Mix Of Policy Instruments Research Articles

Advancing effective energy transition: The effects and mechanisms of China's dual-pilot energy policies

Quantifying energy transition (ET) and evaluating energy policies are crucial for global sustainable development. This study measures the energy transition index (ET−CCD) at the prefecture-level city level in China and evaluates the synergistic effects of the dual-pilot energy policy of New Energy Demonstration City (NEDC) and Low Carbon City Pilot (LCCP) based on the energy trilemma (ETR) of coordinated development in terms of security (ES), justice (EJ) and sustainability (ESU). The results show that the overall ET−CCD is increasing, with the eastern and central regions leading, the western region growing significantly, and the northeast fluctuating upward, indicating regional disparities. Compared to single policies, the dual-pilot energy policies have a more significant promoting effect on energy transition, especially in eastern, western, non-central cities, resource-based cities, and cities with high carbon emission reduction potential. Mechanism analysis reveals that the dual-pilot energy policies significantly promote ES and EJ , but have a negative impact on ESU in the short-term. Improvements in ES, EJ and ESU all significantly promote energy transition, with ES serving as a complete mediator, while EJ and ESU serving as partial mediators. Additionally, the findings remain stable in robustness tests and provide data support for a flexible mix of policy instruments to facilitate energy transition.

Demand-pull and technology-push environmental innovation: a policy mix analysis on EU ETS and EU Cohesion Policy

ABSTRACT Existing literature on the sustainability transition towards a low-carbon economy provides conceptual frameworks for designing combinations of policy interventions but lacks empirical evidence regarding their application. This paper aims to test whether a mix of policy instruments represents a potential valid solution to manage carbon abatement effectively. We refer to the European Union Emissions Trading System (EU ETS) as an example of demand-pull environmental policy, while we include the Structural and Cohesion Funds (SCFs) and the Horizon 2020 funds as examples of technology-push policies. Through the application of a panel event study, we find that the EU ETS generates a positive impact on environmental patent applications in the light manufacturing sector during the period 2013–2020, while EU ETS participation and financial support contribute to environmental innovation and CO2 emission reduction in the energy sector. Hence, those sectors where market dynamics allow avoidance of complete internalization of the carbon price may benefit from financial support to re-direct the technological change towards the sustainability transition. We demonstrate that the analysed policy mix contributed to a reduction of about 2.2% of total emissions produced by energy firms in the EU ETS during Phase III, which is in line with EU climate targets. Overall, our work may support policymakers in understanding the relevant factors that affect the impact of the policy mix on the environmental transition.

The policy instrument mix in South Korea: precursor to maltreatment in sport

ABSTRACT Athlete maltreatment has become ‘one of the greatest concerns faced by governing bodies, authorities and practitioners in sport’ (Stirling 2009, p. 1901). Its causes broadly stem from: (1) the culture and authority structures in organised sport; (2) the limited legal rights of athletes; and (3) a fragmented system of organisational oversight. Cutting across these causes is the distinct ‘policy mix’ within the elite sport system itself. Drawing upon a theoretical framework located within ‘new institutionalism’ and an interpretive qualitative approach using document analysis and semi-structured interviews, this investigation focuses on how policy instruments (e.g. programmes, rules, budgets, etc.) combine to shape/reinforce the behaviour and views of athletes, coaches, and administrators. Findings show that the policy instruments within the existing hierarchical structure of the elite sport system are interconnected and complement each other to mutually facilitate the attainment of elite sport success. Overall, this study suggests that the mix of policy instruments aimed at achieving the state’s sport/political objectives may sustain and reinforce maltreatment.

