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The Oxford Handbook of Governance and Public Management for Social Policy

OXFORD LIBRARY OF I N T E R N AT I O N A L S O C I A L P O L I C Y

Ed itor s-​i n-​C h ief Douglas J. Besharov and Neil Gilbert In collaboration with the International Network for Social Policy Teaching and Research

The Oxford Handbook of Governance and Public Management for Social Policy Edited by Karen J. Baehler

OXFORD LIBRARY OF I N T E R N AT I O N A L S O C I A L P O L I C Y

The Oxford Handbook of Governance and Public Management for Social Policy Edited by

Karen J. Baehler

Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and certain other countries.

Published in the United States of America by Oxford University Press 198 Madison Avenue, New York, NY 10016, United States of America. © Oxford University Press 2023 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, by license, or under terms agreed with the appropriate reproduction rights organization. Inquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above.

You must not circulate this work in any other form and you must impose this same condition on any acquirer.

Library of Congress Control Number: 2022941780 ISBN 978–​0–​19–​091632–​9 DOI: 10.1093/​oxfordhb/​9780190916329.001.0001 Printed by Integrated Books International, United States of America

Senior Editor: Karen J. Baehler American University, USA Senior Advisor: Jeffrey Straussman University at Albany, USA Series Editors: Douglas J. Besharov University of Maryland, USA, and Neil Gilbert University of California Berkeley, USA Co-​Editors: Camila Arza, Centro Interdisciplinario para el Estudio de Políticas Públicas (CIEPP) and National Scientific and Technical Research Council, Argentina Merike Blofield, GIGA Institute for Latin American Studies and University of Hamberg, Germany Jonathan Boston, Victoria University of Wellington, New Zealand Ewan Ferlie, King’s College London, United Kingdom Fernando Filgueira, School of Social Sciences, University of the Republic, Uruguay Andrea Hetling, Rutgers University, USA Yijia Jing, Fudan University, China Rachel Laforest, Queen’s University, Canada T. J. Lah, Yonsei University, Republic of Korea Edoardo Ongaro, Open University, United Kingdom Viviene Taylor, formerly University of Cape Town and National Planning Commission, South Africa

CONTENTS

List of Contributors xiii Introduction 1. Introduction to the Handbook 3 Karen J. Baehler Section I • AFRICA 2. Section Overview: Governance and Management of Social Policy in Africa 23 Viviene Taylor Historical Evolution and Social Trends 3. The Policy Challenges of Africa’s Changing Demography and Social Structures 39 Chance Chagunda 4. Diversity and Transformative Policy within South African Higher Learning Institutions 53 Khosi Kubeka Institutions, Organizations, and Operations 5. Governmental and Non-​Governmental Responses to Vulnerable Children in Mozambique and Guinea-​Bissau 71 Tomoko Shibuya 6. Youth Participation in African Social Policy and Governance 89 Tessa Dooms and Pearl Pillay 7. Administering Social Protection in Post-​Conflict Uganda 102 Julius Okello and Viviene Taylor

Finance 8. Financing and Reframing Universal Social Protection in Africa Brenton Van Vrede

117

Innovation and Evaluation 9. New Approaches to Youth Justice in South Africa 133 Thulane Gxubane 10. Transforming Social Protection in South Africa 148 Viviene Taylor 11. Evaluation Trends and Innovation in Africa 167 Jean D. Triegaardt Section II • ASIA 12. Section Overview: Governance and Management of Social Policy in Asia 183 Yijia Jing and T. J. Lah Historical Evolution and Social Trends 13. Welfare State Administration and the East Asian Welfare Regime 191 Christian Aspalter 14. Aging Asia and Implications for Social Security Programs 207 Joelle H. Fong and Thomas R. Klassen 15. The Developmental State, Export-​Oriented Industrialization, and South Korea’s Social Security System 219 Jae-​jin Yang Institutions, Organizations, and Operations 16. Changing Welfare Mix and Discretion Mix in Social Care Services in South Korea 231 Young Jun Choi and Hye-​jin Choi 17. Corruption and Social Policy 244 Sony Pellissery and Partha Bopaiah Finance 18. Fiscal and Administrative Decentralization and Social Policy in Asia and China 259 Ping Zhang 19. Nonprofit and Government Partnerships in Public Service Delivery in South Korea 278 Hee Soun Jang and Jung Wook Kim

viii

C o n ten ts

Innovation and Evaluation 20. Performance Measurement and Social Policies in China Jie Gao 21. Citizen Participation in China 308 Xiang Gao and Jessica C. Teets

