John Kingdon´s multiple streams model, this research
(qualitative nature) defined a "documentary corpus" able to reflect Brazilian academic
production. The “documentary corpus”- set of documents submitted to the testing
procedures (Bardin, 2011; Bauer and Aarts, 2014) - consists of master's dissertations,
PhD theses and articles published in journals during the years of 2003 and 2013.
For the data collection from academic publications (dissertations and theses), we
considered the use of the Banco de Teses da Coordenação de Aperfeiçoamento de
Pessoal de Nível Superior (CAPES) [Theses Database of the Coordination of
Improvement of Higher Education Personnel] and Biblioteca Digital Brasileira de Teses
e Dissertações (BDTD) [Brazilian Digital Library of Theses and Dissertations]. The
choice of both digital databases was made by considering that they complement each
other. Once the objective was to encompass the largest possible number of researches,
the searches were deepened with the access to the digital libraries of theses and
dissertations from the universities with highest incidences in the preliminary results from
each model. The analysis also encompassed the main national journals available at
Scientific Electronic Library Online (SciELO). Given these preliminary data, a second
analysis was performed precisely directed to the digital libraries from the most cited
Brazilian universities: University of Brasilia (UnB), Getulio Vargas Foundation (FGV),
Federal University of Rio Grande do Sul (UFRGS), University of Sao Paulo (USP) and
Federal University of Minas Gerais (UFMG).
The search for documents in those databases was guided by keywords related
to multiple streams model, object of this analysis. The keywords that contributed to the
inclusion of works in the "documentary corpus" should be be highlighted: “multiple
streams”, “agenda + Kingdon”, “streams + Kingdon”.
The next step consisted in reading the abstracts of those theses, dissertations
and articles found at first as "floating reading" (Bardin, 2011) and later in a detailed
exploration of the material in order to identify the information presented in the abstracts
and relate them to thematic categories established for analysis. Then we conducted a
content analysis of the abstracts in order to check whether the model appeared in text.
In the affirmative cases, we cataloged the data following this sequence: author/advisor,
title of the study, university, text type (thesis, dissertation, paper etc.), area of knowledge,
sectorial policy area and year of publication. These categories aimed to demonstrate: (i)
the institutions from which the knowledge is produced following these models; (ii) which
were the years of great incidence on their application; (iii) the outstanding areas of
knowledge; (iv) the most studied sectorial policies and (v) the type of research.
9
With this data mapping, we analyzed the content of the studies in order to verify
if the model was (or not) used as theoretical referential for the development of the
research objectives. In this case, the categories used were: objective of the study,
predominant methodology, method of application of the theoretical model. The cases in
which the model were not applied but appeared in the references were rejected. Different
strategies have been identified in the use of Multiple Streams Model: as the main
theoretical reference, or combined with other approaches. For this type of analysis, the
reading of the information contained in the summaries proved to be limited, and were
considered the full texts.
10
3. The Multiple Streams in Brazilian Researches
John W. Kingdon elaborated the Multiple Streams Model in 1984 for the analysis of the
public policies. He examined the agenda-setting process of the North American
government on both health and transport policies. The model aims to explain why some
issues draw the decision-makers´ attention and are included into the agenda while others
are simply discarded.
According to the author, the access of an issue to the agenda depends on the
convergence of three processes (or streams): problems, policies (or alternatives) and
politics. Issues are recognized as problems by the policymakers by the use of indicators,
occurrence of crises or dramatic events, and feedback from governmental programs.
The policy stream contains proposals and ideas - waiting for an opportunity to be
implemented. They are created inside policy communities composed by think tanks,
parliamentary assessors, academics, public servants and other actors. Finally, the
political stream consists in the political environment – involving the electoral results,
public opinion, organized political forces´ performances inter alia. The entry of an issue
into the agenda happens when these three streams converge, in other words, when a
problem is defined, a solution is available and the political moment is favorable. Kingdon
call these convergences moments policy windows. Windows are opened when there is
the presence of a political entrepreneur able to make a good use of the opportunities for
change, by joining an idea from the policy stream to an issue from the problem stream
in an acceptable way under the perspective of the political stream.
