Adjusting policy implementation frameworks for non‐pluralist conditions: A case study of Ukraine's single tax for small business

Traditional frameworks for assessing policy implementation have been developed almost exclusively in the context of market‐based, pluralist democracies. This research explores policy processes in more diverse contexts, testing the applicability of existing implementation measurement models in the socio‐political context of a post‐Soviet country. Fieldwork conducted in Ukraine examines the factors affecting implementation of the Simplified Single Tax policy and considers the impact of formal and informal institutions on policy processes and small business conditions. Results include an expanded model for assessing policy implementation in non‐pluralist conditions, an original contribution to the fields of policy, small business, and development studies. The research further contributes to the literature concerning policy transfer, policy advocacy, and tax reform in developing nations. For theoreticians, this research may inform design considerations when conducting policy research outside of a pluralist democracy. For practitioners, it may inform efforts to mitigate implementation obstacles in diverse socio‐political contexts.     

The Evolution of Low‐Income Housing Policy, 1949 to 1999

Abstract

The evolution of low‐income housing policy during the past 50 years can be divided roughly into two segments: the first running from 1949 to the 1973 Nixon moratorium on subsidized production programs and the second from 1973 to the present, marked by a diminished federal leadership role and an increased state and local role. After tracing the rise of the federal leadership role represented in the Housing Acts of 1949 and 1968, this article focuses on the development of three important policy instruments that mark the devolution of housing policy: housing vouchers, housing block grants, and the Low‐Income Housing Tax Credit.

The three‐pronged strategy of vouchers, block grants, and tax credits has achieved reasonably good results and attracted an unusual degree of political consensus. A steady expansion of all three offers the most promising path to the “realization as soon as feasible” of the national housing goal.     

Political Memoirs

Political memoirs form an accessible primary source for the political scientist, but there is considerable disagreement about their usefulness and reliability. Memoirs can be classified firstly according to whether their chief focus is the ethos, the doctrines, or the policy making of political parties, and secondly according to the principal means employed in their compilation - such as diaries, private and official papers, or personal reminiscences. Examples of these different types of memoir written by members of the Thatcher Government are analysed to demonstrate their uses and limitations.     

British technical intelligence and the Soviet intermediate range ballistic missile threat, 1952–60

This article looks at the shifting intricacies of British assessments of the Soviet IRBM threat to the United Kingdom during the 1950s. Based on JIC, Cabinet and Air Ministry records of the period, as well as political memoirs, it looks at the assessments in parallel with the development of the British Blue Streak nuclear ballistic missile programme. This land‐based weapon was eventually cancelled in April 1960 on strategic not cost grounds, too early in this author's opinion.     

The Differential Empowering Effects of Europeanization on the Autonomy of National Agencies

This article examines the influence of Europeanization on the relationship between ministries and agencies at the national level. The core argument is that the differentiated nature of the international environment (with policy development often transferred to the international level and policy implementation left at the national level) transforms national agencies into policy‐developing actors that shape policies without being directly influenced by their national political principals. The increasingly common involvement of national agencies in European policymaking processes thereby increases these agencies' policy‐development autonomy but does not change their role in policy implementation. We examine this argument by testing an innovative hypothesis—the differentiation hypothesis—on a combined data set of German and Dutch national agencies. Our empirical findings support the hypothesis in both countries, suggesting that similar effects can be expected in other contexts in which semiautonomous agencies are involved in transnational policymaking.     

Testing the Development and Diffusion of E‐Government and E‐Democracy: A Global Perspective

E‐government uses information and communication technology to provide citizens with information about public services. Less pervasive, e‐democracy offers greater electronic community access to political processes and policy choices. Few studies have examined these twin applications separately, although they are widely discussed in the literature as distinct. The authors, Chung‐pin Lee of Tamkang University and Kaiju Chang and Frances Stokes Berry of Florida State University, empirically analyze factors associated with the relative level of development of e‐government and e‐democracy across 131 countries. Their hypotheses draw on four explanations of policy change—learning, political norms, competition, and citizen pressures. All four explanations are strongly linked to nations where e‐government policy is highly advanced, whereas a country’s e‐democracy development is connected to complex internal factors, such as political norms and citizen pressures.     

