Types Of Policy Instruments Research Articles

A comparative review of methane policies of the United States and China in the context of US – China climate cooperation

ABSTRACT Methane is a powerful greenhouse gas. The US and China are the world’s two of the largest methane emitters and jointly committed to tackling this global challenge in the US–China Joint Glasgow Declaration at COP26 in 2021. However, few studies have revealed the methane policy landscape in the two countries. Greater understanding of these policies and how they have evolved is critical for enhancing future actions. We addressed important research topics currently understudied, including the types of policy instruments used, the commonalities and differences between the two countries in their primary policy foci, and the evolution and driving forces of methane policies. This study conducted a comprehensive and comparative review of methane-related governance structures and policy frameworks in both countries. We performed policy mapping based on systematic and large-scale policy document collection and screening, followed by an in-depth review of the development of methane policies in both countries. This study found that both countries placed uneven emphases across sectors, with a notable focus on the energy sector. While the US showed a preference for regulatory policy instruments such as acts, rules and regulations, China primarily utilized planning instruments such as Five-Year Plans (FYPs), notices, and working guidelines. Additionally, methane policies in both countries were largely driven by safety, resource utilization, and pollution concerns rather than reducing greenhouse gas emissions. Our study suggests that both countries should fill the policy gaps to accelerate their actions on methane mitigation and consider more climate-centric policies. It underlines the potential for US–China collaboration through the exchange of knowledge and best practices, which would also greatly advance global climate governance.

Escaping poverty: changing characteristics of China’s rural poverty reduction policy and future trends

Eliminating poverty is a shared aspiration of people worldwide. This article analyzes 762 rural poverty-related texts promulgated and implemented by the Chinese Government since 1984 using content analysis based on a three-dimensional framework encompassing the time of policy issuance, policy goals, and types of policy instruments. The study outlines the overall landscape and evolutionary context of the policy system. The results show that, during absolute poverty governance, China’s rural poverty governance can be broadly divided into three stages: regional development-oriented poverty alleviation, comprehensive poverty alleviation, and targeted poverty alleviation. Based on the production-oriented welfare model, economic development became the primary goal of poverty alleviation policies, while insufficient attention was given to service support and capacity-building goals. The alleviation of poverty mainly relied on the propulsive force generated by supply-side policy instruments led by the Government and the external driving force generated by environmental policy instruments, with a significant deficiency in the propulsive force produced by demand-side policy instruments. Entering the phase of relative poverty governance, optimizing poverty governance policy instruments requires breaking free from path dependence, following the evolutionary pattern of poverty governance. It involves ensuring that policy instruments support economic development while emphasizing addressing service support and capacity-building goals. It is crucial to increase the frequency of using demand-side policy instruments, stimulate their pulling force on poverty alleviation, and achieve a trend of evolutionary innovation and the collaborative governance of policy instruments.

Policy Instrument Preferences and Optimization Strategies: Based Text Analysis of Provincial-Level Education Digitalization Policy from China

In the context of world education digitalization, the Chinese government has formulated China’s education digitalization strategy. The education digitalization policy tools of provincial governments are an important factor affecting the effectiveness of education digitalization policies. In this study, a text quantification and content analysis is conducted on educational digital policy documents released by eight provinces of China during the 14th Five-Year Plan period in China. This is based on a two-dimensional analysis framework of “instruments-value” using instrument types and policy principles, and NVivo software. The research outcomes reveal the following: (1) The distribution of educational digital policy instrument types is uneven, with an excess of supply-side instruments and a noticeable shortage of demand-side instruments. (2) Different policy instruments exhibit varying degrees of preference in implementing policy principles. There is a stronger emphasis on technology application and balanced development, while the emphasis on service principles promoting diverse participation is relatively weaker. (3) The policy instruments that facilitate interaction between policymakers and educational entities require further strengthening. In light of these findings, local governments in China should strengthen the use of demand-side policy instruments to achieve comprehensiveness and sustainability in educational digitalization. Policymakers should pay more attention to the demands of educational entities to shift educational digitalization from being technology driven to being demand driven. Furthermore, policy instrument selection should adhere to the value of serving and supporting individuals and reinforce the concept of multi-participation in their development, ultimately improving the precision and coordination of policies, and achieving a harmonious integration of technological and value aspects of policy instruments.