In the international literature, Kingdon model represented a significant advance
of the studies related to policymaking and became a reference for several other studies
(John, 1998). Other authors suggested reviews and Kingdon discussed some of them
during the second edition of Agendas, Alternatives and Public Policies, in 2003. Some
extensions to the model were also proposed by involving, for example, other stages of
the public policies (Zahariadis, 1999). The research related to the adoption of the multiple
stream model on studies about public policies in Brazil resulted in 35 dissertations and
25 theses developed between 2003 and 2013. The keywords for this research were:
‘multiple stream’, ‘agenda and Kingdon’, ‘stream and Kingdon’. The table below
presentes a mapping of fifty-four studies found on the national datasets of master's and
doctoral theses. The table presents the folowing data: 1- author and advisor; 2- year of
publication; 3 - university where it was produced; 4- distinction between master and
doctorate; 5- area of knowledge of the post-graduate program and 6- sectoral policy
under analysis.
11
Author/Advisor
Year
Institution
Degree
Field of
Knowledge
Setorial
Policies
Humberto Falcão Martins/ Paulo Roberto De M. Motta
Ana Cláudia N. Capella/ Fernando Antônio De Azevedo
Isabela Cardoso De Matos Pinto/ Celina Souza
Ana Lúcia Monteiro/ Denise Bomtempo Carvalho
Paloma Albino Borba Cavalcanti/ Mário Aquino Alves
Marco Aurélio Gaspar Lessa/ Luiz Carlos Do Carmo Motta
Elisabete Roseli Ferrarezi/ Danilo Nolasco Cortes Marinho
Alexandre Pires Domingues/ Marco Aurélio Ruediger
Cássio Luiz De França/ Kurt Eberhart Von Mettenheim
Eduardo De Lima Caldas/ Eduardo Cesar Marques
Fabio Franklin Storino Dos Santos/ Fernando Luiz Abrucio
Eduardo Duprat Ferreira De Mello/ Marco Aurélio Ruediger
Lara Elena Ramos Simielli/ Mário Aquino Alves
Marcelo Marchesini Costa/ Paulo Carlos Du Pin Calmon
Priscilla Reinisch Perdicaris/ Regina Silvia M. Pacheco
Lúcio Hanai V. Viana/ Francisco César Pinto Da Fonseca
Roberta Messiane Gonçalves Sousa/ Peter Kevin Spink
Simone Gomes Costa/ Clarissa Eckert Baeta Neves
Elisa Vieira Leonel Peixoto/ Paulo Carlos Du Pin Calmon
Ciro Campos Christo Fernandes/ Marco Aurélio Ruediger
Maurício Feijó Cruz/ Francisco César Pinto Da Fonseca
Márcio Barcelos/ Soraya Maria Vargas Côrtes
Sandro Coelho Costa/ Livia Maria Fraga Vieira
Fernanda Do Socorro S. Ferreira/ Sergio Pereira Leite
2003
2004
2004
2006
2006
2006
2007
2007
2007
2007
2008
2008
2008
2008
2009
2009
2009
2010
2010
2010
2010
2010
2010
2010
EAESP-FGV
UFSCAR
UFBA
UNB
EAESP-FGV
EBAPE-FGV
UNB
EBAPE-FGV
EAESP-FGV
USP
EAESP-FGV
EBAPE-FGV
EAESP-FGV
UNB
EAESP-FGV
EAESP-FGV
EAESP-FGV
UFRGS
UNB
EBAPE-FGV
EAESP-FGV
UFRGS
UFMG
UFFRJ
PhD theses
PhD theses
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
PhD theses
PhD theses
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
MSc dissertation
Public Adm.
Social Sci.
Admnistrat.
Social & Work
Public Adm.
Public Adm.
Sociology
Public Adm.
Public Adm.
Political Sci.
Public Adm.
Public Adm.
Public Adm.
Admnistrat.
Public Adm.
Public Adm.
Public Adm.
Sociology
Admnistrat.
Public Adm.
Public Adm.
Sociology
Education
Social Sci.
Management
Management
Management
Health
Turism
Defense
3rd Sector
Agriculture
Energy
Cities
Security
Money Policy
Education
Social Econo.
Management
Cities
Poverty
Education
Telecomunic.
