The innovative personality? Policy making and experimentation in an authoritarian bureaucracy

Why do local officials in an authoritarian bureaucracy experiment with policy, even when directed not to do so by central‐level officials? This study suggests that policy experimentation in this institutional environment can best be understood as an interaction between the structure in which local officials are embedded and individual‐level personality attributes. Leveraging a new data set from a series of original surveys with local policy makers in mainland China, conducted between 2016 and 2018, we discern three baseline personality types: authoritarian, consultative, and entrepreneurial. We thereafter examine the individual‐level characteristics of local officials who will innovate irrespective of a centralization of bureaucratic power and interests, as currently experienced under Chinese President Xi Jinping. We find that local policy makers engage in policy innovation when they are more focused on resolving governance problems and that increased risk reduces but does not eliminate their willingness to innovate. Based on these findings, we contend that future studies of policy innovation should use an evolutionary framework to examine the interaction between preferences and selection pressures.     

Fiscal Policy Learning from Crisis: Comparative Analysis of the Baltic Countries

The experience of a major crisis is often expected to lead to policy learning but the empirical evidence about this is limited. The goal of the paper is to explore comparatively whether the crisis of 2008–2010 has led to fiscal policy learning by civil servants in the three Baltic countries. Despite some differences in the crisis experience, the finance ministry officials in all three countries have identified the same lesson from the crisis: fiscal policy should be counter-cyclical and help to stabilize the economy. The paper also discusses how various factors have influenced policy learning, including the acknowledgment of failure, blame shifting, and analytical tractability.     

Policy popularity: The Arizona immigration law

As a maker of policy, a president or a governor invites public approval or disapproval for policy decisions. Public reaction is likely to occur for issues of great salience and clear candidate positions. We focus on immigration policy. Illegal immigration has become a hot issue in recent years, especially in Arizona. The state's governor took a clear stance in 2010 by signing a law that gives police sweeping powers to deal with illegal immigration (Arizona SB 1070). Using an aggregate time-series model, we find that this action affected gubernatorial approval ratings. Indeed the gain in approval proved enduring enough to turn a losing race for re-election into a victory for Governor Brewer. Using individual-level survey data, we find that presidential approval also was affected by reactions to the Arizona Law among residents of the state. When elected officials take clear stances on a salient issue - Governor Brewer for, President Obama against the law-policy moves approval.     

“Conservation” as a Catalyst for Conflict: Considering Stakeholder Understanding in Policy Making

Stakeholder negotiation processes are increasingly used in environmental management, but are often difficult due to values differences among stakeholders. These values can be reflected in the language used by stakeholders, which may lead to conflict in negotiation processes. This study investigated whether there are widespread differences among Colorado water stakeholders in how they define the term “conservation,” a key value and policy term, and whether this leads to conflict in negotiations. Using multiple methods in a cross‐sectional case study, use of the term and possible policy implications were analyzed. Stakeholder respondents in this study who had experienced difficulty in water negotiations also perceived a higher degree of miscommunication in their negotiations. The most important finding presented here suggests that clarity of language and transparent discussion of key value‐representative terms may aid in stakeholder negotiations, and that minority stakeholders may be more aware of values and language differences than their majority counterparts.     

The Australian Environmental Policy Agenda

This paper seeks to identify major shifts in the Australian environmental policy agenda over the past fifty years, and discusses the possible causes of and variables affecting agenda change. The issue of what comprises ‘environment’ policy is discussed, with reference to overlaps and intersections with other policy sectors such as agriculture, public health, energy and regional affairs. While the diversity of the environment policy domain complicates any analysis of trends, there have been two persistent trends of (i) an expansion from a more narrowly to a more broadly defined suite of issue (from environment to sustainable development) and incorporation of environment into natural resource management, and (ii) an increasing diversity of policy instruments being used. Consistent with the wide variety of issues confronted, pragmatism and convenience are often as influential as political ideology or underlying trajectories. The drivers of policy change are diverse, including biophysical factors such as drought, political leaders and international policy developments, and punctuations are often better interpreted as intensification or redirections of past policy trajectories.     

