Assessing Instrument Mixes through Program‐ and Agency‐Level Data: Methodological Issues in Contemporary Implementation Research

Theories of policy instrument choice have gone through several “generations” as theorists have moved from the analysis of individual instruments to comparative studies of instrument selection and the development of theories of instrument choice within implementation “mixes” or “governance strategies.” Current “next generation” theory on policy instruments centers on the question of the optimality of instrument choices. However, empirically assessing the nature of instrument mixes is quite a complex affair, involving considerable methodological difficulties and conceptual ambiguities related to the definition and measurement of policy sector and instruments and their interrelationships. Using materials generated by Canadian governments, this article examines the practical utility and drawbacks of three techniques used in the literature to inventory instruments and identify instrument ecologies and mixes: the conventional “policy domain” approach suggested by Burstein (1991 ); the “program” approach developed by Rose (1988a ); and the “legislative” approach used by Hosseus and Pal (1997 ). This article suggests that all three approaches must be used in order to develop even a modest inventory of policy instruments, but that additional problems exist with availability and accessibility of data, both in general and in terms of reconciling materials developed using these different approaches, which makes the analysis of instrument mixes a time‐consuming and expensive affair.     

Engines of learning? Policy instruments,cities and climate governance

Policy Sciences - This contribution investigates how combinations of instruments, often called policy mixes, enhance policy learning processes at different levels. It analyzes the European...     

Policy Conflict Framework

This essay introduces a Policy Conflict Framework to guide and organize theoretical, practical, and empirical research to fill the vacuum that surrounds policy conflicts. The framework centers on a conceptual definition of an episode of policy conflict that distinguishes between cognitive and behavioral characteristics. The cognitive characteristics of a policy conflict episode include divergence in policy positions among two or more actors, perceived threats from opponents’ policy positions, and unwillingness to compromise. These cognitive characteristics manifest in a range of behavioral characteristics (e.g., framing contests, lobbying, building networks). Episodes of policy conflicts are shaped by a policy setting, which consists of different levels of action where conflicts may emerge (political, policy subsystem and policy action situations), interpersonal and intrapersonal policy actor attributes, events, and the policy issue. In turn, the outputs and outcomes of policy conflicts produce feedback effects that shape the policy setting. This essay ends with an agenda for advancing studies of policy conflicts, both methodologically and theoretically.     

Market imperfections,government imperfections,and policy mixes: policy innovations in Singapore

Proper roles for government and market in addressing policy problems may be assessed by considering the duality between market imperfections and government imperfections. The potential of government interventions or market mechanisms as core policy instruments can be eroded by fundamental deficiencies deeply rooted in either government or market as social institutions. The impacts of such deficiencies are much more extensive than postulated by the existing theories. Analysis here, based on policy innovations in land transport and health care in Singapore, suggests how policy mixes might become the norm of response for addressing policy problems found in a range of sectors. The analytical framework presented may help to distinguish among different policy mixes according to their effectiveness, but also provides some useful guiding principles for policy design.     

The unpopularity of incentive-based instruments: what improves the cost–benefit ratio?

Whereas ecological economists argue strongly in favor of incentive-based approaches to promote renewable energy sources and reduce energy consumption, those instruments have been shown to be particularly difficult to implement politically. We begin with a recognition that cost perceptions that inherently characterize incentive-based policy instruments are a fundamental reason for their unpopularity. We therefore argue that the crucial question that policymakers need to address is how the benefit–cost ratios of incentive-based instruments can be altered in ways such that their inherent costs become acceptable. By focusing on the various features of these instruments, we propose three strategies for answering this question theoretically: objectively reduce the costs, reduce the visibility of the costs, and identify compensation strategies, i.e., strengthen the benefit side of the equation. Based on a conjoint analysis for Switzerland, our results demonstrate that reducing objective and perceived costs may indeed strengthen support for incentive-based policy instruments, whereas cost compensation does not seem to work as well. We show, moreover, that the latter can be explained by the fact that substantial numbers of voters do not understand or are not convinced by the commonly proposed mechanism of environmental taxes. Given that voters do not believe in the usefulness and efficacy of incentive-based policy measures, no cost compensation is feasible.     