Management
Cities
Nature
Education
Cities
Simone Zarate/ Marco Antonio De Almeida
Marcel De Moraes Pedroso/ Paulo Carlos Do Pin Calmon
Henrique Campos De Oliveira/ Alvino O. Sanches Filho
Liduina Gisele Timbo Aragão/ Denise Bomtempo Carvalho
Waneska Cunha Dos Anjos/ Paulo Fabio Dantas Neto
Fernanda Abreu Nagem/ José Norberto Muniz
Otaviani Luciano Souza/ Stella Cecilia Duarte Segenreich
Maria Aparecida De Assis Patrocolo/ Ligia Giovanella
Catarina Ianni Segatto/ Fernando Luiz Abrucio
Leandro Damasio/ Fernando Luiz Abrucio
Paula Maciel Pedroti/ Fernando Luiz Abrucio
Daniela Piergili De Oliveira/ Marta Ferreira Santos Farah
Flavio De Matos Rocha / Zelimar Soares Bidarra
Thadeu Luiz Crespo Alves Negrão/Luiz Pedone
Jorginete De Jesus Damião/Patrícia Contante Jaime
Heber Silveira Rocha/ Francisco Cesar Pinto Da Fonseca
Ana Luisa Vieira De Azevedo/ Marco Aurélio Ruediger
Alexandre Cosme José Jeronymo/ Sinclair Mallet Guerra
Clara Aleida Prada Sanabria/ Sonia Cristina Lima Chaves
Maria Fernanda Rodovalho/ Luiz Carlos Bresser-Pereira
Lya Cynthia Porto Oliveira/ Mário Aquino Alves
Ana Luísa Vieira De Azevedo/ Marco Aurélio Ruediger
Marcelo De Azambuja Fortes/ Ricardo Lopes Cardoso
Patrícia Souza Marchand/ Nalú Farenzena
Amanda Olimpio De Menezes/ Paulo Du Pin Calmon
Alberto De Mello Ferreira/ Maria Rita Garcia Loureiro
Anny Karine De Medeiros/ Marta Ferreira Santos Farah
Jorge Alberto Soares Barcellos/ Nalú Farenzena
Paulo Roberto Cunha/ Neli Aparecida De Mello Théry
Ana Lúcia Monteiro/ Denise Bomtempo B. De Carvalho
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2013
2013
2013
2013
2013
USP
UNB
UFBA
UNB
UFBA
UFV
C. Petrópolis
OSW. CRUZ
EAESP-FGV
EAESP-FGV
EAESP-FGV
EAESP-FGV
UNIOESTE
UFF
USP
FGV-EAESP
FGV-EAESP
UFABC
UFBA
EAESP-FGV
EAESP-FGV
EBAPE-FGV
EBAPE-FGV
UFRGS
UNB
EAESP-FGV
EAESP-FGV
UFRGS
USP
UNB
MSc dissertation
PhD theses
MSc dissertation
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
PhD theses
PhD theses
MSc dissertation
PhD theses
MSc dissertation
PhD theses
MSc dissertation
PhD theses
MSc dissertation
MSc dissertation
MSc dissertation
PhD theses
MSc dissertation
PhD theses
Information Sci.
Admnistrat.
Social Sci.
Social Policy
Social Sci.
Agriculture
Education
Public Health
Public Adm.
Public Adm.
Public Adm.
Public Adm.
Local Developm.
DefenseSecurity
Public Health
Public Adm.
Public Adm.
Energy
Health Coletiv
Public Adm.
Public Adm.
Public Adm.
Public Adm.
Education
Political Sci.
Public Adm.
Public Adm.
Education
Natural Sci.
Social Policy
Culture
Health
Infra-Estrutura
Social Econo.
Racial
Social Econo.
Education
Health
Education
Education
Energy
Culture
Cities
Defense
Health
Young people
Security
Energy
Health
Management
Native people
Security
Security
Education
Social Secur.
Infrastructure
Culture
Education
Nature
Work
12
The figure below shows the number of theses and dissertations over the years.
In this temporal dispersion is possible to see the increase of studies applying the Multiple
Streams modelin Brazil. Since the first theoretical works that reference Kingdon and its
analytical model only begin to appear in the country in the middle of the 2000s (Capella,
2004; Souza, 2006) is possible to follow, from this point, an increase in studies theses
and dissertations reaching, in 2012, a peak of 14 publications.
Figure 1. Theses and Dissertations: evolution from 2003 to 2013.
16
14
12
10
Total
8
MSc dissertation
6
PhD theses
4
2
0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
In addition, table 1 presents a wide variety of sectorial policies based in the
model. There were twenty-two policy areas mapped as objects of research in theses and
dissertations. It is noteworthy that, for analytical purposes, although some studies
focused on intesectoral policies, the studies were grouped into themes according to the
primary analyzed policy. It was possible to verify a wide variety of sectorial policies using
this model. The most often studied policies based on multiple streams model were
related to education (8 studies), management (6 studies), health and urban policies (5
studies each). Studies on public safety policy were observed in 4 different studies;
culture, solidarity economy and energy were present in 3 studies each; defense, youth
and sports, infrastructure and environmental policies were found in 2 studies each. The
other policies found in the set with only one study each were: social security, work, racial
equality, telecommunication, third sector, indigenous policy, agriculture, tourism, fiscal
and poverty combat policies.