Straightening the three streams: Theorising extensions of the multiple streams framework

This article suggests theoretical refinements to the multiple streams framework (MSF) that make it applicable to parliamentary systems and the decision‐making stage of the policy process. Regarding the former, the important role of political parties in parliamentary democracies is highlighted. Party policy experts are expected to be members of the policy communities in the policy stream and to promote viable policy alternatives in their respective parties, while the party leadership is concerned with adopting policies in the political stream. With regard to the latter, the introduction of a second coupling process to analyse decision making more rigorously is suggested. Moreover, the article provides operational definitions of the framework's key concepts when applied to parliamentary systems and derives a systematic set of falsifiable hypotheses for agenda‐setting and decision making in these systems, thus addressing one of the main critiques against the MSF – namely that no hypotheses can be derived from it.     

Globalisierung und fiskalische Demokratie

This article addresses a dilemma: an effective tax state is a precondition for securing the political stability of economic globalization. But globalization, in the form of tax competition, undermines nation states’ capacity to democratically choose the level, structure and distribution of their tax revenues. To regain democratic fiscal self-determination, international regulation of tax competition is required. Yet, how can a single nation’s right to self-determination be delimited so that all nations can effectively exercise their right under conditions of fiscal interdependence? The article proposes a republican conception of fiscal self-determination and develops two principles of international tax policy and their institutionalization in an International Tax Organization (ITO).     

When Policies Undo Themselves: Self‐Undermining Feedback as a Source of Policy Change

Most studies of policy feedback have focused on processes of self‐reinforcement through which programs bolster their own bases of political support and endure or expand over time. This article develops a theoretical framework for identifying feedback mechanisms through which policies can become self‐undermining over time, increasing the likelihood of a major change in policy orientation. We conceptualize and illustrate three types of self‐undermining feedback mechanisms that we expect to operate in democratic politics: the emergence of unanticipated losses for mobilized social interests, interactions between strategic elites and loss‐averse voters, and expansions of the menu of policy alternatives. We also advance hypotheses about the conditions under which each mechanism is likeliest to unfold. In illuminating endogenous sources of policy change, the analysis builds on efforts by both historically oriented and rationalist scholars to understand how institutions change and seeks to expand political scientists’ theoretical toolkit for explaining policy development over time.     

Evidence in the Networked Governance of Regional Decarbonisation: A Critical Appraisal

This paper examines the use of evidence in collaborative policy making focusing on the challenges of implementing national decarbonisation policies in regional areas. Its case study of a staged policy intervention to promote the ‘transition to a low carbon economy’ in Victoria's coal‐dependent Latrobe Valley reveals the selective use of evidence to support policy directions that emerged from the interaction of policy knowledge and the political mood. The paper shows how local conditions can be manipulated to enable the production of evidence consistent with the policy objective, but also suggests that despite combining orchestrated evidence with customised forms of networked governance, it is not possible to suppress or deflect unresolved political disagreements.     

Connecting social and environmental policy in Australia: Collateral gains or collateral damage?

Climate change research relating to “co‐benefits” suggests that the facilitation of social‐welfare outcomes through environmental policy offers a powerful means of incentivising climate change action. Concerns about social‐welfare, however, are often used to undermine climate change policies, typically through political claims that low‐to‐middle‐income households should not shoulder the costs of greater policy alignment between social and environmental objectives. Integrating the social into the environmental can therefore, on the one hand, lead to “co‐benefits” as each agenda promotes the other in political discourse, or alternatively to collateral damage if the policy objectives are framed as incompatible. This article explores both scenarios through two case studies of energy policy in Australia. The findings show that social‐welfare concerns can be a powerful discursive tool with the potential to facilitate political consensus, but also that this potential is not being fully realised, primarily because environmental concerns suffer when attempts are made to integrate the two areas discursively.     

