T01W01. SDG Education for Global Citizenship: Policy Transfer and Knowledge Localization
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ABSTRACT
The objective of this workshop is to bring together the Lead Project Investigators (LPIs) of a recently launched 5-year research grant on SDG education and global citizenship so that they can share their work with international policy scholars working on SDGs and policy transfer. The workshop will be semi-closed, with one session for the LPIs, and possibly two others with invited papers. While the workshop will focus on selected themes, it is anchored in a broader multidisciplinary project on SDGs and Education supported by the Qatar National Research Fund (QNRF). The title of project is SDG Education and Global Citizenship in Qatar: Enhancing Qatar’s Nested Power in the Global Arena, and was launched in late 2021. The Cluster Director is Dr. M. Evren Tok of Hamad Bin Khalifa University, Doha, Qatar (co-chair of the workshop). Leslie A. Pal (co-chair of the workshop) is one of the LPIs. The practical and applied objective of project is to produce a creative space in the educational ecosystem in Qatar which is conducive to support, study, and implement SDGs education and practice. The theoretical and analytical objective of the project is to interrogate the theory and practice of SDG Education (SDGED) as a species of international policy transfer. The framing of SDGED within the climate crisis and sustainability, and the coupled framing of the climate crisis with eco-system and hence political instability, and the further coupling of these themes with peace and human rights and education, gives SGDED a remarkable force and momentum. The SDGs themselves (or Agenda 2030) were only adopted in 2015, but by 2019, UNESCO called attention to the importance of, and urgent need for, increased Global Citizenship Education (GCED), and framing this effort in the loftiest of terms. GCED was in response to the alarming rise in human rights violations, inequality, and poverty that threaten global peace and sustainability. GCED integrates the “principles, values and practices of sustainable development into all aspects of education,” to create a sense of belonging to a “common humanity”. In 2016, a UNESCO report argued that GCED “empowers learners to take informed decisions and responsible actions for environmental integrity, economic viability and a sustainable society, for present and future generations, while respecting cultural diversity”. GCED is positioned to build on the work of Peace and Human Rights Education to instill in learners the values, skills, attitudes and behaviors that support responsible global citizenship and urges learners to become agents of change in their communities, to face and resolve global challenges, to endorse cultural differences while preserving their national identity, and to live healthy and fulfilled lives. The project is divided into eight sub-projects that examine existing initiatives, policies, knowledge, and curricula in Qatar and review global best-practices related to education and advancement of the SDGs. In its practical applications, it will work with students, teachers, administrative and leadership personnel, relevant government personnel, and schools to identify progress in advancing SDGED and GCED in Qatar. This IWPP workshop focuses on a trio of theoretical and analytical themes that underpin the larger project: (1) SDGs as a “global public policy framework”, (2) the making of “global citizens via SDG Education, and what that means for policy making processes, and (3) policy transfer and the localization of knowledge models. This is admittedly ambitious for a single workshop, but the session with the project PIs will provide a foundation and a tour d’horizon, and the invited sessions can supplement and enrich the discussions. The first theme of “global public policy” has been at the heart of numerous debates within various ICPP conferences (Stone, Making Global Policy [2020] provides a review of the literature), and drives discussions in the policy transfer field as well (see Hadjiisky, Pal, Walker (eds), Public Policy Transfer [2017]). There are numerous policy fields, from financial regulation to travel, transportation, and public health, that are “orchestrated” through networks of international organizations and national states. The orchestration may be uneven and at times inept but is clearly a key feature of modern public policy. But above and beyond this orchestration by policy fields is what we think of as “overarching policy frameworks” that super-charge global institutions and affect virtually every policy field at the national level. The two interconnected ones of interest here are the Paris Climate agreement and the SDGs. The combination of climate emergency, a vast and rapid consensus (at least rhetorically) on that crisis, and the coupling with the 17 SDGs has created a space of global policy discourse that frames planetary priorities as the necessary touchstone for domestic policy making. “Making of global citizens via SDG Education” is the second, related theme of the workshop. UNESCO, cited above, illustrates the logic perfectly. All of humanity is threatened by the climate crisis, by inequality, by injustice, and by human rights violations and violence. Our common challenges should call forth our common humanity, and our stance should be one of global, not national, citizens. Education is an instrument to “make global citizens” since all of us have to be educated to the threats, and educated to the SDGs as a common, global aspiration. UNESCO hedges its language by “endorsing cultural differences” and “preserving national identity”, but the larger agenda of identity formation is unmistakable. The third theme is policy transfer and knowledge localization through global policy frameworks like the SDGs and specific initiatives like SDGED and GCED. The policy transfer literature has tended to focus on the transfer of policy frameworks and policy instruments, models, and standards, and less on the more granular transfer and localization of what we will call “knowledge models”. These are conveyances of both information and knowledge frameworks that shape the attitudes and perceptions of ordinary citizens. SDGED “empowers” learners and encourages them to become “agents of change”. A leading example of this effort is the Sustainable Development Solutions Network (SDSN), formed under the auspices of the UN and directed by Jeffrey Sachs. The SDSN has a Global Academy, which has developed lesson plans and learning models and other resources on the SDGs in multiple languages for K through 12. The three themes form a rich backdrop to a set of research question and hypotheses that will animate the workshop. Among them are: 1. How do the SDGs illustrate the features of “global public policy” frameworks? Are there similar frameworks of the same scope and depth? How are global policy frameworks promoted and implemented? 2. To what extent do global policy frameworks try to shape and make “global citizens”? Is this a necessary feature of such frameworks, or only some? What are the implications for domestic policy making in this type of identity formation? Are “global citizens” less oriented to national priorities, and is that the intent? 3. Has the policy transfer literature neglected the transfer of knowledge and information, and its localization, particularly in educational fields? Are there particular types of knowledge localization that are less technical (e.g., as would be the transfer of professional skills and standards) and more overtly political (aiming at identity formation), and what are the implications? The closed workshop session will have papers by six PIs, reflecting on these themes. Some of the papers will use Qatar as a case study. The general call will hopefully attract papers on the same general themes, but with different comparative cases, thereby enriching the empirical and theoretical debate. Presenter 1: Muhammed Kebbeh and Leslie A. Pal Title: Mapping Global SDGED Practices as Models of Policy Transfer Presenter 2: Dr Tasneem Amantullah Title: Mapping the status of SDGED policy and practices in Qatar Presenter 3: Dr Michael Romanowski Title: SDGED in Primary & Secondary Schools in Qatar: Citizenship Formation Presenter 4: Dr. Eugenie Samier Title: Embedding GCED and SDGED with Integrative Ethical Education (IEE) Framework Presenter 5: Dr Jennifer Bruder Title: Sustainability Literacy and Awareness of SDGs Presenter 6: Dr Evren Tok and Dr. Duygu Sever Title: Spaces of SDG in Qatar: Putting Research into Action
POLICY TOPICS
T01W02. Constructivist and Pragmatist Approaches of Policy Process
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WORKSHOP CHAIRS: P. HASSENTEUFEL, W. DUNN, C. ANSELL & P. ZITTOUN Although constructivist and pragmatist approaches have a long history in the social sciences, especially in sociology, they continue to be poorly represented in the public policy literature. Ironically, the pragmatist approach had a major impact on the founding of public policy studies through its influence on Harold Lasswell (Dunn, 2019). A core idea of pragmatism is that the best way to understand concepts is not to define them, but to observe them "in action," a perspective that connects pragmatism to social constructivism and its focus on problem framing and agenda-setting. Taking the two perspectives together suggests that policy scholars need to observe the definitional work of actors in order understand policy processes. Our objective is not to reduce the diversity of either constructivist and/or pragmatist approaches but rather to explore how their combined insights might further illuminate the policy process. By bringing together researchers who work in both pragmatist and constructivist traditions, the workshop hopes to foster fruitful discussions and debates that could stimulate new international perspectives on public policy. In contrast with positivist approaches that stress variable-centered explanations of the policy process, pragmatist and constructivist approaches tend to adopt an interpretive mode of explanation that stresses the reflexivity of policy actors as they “define the situation” and engage in policy action. Both traditions focus on the central role of communication and signs, meaning and discourse in setting agendas, shaping collective identities, and create understanding of public and private value. In seeking to develop this agenda, the workshop welcomes researchers who are interested in drawing broadly on the intellectual resources of pragmatist and social constructivist traditions in the social sciences. This workshop has an ambition to bring together pragmatism and constructivism to articulate a new approach to the policy process. To do so, the workshop seeks to highlight fundamental questions about the theoretical, conceptual and methodological foundations of this approach. However, the workshop also welcomes empirical research that investigates how processes of problem definition and public debate shape policy processes, particularly where they illuminate the role of power and domination.
POLICY TOPICS
T01W03. The politics behind problem structuring. Construction and effects of problem structures in policy design and implementation
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PANEL CHAIR(S)
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Public policy problems are increasingly described along with structural characteristics as a starting point for further theory building and empirical analysis (Peters, 2005; Peters & Pierre 2015). One particularly prominent example is the wickedness of problems (e.g., Rittel & Webber, 1973; Head, 2019), which likely influences the solvability of problems and the choice of relevant instruments and tools in policy design. Related approaches are considering the uncertainty (e.g., Dewulf & Biesbroek, 2018) or the complexity of problems (e.g., Kirschke & Newig, 2017), highlighting specific aspects of wicked problems as a starting point for discussing participatory and legal instruments for their solution. This particularly holds true for so called nexus problems, which arguably span different policy (sub-)fields such as within the water-energy-food nexus, the environment-development nexus, the environment-health nexus, the water-security nexus, the migration-development nexus, the water quantity-quality nexus, and others (see e.g., Bleischwitz et al., 2018; Pahl-Wostl 2019 for the most prominent W-E-F Nexus concept). Scholars suggest a variety of policy and governance strategies for effectively dealing with these wicked problems, such as coherent policy mixes or participatory governance arrangements (e.g., Nilsson et al., 2012; Nilsson & Weitz, 2019; Dargin et al., 2019). But while this problem-structural approach is gaining momentum, political and administrative scientists have continuously called for better understanding the actual politics behind problem structuring and specifically how politics effects the construction of problems and respective solution strategies (Weiss, 1989; Hisschemöller & Hoppe 1995; Turnbull, 2006; Hoppe, 2011). This is of relevance in ex-post analysis, but particularly holds true for emerging wicked problems, which calls for ex-ante analyses of how different actors aim for influencing problem (re-)structuring at the stage of agenda setting, policy design, and implementation (Kirschke & Kosow, 2021; Schaub 2021) and the respective “iterative process of problem sensing, problem categorization, problem decomposition and problem definition” (Hoppe, 2018). Considering the structural characteristics in problem definition, the main assumption is that the definition of more or less wicked problems likely influences the type of solution strategy chosen, just as how rapidly solution strategies get implemented. Calling a problem complex or wicked, for instance, can hint to a complex understanding of a topic by the speaker(s) of a discourse, which might translate into careful considerations of the specificities of the situation and of adequate, tailored solutions. But calling a problem complex or wicked can also be a label, used as an argument to get a seat at the table in closed shop negotiations; or it can be an excuse to not act, but to get lost in data collection through participatory formats. Understanding actors, their interests, and power relationships in the definition of problem structures in different arenas and how these influence policy outcomes is therefore key. Against this background, this workshop aims at addressing this neglected perspective of politics in problem structuring, focusing on the role of politics in policy construction and its effects in policy design and implementation, more particularly. Three research questions will guide the discussions: 1) Construction of problem structures I: What are the potential structural characteristics of public policy problems, and how can policy problems differ along with these structures? Can we identify, for instance, different degrees of complexity, uncertainty, or conflicts in different policy fields, in different regions, or at different scales? 2) Construction of problem structures II: Which roles do different actors from the public and private sector, civil society and academia play in the construction of problem structures of public policy problems, and what impacts do their interests and power relationships have? 3) Effects of problem structures: Which effects have (the constructions of) public policy problems on selected solution strategies in terms of policy and governance, including their likelihood to address problems effectively or in a rather symbolic matter? We assume that problems are described along various problem structures, such as wicked, complex, uncertain, or conflicts. We further assume that problems are structured differently. They include rather simple/tame or rather complex/wicked problems, depending on the respective policy (sub-)field, the temporal, and the regional scale (see also Head 2008, Kirschke et al., 2019). Coming to the actual politics behind these structures, we may find that different actors structure problems differently, based on their knowledge and interests. We may also find that these actors’ power sources and relationships account for dominant problem structures in specific policy (sub-)fields, at different moments in time, and in different regional settings. This again, may affect the choice of policy mixes, including substantive and governance measures that aim for occupation (e.g., data collection, persuasion) versus action (e.g., construction, regulation), and thus also for more symbolic or effective policies (e.g., Newig, 2007). To discuss the politics behind problem structuring, the workshop suggests a dynamic format, combining (i) input statements by invited speakers, (ii) the presentation and discussion of conceptual and empirical research papers with (ii) more flexible discussion sessions in which different research results shall be connected to sketch out a joint and enhanced model of the role of politics in problem structuring. These discussions shall advance our understanding and analysis of problem-structural approaches in policy analysis across policy fields, regions, and time. It shall, in particular, help moving to a more fundamental understanding of the role of problem structures in policy design and implementation and better aligning structural approaches with public policy literature throughout the policy process as recent analyses in the wicked problem literature have asked for (e.g., Head, 2019). In terms of papers, we tend to invite a mix of policy scholars, including long-term experts in the field and younger scholars, specifically PhD candidates and Postdocs, adding new (empirical) perspectives on the issue at hand. So far, we are delighted that Robert Hoppe and Brian Head have both agreed to provide a commentary on the workshop questions, stimulating discussions amongst the participants. Further, we are glad that colleagues from the field of environmental policy have shown interest in discussing the topic further, amongst them Simon Schaub (University of Heidelberg), Ramazan Caner Sayan (Cranfield University), and Nidhi Nagabhatla (UNU-CRIS). The paper givers are invited to submit their research to a special issue on the politics behind problem structuring edited by the workshop proposers. This special issue should be placed in a renown public policy or environmental planning journal, depending on the submissions and interests of the workshop participants. References Bleischwitz, R., Spataru, C., VanDeveer, S. D., Obersteiner, M., van der Voet, E., Johnson, C., ... & Van Vuuren, D. P. (2018). Resource nexus perspectives towards the United Nations sustainable development goals. Nature Sustainability, 1(12), 737-743. Dargin, J., Daher, B., & Mohtar, R. H. (2019). Complexity versus simplicity in water energy food nexus (WEF) assessment tools. Science of the Total Environment, 650, 1566-1575. Dewulf, A., & Biesbroek, R. (2018). Nine lives of uncertainty in decision-making: strategies for dealing with uncertainty in environmental governance. Policy and Society, 37(4), 441-458. Head, B. W. (2008). Wicked problems in public policy. Public policy, 3(2), 101-118. Head, B. W. (2019). Forty years of wicked problems literature: Forging closer links to policy studies. Policy and Society, 38(2), 180-197. Hisschemöller, M., & Hoppe, R. (1995). Coping with intractable controversies: the case for problem structuring in policy design and analysis. Knowledge and Policy, 8(4), 40-60. Hoppe, R. (2011). The governance of problems: Puzzling, powering, participation. Policy Press. Hoppe, R. (2018). Heuristics for practitioners of policy design: Rules-of-thumb for structuring unstructured problems. Public policy and administration, 33(4), 384-408. Kirschke, S., & Newig, J. (2017). Addressing complexity in environmental management and governance. Sustainability, 9(6), 983. Kirschke, S., Franke, C., Newig, J., & Borchardt, D. (2019). Clusters of water governance problems and their effects on policy delivery. Policy and Society, 38(2), 255-277. Kirschke, S., & Kosow, H. (2021). Designing policy mixes for emerging wicked problems. The case of pharmaceutical residues in freshwaters. Journal of Environmental Policy & Planning, 1-12. Newig, J. (2007). Symbolic environmental legislation and societal self-deception. Environmental politics, 16(2), 276-296. Nilsson, M., Weitz, N., (2019). Governing Trade-Offs and Building Coherence in Policy-Making for the 2030 Agenda. Politics Gov. 7, 254–263. Nilsson, M., Zamparutti, T., Petersen, J. E., Nykvist, B., Rudberg, P., & McGuinn, J. (2012). Understanding policy coherence: analytical framework and examples of sector–environment policy interactions in the EU. Environmental policy and governance, 22(6), 395-423. Pahl-Wostl, C. (2019). Governance of the water-energy-food security nexus: A multi-level coordination challenge. Environmental Science & Policy, 92, 356-367. Peters, G. B. (2005). The problem of policy problems. Journal of Comparative Policy Analysis, 7(4), 349-370. Peters, B. G., Pierre, J. (2015). Governance and policy problems: instruments as unitary and mixed modes of policy intervention. Asia Pacific Journal of Public Administration, 37(4), 224-235. Rittel, H. W., & Webber, M. M. (1973). Dilemmas in a general theory of planning. Policy sciences, 4(2), 155-169. Schaub, S. (2021). The Politics of Water Protection (Doctoral dissertation). Turnbull, N. (2006). How should we theorise public policy? Problem solving and problematicity. Policy and Society, 25(2), 3-22. Weiss, J. A. (1989). The powers of problem definition: The case of government paperwork. Policy sciences, 22(2), 97-121.
