POLICY EVALUATION AND IMPLEMENTATION
POLICY EVALUATION AND IMPLEMENTATION
Tiziano Zgaga, Jonathan Hopkin, Christoph Konrad Knill
Instructional goals
The objective of the course is to get a thorough understanding of how a policy is put into practice (implementation), how it is assessed (evaluation), and how it changes (e.g. dismantling, retrenchment, convergence). Empirically, the course deals with fiscal, welfare, labour, and environmental policy both at national and at European Union level.
An important goal of the course is to train you to search and review relevant literature on a specific topic, and to present the results in class. As part of a process of learning from each other, we aim for active in-class participation through questions and comments. At the end of the course, we want you to be able to critically assess public policy issues that are central to the academic debate and crucial for practitioners.
Intended learning outcomes
Knowledge and understanding:
By the end of the course, you will acquire:
• knowledge of patterns, determinants, and implications of policy implementation; understanding of related criticalities
• knowledge of how public policy is evaluated; understanding of determinants, processes, and implications of policy stability, policy change, policy diffusion and policy convergence
• knowledge of specific policies influenced by European integration and globalisation; understanding of the evolution of such policies in a context of ever-growing interdependence, and critical assessment of problematic implications
Applying knowledge and understanding:
You will be able to apply the acquired knowledge in your future professional activities in several ways. In particular, you will be trained in:
• engaging with relevant academic as well as non-academic literature and grasping the key content; preparing in advance to discuss topics and readings in class with the instructors and with colleagues; conduct a literature review and present it to a larger audience; “spontaneously” reacting to questions posed within a debate
• using concepts and theories of public policy and political economy to develop arguments and to communicate them in oral and written form
• autonomously carrying out research (either academic or for professional purposes) on the content of the course, also in comparative perspective and with the relevant methodologies
Making judgements:
Due to the emphasis placed on re-elaboration and discussion of the readings, you will be able to:
• critically analyse issues related to policy-making and contextualize them in light of the knowledge acquired in the course
• develop problem-understanding and problem-solving capacity
• critically assess trends related to specific policies under structural constraints and in times of crises
Communication skills:
Because of this, you will:
• improve the control of course-related terminology in English but at the same time be able to present complex content in an easily accessible form
• become acquainted to do research on key public policy issues and present the results to a larger audience, thus stimulating a general debate
• listen to – and learn from – each other
Learning skills:
By the end of the course you are expected to acquire the following skills:
• capacity to autonomously engage with the key issues related to public policy and to political economy, also with reference to specific policies
• capacity to grasp the core content of a text, a lecture/seminar or a topic more generally; summarise such content in written (through a paper) and oral (through a presentation) form
• capacity to engage with opposite arguments and to develop your own position in a well-structured and clear way based on facts/data
Course Contents
The first part of the course is about policy implementation – the key step where a policy which is “on paper” is put into practice. We first discuss the main theories of implementation. Then the course examines how well member states (MS) correctly implement EU policies (compliance). We show how even when being compliant MS adapt implementation to their preferences – a process of differentiated implementation which has been conceptualised as customisation. Eventually, the first part of the course examines implementation in federal systems and at “street-level”.
The second part of the course deals with policy evaluation and causes, processes and implications of policy change, with a focus on policy diffusion and policy convergence. Why do policies evolve in a certain way over time? To what extent does policy-making in one state influence policy-making in another state? Which policies are increasingly becoming similar across countries and why?
The third part of the course examines specific policies (fiscal, welfare, social, and labour) whose implementation involves an interplay between the European (or global) and the national level. It highlights the functioning of such policies, their patterns over time (also from a comparative perspective) and the extent to which they are – directly or indirectly – influenced by the EU integration process. The aim is to understand the issues that lie at the core of such policies, to identify criticalities related to their implementation, and to reach an overall evaluation of them.
Reference Books
Knill, C. and Tosun, J. (2020). Public policy. A new introduction. Red Globe Press: London.
The reference book is available in Luiss library. Readings to be covered in advance for each week include:
• chapters of the reference book
• papers and other readings listed in the syllabus which will be uploaded on Luiss Learn and which are accessible through Luiss Library and from home through ‘remote access’
If necessary, further/different readings may be uploaded with due advance prior to class.
Teaching Methods
Each week, the course comprises a lecture (on line) and a seminar (on campus) on the same topic. The lecture presents the main issues related to the topic of the week. In week 1 and 2, the seminar is a follow-up of the lecture of the day before. It also foresees a class discussion on the topic of the week.
Starting from week 3, each seminar consists of two group presentations where group A and B show how the literature has replied to a research question provided by the instructors and related to the topic of the week.
At Luiss, course attendance is mandatory. If you cannot attend the course or part of it, you must provide official reasons (attested by a specific document, such as a medical certificate). Attendance will be registered during each class via scanning a QR code and filling out a Google Form with your e-mail, first name and surname.
Assessment Method
The grade for the course will be determined on the basis of two components:
1) oral presentation in class and active participation in class (35 %)
All students are required to take part in an oral presentation. The goal of the presentation is to
• conduct a review of the literature in order to reply to a research question provided by the instructors
• present the synthesis of the literature review to the class and participate in the subsequent class discussion
Further instructions on the presentations will be published on Luiss Learn.
