Bridging the Gap between Evidence and Policy Makers: A Case Study of the Pew‐MacArthur Results First Initiative

Developing ways to bridge the long‐recognized gap between researchers and policy makers is increasingly important in this age of constrained public resources. As noted by recent scholarship, progress toward evidence‐informed policy making requires both improving the supply of research that is reliable, timely, and relevant to the policy process and promoting demand and support for this information among decision makers. This article presents a case study of the Pew‐MacArthur Results First Initiative, which is working in a growing number of state and local governments to build systems that bring rigorous evidence on “what works” into their budget processes and to support its use in resource allocation decisions. The initiative's experience to date is promising, although creating lasting and dynamic evidence‐based policy‐making systems requires a long‐term commitment by both researchers and policy makers.     

How Solutions Chase Problems: Instrument Constituencies in the Policy Process

Public policies are composed of complex arrangements of policy goals and policy means matched through some decision‐making process. Exactly how this process works and which comes first—problem or solution—is an outstanding research question in the policy sciences. This article argues the emerging concept of an “instrument constituency”—a subsystem component dedicated to the articulation and promotion of particular kinds of solutions regardless of problem context—can help policy scholars answer this critical question and better understand policymaking. At present, however, there is only limited empirical evidence of the existence, accuracy, and relevance of the instrument constituency concept. This article clarifies and refines the concept through cross‐sectoral and cross‐national case studies, demonstrating its utility in aiding our understanding of policy processes and their dynamics, including the issue of how problems and solutions are proposed and matched in the course of policy adoption.     

Persistently Biased: The Devil Shift in Water Privatization in Jakarta

This article operationalizes an underinvestigated element of the Advocacy Coalition Framework—the “devil shift”—on the controversial issue of water privatization. In doing so, it offers a methodological premise for investigating intractable opposition to policies that are politically salient and high in technical content. It uses the Q methodology on the case of Jakarta, Indonesia to uncover seven discourse coalitions within the anti‐privatization groups. They confirm two key hypotheses within the devil shift, namely the underestimation of a coalition's resources compared with their opponents and the exaggeration of opponents’ unreasonableness. Intriguingly, it finds that the “devil” is constructed in three different ways by this coalition—the profiteer, the Goliath, and the ineffectual governor. The narrative strength of the combination of these beliefs answers an apparent paradox in the devil shift viz that of rational actors persisting in unreasonable beliefs concerning their opponents. It also offers some specific solutions on how to deal with public hostility in water privatization in Jakarta.     

How can Public Professional Services be Restored in a Weak State? Options for Animal Health in Congo's South Kivu

How does one deal with a shortcoming in a public service when even a state “pocket of effectiveness” is unlikely to fill it directly? In the Belgian colonial era, South Kivu Province in eastern Democratic Republic of Congo had a vibrant animal production system, which then was shattered by successive wars. The regeneration of Kivu's livestock industry is greatly constrained by the unreliability of the province's state and private animal health services, which have become commercialized and are unable to overcome the asymmetric information problem inherent to the professions and provide the trustworthy effectiveness farmers need to use them effectively. The Congolese state is unlikely to be able to fill this gap itself. Nonetheless, it can be an architect of solutions to the problem. We were able to identify in the local institutional repertoire at least four possible ways policy‐makers could use non‐governmental organizations to provide missing trustworthiness to the market. This conclusion is hopeful for places with development potential that have weak states and imperfect markets. © 2017 International Livestock Research Institute. Public Administration and Development published by John Wiley & Sons, Ltd.     

A Comparison of Tobacco Policy in the UK and Japan: If the Scientific Evidence is Identical,Why is There a Major Difference in Policy?

Tobacco policy in the UK and Japan has diverged markedly. In the 1980s, both countries oversaw regimes with minimal economic and regulatory policies. Now the UK has become one of the most, and Japan one of the least, controlled (advanced industrial) states. These developments are puzzling to public health scholars who give primary explanatory weight to scientific evidence and a vague notion of “political will”, because policy makers possessed the same evidence on the harms of tobacco, and made the same international commitment to comprehensive tobacco control. Instead, we identify the role of a mutually reinforcing dynamic in policy environments, facilitating policy change in the UK but not Japan: policy makers accepted the scientific evidence, framed tobacco as a public health epidemic, placed health departments at the heart of policy, formed networks with public health groups and excluded tobacco companies, and accentuated socio-economic conditions supportive of tobacco control. This dynamic helps explain why the UK became more likely to select each tobacco policy control instrument during a series of “windows of opportunity”. Such analysis, generated by policy theory, is crucial to contemporary science/practitioner debates on the politics of “evidence-based policy making”: the evidence does not speak for itself, and practitioners need to know how to use it effectively in policy environments.     