13
Figure 2. Theses and Dissertations: data from 2003 to 2013 organized by policy area
1
1
1
1
1 1
1 1
8
1
1
2
6
2
2
5
2
3
5
3
3
4
Education
Managemenet
Health
Cities
Security
Culture
Social Economy
Energy
Defense
Young people
Infrastructure
Nature/ environment
Social Securuty
Work
Racial affairs
Telecomunication
3rd. sector
Native people
Agriculture
Turism
Money Policy
Poverty
Besides the thematic variety, we also observed diversity in terms of knowledge
fields in which the studies were found. Theses and dissertations were found in eleven
different thematic graduate programs in Brazil. The Programa de Pós-Graduação [post
graduation program – master’s and doctor’s degrees] with the highest amount of
researches based on multiple streams belonged to the field of public administration
totalizing 24 studies (20 from EAESP/FGV and 04 from EBAPE/FGV universities). Other
knowledge fields were also found: administration (six studies), social science (four
studies) and education (four studies). Some programs from other fields also presented
researches based on this specific model, which are: sociology (three studies), political
science (two studies), public health (two studies) and social policies (two studies).
Finally, with only one research each, we can mention the fields: informational science,
local development and agribusiness, defense and security, rural extension, energy,
social management and work, collective health and environmental science. The following
universities published them: FGV, UnB (with nine studies), USP, UFBA and finally
UFGRS (with four studies each).
14
Figure 3. Thematic sectors of post-graduate programs.
1
1
1
Public Adminisitration
1 1
1 1
Administration
Social Sciences
1
Education
2
Sociology
Political Science
2
24
Public Health
Social Policies
2
Informational Science
Agrobusiness
3
Security & Defense
Local Development
4
Energy
Health
Social & Work
4
6
environmental science
Six journals papers written by different authors were found in comparison to
dissertations and theses. All papers, found in journals available at Scielo, were published
in a more recent period (one paper from 2011, three in 2012 and two more in 2013), and
the keywords used in the search were the same analysis of theses and dissertations
(“múltiplos fluxos”, “multiple streams”, “agenda e Kingdon”, “fluxos e Kingdon”. Of the six
articles, four focused on health policy, one analyzes of environmental policy and the last,
solidarity economy. The four papers on health were published in two different journals
related to the issue: two articles were found in the "Revista Saúde e Sociedade” (Health
and Society Journal) and the other two in the "Physis: Revista de Saúde Coletiva (Physis:
Community Health Journal)". The article on environment was located in a management
journal (Cadernos EBAPE.BR), while the article on solidarity economy was published in
a magazine related to the area of Political Science and Sociology: “Revista de Sociology
Política” (Political Sociology Journal).
15
4. Discussion and final considerations
The analysis of theses, dissertations and papers in academic journals revealed
an increasing use of John Kingdon´s model in Brazil, especially after the mid 2000´s.
Despite the numerical concentration of publications in post-graduate programs in public
administration, especially on the FGV, the overall picture is marked by a large
institutional heterogeneity. The policy areas selected in these studies were also quite
different: more than twenty sectoral policies were subject to investigation with the lens of
Multiple Streams model, in eleven different areas of knowledge.
A qualitative analysis was also made trying to understand how these theses and
dissertations incorporate multiple streams model in their investigations. We can set the
studies into two major categories, based on how the multiple stream model was
incorporated. The first category is composed by researches that adopt the model as their
core element of analysis and as the main theoretical framework. These are studies
devoted to understand how an issue may be included into the governmental agenda or
studies that analyses the diffusion of specific public policies. In this kind of study, the
authors identify the three streams analyzing their coupling and the agenda change.
The second one corresponds to researches that applied the model in a partial
way, using other theoretical references to achieve their objectives. That´s the case, for
instance, of the studies that analyzes different stages of the policy cycle and used the
multiple stream model only to explain the formulation stage, complementing the analysis
with other models on the implementation stage (in such cases the most often registered
model was advocacy coalition framework). Likewise, there are authors that make use of
the concepts and analytical categories of Kingdon, not necessarily seeking for the logic
of change from the mechanism of streams convergence. These are studies strongly
based on the concepts of windows, public policy entrepreneurs’ actions, the process of
public policy diffusion, which are based on Kingdon’s ideas but also complemented by
other theoretical approaches.
