Table Of Content‘Michael Howlett’s The Policy Design Primer usefully distils over forty
years of research and practice into a single, highly accessible volume.
The bad news is that a surprisingly large amount of public policy fails
to deliver what it promises. But armed with this book, students and
practitioners are more likely to discover what works, when and for
whom – vital pre-requisites for more effective societal problem solving’.
– Professor Andrew Jordan, University of East Anglia, UK
‘How might governments choose the most appropriate tool for a chieving
desired policy goals and objectives? How might they uncover innovative
and durable solutions? Howlett’s The Policy Design Primer: Choosing the
Right Tools for the Job provides, in one place, the critical t heoretical,
conceptual and analytical tools for making informed decisions in a highly
complex and globalized world. The book is must reading for government
and bureaucratic officials seeking to manage complex problems that
often demand, and can benefit from, drawing on procedural tools that
integrate key stakeholders into public management design and practice,
and substantive instruments that can steer policy subsystems t owards
meaningful results. A tour de force in its integration of conceptual
breadth, analytical scope and practical insights’.
– Professor Benjamin Cashore, Yale University, USA
The Policy Design Primer
The Policy Design Primer is a concise and practical introduction to the
principles and elements of policy design in contemporary governance.
Guiding students through the study of the instruments used by gov-
ernments in carrying out their tasks, adapting to, and altering their
environments, this book:
• Examines the range of substantive and procedural policy instru-
ments that together comprise the toolbox from which governments
select specific tools expected to resolve policy problems,
• Considers the principles behind the selection and use of specific
types of instruments in contemporary government,
• Addresses the issues of instrument mixes and their (re)design in a
discussion of the future research agenda of policy design and
• Discusses several current trends in instrument use often linked to
factors such as globalization and the increasingly networked nature
of modern society.
This readily digestible and informative book provides a comprehensive
overview of this essential component of modern governance, featuring
helpful definitions of key concepts and further reading.
This book is essential reading for all students of public policy, admin-
istration and management as well as more broadly for relevant courses
in health, social welfare, environment, development and local gov-
ernment, in addition to those managers and practitioners involved in
Executive Education and policy design work on the ground.
Michael Howlett is Burnaby Mountain Professor and Canada Research
Chair (Tier 1) in the Department of Political Science at Simon Fraser
University, Canada. He specializes in public policy analysis, political
economy and resource and environmental policy.
Routledge Textbooks in Policy Studies
This series provides high-quality textbooks and teaching materials
for upper-level courses on all aspects of public policy as well as policy
analysis, design, practice and evaluation. Each text is authored or edited
by a leading scholar in the field and aims both to survey established
areas and present the latest thinking on emerging topics.
Analyzing Public Policy, 2nd Edition
Peter John
Public Policy and Private Interest
Ideas, Self-Interest and Ethics in Public Policy
J.A. Chandler
The Public Policy Primer, 2nd edition
Managing the Policy Process
Xun Wu, M. Ramesh, Michael Howlett and Scott A. Fritzen
Designing Public Policies, 2nd edition
Principles and Instruments
Michael Howlett
Policy Styles and Policy-Making
Exploring the Linkages
Edited by Michael Howlett and Jale Tosun
The Policy Design Primer
Choosing the Right Tools for the Job
Michael Howlett
The Policy Design Primer
Choosing the Right Tools for the Job
Michael Howlett
First published 2019
by Routledge
2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
and by Routledge
52 Vanderbilt Avenue, New York, NY 10017
Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2019 Michael Howlett
The right of Michael Howlett to be identified as author of this work
has been asserted by him in accordance with sections 77 and 78 of
the Copyright, Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or
reproduced or utilised in any form or by any electronic, mechanical,
or other means, now known or hereafter invented, including
photocopying and recording, or in any information storage or
retrieval system, without permission in writing from the publishers.
Trademark notice: Product or corporate names may be trademarks
or registered trademarks, and are used only for identification and
explanation without intent to infringe.
British Library Cataloguing-in-Publication Data
A catalogue record for this book is available from the British Library
Library of Congress Cataloging-in-Publication Data
Names: Howlett, Michael, 1955– author.
Title: The policy design primer: choosing the right tools for
the job / Michael Howlett.
Description: Abingdon, Oxon; New York, NY: Routledge, 2019. |
Series: Routledge textbooks in policy studies | Includes bibliographical
references and index.
