Arenas as Institutional Sites for Policymaking: Patterns and Effects in Comparative Perspective

In comparative approaches to the policy process, policymaking institutions are usually considered at the level of political systems. Countries, however, may vary not only in systemic institutions but also in types of policymaking arenas within specific domains. Systematic attention to this variation in policy arenas at both levels may complement existing theories of the policy process that focus on other explanatory variables and may increase the comparative potential of these approaches. As an explanatory variable, arena variation makes a difference to policy results in that it may increase or decrease the potential for policy change sought by policy entrepreneurs.     

Understanding Co-Production as a Policy Tool: Integrating New Public Governance and Comparative Policy Theory

Co-production is an area of policy making in many countries which has received little treatment in the policy studies literature. It has been studied in the field of public administration and public management however, albeit mainly in the case of education-related activities in Scandinavian countries. Using the cases of co-production of support services for the disabled and the elderly in the little-studied programs found in Croatia and Thailand as illustrative examples, this article examines how the concept of co-production can be viewed as an example of the use of a new policy tool, bringing together the insights of both policy and management theory in order to understand its origins and evolution. The article highlights the importance of viewing co-production using an integrated lens if studies of co-production are to advance.     

The Welfare Conventions Approach: A Comparative Perspective on Social Impact Bonds

Abstract

The Social Impact Bond (SIB) is a new funding mechanism for welfare programs. It is supposed to create savings for the public sector from which private returns can be deducted. Presented as a purely technical solution, SIBs discard their political morality. The Welfare Convention Approach (WCA) is designed for studying SIBs as disputed and versatile welfare apparatuses. It is claimed that elements from diverse historical welfare conventions (the philanthropic, communitarian, civic, market, full employment, entrepreneurial, financial, and behavioral) reveal the diverse institutional conflicts and compromises of SIBs at the time they are implemented. In so doing, the WCA informs comparative research on SIBs.     

Comparative Social Security: The Challenge of Evaluation

There has been dramatic global expansion in the national provision of social security programs throughout the twentieth century. This has provided very fertile ground for the comparative analysis of social security programs and systems over the last forty-five years. Most comparative studies, however, have, been content to describe and compare strategies, programs, institutions and values at the multinational or regional levels. There has been considerable reluctance either to engage in global studies or to embark on comparative-evaluative studies. This paper seeks to fill this gap by providing a framework for an evaluation methodology that permits the global ranking of social security systems and programs.     

Comparative Implementation Research: Directions and Dualities

Abstract

The study of policy implementation developed steadily and considerably in the 1970s and 1980s through two generations of research. Since then progress towards a more rigorous scientific “third generation research paradigm”, assumed to be crucial for further theoretical development, has been much slower and more uneven. Comparative studies figure prominently in this respect. On one hand they are strongly encouraged but on the other they are difficult to conduct according to best practice advice in the textbooks. Comparative implementation research is the theme of this special issue. In this Introduction the articles included are presented, focusing on how they deal with some of the issues posed by the norms of a rigorous “third generation” approach. Reasons for the state of affairs in implementation research are discussed. Some inherent dualities and tensions in contemporary comparative implementation research are identified as particular challenges.     

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.     

Institutional dynamics in loosely coupled federal systems: The cases of Argentina and Venezuela

This article takes up recent work on path dependence and dynamism in federal systems. It argues that historical institutionalist suppositions derived from tightly coupled federations cannot be extended to loosely coupled federal systems, as are found in Latin America. Loose coupling means that interaction between actors and state levels is contentious and informal. Loosely coupled federations are less prone to path dependence and exhibit a strong propensity to institutional dynamics, especially after decentralization. In this article, the focus is on the relationship between party system and federal structure to show how the interaction between both components in the context of loose coupling can lead to swift shifts towards centralization or decentralization. By examining two cases, Argentina and Venezuela, the relevant mechanisms of institutional interaction are carved out and the resulting dynamics are reconstructed.     