How deliberation makes better citizens: The Danish Deliberative Poll on the euro

Abstract.  This article presents results from a Danish national Deliberative Poll on the single European currency. A representative sample of 364 Danish citizens assembled to deliberate on Denmark's participation in the single currency. As a quasi-experiment, the Deliberative Poll is an example of deliberative democracy. Four research questions regarding these deliberative processes are analyzed: openness and access, the quality of deliberation, efficiency and effectiveness, and publicity and accountability. The participants' responses reflect a deliberative process characterized by considerable changes in political opinions as the Poll proceeds, increase in level of knowledge and an improved ability to form reasoned opinions. A mutual understanding on the subject matter prevailed among the participants. At the same time, self-interest and domination also appeared during the deliberative process. The article emphasizes the need for further elaboration of the theory of deliberative democracy so that it better reflects these features of 'real-life' politics.     

Administrative Growth and Grant Payouts in Nonprofit Foundations: Fulfilling the Public Good amid Professionalization?

The Tax Reform Act of 1969 remains the core governing policy for the U.S. foundation sector, primarily for its qualifying distributions mandate, which ensures a baseline spending of foundation assets toward charitable purposes. However, implementation of this policy required additional foundation administrative resources and contributed to significant professionalization of the foundation sector. This article focuses on the payout requirement's potential paradox of accountability, as administrative expenses can be counted toward fulfilling foundations’ qualifying distributions. Using a 14‐year panel of grantmaking foundations, the analysis seeks to understand whether professionalization, measured by operating and administrative expenses, contributes to or crowds out grantmaking. Findings indicate that professionalization of the foundation sector has a small yet practically and statistically significant positive association with foundation grantmaking. From a policy perspective, the current structure of the qualifying distributions mandate does not appear to lead to a crowding out of grant allocations as administrative expenses grow.     

A practical analysis of shared‐appreciation mortgages

Abstract

When the development of large‐scale public housing projects was discontinued in the 1970s in both Canada and the United States, the policy response was very different. This article reviews the nature of the dissimilar low‐income housing policy paths, documenting the role of federal housing policy in the evolution of a significant nonprofit “third sector” in Canada's housing system; the decision of the U.S. federal government to rely on the private sector for subsidized rental supply; and, with very little help from the federal government, the ‘bottom‐up” attempt to develop a nonprofit housing sector in communities throughout the United States. In Canada, a permanent stock of good‐quality, nonprofit social housing was created along with a growing and increasingly competent community‐based housing development sector.

The Canadian experience demonstrates that it takes time to build the capacity of the nonprofit sector. The U.S. experience demonstrates that there is a great deal of community‐based talent ready and willing to provide nonprofit housing if reliable and adequate funding is available. Canada has made outstanding progress relative to the United States in the area of affordable housing supply, creating yet another small but significant difference in the quality of life for lower income households. The general Canadian approach to consistent national support of nonprofit and cooperative housing can be applied in the United States. Canada's relative success is not based on unique structural or systemic differences—that is, it is a matter of political choice and political will. The United States should look to Canada's 20‐year experience to determine whether some of the mechanisms used to support Canada's nonprofit sector might be transferable to the United States.     

Dilemmas of Policy Innovation in the Public Sector: A Case Study of the National Innovation Summit

Policy innovation is a significant challenge for the public sector. This article illustrates its magnitude through a case study of the National Innovation Summit. The article concludes that the Summit represented an elaborate process of search and engagement that sanctioned an outcome that was, in most respects, largely pre‐determined. Its outreach and deliberations served the political purpose of mobilising industry and media attention and communicating the government's commitment. But there is no evidence that it exercised any substantive influence on policy development. The obstacles confounding any other outcome are considerable. Strategic thinking is inhibited by various organisational factors including lock‐in to a present successful strategy, the constraints on policy choices associated with multiple veto points and the need to maintain medium term fiscal and policy discipline across a wide range of agencies and claimants. The article explores ways these inhibitions might be overcome.     