POLICY TOPICS
T01W04. Policy Processes in Authoritarian Settings
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Background Although there is a flourishing body of literature on policy processes (Weible and Sabatier, 2017), its focus remains on western democracies (Jones et al., 2016; Kuhlmann & van der Heijden, 2018; Williamson & Magaloni, 2020). English-language studies that apply the main theories of the policy process (Weible and Sabatier, 2017) to nondemocracies remain limited in number and scope. Yet, it is pivotal to better understand policy processes around the world, not just in democracies. A large share of the world population lives in authoritarian regimes. Moreover, in our globalized world, domestic issues can easily travel to other parts of the world. COVID-19 is just one example of this. In response to this research gap, an emerging body of research has started to adjust and apply theories of the policy process to authoritarian institutional contexts. For example, Chan and Zhao (2015) apply the punctuated equilibrium theory to regional government spending in China; Schlaufer et al. (2021) use the Narrative Policy Framework to examine urban policymaking in Russia; Li and Weible (2021) apply the Advocacy Coalition Framework to China; and Van den Dool (forthcoming) adjusts and applies the multiple streams framework to China. However, a key question is whether existing policy process theories are sufficiently capable to do so given that their underlying assumptions are clearly rooted in a liberal democratic context. For example, the ACF is implicitly built on a pluralistic concept of political power (Sievers & Jones, 2020), while the NPF assumes that narratives used in policy debates impact policy outputs (Shanahan et al., 2017), and the MSF includes structural elements that clearly relate to democracy, such as the election of policy makers and party politics. Workshop Aims The aim of this workshop is threefold. First, it aims to systematically explore the applicability of existing theories of the policy process (Weible and Sabatier, 2017) to authoritarian regimes. Second, it aims to identify the specificities of policy processes and potential factors of policy change in authoritarian systems that go beyond existing theories of the policy process. Thirdly, it aims to start building an inclusive and coherent research community for scholars working on policy process theories in authoritarian settings, which would allow scholars who work on different theories and different countries to engage in comparative studies which would help us identify key characteristics of authoritarian policy processes. In addition to contributing to a better understanding of policy processes in authoritarian settings, the inherent comparative nature of this workshop furthermore contributes to theory development of existing policy process theories. With this focus on theory development, the workshop’s results are relevant not only for research on policy processes in authoritarian contexts but will also contribute to generate generalizable knowledge across contexts. Research Questions and Types of Papers Given that policy process theories in authoritarian contexts is still an emerging field, the workshop takes a rather broad approach. We welcome papers that empirically test existing theories of the policy process in nondemocratic context, empirical papers that use other theoretical approaches, and conceptual papers that move further public policy theory for authoritarian contexts. Key research questions to be addressed by the panels include: - To what extent and how do existing policy process theories, including their underlying assumptions and hypotheses, need to be adjusted to fit authoritarian contexts? - What are blind spots of existing (adjusted) policy process theories to explain policy change in authoritarian contexts, how can existing theories about authoritarianism be integrated into policy process theories, and what other theoretical approaches could be useful? - How to conduct policy process research in authoritarian contexts given limited data availability, limited funding, censorship, and other research obstacles? - How are existing policy process theories taught in authoritarian contexts and to what extent are they adjusted to fit local contexts? Workshop Design Given that the workshop takes existing policy process theories (Weible & Sabatier, 2017) as a starting point, we envision to organize submitted papers into 3-4 panels that each focus on a specific policy process theory, including at least the Multiple Streams Framework, the Advocacy Coalition Framework, the Punctuated Equilibrium Theory, the Narrative Policy Framework. We plan to invite the authors of the relevant chapters in Weible and Sabatier (2017) to the respective panels to provide comments and engage in the wider discussion of the value of that theory in authoritarian settings. By the end of each panel, we should have a better understanding of the extent to which the theory in question fits in authoritarian contexts, what research gaps exists, what methodological challenges researchers are facing, and how we could move ahead to try overcoming these research gaps and challenges. In addition to the abovementioned panels, we envision to organize a roundtable on conducting policy process research in authoritarian setting, which addresses issues such as lack of data, censorship, limited funding, as well as how to move from idea to publication. This roundtable in particularly targets junior researchers who work in authoritarian settings. References Chan, K. N., & Zhao, S. (2016). Punctuated equilibrium and the information disadvantage of authoritarianism: Evidence from the People’s Republic of China. Policy Studies Journal, 44(2), 134–155. Jones, M. D., Peterson, H. L., Pierce, J., Herweg, N., Bernal, A., Raney, H. L., and Zahariadis, N. (2016). A river runs through it: A multiple streams meta-review. Policy Studies Journal 44 (1): 13–36. Kuhlmann, J., and Van der Heijden, J. (2018). What is known about Punctuated Equilibrium Theory? And what does that tell us about the construction, validation, and replication of knowledge in the policy sciences? Review of Policy Research 35 (2): 326–47. Li, W., & Weible, C. M. (2021). China’s policy processes and the advocacy coalition framework. Policy Studies Journal, 49(3), 703–730. https://doi.org/10.1111/psj.12369 Schlaufer, C., Gafurova, D., Zhiryakova, E., Shikhova, M., & Belyaeva, N. (2021). Narrative strategies in a nondemocratic setting: Moscow’s urban policy debates. Policy Studies Journal, early online. Shanahan, E. A., Jones, M. D., McBeth, M. K., & Radaelli, C. M. (2017). The narrative policy framework. In C. M. Weible & P. A. Sabatier (Eds.), Theories of the Policy Process (pp. 173–214). Westview Press. Sievers, T., & Jones, M. D. (2020). Can power be made an empirically viable concept in policy process theory? Exploring the power potential of the Narrative Policy Framework. International Review of Public Policy, 2(1), 90–114. https://doi.org/10.4000/irpp.942 Van den Dool, A. (forthcoming). The Multiple Streams Framework in a Nondemocracy: The Infeasibility of a National Ban on Live Poultry Sales in China. Policy Studies Journal. Weible, C. M, and Sabatier, P. A. (2017). Theories of the Policy Process, 4th ed. Westview Press. Williamson, Scott, and Beatriz Magaloni. 2020. Legislatures and Policy Making in Authoritarian Regimes. Comparative Political Studies 53 (9): 1525–1543.
POLICY TOPICS
T01W05. Climate Policy Integration at stake
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Marie Hrabanski, Senior Researcher, CIRAD, France, marie.hrabanski@cirad.fr Alexandra Lesnikowski, Assistant Professor, Concordia University, Canada, alexandra.lesnikowski@concordia.ca Gilles Massardier, Senior Researcher, CIRAD, gilles.massardier@cirad.fr The main objective of this workshop is to compare various sectorial or/and multi-sectorial climate policy implementation to analyze, in a comparative perspective (between sectors and between countries), the situations of “(des) integration” of adaptation (Biesbrok, Candel, 2020). Climate change is a “wicked problem par excellence” (Dupuis, 2014), in particular because it is global, multi-stake, multi-stakeholder and multi-sectoral problem : “Climate change is a complex problem that transcends borders, and policies across a myriad of domains because they relate to adjacent sectors” (Schmidt, Fleig, 2018). According to a large part of the literature on public policies, it called for an integrated response, that is to say multi-sectoral, that would go against the structures and routines of the so-called public sectors. In addition, the prescriptions of group III of the IPCC and the Paris Agreement (Lesnikowski & al, 2016) soften this integrative approach to climate policies. These approaches and injunctions to a ‘good’ multi-sectoral climate governance raise the question of the efficiency of these policies in a complex universe: “how adaptation is integrated into existing constellations of policies, laws, rules, programs, and mandates within countries and at different levels of government (Lesnikovsky & al. 2016), and more precisely, how “'wicked problems'' crosscut the boundaries of traditional government sectors and levels. As such, one crucial part of the response lies in the integration of sectoral responses” (Biesbroek and Candel, 2019). “Complex policy-making faces substantial risks of failure when horizontal or vertical dimensions of policy-making are not well integrated” (Howlett, Vince, Del Rio, 2017). However, from the perspective of the researchers who propose this workshop, this causal relationship between climate policy failures and their non-integration is not yet clear and calls for further study. Concerning agricultural sector for exemple, their conclusions are unequivocal: the agricultural sector confines the adaptation policies of agriculture but without compromising an adaptive capacity. In Agricultural sector, « administrative traditions matter », where this is less true for other sectors (Biesbroek & al., 2018). Should we conclude that there is agricultural exceptionalism or are other sectors part of this sectoral climate management? On the contrary, is sectorality a more anchored vector, than the literature predicts, of the concrete implementation of climate policy instruments ? In more normative terms, does the efficient response to climate adaptation go through the routines of the sectors or, on the contrary, by going beyond them? How to characterize and define different types of integration? Is integration a mandatory condition for the efficiency of these climate policies? As mentioned by Trein & al. (2021), “there is a need for comparative research, which works towards systematizing factors explaining such reforms”. In the political science field, an abundant literature has focused on the integration of climate issues into public policies. Firstly, climate policy integration is a derivative from the concept of environmental policy integration (Jordan and Lenschow, 2010) and is strongly anchored in policy integration literature in political sciences (Howlett, Vince, Del Rio, 2017; Schmidt, Fleig, 2018). Secondly, the concept of Climate adaptation mainstreaming refers both to sectoral integration and/or dedicated approach (Kok and De Cornick, 2007; Swart and Raes, 2007), usually investigating mainstreaming processes of climate adaptation objectives (Brouwer et al., 2013; Runhaar et al., 2017). Thirdly, the neologism ‘climatization’ is now frequently used in social sciences field (Aykut et al., 2017; Cournil, Parusso, 2018, Hrabanski, 2020; Aykut and Maertens, 2021) while not necessarily being further defined or debated. Fourthly, adaptive governance (Hurlbert, Gupta, 2016) consider sectors as a barrier to adaptation to climate change. However, a number of arguments from the literature or from field research question the possibility of generalizing integration argument for evaluating the efficiency of climate change adaptation policies. First of all, “political commitments to strengthen integrative efforts often do not proceed beyond discursive levels (Jacob et al. 2008; Candel 2017), largely due to the same factors that were found by research on coordination, such as conflicting interests and lacks of genuine commitment”. Moreover, policy injunctions generally fail to overcome conflicts of interest between policy sectors” (Briesbroek, Candel, 2019). And, finally, the results of fieldwork researches concerning agricultural policies show that, on the contrary, adaptation and sectorization can go hand in hand. On the one hand, to use the distinction made by Candel & Biesbrok (2016, 2019), the policy frame is often integrative between climate, agriculture, land-use, or energy for example (at the international level and of national plans and programs), at objective level (Trien & al., 2021), likewise and sometimes for the instruments (in particular generalist financial instruments can fund agricultural systems). But, on the other hand, the objectives (often linked to the profitability of the sector) and the governance of the implementation of these instruments (no or little instrumental procedures to connect the sectors, climate adaptation instruments remain specific to the agricultural sector) are essentially agricultural and therefore very rarely multi-sectoral. The agricultural subsystem is, in term of climate instruments and their implementation, little invested in transversality (no or little "recognition of mutual dependencies between subsystems").
POLICY TOPICS
T01W06. Public policies for hybrid governance
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Governing societal activities, institutions and work has always been ubiquitous but never self-explanatory. With respect to addressing global problems and pursuing important societal aims, such as combating climate change, easing up urban congestion, advancing welfare or providing education, it is difficult to disentangle public policies and agencies from private efforts, economic institutions and civic activities (Johanson and Vakkuri 2017; Pekkola et al. 2020). Recent developments in commissioning public services, welfare mixes, corporate social responsibility and global rise in social enterprises signify the fluidity of institutional boundaries. Societies have learnt that both evolutionary adaptation and institutional design occur at multiple levels of society, which produces impacts that remain undetected by our current policy instruments. We propose three main questions for the panel: 1) How are public policies influenced by hybridity and hybrid forms of governance? 2) To what extent and via what mechanisms do governments influence (foster or hamper) hybridity? 3) How does hybridity shape the agenda-setting, implementation and evaluation of public policies? An interesting aspect is the extent to which hybridity shapes the design of governmental structures and arrangements. In this way we would be able to bridge the gap between public policy and public administration scholars in discussing hybridity, rather than contributing to the divide between these two fields. The policies of the nation states are often labeled as “public” primarily due to the dominant role of governments in instigating political agendas and social change in their territories. Therefore, it is also commonplace to understand the multiplicity of policy rationalities that affect people and societies via “public sector” outcomes. However, policies often include several aspects of public-private linkages and collaboration between governments and business corporations, as well as public-private-civil societal relationships (Erkkilä 2012). There is no definite theory of rationality regarding how the necessary activities of societies should be governed and what should be the roles of governments, business firms or non-profits (Williamson 1999; Kooiman 2003). Nevertheless, it has been assumed that mixing “public” and “private” creates contaminated institutions, moral abyss and dysfunctional modes of organizations (Jacobs 1992; Ménard 2004). The side effects of specialization of scientific disciplines have contributed to the assumption of monstrous hybridity, which is assumed to both compromise the neutrality of government and distort the efficiency of business operations (Vakkuri and Johanson, 2020). Accordingly, the governance solutions of societies have been based on a narrow understanding of institutional mixtures. We adopt a more balanced approach where hybridity appears equally as deliberate design of institutions and policies, and as an intended or unintended outcome of an evolutionary social process. Hybridity over time may have evolved both “by design” and “by default” (Johanson and Vakkuri 2017).
POLICY TOPICS
T01W07. Policy Implementation in the Global South
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ABSTRACT
The present workshop proposal aims to open a debate on the way policy implementation studies have evolved in recent years by integrating the context of countries in the Global South. We will structure our workshop in two parts. On one hand, we will focus on the way the decentralization of public policy analysis that many scholars (Darbon & Provini, 2018 ; Barrault-Stella, Maillet, Vommaro, 2019 ; de Sardan, 2017, 2021) call forth allows the production of new analytical frameworks to better understand policy implementation in the Global South, here to designate emerging and developing countries. On the other hand, we will take an interest in the study of development projects from a policy analysis perspective (Lavigne Delville, 2017). Development projects present some specificities in terms of stakeholders configuration (public/private sector, multi-level decision making,...), international policy circulation, power relations and shorter cycles that may set aside public authorities to the benefit of NGOs, local civil society, etc. Our objective here is to dedicate this workshop to the theoretical, empirical and methodological debate of policy making and implementation processes at the margins. Policy implementation literature is quite prolific yet ambiguous. Scholars of this subdiscipline have long sought to develop a general theory from top-down (Wildavsky & Pressman, 1973 ; Bardach, 1977 ; Mazmanian & Sabatier,1980) and bottom-up perspectives (Lipsky, 1971). The debates have also concerned the elusive concept of implementation gap (Hill & Hupe, 2014 ; Barrett & Fudge, 1980), and the importance of strengthening implementation theory by building a contingency model (ambiguity/conflict) to help policy makers and designers in their decision process (Matland, 1995). Our stance is that the policy implementation process is as political as the policy making. Public policy is implemented through multi level negotiations between stakeholders that are embedded in historical, social and economic situations (Hall, 2016). Scholars have posited that current public policy theories seem blind to other contexts specificities in terms of geography (Tarrow and Tilly, 2015; de Sardan 2021) or local governance practices (Eisenger 1973; Tarrow, 2016; Sabatier, 2005; De Sardan 2021). There is then an urgency in questioning the methods and theory that so far are used to study public policy in the Global South, and in producing new methods and theories emanating specifically from these contexts. Within this framework, we set out the following hypotheses : Solving public problems presents a paradox between the flexibility and thoroughness of policy-making. This paradox questions the adaptability of policy models in different territories, and social, economic and historical contexts. Any planned intervention, any public policy, any development program is subjected to a test when it arrives on the concrete ground of its implementation (de Sardan, 2021). Scientific and case evidence shows how the effectiveness of public policy cannot be independent of context and culture but rather is profoundly shaped and molded by it (Harris and Jones 2017). Therefore, there is a necessity in developing and balancing strong specific empirical research with rigorous theorization directly from the Global South. In the development aid field, the organisation by project leads to new power configurations between the local stakeholders, central authorities, civil society, and international institutions. Moreover, policy cycles are also shortened as they are often confused or directly assimilated to projects. There is then a disjunction between projects and policies as systems and operational logics dominate the implementation process (Laville Delvigne, 2017). Evidence has demonstrated that the “policy-implementation gap” has been enriched in recent years by complex frameworks of analysis through concepts of unpredictability and nonlinearity. There are overarching influences contributing towards implementation gaps within policy making across the different countries of the Global South, which include issues like multiple stakeholders, discretionary powers, political resources, governance and socio-cultural appropriation. This workshop represents an opportunity to contribute to empirical, methodological and theoretical knowledge about the policy implementation process in the Global South, and to assess the new approaches and debates to explain political changes in the region. Therefore, it shall be developed in a single session, in which a general introduction to the main topic will be given, followed by a dialogue on the basis of the papers received. Subsequently, the session will be developed in three main sub-themes based on the expected proposals: Theoretical approaches, case studies, and proposals for new perspectives. Each presentation will be followed by a short discussion with the audience, and at the end of the session there will be a general discussion based on the works presented, which will allow us to think about new lines of analysis and to propose new contours for public policy theorization and methodology. Cited Literature: Bardach E. (1977). The Implementation Game: What Happens After a Bill Becomes a Law, Cambridge Mass: MIT Press, Pp. 336. Barrault-Stella Lorenzo, Maillet Antoine, Vommaro Gabriel, « Étudier les transformations de l’action publique en Amérique latine. De terrains « exotiques » à la fécondité conceptuelle d’enquêtes situées », Gouvernement et action publique, vol 8, n°1, 2019, p. 9-28. Darbon, Dominique & Provini, Olivier. (2018). « Penser l’action publique » en contextes africains : Les enjeux d'une décentration. Gouvernement et action publique, OL7, 9-29. Eisinger, Peter. K. (1973). The Conditions of Protest Behavior in American Cities. The American Political Science Review, 67(1), 11–28. Hall, Peter « Politics as a Process Structured in Space and Time » In The Oxford Handbook of Historical Institutionalism, eds Orfeo Fioretos, Julia Lynch, Adam Steinhouse New York: Oxford University Press, 2016: 31-50 Harris, Alma & Jones, Michelle. (2017). Leading educational change and improvement at scale: Some inconvenient truths about educational reform. International Journal of Leadership in Education, 20(5), 1–10. https://doi.org/10.1080/13603124.2016.1274786. Hassenteufel , Patrick. (2011). Chapitre 4. La mise en œuvre de l’action publique. In: P. Hassenteufel, Sociologie politique: l'action publique (pp. 93-114). Paris: Armand Colin. Hill, M., and P. Hupe. (2014). Implementing Public Policy. 3rd ed. London: Sage. Lavigne Delville, Philippe. (2017. “Pour une socio-anthropologie de l’action publique dans les pays ‘sous régime d’aide’”, Anthropologie & développement, n° 45, 33-64. Lipsky, Michael. (1971). Street-Level Bureaucracy and the Analysis of Urban Reform. Urban Affairs Quarterly, 6(4), 391–409. Matland Richard E. (1995). Synthesizing the Implementation Literature: The Ambiguity-Conflict Model of Policy Implementation. Journal of Public Administration Research and Theory, 5(2): 145-174. Olivier de Sardan Jean-Pierre, (2021). La revanche des contextes. Des mésaventures de l’ingénierie sociale, en Afrique et au-delà, Paris, Karthala. Olivier de Sardan Jean-Pierre, Diarra Aissa et Moha Mahaman. « Travelling Models and the Challenge of Pragmatic Contexts and Practical Norms: The Case of Maternal Health », Health Research Policy and Systems, vol. 15, n° 1, 2017 Sabatier Paul, Mazmanian, Daniel. (1980). The implementation of public policy: a framework of analysis, Policy Studies Journal, Volume 8, Issue 4. Sabatier Paul. (2005). From Policy Implementation to Policy Change: A Personal Odyssey. In: Gornitzka Å., Kogan M., Amaral A. (eds) Reform and Change in Higher Education. Higher Education Dynamics, vol 8. Springer, Dordrecht. Tarrow, Sidney. (2016). Cosmopolites enracinés et militants transnationaux. Lien social et Politique, (75), 202–217. Tilly Charles and Tarrow Sidney. (2015). Contentious Politics, 2nd Edition, Oxford University Press. Wildavsky, Aaron B., Pressman, Jeffrey L. (1973). Implementation : How Great Expectations in Washington Are Dashed in Oakland, or, Why It's Amazing That Federal Programs Work at All, University of California Press.
POLICY TOPICS
T01W09. Policy learning in contemporary policy contexts: Where? How? And for whom?