Grassroots International NGOs: Using Comparative Interpretive Policy Analysis to Understand Meanings in Private Development Aid

Abstract

This research comparatively examines grassroots international NGOs (GINGOs), a growing subset of international nongovernmental organizations (INGOs) working in private development aid. GINGOs are small-scale, on-going development initiatives through voluntary third sector organizations. How do GINGOs’ founders and volunteers understand their role in private development aid? The article uses an interpretive framework to examine three in-depth comparative case studies of GINGOs based in the US and working in South Sudan, Nepal and Haiti. Its contribution is that it provides rich data to build further theory about the experiences, or multiple realities, in private development aid. It is found that GINGOs’ founders and volunteers attach new meanings to private development aid to distinguish themselves from larger professionalized INGOs and emphasize personal connections.     

Social Citizenship of Young People in Europe: A Comparative Institutional Analysis*

This article explains the diversity of young people’s access to social welfare by distinguishing between two models of social citizenship in a comparative analysis of 15 Western European countries. On the one hand, social citizenship can be familialized, when young people are considered as children and therefore do not receive state benefits in their own name. This form of citizenship is found in Bismarckian welfare states, based on the principle of subsidiarity. On the other hand, it can be individualized, in which case young people can be entitled to benefits in their own right, insofar as they are considered as adults. This form of social citizenship is found more in Beveridgean welfare states.     

Institutional Differences and Local Government Performance: Evidence from Property Tax Assessment Quality

Abstract

This article examines the relationship between institutional differences embedded in local governance structures and government performance in the specific context of property assessment. In order to provide deeper insight into why certain governance structures perform better than others, we focus on the impact of nested levels of institutions—constitutional-level and substantive-level rules of governance—beyond the conventional perspective of the form of government. Based on panel data of cities and towns in New York State between 1993 and 2010, our analysis indicates that, among other institutional arrangements, municipalities employing the council–manager form with appointed assessors are most likely to achieve higher levels of assessment quality (uniformity) of the residential property. This indicates that having politically independent (more career-oriented), low-powered appointed governance structures rather than politically risk-averse (more voter-oriented), high-powered elected counterparts are more likely to be effective at reducing risk in tax equity issues, thus providing better financial performance.     

Information and Environmental Policy: A Tale of Two Agencies

In recent years, scholars and practitioners have focused increasing attention on the role of information in achieving environmental policy goals. This article develops a framework for understanding how information is used in making environmental policy, and compares the kinds of information development and communication efforts undertaken by the U.S. Environmental Protection Agency (EPA) and the European Environment Agency (EEA). The analysis suggests that institutional factors such as organizational structure and the mix of policy instruments used by the agency affect the kinds of information efforts undertaken. It also suggests possible areas of focus for environmental information efforts within the EPA and the EEA. These suggestions and the framework provided may also be of use to other environmental agencies.     

Varieties of Social Policy by Other Means: Lessons for Comparative Welfare State Research

Abstract

Scholars can take a broader look at social policy and understand that traditional public welfare state programs are only one of the many potential sources of social protection and regulation. The contributions of this special issue invite social policy scholars to explore policy instruments that provide “social policy by other means” across a wide array of areas, including agriculture, energy, immigration, taxation, and legal regulation of private benefits and services. The article provides a concise overview of some of the key theoretical and empirical implications of social policy by other means for comparative welfare state research. In order to do this, it is divided into two main sections, which respectively discuss the nature and boundaries of social policy and the varieties of social policy by other means. This is followed by a short conclusion, which summarizes the key lessons of this special issue for comparative welfare state research.     

The many uses of regulatory impact assessment: A meta‐analysis of EU and UK cases

Research on regulation has crossed paths with the literature on policy instruments, showing that regulatory policy instruments contain cognitive and normative beliefs about policy. Thus, their usage stacks the deck in favor of one type of actor or one type of regulatory solution. In this article, we challenge the assumption that there is a predetermined relationship between ideas, regulatory policy instruments, and outcomes. We argue that different combinations of conditions lead to different outcomes, depending on how actors use the instrument. Empirically, we analyze 31 EU and UK case studies of regulatory impact assessment (RIA) – a regulatory policy instrument that has been pivotal in the so‐called better regulation movement. We distinguish four main usages of RIA, that is, political, instrumental, communicative, and perfunctory. We find that in our sample instrumental usage is not so rare and that the contrast between communicative and political usages is less stark than is commonly thought. In terms of policy recommendations, our analysis suggests that there may be different paths to desirable outcomes. Policymakers should therefore explore different combinations of conditions leading to the usages they deem desirable rather than arguing for a fixed menu of variables.     

