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Explaining differences in research utilization in evidence-based government ministries 解释以证据为基础的政府部门在研究利用方面的差异
IF 5.3 3区 管理学 Pub Date : 2024-04-22 DOI: 10.1007/s11077-024-09529-6
Jesper Dahl Kelstrup, Jonas Videbæk Jørgensen

Studies of evidence-based policy have found that research often fails to influence policy-making and identify a number of barriers to research utilization. Less is known about what public administrations do to overcome such barriers. The article draws on a content analysis of 1,159 documents and 13 qualitative interviews to compare how and why evidence standards affect research utilization in two Danish ministries with available evidence, policy analytical capacity, and broad political agreement on key policy goals. The article finds support for the proposition that more exclusive evidence standards in ministries will lead to higher levels of research utilization by showing that average levels of research utilization are higher in the Ministry of Employment than in the Ministry of Children and Education in the period 2016?2021. In active employment policy the adoption an evidence hierarchy and the accumulating evidence in a knowledge bank has interacted with stakeholder support and a continued coordination with the Ministry of Finance to provide economic incentives for policy-makers to adopt evidence-based policies thus stimulating research utilization. Evidence for public education policy, by contrast, has been more contested and the Ministry of Children of Education retains inclusive evidence standards in an attempt to integrate evidencebased and practical knowledge from stakeholders, which has led to lower average levels of utilization in the period.

对循证政策的研究发现,研究往往不能对决策产生影响,并指出了利用研究的一些障碍。人们对公共管理部门如何克服这些障碍知之甚少。本文通过对 1,159 份文件的内容分析和 13 次定性访谈,比较了在丹麦两个拥有可用证据、政策分析能力和对关键政策目标达成广泛政治共识的部委中,证据标准如何以及为何会影响研究的利用。文章显示,2016-2021 年期间,就业部的平均研究利用水平高于儿童和教育部,从而支持了 "部委中更多的专属证据标准将导致更高水平的研究利用 "这一命题。在积极的就业政策中,采用证据等级制度和在知识库中积累证据,与利益相关者的支持和与财政部的持续协调相互作用,为政策制定者采用基于证据的政策提供了经济激励,从而刺激了研究的利用。相比之下,公共教育政策方面的证据更容易引起争议,儿童教育部保留了包容性证据标准,试图整合利益攸关方提供的循证知识和实用知识,这导致这一时期的平均利用水平较低。
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引用次数: 0
Operationalizing Lasswell’s call for clarification of value goals: an equity-based approach to normative public policy analysis 落实拉斯韦尔关于澄清价值目标的呼吁:基于公平的规范性公共政策分析方法
IF 5.3 3区 管理学 Pub Date : 2024-03-26 DOI: 10.1007/s11077-024-09525-w
Peter Linquiti

In 1951, Harold Lasswell defined the ability to clarify value goals as integral to a policy analyst’s job. But graduate education in public policy analysis has paid insufficient attention to the skills needed to investigate and clarify value disputes. In turn, practicing policy analysts don’t have ready access to a set of methods for normative analysis that serves Lasswell’s vision of a contextualized, holistic, and interdisciplinary policy science. I start by describing calls for more emphasis on social equity in policy analysis and explore the complementary relationship of empirical, fact-based analysis and normative, value-driven analysis. I then propose seven competencies that policy analysts should be expected to master. They need to understand how normative issues arise in and adjacent to the classical model of policy analysis. They need to master a vocabulary for normative analysis and understand how humans make moral judgments, recognizing the distinction between moral rationalism and moral intuitionism. To engage in moral rationalism, practitioners need to be able to use the tools of analytic political philosophy. When it comes to moral intuitionism, they need to recognize the emotion-driven foundations of moral judgement and personal values. Finally, policy analysts also need to know where to find the values that are relevant to their analysis. Mastery of these competencies will allow analysts to better serve what Laswell describes as the intelligence needs of policymakers.

