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Bandwagons and Quiet Corners in Regulatory Governance 监管治理中的潮流与安静角落
Pub Date : 2020-09-01 DOI: 10.4000/irpp.1151
Caelesta Braun, Adrià Albareda, B. Fraussen, Moritz Müller
Stakeholder engagement is often considered an essential component of regulatory policymaking and governance. Our main aim in this paper is to explain variation in stakeholder engagement across regulatory trajectories. More specifically we aim to assess why some regulatory policymaking processes attract a larger and more diverse set of stakeholders, while others attract much smaller and more homogenous regulatory crowds. We build on a newly established dataset of primary data regarding stakeholder engagement in EU regulatory governance to test our assumptions. We find that both the salience and the number of different consultation instruments affect the density and diversity of stakeholder engagement, whereas the complexity of regulations seems to mainly affect the density of stakeholder engagement. The combination of both institutional and regulation-specific drivers of stakeholder engagement in regulatory governance yields relevant implications for the study of responsive regulation and the role stakeholders can fulfill in regulatory decision-making.
利益相关者的参与通常被认为是监管政策制定和治理的重要组成部分。我们在本文中的主要目的是解释不同监管轨迹下利益相关者参与的变化。更具体地说,我们的目标是评估为什么一些监管政策制定过程吸引了更多、更多样化的利益相关者,而另一些则吸引了更小、更同质化的监管群体。我们建立了一个关于利益相关者参与欧盟监管治理的新建立的原始数据集,以测试我们的假设。我们发现,不同咨询工具的显著性和数量都会影响利益相关者参与的密度和多样性,而法规的复杂性似乎主要影响利益相关者参与的密度。利益相关者参与监管治理的制度驱动因素和监管特定驱动因素的结合,为研究响应性监管和利益相关者在监管决策中可以发挥的作用提供了相关的启示。
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引用次数: 6
The Epistemics of Policymaking: from Technocracy to Critical Pragmatism in the UN Sustainable Development Goals 政策制定的认识论:从联合国可持续发展目标中的技术官僚到批判实用主义
Pub Date : 2020-09-01 DOI: 10.4000/irpp.1242
K. Hartley
This essay examines epistemological tensions inherent in the UN Sustainable Development Goals (SDG) project. The clash between the totalizing logic of the SDGs and growing populist antipathy for expert governance can be better understood and potentially mediated through a critical pragmatist view. For the SDGs, technocratic fundamentalism not only serves the ambition for universality but also ensures epistemic stability in problem framing and protects the interests that benefit from it. However, technocratic fundamentalism also undermines the mechanics of SDG localization, working against their stated aims of justice, transparency, and institutional equity; in this way, a global development agenda shaped by myopic epistemics does itself no favors on elements by which it proposes to be measured. Compounding these epistemic tensions, anti-expert and anti-intellectual populism is confronting the credibility of technocracy and governance more generally, with possible implications for national and local policymaking informed by the SDGs. The concept of critical pragmatism, as articulated by Forester, presents both a provocation to the SDG project and a vision for imparting a more participatory orientation to it. This essay elaborates on these points.
