Policy Design and Nodal Governance: A Comparative Analysis of Determinants of Environmental Policy Change in a South African City

Abstract

This contribution focuses on a policy paradox, a failed attempt to introduce a Solar Water Heater bylaw in a South African city in spite of much initial support, both politically and professionally. The paper combines a policy design and a nodal governance perspective to explain why the law failed to materialise. It uses categories developed by the nodal governance approach to characterise the mentalities and technologies of the public agencies involved in the policy process, and explore how distinct policy cultures are nurtured by the networked relations and concomitant learning contexts of these agencies. The analysis shows how the agencies differ sharply on philosophical and practical grounds as to how they typically think about policy values and interventions. This tends to make the collaboration between them difficult as each of them experiences the other as seeking to frustrate rather to assist the policy process. The paper documents how “superstitious learning” became a predominant trait of the bylaw process, as each of the agencies tended to look for evidence in the actions of officials in the other department that confirmed their stereotypical view of them, and reinforced it during the process of interaction. Insufficient attention was given, early on in the bylaw process, to the fact that these departments would have to cooperate closely and that “buy-in” from both was a critical condition for success. Due to this, unfortunate policy design choices fed forward through the implementation process and disabled opportunities for co-learning and collective problem-solving.     

Designing long-term policy: rethinking transition management

Long-term policy is enjoying something of a come-back in connection with sustainable development. The current revival tries to avoid the pitfalls of an earlier generation of positivistic long-range planning and control approaches. Instead, this new generation of policy design emphasises reflexive governance concepts. These aim at inducing and navigating complex processes of socio-technical change by means of deliberation, probing and learning. A practical expression of this move that is attracting growing international attention amongst researchers and practitioners is the policy of ‘Transition Management’ (TM) in the Netherlands. This article takes stock of TM implementation experience to date and discusses the critical issues it raises for long-term policy design. The article provides a framework and synthesis for this Special Issue, which comprises articles that address a range of those issues in more depth. We highlight three critical issues: the politics of societal learning, contextual embedding of policy design and dynamics of the design process itself. This leads us to propose a view on policy design as a contested process of social innovation. Our conclusion considers implications for continued work on designing transition management in practice as well as the reflexive capacities of democratic politics.     

FLYING BLIND? EVIDENCE FOR GOOD GOVERNANCE PUBLIC MANAGEMENT REFORM AGENDAS,IMPLEMENTATION AND OUTCOMES IN LOW INCOME COUNTRIES

Although considerable resources and attention have been allocated to recent ‘good governance’ public management reform in low income and fragile states, there is little evidence as to what degree this agenda has been implemented nor as to whether it has led to improved services and outcomes for populations. To address this lacuna, we conduct a review of the large but almost entirely qualitative literature on good governance reform in the 49 countries classed as low income by the United Nations. We find only a small number of documents that link good governance public sector reform agendas with implementation. Fewer still assess outcome. We conduct an empirical analysis of the relationship between reform agenda (using data from the literature review), implementation, service delivery and outcomes, as measured by performance on Millennium Development Goals indicators. We report that there is little, if any, empirical evidence that reform enhances service delivery. Copyright © 2012 John Wiley & Sons, Ltd.     

Problems,politics, and policy streams in policy implementation

We apply Kingdon's multiple streams framework (MSF) to policy implementation to reflect a nested process separate from but interdependent with policymaking. Then, we generate a hypothesis concerning the conditional nature of problems, policies, and politics stream impacts on policy implementation. We test our hypotheses with state‐level implementation of the Clean Air Act, Clean Water Act, and Resource Conservation and Recovery Act, using a pooled data set of 10 years of toxic releases data. Findings suggest an important interaction occurs among problems, policies, and politics during the policy implementation process. More specifically, when any of the three is held at median levels, only marginal differences in outputs occur; however, when all three are increased to extreme levels, substantive differences emerge. Conclusions connect policy implementation to larger issues of MSF theoretical development and suggest implications for governance.     

