Instruments for addressing climate change in the transport sector:
an exploration of policy favouritism
Dominic Stead
Delft
University of
Technology
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
Challenge the future
1
Introduction
• climate change is a relatively new issue for many policy sectors
including transport
• new policy goals and objectives, policy instruments, policy settings,
governance arrangements and even institutions
• different policy levels – from local through to global and all levels in
between
• policy responses to common challenges like climate change might
easily be assumed to result in common approaches
• but policy responses are not always the same
• policy-makers’ decisions not only driven by ‘objective’ technical
assessments
• social, political, economic, and administrative factors
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Introduction
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
3
OECD (2002). Policy instruments for achieving environmentally sustainable
transport. OECD, Paris.
Introduction
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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1.
2.
3.
4.
5.
Policy styles
Analytical framework
Information sources
Analysis
Conclusions
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Policy styles
• ‘different systems of decision-making’ and ‘different
procedures for making societal decisions’
(Richardson et al, 1982)
• high-level government goals and implementation
preferences are not random but tend to cluster into
favoured sets of ideas and instruments
(Freeman, 1985; Howlett, 1991)
• policy officials typically work within a set of pre-established
policy goals and implementation preferences (Howlett, 2009) –
bounded rationality and policy conservatism
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Explanatory theories
• institutional cultures
• legal systems
• welfare state regimes
• administrative traditions
• path dependence
• polity models
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
1.
2.
3.
4.
5.
Policy styles
Analytical framework
Information sources
Analysis
Conclusions
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Jepperson, R.L. (2002). Political modernities: disentangling two underlying
dimensions of institutional differentiation. Sociological Theory 20(1) 61-85.
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
Corporatism
(e.g. routine involvement of unions and
employers in government decisions)
low
regulations
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
financial
instruments
Corporatism
(e.g. routine involvement of unions and
employers in government decisions)
low
education /
awareness
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
voluntary agreements
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Jepperson, R.L. (2002). Political modernities: disentangling two underlying
dimensions of institutional differentiation. Sociological Theory 20(1) 61-85.
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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1.
2.
3.
4.
5.
Policy styles
Analytical framework
Information sources
Analysis
Conclusions
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Quantifying corporatism
o
o
o
o
o
o
o
o
right of association
right of collective bargaining
right to strike
government intervention in
wage bargaining
national minimum wage
routine involvement of unions
and employers in government
decisions
union membership
union coverage of workplaces or
establishments
ICTWSS
Database on Institutional Characteristics of
Trade Unions, Wage Setting, State Intervention
and Social Pacts in 34 countries between
1960 and 2012
Jelle Visser
ICTWSS Database Version 4
April 2013
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Quantifying individualism
Importance of:
o
o
o
o
o
o
o
o
o
o
o
o
being treated equally
having equal opportunities
having clear rules to follow
understanding different people
being humble and modest, not drawing
attention to oneself
making one’s own decisions and being
free
having a good time
helping people and caring for others
strong government to ensure safety
behaving properly
being respected by others
caring for nature and the environment
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Quantifying individualism
Power Distance Index
o expectation that power in
society is unequally distributed
Individualism
o degree to which individuals are
integrated into groups
Uncertainty Avoidance
o society's tolerance for
uncertainty and ambiguity
Masculinity
o distribution of emotional roles
between the genders
Long-Term Orientation
o importance that societies attach
to the future
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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National communications on climate change
1994
1997
2001
2006
2010
2014
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Perceptions and attitudes in Europe
o perceptions of climate change as a
global problem
o perceived seriousness of climate
change
o responsibility for tackling climate
change
o personal action to tackle climate
change
o types of individual action taken
o attitudes to the green economy
o attitudes towards reducing fossil fuel
imports
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Jepperson, R.L. (2002). Political modernities: disentangling two underlying
dimensions of institutional differentiation. Sociological Theory 20(1) 61-85.
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Polity model
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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1.
2.
3.
4.
5.
Policy styles
Analytical framework
Information sources
Analysis
Conclusions
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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European Commission (2014). Special Eurobarometer 409. DirectorateGeneral for Communication, European Commission, Brussels.
