The power of process: State capacity and climate policy

State capacity is central to the provision of public goods, including environmental protection. Drawing on climate policy making, this article argues that the division of labor between the bureaucracy and legislature in policy formulation is a critical source of state capacity. In cases of bureaucratic policy design, the legislature sets policy goals and delegates policy design to bureaucracies. This division of labor shifts distributional conflict to autonomous bureaucracies, allowing for effective policy design. California followed this path in climate policy making, setting it on track to meet climate goals. In cases of legislative policy design, bureaucracies set goals and legislatures design policy measures. Since legislators have incentives to respond to vested interests, legislative policy design is vulnerable to regulatory capture. In Germany, legislative policy design in climate policy making is preventing attainment of emissions reduction goals, as industry interests succeeded in blocking key policy measures. Our findings highlight procedural sources of state capacity.     

Civic Networks, Legitimacy and the Policy Process

In ethnically divided developing countries, avenues permitting popular participation in the policy process seem essential if the state is to be viewed as legitimate. Frequently, however, mechanisms intended to build legitimacy by providing for popular participation fail to achieve this target. This article analyzes the policy process in Mauritius, and argues that it combines characteristics of both policy networks and civil society. We term this form of popular consultation on policy a "civic network," and we present research which suggests that it has been successful in building legitimacy. By comparing this civic network with other forms of popular participation, we are able to identify the characteristics which seem to make it more effective. The effects of popular participation on the policy capacity of a state are more mixed, but in the case of Mauritius, we conclude that by increasing legitimacy, the civic network also increased state policy capacity.     

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.     

Testing the Discourse of Declining Policy Capacity: Rail Policy and the Department of Transport

It has been observed that countries that implemented new public management (NPM) reforms are currently witnessing growing complaints about a decline in the policy capacity of their public services. Australia is a part of this trend with public sector leaders increasingly voicing concern about policy capacity decline within the Australian Public Service (APS). This article sets out to examine whether there is an empirical basis for this discourse and to assess allegations that NPM reforms have contributed to any related shifts. It draws on rail policy and the Department of Transport as its case study. It finds that the reforms transformed role of the department in a way that enhanced strategic policy capacity. However, the reforms also introduced a number of structural impediments that make it difficult for the new role to be effectively executed .     

公共政策工具研究的意义、基础与层面

在经济社会转型、推进经济社会进步的过程中,政府的主要手段之一就是公共政策。而所采取的公共政策的实践效果如何本身就反映出政府的执政能力。从当前各国公共政策的实践和理论来看,关于政策工具的研究已经成为有关公共政策研究的一种发展的潮流。在这方面的理论和实践上的不足,向人们提出了严峻的挑战。论证了在公共政策过程中,关于政策工具的选择、比较以及关于不同政策工具之间存在差异性、互动性的了解,对于取得公共政策的成效来说,有着极为重要的意义;概述了近年来推动公共政策工具研究的学科基础(如经济学、法学和公共管理学等)以及社会实践基础;阐述了值得开展政策工具研究的一些主要的视角和方面,这些方面的研究无论是就理论还是就实践来说均有着重要的价值。     

Better than Nothing: How Policies Influence Political Participation in Low‐Capacity Democracies

A growing body of policy feedback work demonstrates that citizens' experiences with public policy influence the way they participate in politics. Most of this work takes place in advanced industrial democracies, but the nuances of policy design influencing participation in advanced democracies are often irrelevant for those in low‐capacity democracies. This study extends the policy feedback framework to address how policies might “feed back” differently in low‐capacity countries with uneven basic service delivery. In low‐capacity democracies, the most salient distinction is between those who have access to basic state‐provided services and those who do not. Using original data collected in Zambia, it demonstrates that those who have even marginal access to state services have higher levels of political engagement and political participation than those without access, indicating that imperfect extension of services may help boost democratic citizenship in developing countries.     

Achilles' heels of governance: Critical capacity deficits and their role in governance failures

This article assesses the usefulness of conceptions of policy capacity for understanding policy and governance outcomes. In order to shed light on this issue, it revisits the concept of governance, derives a model of basic governance types and discusses their capacity pre‐requisites. A model of capacity is developed combining competences over three levels of activities with analysis of resource capabilities at each level. This analysis is then applied to the common modes of governance. While each mode requires all types of capacity if it is to match its theoretically optimal potential, most on‐the‐ground modes do not attain their highest potential. Moreover, each mode has a critical type of capacity which serves as its principle vulnerability; its “Achilles' heel.” Without high levels of the requisite capacity, the governance mode is unlikely to perform as expected. While some hybrid modes can serve to supplement or reinforce each other and bridge capacity gaps, other mixed forms may aggravate single mode issues. Switching between modes or adopting hybrid modes is, therefore, a non‐trivial issue in which considerations of capacity issues in general and Achilles' heel capacities in particular should be a central concern.     