1951 年,哈罗德-拉斯韦尔将澄清价值目标的能力定义为政策分析师工作中不可或缺的一部分。但公共政策分析的研究生教育对调查和澄清价值争议所需的技能关注不够。反过来,实践中的政策分析师也无法随时获得一套规范性分析方法,以满足拉斯韦尔关于背景化、整体性和跨学科政策科学的愿景。我首先介绍了在政策分析中更加重视社会公平的呼声,并探讨了基于事实的实证分析与以价值为导向的规范分析之间的互补关系。然后,我提出了政策分析师应掌握的七种能力。他们需要了解规范性问题是如何在经典的政策分析模式中产生的,以及如何与之相邻。他们需要掌握规范分析的词汇,了解人类如何做出道德判断,认识到道德理性主义与道德直觉主义之间的区别。要从事道德理性主义研究,实践者需要能够使用分析政治哲学的工具。说到道德直觉主义,他们需要认识到道德判断和个人价值观的情感驱动基础。最后,政策分析人员还需要知道在哪里可以找到与其分析相关的价值观。掌握了这些能力,分析人员就能更好地满足拉斯韦尔所说的政策制定者的情报需求。
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引用次数: 0
Enlightenment, politicisation or mere window dressing? Europeanisation and the use of evidence for policy making in Bulgaria 启蒙、政治化或仅仅是装点门面?保加利亚的欧洲化和决策证据的使用
IF 5.3 3区 管理学 Pub Date : 2024-03-20 DOI: 10.1007/s11077-024-09527-8
Denitsa Marchevska

Evidence-based policy making (EBPM) has been a key pillar of the better regulation agenda of the European Union. However, the extent to which it has genuinely impacted domestic policy making practices has remained largely unexplored. This study sets out to address this gap by focusing on EBPM adoption in settings with historically weak culture of technocratic rationality. To this end, the article proposes a novel analytical framework combining the concept of Europeanisation with insights from the scholarship on knowledge and evidence utilisation. The framework is then applied to the “least likely” case of Bulgaria and its National Climate and Energy Plan for 2021–2030. The article draws on 26 semi-structured interviews to analyse the use of different types of evidence in the Plan’s formulation. The study finds that genuine adoption of EBPM practices remains relatively low with evidence serving predominantly a perfunctory role. In contrast, instrumental and conceptual uses of evidence remain rare. Still, the findings point at the possibility, albeit limited, for gradual Europeanisation and uptake of evidence-based practices even in highly unfavourable conditions. This can be facilitated by a prolonged exposure to evidence-based practices, targeted EU pressure, the establishment of forums facilitating evidence exchange and the presence of “evidence-friendly” individuals within the civil service.

循证决策(EBPM)一直是欧盟改善监管议程的关键支柱。然而,它在多大程度上真正影响了国内的政策制定实践,这一点在很大程度上仍未得到探讨。本研究通过关注技术官僚理性文化历来薄弱的环境中 EBPM 的采用情况来填补这一空白。为此,文章提出了一个新颖的分析框架,将欧洲化概念与知识和证据利用方面的学术见解相结合。然后将该框架应用于 "最不可能 "的保加利亚案例及其《2021-2030 年国家气候与能源计划》。文章通过 26 个半结构式访谈,分析了不同类型的证据在该计划制定过程中的使用情况。研究发现,真正采用 EBPM 实践的比例仍然相对较低,证据主要起到敷衍的作用。相比之下,证据的工具性和概念性使用仍然很少。尽管如此,研究结果表明,即使在非常不利的条件下,也有可能逐步实现欧洲化和采用循证实践,尽管这种可能性是有限的。长期接触以证据为基础的实践、欧盟有针对性的压力、建立促进证据交流的论坛以及公务员中存在 "对证据友好 "的个人,都可以促进这种情况的发生。
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引用次数: 0
Evidence for policy-makers: A matter of timing and certainty? 为决策者提供证据:时机和确定性问题?
IF 5.3 3区 管理学 Pub Date : 2024-03-06 DOI: 10.1007/s11077-024-09526-9
Wouter Lammers, Valérie Pattyn, Sacha Ferrari, Sylvia Wenmackers, Steven Van de Walle

This article investigates how certainty and timing of evidence introduction impact the uptake of evidence by policy-makers in collective deliberations. Little is known about how experts or researchers should time the introduction of uncertain evidence for policy-makers. With a computational model based on the Hegselmann–Krause opinion dynamics model, we simulate how policy-makers update their opinions in light of new evidence. We illustrate the use of our model with two examples in which timing and certainty matter for policy-making: intelligence analysts scouting potential terrorist activity and food safety inspections of chicken meat. Our computations indicate that evidence should come early to convince policy-makers, regardless of how certain it is. Even if the evidence is quite certain, it will not convince all policy-makers. Next to its substantive contribution, the article also showcases the methodological innovation that agent-based models can bring for a better understanding of the science–policy nexus. The model can be endlessly adapted to generate hypotheses and simulate interactions that cannot be empirically tested.