295

Section III • AUSTRALASIA 22. Section Overview: Governance and Management of Social Policy in Australasia and the South Pacific 325 Jonathan Boston Historical Evolution and Social Trends 23. From Social Protection to Social Investment in Australia and New Zealand 337 Michael Mintrom and Jonathan Boston 24. A Comparative History of Social Provision for Indigenous Australians and Māori 351 Catherine Althaus and Sir Kim Workman 25. Past, Current, and Future Social Transformation in Pacific Island Countries 366 Naren Prasad Institutions, Organizations, and Operations 26. Child Support 387 Michael Fletcher and Kay Cook 27. Social Services Fragmentation 401 Elizabeth Eppel and Barbara Allen 28. Co-​production 415 Michael Macaulay Finance 29. Australia’s National Disability Insurance 429 Gemma Carey, Helen Dickinson, Michael Fletcher, and Daniel Reeders 30. Financing and Delivering: New Zealand’s Accident Compensation Scheme 442 Rt. Hon. Sir Geoffrey Palmer KC Innovation and Evaluation 31. Results Targets in New Zealand Amanda Wolf

457

Conte nts

ix

32. Improving Social Outcomes through Behavioral Insights 469 Lee McCauley 33. The Promise and Challenge of Social Innovation and Social Enterprise 483 Barbara Allen, Alex Hannant, Brad Jackson, Lochlan Morrissey, and Anne Tiernan Section IV • CANADA and the UNITED STATES 34. Section Overview: Governance and Management of Social Policy in Canada and the United States 499 Rachel Laforest and Andrea Hetling Historical Evolution and Social Trends 35. Social Policy Administration in the Canadian Federation Peter Graefe 36. Complexity in US Social Welfare Administration 527 Karen J. Baehler and Stephanie Walsh

513

Institutions, Organizations, and Operations 37. Managing Social Welfare Policy 545 Kenneth J. Meier and Austin M. McCrea 38. Canada’s Jagged Record on Social Policy Collaboration between Government and the Voluntary Sector 559 Karine Levasseur 39. Street-​Level Organizational Theory 570 Matthew C. Spitzmueller Finance 40. Contracting for Social Programs 585 Jocelyn M. Johnston and Barbara S. Romzek 41. The Financialization of the Welfare State and Co-​creating Value for Public Services 599 Rachel Laforest Innovation and Evaluation 42. Enabling Social Policy Innovation 615 Stephanie Moulton, Jodi R. Sandfort, and Weston Merrick 43. The Whys and Hows of Impact Measurement Standards 632 Katherine Ruff 44. Front-line Workers and the Creation of Administrative Data 647 Andrea Hetling and Correne Saunders

x

C o n ten ts

Section V • EUROPE 45. Section Overview: Governance and Management of Social Policy in Europe 659 Ewan Ferlie and Edoardo Ongaro Historical Evolution and Social Trends 46. European Welfare States’ Detour(s) to Social Investment 671 Anton Hemerijck and Stefano Ronchi 47. The UK Welfare State Since 1948 686 Martin Powell 48. Russian Governance Reforms in the Social Sphere 699 Alexey G. Barabashev, Ivan Yu. Ivanov, Isak D. Froumin, Andrey V. Klimenko, Maria A. Nagernyak, Lilia N. Ovcharova, and Sergey V. Shishkin Institutions, Organizations, and Operations 49. The Changed Role and Position of Professionals in the Welfare State Across Europe 725 Nicolette van Gestel 50. Toward a Framework for Comparing Accountability Regimes in Healthcare 737 Karsten Vrangbæk and Haldor Byrkjeflot 51. Organizing Healthcare Transparency 753 Charlotta Levay Finance 52. Evolution, Trends, and Prospects of Social Services for Welfare Systems in Europe 771 Elio Borgonovi, Giovanni Fosti, and Elisabetta Notarnicola Innovation and Evaluation 53. Reform Pathways for Integrating Employment Assistance to Marginalized Groups 787 Chris Rønningstad, Tone Alm Andreassen, Eric Breit, and Renate Minas 54. Co-​innovation in Welfare States Across Europe 805 Jacob Torfing Section VI • LATIN AMERICA 55. Section Overview: Governance and Management of Social Policy in Latin America 821 Fernando Filgueira, Camila Arza, and Merike Blofield