Rebuilding Policy Capacity in the Era of the Fiscal Dividend: A Report from Canada

After two decades of focusing on deficit reduction and restructuring of operations, governments in many areas of the world are once again contemplating new policies and expenditures. In Canada, where budgetary surpluses have recently replaced deficits, the federal government has been asking whether it still has the capacity to make informed choices about new programs. This article examines Canada's recent efforts in rebuilding its policy capacity. It asks, first, to what extent and in what way was policy capacity originally lost. Second, it appraises the adequacy of new policy "networks," consisting of think tanks, consultants and government officials, as "virtual replacements" for former government-controlled advisory bodies, royal commissions, and in-house policy units. Finally, it notes the relative absence of parliamentarians, and even the political executive, from capacity-rebuilding activities, a deficiency that in the long run may undermine the legitimacy and effectiveness of such efforts.     

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.     

Actively Cultivating Policy Similarity. A Regional Strategy in Education Policy in France and Germany

Regionalization processes across Western Europe have triggered analyses of regional policy divergence. Yet, in a number of cases, regional governments appear to have deliberately strived to achieve policy conformity. Previous research tends to emphasize exogenous explanations of regional policy convergence. In contrast, this paper addresses the issue of regional policy convergence by focusing on endogenous explanatory factors. Its objective is to carry out an investigation of when, how, and with what effect a ‘desire for conformity’ arises, and contends that regional governments may actively cultivate policy similarity as a strategy to develop or secure their policy capacity. Specifically, the paper argues that the adoption of this strategy is contingent upon two requirements that may or may not be met, and that its outcome is the convergence on targeted dimensions of regional policies. The two requirements are: (i) a countrywide public preference for policy uniformity in the policy area of concern, and (ii) the presence of a threat posed to regional policy capacity by various political entrepreneurs, including the central state, who blame regions for providing divergent policies on particular dimensions. This paper is based on the comparison of two case studies where regional governments deliberately pursued policy conformity on targeted dimensions of their education policy: school-building policy in France and curricula policy in Germany. The two case studies also present dissimilar features that make it possible to investigate the effects of institutional setting and policy distribution on the adoption and operation of the active-cultivation-of-policy-similarity strategy.     

The Advantages of Proximity: Comparing Higher Education Policy in Scotland and Catalonia

The article claims that, following devolution, increased proximity will increase policy capacity by changing the form of policymaking and providing greater scope for policy tailoring. The hypothesis is tested against devolution of higher education responsibility in Scotland and Catalonia. Results show that devolution did not entail the development of the same form of policymaking in the two regions, but it nonetheless permitted the implementation of policies and tools that were both in contrast with global trends in higher education policy.     

A Comparative Assessment of Elite Policy Recruits in Canada

Recent case studies and large-N survey evidence has confirmed long-suspected shortages of public sector “policy capacity”. Studies have found that government policy workers in various jurisdictions differ considerably with respect to types of policy work they undertake, and have identified uneven capacity for policy workers to access and apply technical and scientific knowledge to public issues. This suggests considerable difficulties for government’s ability to meet contemporary policy and governance challenges. Despite growing attention to these matters, studies have not examined the “elite” policy workers many governments recruit to address these capacity shortages. Using an established survey instrument, this study of two Canadian recruitment programs provides the first comparative analysis of elite policy recruits, as policy workers. Three research questions anchor the study: (1) What is the profile of these actors? (2) What types of policy work do “elite” policy analysts actually engage in? (3) How does their policy work compare by recruitment program? The article provides fresh comparative data on the nature of elite policy work and policy analytical capacity, but, more importantly, a crucial baseline for future comparative study of how elite recruitment may facilitate “supply-side” capacity gains expected from recruitment programs.     

政策能力与国家公共治理

最近二三十年以来,由于市场经济放任模式一再出现危机以及失灵现象,国家公共政策能力问题摆到了政府和学者们的面前。政策能力成为当前各国政府关注的热点,也成为学术研究的重点。然而。政策能力并不是孤立的’它与国家能力、行政能力之间存在着内在的关联性。它们之间既存在上下结构关系,又存在着相互的联动关系。这三个方面的能力共同构成了所谓的公共治理能力。不同国家对政策能力自然具有各自的评价标准,更应具有形成这方面能力的支持系统。论文对以上这些复杂的关系做一尝试性的梳理。     

Policy analytical capacity and "Eastern" styles of policy analysis: evidence from West Java Province,Indonesia

An emerging body of scholarship suggests that "Western" notions of policy analysis may not be relevant in "Eastern" jurisdictions, and that non-Western countries, particularly in Asia, may have their own local policy analytical style or tradition. However, in many Asian countries, little is known about the work that public sector policy analysts do. Using data from a survey and focus groups, this article investigates policy analysis and analytical capacity in the provincial government of West Java, Indonesia. We find ample signs of policy analytical activity as it would be understood by Western scholars, with little evidence of any specific Asian style.