本文研究了证据引入的确定性和时机如何影响决策者在集体讨论中对证据的吸收。对于专家或研究人员应如何为决策者把握引入不确定证据的时机,人们知之甚少。通过基于 Hegselmann-Krause 观点动态模型的计算模型,我们模拟了决策者如何根据新证据更新观点。我们用两个例子来说明模型的使用,这两个例子中的时机和确定性对决策都很重要:情报分析师侦查潜在的恐怖活动和鸡肉的食品安全检查。我们的计算表明,无论证据的确定性有多高,都应尽早提供证据,以说服决策者。即使证据非常确定,也无法说服所有决策者。除了实质性贡献之外,这篇文章还展示了基于代理的模型在方法论上的创新,可以帮助人们更好地理解科学与政策之间的关系。该模型可以进行无休止的调整,以产生假设并模拟无法进行经验检验的互动。
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引用次数: 0
Low-fidelity policy design, within-design feedback, and the Universal Credit case 低保真政策设计、设计内部反馈和通用信贷案例
IF 5.3 3区 管理学 Pub Date : 2024-02-23 DOI: 10.1007/s11077-024-09520-1
Jonathan Craft, Reut Marciano

Policy design approaches currently pay insufficient attention to feedback that occurs during the design process. Addressing this endogenous policy design feedback gap is pressing as policymakers can adopt ‘low-fidelity’ design approaches featuring compressed and iterative feedback-rich design cycles. We argue that within-design feedback can be oriented to the components of policy designs (instruments and objectives) and serve to reinforce or undermine them during the design process. We develop four types of low-fidelity design contingent upon the quality of feedback available to designers and their ability to integrate it into policy design processes: confident iteration and stress testing, advocacy and hacking, tinkering and shots in the dark, or coping. We illustrate the utility of the approach and variation in the types, use, and impacts of within-design feedback and low-fidelity policy design through an examination of the UK’s Universal Credit policy.

目前的政策设计方法对设计过程中出现的反馈重视不够。由于政策制定者可能会采用 "低保真 "的设计方法,以压缩和迭代反馈丰富的设计周期为特点,因此解决这种内生的政策设计反馈差距迫在眉睫。我们认为,设计内部反馈可以面向政策设计的组成部分(工具和目标),并在设计过程中起到强化或削弱的作用。我们开发了四种类型的低保真设计,取决于设计者可获得的反馈质量以及将其融入政策设计过程的能力:自信的迭代和压力测试、宣传和黑客攻击、修补和暗箱操作或应对。我们通过对英国通用信贷政策的研究,说明了该方法的实用性,以及设计内部反馈和低保真政策设计的类型、使用和影响方面的差异。
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引用次数: 0
Beyond evidence-based policymaking? Exploring knowledge formation and source effects in US migration policymaking 超越循证决策?探索美国移民决策中的知识形成和来源效应
IF 5.3 3区 管理学 Pub Date : 2024-02-22 DOI: 10.1007/s11077-024-09523-y
Andrea Pettrachin, Leila Hadj Abdou

Several scholars have observed persistent gaps between policy responses to complex, ambiguous and politicized problems (such as migration, climate change and the recent Covid-19 pandemic) and evidence or ‘facts’. While most existing explanations for this ‘evidence-policy gap’ in the migration policy field focus on knowledge availability and knowledge use by policymakers, this article shifts the focus to processes of knowledge formation, exploring the questions of what counts as ‘evidence’ for migration policymakers and what are the sources of information that shape their understandings of migration policy issues. It does so, by developing a network-centred approach and focusing on elite US policy-makers in the field of irregular and asylum-seeking migration. This ‘heuristic case’ is used to challenge existing explanations of the ‘evidence-policy gap’ and to generate new explanations to be tested in future research. Our findings—based on qualitative and quantitative data collected in 2015–2018 through 57 elite interviews analysed applying social network analysis and qualitative content analysis—challenge scholarly claims about policymakers’ lack of access to evidence about migration. We also challenge claims that migration-related decision-making processes are irrational or merely driven by political interests, showing that policymakers rationally collect information, select sources and attribute different relevance to ‘evidence’ acquired. We instead highlight that knowledge acquisition processes by elite policymakers are decisively shaped by dynamics of trust and perceptions of political and organizational like-mindedness among actors, and that political and ideological factors determine what qualifies as 'evidence' in the first place.