Identifiers: LCCN 2018059423 (print) | LCCN 2019006616 (ebook) |
ISBN 9780429401046 (master ebook) | ISBN 9780429684517 (web pdf) |
ISBN 9780429684500 (ePub) | ISBN 9780429684494 (mobipocket/kindle) |
ISBN 9780367001612 (hbk: alk. paper) | ISBN 9780367001650
(pbk: alk. paper) | ISBN 9780429401046 (ebk)
Subjects: LCSH: Political planning. | Policy sciences.
Classification: LCC JF1525.P6 (ebook) | LCC JF1525.P6 H7 2019 (print) |
DDC 320.6—dc23
LC record available at https://lccn.loc.gov/2018059423
ISBN: 978-0-367-00161-2 (hbk)
ISBN: 978-0-367-00165-0 (pbk)
ISBN: 978-0-429-40104-6 (ebk)
Typeset in Bembo
by codeMantra
Contents
List of figures xi
List of tables xii
Preface xiii
Acknowledgements xiv
Part I
Policy design in the modern state 1
1 Basic concepts and vocabulary 3
The tools orientation towards policy design: authoritative
instrumentalism 3
What is public policy? 4
What is policy design? 6
What is a policy instrument? 7
What is an implementation tool? 8
What isn’t policy design? 11
How do designs change? 12
References 13
2 Systematically studying policy design:
the logic of tool use 15
Knowledge limitations affecting policy design 16
Behavioural considerations 19
Improving policy designs through better linking tools,
mechanisms and targets 24
Conclusion: policy design as instrumental knowledge
mobilization 26
References 28
viii Contents
PART II
Policy tools – the building blocks of policy designs 31
3 Organizational implementation tools 33
Substantive organizational instruments 33
Direct government 34
Line departments 34
Central support agencies 37
Social and health insurance and pension plans 37
Quasi-governmental organizational forms 38
Public enterprises and other corporate forms 38
Organizational hybrids (alternative service delivery) 41
Partnerships, commissioning and contracting out 42
Commissioning 44
Contracting 45
Non-state and society-based tools: co-production
and certification 46
Certification 46
Co-production 47
Procedural organizational instruments 48
Network management tools 49
Staff or central (executive) agencies 49
Tribunals and other quasi-judicial bodies 50
Creating or reorganizing government agencies 50
Establishing analytical units 51
Establishing clientele units 51
Establishing government reviews, ad hoc task forces,
commissions, inquiries and public hearings 52
Legislative and executive oversight agencies 53
Conclusion: organizational tools – the forgotten fundamental
in policy design studies 54
References 56
4 Authoritative implementation tools 61
Substantive authoritative instruments 61
Direct government regulation 62
Laws 62
Direct departmental regulation and Independent
regulatory commissions 64
Indirect government regulation 66
Delegated professional regulation 67
Voluntary or incentive regulation 68
Contents ix
Market creation and maintenance 70
Procedural authoritative instruments 70
Policy network activation and mobilization tools 71
Sectoral advisory councils 72
Public consultation, stakeholder and consensus conferences 73
Conclusion: regulation – a very flexible instrument 75
References 76
5 Financial implementation tools 80
Substantive financial instruments 80
Cash-based financial tools 81
Grants, subsidies and user fees 81
Tax- or royalty-based financial instruments 82
Tax- and royalty-based expenditures 82
Excise taxes 83
Cash or tax-equivalent financial tools 84
Preferential procurement 84
Favourable insurance and loan guarantees 85
Vouchers for public services 86
Sales of state assets at below-market prices 86
Procedural financial instruments 87
Financial policy network creation tools 88
Interest group creation 89
Financial network mobilization tools 90
Interest group alteration/manipulation/co-optation 90
Conclusion: treasure – an effective but depletable resource 92
References 93
6 Information-based implementation tools 97
Substantive informational instruments 98
Information dissemination tools 98
Exhortation and moral suasion 99
Information campaigns 99
Nudges and information-based choice architectures 101
Information and knowledge collection tools 103
Inquiries and commissions 103
Statistical agencies and units 103
Surveys and polling 104
Procedural informational instruments 104
Information release tools 105
Freedom of information and E- or digital government
legislation and other initiatives 105