Conte nts

xi

Historical Evolution and Social Trends 56. The Slow and Reluctant Development of Social Citizenship in Latin America 835 Fernando Filgueira, Camila Arza, and Merike Blofield 57. Pension Policy and the State 851 Camila Arza Institutions, Organizations, and Operations 58. A Collaborative Approach for Building Comprehensive Social Protection 869 Carla Bronzo, Nuria Cunill-​Grau, and Fabián Repetto 59. Building Capacity to Deliver Education as a Social Right in Brazil 880 Michael Touchton, Brian Wampler, and Natasha Borges Sugiyama 60. Social Policy and State Capacity from a Sub-​National Perspective 895 Sara Niedzwiecki and Jennifer Pribble Finance 61. Taxation and State Capacity 915 James E. Mahon Jr. 62. Healthcare and the Public-​Private Mix in Mexico, Chile, and Peru Zoila Ponce de León Innovation and Evaluation 63. Time-​Use Data, Unpaid Work, and Social Well-​Being 951 Lucía Scuro and Iliana Vaca 64. Standardized Educational Assessments 969 Axel Rivas 65. The Hidden Impact of Conditional Cash Transfer Programs on State Capacity 983 Simone Cecchini

Index 999

xii

C o n ten ts

933

L I S T O F CO N T R I B U TO R S

AFRICA Chance Chagunda

Adjunct Senior Lecturer, Department of Social Development University of Cape Town Cape Town, South Africa (and Malawi) Tessa Dooms

Commissioner National Planning Commission of South Africa Pretoria, South Africa Thulane Gxubane

Associate Professor, Department of Social Development University of Cape Town Cape Town, South Africa Khosi M. Kubeka

Senior Lecturer and Research Coordinator, Department of Social Development University of Cape Town Cape Town, South Africa Julius Okello

PhD graduate University of Cape Town Cape Town, South Africa (and Uganda) Pearl Pillay

Managing Director Youth Lab Johannesburg, South Africa

Tomoko Shibuya

Education and social development expert Maputo, Mozambique Viviene Taylor

Former South African National Planning Commissioner Associate Professor Emeritus and former Head, Department of Social Development University of Cape Town Cape Town, South Africa Jean D. Triegaardt

Visiting Professor, Centre for Social Development in Africa University of Johannesburg Johannesburg, South Africa Brenton Van Vrede

Chief Director, Social Assistance Department of Social Development, National Government of South Africa Pretoria, South Africa (Writing in his personal capacity) ASIA Christian Aspalter

Professor of Social Policy Beijing Normal University-​Hong Kong Baptist University United International College Zhuhai, China

Partha Bopaiah

Research Assistant OsloMet (Oslo Metropolitan University) Oslo, Norway Hye-​jin Choi

Associate Research Fellow Korea Institute for Health and Social Affairs Seoul, South Korea Young Jun Choi

Professor, Department of Public Administration Yonsei University Director, Institute for Welfare State Research Seoul, South Korea Joelle H. Fong

Assistant Professor, Lee Kuan Yew School of Public Policy National University of Singapore Singapore Jie Gao

Assistant Professor, Department of Political Science National University of Singapore Singapore Xiang Gao

Professor, School of Public Affairs Zhejiang University Hangzhou, China Hee Soun Jang

Associate Professor, College of Health and Public Service University of North Texas Denton, Texas, USA Yijia Jing

Professor of Public Management, School of International Relations and Public Affairs Dean of the Institute for Global Public Policy Fudan University Shanghai, China

xiv

L i s t of C on tr ibutor s

Jung Wook Kim

Assistant Professor, Department of Urban Administration University of Seoul Seoul, South Korea Thomas R. Klassen

Professor, School of Public Policy and Administration York University Toronto, Canada T. J. Lah

Professor, Department of Public Administration Yonsei University Seoul, South Korea Sony Pellissery

Professor, Centre for the Study of Social Exclusion and Inclusive Policy National Law School of India University Bangalore, India Jessica C. Teets

Associate Professor of Political Science Middlebury College Middlebury, Vermont, USA Jae-​jin Yang