The Use of Hypothetical Household Data for Policy Learning: Comparative Tax‒Benefit Indicators Using EUROMOD HHoT

Abstract

Tax?benefit microsimulation models are typically used to quantify the effect of specific policy changes on the income distribution based on representative microdata. Such analysis evaluates policies by considering how different tax?benefit elements interact given personal, household and labour market characteristics. Using hypothetical household data instead helps address broader questions of policy design and systemic (cross-national) differences. This article introduces the Hypothetical Household Tool (HHoT) in combination with the microsimulation model EUROMOD to analyse European tax?benefit policies from a comparative perspective. It presents a series of applications from social welfare analysis illustrating how hypothetical data can benefit comparative academic and policy research.     

Policy Advocacy in Transitioning Regimes: Comparative Lessons from the Case of Harbour Protection in Hong Kong

Current research on policy advocacy relies exclusively on established regimes where instability is largely contained. Using the harbour protection advocacy in Hong Kong as an exploratory case, the article documents how conservationists exploited the unique opportunities arising from the transfer of sovereignty to advance heritage protection policy. Three new strategic choices in policy advocacy are identified. First, policy advocates strategically switched between issue frames instead of becoming strongly identified with any issue frame. Second, they avoided prolonged involvement by pursuing modest, programme-level adjustments. Third, they circumvented the restrictions on scope and focus by creating new venues outside of the policy subsystem.     

Pension Programs Around the World: New Comparative Global Policy Data

Abstract

Income protection during old age is a universally recognized human right. Are nations fulfilling their responsibility for income support for older adults? Using a new global dataset on social protection conceptualized and built by two of the authors, this paper examines whether countries have legislated for national pension systems, and the characteristics and adequacy of those systems.     

Active Citizenship in the UK: Assessing Institutional Political Strategies and Mechanisms of Civic Engagement

Abstract

Shaping active citizenship, motivating civic engagement, and increasing political participation of minority groups have become some of the key political priorities in the UK since at least the end of the 1980s. Academic research shows that this shift goes hand-in-hand with a review of the integration policies in the country. The ‘politics of integration’ correspond in fact to a policy response to various social problems (such as discrimination, racism, intolerance) that emerged in various areas, and represent a new political discourse regarding active citizenship. This reflects an overall strategy meant to reframe the basis for civic and political engagement and participation in Britain. Our article is thus meant to highlight the dynamics underlying the development of the concept of active citizenship in the UK by looking at the factors that intervene in its shaping and enhancement. We identify political priorities and key mechanisms of participation that enable engagement in the public sphere. This article first considers the development of the specific ‘British discourse’ regarding active citizenship by taking into consideration the political priorities that emerged as part of the New Right discourse in the 1980s and then New Labour after 1997. We then refer to a set of data collected during our field work conducted in the UK between 2010 and 2011 with civil society activists and policy-makers in order to underline the meaning, practices, and feasibility of active citizenship.     

Designing Policy Pilots under Climate Uncertainty: A Conceptual Framework for Comparative Analysis

Abstract

An ongoing challenge while designing policies pertains to their proportionality with the change that is likely or expected in a future policy context. This article conceptualizes proportionality as a feature of policy design to compare different policy strategies launched in response to current and expected changes in the policy context and contributes to comparative policy theory and practice. The conceptual framework is operationalized with climate change as a complex policy problem that challenges policymakers in designing proportionate strategies to enable adaptation to change in the climate and associated impacts. Under conditions of uncertainty, policy piloting provides an opportunity to experiment and test the design features of alternatives to status quo policies to function in a changed policy context. The theoretical discussion is supplemented with examples of policy pilots launched as a form of policy experimentation to address climatic risks to agriculture in rainfed zones of India. Policy design features in four settings of change in policy context, ranging from small-scale incremental to highly flexible adaptive responses, are compared using the framework of proportionality.