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| Policy Diffusion, Policy Convergence, Path Dependence | ||||||||||||||||||||||||||||||||||||||
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Rot-grüne Umweltpolitik
zwischen nationaler Pfadabhängigkeit und globaler
Politikkonvergenz. Kristine Kern/Hildegard Theobald |
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Environmental policy is considered a cornerstone of 'red-green'
(Social Democratic Party-Green Party) politics in
Germany. To evaluate its success, national path
dependence as well as global policy convergence has to
be taken into account. Therefore, we have chosen a
conceptual approach that encompasses two dimensions: the
scope of policy change, which can be either radical or
only moderate, and Germany's international position as a
pioneer or a laggard. On this basis, four types of
policy strategies can be distinguished: (1) moving first,
(2) catching up, (3) staying ahead, and (4) lagging
behind. This typology is used to analyze four case
studies: energy policy, the ecological tax reform,
climate change policy, and the national sustainability
strategy. The case studies show, firstly, that a policy
change occurred in areas that were high on the Green
Party agenda from the very beginning (phase-out of
nuclear energy, ecological taxation). Secondly, it is
evident that policy innovations already tested in
foreign countries facilitate policy change, because
policy entrepreneurs can use them as a point of
reference. Thirdly, Germany pursues multilateral
strategies in areas where the country is a pioneer. To
guarantee Germany's position, other countries are pushed
to adopt similar policies. (Author's abstract) An abbreviated version of this articles appears in Werner Reutter (ed.), Germany on the Road to "Normalcy". Policies and Politics of the first Red-Green Government (1998-2002). New York: ⌐Palgrave Macmillan, 2003. |
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| The diffusion of policy innovations. Environmental policy innovations in multilevel systems in the United States of America | ||||||||||||||||||||||||||||||||||||||
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This project began as my doctoral dissertation on policy innovations
in multilevel systems in the US. At the center of interest was the
observation that decentralized policy initiatives in the US
frequently tend to "spread like wildfire", that is, initiatives from
one state are quickly picked up and adapted by others. The US, with
its 50 federal states and a highly fragmented political system, is
the ideal model for such a study; therefore the project focused
primarily on that country. The diffusion of policy innovation is generally of interest primarily and especially because it does not confine itself to just a few, limited policy areas: this phenomenon occurs, for instance, in the social policy arena just as it does in the environmental policy arena. The starting point for the investigation was the differentiation between horizontal policy diffusion between individual states and vertical policy diffusion between the individual states and the federal government. In the past this has been demonstrated repeatedly, for instance, with environmental policy innovations developed in California as the vanguard state. In addition to horizontal policy diffusion between US federal states, one can also observe vertical policy diffusion. A good example of the latter is provided by the 1976 New Jersey Spill Compensation and Control Act, which contained a stipulation providing for the creation of special funds to clean up pollution. The New Jersey legislation served as the blueprint for subsequent federal environmental legislation passed by the US Congress four years later (1980), creating the so-called "superfund". What factors are determinant or what basic conditions are necessary for the innovation and diffusion of policy methods? What sorts of initiatives spread particularly rapidly, and, conversely, which ones tend to disappear just as quickly from the political agenda? To answer these questions I began by researching the notion of federalism and the role of states. Within the course and framework of the project I was able to show that policy diffusion can superpose or replace political control altogether. Further, my investigation revealed that the institutionalization of policy transfer, especially the creation of transfer institutions at national level, resulted in changes to the patterns of diffusion and led to accelerated policy transfer. Finally, I was able to demonstrate that the approach developed in this project was also applicable to other multilevel systems (that is, systems with at least two policymaking and/or decision-making levels). This is valid above all for systems that are structurally similar to the American multilevel system. > Additional Info |
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| Political Institutions and Environmental Policy Innovations in Switzerland - Air and Soil Pollution Control Policy in Cross-national Comparative Perspective | ||||||||||||||||||||||||||||||||||||||
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In addition to the results of the studies on the USA system Swiss
environmental policy was analyzed regarding the influence of
political-institutional factors on the innovation capacity. The
starting point was an investigation of the effects on environmental
policy of factors such as corporatism, country size, federalism, and
direct democracy. It then proceeds from an international comparative
perspective, examining the degree to which air pollution control and