Professor, Department of Public Administration Yonsei University Seoul, South Korea Ping Zhang

Associate Professor, School of International Relations and Public Affairs Fudan University Shanghai, China AUSTRALASIA Barbara Allen

Senior Lecturer, School of Government Victoria University of Wellington Wellington, New Zealand

Catherine Althaus

Professor and ANZSOG Chair of Public Sector Leadership and Reform University of New South Wales Canberra and Australia and New Zealand School of Government (ANZSOG) Canberra, Australia Jonathan Boston

Emeritus Professor of Public Policy, School of Government Victoria University of Wellington Wellington, New Zealand Gemma Carey

Professor and Academic Director, Centre for Social Impact University of New South Wales Sydney, Australia Kay Cook

Professor and Research Director, School of Arts, Social Sciences and Humanities Swinburne University of Technology Melbourne, Australia Helen Dickinson

Professor of Public Service Research and Director, Public Service Research Group, School of Business University of New South Wales, Canberra Canberra, Australia Elizabeth Eppel

Senior Research Associate, School of Government Victoria University of Wellington Wellington, New Zealand Michael Fletcher

Senior Research Fellow, Institute for Governance and Policy Studies Victoria University of Wellington Wellington, New Zealand

Alex Hannant

Professor of Practice and Co-​Director, The Yunus Centre Griffith University Brisbane, Australia Brad Jackson

Professor of Leadership and Governance and Associate Dean, Strategic Engagement The University of Waikato Hamilton, New Zealand Michael Macaulay

Professor of Public Administration, School of Government Victoria University of Wellington Wellington, New Zealand Lee McCauley

Independent consultant Former Director PricewaterhouseCoopers Wellington, New Zealand Michael Mintrom

Professor of Public Policy Monash University Melbourne, Australia Lochlan Morrissey

Former Research Associate, Policy Innovation Hub Griffith University Brisbane, Australia Rt. Hon. Sir Geoffrey Palmer KC Former Prime Minister of New Zealand Professor and Distinguished Fellow, Faculty of Law Victoria University of Wellington Wellington, New Zealand Naren Prasad

Head of Education and Training, Research Department International Labour Organization Geneva, Switzerland

List of Cont ributors

xv

Daniel Reeders

PhD Researcher, School of Regulation and Global Governance Australian National University Canberra, Australia Anne Tiernan

Adjunct Professor Griffith University Founder and Director, Constellation IA Brisbane, Australia Amanda Wolf

Associate Professor, School of Government Victoria University of Wellington Wellington, New Zealand Sir Kim Workman

Adjunct Research Fellow, Institute of Criminology Victoria University of Wellington Wellington, New Zealand CANADA AND THE USA Karen J. Baehler

Associate Dean of Faculty and Scholar in Residence American University Washington, DC, USA Peter Graefe

Associate Professor of Political Science McMaster University Hamilton, Ontario, Canada Andrea Hetling

Professor, Edward J. Bloustein School of Planning and Public Policy Rutgers University New Brunswick, New Jersey, USA Jocelyn M. Johnston

Professor, School of Public Affairs American University Washington, DC, USA

xvi

L i s t of C on tr ibutor s

Rachel Laforest

Professor, Department of Political Studies Queen’s University Kingston, Ontario, Canada Karine Levasseur

Associate Professor, Department of Political Studies University of Manitoba Winnipeg, Manitoba, Canada Austin M. McCrea

Assistant Professor of Public Administration, Department of Political Science Texas Tech University Lubbock, Texas, USA Kenneth J. Meier

Distinguished Scholar in Residence, School of Public Affairs American University Washington, DC, USA Weston Merrick

Research Manager State of Minnesota St. Paul, Minnesota, USA Stephanie Moulton

Professor and Faculty Director for Research, John Glenn College of Public Affairs The Ohio State University Columbus, Ohio, USA Barbara S. Romzek

Professor, School of Public Affairs American University Washington, DC, USA Katherine Ruff

Associate Professor of Accounting, Sprott School of Business Co-​Director, Carleton Centre for Community Innovation Carleton University Ottawa, Ontario, Canada

Jodi R. Sandfort

Dean and Professor, Evans School of Public Policy and Governance University of Washington Seattle, Washington, USA Correne Saunders

Research Associate Abt Associates Seattle, Washington, USA Matthew C. Spitzmueller