本文探讨了联合国可持续发展目标(SDG)项目中固有的认识论张力。可持续发展目标的总体逻辑与民粹主义对专家治理日益增长的反感之间的冲突,可以通过批判的实用主义观点得到更好的理解和潜在的调解。就可持续发展目标而言,技术官僚的原教旨主义不仅有助于实现普遍性的雄心,还能确保问题框架的认知稳定性,并保护从中受益的利益。然而,技术官僚原教旨主义也破坏了可持续发展目标本地化的机制,违背了他们所宣称的正义、透明度和制度公平的目标;在这种情况下,由短视认识论塑造的全球发展议程对其提出的衡量要素没有任何好处。反专家和反智的民粹主义加剧了这些认知上的紧张关系,正在更普遍地挑战技术官僚和治理的可信度,并可能对以可持续发展目标为依据的国家和地方政策制定产生影响。正如Forester所阐述的那样,批判性实用主义的概念既提出了对可持续发展目标项目的挑衅,也提出了赋予其更多参与性取向的愿景。这篇文章详细阐述了这些观点。
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引用次数: 5
Can power be made an empirically viable concept in policy process theory? Exploring the power potential of the Narrative Policy Framework 在政策过程理论中,权力能否成为一个经验上可行的概念?探索叙事政策框架的权力潜力
Pub Date : 2020-04-27 DOI: 10.4000/irpp.942
Tjorven Sievers, Michael D. Jones
Despite the range of analytical foci in current policy process theory, the idea of an empirically sound power concept has not received much attention. While scientifically oriented process frameworks tend to be either implicitly or explicitly based on a pluralist understanding of power, critical theory focused approaches frequently point to power inequality in the policy process but remain vague on its conceptualization. As a result, the concept of power remains underspecified, which renders theoretical understanding of policy-making incomplete. In this article, we argue that it is necessary to integrate an empirically viable power concept into policy process theory which allows researchers to systematically assess the role of structural power imbalances in policymaking, without compromising scientific rigor. To that end, we examine how power has been treated in policy process theory, with focus on the Advocacy Policy Framework (ACF), Social Construction and Policy Design, and—primarily—the Narrative Policy Framework (NPF). In a second step, we explore how Steven Lukes’ three-dimensional power concept can be leveraged by the NPF to bridge the gap between different understandings of power, while also articulating a concept of power amenable to scientific testing within policy studies.
尽管当前政策过程理论的分析焦点范围很广,但经验上健全的权力概念并没有得到太多关注。虽然以科学为导向的过程框架往往隐含或明确地基于对权力的多元理解,但以批判理论为重点的方法经常指出政策过程中的权力不平等,但其概念化仍然模糊不清。因此,权力的概念仍然没有明确规定,这使得对政策制定的理论理解不完整。在这篇文章中,我们认为有必要将经验上可行的权力概念纳入政策过程理论,使研究人员能够系统地评估结构性权力失衡在决策中的作用,而不影响科学的严谨性。为此,我们研究了政策过程理论中如何对待权力,重点是倡导政策框架(ACF)、社会建设和政策设计,以及——主要是——叙事政策框架(NPF)。在第二步中,我们探讨了国家权力基金如何利用Steven Lukes的三维权力概念来弥合对权力的不同理解之间的差距,同时也阐明了一个可在政策研究中进行科学测试的权力概念。
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引用次数: 11
The Dismantling of Family Farming Policies in Brazil and Argentina 巴西和阿根廷家庭农业政策的瓦解
Pub Date : 2020-04-27 DOI: 10.4000/irpp.799
E. Sabourin, C. Craviotti, Carolina Milhorance
This article examines the recent processes of dismantling public policies oriented to promote or regulate family farming in Latin America. It addresses two main questions: How and why were these policies dismantled? Drawing on Bauer et al.’s (2012) analytical framework, the article examines the modalities and stages of the process of dismantling family farming policy instruments in Brazil and Argentina. Likewise, it analyzes the process’s causes by delving into structural, contextual and institutional factors. It adopts this framework, originally developed for social policies in Europe, to analyze rural policies in Latin America. From a theoretical point of view, the study suggests the importance of analyzing the resilience of policies and the mechanisms and strategies of resistance to governmental shifts as these affect the degree and direction that the process of dismantling may take.