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ABSTRACT
Notes: Prof. Ellen Wayenberg is also chair of the workshop. Context Contemporary policymaking contexts are growingly susceptible to wicked and challenging policy issues that are difficult to analyze and structure (Daviter, 2017; Head & Alford, 2013). This is in addition to their entanglement with progressively complex societal and policy networks (Crozier, 2010). Amidst such complexity, policymaking also often has to respond to disruptive and fast-paced changes mainly rooted either in crises and paradigmatic shifts, disruptive technological innovations, or sometimes both (e.g., Crow et al., 2018; Birkland, 2006; Hartley et al., 2019), while engaging with complex networks of stakeholders in a growing policy universe (Hans Klijn, 1996). Though these issues paint a somewhat stark image, policymaking theory and practice have found some relief in policy learning as a mechanism for coping with such “messy contexts”. This has ranged from employing policy learning to address technically complex and ambiguous policy issues from pandemics (e.g., Baekkeskov, 2016; Zaki & Wayenberg, 2020), to engaging with complex actor networks (e.g., Howlett et al., 2017), socio-politically complex issues (e.g., Kamkhaji & Radaelli, 2017; Dunlop, James, & Radaelli, 2019), or leveraging a better theoretical understanding between policy learning and policy change (e.g., Bennett & Howlett, 1992; Dunlop & Radaelli, 2017; Moyson, 2017). However, policy learning does not occur in vacuum, rather it influences and is influenced by its contexts and their societal, structural, governance dynamics, and capacities (e.g., Moyson et al., 2017; Dunlop & Radaelli, 2017; Zaki & George, 2021). Consequently, lapses in acknowledging such connections (and thus engaging in sub-optimal learning processes) can lead to “endarkment” over “enlightment” and significantly constrain the conception and effectiveness of critical policies (e.g., Dunlop & Radaelli, 2018; Dunlop, James, & Radaelli, 2019; Zaki & Wayenberg, 2020). As such, this Workshop places learning theories, frameworks, and concepts at the heart of the contemporary policymaking context and focuses on how dynamic contextual configurations influence (and yield insights for) further development of policy learning research and practice. State of the art and scientific relevance Policy learning has positioned itself as an invaluable tool for contemporary policymaking. This has been emphasized in recent decades through employing policy learning within a wide range of technically and socially complex policy issues. This ranged from governance (e.g., Dunlop, James, & Radaelli, 2019; Kamkhaji & Radaelli, 2017), to public health and pandemics (e.g., Baekkeskov, 2016; Zaki & Wayenberg, 2020), to agriculture, the environment (e.g., Dunlop, 2017; Gerlak et al., 2018), social welfare and legislation (e.g., Fleckenstein, 2008; Mooney & Lee, 1999). The need for consistent, systematic, and deliberate learning is becoming progressively central in contemporary public policy, particularly with the proliferation of crises, wicked issues, disruptive technologies, and changes in democratic governance paradigms (e.g., Hartley et al., 2019). There, policy learning can help policymakers make sense of complexity, particularly where understandings are still rudimentary and where multiple perspectives are needed to approach ambiguous policy issues with high uncertainty (see: Dunlop, 2017; Herweg et al., 2018). However, an emphasis on the embeddedness of policy learning and its interaction with its context is key to achieving optimal learning outcomes. Yet, as such contextual features evolve, research on learning is yet to fully capture the intensity, multiplicity, and multidimensionality of interactions of policy learning with contextual and systemic structures (Bomberg, 2007), where contexts not only “surround” but can also be within “actors” (e.g., Karlsen & Larrea, 2016). In this vein, research on learning needs to engage with the non-linearity, dynamism, and tensions between various ideational schools, shifts in democratic governance paradigms, disruptive market forces, and transitions (e.g., Dunlop et al., 2020; Nilsson, 2005; Bauer, Peters, & Pierre, 2021). Thus, the research question underlying this workshop directly relates to the foundational and longstanding ethos of public administration and policy, that is a long-standing quest for addressing emerging challenges (Kaufman, 1969). This is achieved through a focus on enriching policy learning research and practice (as a central mechanism for informing contemporary policymaking) towards more dynamic and context-responsive approaches able to cope with a flurry of contextual evolutions in public policy. Main Research Questions As such, this workshop welcomes a wide range of contributions tackling various aspects of the interaction between policy learning and the contexts in which learning occurs. This includes (but is not limited to): 1.How do different policy learning types, and processes interact with each other and their contexts within and across: coalitions, institutions, networks, and various organizational settings? 2.How are (or can) different policy learning types and processes (be) employed (sometimes weaponized) by different actors to leverage policy positions and re-shape policy paradigms? 3.How can multiple policy learning and interdisciplinary frameworks/theories used in conjunction (e.g., Narrative Policy Framework, Advocacy Coalition Framework, Institutional Grammar theory, etc.) help explain and illuminate causal relationships between policy learning processes and their outcomes under different contexts? 4.How can policy learning help integrate and theoretically connect different theories of public policy? 5.How have societies and policy subsystems learned during the post-pandemic recovery? And what is the quality of this learning in terms of policy effectiveness and standards of democratic governance? 6.How do bureaucratic structures, implementers, individual policy subsystems, different policy actors (and ultimately societies) learn in a time of paradigmatic transformations and transitions (e.g., green energy, shifts in democratic governance paradigms, etc.)? 7.How can policy learning advance advocacy in an era of intense ideational contestation? 8.How do evidence-informed tools work to produce learning during crises? How can they be re-calibrated to function within conditions of uncertainty and/or rapidly changing and emergency contexts? 9.How does the existence of disruptive innovations affect the design of learning solutions? How can policy learning (and learning capacity) enhance or impede the ability of governance frameworks to respond to disruptive innovations (e.g., Artificial intelligence, Facial recognition, Big Data, the internet of things, etc.)? 10.How can learning respond to the explosion growth in information circulation in an era of conspiracy theories, post-truths, and fake news, and growing role of citizens as policy actors with access to information? Expected Papers This workshop welcomes a wide range of interdisciplinary contributions: Theoretical, conceptual, empirical, and methodological. Contributions can focus on single or multiple cases and can utilize a range of methodological and analytical approaches (Theory building, quantitative, qualitative, or mixed methods). Contributions should clearly articulate the key elements of context and clearly delineate the underlying conceptual/theoretical approaches to learning. Special Issue This workshop aims to leverage contributions for a special issue in a leading ISI ranked Public Policy Journal. Further arrangements as a specific outlet will be finalized in light of final submissions. Scholars with confirmed interest in presenting papers in this workshop The chairs have contacted a number of international policy learning and public policy scholars who have confirmed their interest and willingness to present their work during this workshop. These include: 1.Claudio Radaelli, European University Institute –Learning modes under different types of crisis. 2.Claire Dunlop, University of Exeter – (Exact theme to be confirmed). 3.Tanya Heikkila (UC Denver) and Andrea Gerlak (University of Arizona) - Breaking Down the Barriers to Learning in Cross-Scale Governance Processes 4.Paul Cairney, University of Stirling - What can governments learn from each other about COVID-19 policy? 5.Katharine Rietig, Newcastle University - Learning in zero-carbon transitions. 6.Bishoy Louis Zaki & Ellen Wayenberg University of Ghent P1: Complexity Theory: Implications for Policy learning research and Practice. P2: Policy Learning: Shifts and Mode hopping in complex and dynamic policy contexts. 7.Philipp Trein, University of Lausanne - (Exact theme to be confirmed). 8.Kristin Taylor, Wayne State University - Towards a Theory of Event-Initiated Policy Learning: An examination how perturbations in drinking water systems promote policy learning. 9. Mathew Nowlin, College of Charleston - Deliberation, Issue Definitions, and Policy Learning.
POLICY TOPICS
T01W10. Policy Entrepreneurship and Agency in Theories of the Policy Process
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ABSTRACT
Introduction Agency has always been important in the conception of entrepreneur. Since the work of Joseph Schumpeter in the first half of the 20th century, entrepreneurs have been considered salient societal actors because their innovative actions disturb economic and social equilibriums (Becker, Knudsen and Swedberg, 2012). The scholarship on policy entrepreneurship has its roots mainly along two broad lines within political science. One trajectory is within political economy and public choice literature with synergies with the Austrian School of Economics, especially the work of Israel Kirzner. In this trajectory, the policy entrepreneur is an agent in the market for public goods; policy entrepreneurship, then, refers to strategies for the effective cooperation in solving (wicked) commons problems. A second trajectory in the policy sciences spearheaded by the Kingdon and his book Agendas, Alternatives, and Public Policies, first published in 1984, focuses on the policy entrepreneur as a driver for policy change. he concept of the policy entrepreneur is attractive not only because it foregrounds the role of agency in understanding policy change, but also because it provides a rich alternative to the thin, purely rational portrayals of actors in policymaking processes. Conversely, the theoretical narrative regarding policy entrepreneurs focuses on their commitment to a policy solution, the variety of strategies they use to promote that solution, and a suite of attributes and skills underpinning their actions. Whereas skills may be acquired and learned, they are facilitated by attributes that may be nurtured (Mintrom 2019). Considering the position and utility of policy entrepreneurs (a distinct class of political actor [Petridou and Mintrom, 2020]) in theories of the policy process, the concept has two-fold theoretical implications. On the one hand, it helps us explore the possibilities of agency and the agentic capacity of actors within a theoretical framework. On the other, it provides insights regarding the conditions that may foster or hinder success in the policy entrepreneurs’ quest for policy change. Below we offer examples of conceptualizations of the agency of the policy entrepreneur within theories of the policy process. Institutionalism Through much of the twentieth century, institutional accounts of government processes were highly descriptive, describing features of government agencies and processes and making normative assumptions about how people acted within them. Institutionalism fell out of favor during the prevalence of behaviorism, but this changed as political scientists such as James March and Johan Olsen (1983) explored interactions between individuals and institutions. A common element that emerged was the focus on institutional design and how specific design features incentivized specific actions (Ostrom 2009). Institutionalist accounts of the policy process and policy change identify considerable space as well as limitations for motivated individuals and groups to have impact. Multiple Streams Framework The Multiple Streams Framework, first advanced by John Kingdon (1984/2011) and further theorized by Nikolaos Zahariadis (see, for example, Zahariadis 20014) seeks to explain policy change under conditions of ambiguity and as an alternative to rational-choice rationales (Petridou 2014). Kingdon (1984/2011) argues that policy issues ascent to the political agenda as the result of developments in three separate process streams: the problem stream, the policy stream, and the politics stream. Most of the time they operate largely independently of one another, but converge periodically. Policy entrepreneurs often join these three independent streams by identifying and taking advantage of (or creating) windows of opportunity, which are often preceded by a focusing event (Zahariadis 2014). Punctuated Equilibrium Theory A discrepancy exists between accounts of why policy change sometimes occurs slowly and other times dramatically. To reconcile these accounts, punctuated equilibrium theory conceptualizes political processes as generally characterized by stability and incrementalism punctuated with infrequent spikes of substantial change. In this interpretation of the policy making process, the task for advocates of policy change is to bring the policy issues into the public arena. The challenge for those seeking change is to undermine existing present policy images and create new ones that emphasize major problems and question the sustainability of the status quo. Policy entrepreneurs may be instrumental in doing just that. Advocacy Coalition Framework Although the original scope of Advocacy Coalition Framework (ACF) was limited to the American policy arena, significant revisions have increased its scope of application to European and even developing countries (Sabatier and Weible, 2007; Petridou 2014). Entrepreneurial leaders are able to seize opportunities while creating a positive vision for the coalition for the purpose of attracting additional resources and use them strategically (see also Mintrom and Vergari, 1996). Within ACF, change comes from both internal and external sources. However, to have political effect, those catalysts for change need to be appropriately interpreted and translated. This process of translation portrays situations in ways designed to increase the likelihood that they will receive the decision makers’ attention. The process of interpretation has similarities with problem definition, a key strategy used by policy entrepreneurs as documented in recent literature. Narrative Policy Framework The Narrative Policy Framework (NPF) has risen to prominence as a theory of the policy process over the past decade. Michael D. Jones and Mark K. McBeth (2010) argued that policy narratives can be studied using systematic empirical approaches (Shanahan et al., 2018). Actors highlighted for special attention within NPF are the “policy marketers”. The literature has already identified similarities between policy marketers and policy entrepreneurs. Petridou and Mintrom (2020) argue for a direct insertion of the concept of the policy entrepreneur as a central player in NPF holds the potential to further enrich theorization of the policymaking process and guide new empirical explorations. Scientific Objective This workshop endeavors to develop both the concept of the policy entrepreneur and theories of policy process by connecting them through the notion of agency. As with NPF, we maintain that the concept of the policy entrepreneur potentially enriches our understanding of not only theories of the policy process generally, but also agency within the policy process specifically. This is doubly true for emerging that have not systematically explored the role of agency so far. Then, as our theories advance, new empirical directions open. Depending on the quality of submissions, a journal special issue could result from the workshop. References Becker, Markus C., Thorbjørn Knudsen, and Richard Swedberg. 2012. "Schumpeter’s theory of economic development: 100 years of development." Journal of Evolutionary Economics 22 (5): 917-933. Herweg, Nicole, Nikolaos Zahariadis, and Reimut Zohlnhöfer. 2018. "The multiple streams framework: Foundations, refinements, and empirical applications." In Theories of the Policy Process, 4th edition, eds. Christopher M. Weible and Paul A. Sabatier, 17-53. Boulder, CO: Westview Press. Jones, Michael D., and Mark K. McBeth. 2010. "A narrative policy framework: Clear enough to be wrong?" Policy Studies Journal 38 (2): 329-353. Jones, Michael D., and Claudio M. Radaelli. 2015. "The Narrative Policy Framework: child or monster?" Critical Policy Studies 9 (3):3 39-355. doi: 10.1080/19460171.2015.1053959. Kingdon, John. W. 1984/2011. Agendas, Alternatives, and Public Policies (3rd ed.). Boston: Longman. March, James G. and Johan P. Olsen. 1983. “The New Institutionalism: Organizational Factors in Political Life.” American Political Science Review 78(3): 734-749. Mintrom, Michael. 2019. Policy Entrepreneurs and Dynamic Change. New York; Cambridge University Press. Mintrom, Michael, and Philippa Norman. 2009. “Policy Entrepreneurship and Policy Change.” Policy Studies Journal, 37(4): 649-667. doi:10.1111/j.1541-0072.2009.00329.x Mintrom, Michael, and Sandra Vergari. 1996. “Advocacy Coalitions, Policy Entrepreneurs, and Policy Change.” Policy Studies Journal 24: 420–34. Mintrom, Michael, and Sandra Vergari. 1998. “Policy Networks and Innovation Diffusion: The Case of State Education Reforms.” Journal of Politics 60: 126–48. Ostrom, Elinor. 2009. Understanding institutional diversity. Princeton: Princeton University Press. Petridou, Evangelia. 2014. “Theories of the Policy Process: Contemporary Scholarship and Future Directions.” Policy Studies Journal 42: S12-S32. Powell, Walter W. and Paul J. DiMaggio. Eds. 1991. The new institutionalism in organizational analysis. Chicago: University of Chicago Press. Roberts, Nancy C. and Paula J. King. 1996. Transforming Public Policy: Dynamics of Policy Entrepreneurship and Innovation. San Francisco: Jossey-Bass. Schneider, Mark, and Paul Teske with Michael Mintrom. 1995. Public Entrepreneurs: Agents for Change in American Government. Princeton, NJ: Princeton University Press. Shanahan, Elizabeth A., Stephanie M. Adams, Michael D. Jones, and Mark K. McBeth. 2014. "The blame game: narrative persuasiveness of the intentional causal mechanism." In The Science of Stories, eds. Michael D. Jones, Elizabeth A. Shanahan, and Mark K. McBeth, 69-88. New York: Palgrave Macmillan. Shanahan, Elizabeth A., Michael D. Jones, Mark K. McBeth, and Claudio M. Radaelli. 2018. "The narrative policy framework." In Theories of the Policy Process, 4th edition eds. Christopher M. Weible and Paul A. Sabatier, 173-213. New York: Routlege. Weible, Christopher M. and Paul A. Sabatier. 2009. “Coalitions, Science, and Belief Change: Comparing Adversarial and Collaborative Policy Subsystems.” Policy Studies Journal 37(2): 195-212. Weible, Christopher M., Paul A. Sabatier, and Kelly McQueen. 2009. "Themes and variations: Taking stock of the advocacy coalition framework." Policy Studies Journal 37 (1): 121-140. Weible, Christopher M. 2018. “Moving forward and climbing upward.: Advancing policy process research. In Theories of the Policy Process, 4th edition, eds. Christopher M. Weible and Paul A. Sabatier, 363-378. New York: Routledge. Zahariadis, Nikolaos. 2014. Ambiguity and Multiple Streams. In Theories of the Policy Process, 3rd edition, eds. Paul A. Sabatier and Christopher M. Weible (Eds.) 25-58. Boulder, CO: Westview Press
POLICY TOPICS
T01W11. Regime transitions and public policies
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ABSTRACT
Scientific presentation: Traditionally public policy studies as a discipline was focusing on the governance of liberal democracies and began to investigate the policy practices of non-democratic regimes only relatively recently (Baumgartner et al., 2017; Sebők and Boda, 2021). The endeavour has been made timely by observable trends of hybridization, democratic backsliding and autocratization in numerous polities across cultural and geographical boundaries. According to major research institutes and think tanks, such as V-Dem and Freedom House, democratic quality has tended to deteriorate in the past decade in both developed and developing countries, with a number of formerly stable liberal democracies autocratizing, some of them turning into outright electoral autocracies. Still, a limited number of countries have managed to improve liberal democratic standards thus limiting the unidirectionality of regime transitions. The recent interest of policy studies in political systems has mostly produced static comparisons of governance under different regimes. This workshop seeks contributions that focus on the transition between regimes, the dynamics and patterns of change and how these factors are linked to public policies. These linkages may be different in nature as well as direction. One aspect of the problematique refers to the role of policy problems in triggering regime change. In a recent contribution to the economics of democracy literature, Acemoglu et al. (2021) have argued that exposure to democratic rule enhances support for democratic values as long as democracy delivers: if and when people experience reasonably good economic growth performance, political stability and provision of public goods. With a deteriorating policy performance, conversely, support for democratic governance weakens. The authoritarian turns that have occurred in numerous Latin American countries in past decades, relatedly, have been explained by major failures of democratic governments at providing reasonable public services and reducing corruption (Acemoglu et al. 2013). Ádám (2019), in turn, has argued that Viktor Orbán’s 2010 authoritarian populist takeover and the subsequent consolidation of his regime was principally due to the failure of the previous liberal democratic regime at the sustained delivery of public goods and Orbán’s success at reducing ‘political transaction costs’ through controlling a highly centralized, clientele-based system of redistribution of resources. These analyses seem to bear some resemblance to those studies in the literature which have adopted outcome-based approaches to the problem of policy-making in regime change. In these studies scholars compare various socio-economic outcomes under different regimes, generally demonstrating the better performance of democracies over autocratic regimes (e.g., Deacon, 2009; Mulligan Casey, 2004). The policy agendas literature has used the concept of policy punctuation in order to assess the quality of policy making in different regimes, arguing that higher punctuations are the sign of poorer policy quality. Baumgartner et al. (2017) analyze trends in budgetary data in four countries (covering Brazil, Malta, Russia and Turkey) in both the democratic and autocratic periods and argue that policy punctuations are larger in authoritarian regimes. This finding is corroborated by many other studies, such as Sebők & Berki (2018). However, both Acemoglu et al. (2013) and Ádám (2019) point to the dynamizing effect of policy quality on regimes changes and as such relate directly to the topic of the proposed workshop. Conversely, it is equally interesting how policies may help maintain autocratic rule, undermining or reversing democratizing tendencies (e.g. Moon, 2019). A related question is whether transformative policies differ across levels of economic development (see, e.g., Islam, 2005, and Jong-A-Pin & De Haan, 2011). Outcomes and policy quality are, of course, the final test of assessing the virtues of a given system of governance and as such they are a legitimate focus of analysis. But the processes behind the outcomes are just as interesting. However, the literature on policy procedures under different regimes, let alone the dynamics of the policy-related changes, is much more restricted. A useful starting point in this respect is offered by Jones et al. (2019) who provide analytical categories in order to explain the differences in policy-making in democratic and authoritarian regimes. They discuss the role of information, incentives and centralization in shaping the environment for public policy decision-making in various regimes. Incentives are set by democratic accountability in a way that motivates decision-makers to address social problems in an effective way. In a democracy politicians are under the constant scrutiny of the citizens who will decide at the end of the electoral cycle whether to trust them for yet another electoral period or to replace them. Therefore, democratic decision-makers have strong incentives to take signals about policy problems seriously, and to process and, possibly, solve them. Although a certain level of friction and policy punctuation is characteristic of the democratic policymaking process as well, these punctuations are more attenuated than in autocracies partly because of these incentives. Autocratic leaders are not subject to popular vote and are, therefore, less motivated to diligently react to the needs, demands and expectations of the people. Consequently, we can assume that policy choices are different in democracies and autocracies. Comparing those differences and capturing both the causes and patterns of the changes would be a pertinent contribution to the thematic of the proposed workshop. The process of hybridization, or the formation of partly-free regimes constitute a related research question. Sebők (2019) points to a relevant factor in this context: that hybrid regimes often rely on poll-governed populist decision making, focusing on a few, symbolically and politically important issues, while neglecting a large number of other problems. Spectacular, large-scale policies may be undertaken in terms of the former; no action may be initiated in terms of the latter, but if those problems fester, at one point they may also require significant changes. Both logics increase the likelihood of punctuations in hybrid regimes. Jones et al. (2019) also argue that centralization is another factor which mediates the effect of political regimes on policy dynamics. Generally speaking, more centralized governments cause more severe policy punctuations. Data prove that this is true in democracies, and we may suspect that the stronger centralization of non-democratic regimes may be another factor which leads to higher punctuation. Two mechanisms may be at work: first, as the authors argue, executives like to make changes. Centralization provides a fertile ground for taking major decisions and the power holders often use this opportunity. However, as we discussed above, in autocracies they tend to follow their own agenda instead of the public agenda. Second, political centralization increases friction. The features associated with political centralization – such as the relative weakness of autonomous political actors –, the constrained policy venues as well as the hierarchically organized nature of government make it difficult for policy problems to ascend to the decision-making phase. How policy centralization is happening during democratic backsliding, which institutions, agents and actors are affected by it has remained largely understudied. Hajnal and Boda (2021) study the dynamics of changes that affect central government bureaucracy and its role in policy making, including structural and informal centralization of decision making. Finally, Jones and his co-authors argue that the lack of information is also an important feature of the policy process in non-democratic regimes – and also a factor that leads to more severe friction and punctuation. In non-free and partly free regimes the media is not operating unconstrained, the civil society is under control or oppressed, while the political opposition (if any) has limited possibilities to influence the government. These actors and institutions might be considered as parts of the policy capacities of the society (Boda & Patkós, 2018), brokering information between society and the government. If they cannot fulfil their role, the flow of policy-relevant information remaines restricted and cannot easily reach decision-makers. In other words non-democratic regimes are struck by informational disadvantage (Baumgartner et al., 2017). However, again, we do not know much on the dynamics and patterns of changes: How is information restriction realized, which channels and actors are first affected, and how is it reflected in the features of the policy process? References Acemoglu, Daron, James A. Robinson & Ragnar Torvik (2013). Why Do Voters Dismantle Checks and Balances?, The Review of Economic Studies, Volume 80, Issue 3, July 2013, Pages 845–875, https://doi.org/10.1093/restud/rdt007 Acemoglu, Daron, Nicolas Ajzenman, Cevat Giray Aksoy, Martin Fiszbein & Carlos A. Molina (2021). (Successful) democracies breed their own support. NBER Working Paper 29167, https://www.nber.org/papers/w29167 Ádám, Zoltán (2019). Explaining Orbán: A Political Transaction Cost Theory of Authoritarian Populism, Problems of Post-Communism, 66:6, 385-401, DOI: 10.1080/10758216.2019.1643249 Baumgartner, F. R., Carammia, M., Epp, D. A., Noble, B., Rey, B., & Yildirim, T. M. (2017). Budgetary change in authoritarian and democratic regimes. Journal of European Public Policy, 24(6), 792-808. Deacon, R. T. (2009). Public good provision under dictatorship and democracy. Public Choice, 139(1-2), 241-262. Hajnal, György & Zsolt Boda (2021). Illiberal Transformation of Government Bureaucracy: A dynamic perspective. The Case of Hungary. Paper prepared for 2021 APSA Annual Meeting, Seattle, September 30 – October 3. Islam, Muhammed N. (2005) Regime changes, economic policies and the effect of aid on growth, The Journal of Development Studies, 41:8, 1467-1492, DOI: 10.1080/00220380500187828 Jones, B. D., Epp, D. A., & Baumgartner, F. R. (2019). Democracy, Authoritarianism, and Policy Punctuations. International Review of Public Policy, 1(1), 7-26. Richard Jong-A-Pin, Richard & Jakob De Haan (2011). Political regime change, economic liberalization and growth accelerations. Public Choice, 146: 93–115, DOI: 10.1007/s11127-009-9585-x Moon, Chungshik (2019). Political institutions and FDI inflows in autocratic countries, Democratization, 26:7, 1256-1277, DOI: 10.1080/13510347.2019.1627520 Mulligan Casey, G. R., Sala-I-Martin, X. (2004). Do democracies have different public policies than nondemocracies? Journal of Economic Perspectives, 18(1), 51-74. Sebők, M., & Berki, T. (2018). Punctuated equilibrium in democracy and autocracy: an analysis of Hungarian budgeting between 1868 and 2013. European Political Science Review, 10(4), 589-611. Sebők, Miklós & Zsolt Boda, eds. (2021).Policy Agendas in Autocracy, and Hybrid Regimes – The Case of Hungary. Palgrave Macmillan.