Organising Strategic Spatial Planning: Experiences from Italian Cities

Strategic urban and regional planning, which emerged in Europe in the 1980s, has become an instrument to establish sustainable development of previously successful industrial areas today affected by the crisis caused mostly by the globalisation of the 1990s. Strategic urban planning concerns organisational land use which in turn regulates resource protection, sustainable development, regeneration and infrastructural investments and multilevel governance. Careful planning is imperative to reach goals such as enhancing local competitiveness and life quality. These dimensions represent the two focal points of the majority of city planning strategies. Their implementation depends not only on planning effectiveness, but also on the organisation and the management of the implementation process by the planning agency or the equivalent local promoter. This paper looks at the experience of Italian cities, in order to derive implications for theory and for future planning processes. More specifically, it analyses the extent to which Italian cities follow similar or divergent paths at the stage of the design process; the Italian case study is then compared with the guidelines proposed by the planning literature and with other European cities.     

以行政契约作为跨域治理之法制基础--以台北和基隆垃圾处理合作案为例

在地狭人稠的台湾,有关大众运输、环境保护、水资源、河川管理等跨域治理的议题,正显现其重要性与急迫性。整合跨域治理与行政法的理论,以“北基垃圾处理合作案”为例,分析行政契约作为跨域合作的基础,分析其所涉及的相关法制问题,例如契约之合致、订约过程（成立要件）、契约应有之内容、契约之进展（如情势变更、政策变迁等）、履约责任、强制执行、救济方法等,希望能建构行政契约在跨域治理的应用模式,以为未来各级政府间在跨域事务中的合作提供法制经验。     

Implementation from Above: The Ecology of Power in Sweden's Environmental Governance

This paper seeks to assess the tenability of Rhodes' view of the "new governance" as "governing without government," as well as the validity of Pierre and Peters' assertions that the state is still at the center of structures and processes of governance. The case used for analysis is Sweden's ecological modernization and the implementation of Local Investment Programs for Sustainable Development. This case provides a crucial test of the contradictory propositions of Rhodes and Pierre and Peters. Contrary to Rhodes' assertions, central government held the initiative in the process of implementing Sweden's ecological modernization. In line with the arrguments of Pierre and Peters central government created new structures and processes of governance to keep its initiative over constitutionally independent expert agencies and municipal governments—exactly those actors that, in Rhodes' view, could make central governmental steering well nigh impossible. As the paper illustrates, what government gains in direct control over the process, it may well lose in terms of the end results. The case of "new governance" analyzed here thus directs attention to the critical interplay between structure, process, and end results, and to government's role in governance.     

Diversity,Trust, and Social Learning in Collaborative Governance

Scholarship on collaborative governance identifies several structural and procedural factors that consistently influence governance outcomes. A promising next step for collaborative governance research is to explore how these factors interact. Focusing on two dimensions of social learning—relational and cognitive—as outcomes of collaboration, this article examines potential interacting effects of participant diversity and trust. The empirical setting entails 10 collaborative partnerships in the United States that provide advice on marine aquaculture policy. The findings indicate that diversity in beliefs among participants is positively related to relational learning, whereas diversity in participants' affiliations is negatively related to relational learning, and high trust bolsters the positive effects of belief diversity on both relational and cognitive learning. In addition, high trust dampens the negative effects of affiliation diversity on relational learning. A more nuanced understanding of diversity in collaborative governance has practical implications for the design and facilitation of diverse stakeholder groups.     

The limits and variety of risk‐based governance: The case of flood management in Germany and England

Risk‐based governance is argued by many to hold the promise of a more rational and efficient state, by making explicit the limitations of state interventions and focusing finite resources on those targets where probable damage is greatest. This paper challenges the assumption that risk‐based governance has the potential for universal and uniform application, by comparing contemporary flood management in Germany and England. On first inspection, flooding appears to be a paradigmatic case of risk colonizing European policy discourses, with the traditional notion of flood defense giving way to flood risk management in the context of climate change, increasingly frequent flood disasters, political and cost pressures on flood protection, and publicly available European‐wide flood assessments. Drawing on in‐depth empirical research, this paper shows how the role, and even the definition, of “risk” is institutionally shaped, and how the respective institutional environments of German and English flood management practices impede and promote risk colonization. In particular, the use and conceptualizations of risk in governance are variously promoted, filtered, or constrained by the administrative procedures, structures, and political expectations embedded within flood management and wider polities of each country. The findings of this research are important for the design and implementation of supranational policies and regulations that endorse risk‐based approaches, such as the recent EU Flood Directive, as well as scholarly debate as to how to legitimately define the limits of governance in the face of uncertainty and accountability pressures.     