Policy Failure and Policy Learning: Examining the Conditions of Learning after Disaster

The policy learning literature indicates that governments can and do learn after a policy failure but not always. The purpose of this study is to examine the conditions under which policy failure leads to policy learning. It asks two questions. First, is policy failure associated with policy learning? Second, if policy is associated with policy learning, does the failure initiate different types of learning? Using the policy failure and learning literatures as an organizing framework, this paper analyzes three comparative cases of policy failure revealed by tornados in Greensburg, Kansas (2007); Joplin, Missouri (2011); and Moore, Oklahoma (2013). It finds that failure of the policy process in agenda setting is associated with instrumental policy learning. It also finds that there are two types of failure of decision making: failure to make a timely decision and failure to make any decision. The two types of decision‐making failure are associated with different types of policy learning. In addition, the contextual factors underpinning the link between policy failure and learning are prior experience with the policy problem and capacity to learn.     

The Australian Public Service and Policy Advising: Meeting the Challenges of 21st Century Governance

This concluding article summarises the case study findings comprising the Special Issue on ‘Advising Australian Federal Governments: Assessing the Evolving Capacity and Role of the Australian Public Service’, identifies and discusses cross‐cutting issues, and considers strategic implications for future practice and research. It reviews key findings from six case studies – Treasury, Prime Minister and Cabinet, Intergovernmental Relations, Housing, the BER Stimulus program, and Defence – and assesses the policy advising capacity of the Australian Public Service, with a focus on the policy‐political interface between governments and officials. Putting recent experience in historical context, it considers the performance of the Commonwealth's policy advisory system, the impact of prime ministers and centralisation, the link between advising and analytic capacities, the system's resilience and readiness, whether recent dissatisfaction over APS advising reflect lack of capacity or a culture clash, and the responsibility for ensuring high‐quality policy advice. It recommends developing a more systematic approach to assessing policy advising capability, building on recent APS reforms.     

Making the Harder Yards: Environmental Policy Integration in Australia

Solutions to environmental problems such as climate change, biodiversity loss, and land and water resource degradation require long term integration of economic, social and environmental policies. This poses challenges to specialised, hierarchical public administration systems. The study reported here examined strategies, structures and processes to enable environmental policy integration in six Australian states and territories, and some federal arrangements. The study found that the most prominent success factors, barriers and gaps that affect environmental policy integration relate to leadership, long term embedding of environmental policy integration and implementation capacity. Factors deserving further research and policy attention include leadership, cultural change and capacity building; embedding sustainability in structures and processes; development of a long term evidence based approach; strengthening decentralised implementation arrangements; and evaluation of policy integration initiatives.     

Delivering Science into Public Policy: An Analysis of Murray‐Darling Basin Sustainable Yields Assessment as a Model for Impact

The desire to base policy at least in part upon scientific information is a clear trend in Australian governance. The growing literature on how to facilitate this intent highlights a few important principles complemented by examples from the application of social sciences. An example from a very large research project based on physical sciences responding to a national crisis is presented in the context of how it approached delivery to policy‐makers. The Murray‐Darling Basin Sustainable Yields Assessment, widely considered an outstanding success in both scientific terms and for its impact, is reviewed with respect to how the scientific challenge of assessing the future security of water resources in Australia's most important and politically contentious catchment translated into the policy domain. The lessons learned offer a potential template for science with policy intent.     

Government with a Cast of Dozens: Policy Capacity Risks and Policy Work in the Northern Territory

There are a number challenges to maintaining high‐quality policy capacity in sparsely populated areas such as Australia's Northern Territory (e.g. natural resource dependent economy, prominence of Indigenous issues, provision of local services). Moreover, the Territory government has recently been undergoing a host of public sector changes. This paper utilises survey methodologies of policy workers that were recently developed in Canada and examines nine risk factors to policy work. A survey of 119 policy workers in the Northern Territory was conducted in 2013. The analysis examined four key policy‐work areas (policy activities, barriers, areas for improved policy capacity, nature of change in work environment). The survey findings offer some practical insights for managers. Formal policy‐work training is recognised as critical. Policy capacity may be increased through better inter‐departmental (and potentially inter‐governmental) cooperation and information sharing, more opportunities to engage with non‐governmental stakeholders, and more opportunities for those leaving the full‐time Northern Territory policy workforce to continue to contribute. From a conceptual point of view, the extent to which ‘policy capacity’ as commonly conceived in the literature is applicable to contexts, such as Australia's Northern Territory, warrants further examination.     