POLICY TOPICS
T01W12. ACADEMICS, EXPERTISE, AND POLICY-MAKING IN TRANSITION DEMOCRACIES
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OBJECTIVES The general objective of the workshop is to examine the role of academic policy analysts in the policy process in countries in transition to democracy, and discuss how policy environments influence the role and influence of academics in the policy process compared to that of other actors. It aims to further a debate on: i. What is the role of the academic advisors and bureaucrats in the policy process? ii. What is the relationship between experts (consultants) and politicians in the policy process? iii. How do academic researchers relate to interest groups in the public policy process? iv. What role can/should academic advisors play in the policy process of a given country? CONTEXT: Public Policy is about actions and inactions of the government, however defined. Policy analysis involve different categories of actors such as Academics, Researchers, bureaucrats and Consultants/Experts. The roles carried by all the categories of policy actors can be traced to the debate on what public policy analysis is about. The debate, as live as it is to date, has its base from the works of Lasswell and Lerner (1951). From the lenses of Lasswell and Lerner (1951), public policy is multi-disciplinary, contextual, problem-oriented, and explicitly normative. Dye (1976) associated policy analysis with the questions of “what governments do, why they do it, and what difference it makes”. As (Shaw 2010) argues, policy scholars often focus on a rationalist framework that conceives of policymaking in terms of clear 'stages' where actors feed evidence into. A political rationalist approach, in turn, recognises that ideas, values, interests and actors interact in a more complex, non- linear way to shape policy. But still, rarely does it treat policy as a discourse framework that recognises that language and social interaction shape policy, thus failing to provide the glossary that they claim to provide. The debate is further enriched by Zittoun’s analysis of the two faces of Lasswell’ work: the first face involved his production of knowledge in his role as a social scientist, the second was associated with his role as a policy entrepreneur which primarily involved the provision of recommendations rather than the production of knowledge (Zittoun, 2019). The first Lasswell’s view of public analysis was influenced by Weber (psychology and sociology to grasp political phenomena from a neutral axiology perspective); the second Lasswell produced more applied and normative work in favour of democracy. A critical perspective, approaching the study of government domination through legitimation and the critique of activities in the policy-making process reconciles the two faces of Lasswell’s work (Zittoun 2014). Policy analysis is two faced, referring both to the analysis of public policy and the analysis for public policy: policy analysis as conducting scientifically-sound research on the one hand, and to bring this knowledge to use by providing policy advice on the other (Schubert, 2009). Policy analysis at universities or affiliated research institutes is often directed at gaining scientific knowledge for which possible applications play a marginal role (Blum, S. and Brans, M. (2017). According to Cobb and Elder (1983) it is highly unlikely that in many cases there will be a direct linear link between the outputs of specific pieces of academic research and changes in public policy. The outputs of academic research, are more likely to influence the broad arena of public policy debate and ideas, rather than the formal ‘institutional’ agenda of governments. Even so, policy analysts, including those from academia, are engaged in numerous activities that may underpin policy advice, such as diagnosing policy problems, pre-evaluating different policy options, or studying the effects of reform efforts (Blum, S. and Brans, M. (2017). To this extent, it follows that academic advisors from the universities can also contribute to public policy analysis as experts; as contributing expert-based information defined as content generated by professional, scientific, and technical methods of inquiry (Adams, 2004; van Kerkhoff & Lebel, 2006). The sources of expert-based information include the social and natural sciences, policy analyses, government reports, and research coming from universities, think tanks, and consulting firms, meaning academic expertise co-exists, concurs or conflicts with expertise from other sources. STATE OF ART: As Talbot and Talbot (2015) argue, how policy-makers engage with academics is both a current ‘hot’ topic and a perennial problem. Policy initiatives such as the Research Excellence Framework’s (REF) so-called ‘impact agenda’ have ‘pushed’ academics towards seeking more such engagement, whilst others ‘pull’ towards it, such as ‘open policy-making’. Other than through publications, policymakers can come to learn about or be influenced by scientific expertise through convocation activities through which scientific experts disseminate knowledge, such as workshops, conferences, or speeches. A third form consists of informal communications and personal contacts, such as background talks or personal briefings (Lindquist, 1990). A more recent medium is such information carriers as Twitter. According to Head (2015), the four groups of scientific policy experts include: the ‘mainstream academic’, who gives broad interpretations on policy and has limited direct engagement with practitioners; those who specialize in providing evidence-informed critiques of government policies in a chosen policy sector”; researchers providing applied, direct consultancy services to practitioners (e.g. policy evaluations); and those who take “secondments into advisory roles within public agencies or ministerial of offices” (Head, 2015). All these forms and functions of scientific expertise for policymaking will differ both between policy sectors and between countries. Policy advisory systems go beyond the boundaries of internal government expertise and can include a broad range of actors, such as advisory committees, academic experts, think tanks, civil society organizations, or employer and employee associations (Blum and Brans, 2017). What counts as evidence is defined by institutionally and discursively established conventions that differ between countries and policies. Straßheim and Kettunen (2014; see also Jasanoff, 2005) see large variances in what counts as evidence in countries with so-called contentious (e.g. the United States), communitarian (e.g. Great Britain), or consensus-seeking styles of expertise (e.g. Germany). Both the general advisory systems and the specific styles of expertise differ between countries. For instance, in a neo-corporatist, institution-based system such as Germany one will find more ‘expert rationality’, often stemming from institutional representatives who are included in advisory bodies, e.g. representatives from the employers’ and employees’ associations. From the foregoing it is clear, there is a possible disconnect between the works of most policy researchers and most government policies. First, about the content of policy analysis; second, about who are or should be involved in policy advice; third about who policy analysis is addressed to. Whereas it is less contentious that policy analysis indicates a wider interest in the outputs, the determinants, and the consequences of government action (Dye, 1976) and that the three terms of policy analysis, policy studies, and policy research are in practice often used interchangeably (Blum and Brans, 2017), it is not accepted universally, on who should do the analysis and for whom should academic advisors be the ones carrying out government targeted policy analysis? What of the bureaucrats, other experts, interest groups, or even citizens (in citizen science)? And often ignored in national policy advisory research, how to take into account the role of experts from international and donor organisations. Different countries have different approaches to engagement of academic advisors in policy analysis, and the study of these engagements have primarily been studied in the context of Western democracies. There is still much ground to cover on the role of academic advisors in the policy process of transition democracies. Research questions: The workshop chairs intend to explore answers to the following research questions: i. How complementary are the roles of academic advisors and bureaucrats in the policy process; and should they be complementary? ii. How independent are experts/consultants from politicians’ influence? How can independence be fostered? iii. Do/and should academic researchers take cognisance of the role played by interest groups in the public policy process? iv. Do/should academic advisors set the agenda in the policy making process of a given country, particularly in transition democracies? PAPERS: The panel is interested in theoretical, methodological and empirical presentations. Although we are interested in empirical cases not sufficiently covered in the international literature, the chairs also welcome conceptual and methodological papers. We particularly welcome case studies from sectors including but not exclusive to Water, Education, Energy, Transport, Communication, with a focus on how academic advisers and other experts are engaged in the policy process, and on how they demonstrate relevance and potential influence. To fill a gap in the literature on knowledge utilization and policy advisory systems, the panel is especially interested in cases of academic advisers’ input in the policy making process in transition democracies. AGENDA: The workshop will adopt the use of plenary discussions in which individuals will present papers after which breakout sessions will be adopted based on the themes/sectors covered by the presentations. The breakout sessions are intended for in-depth discussions due to small number and emerging issues captured. The reports from each break out group will be presented at the plenary to isolate similarities and differences across the sectors. The discussions on the papers is expected to continue across the network for further improvement of the papers. The comments obtained from the participants on each paper will be shared and authors will be encouraged to review and finalize their papers for submission to be considered for possible publication of a book on “Academics, Expertise, and Policy-Making in Transition Democracies” POSSIBLE PAPERS: Although, the chairs have already identified at least eight participants to do papers, the titles have not yet been finalized. The titles are expected to be ready within the next few days.
POLICY TOPICS
T02W01. Street-level bureaucracy in weak institutions
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Objectives: This panel aims to bring together scholars from different regions that study street-level bureaucracy and frontline work in contexts of low trust, social inequality, and limited state capacity. The objective is to generate new insights about the way systemic conditions shape the nature of frontline work, develop a clearer focus on the coping mechanisms frontline workers and citizens develop in contested contexts, and open up research in low-trust contexts to the mainstream academic debate. Research Context and Questions: Most of the theory about street-level bureaucracy has been developed in the US and in Western European countries, under conditions related to liberal democracies, strong institutions and, in some cases, welfare states with low inequalities (Lipsky 1980, Maynard-Moody and Musheno, 2003, Hupe and Hill, 2007, Hupe, 2019, Hill, Hupe and Buffat, 2015). However, it is problematic to extrapolate some of the findings from this literature into contexts where conditions are strikingly different, such as countries characterized by weak democratic institutions and low state capacity, scarcity of resources, conservative societies, and high socio-economic inequality. Working with the concept of ´weak institutions´ (Brinks et al., 2020), this panel invites scholars from especially Africa, the Middle East, South Asia, South-East Asia, and Latin America to contrast their findings and insights with existing theory building on street-level bureaucracy and frontline work. We invite papers that address the following questions: - What happens to street-level bureaucracy in countries with weak institutions? How do these characteristics affect discretion and accountability? - How do characteristics of low trust countries, such as corruption, clientelism, and patronage, affect frontline work? - How do frontline workers cope with working in contexts of high inequalities, scarcity of resources, and weak institutions? - To what extent do frontline workers compensate for institutional deficiencies or, on the contrary, abuse discretionary spaces? We invite papers that analyze different types of frontline settings (social programs, enforcement, desk work, and so on); using different methods (qualitative, quantitative or mixed) and different approaches to frontline work. We also invite comparative studies. Expected impact on public policy research: We expect the panel to contribute to street-level bureaucracy theory through evidence from contexts and countries different than those already studied by the literature. We expect that these studies contribute to fill a gap in our understanding of street-level bureaucracy in different contexts and test some of the theories already proposed by mainstream literature. Discussions may also contribute to the literature about development and developing countries, improving the knowledge about challenges in public service delivery and rule enforcement. Tentative output suggestions: The panel aims to impact the debate on frontline work, street-level bureaucracy, and state-citizen interactions in Africa, Asia, Latin America, and the broader international academic community. The ambition is to become an international reference for studies on street-level bureaucracy and citizen-state interactions. More specifically, the panel will pursue various publication outlets, including the possibility of an international book project and a special issue in a prominent international journal on public administration. The panel will also seek to be a platform for researchers to participate in the broader international academic community, such as academic conferences on street-level bureaucracy. Finally, the panel aims to foster exchange of researchers among universities and institutes.
POLICY TOPICS
T02W02. What to learn from the ‘natural experiment’ of the COVID-19 pandemic - implications for theories and methods of comparative health policy
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CONTEXT. The COVID-19 pandemic is a unique, natural experiment, where societies and governments across the globe have been confronted with a major public health crisis and broadly similar challenges, around roughly the same time. There has never before been a global health crisis of this severity and magnitude. This has resulted in a range of, more or less, similar policy responses, but important differences remain; for example, the impact and outcome of policy responses vary strongly between health systems. As such, the COVID-19 pandemic offers a very rich laboratory to raise and address a plethora of research questions for scholars of comparative public policy. For instance, what explains the broadly similar policy responses observed in different healthcare systems around the world? What role does state capacity play in explaining differences in outcome? How do politics and policies interplay with broader social, cultural and economic circumstances? The pandemic has exposed the relative strengths and weaknesses of societies and governments in terms of their ability to respond to crises. This is reflected in the renewed interest in social inequalities as a basic indicator of government performance and, more specifically, of the ability of governments to maintain societal cohesion. Studies have shown how the pandemic has exposed and even worsened existing social inequalities as well as created new ones. There has also been a heightened interest in resilience as the capacities of government to prepare for, deal with and learn from crises. Studies have examined particular resources, actors and capacities that enabled resilience across a range of policy sectors and discussed the underlying institutional factors. RESEARCH QUESTIONS & HYPOTHESES. This has been the focus of the existing public policy literature on the COVID-19 pandemic, based on initial responses during the first six to nine months of the pandemic. Now the time is ripe to take the next step and to review existing theories and methods of comparative public policy as well as to identify the political-practical lessons to be learned from the pandemic. The workshop does this, based on a critical examination of the field of comparative health policy. This is because health policy has been at the forefront of public policy responses to the COVID-19 pandemic. At the same time, over the past three decades, the study of health policy across different countries has developed into a major field of research of comparative public policy. Our hypothesis is two-fold. First, that the COVID-19 pandemic has exposed the salient and well-known weaknesses of comparative health policy, in particular the reliance on theories that use explanations based on health systems and the corresponding use of methodological approaches based on descriptive, quantitative methods. Second, that the pandemic pushes for more comprehensive empirical research in comparative health policy, which draws on more complex theoretical frameworks and makes greater use of explorative, qualitative methods and in-depth case studies. Based on this, the workshop addresses three research questions.1) How to revise or move beyond health systems?2) How to understand the health policy process?3) How to understand and conceptualise the actors at play? STATE OF THE ART. The first research question concerns the use of the concepts of health systems and institutions for understanding comparative health policy. Studies of comparative health policy have drawn heavily on the concept of health systems as more or less fixed sets of system-level institutions. However, the inclusion of a wider range of countries challenges the applicability of existing typologies and indeed the very dimensions on which these typologies are based. For instance, recent health reforms have combined policy approaches borrowed from different health system types; most countries have implemented universal healthcare coverage policies, but also rely on market elements. This can most clearly be observed in resource-poorer settings, e.g. in Eastern European countries as well as in Latin America. Studies have also highlighted the considerable diversity of institutional arrangements within one country. This points to the importance of different sub-domains, for example, primary health policies and elderly care policies. For instance, during the first wave of the COVID-19 pandemic, there was a general tendency of health policy efforts to prioritise technical resources (hospital beds, respirators) and protection of hospital healthcare workers, while long-term care was neglected. Taken together, this points to the greater complexity of institutional arrangements, including broader political institutions and also at different levels. The second research question is about how to understand processes of making health policy in a comparative perspective. Research on comparative health policy has long drawn, more or less explicitly, on the concept of the policy cycle and the notion that it is possible to distinguish between different phases of policy making, most prominently between decision-making and implementation. This rests on a view of policy making as essentially top-down strategy and driven by political-administrative actors. Studies of governance have challenged this perspective and have instead pointed to the plurality of both, arenas for policy making and actors involved. Policy making emerges as a complex process that can also occur bottom-up and simultaneously in different arenas and involving a diverse range of actors. Analyses of initial responses to the COVID-19 pandemic underline this point, reflecting highly accelerated policy making and a broad reach in terms of levels and policy actors involved. Here, professionals acting from the bottom-up, for example as ‘street level bureaucrats’, are ideally placed to making up policy as they go along in the context of the emerging pandemic. The third research question relates to actors in health policy. Studies of health politics have typically focused on collective actors at the national level, such as parties, ministries and interest organisations. The more integrated nature of policy making during the COVID-19 pandemic underlines the fact that we still lack a more comprehensive knowledge about the actors in health policy. This is in terms of a broader range of actors, including those, who are marginalised in the policy process, such as less qualified professionals and carers at the interface of formal and informal labour; as well as in terms of the specificities of actors in health policy, namely their interests, resources and interactions. This more inclusive perspective on policy actors tallies with recent contributions to studies of professions and the literature on street level bureaucracy. This perspective also calls for greater attention to the social positioning of these actors both as collective players and as individuals; gender and racial inequalities are particularly important to understand their power resources and roles in the policy process. PAPERS & AGENDA. We invite papers which use thorough empirical analysis of health policy during the COVID-19 pandemic as a steppingstone to discuss specific theoretical and/or methodological implications for the comparative study of health policy. We welcome papers: that reflect on what institutions matter and how; that examine the more integrated nature of health policy making and possible conceptualisations; and that analyse a greater diversity of actors in health policy and discuss gender-sensitive and intersectional approaches. Ideally, the papers draw on a comparison of at least two countries. The workshop is divided into three parts, reflecting the main research questions of the workshop. This ensures a clear focus and facilitates synthesis across related papers. Further, we will nominate at least one discussant for each paper, and we will allow time for plenary discussions at the end of each of the three parts as well as the workshop. Taken together, this helps to secure the impact of the workshop, namely what the COVID-19 pandemic teaches us about how to use institutions, policy processes and policy actors as theoretical concepts in comparative health policy. Our plan is to use the workshop as a steppingstone for developing a special issue to be submitted to the Journal of Comparative Policy Analysis as first choice (Health Policy/Elsevier as an alternative option). The workshop offers an ideal opportunity to survey the global field of possible contributors and to identify the strongest contributions. This also helps to secure a substantial impact on public policy research.