You are required to cover in advance the readings assigned for each week, thus being able to actively participate in class.
2) individual take-home paper at the end of the course (65 %)
For attending students
The take-home paper needs to be about one of three topics provided by the instructors.
The paper must be uploaded on the Luiss Learn platform by 12:00 Central European Time (CET) of the eighth day after the topics have been published on the Luiss Learn page of the course.
The final take-home paper must be no longer than 3,000 words (everything included).
For non-attending students
Non-attending students are students who – in exceptional cases and upon authorisation in writing of the Department (e.g. due to a curricular internship) – are unable to attend classes on a regular basis and, thus, cannot do the oral presentation.
For non-attending students the take-home paper counts 100 % of the course grade. It needs to be on one topic provided by the instructors.
Non-attending students must upload the paper on the Luiss Learn platform by 12:00 CET of the seventh day after the topics have been published on the Luiss Learn page of the course. The final take-home paper must be no longer than 3,000 words (everything included).
Further instructions on the paper will be published on Luiss Learn.
Thesis assignment criteria
Final course grade of minimum 30/30; active participation showed in the course; final thesis with a suitable topic and a clear research question.
Does the syllabus cover sustainability topics?
Yes, it does: policy evaluation and implementation in the area of environmental policy.
Week 1 Contenuto sessioni on line e on campus
On line lecture (8 February):
Welcome and introduction
On campus seminar (9 February):
Theories of implementation
Readings:
Knill, C. and Tosun, J. (2020). Public policy. A new introduction. Red Globe Press. Ch. 7.
Matland, R.E. (1995). Synthesizing the Implementation Literature: The Ambiguity-Conflict Model of Policy Implementation. Journal of Public Ad- ministration Research and Theory, 5(2), 145–74.
Week 2 Contenuto sessioni on line e on campus
On line lecture (15 February):
Member state compliance with EU policies
On campus seminar (16 February)
Member state compliance with EU policies
Readings:
Zhelyazkova, A. (2013). Complying with EU directives' requirements: the link between EU decision-making and the correct transposition of EU provisions, Journal of European Public Policy, 20(5), 702-721.
Treib, O. (2014). Implementing and complying with EU governance outputs. Living Reviews in European Governance, 9(1), 5-47.
Week 3 Contenuto sessioni on line e on campus
On line lecture (22 February):
Differentiated implementation of EU policies
Readings:
Radaelli, C. M. and Meuwese, A. (2009). Better regulation in Europe: Between public management and regulatory reform. Public Administration, 87, 639–654.
Thomann, E. (2019). Customized Implementation of European Union Food Safety Policy. Palgrave Macmillan. Ch. 2.
On campus seminar (23 February):
Presentations:
Group A: Why is literal implementation conducive to practical compliance with EU policies?
Group B: Why is non-literal implementation conducive to practical compliance with EU policies?
Week 4 Contenuto sessioni on line e on campus
On line lecture (1 March):
Implementation of EU fiscal policy
Readings:
Munta, M. (2021). EU Socio-Economic Governance in Central and Eastern Europe. The European Semester and National Employment Policies. Routledge. Ch. 2.
Vanhercke, B. and Verdun, A. (2022). The European Semester as Goldilocks: Macroeconomic Policy Coordination and the Recovery and Resilience Facility. Journal of Common Market Studies, 60(1), 204-223.
On campus seminar (2 March):
Presentations:
Group A: Which EU-level factors can best explain the implementation of EU fiscal policy?
Group B: Which domestic factors can best explain the implementation of EU fiscal policy?
Week 5 Contenuto sessioni on line e on campus
On line lecture (8 March):
Policy implementation in federal systems
Readings:
Wiltshire, K. (2020). Federalism and Policy Implementation. Oxford Research Encyclopedias, Politics.
Weaver, R. (2020). Policy dynamics in federal systems: A framework for analysis. Publius: The Journal of Federalism, 50(2), 157-187.
On campus seminar (9 March):
Presentations:
Group A: Why has the federal level of government been more effective in implementing policies to contain the COVID-19 pandemic?
Group B: Why has the state level of government been more effective in implementing policies to contain the COVID-19 pandemic?
Week 6 Contenuto sessioni on line e on campus
On line lecture (15 March):
Street-level bureaucrats
Readings:
Thomann, E. and Zgaga, T. Understanding the practical implementation of European Union policies. In: Brandsma, G. J. (ed.) Handbook on European Union Public Administration. Edward Elgar. Forthcoming.
Gofen, A. (2013). Mind the gap: Dimensions and influence of street-level divergence. Journal of Public Administration Research and Theory, 24(2), 473-493.
On campus seminar (16 March):
Presentations:
Group A: Why do street-level bureaucrats facilitate the implementation of EU policies?
Group B: Why do street-level bureaucrats complicate the implementation of EU policies?
Week 7 Contenuto sessioni on line e on campus
On line lecture (22 March):
Policy evaluation, policy-making and party politics
Readings:
Knill, C. and Tosun, J. (2020). Public policy. A new introduction. Red Globe Press. Ch. 8.