本文考察了拉丁美洲最近废除旨在促进或规范家庭农业的公共政策的过程。它解决了两个主要问题:这些政策是如何以及为什么被废除的?本文借鉴Bauer等人(2012)的分析框架,研究了巴西和阿根廷废除家庭农业政策工具的模式和阶段。同样,它通过深入研究结构、背景和制度因素来分析这一过程的原因。它采用这个最初为欧洲社会政策制定的框架来分析拉丁美洲的农村政策。从理论角度来看,这项研究表明,分析政策的弹性以及抵制政府转变的机制和策略很重要,因为这些因素会影响拆除过程可能采取的程度和方向。
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引用次数: 35
A social network perspective on the interaction between policy bubbles 从社会网络角度看政策泡沫之间的相互作用
Pub Date : 2020-04-27 DOI: 10.4000/irpp.774
M. Maor
Studies of policy bubbles have so far ignored the possibility that a policy bubble in a given policy domain or jurisdiction may constitute an information event for another policy bubble that has been inflated elsewhere. In addition, studies of policy diffusion have paid little attention to the transmission of imperfect and wrongful policy valuations through social networks. To bridge these gaps, this article develops a theoretical framework and methodological toolbox for explaining the potential impact of interbubble dynamics on the sustainment of policy bubbles. This is achieved by focusing on: (i) the diffusion of interbubble connectivity information through social networks characterized by varying levels of segregation; (ii) the perceptions of distorted or corrected information by individuals at the receiving end as being factual, thus requiring no gap-filling by policy actors, or as an opinion that therefore requires gap-filling; (iii) the derived consequence in terms of simple or complex contagion; and (iv) its impact on the sustainment of policy bubbles. The main contribution of the article lies in unpacking the potential causal mechanisms through which a policy bubble can be sustained, even if positive feedback processes and contagion in the jurisdiction within which it developed no longer bolster its support bases.
迄今为止,对政策泡沫的研究忽略了这样一种可能性,即在特定政策领域或管辖范围内的政策泡沫可能构成在其他地方膨胀的另一个政策泡沫的信息事件。此外,政策扩散研究很少关注不完善和错误的政策估值通过社会网络的传播。为了弥补这些差距,本文开发了一个理论框架和方法工具箱来解释泡沫间动态对政策泡沫持续的潜在影响。这是通过关注:(i)通过以不同程度的隔离为特征的社会网络传播气泡间连接信息来实现的;(ii)接收端个人认为歪曲或纠正的信息是事实,因此不需要政策行为者填补空白,或作为一种意见,因此需要填补空白;(iii)就简单或复杂传染而言的衍生后果;(四)对政策泡沫持续的影响。这篇文章的主要贡献在于揭示了政策泡沫能够持续的潜在因果机制,即使在政策泡沫形成的辖区内,积极的反馈过程和传染性不再支撑其支持基础。
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引用次数: 9
Navigating the policy stream: Contested solutions and organizational strategies of policy entrepreneurship 引导政策流:有争议的解决方案和政策创业的组织策略
Pub Date : 2020-04-27 DOI: 10.4000/irpp.740
Livia Johannesson, Martin Qvist
In the Multiple Streams Framework (MSF), policy entrepreneurs are primarily defined by their ability to promote and seek support for policy solutions. Recent research, however, points to the importance of policy entrepreneurs as “arena shapers” who attempt to create favorable conditions for their solutions in conflictual policy settings. In this paper, we seek to incorporate such strategies into the MSF by drawing on the organizational foundations of the original garbage can model. The main question is what role do policy entrepreneurs play in “organizing out” opposition from pre-decision processes, as a way of advancing contested policy solutions. We answer this question in a case study of a controversial hospital “mega-project” in Stockholm healthcare that shows how a small but influential team of entrepreneurs used the project as an opportunity for policy change. The study helps to identify three different organizational strategies: 1) regulating participation in order to neutralize opponents: 2) specializing attention to limit the “searchlight” and 3) sequential attention in order to reduce complexity and build commitment. While effective for advancing solutions in the face of conflict and entrenched positions, organizational strategies also have important democratic implications for the legitimacy of pre-decision processes and the prospects for broad deliberation.