Tackling Single-Use-Plastic in small touristic islands to reduce marine litter: co-identifying the best mix of policy interventions

Marine litter is a worldwide issue affecting local communities with increasing environmental and economic impacts, with Single-Use-Plastic (SUP) pollution being of specific concern. The tourism industry has been identified as one of the major sector contributing to marine plastic pollution therefor in need to take urgent actions. Small islands are particularly vulnerable and need locally adapted strategies to effectively tackle this issue. This study proposes the use of a participative system-based approach to co-design, with local stakeholders, a roadmap tackling Single-Use-Plastic (SUP) in the hospitality industry of small Greek touristic islands. Policy, industry, civil society and academia representatives were involved in a participative co-creation process to co-identify the best mix of policy instruments and innovations (social and technological) adapted to the local island context, capable of reducing plastic consumption and littering in the island while fostering behavioural change (from consumers and local businesses perspective). Results show the lack of knowledge and awareness, the limited financial resources and expertise, and the low efficiency of the waste management system as the main challenges. A roadmap of short and mid-term actions, based on the Circular Economy reduce, reuse, recycle principles was co-developed, including raising awareness campaigns across stakeholder groups, positive economic incentives, development of capacity building and partnerships within the quadruple helix (academia, business, public authorities and civil society representatives), forming the basis of the municipal island free SUP strategy. The active involvement of public and private actors as well as the civil society, empowering local actors and developing trust across stakeholder groups are key factors to develop a successful strategy able to tackle plastic pollution locally. Pilot experiments also proved to be a determinant for the adoption of sustainable solutions in the context of small islands.

Public Attitudes Toward Policy Instruments for Flood Risk Management.

Effective flood risk management (FRM) requires a mix of policy instruments that reduces, shares, and manages flood risk. The social acceptability of these policy instruments-the degree of public support or opposition to their use-is an important consideration when designing an optimal mix to achieve FRM objectives. This paper examines public attitudes toward FRM policy instruments based on a national survey of Canadians living in high-risk areas. Respondents were asked their views on flood maps, disaster assistance, flood insurance, flood risk disclosure and liability, and property buyouts. The results indicate that all five policy instruments have high social acceptability, but they must be calibrated to ensure access to flood risk information and achieve a fair distribution of FRM costs among key stakeholders.

Devising policy strategies for the deployment of energy efficiency Pay-for-Performance programmes in the European Union

Triggering a massive wave of renovation in buildings and sustaining it over the long term requires a mix of policy instruments ranging from regulations, renovation incentives, and financial models. In this context, an innovative financing approach to consider is Pay-for-Performance (P4P) programmes, which use data-driven measurement and verification approaches and engage both energy and third-party service providers in energy efficiency projects. However, while in North America, several energy utilities have already piloted and launched energy efficiency P4P programmes, progress in the European Union (EU) still remains slow. In this article, we focus on how the existing EU regulatory and market framework could support the deployment of P4P programmes. To do so, we combine a Strengths, Weaknesses, Opportunities, and Threats framework with an Analytical Hierarchy Process method and a Threats, Opportunities, Weaknesses, and Strengths matrix for the analysis of different stakeholder perceptions and the formulation of policy strategies. Policy recommendations include, among others, establishing demanding energy performance standards, valuing energy efficiency as a resource, and promoting “metered savings” methodologies. Overall, our work serves as a reference point for policy developments and adjustments that could facilitate the design and deployment of performance-based energy efficiency programmes in the EU.

Differences and Similarities in Climate Change Adaptation Policy Instrument Mixes in Selected European Countries

The increasingly severe effects of climate change have resulted in a shift in countries’ approach to climate policy. From an initial focus on mitigation efforts, adaptation to climate change is now given equal importance. Adaptation policies in individual countries provide for different sets of instruments owing to different natural conditions and climate change impacts and their resulting problems as well as different approaches related to the sociopolitical characteristics of the country. In the paper, we identify and classify adaptation policy instruments and then look for the differences and similarities in the adaptation instrument mixes included in the national adaptation strategic documents of selected European countries. We focused on Western European (WE) and Central and Eastern European (CEE) countries, as the latter are underrepresented in studies on adaptation policies. Based on text-mining methods, i.e., categorisation of policy instruments using a set of criteria and clustering, we looked for similarities and differences between the adaptation instrument mixes in the chosen European countries. We found similarities between the two CEE countries studied—Poland and Lithuania. These countries are also different from WE countries in this regard. The results indicate that CEE countries have a sectoral rather than systemic approach to adaptation policy, and instruments from the management sphere are less prominent.