When Do Municipal Consolidations Reduce Government Expenditures? Evidence on the Role of Local Involvement

Higher levels of government motivate municipal consolidations as a tool to increase efficiency in the local government sector, yet research shows that consolidations typically fail to deliver the promised spending reductions. Since mergers often require significant changes to institutional structures, one explanation is that local decision makers can substantially influence the outcomes of the consolidation process. To explore this possibility, this article contrasts “encouraged but voluntary” mergers with those that were “forced” on local governments in the state of New South Wales, Australia. Results show that voluntary mergers resulted in a 10 percent decline in total per capita expenditures, but forced consolidations failed to reduce spending across the board. The policy conclusion is that decision makers considering structural reform should invest in obtaining the support and participation of local government decision makers.     

Moving up versus moving out: Neighborhood effects in housing mobility programs

Abstract

This article suggests ways to better design, conduct, and interpret evaluations of the effects of housing mobility programs on participants, with emphasis on how to isolate neighborhood effects. It reviews earlier critiques of neighborhood effects research and discusses the key assumptions of housing mobility programs—about the benefits of affluent neighbors, the spatial organization of opportunity for the urban poor, and the meanings of “neighborhood” to residents, researchers, and policy makers.

Studying mobility contexts, especially in suburban areas, offers special challenges to researchers. More research is needed that looks at residents’ social ties and uses mixed‐methods approaches. Ethnographic data, in particular, would enhance the validity of the quantitative data that now dominate studies of neighborhood effects. Adding substantially to what we know about the processes or mechanisms—the “how” of neighborhood effects—mixed‐methods approaches would also make research much more useful to policy makers and program managers.     

Federalism Revised: The Promise and Challenge of the No Child Left Behind Act

Federalism in education has undergone significant changes since the Winter Commission. During the early 1990s, federal policy makers faced the challenge of organizational fragmentation and policy incoherence in public education. In the last 15 years, the intergovernmental system has evolved from one that is predominantly compliance‐driven to one that is performance based, as suggested by the congressional adoption of the No Child Left Behind Act in 2001. While the former is often characterized by images of “picket fence” federalism and administrative silos, the latter remains very much a work in progress, with the promise of raising academic proficiency. This paper first examines the paradigm shift and then considers emerging politics in intergovernmental relations. The author explores the ways in which state and local policy makers are altering the rules governing education service provision in response to performance‐based federal expectations.     

The Theory and Practice of “Nudging”: Changing Health Behaviors

Many of the most significant challenges in health care—such as smoking, overeating, and poor adherence to evidence‐based guidelines—will only be resolved if we can influence behavior. The traditional policy tools used when thinking about influencing behavior include legislation, regulation, and information provision. Recently, policy analysts have shown interest in policies that “nudge” people in particular directions, drawing on advances in understanding that behavior is strongly influenced in largely automatic ways by the context within which it is placed. This article considers the theoretical basis for why nudges might work and reviews the evidence in health behavior change. The evidence is structured according to the Mindspace framework for behavior change. The conclusion is that insights from behavioral economics offer powerful policy tools for influencing behavior in health care. This article provides public administration practitioners with an accessible summary of this literature, putting these insights into practical use.     

Designing a Choice Architecture for Regulators

The emergence of behavioral public administration has led to increasing calls for public managers and policy makers to consider predictable cognitive biases when regulating individual behaviors or market transactions. Recognizing that cognitive biases can also affect the regulators themselves, this article attempts to understand how the institutional environment in which regulators operate interacts with their cognitive biases. In other words, to what extent does the “choice architecture” that regulators face reinforce or counteract predictable cognitive biases? Just as knowledge of behavioral insights can help regulators design a choice architecture that frames individual decisions to encourage welfare-enhancing choices, it may help governments understand and design institutions to counter cognitive biases in regulators that contribute to deviations from public interest policies. From these observations, the article offers some modest suggestions for improving the regulatory choice architecture.     

Alien Citizens and the Canonical Immigrant: Do Stigmatized Attributes Affect Latina/o Judgment about Discrimination?