POLICY TOPICS
T02W03. FAMILY COMPLEXITY AND SOCIAL POLICY AROUND THE WORLD
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ABSTRACT
GENERAL OBJECTIVES The organizers of this proposed workshop led a successful panel on Family Change at the IPPA 2021 Conference. The panel received more abstracts than we could accept, demonstrating substantial interest among researchers around the world. The two sessions of the panel were quite productive, highlighting current work, showing potential synergies between researchers, and leading to lively discussion about how research on family policy could move forward to be more impactful, furthering both knowledge and actual policy change. There is consensus in the academic literature that families are changing around the world. Whether this is described as the Second Demographic Transition or discussed in terms of whether family patterns are converging around the world, the reality of change is acknowledged. There is also a sense that family policies have not necessarily taken some of these changes into account. To introduce this area of interest, we highlight one such demographic change, the increasing trend in many countries toward children spending substantial (or equal) time living separately with each parent following parental separation. This family form, shared care, is creating difficulty for policy in that many programs are available only for families with children, so it is unclear whether both parents should be eligible or only one. As an example, should the rules for public housing provide a bedroom for a child in each parent’s home, or only one? Even more difficult, some means-tested policies have larger benefits for larger families, and for these policies the benefit schedule generally does not consider children who live in a family part-time. Should benefit schedules be changed to allow for part-time residents? Several of the papers we received for IPPA 2020 panel examined policies surrounding shared care, with papers exploring the extent to which parents with shared care were eligible for family benefits, whether a country’s custody policies were related to the kinds of families that share care, and parental satisfaction with these arrangements. Indeed, we carved out one of our two sessions to focus on the policies surrounding shared care. The papers, and various discussions we have had since, have shown us substantial policymaker and researcher interest in shared care, and we would like to gather researchers interested in these issues together to substantially increase what is known in this area. However, a workshop focused only on policies surrounding shared care in different countries would be interesting but would not have the richness that may be possible if the discussion is grounded in a broader conversation about family change and whether policies are working well for those with diverse family forms. As a result, we propose a workshop that discusses family change and family policy more broadly, hoping that any discussions of shared care can draw on discussions of ways other family constellations are treated in policy in various countries. Our objectives are: (1) to add to the state of knowledge on the extent of family change and the way that policy is responding to these changes around the world; (2) to bring together individual researchers (and research teams) working in different countries and working on different policies to learn from each other, and in so doing to further the quality and quantity of research in this area; (3) to identify ways that countries can learn from each other in adapting policies to fit new family forms; (4) to discuss actionable policy steps that are supported by research; and (5) to promote this policy area among early-career researchers who will then be poised to make sustained impacts on policy. RESEARCH QUESTIONS AND SCIENTIFIC RELEVANCE Within most countries, substantial diversity in children’s family experiences exists. Many children experience their parents’ separation, and an increasing number of these children are splitting time between both parental homes. Many children whose parents separate then face their parents’ re-partnering, bringing potential earners and/or caregivers and perhaps new siblings into their lives. Many children now live in extended-family households. Moreover, these family changes are not uniformly experienced, but many are especially prevalent among those with lower socioeconomic status. The proportion of children who experience family change has increased over time. Increases in cohabitation and in same-sex partnerships, declines in marriage, dramatic changes in fertility, increases in family instability, changes in co-residence with grandparents or other kin, and substantial changes in children’s living arrangements after divorce in some countries have all transformed the context in which family policy operates. Yet many family policies were designed during a different period and were presumed to be addressing families defined by husband-wife couples in stable relationships who lived with their biological children. The overarching interest in this workshop is whether these policies have been adapted to fit contemporary family patterns. For example, is parental leave available only to biological/adopted parents, or also to stepparents, grandparents or other kin who are acting as primary parts of the child’s family? How do countries provide for same-sex couples if their parental leave policies are different for mothers and fathers? Are the rules for inheritance the same if individuals cohabit versus marry? Does a country count the resources and needs of extended family members who co-reside in their means-tested income support program? Who is obligated to provide for children when a parent has had children with multiple partners? The overarching research question for this workshop is: “What are a country’s family patterns, and are their current family policies working well considering these patterns?” Papers could explore the following hypotheses (or related ones): (a) the extent to which a country has adapted or instituted policy that reflects diverse families is related to the degree of family change within that country, the level of gender equality, and ideologies about family; (b) policies that focus on individuals rather than families as the unit of analysis are more effective at supporting a broad array of family forms; (c) policies are less effective when they do not match what a country’s family patterns actually are (e.g., countries whose policies do not provide cohabiting couples with equal rights to married couples may experience more difficulties if they have high rates of cohabitation). POTENTIAL PAPERS We are aware of some current projects and have asked researchers for titles of papers for which they would consider submitting abstracts. We received responses from researchers around the world (Colombia, US, Finland, Australia, Germany, Belgium, UK, Malaysia, and Sweden), and authors include students, postdoctoral fellows, researchers, professors, and those within government: Papers about child support: · “Child support policy and access to justice: Evidence from custodial mothers in Colombia.” Assistant Professor Angela Guarin, Universidad de Los Andes (Colombia) and Researcher Kasey J. Eickmeyer, Self-Employed (Colombia) · “Child support policy and poverty among custodial-mother families in Chile and Colombia: A longitudinal analysis.” Assistant Professor Laura Cuesta, Rutgers University (US) and Researcher Sarah Reynolds, University of California, Berkeley (US) · “Child support policy in middle and low-income countries.” Assistant Professor Laura Cuesta, Rutgers University (US); Senior Research Fellow Mia Hakovirta, University of Turku (Finland); Research Assistant Mari Haapanen, University of Turku (Finland); and Professor Daniel R. Meyer, University of Wisconsin-Madison (US) · “Child support: Revisiting the adequacy–equity conundrum in changing times in Australia and the US”, Professor Bruce Smyth, Australia National University; J. Thomas Oldham, University of Houston (US); and Director Prem Aleema, Commonwealth Ombudsman (Australia) Papers about shared care and child custody: · “Post-divorce placement arrangements and resource sharing across households: A comparative analysis of the United States, Finland, and Germany.” Professor Judith Bartfeld, University of Wisconsin – Madison (US); Professor Lawrence Berger, University of Wisconsin – Madison (US); Research Assistant Mari Haapanen, University of Turku (Finland); Senior Research Fellow Mia Hakovirta, University of Turku (Finland); Researcher Anneli Miettinen, Social Insurance Institution (Finland); Postdoctoral Fellow Quentin H. Riser, University of Wisconsin – Madison (US); and Professor Anja Steinbach, University of Duisburg-Essen (Germany). · “Supporting shared physical custody in Belgium and Italy: the role of local policies.” Professor Laura Merla, UCLouvain (Belgium) and Postdoctoral Researcher Lorena Izaguirre, UCLouvain (Belgium) · "They're (not) staying put: child custody enforcement in Belgium." Postdoctoral Researcher Elke Claessens, University of Antwerp (Belgium) and Professor Dimitri Mortelmans, University of Antwerp (Belgium) · “What is the problem? Policy-makers perception and response to benefit adjustments to accommodate shared parenting.” Director Tina Haux, National Centre for Social Research (UK) Other papers about family policy and family change: · “Exploring the roles of public policy in supporting single mother families in Malaysia.” Senior Lecturer Zarina Md Nor, Universiti Sains Malaysia · “A family-friendly and equal transition to parenthood? Social transfers and earnings development in different-sex and female same-sex couples in Denmark, Finland, Norway, and Sweden.” Researcher Marie Evertsson; Postdoctoral Fellow Ylva Moberg; and Postdoctoral Fellow Maaike van der Vleuten, Stockholm University · “Family transitions, poverty and child conduct and emotional issues.” Professor Morag Treanor and Dr Patricio Troncoso, Heriot-Watt University (UK)
POLICY TOPICS
T02W04. Policy and capacity dismantling in the context of democratic backsliding
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ABSTRACT
Jair Bolsonaro in Brazil, Donald Trump in the US, Viktor Orbán in Hungary, Andrzej Duda in Poland, to mention a few: what do these current and former leaders have in common? Most political analysts would point to their conservative agendas, their populist styles, and their embracement of an anti-pluralist agenda that, along with autocratic legalism (Sá e Silva, forthcoming), erodes the democratic principles of their countries. What analysts and scholars are still beginning to address is how those leaders have profoundly affected the functioning of state institutions and the very public policies produced by their states (Bauer, Peters & Pierre, 2021). In the last decade, elected populists and illiberal politicians have been contesting democracy and political pluralism. In this regard, scholars have claimed that some countries live in a context of democratic regress or backsliding (Haggard and Kaufman, 2021). In a recent publication, Bauer et al. (2021) were the first to look at the deleterious impacts of populists not only on democracy but also on the constitutive (and often taken-for-granted) foundations of the state. This workshop proposal seeks to add to this critical conversation opened by Bauer et al. (2021), looking within public administration and examining the specific consequences of democratic backsliding for state capacity and public policies. The authors initially convened in this proposal have gathered around the concept of policy dismantling to understand the policy changes happening in countries under the administration of democratic backsliders. The concept of policy dismantling emerged in the works of Michael Bauer and colleagues, who were then trying to grapple with processes of policy reduction happening in Europe due to fiscal constraints and reforms. Policy dismantling was then defined as: “a change of direct, indirect, hidden or symbolic nature that either diminishes the number of policies in a particular area, reduces the number of policy instruments used and/or lowers their intensity. It can involve changes to these core elements of policy and/or it can be achieved by manipulating the capacities to implement and supervise them” (Bauer et al., 2012, p. 35). In developing countries, where building policy capacity has been of particular importance for promoting socio-economic development, capacity dismantling emerges both as a possible cause and a possible consequence of policy dismantling. Policy capacity is understood here as “the organizational and bureaucratic ability to implement public policies” (Centeno et al., 2017). Capacity dismantling connects to policy dismantling at various levels. Under the stress of seeing important policies being dismantled, for instance, bureaucrats tend to exit their agencies and look for workplaces where they feel protected or less frustrated (Morais de Sá e Silva, forthcoming). In this framework, this workshop proposal is dedicated to convening scholars who have been dedicated to examining policy and capacity dismantling in countries that have experienced democratic backsliding or the rise to power of anti-liberal populists in their governments. It is hoped that the ensemble of empirical studies will allow for the consolidation of a new body of literature that can provide a conceptual framework for those analyzing dismantling in the context of democratic backsliding in various countries. The following questions will be of relevance to workshop papers and discussions: 1. What has been the nature of policy change in contexts of democratic backsliding? 2. Do backsliders consistently resort to policy and capacity dismantling? Are policy and capacity dismantling a defining feature of democratic backsliding? 3. Does policy dismantling occur under distinct drivers, and does it produce particular effects in situations of democratic backsliding? 4. Do democratic backsliders produce new policies while they dismantle old ones? 5. In dismantling policies, what impact is created on the institutions once responsible for implementing them and on state capacity? 6. What is the role of public bureaucracies on observed policy resilience or dismantling? 7. What are the conditions and causal mechanisms that characterize policy and capacity dismantling in the context of democratic backsliding? 8. Are there common patterns that can be identified across different countries? It is expected that workshop discussions will allow for the construction of relevant conceptual frameworks that will move the needle in understanding policy change in contexts of democratic backsliding. Below is a preliminary list of expected workshop participants and the provisional titles of their papers: 1. Unpacking governance spheres in Brazilian agro-commodity chains: Policy dismantling, patterns of interaction and implications for sustainability Almut Schilling Vacaflor , Osnabrück University Benedetta Cotta, Universita Ca Foscari Venezia Andrea Lenschow, Osnabrück University Maria-Therese Gustafsson, Stockholm University Niels Soendergaard, INSPER Edward Challies, University of Canterbury Cristina Yumie Aoki Inoue, Radboud University Jens Newig, Leuphana University 2. The policy effects of democratic backsliding: The case of environmental policy in Hungary Aron Buzogány, University of Natural Resources and Life Sciences Vienna 3. Dismantling and resilience of socio-environmental and territorial development policies in Brazil Carolina Milhorance, Center for International Development and Agricultural Research (CIRAD) Jean François Le-Coq, Center for International Development and Agricultural Research (CIRAD) 4. Action and Reaction: how bureaucrats cope with different forms of political oppression Gabriela Lotta, Getulio Vargas Foundation and University of Oxford Michelle Fernandez, University of Brasilia Mariana Costa, Getulio Vargas Foundation 5. Paranoia, Populism, and Politicization: The Decline of Policy Capacity in the United States Guy Peters, University of Pittsburgh 6. The Effects of Bureaucratic Dismantling on Public Service Motivation: Evidence from US Federal Agencies João V. Guedes-Neto, University of Pittsburgh 7. Policy and capacity dismantling in the context of democratic backsliding: a proposed framework of analysis Alexandre Gomide, Institute of Applied Economic Research (IPEA) Michelle Morais de Sa e Silva, University of Oklahoma 8. Policy dismantling by demobilization and deterioration of analytical capacity Natalia Koga, Institute of Applied Economic Research (IPEA) Discussants: Michael Bauer, European University Institute Alexandre Gomide, Institute for Applied Economic Research (IPEA) Michelle Morais de Sá e Silva, University of Oklahoma Expected publication: The editor of Politics and Public Policy at Palgrave Macmillan, Stewart Beale, has indicated an interest in publishing the set of revised workshop papers as an edited volume. References Bauer, M. W., Peters, B. G., Pierre, J., Yesilkagit, K., & Becker, S. (Eds.). (2021). Democratic backsliding and public administration: How populists in government transform state bureaucracies. Cambridge University Press. Bauer, M; Peters, G.; Pierre, J. (2021). Pathways to administrative resilience: Public bureaucracies ruled by democratic backsliders as a transnational challenge. Publications Office. https://data.europa.eu/doi/10.2870/752884 Bauer, M. W., Green-Pedersen, C., Héritier, A., & Jordan, A. (2012). Dismantling public policy: Preferences, strategies, and effects. Oxford University Press. Centeno, M. A., Kohli, A., & Yashar, D. J. (2017). Unpacking states in the developing world: Capacity, performance, and politics. In States in the developing world, Cambridge University Press, 1-34. Haggard, S., & Kaufman, R. (2021). Backsliding: Democratic Regress in the Contemporary World. Cambridge University Press. Pierson, P. (2006). Public policies as institutions. Rethinking political institutions: The art of the state, 114-31. Sá e Silva, Fabio C. (forthcoming). Law and Illiberalism: A Sociolegal Review and Research Roadmap. Annual Review of Law and Social Science, 2022, vol 18. Mahoney, J., & Thelen, K. (2010). A theory of gradual institutional change. In Explaining institutional change: Ambiguity, agency, and power, 1, 1-37. Wu, X., Ramesh, M., & Howlett, M. (2018). Policy capacity: Conceptual framework and essential components. In Policy capacity and governance (pp. 1–25). Springer.
POLICY TOPICS
T02W05. Institutions, Paradigms and Actors: Crafting Models to explaining policy change:
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Recent decades have seen a series of contributions from political science and sociology on the subject of ‘policy change.’ After the COVID pandemic and in the current context of economic, institutional, and cultural crisis, the public policy analysis needs – more than before – ‘multivariable’ approaches to consider the different perspectives and to better understand the reality studied. Besides the ways for explaining policy changes in public policy (as gradual, brutal, incremental, or radical), scholars have also conceptualized ‘change’ by analyzing the settings in which they occur: in the process, in the outcomes, in the results. Thus, in addition to the complexity of assessing change, both theoretical choices (such as cognitive approach, institutionalism perspective, rational choice) and major independent variables (such as institutions, interests, ideas) are crucial to understanding, defining, and analyzing policy change. This leads to the question: How to navigate through different theories when dealing with empirical cases in order to understand significant changes in public policies? On the one hand, the cognitive approach of public policies proposes a model based on a radical paradigm change to explain how the policy changes over time (Hall,1993). An analysis based only on the cognitive criteria, however, has demonstrated its limits. Hall’s paradigm model could not explain entirely the gradual changes in the cognitive perspectives of public policies. Hogan and Howlett (2015) argue that this model structures and limits how policies evolve. The authors also wonder if this happens as a discursive process of trial and error, something similar to the Carstensen’s concept of ‘policy bricolage’ (2011). Therefore, this approach should be integrated with theories and approaches that explain how public policy evolves in a more incremental way. On the other hand, the neo-institutionalism approaches have proposed a much more refined model to explain the policy change by transcending the notion of critical junctures and proposing a model based on incremental changes (Streeck, Thelen, 2005; Mahoney, Thelen, 2010, 2015). A gradual institutional change (GIC) approach connected with historical institutionalism offer correctives to dualist views that separate periods of institutional stability and change (Mahoney and Thelen, 2010; Palier, 2005; Streeck and Thelen, 2005). Nevertheless, Van der Heijden and Kuhlmann (2017) outline three main critiques to Mahoney and Thelen’s Model: the concepts it builds on lack precision, the model of agency it uses is too static, and the theory needs analytical and explanatory power overall. They outline that an expansion in the set of explanatory variables is needed to include, for example, ideas or spatial change to the notion of temporal change (p. 545). For Capano (2019) one way to ‘bridge the different theoretical perspectives on institutional and policy dynamics’ is considering ‘layering’ as a mode of institutional design. This panel addresses the possibilities of combining different theoretical models to study the various types of public policy changes (gradual, brutal, incremental, or radical, or/and in the process, in the outcomes or in the results) that highlight not only the relevance of institutional approaches which determine the behavior of the actors and explain how institutions change or evolve; but also, theories revealing ‘the power of ideas’ associated with progressive and/or incremental changes that end up generating outcomes of interest. Capano, G. 2019, Reconceptualizing layering – From mode of institutional change to mode of institutional design: Types and outputs. Public Administration, 97, 590–604. Carstensen, M. 2011, Ideas are not Stable as Political Scientists want them to be: A Theory of Incremental Ideational Change. Political Studies, 59, 596–615. Giessen, Lukas (2011): Reviewing empirical explanations of policy change: Options fot its analysis and future fields of research. Allg. Forts. u. J.-Ztg. 182 (11/12): 248–259. Hall, P. 1993, Policy Paradigm; Social Learning and the state, Comparative Politics, 25(3), pp. 275–296. Hogan, J, Howlett M., 2015, Policy Paradigms in Theory and Practice: Discourses, Ideas and Anomalies in Public Policy Dynamics. (Basingstoke: Palgrave Macmillan). KNILL, C., K. SCHULZE and J. TOSUN (2010): Policy change and its measurement in comparative policy analysis: Conceptual problems and potential alternatives [Politikwandel und seine Messung in der vergleichenden Staatstätigkeitsforschung: Konzeptionelle Probleme und mögliche Alternativen]. Politische Vierteljahresschrift, 51 (3), pp. 409–432. Mahoney, J; Thelen, Kathleen (eds.). 2015, Advances in Comparative Historical Analysis (New York: Cambridge). Mahoney, J, Thelen, K. (eds.) 2010, Explaining Institutional Change: Ambiguity, Agency, and Power (Cambridge: Cambridge University Press). Palier, B. 2005, Ambiguous Agreement, Cumulative Change: French Social Policy in France. In Institutional Changes in Advanced Political Economies, edited by Wolfgang Streeck and Kathleen Thelen, 127–44. (Oxford: Oxford University Press). Streeck, W.; Thelen, K., 2005. Beyond Continuity: Institutional Change in Advanced Political Economies (Oxford: Oxford University Press). Van der Heijden, J., & Kuhlmann, J. 2017. Studying incremental institutional change: A systematic and critical meta‐review of the literature from 2005 to 2015. Policy Studies Journal, 45, 535–554.