soil protection have been institutionalized, with special emphasis
on national differences in diffusion patterns; this is followed by
an analysis of the institutionalization of environmental policy in
Switzerland. In terms of its environmental quality, Switzerland is
considered an environmental policy success case, but, with respect
to developing and adopting environmental policy innovations, the
country ranks only among the "middle field" or counts even as a
"latecomer". The article concludes inter alia that Switzerland's
environmental policy innovation capacity could be increased by
targeted further development of Swiss federalism. |
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| Global Diffusion of Environmental Policy Innovations | ||||||||||||||||||||||||||||||||||||||
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(In cooperation with the
¬Environmental Policy Unit of the Free University Berlin) In another project the importance of the diffusion of environmental innovations between countries for the global development of environmental policy was analysed. Empirical observation has shown that national environmental initiatives are often rapidly adopted by other countries; thus, these initiatives spread internationally. The conditions for and restrictions on the international diffusion of environmental innovations are examined on the basis of five case studies: environmental agencies and ministries, ecolabels, national environmental plans, CO2/energy taxes, and soil protection legislation. The key determinants of policy diffusion include (1) national factors (capacities for action in environmental policy, the demand for problem solutions), (2) the dynamics of the international system (the significance of front-runner countries for global policy diffusion, international organisations, transnational networks), and (3) aspects of the specific policy innovation (characteristics of policy innovation, availability of appropriate policy models, etc.). >Paper: The Diffusion of Environmental Policy Innovations. A Contribution to the Globalisation of Environmental Policy. |
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| Policy Convergence and Policy Diffusion by Governmental and Non-governmental Institutions An International Comparison of Eco-labeling Systems | ||||||||||||||||||||||||||||||||||||||
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(in cooperation with the
¬ETH Zürich) (Kristine Kern, Ingrid Kissling-Näf, Ute Landmann, and Corine Mauch, in collaboration with Tina Löffelsend) The study deals with eco-labeling systems that have spread faster than other types of new policy instruments. The paper focuses on the diffusion of two different types of eco-labels: (1) general eco-labeling systems such as the German "Blue Angel" (Blauer Engel), and (2) the Forest Stewardship Council (FSC) certification program. We start with three different explanations for policy convergence: international regimes, regional integration, and global policy diffusion. Policy diffusion is gaining in importance due to the diffusion processes triggered by the emergence of international, intergovernmental, and transnational transfer institutions. It is assumed that governmental or quasi-governmental transfer institutions (general eco-labels) and non-governmental transfer institutions (FSC label) have similar functions and effects. Our main thesis is that labels can diffuse globally, be decided on, and even implemented at the national level without significant state influence. Furthermore, three success factors for the national performance of eco-labeling schemes are analyzed: (1) the characteristics of policy innovations (costs of labeling etc.); (2) the economic, societal, and political-institutional capacities for action; (3) the co-existence and competition between different eco-labeling systems which can result in converging standards. On this basis some conclusions regarding the overall performance of transnational network organizations, such as the FSC, are drawn. >Paper: Policy Convergence and Policy Diffusion by Governmental and Non-Governmental Institutions. An international Comparison of Eco-labeling Systems. |
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| International Workshop, "Diffusion of Policy Innovations" - A Joint Undertaking of the Social Science Research Center Berlin (WZB) and the Environmental Policy Research Center (FFU) of the Free University of Berlin. | ||||||||||||||||||||||||||||||||||||||
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In December 2000 an international workshop was held at the WZB on the subject of "Diffusion of Environmental Policy Innovations. The workshop was organized by the WZB and the FFU at Berlin's Free University; it was funded by the Volkswagen Foundation. More than 40 researchers from 13 countries took part. The focal point of the workshop was the question of the significance of diffusion processes for environmental politics and policy worldwide, and an analysis of the primary factors that influence those processes. The goal of the workshop was to bring together a number of existing research approaches to the spread of environmental policy innovations, which have heretofore coexisted without being generally coordinated, and to discuss what significance these relatively new research perspectives could have for comparative environmental policy analysis. The discussions elucidated the fact that policy diffusion and policy transfer have in the meantime become central influencing factors for national environmental policies everywhere. The most important results of the workshop are