Negative elite and news media attention to Latino‐relevant issues, particularly undocumented immigration, has dramatically increased in recent years, potentially stigmatizing attributes of Latinos such as immigration status and language use. Concomitantly, immigration policy changes were leading to widespread arrests and deportation of many Latinos. Herein, we ask two questions: First, to what extent do Latinos perceive and experience discrimination? Second, to what extent do immigration status, generational status, and language use moderate beliefs about discrimination? Using Pew National Survey of Latinos data, we find that Latino beliefs about the problem of discrimination is a decreasing function of “proximity” to the “canonical immigrant”—defined here as first‐generation immigrants who are Spanish‐language dominant. Further, we demonstrate that reported rates of victimization due to discrimination exhibit no clear pattern and are flat over time. We conclude by demonstrating that discrimination beliefs have significant implications for systemic trust, anxiety, and policy preferences.     

Public Attitudes Toward Immigration Policy Across the Legal/Illegal Divide: The Role of Categorical and Attribute-Based Decision-Making

Scholars debate the relative strength of economic and ‘socio-psychological’ sources of anti-immigrant sentiment. However, the literature often fails to distinguish legal from illegal immigration and therefore overlooks a major instance in which this debate is moot. To address this issue, we develop a theory that recognizes two different modes of evaluating immigrants: “attribute-based” judgment, in which respondents weigh immigrants’ desirability based on individual characteristics—human capital, race, language ability, and so on—and “categorical” judgment, which disregards these altogether. Categorical judgments arise when a policy issue triggers blanket considerations of justice or principle that obviate considerations about putative beneficiaries’ individual merits, instead evoking overriding beliefs about the desirability of the policy as a whole or casting the entire category as uniformly deserving or undeserving. We use experimental evidence from two national surveys to show that the principal distinction between attitudes toward legal and illegal immigration is not in the relative weight of immigrants’ attributes but the much greater prevalence of categorical assessments of illegal immigration policy, much of it rooted in rigid moralistic convictions about the importance of strict adherence to rules and laws.     

Nano‐Industry Operationalizations of “Responsibility”: Charting Diversity in the Enactment of Responsibility

The Collingridge dilemma—the problem of reacting to emerging technology either “too early” or “too late”—is one that is readily recognized by developers and promoters of nanotechnologies. One response can be found in the rise of a discourse of “responsible development” in the science and innovation policy landscape. While a number of commentators have discussed the potential of such initiatives, it remains unclear how responsible development is actually being configured “on the ground,” in private sector nanotechnology. This paper addresses this question by analyzing empirical engagements in Europe and the United States in order to map industry operationalizations of “responsibility” in these contexts. We show that a number of different articulations of “responsibility” are present, including as a response to public lack of trust and perceived public pressure, and as the management of risk. We close by relating these findings to the theoretical literature on responsibility, other contemporary accounts of the ways in which responsible development can be operationalized, and the possibilities that these articulations of responsibility may open up.     

Technological Distribution in Uganda: Information and Communications Technology and the State in an Eastern African Nation

Information and communications technologies (ICTs) include old technologies—such as the radio and the television—as well as newer technologies—such as the Internet and wireless telephony. This study considers the process that the government of Uganda has used to adopt and implement ICT policy. This study also considers the techniques which the government of Uganda has used to distribute ICTS in public locations such as government offices, schools, and hospitals. In particular, this study attempts to consider the political motivations for distribution. The Ugandan government's attempt to distribute this technology reflects strengths in the area of distribution of artefacts, particularly to rural areas. Information and communications technologies are an important part of the Ugandan economy. In addition, ICTs strengthen the ability of citizens to communicate with each other across regional and language borders through shared access points. Methodologically, this paper uses the case study method. Semi‐structured interviews were conducted with politicians, policy makers, civil society activists, citizens, academics, medical personnel, regional government officials, and business people. This paper argues that politicians use ICTs as a component of a basket of goods and services that they can distribute to witnessing publics. This paper argues that ICT should be viewed as a type of infrastructure, and that as a public good, it can be used as a “club” good or “pork.” Although several authors discuss the potential of ICTs as democratizing, this paper documents that the Ugandan government has employed ICTs in oppressive ways, including for the surveillance of opposition leaders, and for social control.     

Toward More “Evidence‐Informed” Policy Making?

The quality of public decision making depends significantly on the quality of analysis and advice provided through public organizations. Champions of “evidence‐informed” policy making claim that rigorous evaluation practices can significantly improve attainment of cost‐effective outcomes. After decades of experience, performance information is more sophisticated, but evaluation practices and capabilities vary enormously. Public agencies gather and process vast amounts of information, but there has been little analysis of how this information is actually utilized for policy and program improvement. This article examines how government agencies use evidence about policy and program effectiveness, with attention to four themes: (1) the prospects for improving “evidence‐informed” policy making, (2) the diversity of practices concerning evidence utilization and evaluation across types of public agencies and policy arenas, (3) recent attempts to “institutionalize” evaluation as a core feature of policy development and budget approval, and (4) the relationships between public agencies and nongovernmental sources of expertise.     