POLICY TOPICS
T04W01. Promoting, regulating and standardizing emerging technologies
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Incentives for innovation and the formation of innovation clusters are among the key mechanisms to shape future economic development and contribute to technological renewal. Innovation does not simply arise from free competition in markets but is significantly influenced by public institutions and the governance structures. The last decade’s evolution of innovation policy from a list of individual policy components, such as research funding or technology policy, to a comprehensive innovation system (cf. Gerybadze (2015): 517) has made coordination to a key feature of innovation policy. Second, it has created a close coupling of innovation and standardization policy. Standardization policy, which describes the process of regulating the status “normal”, leads to a shift in the governance structure towards market participants, who contribute significantly to the design of “their” markets and innovation spaces. The recent complaint of Tesla-CEO Elon Musk about the hurdles of German regulation may show these differences in the self-perception of a corporate’s role when developing national innovation systems. Additionally, it reveals the close relationship between innovation and standardization policies and differences in governance, regulation and cultures. Especially in the field of innovation policy, it becomes apparent that the entrepreneurial understanding of political decision-making follows the substantive ideas of innovation as an agile, efficient and innovative process. The aim of the workshop is to bring together researchers from the fields of policy studies and political economy, working on the promotion, regulation, and standardization of emerging technologies. The workshop will operate on a comparative basis and is methodical open to all kinds of research, including qualitative and quantitative studies as well as mixed-method approaches. This contains, for example, research on the comparison of innovation clusters, governance characteristics, policy designs, politics or policy impact assessments as well as simulations on technology development, actor behavior, market effects, or sectorial and regional specifics. In order to generate hypotheses that could be discussed in the context of the workshop, a brief overview of the state of the art, as well as classifying theory, will follow. Research on emerging technologies offers an institutional approach, which analyses the correlations between institutional regulation and economic effects. Institutions set the basic framework for economic activity and thus provide incentives for the behavior of individuals. Institutional governance can improve the framework conditions for innovation and thus offer an additional approach to supply and demand policy. Current empirical research on this topic deals, for example, with risk and liability requirements or patent law requirements. (cf. Gerybadze (2015), Pittinsky (2019). The institutional perspective also offers added value with regard to the interactions between innovation and standardization policy. The promotion of innovation plays an important role to create interfaces and communication standards on markets that improve networking and enable technology development. In addition to political framework conditions that promote the economy, ranging from the education sector to financing, standardization enables market participants to participate in the development process of institutions. Although standards as "best-practice rules based on expertise" (Kerwer (2005): 628) initially have no legal binding force (cf. Brunsson, Jacobsson (2000a), they have evolved into decisive market rules for emerging technologies. Standardization, therefore, goes hand in hand with homogenization, normalization (cf. Henman, Dean (2010): 79) isomorphism (cf. DiMaggio, Powell (1983): 149), and uniformity (cf. Brunsson (2000): 138ff) of emerging markets. The regulatory basis for the European market is set by EU 1025/2012 with the intention to harmonize the market and increase securities – an empirical evaluation of this regulation in research is currently missing. For the output evaluation of institutional regulations commonly Patents and R&D investments are used as indicators (cf. Nagaoka et al. (2010); limits in: cf. Feldman, Kogler (2010): 385), other econometric approaches work with infrastructure quality, ISO certifications, capital circulation or research networks. This leaves a number of unanswered questions for the workshop. Does the increase in regulations, for example in the areas of environmental protection or liability requirements, have an impact on innovation activity? How does standardization affect the behavior of individual market participants? Is institutional regulation an obstacle with regard to cross-sectorial technology share or the cooperative behavior of SMEs? The governance perspective in research analyses innovation policy with regard to actor constellation and coordination (interactive innovation modeling). This approach makes it possible to evaluate the agile process of developing policy measures in correlation to market effects. Governance aspects and organizational issues play a role in all policy fields relevant to innovation policy. (add. info: cf. Elstub, Escobar (2019); Fritzsche, A. et al. (2020)). The creation and enforcement of innovation agencies and policy objectives shape the innovation process in a significant way with regard to actor constellation, power distribution and working processes in the governance structure. This includes structural questions, such as aspects of participation or balance of interests, as well as procedural characteristics of the decision making process, like efficiency, agility or innovation. This links to studies on policy agenda setting and shows how policy instruments can be used to steer the innovation process. In this understanding, the politics dimension is centrally linked to the quality of policy output and outcome. A relation between governance aspects and innovation policy which gets mapped, for example, in research on coordination quality. One theoretical example is the concept of General Purpose Technologies, linking growth areas and emerging technologies in heterogenic sectors. This approach evaluates the mechanisms, which allow cost-intensive innovations to be shared over different sectors and processes. (cf. Bresnahan (2010): 763-767) The quality of coordination is therefore a key measure for the quality of innovation. Empirical studies also examine the quality of inter-firm cooperation, interaction with research institutes, government funding, etc. (cf. Freeman, Luca (2001)). In the field of standardization policy, research studies work on the cleavage between public and private sector (cf. Borraz (2007): 80), governance defects such as unequal representation or lobbyism, and empowerment effects as an influencing factor on the market structure (cf. Henman, Dean (2010): 77). There are several case studies concerning governance effects on innovation in international product markets (overview in: Loconto, Bush (2010): 509; add. Info: Yates, Murphy (2019)), but a gap with respect to the comparative analysis of national governance structures in emerging markets. This leaves a number of unanswered questions for the workshop. Why is the creation of innovation spaces so hesitant? How could cross-border coordination be better designed – especially with a view to innovations by SMEs? What role does the national mindset play in standardization bodies? The functionalistic approach in comparative policy research enables the analysis of innovation policy in terms of adopting a measure as a solution to a concrete problem. This provides a comparative basis for the policy making processes, including all procedural steps from identification to formulation, decision-making, implementation, evaluation and reviewing of policy measures. The comparison of innovation policy therefore enables a qualitative assessment at all these steps, which can be causal for the output and outcome generated. This may emphasise, why the existing innovation clusters and conditions are a decisive criterion for the quality of innovation policy. And it proofs, that distinctions of economics of innovation, such as geographical or sectorial conditions, are relevant for the policy making process. If, for example, venture capital for start-up funding is lacking, an increase in government funding could be an appropriate policy measure. Due to the large number of potential measures, finding the most efficient solution by comparative approaches offers added value, as it allows an empirical categorization of policies. (cf. Sørensen (2017); Hervas-Oliver et al. (2021)) Institutional regulation can also be part of this category if market participants in a technical committee decide to define certain product standards in order to improve the efficiency of inter-firm cooperation. A well-known model in environmental policy is e.g. Porter's Hypothesis, which analyses an innovation model in economic policy (cf. Kolloch & Golker (2016)). With a view to the workshop, there is plenty of scope for research questions. This includes comparisons of different national innovation policy measures, individual case analyses, historical development lines, input-output models, etc. Literature: Borraz, O. (2007). ‘Governing Standards: The Rise of Standardization Processes in France and the EU’, Governance: An International Journal of Policy, Administration and Institutions, 20(1), 57-84. Bresnahan, T. (2010). General purpose technologies. In: H. B. Hall & N. Rosenberg, Handbook of the economics of innovation. Vol. 2, Oxford: Elsevier, 761-791. Brunsson, N., Jacobsson, B. (2000). A world of standards. Oxford: Oxford University Press. Brunsson, N., Jacobsson, B. (2000a). The Contemporary expansion of Standardisation. In: N. Brunsson, B. Jacobsson. A world of standards. Oxford, 1-20. Brunsson, N. (2000). Standardization and Uniformity. In: Brunsson, N., Jacobsson, B. (2000). A world of standards. Oxford, 138-150. DiMaggio, P., Powell, W. (1983). The Iron Cage Revisited: Institutional Isomorphism and Collective Rationality in Organizational Fields. American Sociological Review, 48(2), 147-160. Elstub, S., Escobar, O. (2019). Handbook of Democratic Innovation and Governance. 10.4337/9781786433862. Feldmann, M. P., Kogler, D. F. (2010). Stylized facts in the geography of innovation. In: H. B. Hall & N. Rosenberg, Handbook of the economics of innovation. Vol. 1, Oxford: Elsevier, 381-427. Fritzsche, A. et al. (2020). Innovating in the Open Lab: The new potential for interactive value creation across organizational boundaries, Berlin, Boston: De Gruyter. Freeman, C., Louca, F. (2001). As Time Goes By: The Information Revolution and the Industrial Revolutions in Historical Perspective. Oxford: University Press. Gerybadze, A. (2015). Instrumente der Innovationspolitik. Auf dem Weg zu einer neuen Industriepolitik?, WSI Mitteilungen, 7. 516-525. Henman, P., Dean, M. (2010). E-Government and the Production of Standardized Individuality. In: V. Higgins, W. Larner. s. Macmillan, Basingstoke, 77-94. Hervas-Oliver, J.-L. et al. (2021). Emerging regional innovation policies for industry 4.0: Analyzing the digital innovation hub program in European regions, Competitiveness Review, 31(1), 106-129. https://doi.org/10.1108/CR-12-2019-0159. Kerwer, D. (2005). ‘Rules that Many Use: Standards and Global Regulation’, Governance: An International Journal of Policy, Administration and Institutions, 18(4), 611-32. Kolloch, M., Golker, O. (2016). Staatliche Regulierung und Digitalisierung als Antezedenzien für Innovationen in der Energiewirtschaft am Beispiel von REMIT. Zeitschrift für Energiewirtschaft, 40, 41-54. Loconto, A., Busch, L. (2010). Standards, techno-economic networks, and playing fields: Performing the global market economy. Review of International Political Economy, 17(3), 507-536. Nagaoka, S., Motohashi, K., Goto, A. (2010). Patent Statistics as an innovation indicator. In: H. B. Hall & N. Rosenberg, Handbook of the economics of innovation. Vol. 2, Oxford: Elsevier, 1083-1127. Pittinsky, T. (Ed.). (2019). Science, Technology, and Society: New Perspectives and Directions. Cambridge: Cambridge University Press. Sørensen, E. (2017) Political innovations: innovations in political institutions, processes and outputs, Public Management Review, 19(1), 1-19. Yates, J., Murphy, C. N. (2019). Engineering Rules: Global Standard Setting since 1880. Baltimore: John Hopkins University Press.
POLICY TOPICS
T04W02. The Determinants and Effects of Institutional Arrangements
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RESEARCH QUESTION: Which political and institutional factors affect how different implementation arrangements are chosen? And, how different implementation arrangements impact policy implementation? CONTEXT: The starting point of our workshop are essentially two observations. The first observation is that governments must deal with an ever-increasing number of societal challenges. These issues range from, for instance, climate change, rising inequality, global pandemics to the management of immigration flows. Governments typically address and try to solve these issues by the production of new public policies (Adam, et al. 2019). These new policies, however, imply new implementation tasks that directly turn into additional work burden for those in charge of their implementation. The second observation is that governments face fundamental fiscal and ideological barriers to also constantly expand the capacities that are necessary to properly execute and enforce the policies produced (Bozeman, 2000; Limberg, et al. 2021). There are various reasons for these constraints including globalized financial markets that limit the government capacity to extract resources from the economy and society as well as the dominance of neoliberal ideas such as austerity (Lobao, et al. 2018). In consequence of these ‘diverging’ trends of ever-more policies up for implementation and limited administrative capacities and resources available, it is highly important to optimize implementation arrangements and structures in a way that they allow for the highest level of implementation effectiveness. Unfortunately, however, the current state of the research on implementation arrangements and structures suffers from several blind spots that makes it difficult to propose suitable solutions. STATE OF ART: Implementation arrangements and structures are of long-standing concern in public policy and public administration research. The major debate has centered on the question whether public policies are typically implemented through a “single lonely organization” (Peters, 2015: 132) or if it needs a “multiorganizational analytic perspective” (Hjern and Porter, 1981: 201) to fully understand and grasp the implementation process (Sætren and Hupe, 2018). Other scholarly contributions, in turn, have analysed changes in the composition of the type of actors (governmental/business/non-profit) involved in implementation arrangements (Hall and O’Toole 2000). A good deal of literature on implementation found that implementation structures generally, and increasingly, involve multiple actors from both the public and the private sector (Thomann, et al. 2018; Steinebach 2021). While existing scholarship thus provides some knowledge on the inter-temporal dynamics of implementation arrangements, we know much less about cross-sectional variation. Why do governments in different spatial contexts opt for different implementation arrangements - and this even in case of quite similar policy measures? What determines the ‘choice’ of certain implementation structures? And what difference does this choice ultimately make for the functioning of public policies? Existing scholarship provides little to no answer on these questions. This is particularly surprising given that Schneider and Ingram (1997) considered decisions regarding the implementation arrangements as “fundamental empirical elements of public policy” (see Schneider and Sidney 2009: 104). HYPOTHESES: The workshop would like to explore some preliminary, and under-investigated hypotheses on the reasons that push towards the choice of different implementation arrangements. As preliminary step, we advance five general, and competing working hypotheses that are: (1) The choice of implementation arrangements is guided by functional considerations; (2) The choice of implementation arrangements is guided by political considerations; (3) The choice of implementation arrangements is determined by the actors' capacities in shaping the implementation capacities; (4) The choice of implementation arrangements is driven by path dependence and policy-administrative legacy; (5) The choice of implementation arrangements is based on the characteristics of the adopted policy instruments. Moreover, we expect that (6) The choice of implementation arrangements will ultimately make a difference for the performance (effectiveness, efficiency, legitimacy) of public policies. PAPERS: The panel welcomes both theoretical and empirical contributions, including comparative analysis (both cross-sectorial and -national). Topics related to new societal and environmental challenges (e.g., climate change, pollution, poverty reduction of equality, sustainable mobility, digital society, etc.), as well as to the study of the new implementation arrangements and structures chosen to cope with the consequences of the COVID-19 outbreak (e.g., vaccination policy, economic recovery packages, etc.) are particularly welcome. Contributions with a qualitative or quantitative approach are equally appreciated. AGENDA: The workshop will be designed to be a forum for in-depth discussion on research in progress, and collaboration among participants. We intend to facilitate and encourage the participation of and the interaction between young ICPP members, advanced scholars, and well-established researchers. Each participant is expected to contribute and present an own paper as well as participate in the discussion of the other papers presented. For each paper, there will be a discussant designated by the Chairs. As final outcomes, the chairs will summarize the main results of the workshop within the last session and open a broader discussion on the general topic. In the aftermath of the workshop, the Chairs will work on a Special Issue proposal for a leading journal on public policy/public administration such as Policy & Society or Public Policy and Administration. POSSIBLE PAPERS: We do not have already identified specific participants. However, the two Co-Chairs are very active within the IPPA community and participated in the main Panels/Workshops on policy implementation organized as part of the IPPA activities (e.g., ICCP4, ICPP5, IWPP1, etc.). As a consequence, they have a long list of potential authors that can be involved in this workshop, and that, on a preliminary basis, have already given their willingness to present their ongoing research on these topics. These scholars include, amongst others, Christoph Knill (LMU Munich), Muiris MacCarthaigh (Queen’s University Belfast) and Eva Euchner (Fliedner University of Applied Sciences). REFERENCES: Adam, C., Hurka, S., Knill, C., & Steinebach, Y. (2019). Policy accumulation and the democratic responsiveness trap. Cambridge: Cambridge University Press. Peters B. G. (2014). Implementation structures as institutions. Public Policy and Administration. 29(2): 131-144. Hjern, B. & Porter, D.O. (1981). Implementation Structures: A New Unit of Administrative Analysis. Organization Studies. 2(3): 211-227. Limberg, J., Steinebach, Y., Bayerlein, L. & Knill, C. (2021). The more the better? Rule growth and policy impact from a macro perspective. European Journal of Political Research. 60: 438-454. Lobao, L., Gray, M., Cox, K. & Kitson, M. (2018). The shrinking state? Understanding the assault on the public sector, Cambridge Journal of Regions, Economy and Society, 11(3): 389–408. Sætren, H. and Hupe, P.L. (2018), Policy Implementation in an Age of Governance, in E. Ongaro and S. van Thiel (eds.), The Palgrave Handbook of Public Administration and Management in Europe, Basingtoke: Palgrave Macmillan, pp. 553-575. Schneider & Ingram (1997). Policy Design For Democracy. Kansas City: University Press of Kansas. Schneider, A. & Sidney, M. (2009), What Is Next for Policy Design and Social Construction Theory?. Policy Studies Journal, 37: 103-119. Steinebach, Y. (2021), Instrument choice, implementation structures, and the effectiveness of environmental policies: A cross-national analysis. Regulation & Governance. Thomann, E., Hupe, P. & Sager, F. (2018). Serving many masters: Public accountability in private policy implementation. Governance. 2018; 31: 299–319.