养老产业政策体系及其协调性--基于政策文本的量化分析

发展养老产业是应对未来深度老龄化的重要国家战略。聚焦养老产业政策体系,构建其协调性分析框架,选取调查2006—2018年中央、陕西省及安康市的资料,分析国家、省、市三级层面现行养老产业政策文本,应用MAXQDA软件对其进行编码,采用文本内容分析、共词分析、社会网络分析与聚类分析方法,对养老产业政策层级、政策发展历程、政策主体、政策效力、政策专项性、政策内容等进行双维协调性定量分析。研究发现:养老产业政策体系内部不同层级之间政策联系紧密,涉及的政策各要素较为完备,但仍然存在纵向、横向维度中的不协调因素。应通过丰富养老产业政策类型与内容、优化体系结构、加强相关部门合作等有效措施,进一步提升养老产业政策体系的协调性,为推动养老产业的健康可持续发展奠定制度基础。     

公共政策研究的新进展

近年来,公共政策研究正变得越来越多样化,出现了大量方法和理论,也表现为这些研究分散在各种特定领域的政策中。国家概念是政策理论的中心,但要将国家理论应用于政策研究却不容易“。阶段”方法是政策研究中长期以来占主导地位的研究方法之一,但它只是一种初级方法。新制度主义方法将政策制定过程推向了一种重要的比较分析方式,为解释政策的异同提供了制度解释维度,但它太笼统,考虑范围过于宽泛。而新制度主义者经常选择特定政策领域或部门进行分析,这是一个重要进展,因为政策制定是在特定部门或领域中进行的,仅仅集中关注国家及其行政、立法、司法机构是不够的。政策网络方法体现了研究者对于政策制定中国家与社会组织之间更普遍、更早的兴趣,但它除了描述外并不能帮助我们在理论发展中走得更远。理性方法是一个很有用的方法,当然它不能把理性选择作为对决策的惟一解释。在合作模式中,国家及其各个层次不再被看作合作的惟一机制,它表明市场和网络作为合作的另一种机制或原则正越来越受到重视。而时下十分流行的治理理论并没有形成真正行之有效的手段和方法,它可能仅仅是一个时髦词汇。如果把治理的要点放在使国家、市民社会、市场、网络这些不同工具和机制的互相协作上,治理就会成为一个有创造性的和深刻的分析方法。     

When Diversity Works: The Effects of Coalition Composition on the Success of Lobbying Coalitions

Lobbyists frequently join forces to influence policy, yet the success of active lobbying coalitions remains a blind spot in the literature. This article is the first to test how and when characteristics of active coalitions increase their lobbying success. Based on pluralist theory, one can expect diverse coalitions, uniting different societal interests, to signal broad support to policy makers. Yet, their responsiveness to this signal (i.e., signaling benefits) and contribution incentives within the coalition (i.e., cooperation costs) are likely to vary with issue salience. This theory is tested on a unique data set comprising 50 issues in five European countries. Results reveal a strong moderating effect of salience on the relationship between coalition diversity and success: On less salient issues, homogenous coalitions are more likely to succeed, whereas the effect reverses with higher salience, where diverse coalitions are more successful. These findings have implications for understanding political responsiveness and potential policy capture.     

Implementing transition management as policy reforms: a case study of the Dutch energy sector

Proposals to alter large-scale socio-technical systems through government actions in order to promote goals such as sustainability are highly uncertain policy projects. What is being proposed is the replacement of specific elements of existing policy ‘mixes’—the goals and means—by others, in the expectation of avoiding counterproductive or sub-optimal policy outcomes. While laudable, such efforts are fraught with risks; including the possibility of the creation of sub-optimal policy mixes or of failed reform efforts with resulting poor outcomes. This article develops a model and typology of policy regime change processes and outcomes following Thelen and others in arguing that complex policy mixes typically emerge through one or more of four processes, ‘drift’, ‘conversion’, ‘layering’ and ‘replacement’, and that the expected outcomes of these different processes in terms of their ability to meet initial expectations are linked to the manner in which policy goals and means are (or are not) combined in a consistent, coherent and congruent fashion. This propensity is illustrated through examination of the case of energy transition management as practiced in the Netherlands.     