Managing Urban Growth – an Overview of the Literature

Today, most countries in the global north have developed and implemented urban growth management (UGM) programs and policies aimed at mitigating the impacts and negative externalities of urban sprawl and achieving a more compact urban form. However, there is substantial disagreement about their effectiveness and effects of these programs. In this paper, we systematically review the extensive literature on growth management to better understand a) the current state of the practice of UGM, and b) the determinants of successful UGM implementation. Compared to previously available literature syntheses, which focus heavily on North American research, we also take into account studies based in Europe and some Asian and Oceanic countries. From this literature, we identify several key factors to successful growth management implementation: a multi-level governance approach, intersectoral policy coordination, a regionally adapted mix of policy instruments, balancing development needs with preservation goals, and the ability to develop positive narratives around growth management.

Analyzing forest policy mixes based on the coherence of policies and the consistency of legislative policy instruments: A case study from Ecuador

Due to widespread over-exploitation, tropical forests became a priority issue on the political agenda in the 1990s. Policy frameworks incorporating forest aspects in different policy sectors and building on existing structures have been implemented in many tropical countries. This poses challenges to policy design, including the consistency of policy instruments and policy instrument mixes. Such instruments need to be coherently integrated across various policy domains affecting forests. The Ecuadorian government has been striving for improved policy design by adjusting the policies and policy instruments over time, considering the multifunctionality of forests and the maintenance of the related ecosystem services. This study aims to amend methodologies of existing policy analysis in tropical forestry, taking into account the increasing complexity of the forest policy domain and applying this in a case study in Ecuador. We present an approach that links overarching sectoral policies with policy instruments and considers structures (mainly objectives and contents of the policy mix), actors and their interactions. The work is based on two empirical components: a qualitative content analysis of policy documents, and key informant interviews. Results for the case of Ecuador show a formally largely coherent and consistent forest policy framework. Challenges are mainly related to institutional responsibilities. The stakeholder perceptions deviate from the results of the content analysis. These deviations are interpreted as being based on specific values and beliefs. We conclude that policy development and design need to take into account these stakeholder perceptions. Based on the key informant interviews, we also highlight challenges, provide recommendations for specific thematic policy areas in Ecuador, and conclude that a specific focus needs to be kept on implementation.

Policy options to regulate timber and agricultural supply-chains for legality and sustainability: The case of the EU and Brazil

The need for further ambitious global action to reverse the trend of tropical deforestation and forest degradation and associated human rights concerns is evident. A range of transnational and European Union (EU) regulatory trade policy instruments and market governance mechanisms have been established to achieve these goals. However, illegal timber and forest-risk agricultural commodities continue to be traded internationally. Both the EU and Brazil are part of the problem but can also offer solutions to mitigate the risks of trading illegal timber and forest-risk agricultural commodities. In this paper, we review the main transnational issues at stake and assess under which conditions EU forest-related trade instruments coupled with domestic actions in Brazil can effectively curb illegal and unsustainable commodity production and associated international trade. Shortcomings in the mechanisms for identifying illegality in production, trade, and consumption are identified and possible solutions suggested. Heated political disputes, insufficient political will for transformative changes to tackle negative socio-environmental externalities associated with global commodity trade, and the still non-effective use of available regulatory policies and market mechanisms contribute to international trade practices still far from achieving desired and internationally recognized legality and sustainability standards. Following the assumption that international governance mechanisms of commodity trade between the EU and Brazil may play a relevant role in stimulating positive shifts, we conclude how the existing and emerging possible policy options can be combined through a mix of policy instruments to ensure legal and sustainable production and trade practices that could effectively support the protection and sustainable management of tropical rainforests.