在多流框架(MSF)中,政策企业家主要由他们促进和寻求政策解决方案支持的能力来定义。然而,最近的研究指出,政策企业家作为“舞台塑造者”的重要性,他们试图在冲突的政策环境中为他们的解决方案创造有利条件。在本文中,我们试图通过借鉴原始垃圾桶模型的组织基础,将这些策略纳入MSF。主要问题是,政策企业家在“组织”决策前过程中的反对意见方面发挥了什么作用,作为推进有争议的政策解决方案的一种方式。我们通过对斯德哥尔摩一家颇具争议的医院“大型项目”的案例研究来回答这个问题,该案例展示了一个规模虽小但颇具影响力的企业家团队如何利用该项目作为政策变革的机会。该研究有助于确定三种不同的组织策略:1)调节参与,以抵消对手;2)专门关注,以限制“探照灯”;3)顺序关注,以减少复杂性和建立承诺。在面对冲突和根深蒂固的立场时,组织战略在推动解决办法方面是有效的,但它也对决策前程序的合法性和广泛审议的前景具有重要的民主影响。
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引用次数: 0
The Rise and Spread of Behavioral Public Policy: An Opportunity for Critical Research and Self-Reflection 行为公共政策的兴起和传播:一个批判性研究和自我反思的机会
Pub Date : 2020-04-27 DOI: 10.4000/irpp.897
Holger Strassheim
Some argue that the global rise of behavioral approaches challenges the rationalist tradition in public policy. Others fear that it could undermine deliberation and public reasoning. This paper focuses on the worldwide rise and spread of behavioral expertise and behavioral public policy. It provides a general insight in terms of the role of expertise, the science-policy nexus and the distribution of epistemic competences in public policy. Based on an extensive literature review, the emergence and consequences of behavioral-expert networks are assessed. It will be suggested that it is necessary to break free from the microfocus proposed by behavioral public policy and to pay more attention to the institutional and cultural constellations of knowledge- and decision-making in democracies.
一些人认为,行为方法在全球的兴起挑战了公共政策中的理性主义传统。其他人担心这可能会破坏深思熟虑和公众推理。本文关注行为专业知识和行为公共政策在全球范围内的兴起和传播。它从专业知识的作用、科学与政策的关系以及认识能力在公共政策中的分布等方面提供了一般性的见解。基于广泛的文献综述,对行为专家网络的出现及其后果进行了评估。有人建议,有必要摆脱行为公共政策提出的微观焦点,更多地关注民主国家中知识和决策的制度和文化星座。
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引用次数: 14
Expertise, politics and public opinion at the crossroads of the European Commission’s decision-making: The case of Glyphosate. 欧盟委员会决策十字路口的专业知识、政治和公众舆论:草甘膦案。
Pub Date : 2020-04-27 DOI: 10.4000/irpp.849
G. Bazzan, M. Migliorati
With the growing politicisation of European Union (EU) integration, the European Commission is increasingly facing a tension between technocratic and responsive decision-making. How does this tension play out in the process of supranational implementation under comitology rules? We argue that the tension between the Commission´s role as a technocrat and as a responsive bureaucrat takes place during the implementation process when the issue at stake becomes politicised. We test our argument through the analysis of the Glyphosate renewal procedure (2015-2017). We process-trace the case by means of semi-structured interviews, media and document analysis. We find that with the increase of issue visibility and subsequent politicisation, the Commission progressively abandons a purely technocratic behaviour. First, it puts in place political strategies such as delays and blame-shifting to release itself from the burden of unpopular decisions. Secondly, it seeks to respond to concerns expressed by consumers by proposing compromise-based measures closer to public interest. Ultimately, we show how the outcome of the policy process is mediated by politicisation and characterised by a shift from technocratic to responsive decision making.