Associate Professor, School of Social Work Syracuse University Syracuse, New York, USA Stephanie Walsh

Doctoral Candidate, Edward J. Bloustein School of Planning and Public Policy Rutgers University New Brunswick, New Jersey, USA EUROPE Tone Alm Andreassen

Professor and Head of Research OsloMet (Oslo Metropolitan University) Oslo, Norway Alexey G. Barabashev

Professor and Head of Chair, School of Politics and Governance HSE University Moscow, Russia Elio Borgonovi

Professor of Economics and Management of Public Administration President, Centre for Research on Health and Social Care Management Bocconi University Milan, Italy

Eric Breit

Research Professor OsloMet (Oslo Metropolitan University) Oslo, Norway Haldor Byrkjeflot

Professor of Sociology University of Oslo Oslo, Norway Ewan Ferlie

Professor of Public Services Management King’s College London London, England, United Kingdom Giovanni Fosti

Associate Professor of Practice in Welfare and Social Innovation Bocconi University Milan, Italy Isak D. Froumin

Distinguished Professor Academic Supervisor, Institute of Education HSE University Moscow, Russia Anton Hemerijck

Professor of Political Science European University Institute Florence, Italy Ivan Yu. Ivanov

Researcher, Institute of Education HSE University Moscow, Russia Andrey V. Klimenko

Professor and Head of Department, School of Politics and Governance Academic Supervisor, Institute for Public Administration and Governance HSE University Moscow, Russia

List of Cont ributors

xvii

Charlotta Levay

Associate Professor of Organizational Studies Lund University Lund, Sweden Associate Professor Norwegian University of Life Sciences Ås, Norway Renate Minas

Associate Professor of Social Work Stockholm University Stockholm, Sweden Maria A. Nagernyak

Deputy Vice Rector and Chief Expert, Institute for Social Policy HSE University Moscow, Russia Elisabetta Notarnicola

Associate Professor of Practice in Government, Health, and Not for Profits Bocconi University Milan, Italy Edoardo Ongaro

Professor of Public Management The Open University Milton Keynes, England, United Kingdom Lilia N. Ovcharova

Vice Rector, Director, and Professor, Institute for Social Policy HSE University Moscow, Russia Martin Powell

Professor of Health and Social Policy University of Birmingham Birmingham, England, United Kingdom Stefano Ronchi

Postdoctoral Fellow University of Milan Milan, Italy

xviii

L i s t of C on tr ibutor s

Chris Rønningstad

Postdoctoral Fellow OsloMet (Oslo Metropolitan University) Oslo, Norway Sergey V. Shishkin

Professor and Head of Chair, School of Politics and Governance Director, Centre for Health Policy HSE University Moscow, Russia Jacob Torfing

Professor of Politics and Institutions Research Director, Roskilde School of Governance Roskilde University Roskilde, Denmark Nicolette van Gestel

Professor of New Modes of Governance in Social Security and Employment Services, TIAS School for Business and Society Tilburg University Tilburg, Netherlands Karsten Vrangbæk

Professor of Political Science and Public Health Director, Center for Health Economics and Policy University of Copenhagen Copenhagen, Denmark LATIN AMERICA Camila Arza

Research Fellow Centro Interdisciplinario para el Estudio de Políticas Públicas and National Scientific and Technical Research Council Buenos Aires, Argentina

Merike Blofield

Director, GIGA Institute for Latin American Studies and Professor, University of Hamburg Hamburg, Germany Carla Bronzo

Professor and Associate Director School of Government Fundação João Pinheiro Belo Horizonte, Minas Gerais, Brazil Simone Cecchini

Director, CELADE Population Division United Nations Economic Commission for Latin America and the Caribbean (ECLAC) Santiago, Chile Nuria Cunill-​Grau

Former Researcher and Professor, Centro de Estudios del Desarrollo Regional y Políticas Públicas (CEDER) Universidad de Los Lagos Osorno, Chile Fernando Filgueira

Professor, School of Social Sciences University of the Republic Montevideo, Uruguay James E. Mahon Jr. Woodrow Wilson Professor of Political Science Williams College Williamstown, Massachusetts, USA Sara Niedzwiecki

Associate Professor of Politics University of California Santa Cruz Santa Cruz, California, USA Zoila Ponce de León

Assistant Professor of Politics Washington and Lee University Lexington, Virginia, USA