Mainstreaming climate adaptation into urban development projects in the Netherlands: private sector drivers and municipal policy instruments

ABSTRACT Improving the climate resilience of urban areas critically depends on the integration of climate adaptation measures, i.e. mainstreaming, into regular construction practices. As research has largely focused on public sector adaptation, the mainstreaming of adaptation into private sector projects remains poorly understood. The aims of this study are twofold. First, we examine what drives private developers and investors to mainstream adaptation into large-scale urban development projects. Second, we explore what policy instruments municipalities can employ to stimulate private sector mainstreaming. Our theoretical lens combines insights from the literature on mainstreaming, sustainable building drivers and policy instruments. These concepts are used to guide our analysis of four urban development projects and an interview study in the Netherlands, a densely populated delta country which is rather vulnerable to the impacts of climate change. Our results show that private developers and investors seldom explicitly include adaptation measures into their development projects. An important impediment is the perceived absence of direct monetary benefits. If adaptation measures are implemented, they are often realized as a side-effect of creating a high-quality living environment or because private actors expect other professional benefits, such as corporate image enhancement or development of know-how. To stimulate private sector mainstreaming, Dutch municipalities already use a mix of policy instruments that might be a source of inspiration for other countries. Yet, especially the way in which enforcement and incentives are applied is not always effective. Key policy insights Despite the private sector’s growing awareness about the need for and importance of climate change adaptation in the Netherlands, adaptation is still seldom explicitly included in large-scale urban development projects. Municipalities should invest in policy instruments that target consumers. Communication, education and incentives can be used to raise consumer awareness and consequently demand for climate-adaptive properties. Municipalities should collaborate with the private sector to develop clear, uniform and feasible adaptation requirements. Municipalities should actively participate in urban development projects, i.e. co-developing with the private sector. This way, private sector drivers and policy instruments can strengthen each other to pave the way for future-proof and climate-resilient urban environments.

‘You can’t be green if you’re in the red’: Local discourses on the production-biodiversity intersection in a mixed farming area in south-eastern Australia

Limiting biodiversity loss is a global challenge, especially in areas where biodiversity conservation conflicts with intensifying agricultural production. The different views and preferences about how to protect biodiversity, and why it is valuable, make concerted action to improve conservation outcomes difficult. Exploring different discourses that represent shared understandings of an issue or a topic can help to understand this plurality. We focused on a mixed farming area in south-eastern Australia where intensive agricultural production is linked to an ongoing loss of biodiversity. Using the Q-methodology, we conducted 94 interviews with people who may influence biodiversity outcomes in farming landscapes to explore shared understandings of the farming-biodiversity intersection. We also sought to understand how such discourses relate to perceptions of biodiversity in agricultural contexts and if they are associated with particular stakeholder groups. We identify four discourses on the relationship between farming and biodiversity, the farmers’ role and responsibility for biodiversity, and the preferred approaches to improve biodiversity outcomes. Our findings highlight how perceptions of biodiversity by agricultural stakeholders varied substantially between discourses, but that discourses were not significantly associated with stakeholder group. We discuss our findings in the context of policy development and broader governance. We consider how a balanced mix of policy instruments, including market and community-based instruments, can better engage with contrasting understandings of the production-biodiversity intersection. To improve biodiversity outcomes, it is necessary to integrate a plurality of biodiversity values and ensure a broad and balanced set of policy instruments that supports land managers as stewards of the land.

Will the Policy Instruments Mix Promote the Facility Input of Care Institutions for Older People in China?