Ideology,Learning, and Policy Diffusion: Experimental Evidence

We introduce experimental research design to the study of policy diffusion in order to better understand how political ideology affects policymakers’ willingness to learn from one another's experiences. Our two experiments–embedded in national surveys of U.S. municipal officials–expose local policymakers to vignettes describing the zoning and home foreclosure policies of other cities, offering opportunities to learn more. We find that: (1) policymakers who are ideologically predisposed against the described policy are relatively unwilling to learn from others, but (2) such ideological biases can be overcome with an emphasis on the policy's success or on its adoption by co‐partisans in other communities. We also find a similar partisan‐based bias among traditional ideological supporters, who are less willing to learn from those in the opposing party. The experimental approach offered here provides numerous new opportunities for scholars of policy diffusion.     

Nonpunctuated and Sweeping Policy Change: Bhutan Tobacco Policy Making from 1991 to 2009

This paper examines policy outputs associated with the 2004 Bhutan antitobacco law, including 2009 amendments, to determine if the law is congruent with punctuated equilibrium or social policy realism theories of policy change. There was no direct and sudden tobacco policy output change in Bhutan due to a shock to the policy system contrary to what punctuated equilibrium theory would predict. Rather, policy change was sweeping but nonpunctuated. This paper reconfirms prior findings of social policy realism theory that various and complex policy output patterns occur due to a mixture of contingent and complex factors. Under social policy realism, a complex interplay of factors drive policy with the state, corporate actors, and interest groups, and the market often playing a primary role. These complex policy outputs have a direct impact on society and the natural environment reflected in government policy output actions or inactions.     

Branding and Franchising a Public Policy: The Case of the Gateway Review Process 2001–2010

One of the more interesting features of contemporary policy‐making is the way in which certain policies and administrative processes have been branded. While this is not yet a common feature, it does appear to be one that is increasing in importance. This article looks at the phenomenon through a consideration of one particularly interesting case; the Gateway Review Process (subsequently Gateway), a policy with a related set of administrative processes which is both branded and franchised. Gateway also seems a successful example of a much more common feature of contemporary policy making: policy transfer. It has been transferred from the UK to five Australian jurisdictions, New Zealand and Holland. This article examines the extent to which the branding, and indeed the franchising, of Gateway is responsible for the putative success of that transfer. We begin with a very brief consideration of the literature on branding and franchising to situate our discussion, before outlining the ways in which branding and politics intersect. In the main part of the article we focus on the branding of public policy and on the Gateway case.     

Cultural Penetration and Punctuated Policy Change: Explaining the Evolution of U.S. Energy Policy

Punctuated equilibrium theory (PET) suggests that the policy process is characterized by long periods of incremental change and short periods of punctuated change. The impetus for the latter is usually a focusing event that breaks open policy monopolies, allowing for major changes in legislative decision making. While a burgeoning body of literature, a shortcoming in the PET literature is that it has yet to explain why focusing events and subsequent breakdowns in policy monopolies sometimes fail to result in punctuated policy. We integrate theories on cultural change with punctuated equilibrium to explain why focusing events do not always result in the dramatic policy changes that we might expect. Specifically, we use the context of national energy policy and the lexical database, Google Ngram Viewer, to trace punctuating energy‐related events and the occurrence or lack thereof subsequent policy change from 1952 to 2000.     

Policy Stalemate and Policy Change in Israel's Water Sector 1970–2010: Advocacy Coalitions and Policy Narratives

This paper seeks to explain policy stalemates that persist despite recognition of their risks and damages, as well as the factors and processes that enable a breakthrough and lead to policy change. The paper seeks to fill a gap in the Advocacy Coalition Framework (ACF) theory by supplementing it with Narrative Analysis (NA). We claim that NA provides a link missing in the ACF that is required for the transformation of “necessary” conditions—like external and internal shocks to the system—into “sufficient” conditions for policy persistence or change. We use the ACF to delineate coalition members and their belief systems and policy positions, as well as external, internal, and structural shocks to the system. We rely on NA to analyze the narratives employed in the public arena, which turn conditions necessary both for hurting stalemates and for policy change into sufficient conditions. We illustrate the benefits of combining the two approaches through a study of Israel's water policy during four decades (1970s–2000s) based on government records and on information from interviews with key players.     