POLICY TOPICS
T05W01. Evidence based policies: a realistic perspective on knowledge utilisation in public policy
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Evidence Based Policy (EBP) as a manifestation of knowledge utilisation informed by data and scientific evidence is a relevant subject of inquiry for public policy and is generally considered quintessential for good governance. Evidence is commonly seen as holding much value for policy makers in solving societal problems and in legitimating their decisions, especially under conditions of uncertainty and complexity. As it currently stands, evidence-based policy is widespread as a leitmotif and normative principle in highly technical policy sectors, such as health or environment policies, but can find itself in good currency also in sectors where the importance of values, beliefs and interests are typically seen to be strongly present. Despite a growing consensus about ‘evidence informed policy’ (Head, 2016) as a more realistic and appropriate label to approach the role of evidence in policy making, a basic epistemological dilemma persists among scholars applying a rational view about the phenomenon, and more constructivists who view the role of evidence as the result of an interplay among actors and resources in an often chaotic and unpredictable environment. Scholars adopting the latter perspective have highlighted how the use of evidence in policies cannot be taken for granted, and is far from a linear process (Sanderson, 2006; Strassheim and Kettunen, 2014). Literature discusses a wide range of drivers and impediments for evidence utilisation (Oliver, 2014a; 2014b; Johnson et al. 2009; Leviton and Hughes, 1981), relating to the characteristics of the evidence supplied, the actor configurations prevailing in a particular policy setting, the attributes of the evidence producer and consumer, or the way how evidence is built and constructed along the policy process -to name but a few of the plethora of conditions influencing evidence use. While our knowledge base on determinants for evidence use is gradually expanding, important theoretical and empirical gaps remain when it comes to understanding the conditions and mechanisms for evidence use, and the specific role which evidence takes in different stages of the policy process. More in particular, despite the multitude of factors that have been named to be influencing evidence use, we still know little about the technical, organisational, and systemic factors that play a role in this process, and how these interact. As for the technical side of evidence-based policy making, we lack key insights about the type of capacities (analytical, strategic, or communicative) that facilitate (or hamper) the use of evidence in the policy process. Policy capacity, as a phenomenon, is addressed by a growing scholarly community (Wu et al. 2015; Wu et al. 2017). Yet, insights in this field have only been limitedly connected to the EBP. As such, it remains a puzzle whether there are any (combination of) capacities that are necessary and/or sufficient to make evidence ‘work’ within and across contexts. An in-depth scrutiny of different types of capacities can add value to both literatures, i.e. revolving around policy capacity, or EBP. In the same line of thinking, at a meso-level, it remains unclear which actor constellations, institutional or organisational arrangements foster or hamper access and use of evidence in the policy process. Within the evaluation field, for instance, researchers have expressed concerns about the limited returns of a strong institutionalisation of policy evaluations (Leeuw and Furubo, 2008; Raimondo and Leeuw, 2021). The question is yet whether and how organisations can promote the utilisation of evidence in an effective way, through ‘smart’ organisational procedures, and when or which institutional arrangements do not matter at all in fostering evidence use. Similar knowledge deficits exist when approaching evidence based policy from a macro-oriented lens. While literature has shown how different knowledge regimes (Campbell and Pedersen, 2014), advisory systems (Craft and Howlett, 2012), or civic epistemologies (Jasanoff, 2011) may impact how evidence is conceived in a particular setting, the implications for the actual use of evidence in particular settings have hardly been scrutinized. More systematic research is needed on how exactly political, cultural or economic conditions can promote or hamper evidence use, and how mechanisms may unfold in different settings. Having such evidence can help advancing middle-range theories, in line with more realistic understandings (Pawson and Tilley, 1997) of evidence use. Other than research on influencing factors for evidence use, the field would strongly benefit from a more fine-grained unravelling of the policy process when studying EBP (Cairney 2016). Despite the label, evidence based ‘policy’, studies are often not specific as to the stage of policy making (agenda-setting, formulation, decision, implementation and evaluation) on which different types of evidence have an impact (Oliver et al. 2014a). Similarly, literature is often very concise in terms of the actor configurations using particular types of evidence in these different policy phases. Do politicians resort to different evidence manifestations than bureaucrats, for instance, and why is this so? And what about the role of media, external policy advisors, think tanks, or other experts in this evidence process? Similarly, and importantly, research remains fragmented about the very type of output that evidence generates in different technical, organisational and political settings. On which conditions and through which key mechanisms can evidence impact problem definition, instrument selection, coalition building, instrument calibration, or learning and legitimation? Evidence based policy making is currently dealt with by different literature strands (Oliver and Boaz, 2019), making it challenging to keep the overview of available knowledge in this regard, and rendering it almost impossible to draw any systematic conclusions on the linkage between different types of evidence, the antecedents for evidence use, and the actual impact on the policy process. This workshop aims to enhance our understanding of how evidence is generated and used in the different phases of the policy process, in an effort to advance the field conceptually, theoretically and practically. Conceptually, it challenges scholars to articulate more explicitly what type of knowledge is more likely to be used in different contexts, and urges scholars to operationalise the influence of knowledge, expertise, or advice in a more robust and rigid way (Christensen 2021). Theoretically, it deliberately opens the black box of how technical, organisational and system level attributes foster or jeopardize the uptake of evidence in different stages of the policy process, and through which key mechanisms this operates. Insights generated also hold much practical potential, and can contribute to more coherent, efficient and effective policy designing, which takes account of the particularities of specific policy settings. References Cairney, P. (2016), The politics of evidence-based policy making. Springer, Palgrave Macmillan. Campbell, J.L. & Pedersen, O.K. (2014). The National Origins of Policy Ideas: Knowledge Regimes in the United States, France, Germany, and Denmark, Princeton University Press, New Jersey Christensen, J. (2021), Expert knowledge and policymaking: a multi-disciplinary research agenda, Policy & Politics, 49(3), 455-471 Craft, J., & Howlett, M. (2012). Policy formulation, governance shifts and policy influence: Location and content in policy advisory systems. Journal of Public Policy, 32(2), 79-98. Head, B. W. (2016). Toward more “evidence‐informed” policy making? Public Administration Review, 76(3), 472-484. Jasanoff, S. (2011). Designs on nature. Princeton University press. Johnson, K., Greenseid, L. O., Toal, S. A., King, J. A., Lawrenz, F., & Volkov, B. (2009). Research on evaluation use: A review of the empirical literature from 1986 to 2005. American Journal of Evaluation, 30(3), 377-410. Leeuw, F. L., & Furubo, J.‑E. (2008). Evaluation Systems: What Are They and Why Study Them? Evaluation, 14(2), 157–169. Leviton, L. C., & Hughes, E. F. (1981). Research on the utilization of evaluations: A review and synthesis. Evaluation review, 5(4), 525-548. Oliver, K., Boaz, A. (2019) Transforming evidence for policy and practice: creating space for new conversations. Palgrave Communications, 5(60): 1-10. Oliver, K., Innvar, S., Lorenc, T., Woodman, J., & Thomas, J. (2014a). A systematic review of barriers to and facilitators of the use of evidence by policymakers. BMC health services research, 14(1), 1-12. Oliver, K., Lorenc, T., & Innvær, S. (2014b). New directions in evidence-based policy research: a critical analysis of the literature. Health research policy and systems, 12(1), 1-11. Pawson, R., Tilley, N., & Tilley, N. (1997). Realistic evaluation. Sage. Raimondo, E., & Leeuw, F. L. (2021). Evaluation systems and bureaucratic capture. Locked in the system and potential avenues for change. In B. Perrin & T. Tyrrell (Eds.), Comparative policy evaluation: Vol 29. Changing bureaucracies: Adapting to uncertainty, and how evaluation can help. Routledge. Sanderson I (2006) Complexity, ‘practical rationality’ and evidence-based policy making. Policy Politics 34(1):115–132 Strassheim H., Kettunen P. (2014) When does evidence-based policy turn into policy-based evidence? Configurations, contexts and mechanisms. Evidence & Policy 10(2):259–277 Wu, X., Ramesh, M., & Howlett, M. (2015). Policy capacity: A conceptual framework for understanding policy competences and capabilities. Policy and Society, 34(3-4), 165-171. Wu, X., Howlett, M., & Ramesh, M. (Eds.). (2017). Policy capacity and governance: Assessing governmental competences and capabilities in theory and practice. Springer
POLICY TOPICS
T05W02. Policy Design in the Face of Malignancy and Malicious Policy-Making Behaviour: Managing Inherent Policy Risks
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PANEL CHAIR(S)
ABSTRACT
Policy-makers and scholars must deal with many policy risks including not only ‘external’ threats but also those internal risks stemming from the ‘dark side’ of policy-making. These latter risks include activities such as (mis) behaviour on the part of policy-makers and policy takers who may mispromote ‘client’ interests; maliciously penalize or punish their opponents; (mis)use their power and position to enrich themselves of their allies; and manipulate policies for electoral or personal gain. These aspects of policy-making are some of the ‘inherent vices’ of the subject, meaning they are part of the very nature of policy, which makes it volatile or prone to failure. This workshop will examine these risks, assess whether they are growing in the contemporary period and especially look at how they can be managed through effective policy design. SCIENTIFIC RATIONALECousins (2018) has identified the emergent volatility, uncertainty, complexity, and ambiguity (‘VUCA’) of this world as the central characteristics of the contemporary policy environment. His work has begun the process of drawing out the consequences of VUCA for public policy-making. It is reasonable to ask if the policy science developed in an earlier era of more proactive, and apparently competent, government remains capable of dealing with the ‘new reality’ of not only interwoven and ambiguous policy problems but also to what extent contemporary thinking about policy-making is able to deal with this decidedly non-Panglossian reality. The malaise facing policy-makers and takers, however, is more than simply a capacity challenge. Howlett & Leong (2021) suggest that only some of the problems encountered by policy-makers and policy thinkers in the present era are due to changes in the external environmental, proposing rather that some problems have always been with us but have tended to be ignored by policy science; and can no longer be. That is, they suggest that there are certain inherent vices or risks to public policy - including uncertainty in policy-making; malice in policy-makers; and non-compliance in policy-takers - which together challenge many aspects of contemporary policy theory developed in earlier periods when these vices or risks were largely ignored in the pursuit of the holy grail of better (meaning not just more effective but optimal) policies and policy-making. These risks to policy-making can be framed as sources of policy volatility or the likelihood/propensity of any policy design to fail and Howlett and Leong argue policy designs must deal with them head-on rather than assume all will work out well in the best of all possible worlds (Howlett & Leong, 2021). And, as Legrand (2021) argues, some current problems in policy theory and practice are also the product of a crisis in the core values of liberal democracy which previously defined the telos of ‘the good state” towards which all policies were thought to be oriented or at least should be oriented towards. This crisis has been brought about by events such as: the ‘war on terror’ in the wake of 9/11, which, among other things, ushered into liberal democratic regimes many aspects of the surveillance state which are incompatible with many liberal freedoms; the financial collapse of 2007-2008, which ushered in more rapid growth of income inequality and has undermined belief in the equality of opportunity; and the challenges posed to nation states by immigration and refugee flows in the Post-Arab Spring era in the Middle East and Europe which has destabilised moves towards open borders and the free movements of goods and people. Many of these trends only promise to increase as wars and climate change impacts increase in a highly interconnected world and are only loosely related to, or encompassed by, thinking about the origins and consequences of a VUCA world. Commensurate to, and perhaps caused by events such as these, liberal democracies are undergoing an erosion in the rule of law; declining trust in institutions; extensive regulatory capture, especially by powerful energy firms; the normalisation of policy goals that transgress human rights; and deliberate obfuscation of the policy process by its core players in many countries who lambast the media and engage in corrupt and venal practices in government. This is the ‘dark side’ of policy-making, that citizens and policy-makers both must be alert to – the world of officials, companies and citizens, who mispromote ‘client’ interests; game rules and regulations, maliciously penalize or punish; (mis)use to enrich; and manipulate policy processes (for electoral or personal gain). (Howlett, 2020; Taylor et al (2021)). While these flaws and vices have been with us for some time, they flourish in volatile policy environments, and amidst the ‘dark’ misalignment of the public interest and policy settings which has accompanied the crisis of liberal democracy, it must be asked what are the prospects for policy studies to help resolve global challenges such as climate change, resource scarcity, displaced peoples, Covid-19, and state fragility in such contexts? A Fundamental Task for the Contemporary Policy Sciences: Understanding the Origins of Policy Volatility How is policy ‘malign’? As stated above, it is axiomatic to liberal democracy that policy-making should align with liberal democratic principles. Policy goals are thus expected to be produced through open mechanisms and participatory procedures through which the public can articulate its preferences to policy-makers and policy-makers are expected to listen to what has been said in determining their governments’ courses of action. The ethical basis of public policy is thus its alignment with liberal democratic principles, and it is thus malign where it does not do so. The ‘dark side’ outlined above is metaphorical in two senses: it refers to the opacity of decision-making process, and also to the malign motives of those responsible. This manifests in this special issue in several ways. First, malign policy is often opaque and moves in this direction are often telltale signs of non-Panglossian intent. Democracy demands that the public can properly evaluate government’s performance and reward or punish them in elections, and they require information in order to do this, which is largely provided by a free, untrammelled press corps. Hallsworth, et al. (2010) make this point succinctly: ‘The more that this process is illusory, the more democracy is undermined’. Second, malign policy is non-inclusive. The exclusion of the public, selectively or blanket, from participation in a policy is another non-Panglossian ‘tell’: structural & agential strategies to shape how policy is made (exclude, occlude, preclude and ostracise) are giveaways that objectives other than liberal democratic ones are being pursued (Legrand, 2021). Both these trends are exacerbated by the nature of the contemporary scholar-practitioner relationship where scholarship follows the funding set out for it by non-disinterested governments, NGOs, foundations and private companies. Increasingly the scholar-practitioner relationship is one in which government agencies act as agenda-setters and research-takers. Perhaps unintentionally, the discipline has flirted with regulatory capture whereby the scope of policy research is determined and its validity rubber-stamped (or not) by the subjects of the research itself – usually government. This would only be possible, however, in the Panglossian circumstance where the putatively shared goal of the policy scientist and the policy-maker is to serve and secure the public interest rather than, for example, their own electoral or career interests. The question of how policy scholars should engage with normative democratic principles continues to divide the policy sciences (see Wagle, 2000, for an excellent exposition). Although a distinct wave of ‘post-positivist’, critical and/or interpretivist scholarship emerged in the last two decades of the 20th century engaging with the role of values and beliefs – that is, politics – in decision-making, the larger thrust of research remains firmly oriented towards the production of modelling and generalizable insights that accrues from a dispassionate, scientific engagement with policy-making as a process that can, and should, be made more efficient in delivering government goals (see Farr, Hacker & Kazee, 2006; Durnova & Weible, 2020). We propose the use of terms such as policy volatility and policy malignancy as not as a new platform for research, but rather as a means to marshal the existing range of theoretical and conceptual viewpoints on these two aspects of contemporary policy-making and policy design as a shared research agenda for the policy sciences and especially those related to policy design. Specifically, we draw from recent work in policy studies that draws attention to these kinds of behaviours. On malign agents and their strategies in the policy process, Allan McConnell’s work is path-finding in its uncovering of ‘hidden agendas’ in policy-making: policies with covert aims behind their ostensible purpose (McConnell, 2018). Legrand (2021) adopts a similar perspective, showing how officials have manipulated the terms and structures of debates in Australia and elsewhere in order to diminish public scrutiny and exclude voices critical of security state initiatives from the political sphere. This is a topic of importance. Opacity in policy settings creates uncertainty & insecurity – a subject Stefan Bachtold examines in his work on the control of social media in Myanmar in the effort to damp down discontent with regime activity, from the Rohinga genocide to opposition to the recent military coup. (Bächtold, 2021; cf. Howlett/Leong, 2021). Relatedly, Taylor, McDonnell & Duong focus on ‘bureaucratic gaming’, drawing out policy-makers’ deliberate use of dubious behavioral practices in order to gain an advantage over one’s competitors, personal prestige and budget maximization, among other non-Panglossian goals and ambitions (Taylor, McDonnell, Duong, 2021). It is only fairly recently that the literature on policy design study and practice has recognised the importance of identifying and accounting for ‘risk’ (McConnell, 2010). Many policy-related literatures, especially those that fall under or overlap with political science, have long-accepted that the ideal of good governments is continually undermined by a range of pathologies, which variously include explanations of: how badly-construed information can skew government policy, especially where state and governance knowledge bases and capacities are limited; how decision-making might be motivated by interests other than the creation of public value, and; how policy targets – those whose behaviours government attempts to manage with policy instruments – embark in forms of lawful and unlawful ‘misconduct’, such as fraud, gamesmanship, evasion, deliberate non-compliance, and others, to undermine government intentions. Yet wider recognition of these pathologies has yet to carry over into the policy literature (Howlett, 2021 forthcoming; Howlett, 2020; Arestis & Kitromilides, 2010). As such, policy design thinking been criticised for its neglect of the ‘inherent vices’ of policy-making and policy design - the uncertainty inherent to real-world political settings, as well as endemic recalcitrance in policy-makers and policy-takers (Colebatch, 2018; Turnbull, 2018; Howlett, 2019). Identifying Possible Correctives In addition to simply emphasizing and better describing and classifying these behaviours and outcomes, scholars also wish to seek out correctives. New methodological means for assessing the risks of policy failure are important as are possible correctives or solutions to the impasse of Panglossian policy advice in the face of a VUCA world. For those who recognise these challenges, the risks of failure can be mitigated by incorporating safeguarding principles in the design process. Some, such as Walker, Haasnoot, & Kwakkel (2013), posit essential qualities that, when strengthened, can help deliver effective policy designs. This includes designing for: 1. resistance: planning for the worst possible case or future situation 2. resilience: making sure that the system can recover quickly whatever happens in the future 3. static robustness: aiming at reducing vulnerability in the largest possible range of conditions 4. dynamic robustness (or flexibility): planning to change policies over time, in case conditions change Policies can also be usefully framed as portfolios of risks. This approach borrows concepts from financial investment to suggest that diversification in ‘packages’ of policy approaches can balance out uncertainties and mitigate uncertainties involved in forecasting outcomes, and which can also be tailored to specific risk preferences (Teller & Kock, 2013; Project Management Institute, 2008; McFarlan, 1981; Olsson, 2008; Pellegrinelli, 1997; Sanchez et al., 2008; Archer & Ghasemzadeh, 1999; Sanchez, Robert, Bourgault, & Pellerin, 2009). Institutionalizing ‘foresight agencies’ tasked with anticipating or predicting contingencies, so as to diminish the risk of surprises affecting government agendas, can be an effective tool in some instances, as is enhancing and normalising evaluation and measurement activities in policy-making processes to counter or reduce the risk of incomplete or non-learning occurring (Dudley & Xie, 2020b; Dudley, 2020). The Open Questions Raising attention to these kinds of policy risks highlights the need to be better ordered both from atheoretical and an empirical point of view. From a theoretical point of view we need: 1. to better understand how these risks arise; 2. to better conceptualize the link between risks and management/mitigation strategies; and 3. to better theorize about policy risk classifications in order to simplify and thus better order the study of the complexity of the real world of policy design. 4. To better translate theoretical insights on risk into substantive principles of policy design. From an empirical point of view we need: 1. to better describe the policy risks present in different policy fields; 2. to better understand the diachronic evolution of such policy risks to understand how and why they have evolved in the specific ways they have; 3. To conduct comparative analysis to see whether, how, and why the same general families of policy instruments and the same general policy principles may lead to the mitigation (or not) of different types of policy risks in the same policy fields in different circumstances; 4. To conduct evaluative analyses capable of showing under which conditions it is possible to design (more) effective risk management mixes; and 5. To conduct more focused empirical research into understanding the diachronic evolution of policy risks. References Archer, N. P., & Ghasemzadeh, F. (1999). An integrated framework for project portfolio selection. International Journal of Project Management, 17(4), 207-216. Arestis, P., & Kitromilides, Y. (2010). What economists should know about public policymaking?. International Journal of Public Policy, 6(1-2), 136-153. Bächtold, S. (forthcoming) Myanmar’s digital conflicts. Malign policies, malign actors, or malign policy arrangements? The International Journal of Public Policy. Colebatch, H. K. (2018). The idea of policy design: Intention, process, outcome, meaning and validity. Public Policy and Administration, 33(4), 365-383. Cousins, B. (2018). Design thinking: Organizational learning in VUCA environments. Academy of Strategic Management Journal, 17(2), 1-18. Dryzek, J.S., 1989. Policy sciences of democracy. Polity, 22(1), pp.97-118. Dudley, S. E. (2020). The Office of Information and Regulatory Affairs and the durability of regulatory oversight in the United States. Regulation & Governance. Dudley, S. E., & Xie, Z. (2020). Designing a choice architecture for regulators. Public Administration Review, 80(1), 151-156. Durnová, A. P., & Weible, C. M. (2020). Tempest in a teapot? Toward new collaborations between mainstream policy process studies and interpretive policy studies. Policy Sciences, 53, 571-588. Farr, J., Hacker, J. S., & Kazee, N. (2006). The policy scientist of democracy: The discipline of Harold D. Lasswell. American political science review, 100(4), 579-587. Hallsworth, 2010. Policy Making In The Real World Evidence and Analysis Haasnoot, M., Kwakkel, J. H., Walker, W. E., & Ter Maat, J. (2013). Dynamic adaptive policy pathways: A method for crafting robust decisions for a deeply uncertain world. Global environmental change, 23(2), 485-498. Howlett, M. (2019). The policy design primer: Choosing the right tools for the job. Routledge. Howlett, M., 2020. Dealing with the dark side of policy-making: Managing behavioural risk and volatility in policy designs. Journal of Comparative Policy Analysis: Research and Practice, 22(6), pp.612-625. Howlett, M. & Leong, C. (forthcoming) “Inherent Vices” of Policy-Making and Policy Design: Dealing with Risk, Volatility and the Propensity of Policies to Fail. The International Journal of Public Policy. Huber, J.D. and Powell, G.B., 1994. Congruence between citizens and policymakers in two visions of liberal democracy. World Politics, 46(3), pp.291-326. Jensen, O. (forthcoming). Climate risk perceptions and policy ambition. The International Journal of Public Policy. Leong, C., & Howlett, M. (2020). Theorizing the behavioral state: Resolving the theory-practice paradox of policy sciences. Public Policy and Administration, 0952076720977588. Legrand, T. (forthcoming) The Malign System in Policy Studies: structural and agential assemblages of political exclusion. The International Journal of Public Policy. Legrand, T. (2021). The Architecture of Policy Transfer: Ideas, Institutions and Networks in Transnational Policymaking. Masters, A. (2020). Robustness and the Governance Sin of Bureaucratic Animosity. In Quality of Governance (pp. 215-234). Palgrave Macmillan, Cham. McGoey, L. (2019). The unknowers: How strategic ignorance rules the world. Bloomsbury Publishing. Pellegrinelli, S. (1997). Programme management: organising project-based change. International Journal of Project Management, 15(3), 141-149. Plehwe, D & Günaydin, K. (forthcoming). From infamous denial to mundane obstruction in Germany: Business Lobbies, Think Tanks and the Renewable Energy Sources Act. The International Journal of Public Policy. Sanchez, H., Robert, B., Bourgault, M., & Pellerin, R. (2009). Risk management applied to projects, programs, and portfolios. International journal of managing projects in Business. Taylor, T. McDonnell, J. & Duong, H. (forthcoming). Gaming of performance measures and targets in the public sector: Implications for policymaking. The International Journal of Public Policy. Teller, J., & Kock, A. (2013). An empirical investigation on how portfolio risk management influences project portfolio success. International Journal of Project Management, 31(6), 817-829. Turnbull, N. (2018). Policy design: Its enduring appeal in a complex world and how to think it differently. Public Policy and Administration, 33(4), 357-364. Wagle, U., 2000. The policy science of democracy: The issues of methodology and citizen participation. Policy Sciences, 33(2), pp.207-223. Wilson, W. (1886). The study of public administration.