Reflections on experimentalist governance

This article critically engages with Sabel and Zeitlin's important notion of experimentalist governance (EG). It is cast as a “recursive process of provisional goal‐setting and revision based on learning from the comparison of alternative approaches to advancing them in different contexts.” This is a useful heuristic device to capture policymaking and implementation in complex, dynamic, and highly diverse political entities. This article discusses the micro‐foundations underpinning EG, how it relates to hierarchical modes of governing, and how well it captures the distinctive traits of the EU. It also discusses EG from a democratic perspective. In democratic terms EG is understood as a form of direct deliberative polyarchy. This article notes that the question of EG's contribution to democratization cannot, however, be adequately addressed unless we pay more systematic attention to representation and representative democracy.     

“Pioneers but not guinea pigs”: experimenting with climate change adaptation in French coastal areas

Uncertainty surrounding climate change has encouraged policy makers to engage in flexible and exploratory policies and forms of policy making. The article examines the potential of experimentation in devising coastal adaptation policies, taking into account its political dimensions. We analysed a multi-level experiment, funded by the French Ministry for the Environment from 2012 to 2015, where coastal municipalities volunteered to simulate the implementation of planned retreat as an adaptation strategy. Using insights from discursive institutionalism, we tracked developments throughout the experiment period. We highlight a combined process of governance experiment, allowing social innovation at local and regional scales, and a more strategic tool for the state, governing and steering local coastal policy with new instruments. We shed light on a particular policy entrepreneur (a public organization dealing with coastal management) playing at the intersection of these two forms, and in the interplay of policy scales. Although the experiment contributed to the innovation of legal and economic instruments and produced policy feedbacks in local planning and governance, learning capacities of the multi-scale architecture are still moderate to make planned retreat a reality in the near future. The conclusion considers performative and interpretive effects of policy experiments as further research questions to explore.     

理解治理多样性：一种国家治理的新科学

现代社会及其公共事务的复杂性对治理构成了严峻的挑战。为了应对公共事务的复杂性、多规模性、嵌套性和动态性,很多研究者提出了不同的治理理论,并且都试图寻找“治理万能药”,以一种治理方式适用所有情景。然而人类要真正解决所面临的公共事务治理难题,就需要实现“认识论哲学”的转型,以“多样性”的思维范式取代“单一性”思维范式,按照“治理多样性”的新范式来重构治理体制“。治理多样性”分析范式是一种治理的新科学,其分析框架主要包括“行动者、机制、物品属性、结构和绩效”等要素,核心是公共事务与治理系统的有效匹配,实现基于“多行动者——多机制——多属性——多结构——多目标”的治理,多样性是其内在逻辑。治理本身是一个复杂演进和相互调适的过程“。治理多样性”要应用于治理实践,就需要发展出“诊断、设计和学习模型”。     

Examining the Scope for National Lesson‐drawing on Climate Governance

The need to understand the scope for comparative lesson‐drawing on national‐level climate mitigation policy has acquired added significance due to the current impasse in international‐level governance. Greater policy learning or lesson‐drawing among peers at the national level could, to an extent, foster meaningful developments by overcoming generalised international apathy and inaction. In this respect, we analyse the features of one significant example of national climate policy in order to examine the scope for lesson‐drawing, thereby setting out a normative research agenda. The UK Climate Change Act 2008 remains one of the few examples of legally enshrined national mitigation legislation and hence provides a relevant, but surprisingly under‐researched, source of learning for policy‐makers worldwide. By analysing its development, critical features and implementation, this article shows that—despite criticism of the sustainability and implementation effectiveness of the Act—some aspects of the policy could provide lessons for other states, and hence are potentially transferable extraterritorially, although lesson‐drawing itself is conditional on contextual constraints.     

The effects of boundary spanners on trust and performance of urban governance networks: findings from survey research on urban development projects in the Netherlands

Previous research has extensively analyzed the role, and indicated the importance, of network management for the functioning and performance of public or governance networks. In this article, we focus on the influence of boundary spanning actors in such networks—an aspect less examined in the governance network literature. Boundary spanners are considered to be important for governance network performance. Building on the literature, we expect a mediating role of trust in this relationship. To empirically test these relationships, we conducted survey research (N = 141) among project managers involved in urban governance networks: networks around complex urban projects that include the organizations involved in the governance process (the formulation of policies, decision making, and implementation) in these complex projects. We found a strong positive relationship between the presence of boundary spanners and trust and governance network performance. The results indicate a partially mediating role of trust in this relationship. Furthermore, we found that these boundary spanners originated mainly from private and societal organizations, and less from governmental organizations.     