     

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.     

Perspectives on the Capacity of the Australian Public Service and Effective Policy Development and Implementation

It is a long held tradition of the Academy of the Social Sciences in Australia (ASSA) to invite speakers to address the Fellow's Colloquium as part of the annual symposium, with an aim to spark discussion and debate on a controversial and contemporary topic. In 2010 the debate was focused on the question of whether there had been a degradation of the professional capacity of the Australian Public Service (APS) with regard to effective policy development and implementation. The contributions of each of the four panel members are reproduced here, in part, and they reflect the diverse perspectives which informed a robust and compelling debate. Janine O'Flynn, the editor of these contributions, argues that any claim of degradation is based on rumour rather than hard evidence, and she sets out how we might think about policy capacity from a public sector management perspective. Sue Vardon, the former CEO of Centrelink and the architect of a transformation change program which redefined the delivery of public services in Australia, reflects on the strengths of the APS, but points out the current stresses that it now finds itself under. Anna Yeatman, an expert in political theory and its application to citizenship and public policy, argues that in the last twenty years we have witnessed degradation in the work of government and that this has impacted on policy capacity. Lyn Carson, an expert in deliberative democracy, points to the unrealised capacity that could come from increasing citizen involvement. Policy capacity is degraded, she argues, because we have systems that are neither deliberative nor representative. Individually these contributions spark their own controversies; together they ask us to consider the question in different ways.     

How “institutionalization” can work. Structuring governance for digital transformation in Italy

Public policy scholars have recently focused on the mechanisms accounting for the sustainability of major policy changes. Among the strategies by which policy entrepreneurs may try to avoid future backlash institutionalization is certainly one of the most used. Yet, it can foster ossification and eventually jeopardize policy effectiveness. Such a potential trade-off between institutionalization and long-term effectiveness is particularly intense in policies concerning technological innovation because the necessity to create winning coalitions can undermine the required absorption capacity needed by government to engage the innovation ecosystems. This paper explores such a trade-off with a case study on the Italian policy for public sector's digital transformation. The case is theoretically promising because over three decades institutionalization has always represented the main overall strategy adopted by policymaker, but only the 2016 initiative emerged as a “success.” In this sense, the case study can focus on the mechanisms activated by policy entrepreneurs to trigger and entrench change.     

Big data for policymaking: fad or fasttrack?

The buzz surrounding big data has taken shape in various theoretical and practical forms when it comes to policymaking. The paper combines current research streams with long-standing discussions on government and technology in public policy and public administration, such as e-government and evidence-based policymaking. The goal is to answer the question whether big data is a fleeting trend or has long-lasting effects on policymaking. Three larger themes in the literature are identified: First, the role that institutional capacity has within government to utilize big data analytics; second, government use of big data analytics in the context of digital public services; and finally, the way that big data information enters the policy cycle, focusing on substantive and procedural policy instruments. Examples from the education, crisis management, environmental and healthcare domain highlight the opportunities and challenges for each of these themes. Exploring the various aspects of big data and policymaking shows that big data is here to stay, but that its utilization by government will take time due to institutional barriers and capacity bottlenecks.     

The Quality of Management and Government Performance: An Empirical Analysis of the American States

Government performance is an enduring concern for students of public management, public administration, and political science. Government's administrative arrangements and managerial behavior can profoundly influence programmatic content, activities, and outcomes; therefore, considering public management's effects is necessary for a true understanding of public policy and government performance. This article uses data from the Maxwell School's Government Performance Project to examine the relationship between state governments' managerial capacity and a measure of government performance (specifically, state policy priorities). We find that state management capacity has direct effects on state policy commitments: States possessing higher levels of management capacity tend to favor programmatic areas that distribute societal benefits widely (that is, collective benefits) as opposed to narrowly (that is, particularized benefits). Our analysis demonstrates that public interest group activity, government ideology, and citizen ideology each have significant, predictable effects on state policy commitments. Thus, our findings place managerial capacity alongside other more commonly studied state characteristics as an important influence on government activities.     

Meeting the Challenges of Policy‐Relevant Science: Bridging Theory and Practice

Ongoing public debate about the role of science in policy making signifies the importance of advancing theory and practice in the field. Indeed, assumptions about the science–policy nexus hold direct implications for how this interface is managed. A useful lens on contemporary themes is offered by the experience of a federal environmental science program that launched an ambitious effort to enhance capacity for policy relevance while protecting a commitment to sound, impartial scientific inquiry. This was achieved by developing an explicit conceptual model and implementing corresponding strategies that addressed critical gaps in capacity for policy‐relevant research, analysis, and communication while supporting existing capacities. This article describes and evaluates the capacity‐building effort from the dual perspectives of deepening an understanding of successful practice in the field and advancing a conceptual understanding of the science–policy nexus. It illustrates the challenges facing practitioners and the need for greater interaction between theory and practice.