Policy Innovation of Local Officials in China: the Administrative Choice

Local policy innovation is considered one of the major drives for China’s rapid economic development, especially during the first 35 years of reform in China. Given the new central policies and constant anti-corruption campaigns under the Xi administration, this article examines a timely question of why and how local officials continue to develop new innovative policies and projects. Based on previous theoretical building, the article analyzes such key institutional factors as new rules of game and their impact on local officials’ competition for survival and career advancement. Selecting cases across all the districts from a typical city in China, this article compares and identifies the changing patterns in local policy innovation. Policy innovations are administrative choices made by local officials in response to new and changing institutional opportunities and constraints. The discussion in this article makes significant contributions both theoretically and empirically to the China studies.

     

Policy Entrepreneurs,Issue Experts,and Water Rights Policy Change in Colorado

Policy entrepreneurs can influence policy changes and decisions. These people invest their time, knowledge, and skills into promoting policies with which they agree. This paper investigates the influence that entrepreneurs had in the case of recreational water rights policy in Colorado to build a model of policy entrepreneurship. Almost 20 Colorado communities have constructed white‐water kayak courses to boost their local economies. In twelve of these communities, construction was followed by community pursuit of a new form of water right—the recreational in‐channel diversion. This case study is relevant to many areas of environmental policy and management where policies are transitioning from traditional consumptive uses of the resource to nonconsumptive uses. This policy change was not a given in Colorado communities, with recreational water rights requiring significant investments of community resources. These research findings conclude that policy entrepreneurs were influential to policy change, but the most important actors were expert entrepreneurs who hold expertise in water resource matters.     

Policy Expansion in Local Government Environmental Policy Making

Relatively little is known about when, why, and how some jurisdictions “double down” on policy priorities, rapidly adopting multiple measures tackling the same issue. Rapid policy expansion can emerge in fast‐evolving, uncertain, and contested policy arenas in which pressures for policy making are not satisfied, and even may be strengthened, by initial policy innovation. This article analyzes local government policy making on high‐volume hydraulic fracturing by New York State municipalities from 2008 to 2012. Policy path dependence, peer influence, and policy design appear to play a critical role in determining whether public officials respond to these pressures with policy expansion. Initial policy innovations can open windows for policy participants to secure additional measures that strengthen or enlarge the scope of action. Public officials and stakeholders seeking particular policy outcomes should take a long view of the policy process while simultaneously remaining alert for opportunities afforded by pressurized policy dilemmas.     

Primacy Implementation of Environmental Policy in the U.S. States

Environmental regulation is frequently implemented through asystem that allows states to choose whether to assume primaryauthority, or "primacy," for implementation and enforcement.This study looks at what causes states to assume this authorityin two important areas of environmental policy: air and waterpollution. It finds that in each policy area, primacy assumptionis unrelated to the "greenness" of state environmental policygenerally and negatively related to indicators of policy innovationwithin that area. Rather than being driven by commitment tothe environment, primacy assumption appears to be driven predominatelyby other factors, which differ substantially across the airand water policy arenas. These findings call into question thewidely held view that primacy assumption is an indicator ofstate environmentalism and indicate that a more nuanced viewof what causes states to assume primacy is necessary to fullyunderstand the dynamics of intergovernmental policy implementation.     

No Home for Housing: The Situation of the Commonwealth's Housing Policy Advisory Function

The Commonwealth's policy capacity with regard to housing policy and provision has been erratic and patchy. Partly this is because housing was not traditionally a formal Commonwealth responsibility but something in which Commonwealth governments episodically intervened, and partly it was because Commonwealth ministers often did not exercise demand for policy advice in this area. When policy capacity was exercised it tended to define housing narrowly as a welfare initiative, thereby limiting its conception and excluding other important questions and problems involved with housing as a policy domain. This trajectory meant that the advisory deficiencies of the Commonwealth were often exposed at exactly those times when they were most needed. It also meant that the Commonwealth lacked the detailed knowledge and understanding of housing issues when it was called upon to deliver various programs. The article argues that the Commonwealth needs to adopt a more strategic housing policy that addresses longer term needs as well as the economic, social and environmental consequences of its housing policy.