一些学者注意到,对复杂、模糊和政治化问题(如移民、气候变化和最近的 Covid-19 大流行病)的政策回应与证据或 "事实 "之间始终存在差距。对于移民政策领域的这种 "证据与政策之间的差距",现有的解释大多侧重于政策制定者对知识的掌握和使用,而本文则将重点转向知识的形成过程,探讨对于移民政策制定者而言,什么是 "证据",以及影响他们对移民政策问题的理解的信息来源是什么。为此,文章采用了以网络为中心的方法,重点关注美国非正常移民和寻求庇护移民领域的精英决策者。这一 "启发式案例 "被用来挑战现有的 "证据与政策差距 "的解释,并产生新的解释,以便在未来的研究中进行检验。我们的研究结果基于 2015-2018 年通过 57 次精英访谈收集的定性和定量数据,并运用社会网络分析和定性内容分析进行了分析,这些结果对有关决策者缺乏移民证据的学术主张提出了质疑。我们还挑战了与移民相关的决策过程非理性或仅受政治利益驱动的说法,表明决策者理性地收集信息、选择信息来源,并对所获得的 "证据 "赋予不同的相关性。相反,我们强调精英决策者的知识获取过程受到参与者之间的信任动态以及对政治和组织志同道合的看法的决定性影响,而且政治和意识形态因素首先决定了什么才是 "证据"。
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引用次数: 0
Media actors as policy entrepreneurs: a case study of “No Jab, No Play” and “No Jab, No Pay” mandatory vaccination policies in Australia 作为政策企业家的媒体行为者:澳大利亚 "不戳不打 "和 "不戳不付 "强制疫苗接种政策的案例研究
IF 5.3 3区 管理学 Pub Date : 2024-02-08 DOI: 10.1007/s11077-024-09522-z
Katie Attwell, Adam Hannah, Shevaun Drislane, Tauel Harper, Glenn C. Savage, Jordan Tchilingirian

The media’s central role in the policy process has long been recognised, with policy scholars noting the potential for news media to influence policy change. However, scholars have paid most attention to the news media as a conduit for the agendas, frames, and preferences of other policy actors. Recently, scholars have more closely examined media actors directly contributing to policy change. This paper presents a case study to argue that specific members of the media may display the additional skills and behaviours that characterise policy entrepreneurship. Our case study focuses on mandatory childhood vaccination in Australia, following the entrepreneurial actions of a deputy newspaper editor and her affiliated outlets. Mandatory childhood vaccination policies have grown in strength and number in recent years across the industrialised world in response to parents refusing to vaccinate their children. Australia’s federal and state governments have been at the forefront of meeting vaccine refusal with harsh consequences; our case study demonstrates how media actors conceived and advanced these policies. The experiences, skills, attributes, and strategies of Sunday Telegraph Deputy Editor Claire Harvey facilitated her policy entrepreneurship, utilising many classic hallmarks from the literature and additional opportunities offered by her media role. Harvey also subverted the classic pathway of entrepreneurship, mobilising the public ahead of policymakers to force the latter’s hand.

媒体在政策制定过程中的核心作用早已得到认可,政策学者们注意到新闻媒体影响政策变化的潜力。然而,学者们最关注的是新闻媒体作为其他政策参与者的议程、框架和偏好的渠道。最近,学者们对直接推动政策变革的媒体行为者进行了更深入的研究。本文通过一个案例研究来论证,特定的媒体成员可能会表现出政策企业家所特有的额外技能和行为。我们的案例研究聚焦于澳大利亚的强制性儿童疫苗接种,关注一位报纸副主编及其附属机构的创业行动。近年来,为了应对家长拒绝为孩子接种疫苗的情况,工业化国家的儿童强制疫苗接种政策力度越来越大,数量也越来越多。澳大利亚联邦政府和州政府一直走在前列,以严厉的后果来应对拒绝接种疫苗的行为;我们的案例研究展示了媒体行为者是如何构思和推进这些政策的。星期日电讯报》副主编克莱尔-哈维(Claire Harvey)的经验、技能、特质和策略促进了她的政策创业,她利用了文献中的许多经典特征以及媒体角色提供的额外机会。哈维还颠覆了企业家精神的经典路径,先于政策制定者动员公众,迫使后者出手。
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引用次数: 0
Designing policies that could work: understanding the interaction between policy design spaces and organizational responses in public sector 设计行之有效的政策:了解公共部门政策设计空间与组织反应之间的互动关系
IF 5.3 3区 管理学 Pub Date : 2024-02-01 DOI: 10.1007/s11077-024-09521-0
Giliberto Capano, Benedetto Lepori

The goal of this paper is to contribute toward bridging the gap between policy design and implementation by focusing on domains, such as education, healthcare and community services, where policy implementation is largely left to the autonomous decision of public service providers, which are strategic actors themselves. More specifically, we suggest that two characteristics of policy design spaces in which policies are designed, i.e., the level of ideational coherence and the prevailing function of the adopted policy instruments, generate systematic patterns of responses in terms of the extent of compliance with policy goals, the presence of strategic gaming and possible defiance. We illustrate our model through a contrastive case study of the introduction of performance-based funding in the higher education sector in four European countries (France, Italy, Norway, and the United Kingdom). Our analysis displays that policy designs chosen by governments to steer public systems have different trade-offs in terms of responses of the public organizations involved that are essential to effectively implement governmental policies. The model we are proposing provides therefore a framework to understand how these interactions unfold in specific contexts, what are their effects on the achievement of policy goals and how policymakers could exploit their degrees of freedom in policy design to reduce unwanted effects.