Assessing Public Procurement of Innovation as a Cross‐Domain Policy: A Framework and Application to the Chinese Context

Despite the fact that public procurement of innovation (PPI) has become an increasingly popular policy tool, there has been a lack of holistic approaches to assessing policies promoting PPI. This article attempts to address this gap by proposing a framework which links the multiple levels and aspects related to the design and implementation of PPI policies. By adopting a systemic understanding of “public procurement” as well as “innovation policies,” this article positions PPI as a cross‐domain policy which is inherently a mix of procurement and innovation‐related interventions. The article develops an assessment framework using “vertical coherence” and “horizontal coherence” as criteria. It then illustrates the use of the framework by applying it to PPI policies in China. The framework can aid the conduct of ex ante as well as ex post assessment of PPI policies, which can further inform policy design, implementation, and learning.     

What Gets Measured,Gets Done: Understanding and Addressing Middle‐Class Challenges

Middle‐class families face a range of challenges, including uneven income growth, imposing child care costs, and affordability gaps for higher education. The ideal policies by which policy makers and public administrators can aid the middle class are far from obvious. Policy solutions are likely to mirror our government and population, meaning that they will be decentralized and varied. Achieving a “growing and thriving middle class” requires understanding the composition of the middle class across the country. Benchmarking and measuring the middle‐class condition at the state and substate levels is critical to crafting and adopting effective policy solutions. This Viewpoint essay highlights the Colorado context to demonstrate the measurement of the middle class and tracking of its lived experiences.     

When the Interest Rate on the National Debt Is a Policy Variable (and “Printing Money” Does Not Apply)

Modern Monetary Theory (MMT) argues that the interest rate on the national debt for a monetary sovereign is a policy variable, not subject to whether bond markets “accept” or “reject” it. This paper defines measures of the components of the standard analysis of fiscal sustainability. It then methodically describes the Federal Reserve's operations relevant for understanding why interest rates on government debt in the United States have been and continue to be driven by monetary policy. A corollary that emerges—“printing money,” as economists usually understand it—is not applicable and has never been advocated by MMT.     

A Cognitive Perspective on Policy Implementation: Reform Beliefs,Sensemaking, and Social Networks

Utilizing a cognitive perspective, this article examines the social processes through which teachers come to understand the Common Core State Standards. The authors begin by identifying three beliefs that have important implications for policy implementation: self‐efficacy, resource adequacy, and value for clients. They measure those beliefs and the Common Core discussion networks that emerge among teachers at three points in time. Through the use of SIENA models, the authors explore how networks and beliefs coevolve within schools. Unlike prior research on social networks, which consistently finds strong homophilous tendencies, this research finds no evidence that teachers seek out coworkers who hold similar beliefs. Rather, teachers relied on preexisting formal and informal relationships to guide interactions. Those interactions were characterized by social influence, whereby a teacher's own beliefs adapted toward the beliefs held by the members of their social network. The findings offer a novel perspective on the complex dynamic that occurs within organizations as new policies are unveiled and employees interact with one another to understand the changes those policies entail.     

People Power or a One‐Shot Deal? A Dynamic Model of Protest

In the aftermath of the Arab Spring, a crucial question is whether popular protest is now likely to be a permanent part of Middle Eastern politics or if the protests that have taken place over the past two years are more likely to be a “one‐shot deal.” We consider this question from a theoretical perspective, focusing on the relationship between the consequences of protests in one period and the incentives to protest in the future. The model provides numerous predictions for why we might observe a phenomenon that we call the “one‐shot deal”: when protest occurs at one time but not in the future despite an intervening period of bad governance. The analysis focuses on the learning process of citizens. We suggest that citizens may not only be discovering the type or quality of their new government—as most previous models of adverse selection assume—but rather citizens may also be learning about the universe of potential governments in their country. In this way, bad performance by one government induces some pessimism about possible replacements. This modeling approach expands the formal literature on adverse selection in elections in two ways: it takes seriously the fact that removing governments can be costly, and it explores the relevance of allowing the citizen/principal to face uncertainty about the underlying distribution from which possible government/agent types are drawn.