Innovation policy for sustainability transitions in small economies: Energy technology innovation in Hong Kong

In this paper, we analyzed Hong Kong's sustainable energy transitions innovation policy, and compared it to the policies in 11 small, high-income jurisdictions. To do this, we identified 696 innovation interventions implemented between 2008 and 2020. We classified them into 42 types of policy instruments. Then we visualized the policy mixes of the jurisdictions with the assistance of correspondence analysis methods. The results suggest that Hong Kong's overall policy mix heavily relies on overarching policy strategies to guide research and demand side policies to support energy technology adoption. However, Hong Kong's support for research and development of domestic clean energy technologies to overcome the so-called “valley of death”, a critical gap between public and private support, remains limited. This contrasts with the policy mixes of more innovative peer jurisdictions, which provide R&D funding and business support targeted at encouraging clean energy technologies and facilitating connections across the innovation system.

Policy-takers and policy calibrations: exploring the demand side of micro-level policy design choices

In the literature on policy design, the topic of citizen or policy-taker compliance, or the lack thereof, has been understood mainly in terms of economistic motivations responding to incentives and deterrents. That is, until recently. A pronounced turn toward behavioral public policy over the last two decades has diversified the set of possible propositions that are available for policy design scholars to study policy-takers. Consequently, how the diversity of policy-taker motivations and behavioral responses can be considered in the design of policy mixes and their implementation is an emerging area of study. Here, we contribute to this research effort by conceptualizing how the motivations of policy-takers affect their compliance response to the calibration of different types of policy instruments. We first elaborate on the inter-relationships between heterogenous policy-taker motivations, policy instrument calibrations, and heterogenous behavioral responses. Next, we use the example of Singapore’s approach to the management of a cyclical environmental disease (dengue) to illustrate the mix of motivations on the part of policy-takers. We then offer some thoughts on how policy instrument calibrations can be deployed to target heterogenous policy-taker motivations and induce greater policy participation.

Policy instruments for governing water in cross-border metropolitan areas, the case of Greater Geneva

ABSTRACT Governing transboundary waters is inherently a complex policy issue. However, when waters flow through multiple urban spaces (multiple cities in different countries), it presents a unique challenge to access and control. Policy actors employ a variety of policy instruments to govern such spaces and users’ water demands. Drawing from the case of Geneva Metropolis (shared between Switzerland and France), we explain how policy instruments are formulated to manage a combination of water sources. We answer two questions: (1) what type of policy instruments contribute to reaching transboundary water governance in Greater Geneva? and (2) What are the underlying drivers that led to the success or failures of implementing policy instruments at the transboundary level? Based on policy documents and closed-door interviews, we present various policy instruments that have been developed and implemented in the Geneva metropolis. We further argue that the underlying drivers, such as the existence of communities of practice, political willingness, the influence of civil society actors and the evolution of an anticipatory water governance system, have influenced the policy instruments’ success and failure. To conclude, this article calls for further research on comparing different cross-border metropolitan areas, focusing on processual aspects (development and implementation) of policy instruments.

The everyday work of farm advisors as interface bureaucrats in greening French agricultural policies

For the last three decades, public agricultural policies in France and in Europe have progressively integrated environmental objectives through a wide range of instruments. Whereas a large body of research has examined the extent to which the greening of agricultural policies has shaped farmers' decisions and practices, few studies have considered how these normative policy orientations may trigger tensions within the agricultural bureaucratic apparatus, and notably among local farm advisors who play the role of interface bureaucrats. In this article, we have explored how farm advisors from different types of advisory structures develop multiple subjectivities and deal with the tensions that they face when navigating between policy goals, professional norms, and their personal beliefs and values. Drawing on plural qualitative methods, we focus on the implementation of two national public agroecological schemes in southwest France that support the emergence and facilitation of farmers' groups engaged towards agroecology. We find that organizational strategies shape the type of tensions advisors face and their ability to manage these. The type of policy instrument we considered also matters in the forms of creative bricolage that farm advisors develop: in the case of organizational instruments based on farmers' participation, maintaining relationships with farmers is critical to give meaning to their work. If such instruments enlarge the creative space of farm advisors, the schemes we examined also hold in-built limitations in empowering farm advisors as they fail to address the structural constraints that shape agroecological transitions.