Revisiting the governance of privacy: Contemporary policy instruments in global perspective

The repertoire of policy instruments within a particular policy sector varies by jurisdiction; some “tools of government” are associated with particular administrative and regulatory traditions and political cultures. It is less clear how the instruments associated with a particular policy sector may change over time, as economic, social, and technological conditions evolve. In the early 2000s, we surveyed and analyzed the global repertoire of policy instruments deployed to protect personal data. In this article, we explore how those instruments have changed as a result of 15 years of social, economic and technological transformations, during which the issue has assumed a far higher global profile, as one of the central policy questions associated with modern networked communications. We review the contemporary range of transnational, regulatory, self‐regulatory, and technical instruments according to the same framework, and conclude that the types of policy instrument have remained relatively stable, even though they are now deployed on a global scale. While the labels remain the same, however, the conceptual foundations for their legitimation and justification are shifting as greater emphases on accountability, risk, ethics, and the social/political value of privacy have gained purchase. Our analysis demonstrates both continuity and change within the governance of privacy, and displays how we would have tackled the same research project today. As a broader case study of regulation, it highlights the importance of going beyond technical and instrumental labels. Change or stability of policy instruments does not take place in isolation from the wider conceptualizations that shape their meaning, purpose, and effect.     

Partisan effects in morality policy making

Current comparative policy research gives no clear answer to the question of whether partisan politics in general or the partisan composition of governments in particular matter for different morality policy outputs across countries and over time. This article addresses this desideratum by employing a new encompassing dataset that captures the regulatory permissiveness in six morality policies that are homosexuality, same‐sex partnership, prostitution, pornography, abortion and euthanasia in 16 European countries over five decades from 1960 to 2010. Given the prevalent scepticism about a role for political parties for morality policies in existing research, this is a ‘hard’ test case for the ‘parties do matter’ argument. Starting from the basic theoretical assumption that different party families, if represented in national governments to varying degrees, ought to leave differing imprints on morality policy making, this research demonstrates that parties matter when accounting for the variation in morality policy outputs. This general statement needs to be qualified in three important ways. First, the nature of morality policy implies that party positions or preferences cannot be fully understood by merely focusing on one single cleavage alone. Instead, morality policy is located at the interface of different cleavages, including not only left‐right and secular‐religious dimensions, but also the conflicts between materialism and postmaterialism, green‐alternative‐libertarian and traditional‐authoritarian‐nationalist (GAL‐TAN) parties, and integration and demarcation. Second, it is argued in this article that the relevance of different cleavages for morality issues varies over time. Third, partisan effects can be found only if individual cabinets, rather than country‐years, are used as the unit of analysis in the research design. In particular, party families that tend to prioritise individual freedom over collective interests (i.e., left and liberal parties) are associated with significantly more liberal morality policies than party families that stress societal values and order (i.e., conservative/right and religious parties). While the latter are unlikely to overturn previous moves towards permissiveness, these results suggest that they might preserve the status quo at least. Curiously, no systematic effects of green parties are found, which may be because they have been represented in European governments at later periods when morality policy outputs were already quite permissive.     

The Centralisation of Parliamentary Policy Statements in Western European Parliaments

Parliamentarians and their party groups can employ many different instruments to communicate policy statements to their electorate (debates in plenary, presentations of committee reports, oral questions, written questions, and interpellations). Therefore, the design of these instruments should be analysed in one common framework. This paper seeks to provide a first step towards this goal by mapping and explaining the centralisation of parliamentary policy statements in all western European countries with a parliamentary system. It is argued that, on a theoretical level, there are two different causes for a stronger or weaker centralisation of the instruments of parliamentary policy statements: the electoral connection and efficiency. Empirically, it is shown that there are striking differences in centralisation both within and between countries which are worth exploring further. Moreover, the results of the statistical models suggest that the electoral connection is the driving factor behind the centralisation of the instruments of parliamentary policy statements.     