Perceptions of seriousness of climate change
Estonia
Denmark
14%
31%
UK
18%
Germany
25%
Greece
15%
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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1. Business
2. National government
3. European Union
1. National government
2. European Union
3. Business
Corporatism
1. Business
2. National government
3. European Union
low
(e.g. routine involvement of unions and
employers in government decisions)
1. National government
2. European Union
3. Individuals
1. National government
2. Business
3. European Union
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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European Commission (2014). Special Eurobarometer 416. DirectorateGeneral for Communication, European Commission, Brussels.
high
Responsibility for tackling climate change, 2014
1. More information
2. Fines for polluters
3. Financial incentives
European Commission (2014). Special Eurobarometer 416. DirectorateGeneral for Communication, European Commission, Brussels.
high
Instruments for tackling environmental problems
1. Financial incentives
2. More information
3. Fines for polluters
Corporatism
1. Fines for polluters
2. Law enforcement
3. Financial incentives
low
(e.g. routine involvement of unions and
employers in government decisions)
1. More information
2. Fines for polluters
3. Financial incentives
1. Fines for polluters
2. More information
3. Stricter legislation
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
 vehicle tax based on
emissions
 higher fuel taxes
 car registration tax
 vehicle tax based on
emissions
Corporatism
 HGV tolls
 CO2-based vehicle tax for
cars
 air traffic tax
low
(e.g. routine involvement of unions and
employers in government decisions)
 parking fee exemption
for electric vehicles
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
 reform of company car
tax based on CO2
emissions
 incentives for purchasing
electric and hybrid cars
 funding support for low
emission buses
 local sustainable travel
fund for local transport
authorities
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Sixth national communications under the United Nations Framework
Convention on Climate Change [http://unfccc.int/national_reports/items/1408.php]
high
Fiscal measures: transport & climate change
 vehicle emission checks
 exhaust emission
certification
 maximum age of buses
and taxis
 urban access restrictions
for polluting vehicles
Sixth national communications under the United Nations Framework
Convention on Climate Change [http://unfccc.int/national_reports/items/1408.php]
high
Regulations: transport & climate change
 enforcement of speed
limits
 development control
(planning)
Corporatism
(e.g. routine involvement of unions and
employers in government decisions)
 quotas on the biofuel
content of fuel
low
 Renewable Transport
Fuel Obligation (RTFO)
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
Sixth national communications under the United Nations Framework
Convention on Climate Change [http://unfccc.int/national_reports/items/1408.php]
Voluntary agreements: transport & climate change
Corporatism
 voluntary agreement on
efficiency of ships
 voluntary agreement on
efficiency of aircraft
(e.g. routine involvement of unions and
employers in government decisions)
low
 carbon reduction
scheme for logistics
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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high
 information campaign on
cars' fuel consumption
 training on energyefficient driving
Corporatism
low
(e.g. routine involvement of unions and
employers in government decisions)
 fuel consumption and
carbon emission
database
 eco-driving courses
 walking, cycling, and
public transport
promotion campaigns
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
36
Sixth national communications under the United Nations Framework
Convention on Climate Change [http://unfccc.int/national_reports/items/1408.php]
Information/education: transport & climate change
High-level
abstraction
Programme-level
operationalisation
On-the-ground
measures
Policy ends
(aims)
Goals
Which general ideas
underlie policy
development?
(e.g. more efficient
urbanization)
Objectives
What does policy
formally aim to
address?
(e.g. urban
compactness)
Settings
What are the
specific ambitions of
policy?
(e.g. % of brownfield
land development)
Policy means
(tools)
Instrument logic
Which general norms
guide policy
implementation?
(e.g. mixed-use and
higher density
development)
Instruments/tools
What specific types
of instruments are
utilized?
(e.g. regulation; fiscal
instrument;
education)
Calibrations
What is the strength/
extent of application
of the instrument?
(e.g. level of taxation;
target group/area)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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Developed from: Howlett, M. (2009). Policy Sciences 42(1) 73-89.
Taxonomy of policy components
Petrol 49-65%
Diesel 44-56%
European Commission (2015). Consumer prices of petroleum products
inclusive of duties and taxes. DG-Energy, European Commission, Brussels.
high
Calibration of fiscal instruments: fuel tax
Petrol 55-72%
Diesel 46-60%
Corporatism
(e.g. routine involvement of unions and
employers in government decisions)
low
Petrol 57-77%
Diesel 48-62%
Petrol 60-74%
Diesel 58-70%
Petrol 49-66%
Diesel 42-49%
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
38
high
€0
Zahedi, S. & Cremades, L. (2012). Vehicle taxes in EU countries. How fair is
their calculation? [http://upcommons.upc.edu/e-prints/bitstream/2117/18150/1/vehicles.pdf].
Calibration of fiscal instruments: circulation tax
€70-1083
Corporatism
(e.g. routine involvement of unions and
employers in government decisions)
low
€18-468
€0-132
€94-578
low
high
Individualism
(e.g. preference for a loosely-knit social framework)
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
39
1.
2.
3.
4.
5.
Policy styles
Analytical framework
Information sources
Analysis
Conclusions
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
40
Conclusions
• common policy challenges ≠ common policy approaches?
• curiosity-driven – developing and testing theory
• application – understanding the applicability and
transferability of policy
• extension possible to more countries + time series
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
41
Thank you for your attention
http://about.me/DominicStead
Dominic Stead International Conference on Climate Change Targets and Urban Transport Policy Malta, April 2015
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