本文的目标是通过关注教育、医疗保健和社区服务等领域,为缩小政策设计与实施之间的差距做出贡献,在这些领域中,政策的实施在很大程度上取决于作为战略行动者的公共服务提供者的自主决定。更具体地说,我们认为,政策设计空间的两个特点,即意识形态的一致性水平和所采用政策工具的普遍功能,会在政策目标的遵从程度、战略博弈的存在以及可能的反抗等方面产生系统的反应模式。我们通过对四个欧洲国家(法国、意大利、挪威和英国)高等教育部门引入绩效拨款的对比案例研究来说明我们的模式。我们的分析表明,政府为引导公共系统而选择的政策设计,对相关公共组织的反应有着不同的权衡,而这些反应对有效实施政府政策至关重要。因此,我们提出的模型提供了一个框架,可用于了解这些互动在具体情况下是如何展开的,它们对实现政策目标有哪些影响,以及政策制定者如何利用政策设计中的自由度来减少不必要的影响。
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引用次数: 0
Mobilising international embeddedness to resist radical policy change and dismantling: the case of Brazil under Jair Bolsonaro (2019–2022) 调动国际嵌入性抵制激进的政策变革和解体:雅伊尔-博尔索纳罗领导下的巴西案例(2019-2022 年)
IF 5.3 3区 管理学 Pub Date : 2024-01-08 DOI: 10.1007/s11077-023-09519-0
Laura Trajber Waisbich
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引用次数: 0
Advancing the multiple streams framework for decision-making: the case of integrating ethics into the Norwegian oil fund strategy 推进多流决策框架:将伦理纳入挪威石油基金战略的案例
IF 5.3 3区 管理学 Pub Date : 2023-12-12 DOI: 10.1007/s11077-023-09518-1
Camilla Bakken Øvald

This article applies a modified Multiple Streams Framework (MSF) to an in-depth case study of the contentious issue of integrating ethics into the Norwegian oil fund strategy. By exploring how ethical investment guidelines evolved from a discredited and allegedly unrealistic idea into policy consensus and, ultimately, a global exemplar, the study contributes to the literature in two ways. First, it contributes to the ongoing theoretical refinement of the MSF perspective by illustrating how the framework proves valuable in examining both agenda-setting and decision-making processes. Specifically, it confirms the relevance of a two-phase model for a more rigorous analysis of the decision-making process. Second, while prior literature defines the output of agenda-setting as a ready proposal, it is demonstrated that this outcome may not necessarily signify a fully developed policy proposal. To account for a broader range of scenarios, this article suggests redefining the output of the agenda-setting process as a policy commitment, rather than a worked-out proposal ready for negotiations in the political stream. Acknowledging the uncertainty and ambiguity in the decision-making process highlights the significance of developments in the problem and policy streams that past literature has not given due attention. Consequently, the article proposes a revised two-phase model to enhance the conceptualisation of decision-making within the MSF.

本文运用修改后的 "多流框架"(MSF),对将道德规范纳入挪威石油基金战略这一颇具争议的问题进行了深入的案例研究。通过探讨道德投资准则是如何从一个声名狼藉、据称不切实际的想法演变为政策共识,并最终成为全球典范的,本研究从两个方面为相关文献做出了贡献。首先,本研究说明了 MSF 框架在审查议程设置和决策过程中的价值,从而为 MSF 观点的不断理论完善做出了贡献。具体而言,它证实了两阶段模型对于更严格地分析决策过程的相关性。其次,虽然之前的文献将议程设置的结果定义为一个现成的建议,但事实证明,这一结果并不一定意味着一个完全成熟的政策建议。为了考虑到更广泛的情况,本文建议将议程制定过程的产出重新定义为政策承诺,而不是准备好在政治流中进行谈判的成熟提案。承认决策过程中的不确定性和模糊性凸显了问题流和政策流发展的重要性,而过去的文献并未给予应有的重视。因此,文章提出了一个经过修订的两阶段模型,以加强 MSF 内部决策的概念化。
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引用次数: 0
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