Policy science: A conceptual and methodological analysis

In the first section policy science is differentiated from policy analysis, the notion of policy is defined, and an analysis of the concept of policy science is offered which gives emphasis to what is unique in this intellectual endeavor when it is conceived as a general method of problem solving. Section II provides a discussion of the criteria of rationality for the conduct of policy science. Attention is focused upon the methodological differences between science and policy science and upon certain methodological difficulties which are peculiar to policy science. The third section gives consideration to one important relationship between facts and values in the policy science process. While it is generally well recognized that values enter into policy science in a way they do not enter into science, it is also widely held that they do not operate in such a way as to frustrate the central objective of the policy scientist (i.e., the solution or alleviation of a policy problem). It is argued that the relation between values and facts in policy science is frequently such as to have this undesired frustrative effect.     

From the ‘old’ to the ‘new’ policy design: design thinking beyond markets and collaborative governance

Policy design as a field of inquiry in policy studies has had a chequered history. After a promising beginning in the 1970s and 1980s, the field languished in the 1990s and 2000s as work in the policy sciences focused on the impact on policy outcomes of meta-changes in society and the international environment. Both globalization and governance studies of the period ignored traditional design concerns in arguing that changes at this level predetermined policy specifications and promoted the use of market and collaborative governance (network) instruments. However, more recent work re-asserting the role of governments both at the international and domestic levels has revitalized design studies. This special issue focuses on recent efforts in the policy sciences to reinvent, or more properly, ‘re-discover’ the policy design orientation in light of these developments. Articles in the issue address leading edge issues such as the nature of design thinking and expertise in a policy context, the temporal aspects of policy designs, the role of experimental designs, the question of policy mixes, the issue of design flexibility and resilience and the criteria for assessing superior designs. Evidence and case studies deal with design contexts and processes in Canada, China, Singapore, the UK, EU, Australia and elsewhere. Such detailed case studies are necessary for policy design studies to advance beyond some of the strictures placed in their way by the reification of, and over-emphasis upon, only a few of the many possible kinds of policy designs identified by the 1990s and early 2000s literature.     

Policy capacity and rise of data-based policy innovation labs

In scarcely a decade, a “labification” phenomenon has taken hold globally. The search for innovative policy solutions for social problems is embedded within scientific experimental-like structures often referred to as policy innovation labs (PILs). With the rapid technological changes (e.g., big data, artificial intelligence), data-based PILs have emerged. Despite the growing importance of these PILs in the policy process, very little is known about them and how they contribute to policy outcomes. This study analyzes 133 data-based PILs and examines their contribution to policy capacity. We adopt policy capacity framework to investigate how data-based PILs contribute to enhancing analytical, organization, and political policy capacity. Many data-based PILs are located in Western Europe and North America, initiated by governments, and employ multi-domain administrative data with advanced technologies. Our analysis finds that data-based PILs enhance analytical and operational policy capacity at the individual, organizational and systemic levels but do little to enhance political capacity. It is this deficit that we suggest possible strategies for data-based PILs.     

The quest for a better performing health system: Public expertise and corporate management recipes in France

Though the government pledged to cut the public deficit from 7.7% of the gross domestic product in 2010 to 3% by 2013, thereby responding to EU Normative power, health expenditures continue to rise, because public demands are higher and more social problems are handled in the health care setting. With French budget deficit threatening France's credit rating, novel instruments were needed. These included corporate management recipes (e.g., pay for performance contracts, patient volume targets, and management by objectives), new compensation mechanisms (e.g., activity‐based accounting and a nationwide scale of health care costs) and far‐reaching laws (e.g., the 2009 HPST bill). Our approach investigates some critical elements of the French health care system. We focus on primary (e.g., family physicians and General Practitioners) and secondary (e.g., hospital and specialty) care. We explore how policies such as the standardization of health services, the regrouping of health policy decisions within the larger Regional Health Agencies, affected citizens' engagement and physicians' autonomy. A French welfare elite pursued a hybrid strategy, regulating quasi‐markets of care providers in a postcompetitive government, while creating supportive conditions for a vibrant private hospital sector. Reforms also emphasized evidenced‐based policy, outputs‐rather than outcome‐measurement, and performance evaluation in a bid to streamline the delivery of health services.     