By applying those two categories in fifty-four studies found, we note that half of
them, twenty seven, adopted the model as a central element of the analysis and main
theoretical framework (category 1) while the other twenty-seven works applied the
partially model (category 2). Although this division evidences a balance when we look at
the universe of studies considered, the same does not occur when separate master's
dissertation of doctoral theses. Of the twenty doctoral theses, thirteen fall into the first
category, while only seven use the partially model. Regarding to the master's theses,
16
twenty works partially applied the model and only fourteen adopted it as a central
element in the analysis.
When we analyze the application of the multiple streams model in articles
published in brazilian journals, we conclude that the articles present variations in all the
analyzed journals. Among the studies on public health policy, one of them presents a
literature review on the application of multiple streams in researches related to health
policy. The others studies apply the model to investigate specific issues of formulation of
health policies, such as the formulation of the Food and Nutrition Surveillance System
(Sistema de Vigilância Alimentar e Nutricional); formulation of Telehealth Network (Rede
de Telessaúde) of the Unified Health System Policy (Sistema Único de Saúde); and
formulation of the Bolsa Família Program and its conditionalities. These three studies on
health policy apply the model as the dominant theoretical framework. In the article about
environmental policy , Kingdon´s model is used as the main theoretical framework to
investigate the relationship between local and national agenda. The article concludes
that the model is inadequate to explain this flow between the different agendas, failing
also to incorporate the civil society organizations in the process of agenda-setting.
Finally, the the article that focuses on the solidarity economy policy applies the model to
explain the formulation, concluding that the model is able to explain satisfactorily the
agenda-setting process of the solidarity economy as a public policy developed by the
Federal Government.
The analysis enabled us to observe some aspects about the multiple stream
model as used by researchers in Brazil. First, we highlight the diversity of sectorial public
policies submitted to analysis through the multiple stream model, once the fifty-five postgraduation researches were found in twenty-two different sectorial policies. Although the
majority of papers related to education policies, public management (most part of them
related to administrative reform), health and urban policies were found as well. Another
significant aspect about the model application is the concentration of the researches in
the public administration field, especially those published on EAESP-FGV, which is the
institution that houses the only doctoral degree in public administration in Brazil.
Together, both business administration and public administration are responsible for
more than half of the papers based on the Kingdon’s model. On the other hand, though
the fields of social science, political science and sociology registered an inexpressive
amount of studies, their distribution among the higher education institutions – once all of
them were federal universities – is more diverse. The academic production from the
areas of knowledge more strictly bonded to policies – such as education and health –
also deserves to be mentioned.
17
References
ARRETCHE, Marta T.S. “Dossiê agenda de pesquisas em políticas públicas”. Revista
Brasileira de Ciências Sociais, vol.18, no.51, (pp. 7-10). São Paulo, ANPOCS.
BARDIN, Laurence. (2011). Análise De Conteúdo. Lisboa: Edições 70.
BAUER, Martin W. e AARTS, Bas. (2014). “A Construção do Corpus: um princípio para
a coleta de dados qualitativos”. In Bauer, M.W e Gaskell, G. Pesquisa Qualitativa
com Texto, Imagem e Som. Petrópolis, Vozes.
BAUMGARTNER, Frank R; JONES, Bryan D. (1993) Agendas and Instability in
American Politics. Chicago, University of Chicago Press.
_________________. (1999). “Punctuated- Equilibrium Theory: Explaining Stability and
Change in American Policymaking”. In: SABATIER, Paul. Theories of The
Policy Process. Westview. Westview Press.
CAPELLA, Ana C. N. (2004). “O processo de Agenda-Setting na Reforma da
Administração. Pública (1995-2002)”. Tese de Doutorado apresentada ao
Programa de Pós-Graduação em Ciências Sociais (PPGCSo) da Universidade
Federal de São Carlos. São Carlos, UFSCar. (234 p.).
_____________. (2006). “Perspectivas Teóricas sobre o Processo de Formulação de
Políticas Públicas”. BIB - Revista Brasileira de Informação Bibliográfica em
Ciências Sociais. São Paulo, ANPOCS (pp. 25-52).
DeLEON, Peter. (1999). “The Stages Approach to the Policy Process: What has it done?
Where is it going?”. In Sabatier (ed.). Theories of the Policy Process. Oxford,
Westview Press, 1999.