POLICY TOPICS
T05W03. Understanding Health Governance: Instruments for Steering Health Policy
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PANEL CHAIR(S)
ABSTRACT
It is accepted that governance arrangements – understood as the process of steering and coordinating activities and actors in a sector – plays an important role in shaping policy performance and outcomes. There is however lack of clarity on what specific instruments are used to steer and coordinate a sector, as well as the mechanisms through which these impact policy outcomes. This is not helped by debates in public policy and its cognate disciplines that conflate key issues and concepts. For instance, at one extreme debates are focussed on expanding autonomy, voice, and participation for local actors, often packaged and presented as an integral part of decentralized and democratic governance (WHO Erurope, 2008). On the other extreme, key works in the field call for coordination, coherence, integration, and so on in government policies (Peters, 2015). This bifurcated line of thinking has stymied efforts to understand the instruments used to steer the sector, as well as in developing generalisable propositions on how these shape outcomes. The principal aim of this workshop is to speak to this gap in the literature and understand the instruments of governance in the health sector – one of the most complex and contentious policy sectors -- and the mechanisms through which they affect outcomes. Health Governance as Steering Recognition that health care is a local matter is as old as health policy, evident in the fact that local governments everywhere, in both federal and non-federal systems, bear the primary responsibility for delivering health services. While some local governments may have the necessary resources to deliver the health services, many do not and must rely on financial and other support from central authorities. The central authorities, for their part, cannot simply serve as cash registers transferring funds to local governments and providers, because they have their own priorities and responsibilities as well as fiduciary and other obligations. This leads them to impose conditions which take local needs and preferences into account but allows them to establish common national standards. They also need to ensure that the national policy goals are adhered to by local authorities, necessitating machinery for setting policy directions as well ensuring their implementation. In other words, the national governments and their provincial counterparts must set direction and steer the country towards it. In health policy and other literatures, this is referred to as stewardship (Roberts et al 2003). Reduced to its essence, stewardship refers to setting of a common goal and organizing collective efforts to achieve it. In health care, this manifests in stating a vision and ensuring that the priorities and actions of all levels of government are aligned and geared towards achieving it. As Barbazza and Tello (2014) elaborate: “The task of [health] system stewardship can then be said to include defining an overarching vision for the health system and establishing the boundaries in which the system’s actors operate. Characterizing stewardship according to its unique quality of direction, the governance function then distinctly describes the specific efforts and processes that are applied to steer the system toward this given priority.” Identifying relevant policy tools, assessing their appropriateness, and adapting to local needs – otherwise known as policy design – is the responsibility of the policy steward. The tools include mechanisms for implementing the policy in question but also engaging with the society and collaborating with key stakeholders. As WHO (2014:10) put it, stewardship is about “… ensuring that a strategic policy framework exists and is combined with effective oversight, coalition building, regulation, attention to system‐design and accountability”. In a similar vein, Alvarez‐Rosete et al (2013) note: “The concept of health stewardship … implies a broader over-arching responsibility over the functioning of the health system as a whole and, ultimately, over the health of the population.” This interpretation of stewardship is separate from and narrower than the large literature that conflates it with the concept of governance, especially “good governance” (for example, see WHO Europe 2008). The reassertion of the role of the government in health and other policy areas – variously described as recentring, rebalancing, de-privatization, re-regulation, etc (see Peters 2004, Capano, 2011; Ramesh and Araral 2010) – is not an effort to revert to centralized government of the past. It rather represents an intention to find practical ways to move forward towards developing practical solutions that strike a balance between centralization and decentralization, autonomy and control, government and society (Mor and Yip, 2015; Wu and Ramesh, 2014; Ramesh, 2008). The idea is to stem centrifugal tendencies without stifling local voice and discretion, best described by the phrase “centralized decentralization” (Chua et al 2019). Under this conception of stewardship, it is the national government that is ultimately responsible for ensuring that all residents within its territory have access to necessary health care. It is also its responsibility to ensure that critical functions are appropriately allocated so that the right level of government is responsible for the functions for which it is most suited, and there exist mechanisms for holding them accountable. In parallel with the rise of vertical stewardship has been a shift towards greater emphasis on horizontal coordination of policies, arising from disappointment with earlier efforts to promote functional specialisation in governments (Peters, 2015). Inspired by New Public Management ideas, governments around the world had promoted specialization among agencies with individual managers held responsible for the performance of their organization. A by-product of these reforms was fragmentation of governance and public services, highlighting the need for counter measures. The increasing recognition of inter-connectedness among problems, especially “wicked” problems, also pointed to the need for increased integration (Verhoest, Van Thiel, Bouckaert and Lægreid, 2012; Hood and Dickson 2015). As Peters (2015: 5) put it, specialization artificially segmented problems when what was needed was a more integrated approach. The underlying idea behind policy coordination – often used synonymously with policy integration, policy coherence, holistic government, joined up government, and whole of government – is to promote greater coherence in policies through concerted efforts. The objective of the coordination efforts is to develop coherence across programs such that they not only reduce contradictions but are, in a positive sense, complementary and mutually reinforcing (Peters 2018). While policy coordination can be achieved through both top-down and bottom-up measures, what matters is that the national steward owns responsibility for it. There are various instruments for achieving policy coordination, including network governance, collaboration and co-production, and hierarchy (Peters 2018b). While much discussion a decade ago centred on network and collaborative governance, it is increasingly realized that they complement rather substituted hierarchical coordination due to the unavoidable centrality of the state in government (Capano, Howlett, Ramesh 2015; Anka, Howlett, Ramesh 2018; Peters 2018). As Peters (2018) summarizes, “The centre of government actually has a very large repertoire of instruments to use when confronting coordination problems. Some of these instruments have been in place for decades, while others are relatively recent innovations.” One particularly widely-used method for promoting horizontal coordination is the establishment of central agencies and super-ministries with the explicit mandate and authority to promote coordination among related policy functions. This workshop seeks to bring conceptual clarity on instruments and mechanisms used to steer and coordinate policy activity in the health sector.
POLICY TOPICS
T06W02. Gender public policies of the 21st century: advances and challenges
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PANEL CHAIR(S)
ABSTRACT
Following the idea of our panel in the last ICPP5, and considering that our panel was very satisfactory, we would like to follow the same objective line: Public gender policies, formulated to expand women's political, civil and social rights, have historically oscillated between conservative and emancipatory purposes. The first public policies aimed at women often reduced them to the condition of "working mother". However, in the last decades, the areas in which gender policies areformulated have been multiplied, involving themes such as violence, health and reproductive rights, sexuality, identity, education, work, job and income generation, politics, among others. For that, the feminist and women's movements were fundamental in demanding from the state an active position in the promotion of women's citizenship, based fundamentally on the principle of gender equality. In this context, some strategies aimed at promoting women's human rights have become more popular, such as the creation of institutional bodies within the state and quota policies.Gender-based violence (physical, symbolic and psychological), sexual harassment, human trafficking, female mutilation, early marriages and wage inequality are grounds for criticism widely supported today. However, there is still an understanding deeply rooted in common sense that the domestic sphere is separate from areas such aseconomics or culture. Needs then characterized as personal or domestic end up becoming “fugitives”, often from a political demand that can be translated into public policy demands. The advancement of public policies faces some resistance from conservative sectors and presents important challenges, among which the little space and the weak legitimacy of the political project of gender equality in government bureaucracies, reverting to limited human and financial resources and a hostile stance in the routines operated on bureaucratic machines.Faced with these challenges, women's movements have played a pioneering role in the development of innovative strategies, such as the “boomerang effect”, which mobilize global opinion through the denunciation of local problems (Fraser, 2009). This resulted in a promising form of transnational, multiple-scale and post-welfare state that motivates the establishment of public policies. Initiatives like these have appeared in several cities around the world, such as “Ni Una a Menos” and “#MeToo”. These movements constitute a broad, heterogeneous, polycentric, multifaceted and polyphonic field and work on the elaboration of proposals that range from the modification of school curricula to the promotion and monitoring of gender-related legislation. Thus, a new relationship with the state and its linked dynamics is established, highlighting, in turn, the transversal, intersectional and intersectoral actions that are configured in a new context (theoretical, transversal, intersectorialand transdisciplinary) of understanding phenomena such as race, generation, class, sexuality and gender, which unfolds in the need to think about micro and macro-strategies of actions built, integrated and articulated together with the state and civil society (Matos, 2013). Thus, based on the changes that have occurred in recent history, we propose to question: 1) how has the institutionalization of women's guidelines through public policies been taking place? 2) has the establishment of mechanisms and executive bodies for coordinating and managing such practices in governmental spheres reverberating in meeting these guidelines? If not, what are the challenges to be faced? 3) what are the results of the institutionalization of public gender policies? 4) what is the influence that different social actors have had on the process of making gender issues visible on the public agenda?
POLICY TOPICS
T06W03. Emotional policies and politics of emotions in times of crisis
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PANEL CHAIR(S)
ABSTRACT
we have a fourth Chair - Karel Cada - University of Economics Prague ---------------------- Emphasis on emotion as an integral part of interaction and cognitive perception of the world around us has recently become an important perspective in public policy. While the mainstream approaches to public policy see in emotions elements shaping collective action and impacting policy processes, this workshop wants to look at emotions as meaningful practices, shaping our understanding of policies and related processes in the first place. Emotions shape and reshape values and beliefs through the meanings they give them, for example, through the specific expression of fear, joy, anger, pride, disgust or rage. Through this meaning-making capacity, emotions influence who has a voice in political debates and how powerful that voice is. In current public debates around policy measures, policy instruments or policy controversies, it appears that some emotions are presented and accepted as legitimate for some people or events, but then, when they appear in other contexts, they are instead seen as disqualifying. Especially in political negotiations, emotions are then displaced as something that, while to certain extent an understandable situation, is irrelevant or unacceptable to a particular policy solution and policy instrument because it is too chaotic, naive, subjective and not grounded in a systematic inquiry. This dynamic of the legitimacy of emotions, while it may seem legitimate in times of pandemic management, points to the need to pay attention to the specific context in which emotions are used or presented. While emotions have recently spurred considerable interest in policy scholarship, the workshop wants to discuss their critical capacity to unravel and shape societal and political crises. In the scholarship on emotions in politics, it is widely accepted that emotions are involved in knowledge-making processes and cannot really be separated from decisions (Maia and Hauber 2020), which has impacted most of the policy research on deliberation (Johnson et al 2017, Thompson and Hoggett 2001, van Stokkom 2005). Emotions are also seen as having an important role in value production and value sharing (Jasper 2011), impacting group behavior and thus also the creation of groups (Sasley 2011). All these approaches support the inclusion of emotions into studies of public policy, on the basis of the general cognitive capacity of emotions to shape our judgments, values, and actions (Barbalet 2002, Berezin 2009, Jasper 2011). Interpretive approach to emotions in policy scholarship has led to explanation of how citizens shape the policy process through their anger and anxiety (Verhoeven and Duyvendak 2016) or how emotions circulating in the policy fields affect how we talk about these fields (Paterson 2019). Other works highlight the link between interpretation and the importance of performance of emotions, including the bodily aspect of emotionality (Anderson 2017). While not refuting this cognitive capacity of emotions, the workshop wants to put forward the analysis and discussion of social, cultural, and political patterns through which emotions are made meaningful (Durnova 2019, Durnová 2018). This is not to say that interpretivism considers emotions solely through their social cultural or political context. The relation between emotion and discourses is interdependent, and this relationship is at the core of the interest of the workshop. In this regard, emotions are understood here as a form of knowledge (Holland 2007), a way to narrate a problem (Czarniawska 2015), or a way to frame the emotional context of a policy issue (Paterson and Larios 2020). In a nutshell, emotions are important for policies, as content of issues to be regulated, while they are also relevant for the way these contents are communicated. The specific boundaries of emotionality can challenge the policy situation because they point to what is acceptable and seen as legitimate in a given situation: positive and negative emotions are discursive labels, and the way these labels are embedded in the larger context impacts who has a say in politics, what kind of knowledge is accepted, and where this knowledge needs to be situated with policy actors. Against this background, we invite papers that deal with themes of emotions, public policy, and crises. The purpose of the Workshop is to challenge and learn from each other and explore new ways of these themes. Participants should expect engaging and constructive dialogue; we hope to receive scholars from a variety of backgrounds. We, therefore, welcome individuals both new and experienced in the study of emotions, including graduate students, post-doctoral scholars, and new and experienced instructors and professors. Papers dealing with issues of contemporary relevance, such as the pandemic and climate change, are encouraged but not required. Papers may come from any part of the world in the form of case studies or comparative analyses and utilize a variety of methodological and theoretical orientations. What is required is an open mind and a willingness to engage each other and these themes.
POLICY TOPICS
T07W01. Local Governments Response to Impact of COVID-19: Mitigation and Adaptation Policies
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PANEL CHAIR(S)
ABSTRACT
The objectives of this workshop are firstly to examine how local governments, particularly the larger urban governments around the world, have continued to fulfill their functions and mobilize the financial and human resources to meet the pandemic outbreaks, and secondly to identify the new urban governance policy paradigms that have emerged and will continue after the pandemic has been contained. Other than world wars, the impact of a world pandemic probably produces the most consequential changes in the relationship between state governments and their citizens. It alters the political, economic and social relationships and may produce the most profound and long-lasting changes across the world. And like the impact of world wars, the consequences, both intended and unintended, of the many policy decisions made may not be known for many years and the lessons to be learned will remain hidden. The COVID-19 pandemic has mobilized the scientific and policy community at both the national and subnational levels, the international community organizations, particularly WHO, and the non-profit charitable organizations that deal with social problems, particularly in the health sector. It has altered the policy processes typical of the pre-pandemic period, the resource allocations of the international, national and subnational organizations, and the private sector actions to support the efforts to contain the pandemic. The political impacts of the COVID-19 response have resulted in new perceptions of what governments can do to control pandemics and get public acceptance of these decisions. The economic impacts have been most severe as whole national and international economies have come to a halt, international travel has been totally halted in some cases and entire economic sectors have completely shut down. The social interactions of families and friends in communities through schools, health and leisure facilities have been severely constrained. With all of these impacts, the most seriously affected level of government has been at the subnational scale, particularly in those urban areas with high concentrations of disadvantaged people where the COVID-19 outbreaks have been most prevalent. The impacts at the local government level are at least threefold in terms of the policies that have been adopted from the central level policy decisions. First, the local governments have had to respond to the policy decisions made with regard to the methods to contain the pandemic and to provide health services to the citizens. This was done in many cases without their input into making these decisions. In essence, the policy making process and stakeholders in this process were realigned due to the urgency of the pandemic. The proper role of local governments with inputs into decision-making processes was not apparent or at an appropriate level of interaction. Second, the local governments, as primary service providers for health, education and social services, had to adapt to the new service delivery requirements that these policy decisions imposed on them. The local policy making process was modified as these new health care needs and changes in service delivery requirements placed a huge burden on their capacities that had to be addressed. Third, the economic policy response in implementing the shutdown of economic activity has created additional financial crises on the local governments. The normal sources of revenues through economic activity, which many local governments relied on where no longer available to them. Therefore, the local government budgets came under considerable strain as their financial burden for service delivery dramatically increased. Research Questions: The research questions that are of interest fall into a broad scope of areas in which the COVID-19 pandemic has substantially altered the normal or usual policy-making processes and what new mitigation and adaption measures have resulted as a result of the new urban governance environment in which central and subnational governments, private sector and civil society organizations must now interact. These can be broken down into the following areas for which the research questions can be defined. Changes in the Public Policy Theory · How has the COVID-19 Pandemic impacted the public policy stages of (1) agenda setting, (2) formulation, (3) implementation, (4) evaluation and (5) termination? · To what extent have new urban governance policy paradigms emerged and what is the likelihood of these continuing after the pandemic has been contained? · How has the impact of social media impacted the public policy process stages and formulation of policies at the national and subnational level? Changes in the Policy Making Process: · What policy making processes have changed due to the pandemic? · What new policy stakeholders have entered into the policy process due to the pandemic? · What new elements were introduced into the policy process as a result of needing to response rapidly to the pandemic situation? Changes in the Roles of the National and Subnational Governments: · How did the pandemic create new roles and responsibilities between the central and local governments? · How did the pandemic impact processes for decentralization and increased authority of the local governments to manage their affairs? · What functions previously assigned to the local governments were changed due to the pandemic consequences? Role of Policy Analysts and Public Health Experts · What effects did policy analysts and public health experts have on the design and implementation of the public policy decisions on containing the pandemic? · How was the advice of the policy analysts and public health experts received by the policy makers and the public? · What new approaches or methods should policy analysts and public health experts utilize as a result of the experience in providing advice to policy makers concerning the pandemic? Role of Citizens with their Governments · Did acceptance or rejection of the policy decisions by the citizens realign the relationship between citizens and their governments? · How did the policy decisions by governments affect the level of trust by the citizens to their national and local government officials? · Did the pandemic increase citizen participation in the policy making process and decisions by national and local governments? New Service Delivery Approaches · What new levels of service delivery resulted from meeting the requirements of the pandemic? · What choices did local governments have to make in their mix of local services in areas of education, health, and social services? · How did local governments incorporate local citizen input and participation into the process of service delivery decisions? Fiscal Consequences of Meeting the Pandemic Requirements · What models were applied to financially empower local governments during the pandemic fight - budgetary support, emergency response funds, use of financial reserves, concessional debt, in-kind support, relaxation of fiscal rules, and greater fiscal decision autonomy? · What improved fiscal management methods were instituted for the pandemic response and what empirical analysis of key indicators were made? Scientific Relevance It is likely that the COVID-19 pandemic response has created new paradigms of relationships between levels of government, new policy processes, mix of policy stakeholders, particularly between policy experts and policy decision-makers, and between citizens and their governments over the level of acceptance and trust of government policy decisions. These new paradigms are likely to vary from place to place according to particular conditions and circumstances, and need to be thoroughly researched to see what changes and adjustments will need to be made in the literature and teaching of public policy. This workshop proposal is intended to begin that process of recognizing the policy impacts on the local and urban governments where the great majority of the impacts of COVID-19 have occurred. It will be an opportunity for a broad examination of these changes and to identify how urban and local governments undertook to mitigate and adapt to this new environment. Research has already begun to assess the impact of COVID. This is being led by international organizations such as the OECD that has published a report The Territorial Impact of COVID-19: Managing the Crisis Across Levels of Government (https://www.oecd.org/coronavirus/policy-responses/the-territorial-impact-of-covid-19-managing-the-crisis-across-levels-of-government-d3e314e1/). Additional research is forthcoming from other research organizations and policy researchers and academics that demonstrate the scientific level of interest in this policy area. Other research reports related to the impact of COVID-19 include the following: Chernick, H., D. Copeland and A. Reschovsky (2020), “THE FISCAL EFFECTS OF THE COVID-19 PANDEMIC ON CITIES: AN INITIAL ASSESSMENT”, National Tax Journal, https://doi.org/10.17310/ntj.2020.3.04. Edelman (2020), Edelman Trust Barometer 2020 Spring Update: Trust and the Covid-19 Pandemic, Edelman, https://www.edelman.com/sites/g/files/aatuss191/files/2020-05/2020%20Edelman%20Trust%20Barometer%20Spring%20Update.pdf (accessed on June 2020) Federation of Canadian Municipalities (2020), Protecting vital municipal services, https://data.fcm.ca/documents/resources/reports/protecting-vital-municipal-services.pdf. Institute for Fiscal Studies (2020), COVID-19 and English council funding: how are budgets being hit in 2020–21?.