summarized in the following statements. (1) "Policy diffusion" is an open, neutral concept used to describe the (international) spread of policy innovations. It is neutral with respect to the quality and concrete implementation of the policy innovations disseminated. In contrast to similar notions like "policy transfer", "lesson drawing", or "policy learning", the term "policy diffusion" does not contain or imply a commitment to some specific method of knowledge distribution. (2) The diffusion of policy innovations can be a dependent as well as an independent variable. In the former case, this would have to do with patterns of diffusion - that is, the analysis of influencing factors and mechanisms of policy diffusion; in the latter case, the environmental governance potential of diffusion processes is at issue (catchword: "governance by diffusion"). (3) From a governance-theoretical standpoint, this research approach can contribute to the explication of the interdependency between national and international environmental governance and augment the development of new strategies of global environmental policy. > International workshop "The Diffusion of Environmental Policy Innovations" (information available in German only). > Results of the workshop (information available in German only). |
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| Cooperation Partners | ||||||||||||||||||||||||||||||||||||||
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¬ Forschungsstelle
für Umweltpolitik der Freien Universität Berlin ¬ ETH Zürich |
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| Publications | ||||||||||||||||||||||||||||||||||||||
| Kern Kristine und Hildegard Theobald 2004:
Konvergenz der Sozialpolitik in Eu¬ropa? Rentenversicherung und
Altenbetreuung im Spannungsfeld von Pfad¬abhängigkeit,
Politiktransfer und Transnationalisierung, in: Hartmut Kaelble und
Günther Schmid, Das europäische Sozialmodell. Auf dem Weg zum
transnatio¬nalen Sozialstaat, WZB-Jahrbuch 2004, Berlin: edition
sigma. Kern, Kristine, Stephanie Koenen und Tina Löffelsend 2004: Red-Green Environmental Policy in Germany. Strategies and Performance Patterns, erscheint in: Werner Reutter (Hrsg.), Germany on the Road to "Normalcy". Policies and Politics of the First Red-Green Government (1998-2002), New York: Palgrave Macmillan, S. 183-206. Kern, Kristine, Stephanie Koenen und Tina Löffelsend 2003: Die Umweltpolitik der rot-grünen Koalition. Strategien zwischen nationaler Pfadabhängigkeit und globaler Politikkonvergenz, Berlin: Wissenschaftszentrum Berlin für Sozialforschung, Discussion Paper SP IV 2003-103, 37 S. >download as PDF Kern, Kristine 2003: Eine Erfolgsgeschichte von Rot-Grün. Umweltpolitik: nationale Pfadabhängigkeit und globale Politik, WZB-Mitteilungen 101, S. 25-27. >download as PDF Kern, Kristine 2003: Umweltpolitik als rot-grüne Erfolgsgeschichte, Deutschland-Rundbrief 9/2003 (herausgegeben vom Deutschen Naturschutzring), S. 18-20. Kern, Kristine 2002: Diffusion nachhaltiger Politikmuster, transnationale Netzwerke und "glokale" Governance, in: Karl-Werner Brand (Hrsg.), Politik der Nachhaltigkeit. Voraussetzungen, Probleme und Chancen - eine kritische Diskussion, Berlin: edition sigma, S. 193-210. Kern, Kristine 2001: Konvergenz umweltpolitischer Regulierungsmuster durch Globalisierung? Ursachen und Gegentendenzen, in: Lars-Hendrik Röller und Christian Wey (Hrsg.), Die Soziale Marktwirtschaft in der neuen Weltwirtschaft, WZB Jahrbuch 2001, Berlin: edition sigma. S.327-350. Abstract wird in Kürze ergänzt Kern, Kristine, Helge Jörgens und Martin Jänicke 2001: The Diffusion of Environmental Policy Innovations. A Contribution Towards Globalising Environmental Policy, Berlin: Wissenschaftszentrum Berlin für Sozialforschung, Discussion Paper FS II 01-302, 32 S. Download Report / >Abstract Kristine Kern, Ingrid Kissling-Näf, Ute Landmann, and Corine Mauch, in collaboration with Tina Löffelsend 2001: Policy Convergence and Policy Diffusion by Governmental and Non-Governmental Institutions—An International Comparison of Eco-labeling Systems FS II 01-305 >Download Report / >Abstract Kern, Kristine 2000: Politische Institutionen und umweltpolitische Innovationen in der Schweiz - Luftreinhalte- und Bodenschutzpolitik aus der international vergleichenden Perspektive, in: Ingrid Kissling-Näf und Frédéric Varone (unter Mitarbeit von Markus Giger, Andreas Kläy und Corine Mauch ) (Hrsg.), Institutionen für eine nachhaltige Ressourcennutzung. Innovative Steuerungsansätze am Beispiel der Ressourcen Luft und Boden, Chur und Zürich: Rüegger, S. 129-152. Kern, Kristine 2000: Die Diffusion von Politikinnovationen. Umweltpolitische Innovationen im Mehrebenensystem der USA, Opladen: Leske + Budrich (Band 17 der Reihe „Gesellschaftspolitik und Staatstätigkeit“), 329 S. Kern, Kristine, Helge Jörgens und Martin Jänicke 2000: Die Diffusion umweltpolitischer Innovationen. Ein Beitrag zur Globalisierung der Umweltpolitik, Zeitschrift für Umweltpolitik und Umweltrecht 23: 507-546. Abstract Kern, Kristine 1998: Horizontale und vertikale Politikdiffusion in Mehrebenensystemen, Berlin: Freie Universität Berlin, Forschungsstelle für Umweltpolitik (FFU-Report 98-6), 32 S. >Download Report / Abstract Kern, Kristine 1997: Politikkonvergenz durch Politikdiffusion – Überlegungen zu einer vernachlässigten Dimension der vergleichenden Politikanalyse, in: Lutz Mez und Helmut Weidner (Hrsg.), Umweltpolitik und Staatsversagen. Perspektiven und Grenzen der Umweltpolitikanalyse. Festschrift für Martin Jänicke zum 60. Geburtstag, Berlin: edition sigma, S. 270-279. |
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