An exploration of national and local policies supporting health promoting sports clubs in the Republic of Ireland

ABSTRACT The societal role which sports clubs can play in promoting health has been underexploited, and sports clubs have called for support from policymakers. Based on the Health Promoting Sports Clubs National Audit Tool, the present study has as objective to investigate how national public policies support health promotion in sports clubs, by questioning indicators of quality (references to other document, policy framing and evaluation), the content (target groups, health topics, type of policy instruments) and the mechanisms used by Irish decision-makers for coordination, evaluation, dissemination and implementation of these policies. The tool was completed in two steps comprising a systematic search of policy plans, programmes or regulations and 12 interviews with key informants. A content analysis of 17 policy documents, identified 49 policy actions targeting HP in sport clubs, coming from different sectors, but only policies from the health sector considered a settings-based approach, supporting a unique sports federation programme. Policies focus on a single health behaviour, where the most targeted were physical activity participation, gender inequity and the disability gap in access to sport clubs. The policy structure lacks coordination, monitoring, media campaigns and events, and therefore not adopting the HPSC concept, but only a health education approach. Future studies should support the acknowledgement of HP as an umbrella concept, in order to support the understanding and development of organisation and system change since policies are drivers for sport federations, local sport actors and sports clubs.

Intergovernmental Organisations (IGOs) and Governmental Open Educational Resources (OER) Policies: Instruments of International Policy Influence

Intergovernmental Organisations (IGOs) have been playing a prominent role in the Open Educational Resources (OER) movement in advocating for and supporting the development of governmental OER policies. Research shows that IGOs perform multiple roles in influencing national and global education policy processes and possess multiple policy instruments with which they can assert their influence. We adopted the conceptual framework of policy instruments to understand the types of policy instruments applied by the selected IGOs. We carried out semi-structured interviews with representatives from four important IGOs. Results show that the selected IGOs collectively used discursive dissemination, funding, technical assistance, standard-setting and coordinative functions OER policy instruments to influence the development of governmental OER policies. We report on the perceived and observed successes of these IGOs OER policy instruments and the related challenges. We discuss relevant findings and their implications for further research and activities of IGOs.

Policy instruments attitudes and support for government responses against Covid‐19

AbstractAn individual's political attitudes have been documented as the most important predictor of acceptance of government measures against the COVID‐19 pandemic. Their effect, however, is somewhat unclear and cannot be reduced to one dimension. In this article, we test whether general attitudes toward policy instruments might, together with left–right orientation, authoritarianism, social liberalism, and attitudes to state intervention, explain attitudes to policy instruments used to combat COVID‐19. The predictiveness of models of attitudes toward three different types of policy instruments to address the COVID‐19 pandemic was tested using a study of Czech university students). We found that individuals' general attitudes toward policy instruments are best measured by posing direct survey questions. Structural equation modeling was used to estimate the independent effects of general attitudes toward three different types of policy instruments on attitudes toward specific policy instruments for combating COVID‐19. We found that an individuals' general tendency to prefer an information, regulatory, or economic instrument significantly affects their attitude toward specific policy solutions, even after controlling for political orientation. These results provide novel empirical evidence for the autonomy of policy instruments attitudes (APIA) theory. The general attitudes toward policy instrument types are reflected in individuals' attitudes toward specific policy instruments, such as those used to combat COVID‐19.

Willingness to pay for what? Testing the impact of four factors on willingness to pay for facilitating and sanctioning energy policy instruments

The purpose of this study is to analyze individuals’ willingness to pay (WTP) for energy policies. The type of energy policy was divided into facilitating and sanctioning instruments. We studied the factors that influence WTP for two types of intrument for energy policy by using four theoretical frameworks: the Economic Model, the Theory of Planned Behavior, Value Theory, and Psychometric Paradigm (so called risk perception model). The results, first, showed that the WTP for the sanctioning instruments was lower than that for the facilitating instruments. Second, the values, trust, and norms were significant predictors of the WTP for both types of policy instruments. Third, the economic factors only influenced the WTP for sanctioning instruments. This study recommends policy mix considering the WTP for different types of instruments for energy policy.

Introducing a classification framework to urban waste policy: Analysis of sixteen zero-waste cities in China

Chinese cities are experiencing rapid urban development while facing severe challenges of environmental pollution. China's central government has proposed several policies to reduce urban waste. However, little is known about the adoption of these policies. Here, we raise the question how can circular policies be classified, and how can this classification be applied to cities in China that wish become zero-waste cities? We develop a framework to classify urban waste policies according to: (a) the “5R” principles (“Rethink”, “Reduce”, “Reuse”, “Recycle”, and “Recover”), (b) four types of waste (industrial, agricultural, municipal, and hazardous) and (c) six types of policy instruments (legal, economic, network, communication, innovation and projects). We use this framework to analyze urban waste policies implemented by sixteen zero-waste demonstration projects in China. The present study emphasizes combinations of policy instruments, “R” strategy and waste type in the implementation of zero-waste policies. We find that the “Rethink”, “Reduce”, and “Recycle” principles have been widely implemented by local authorities in contrast to the principles “Reuse” and “Recover”. Local governments address waste management by embracing regulations, innovation instruments, and project arrangements, while network-based, economic, or communicative policy instruments are used less often. Based on the results we suggest that local governments embrace a comprehensive approach to the use of the “5R” principles and deploy a diverse portfolio of policy instruments.