Promoting the facility input of care institutions for older people is the key to the development of the care for older people. With a steady increase in the proportion of older people in China, institutional care services are considered as an important tool for older people. Policies such as government bed subsidies and tax incentives are accelerating the development of institutional care services. However, when the care for older people related policy instrument mixes lacks overall comprehensiveness, consistency and balance, the policy instrument mixes may become a “policy mess”, in turn, affecting the development of care institutions for older people. Studies focusing on the combined effects of different characteristics of a policy instrument mix are scarce. To understand how to better use the policy mix to facilitate the care for older people, it is necessary to analyze the characteristics of care policies for older people and its role in the construction of care institutions for older people. Therefore, this study analyzes the impacts of comprehensiveness, consistency, and balance of policy instruments on the facility input of care institutions for older people. An empirical analysis of related policies from 2011 to 2019 in China shows that a synergetic effect exists between the policy instrument mix and the facility input of care institutions for older people. This study points that the comprehensiveness and consistency of the policy instrument mix positively affect the facility input of care institutions for older people, while the impact of balance is not significant. It not only provides feasible policy suggestions for China's policy-making departments to optimize the care for older people related policies, but also helps care institutions for older people further understand the characteristics of policy portfolios and realize sustainable development.

Detecting a structure in the European energy transition policy instrument mix: What mix successfully drives the energy transition?

European Union countries sharing the same goal of carbon reduction have created a complex array of different strategies, policies and instruments to provide a supportive framework for navigating and accelerating the energy transition. The paper assumes that different mixes of policy instruments influence the European Union's efforts to become a low-carbon economy. However, instead of examining a policy instrument mix in isolation at the country-level, this paper uses hierarchical cluster analysis to detect the extent of similarities and patterns across European countries, considering the types of policy instruments that target energy efficiency and renewable energy. Fuzzy-set qualitative comparative analysis is then applied to explore different combinations of specific policy instruments for each cluster in managing the energy transition. The application of hierarchical cluster analysis detected the existence of three country clusters, which makes the European policy landscape less complex and suitable for developing more effective energy transition policies. The application of fuzzy-set qualitative comparative analysis confirmed that there is no single instrument necessary to make the energy transition a success. On the contrary, only a configuration of specific policy instruments targeting both energy efficiency and renewable energy can promote sustained success in the energy transition.

Market-based Environmental Policy Instrument Mixes and Firms’ Environmental Innovation: A Fuzzy-set Qualitative Comparative Analysis

ABSTRACT This study analyzed the antecedents of firms’ environmental innovation considering policy instrument mixes. Selecting 209 firms as the research sample and employing the fuzzy-set qualitative comparative analysis method, we examined the effect of five types of market-based environmental policy instruments on firms’ environmental innovation. We found that environmental innovation was not contingent on any individual condition, but resulted from the mix of the five market-based environmental policy instruments, which formed four paths and three models, namely, incentives-punishment, financial support, and subsidies-demand. The study has implications in improving the applicability of policies and formulating an effective environmental policy framework.

Implementing the transformative innovation policy in the European Union: how does transformative change occur in Member States?

ABSTRACT Despite the emerging theoretical importance of the ‘transformative change’ approach, relatively little is known about how the transition towards this approach is happening in different European contexts, as well as the institutional factors that help explain possible different reform trajectories. To fill this research gap, this article interprets the adoption of the ‘transformative change’ approach in Europe as a paradigmatic case of multi-level policy implementation in the European Union. Taking advantage of an institutional approach drawing on path dependency, it considers how transformative change is happening in two Member States (France and Germany). It does so by focusing on the policy mix adopted to address grand challenges and the type of governance mechanisms mainly used to secure legitimization and coordination. Albeit within the same EU framework, this article shows a diverse development of the innovation policies in the two Member States with the use of a different mix of policy instruments in line with their traditional domestic institutional contexts. Institutional contexts also filtered the early stages of the responses to the COVID-19 crisis. These results have specific implications useful for policy makers and practitioners in the design and implementation of regional innovation policies across different European contexts.

A Decade of Lessons Learned from Integration Strategies in the Netherlands.