随着欧盟一体化日益政治化,欧盟委员会越来越面临技术官僚和响应决策之间的紧张关系。在滑稽规则下的超国家实施过程中,这种紧张关系是如何表现的?我们认为,委员会作为技术官僚和响应官僚的角色之间的紧张关系发生在执行过程中,当相关问题变得政治化时。我们通过分析草甘膦更新程序(2015-2017)来检验我们的论点。我们通过半结构化访谈、媒体和文件分析的方式对案件进行追踪。我们发现,随着问题知名度的提高和随后的政治化,委员会逐渐放弃了纯粹的技术官僚行为。首先,它制定了拖延和推卸责任等政治策略,以摆脱不受欢迎的决定的负担。其次,它试图通过提出更接近公众利益的基于妥协的措施来回应消费者表达的担忧。最终,我们展示了政策过程的结果是如何通过政治化来调节的,其特征是从技术官僚转向响应决策。
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引用次数: 5
Dynamic narrative: a new framework for policy success 动态叙事:政策成功的新框架
Pub Date : 2019-10-10 DOI: 10.4000/irpp.550
G. Nicklin
This article proposes a new framework for policy success that potentially facilitates planning, tracking, evaluating and communicating the trajectory of successes in a policy initiative. In this reframing of success, rather than being singular, successes are multiple and relational. Playing out in a shifting story-scape that progresses throughout the life of a policy, this approach addresses many of the challenges for public administrators trying to establish policy success in a demanding and complex policy environment. Re-purposing data from research on a trans-national border policy development over 2009 to 2012, this article applies the new framework to illustrate the power of the new approach. Using concepts of relationality, multiplicity, translation and stabilization, it builds on and acknowledges the value of Marsh and McConnell’s framework for policy success. This dynamic narrative approach blends the narrative contributions of Hannah Arendt and Bruno Latour with Marsh and McConnell’s three dimensions of success. In so doing, it reveals the effects of shifting narratives across the three dimensions, and demonstrates how it addresses problems with Marsh and McConnell’s framework. Its ability to be forward-looking, and therefore valuable for planning, differentiates the approach from criticisms of the retroactive, and therefore limited use, of other policy narrative approaches.
本文提出了一个政策成功的新框架,它可能有助于规划、跟踪、评估和交流政策举措的成功轨迹。在这种对成功的重新定义中,成功不是单一的,而是多重的、相互关联的。在整个政策生命周期中不断变化的故事场景中发挥作用,这种方法解决了公共行政人员试图在苛刻和复杂的政策环境中建立政策成功的许多挑战。本文重新利用2009年至2012年跨国边境政策发展研究的数据,应用新框架来说明新方法的力量。运用关联性、多样性、翻译性和稳定性等概念,它建立在马什和麦康奈尔的政策成功框架的基础上,并承认其价值。这种动态的叙事方法将汉娜·阿伦特和布鲁诺·拉图尔的叙事贡献与马什和麦康奈尔的成功的三个维度融合在一起。通过这样做,它揭示了在三个维度上转换叙事的影响,并展示了它是如何用马什和麦康奈尔的框架解决问题的。它具有前瞻性的能力,因此对规划很有价值,这使这种方法有别于对其他政策叙述方法具有追溯性因而使用有限的批评。
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引用次数: 3
Designing for Policy Success 为政策成功而设计
Pub Date : 2019-10-10 DOI: 10.4000/irpp.514
M. Compton, J. Luetjens, P. Hart
Amidst the general mood of skepticism about the problem-solving capacity of governments in the face of ‘wicked problems’, it is easy to overlook that at times governments do manage to design and implement public policies and programs quite successfully. In this paper, we build on an emerging area of ‘positive evaluation’ research into public policy successes (Bovens et al 2001; McConnell 2010; Nielsen et al 2015). Using the conceptual tools emanating from this research and drawing on a corpus of 33 such cases (Compton and ‘t Hart 2019; Luetjens et al, 2019), we draw inferences about the contexts, strategies, and practices that are conducive to policy success. We find compelling evidence that process inclusivity is a pivotal factor, but certainly not the only one, on the path to policy success. Variation in the degree of innovation and the pace of change also emerge as interdependent and important factors.
面对“邪恶问题”,人们普遍对政府解决问题的能力持怀疑态度,人们很容易忽视政府有时确实成功地设计和实施了公共政策和项目。在本文中,我们建立了对公共政策成功的“积极评估”研究这一新兴领域(Bovens等人2001;麦康奈尔2010;Nielsen et al . 2015)。使用本研究产生的概念工具,并借鉴了33个此类案例的语料库(Compton and ' t Hart 2019;Luetjens et al, 2019),我们得出有利于政策成功的背景、策略和实践的推论。我们发现令人信服的证据表明,在政策成功的道路上,过程包容性是一个关键因素,但肯定不是唯一因素。创新程度的变化和变化的速度也成为相互依存的重要因素。
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引用次数: 20
期刊
International Review of Public Policy
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