DUNN, William N. (1994). Public Policy Analysis. Englewood Cliffs, New Jersey:
Prentice-Hall.
FARIA, Carlos A.P. (2003) “Idéias, Conhecimento e Políticas Públicas: Um inventário
sucinto das principais vertentes analíticas recentes”. Revista Brasileira de
Ciências Sociais, vol. 18, nº. 51, fevereiro. (pp. 21-29).
FARIA, Carlos. “A multidisciplinaridade no estudo das políticas públicas”. In MARQUES,
Eduardo e FARIA, Carlos A.P. A Política Pública como Campo Multidisciplinar.
SP/RJ: Unesp/Fiocruz, 2013
FARAH, Marta F. S. “A contribuição da Administração Pública para a constituição do
campo de estudos de políticas públicas”. In MARQUES, Eduardo e FARIA,
Carlos A.P. A Política Pública como Campo Multidisciplinar. SP/RJ:
Unesp/Fiocruz, 2013.
FISHER, Frank e FORESTER, John. (1993). The Argumentative Turn in Policy Analysis
and Planning. London, Duke University Press.
INGOLD, Karin. (2011). “Network Structures within Policy Processes: Coalitions, Power,
and Brokerage in Swiss Climate Policy”. Policy Studies Journal, p. 435–59.
JOHN, Peter. (1998). Analysing Public Policy. London: Cassell.
__________. (2003). “ Is There Life After Policy Streams, Advocacy Coalitions, and
Punctuations: Using Evolutionary Theory to Explain Policy Change?” Policy
Studies Journal, Vol. 31, No. 4.
__________. (2013). "New directions in public policy: theories of policy change and
variation reconsidered". Trabalho apresentado no International Conference on
Public Policy. Grenoble, 26-28 june.
18
KINGDON, John. (2003) [1984]. Agendas, Alternatives, and Public Policies. 3a. Ed. New
York: Harper Collins.
LASSWELL, Harold D. (1956). The Decision Process: Seven Categories of Functional
Analysis. College Park: University of Maryland Press.
MARQUES, Eduardo. “As políticas públicas na ciência política”. In MARQUES, Eduardo.
e FARIA, Carlos A.P. A Política Pública como Campo Multidisciplinar. SP/RJ:
Unesp/Fiocruz, 2013.
MELO, Marcus. “Estado, Governo e Políticas Públicas”. In Miceli, Sergio (org.). O que
Ler na Ciência Social Brasileira (1970-1995). Vol. 3: Ciência Política. (pp. 59-99).
São Paulo: Sumaré/Anpocs; Brasília: CAPES, 1999.
NOWLIN, Matthew C. (2011). “Theories of the Policy Process: state of research and
emerging trends”. Policy Studies Journal. Vol 39, nº S1.
SABATIER, Paul A. (1999). (Ed.). Theories of the Policy Process. Oxford, Westview
Press. SABATIER, PAUL A. (1999). “The Need for Better Theories”. In Sabatier
(ed.). Theories of the Policy Process. Oxford, Westview Press.
SABATIER, Paul A. e JENKINS-SMITH, Hank C. (1993). Policy Change and Learning:
An Advocacy Coalition Approach. Oxford, Westview Press.
SOUZA, Celina. (2006). “Políticas Públicas: uma revisão da literatura”. Sociologys. Ano
8 (16), (pp. 20-45) jul-dez. Porto Alegre, UFRGS.
SOUZA, Celina. “Estado da Arte da Pesquisa em Políticas Públicas”. In Hochman, G.,
Arretche, M. e Marques, E. Políticas Públicas no Brasil. Rio de Janeiro, Fiocruz,
2007.
WEIBLE, Christopher M., SABATIER Paul A., JENKINS-SMITH Hank C., NOHRSTEDT
Daniel, HENRY Adam Douglas. (2011). “A Quarter Century of the Advocacy
Coalition Framework: An Introduction to the Special Issue”. The Policy Studies
Journal, Vol. 39, No. 3, 2011.
WEIMER, David L. (2008). “Theories of and in the Policy Process”. Policy Studies
Journal. Vol 36, nº 4.
ZAHARIADIS, N. Ambiguity & Choice in Public Policy. Washington, DC: Gerorgetown
University Press, 2003.
ZAHARIADIS, N. Ambiguity and Multiple Streams. In: SABATIER, PAUL A. E WEIBLE,
C. M. (Ed.). . Theories of the Policy Process. 3rd. ed. Boulder, CO: Westview
Press, 2014.
.
19