Introduction:In the Netherlands multiple single, cross sector and cross governance level policy reforms were introduced to improve health and social care and decrease fragmentation. In addition to legislative and funding measures, the governmental strategy was to set up long-lasting improvement programs and supported by applied research.Description:Five national improvement programs on chronic disease management, maternity care, youth care, care for older people and dementia care were analysed. The Laws of integration of Leutz were used as an analytical framework. The programs demonstrated a mixture of employing policy, quality and financial measures to stimulate coherence and integration.Discussion:The Laws that Leutz formulated are to a large extent applicable in the Dutch context. However, the characteristics of the system of governance being corporatist in its structure and its culture imply that it is hard to distinguish single actors being in the lead. Integration is a more complex process and requires more dynamics, than the law ‘keep it simple, stupid’ suggests.Conclusions:In the Dutch context integration implies a permanent pursuit of aligning mechanisms for integration. Sustainable integration requires long-standing efforts of all relevant stakeholders and cannot be achieved quickly. It may take a decade of consistently applying a mix of policy instruments.

Policy mixes for biodiversity: a diffusion analysis of state-level citizens’ initiatives in Germany

ABSTRACT In 2018, a citizens’ initiative (CI) launched in the German State of Bavaria put forth the ‘policy idea’ of preserving and enhancing biodiversity and formulated a concrete policy proposal for implementing it. This policy idea diffused across Germany and resulted in the launch of similar CIs in the States of Baden-Württemberg, Brandenburg, Lower Saxony, and North Rhine-Westphalia. Research on policy diffusion through governmental channels has found that this process typically results in one of two outcomes: the policy in question is either adopted in a copy-and-paste manner or adapted to the respective local conditions. Did the diffusion process of the Bavarian CI result in the other CIs proposing a similar or different mix of policy goals and instruments? We find that the mix of policy goals corresponded closely to that of the Bavarian CI, suggesting diffusion through imitation or learning but with an element of adaptation as well. Striking differences exist between the mix of policy instruments employed by the Bavaria-based CI and the other CIs, which corroborates the importance of adaptation to local conditions.

Understanding the effectiveness of policy instruments to encourage adoption of farming practices to improve water quality for the Great Barrier Reef

Governments in Australia and internationally are experimenting with policy instruments to facilitate the adoption of farming practices with reduced environmental impacts. The Great Barrier Reef (Australia) is one such case, where sustained efforts over 20 years have yielded insufficient progress towards targets to reduce the impacts of agriculture on water quality in downstream marine ecosystems.We present a critical review of policy instruments as implemented in Great Barrier Reef catchments. We catalogue the evolving mix of policy instruments employed in reef programs, and examine evidence of the effectiveness of agricultural extension, financial incentives, and direct regulation of farming practices. There is little robust evidence to assess instrument effectiveness, in part due to the evolving mix of the instruments employed, weak program evaluation and heterogeneity of agricultural enterprises. We identify the need to improve the understanding of instrument fit to landholders and enterprises. We recommend a modelling approach to clarify pathways to impact and guide improved policy evaluation.

Regulating greenhouse gas emissions by an inter‐temporal policy mix: an experimental investigation*

Emissions taxes impose a fixed price on emissions, whereas under tradable permit schemes prices emerge in the secondary permit market. The delayed price discovery under tradable permits creates uncertainty about the future cost of compliance that liable emitters face. To mitigate this uncertainty, some jurisdictions have designed policies to regulate GHG with an emissions tax that is in force for several years, subsequently transforming into a tradable permit scheme. This paper examines the effects that this staged transition – from no regulation to a regulation by a tax, to a regulation by tradable permits – has on abatement investment, quantity of emissions, permit prices and overall regulation efficiency. The effects of the inter‐temporal mix of policy instruments are compared to the effects of single policy instrument: a tax‐only, and a tradable permit‐only regulation. Our investigation relied on laboratory economics methods to test economic behaviour under these three policy regimes. We find that a staged transition from a tax to a tradable permit scheme results in more socially desirable outcomes on a range of criteria when compared to a regulation based solely on tradable permits, and specifically, it improves ability to make better abatement investment decisions.