乡村振兴进程中协商民主嵌入乡村治理的内在机理与路径选择

协商民主作为重要的民主制度设计和治理形式,对于优化乡村治理具有极为重要的意义与价值。将协商民主嵌入乡村治理,实现协商民主与乡村治理的有效融合,契合党和政府推动乡村振兴战略顺利实施的迫切需要。协商民主嵌入乡村治理体系和治理过程,不是单纯的制度吸纳和整合,而是包括制度嵌入、行动嵌入和认知嵌入在内的多维嵌入结构和过程。从全国各地的治理实践来看,民主协商机制尚未真正嵌入乡村治理的各个环节和各个领域,协商民主的制度优势和治理功能未得到充分发挥。为此,必须加快协商民主嵌入乡村治理的进程,将协商民主理念嵌入到广大农村基层干部和群众的认知之中,形成有事好商量的思维方式和行为习惯;不断健全与完善协商民主的各种体制机制,促进协商民主制度优势转化为乡村治理效能。     

城市减贫的权利再现

城市贫困的发生与城市化进程有关,也与城市权利的实现有关。在全球范围内,城市化多伴随着贫困的治理,收入的差距最终将摧毁城市健康成长的物质与权利结构。中国的城市贫困隐藏在城市化的宏大叙事之中,体现为城市公共生活的个体争取;在城市化已经完成的西方国家,城市贫困则体现为公共生活的机会丧失。从现象上看,城市贫困呈现出空间与职业的分布特征,但是劳动才是城市生活的权利起点,因此劳动权的保障应该成为城市政府的政策起点。在中国的城市化进程中,城乡之间、区域之间的权利差距势必驱动人口流入沿海发达城市,从而形成单向度的权利选择,给一些城市增加了治理难度。因此,中国的城市治理还要立足区域协同发展,确保无差别的城市权利的全过程保障。     

Enlargement,Institution-Building and the EU's Administrative Capacity Requirement

Does the EU governance of the Central and Eastern European candidate states unleash a process of Europeanisation? It is argued here that the current enlargement has generated its own mode of governance, characterised by asymmetry and conditionality. Enlargement governance has recently focused on developing administrative capacity or 'institution-building', defined as the creation of institutions necessary for the adoption and implementation of the acquis communautaire. This article examines horizontal administrative reform and attempts to define the conditions determining the success or failure of the EU's efforts in institution-building. The absence of common EU rules and norms, and the variation of domestic preferences about administrative reform, lead to varying degrees of success in administrative institution-building.     

Beyond Kyoto: Climate Change Policy in Multilevel Governance Systems

Climate change policy has commonly been framed as a matter of international governance for which global policy strategies can be readily employed. The decade of experience following the 1997 signing of the Kyoto Protocol suggests a far more complex process involving a wide range of policy options and varied engagement by multiple levels of governance systems. The respective experiences of the United States and Canada suggest that formal engagement in the international realm of policy is not a good indicator of domestic policy development or emissions reductions. The different contexts of intergovernmental relations, varied resources available to subnational governments for policy development and implementation, and role of subnational leaders in policy formation have emerged as important factors in explaining national differences between these North American neighbors. Consequently, climate change increasingly presents itself as a challenge not only of international relations but also of multilevel governance, thereby creating considerable opportunity to learn from domestic policy experimentation.     

EFFICIENCY VERSUS SOCIAL LEARNING: A RECONSIDERATION OF THE IMPLEMENTATION PROCESS

In a complex society committed to democratic norms a social learning perspective on the implementation process is more useful and appropriate than an efficiency, productivity perspective. The norms and assumptions underlying the efficiency emphasis to the implementation process are not applicable; nor do they exist in reality. An alternative set of assumptions based on a social learning approach to implementation is offered.     

A REGIME FRAMEWORK FOR IMPLEMENTATION ANALYSIS: COOPERATION AND RECONCILIATION OF FEDERALIST IMPERATIVES

The diffusion of authority characteristic of federal governance challenges national leadership and complicates even the implementation of policy that promises mutual gains. To explore the problems of implementing national policy in a federalist context, this paper proposes a new approach to analysis, t h e implementation regime framework. From the regime perspective, the essential task of the implementation process is to create a context in which implementors are likely to cooperate to achieve policy goals despite the absence of dominating authority. Drawing upon the literature on international cooperation, the regime framework outlines the contextual conditions and elements of policy design that are likely to lead to cooperation in collective decision making.