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Making Government More Reflexive: the Role of Regulatory Impact Assessment View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by Wageningen University & Research Publications Making government more reflexive: The role of Regulatory Impact Assessment Julia Hertin Thesis committee Thesis supervisor Prof. dr. Peter H. Feindt Professor of Strategic Communication Wageningen University Other members Prof. dr. John Grin, University of Amsterdam Prof. dr. Cees Leeuwis, Wageningen University Prof. dr. James Meadowcroft, Carleton University, Canada Prof. dr. Jan van Tatenhove, Wageningen University Making government more reflexive: The role of Regulatory Impact Assessment Julia Hertin Thesis submitted in fulfilment of the requirements for the degree of doctor at Wageningen University by the authority of the Rector Magnificus Prof. dr. APJ Mol, in the presence of the Thesis Committee appointed by the Academic Board to be defended in public on Tuesday 16 February 2016 at 4 p.m. in the Aula. Julia Hertin Making government more reflexive: The role of Regulatory Impact Assessment 160 pages. Thesis, Wageningen University, Wageningen, NL (2016) With references, with summaries in Dutch and English ISBN 978-94-62-6257-638-4 Contents Index of figures and tables ................................................................................................. iv Summary .............................................................................................................................. v 1. Introduction ...................................................................................................................... 1 1.1 Background, objectives and research context .............................................................. 1 1.2 Research questions, methodology and overview of the argument .............................. 12 2. Analysing institutional strategies for environmental policy integration: The case of EU enterprise policy ............................................................................................. 18 Hertin, J. and F. Berkhout (2003). Analysing institutional strategies for environmental policy integration: The case of EU enterprise policy. Journal of Environmental Policy and Planning 5(1): 39-56. ............................................................................................................................................ 18 2.1 Introduction ................................................................................................................ 18 2.2 Modernizing Policy: The Critique of ‘Additive’ Environmental Administration .............. 20 2.3 Analysing environmental policy integration as a Process of Administrative Change ...................................................................................................................... 25 2.3.1 Sectoral Agenda Setting ...................................................................................... 26 2.3.2 Horizontal Communication ................................................................................... 27 2.3.3 Sectoral Capacity Building ................................................................................... 27 2.3.4 Policy Learning .................................................................................................... 28 2.4 Integrating the Environment into EU Industry Policy ................................................... 28 2.4.1 Background and Development of the Cardiff Process .......................................... 29 2.4.2 The Case of EU Industry and Enterprise Policy ................................................... 31 2.4.2.1 Sectoral Agenda Setting .............................................................................. 33 2.4.2.2 Horizontal Communication .......................................................................... 34 2.4.2.3 Sectoral Capacity Building ........................................................................... 34 2.4.2.4 Policy Learning ............................................................................................ 35 2.5 Conclusions ............................................................................................................... 36 3. Policy appraisal ............................................................................................................. 39 Hertin, J., K. Jacob and A. Volkery (2008). Policy Appraisal. In: Innovation in Environmental Policy? Integrating environment for sustainability. A. Jordan and A. Lenschow. Cheltenham, Edward Elgar: 114-133. ........................................................................................................................ 39 3.1. Introduction ............................................................................................................... 39 3.2 History ........................................................................................................................ 40 3.2.1 The origins of policy appraisal.............................................................................. 40 3.2.2 The shift to integrated policy appraisal ................................................................. 41 3.2.3 Conceptual background: Ex ante appraisal and the policy process ......................... 42 3.3 Deployment: practical experiences ............................................................................. 43 3.3.1 United Kingdom ................................................................................................... 43 3.3.2 The European Commission ................................................................................. 45 3.3.3 The Netherlands .................................................................................................. 47 3.3.4 Canada ................................................................................................................ 49 3.3.5 Summary discussion ............................................................................................ 51 3.4 Conclusions ............................................................................................................... 54 i 4. Rationalising the policy mess? Ex ante policy assessment and the utilisation of knowledge in the policy process ................................................................ 57 Hertin, J., J. Turnpenny, A. Jordan, M. Nilsson, D. Russel and B. Nykvist (2009). Rationalising the policy mess? Ex ante policy assessment and the utilisation of knowledge in the policy process. Environment and Planning / A 41(5): 1185-1200. .................................................................. 57 4.1 Introduction ................................................................................................................ 57 4.2 The use of assessment knowledge in practice ........................................................... 63 4.2.1 How is the role of assessment conceptualised? ................................................... 63 4.2.2 To what extent does policy level assessment follow formal rules and guidelines? ................................................................................................................... 64 4.2.3 Which function(s) does ex ante assessment fulfill in practice? ............................. 66 4.2.4 What factors determine the function of assessment practice?.............................. 69 4.3 Conclusions ............................................................................................................... 72 5. The production and use of knowledge in Regulatory Impact Assessment: An empirical analysis ........................................................................................................ 77 Hertin, J., K. Jacob, U. Pesch and C. Pacchi (2009). The production and use of knowledge in Regulatory Impact Assessment: An empirical analysis. Forest Policy and Economics 11(5-6): 413-421. ................................................................................................................................................ 77 5.1 Introduction ................................................................................................................ 77 5.2 Conceptualisations of the role of knowledge in policy-making .................................... 78 5.3 The conceptualisation of RIA in policy documents ...................................................... 82 5.3.1 The stated objectives of RIA ................................................................................ 82 5.3.2 The RIA process .................................................................................................. 83 5.3.3 Timing and audience ........................................................................................... 84 5.3.4 Involvement of political institutions ....................................................................... 85 5.3.5 Involvement of external stakeholders ................................................................... 85 5.3.6 Role of coordinating units .................................................................................... 86 5.3.7 Interdepartmental cooperation ............................................................................. 87 5.3.8 Role of analytical methodologies ......................................................................... 87 5.3.9 Conclusion: RIA as a neutral, expert-based 'fact-finding' ..................................... 88 5.4 The practice of RIA at the interface between knowledge and politics ......................... 88 5.4.1 The illusion of linearity ........................................................................................
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