Carrots, sticks and sermons: Policies to unlock community energy finance in the United Kingdom

Community energy (CE) represents a potentially critical means of accelerating a sustainable and equitable energy transition. However, in many countries, it is experiencing a period of stagnation, typically following the dilution or removal of supportive government policies. In the absence of substantive capital grant funding, attracting capital finance has become increasingly important for the CE sector but remains highly challenging to secure at scale. Policy solutions are therefore needed to unlock finance and catalyse CE sector growth.To develop policy solutions to accelerate CE business model innovation that can unlock finance, this paper develops a newly synthesized policy instrument, innovation system and business model analytical framework. This is applied to the case of United Kingdom (UK), employing a mixed-methods approach that included a survey of 145 projects, 33 interviews and documentary evidence. To drive business model innovation and unlock CE finance ten policy recommendations are presented that offer an essential balance across three types of policy instrument: 1) financial incentives ('carrots'); 2) regulations and guidance (‘sticks’); and 3) initiatives to support the dissemination of information (‘sermons’). This recommended policy mix highlights the importance of striking a balance between financial and non-financial policies, and ensuring coverage across all innovation system functions.

Macro-financial policies under a managed float: A simple integrated framework

A simple integrated macroeconomic model of a small, bank-dependent open economy with a managed float and financial frictions is used to study the effects of five types of policy instruments: fiscal policy, monetary policy, macroprudential regulation, foreign exchange intervention, and capital controls. The paper also considers how, following a drop in the world interest rate, these instruments can be combined to restore the initial equilibrium. The analysis illustrates, using simple diagrams, how macro-financial policies can complement each other to manage capital inflows.In particular, it demonstrates that, to stabilize the economy, whether the response of monetary policy should be contractionary (a common prescription in practice)or expansionary depends on which other instruments are available to policymakers. The joint use of macroprudential regulation and temporary capital controls is also shown to provide, in response to external financial shocks, a potent policy combination.

Revisiting the Nexus between Industrial Policy and Regional Economic Resilience in an Era of Grand Societal Challenges

In this paper, we adopt an evolutionary approach to understand the role of industrial policies in developing regional short –and long-term resilience. We take an in-depth look at the different type of policy instruments to categorise the different place-based approaches and industrial policy mixes and explore their role in addressing grand societal challenges. To do so, the paper examines the Basque Country region in Spain, which not only has implemented a long-term industrial policy over the last 40 years but has also demonstrated to be a resilient region during previous crises.

Evolution of biogas policies in China (2001–2019): Dynamics of policy instruments towards energy transitions

China has emerged as global significant producer of biogas during the last two decades. The Chinese government promoted various types of policy instruments to facilitate the emergence and further development of biogas. This article used the method of content analysis to study the transitions of biogas policy instruments in China. The article in sum surveyed 108 policy documents issued by the central government of China from 2001 to 2019. The article analyzed the number, stringency, forms and institutions of these biogas policies and compared the evolution of different types of policy instruments in the different periods of time. The results showed that the Chinese government continuously prioritized Environmental-type instruments, while Supply and Demand types of instruments have been supplementary. The actual implementation of policy instruments remained gaps with the ideal policy promotion. A balance of different types of policy instruments and mechanisms for policy coordination should be strengthened to constantly support biogas production in the country.

Routes Determine Results? Comparing the Performance of Differentiated Farmland Conservation Policies in China Based on Farmers’ Perceptions

Revealing the performance of farmland conservation policies that use different types of policy instruments can provide a basis for optimizing such policies. Based on farmers’ perceptions of farmland conservation policies, this paper conducted an empirical analysis using data on 986 rural households which were collected from seven towns/districts in three provinces of China. More specifically, this paper first uses propensity score matching to analyze the impact of the comprehensive application of economic incentive and command-and-control policy instruments on farmland conservation. Then, it explores the differences between the effects of local economic incentive farmland conservation policies (FCP-LE) that employed different policy instruments. Finally, the factors affecting farmers’ perceptions of FCP-LE performance were identified. The results show that the combination of economic incentives and command-and-control policy instruments significantly improved the performance of farmland conservation policies. Furthermore, after comparing FCP-LE with payments to rural communities in the form of monetary compensation only, it is evident that a combination of FCP-LE with payments to farmers and integrated monetary compensation and social security subsidies yields better farmland conservation. Additionally, there are differences between the factors affecting farmers’ perceptions of FCP-LE performance in different areas. Our findings aim to help encourage more areas to develop diversified local incentive policies in order to conserve farmland.