Governing sustainable palm oil supply: Disconnects,complementarities, and antagonisms between state regulations and private standards

The global palm oil value chain has grown in complexity; stakeholder relationships and linkages are increasingly shaped by new public and private standards that aim to ameliorate social and environmental costs while harnessing economic gains. Regulatory initiatives in the emerging policy regime complex struggle to resolve sector‐wide structural performance issues: pervasive land conflicts, yield differences between companies and smallholders, and carbon emissions arising from deforestation and peatland conversion. Identifying opportunities for more effective governance of the palm oil value chain and supply landscapes, this paper explores disconnects, complementarities, and antagonisms between public regulations and private standards, looking at the global, national, and subnational policy domains shaping chain actors’ conduct. Greater complementarities have emerged among transnational instruments, but state regulation disconnects persist and antagonisms prevail between national state regulations and transnational private standards. Emerging experimental approaches, particularly at subnational level, aim to improve coordination to both enhance complementarities and resolve disconnects.     

Between workfare and enablement – The different paths to transformation of the welfare state: A comparative analysis of activating labour market policies

Abstract.  The concepts that address different paths to transformation of the welfare state as a 'workfare', an 'enabling' or an 'activating' state share the idea that traditional welfare policies, mostly aiming at decommodification, are more and more replaced by social policies emphasising (re-)commodification. Activating labour market policy therefore is supposed to play a central role within the paradigm shift of welfare state policies. It is understood to involve a mix of the enforcement of labour market participation, the conditioning of rights and growing obligations of the individual at one side, and an increase of services in order to promote employability and restore social equity at the other. In this article, the different perceptions of the workfare and the enabling state perspectives on the positive and negative aspects of activating policies are reconstructed as 'pure forms' in order to obtain theoretical standards against which the empirical cases of activating labour market policies in Denmark, the United Kingdom and Germany are characterised and compared. The actual reform path is described by a combination of two indicators: the strength of the workfare and the strength of the enabling elements of the activating labour market policies. The evidence on activating labour market reforms confirms that in both dimensions a move in the same direction is taking place, but without producing growing convergence. Different welfare state types keep on producing different mixes of workfare and enabling policies, leading to very different levels of decommodification and (re-)commodification. Thus, an ongoing divergence of policies also exists within the new paradigm of an activating labour market policy, although single countries seem to change their alignment to a particular welfare state type.     

Managing for Legitimacy: Agency Governance in Its “Deep” Constitutional Context

Recent literature on bureaucratic structure has gone further than studying discretions given to bureaucrats in policy making, and much attention is now paid to understanding how bureaucratic agencies are managed. This article proposes that the way in which executive governments manage their agencies varies according to their constitutional setting and that this relationship is driven by considerations of the executive's governing legitimacy. Inspired by Charles Tilly (1984), the authors compare patterns of agency governance in Hong Kong and Ireland, in particular, configurations of assigned decision‐making autonomies and control mechanisms. This comparison shows that in governing their agencies, the elected government of Ireland's parliamentary democracy pays more attention to input (i.e., democratic) legitimacy, while the executive government of Hong Kong's administrative state favors output (i.e., performance) legitimacy. These different forms of autonomy and control mechanism reflect different constitutional models of how political executives acquire and sustain their governing legitimacy.     

Welfare expansion revisited: policy routines and their mediation by party, class and crisis, 1957–1982

Abstract. Post-war welfare effort (i.e., welfare spending as a share of national income) in advanced capitalist political democracies is proposed to result from policy routines emphasized in the traditional academic literatures complemented and mediated by class-linked factors stressed in the 'new political economy' literature. Both sets of factors are integrated into a single conception of state policy-making. In this, self-interested elite and administrative state personnel respond to their environments by means of relatively discretionary and relatively automatic policy routines, respectively. Left and non-Left governments mediate these routines and do so differently in different long-term institutional (strong-union versus weak-union) and macroeconomic (expansionary versus crisis) contexts. Welfare expansion is found to be amply explained by the proposed processes, differentiated by context. Left parties and militants are found to matter primarily in contexts marked by 'Left corporatism'(or strong unions) and/or by relatively 'expansionary economic climates'. Ironically, Left-party governments in Left corporatist contexts are found to be particularly sensitive to inflation where transfer spending is concerned. Where unions are strong, policy making is generally less incremental and more flexible. After 1973, policy sensitivity to real economic growth or decline looms large, and working-class-linked politics are muted where unions are weak, most especially where they are decentralized.