Holding governments accountable? Individual heterogeneity in performance voting

This study suggests that performance voting is characterised by extensive individual heterogeneity. Most economic voting studies to date treat voters as rather homogeneous in their reactions to economic performance of incumbents. Yet, a large and well‐established line of research from the American context demonstrates the conditional impact of political sophistication and salience on voters' political attitudes and behaviour. Building on this work, this article explores individual‐level variation in performance voting due to political sophistication and salience. Utilising cross‐national data from the Comparative Study of Electoral Systems (CSES) including 25 democracies, performance voting is examined across an array of policy areas including the economy, social welfare, immigration and national security, and it is shown that political sophistication and salience are key moderators of performance voting. The findings suggest that holding governments to account for past performance is mainly the prerogative of the highly sophisticated and thus may be more laborious than previously assumed. At the same time, the results indicate that the sophistication gap in performance voting narrows when voters attach a higher degree of salience to a policy area. As long as voters care enough about government activities in a particular policy area, incumbents can expect credit or blame for policy outcomes. This should provide at least some impetus for responsive policy making.     

Policy networks,politics and decentralisation policies in Ghana

Policy‐making is a political process involving a network of actors with varied interests. This article uses policy network as an analytical framework to understand the politics of decentralisation policy‐making in Ghana from the perspective of interactions among interest groups. The article is based on a research study, which utilised semi‐structured interviews and documentary sources in its data collection. It argues that the lack of progress in decentralisation in Ghana can be explained by the politics surrounding government–interest group relations. The article also provides evidence to indicate how varied interests represented within the decentralisation policy networks affected politics and in turn influenced decentralisation policy‐making and outcomes. Copyright © 2008 John Wiley & Sons, Ltd.     

Corporate interests and public affairs: organised business–government relations in EU member states

The internationalisation of economic and political affairs changes the way in which business interests are brought to bear on public policy. This is a global phenomenon but can, in particular, be observed in Europe. The construction of the European Union, the development of the Single Market and the build‐up of the policy institutions to go with it, together change business–government relations profoundly. This paper answers the question of how organised business interests relate to government agencies and political institutions. By using the example of trade associations in the Netherlands and Germany, the paper shows that, despite the internationalisation of public affairs in Europe, the national political level remains strategically important for the representation of business interests. The paper thus argues that changes in European business–government relations are institutionally embedded at both the European and the national level. The implication for future research is that much of the dynamics of economic and political internationalisation materialises within the domestic arrangements of interest politics. Copyright © 2004 Henry Stewart Publications     

The Odyssey of Senior Public Service: What Memoirs Can Teach Us

This article examines the political, psychological, and moral challenges of senior public service in the executive office. The study uses memoirs published by members of the Clinton administration. The memoirs discuss the consistent background conditions of senior public service as the personality of the chief executive, the vagaries of election cycles, the tension between staff and agency executives, and the role of the media. Senior executives adopt a number of stances to address the tension between the realities of public service and the ideals they bring. The memoirs suggest several stances, such as politics as original sin, seduction, hard work and compromise, and game. The memoirs demonstrate the high cumulative cost that public service exacts on the health and personal lives of senior officials. Finally, the study reveals a number of consistent themes about how senior appointed public officials can navigate the dilemmas and challenges of senior public service at all levels of government.     

Corporate interests and public affairs: organised business–government relations in EU member states

The internationalisation of economic and political affairs changes the way in which business interests are brought to bear on public policy. This is a global phenomenon but can, in particular, be observed in Europe. The construction of the European Union, the development of the Single Market and the build‐up of the policy institutions to go with it, together change business–government relations profoundly. This paper answers the question of how organised business interests relate to government agencies and political institutions. By using the example of trade associations in the Netherlands and Germany, the paper shows that, despite the internationalisation of public affairs in Europe, the national political level remains strategically important for the representation of business interests. The paper thus argues that changes in European business–government relations are institutionally embedded at both the European and the national level. The implication for future research is that much of the dynamics of economic and political internationalisation materialises within the domestic arrangements of interest politics. Copyright © 2004 Henry Stewart Publications