Lee, S. (2019). The politics of social spending after the Great Recession: The return of partisan policy making. Governance, 32, 123-141.
On campus seminar (23 March):
Presentations:
Group A: The impact of gun policies: Explain why more gun control reduce homicide and suicide rates.
Group B: The impact of gun policies: Explain why more gun control does not reduce homicide and suicide rates.
Week 8 Contenuto sessioni on line e on campus
On line lecture (29 March):
Policy evaluation, policy dismantling and policy retrenchment
Readings:
Knill, C. and Tosun, J. (2020). Public policy. A new introduction. Red Globe Press. Ch. 11.1
Bauer, M. W. and Knill, C. (2014). A conceptual framework for the comparative analysis of policy change: Measurement, explanation and strategies of policy dismantling. Journal of Comparative Policy Analysis: Research and Practice, 16(1), 28-44.
On campus seminar (30 March):
Readings:
Group A: Will the current economic challenges lead to welfare state retrenchment? What are the factors driving or inhibiting this development?
Group B: Will the current economic challenges lead the dismantling of bureaucratic rules and red tape in order to stimulate innovation and growth? What are the factors driving or inhibiting this development?
Week 9 Contenuto sessioni on line e on campus
On line lecture (5 April):
Policy diffusion and policy convergence
Readings:
Knill, C. and Tosun, J. (2020). Public policy. A new introduction. Red Globe Press. Ch. 11.2, 11.3
Holzinger, K., Knill, C. and Sommerer, T. (2008). Environmental Policy Convergence: The Impact of International Harmonization, Transnational Communication and Regulatory Competition. International Organization, 62(3), 553-587.
On campus seminar (6 April):
Presentations:
Group A: Why are some policies diffusing and converging internationally more rapidly and more broadly than others?
Group B: Under which conditions do diffusion and convergence entail races to the top or races to the bottom?
Week 10 Contenuto sessioni on line e on campus
On line lecture (12 April):
Rule growth and policy accumulation
Readings:
Adam, C., Hurka S., Knill C. and Steinebach, Y. (2019). Policy Accumulation and the Democratic Responsiveness Trap, Cambridge University Press. Ch. 3.
Adam, C., Knill, C. and Fernandez-i-Marín, X. (2017). Rule growth and government effectiveness: why it takes the capacity to learn and coordinate to constrain rule growth. Policy Sciences, 50(2), 241-268.
On campus seminar (13 April):
Presentations:
Group A: To what extent do policy accumulation and rule growth affect policy evaluation?
Group B: Which factors drive / reduce the extent to which the implementation bodies are overloaded by policy growth?
Week 11 Contenuto sessioni on line e on campus
On line lecture (19 April):
Fiscal policy under constraints: macroeconomic and distributional consequences
Readings:
Lorenzoni, G. (2023). New EU fiscal rules and governance challenges,
VoxEU, 2 Jan 2023.
https://cepr.org/voxeu/columns/new-eu-fiscal-rules-and-governance-challenges
Notermans, T. and Piattoni, S. (2021). EMU after the Covid-19 crisis: is this time different? Paper presented at the ECPR Standing Group Conference 2021
https://www.researchgate.net/profile/Ton_Notermans/publication/353364925_Germany_and_Italy_After_the_Crisis_Notermans_Piattoni_Final_Conference_Version/links/60f80faf1e95fe241a7aae81/Germany-and-Italy-After-the-Crisis-Notermans-Piattoni-Final-Conference-Version.pdf
Wren-Lewis, S. (2016). A general theory of austerity. Blavatnik School of Government Studies, Working Paper, 14.
On campus seminar (20 April):
Presentations:
Was the austerity of the 2010s necessary? Yes (group A) or no (group B)?
Week 12 Contenuto sessioni on line e on campus
On line lecture (26 April):
The politics of welfare and social assistance
Readings:
Hemerijck, A. (2018). Social investment as a policy paradigm. Journal of European Public Policy, 25(6), 810-827.
Hopkin, J. (2022). The Politics of Tax Justice in Democracies: Redistribution Beyond the Median Voter Theorem. LSE Public Policy Review 2.4.
Gingrich, J. and Häusermann, S. (2015). The decline of the working-class vote, the reconfiguration of the welfare support coalition and consequences for the welfare state. Journal of European Social Policy, 25(1), 50-75.
On campus seminar (27 April):
Presentations: Can the welfare state survive? Yes (group A) or no (group B)?
Week 13:
On line lecture (3 May):
Labour: reforming the labour market in hard times
Readings:
Costa Dias, M., Joyce, R., Postel-Vinay, F. and Xu, X. (2020). The challenges for labour market policy during the COVID‐19 pandemic. Fiscal Studies 41(2), 371-382.
Baccaro, L. and Howell, C. (2011). A common neoliberal trajectory: The transformation of industrial relations in advanced capitalism. Politics & Society, 39(4), 521-563.
On campus seminar (4 May):
Presentations: Can good policy create more and better jobs (group A), or should the government stay out of the labour market as much as possible (group B)?