Policy instruments for energy-efficient renovations at district level

IEA EBC Annex 75 aims to investigate, amongst other policy for reducing carbon emissions and energy use in buildings at district level, combining both energy efficiency measures and renewable energy measures. Particularly policy instruments deployed at the local level targeting owners and investors could increase residential building renovation and renewable energy systems to a district scale. A desk and empirical research using 38 expert interviews from 8 European countries was used to investigate the use and development of various types of policy instruments, including regulations, incentives, communication and facilitating instruments. The research confirms interest of frontrunners to use or develop specific policy instruments further, such as enforcement of energy standards and inspections, financial incentives for district stakeholders and for groups of homeowners, renovation services and energy desks, digital communication and network meetings in districts. It also finds that low relative advantage for some stakeholders, lack of good examples, an incompatible legal or national framework and high complexity are serious risks that can further hinder adoption of energy efficiency and renewable energy systems in districts. Renovations at district scale including energy efficiency and renewable energy can benefit from adapted or improved regulations, incentives, communication and facilitation to better support renovations at district scale including energy efficiency and renewable energy systems.

Optimal federal co-regulation of renewable energy deployment

In federally organized countries the allocation of renewable energy (RE) deployment is regulated by national and subnational governments. We analyze the efficiency of this federal co-regulation when different types of policy instruments – price and quantity – are applied at different government levels. Using an analytical model with two government levels, we show that efficient federal co-regulation crucially depends on the burden sharing of national subsidy costs among subnational jurisdictions. We find that national price-based regulation, i.e. feed-in tariff, is efficient if burden shares of subnational jurisdictions are distributed in proportion to their population. This holds regardless of the policy instrument applied at the subnational level as long as RE deployment causes regional costs instead of regional benefits. Under national quantity-based regulation, i.e. tenders, efficient burden sharing depends on the policy instrument applied at the subnational level. Subnational price-based regulation, e.g. state-level levies, combined with national quantity-based regulation requires burden shares to be oriented towards first-best RE deployment shares. By contrast, subnational quantity-based regulation, i.e. spatial planning, combined with national quantity-based regulation, under certain conditions, requires population-oriented burden sharing, namely, if RE deployment only causes negative regional effects. If so, we also show that national quantity-based regulation ends up to be de-facto price-based.

Optimal Decisions and Implementation Efficiency of the Extended Producer Responsibility System for E-Waste under Take-Back Legislations

The collection and reuse of the e-wastes have attracted increasing attention all over the world. In order to incentivize the producer to collect and recover the e-waste, more and more countries have formulated the take-back legislation with the economic or administrative instruments based on the spirit of extended producer responsibility (EPR). Facing two different types of policy instruments (economic or administrative instrument), how the take-back legislation affects the collection and reuse of the e-waste and how to ensure the efficiencies of the two types of take-back legislation have attracted the public’s attention. Therefore, this paper establishes a stylized model consisting of a monopoly manufacturer who is responsible for collection and remanufacturing under two different types of the take-back legislation. The manufacturer’s optimal production, collection, remanufacturing decisions, and optimal profit are derived using Karush–Kuhn–Tucker (KKT) conditions. Sensitivity analysis shows that stricter mandated collection rate hurts the manufacturer’s profit, but the effects of the government’s subsidy and tax on the manufacturer’s optimal decisions rely on the cost of the new product. The firm needs to adjust the cost of the new products corresponding to the specific subsidy and tax. Finally, a neutral fiscal policy is proposed to determine the government’s optimal subsidy and tax in order to ensure the consistency of the efficiencies of the two types of take-back legislation. The government should set that the ratio of the optimal tax and subsidy under the neutral fiscal policy is exactly consistent with the mandatory collection target. This policy aims to guide the manufacturer’s voluntary collection rate to meet the government’s mandated collection target and thus change the mandatory collection mode to the voluntary collection mode.