Jennifer Pribble

Associate Professor of Political Science and Global Studies University of Richmond Richmond, Virginia, USA Fabián Repetto

Independent Consultant Buenos Aires, Argentina Axel Rivas

Director, School of Education Universidad de San Andrés Buenos Aires, Argentina Lucía Scuro

Social Affairs Officer, Division for Gender Affairs United Nations Economic Commission for Latin America and the Caribbean (ECLAC) Santiago, Chile Natasha Borges Sugiyama

Professor of Political Science University of Wisconsin-Milwaukee Milwaukee, Wisconsin, USA Michael Touchton

Associate Professor of Political Science University of Miami Miami, Florida, USA Iliana Vaca

Statistician, Division for Gender Affairs United Nations Economic Commission for Latin America and the Caribbean (ECLAC) Santiago, Chile Brian Wampler

Professor of Political Science Boise State University Boise, Idaho, USA

List of Cont ributors

xix

Introduction

C H A P T E R

1

Introduction to the Handbook

Karen J. Baehler

Abstract This handbook surveys knowledge from all six of the planet’s continuously inhabited continents to understand how governments and related institutions have attempted to advance human development and improve social outcomes over the past several decades. The current state of knowledge about the social welfare sphere is robust, but explorers of its two conceptual hemispheres—​social policy and social administration—​ have too often missed opportunities to share insights and trace connections across cultural, historical, geographic, and disciplinary boundaries. Each of the 64 chapters commissioned for the handbook seeks to rectify such omissions by applying an administrative lens to an issue of social policy. Authors were carefully chosen by editors based in Africa, Asia, Australasia, Canada and the United States, Europe, and Latin America to capture key developments and challenges in their region’s social welfare spheres during the decades spanning the turn of the millennium. The result is an engaging description of the international state of knowledge at the intersection of social policy and public administration on the eve of the COVID-​19 global pandemic. Adaptations forced by the pandemic and related crises may create momentum for social welfare system change, and even transformation, in some parts of the world. Future researchers will describe and measure such changes relative to benchmarks set in the pre-​pandemic period, including the rich variety of practices, paradigms, and insights collected in The Oxford Handbook of Governance and Management for Social Policy.

Key Words: public administration, public management, social administration, social policy, implementation, governance, global

As the third decade of the 21st century opened, every part of the social welfare sector on every continent of the globe was scrambling to respond to COVID-​19 and its social and economic effects. From public health and healthcare to education, child care, elder care, housing, income support, employment support, superannuation, and social services, public officials rushed to adapt to rapidly changing client needs and service delivery constraints.

No one can predict in advance how new ways of working induced by the pandemic will evolve and who will be harmed or helped most by their ripple effects. What we do know is that societies rarely if ever replace whole systems all at once, especially in times of crisis.

In the mid-​20th century, for example, Britain, France, and Switzerland made sweeping changes to their healthcare systems, but not by design: in those cases and many others, the new health systems emerged from the accumulation of adaptations to earlier arrangements, some in response to World War II, which people then chose to formalize and name (Gawande 2009). In this way, a series of grafts on an old set of institutions, such as those prompted by the COVID-​19 pandemic, may eventually add up to what we call a new system, but with roots in the same soil (i.e., structures, norms, and ways of thinking) that gave rise to the original seedlings.

Switching metaphors, political scientists call this phenomenon“path dependence,” a concept akin to stickiness in Economics and a source of frustration for those who seek comprehensive reform of public institutions (Mahoney and Schensul 2009). The reality of path dependence means current and future social welfare arrangements cannot be understood without learning how policies, programs, and organizations have evolved over time. Exploring the roots of institutional continuity and the drivers of social-​welfare-​ sector change during past periods of flux can yield clues about the factors most likely to shape future adaptations and their impacts. Equally important, looking beyond one’s own context for stories of continuity and change in other times and places expands our ability to imagine and prepare for a wider range of possible future scenarios.

As it happens, the timing of this handbook’s publication makes it an important source of benchmarks for examining pandemic-​and post-​pandemic-​era changes at the intersection of social policy and public administration. The 64 chapters collected here provide a rich description of the international state of knowledge about social welfare systems on the eve of COVID-​19’s arrival in Africa, Asia, Australasia, Canada/​United States, Europe, and Latin America. Chapter authors were carefully chosen by editors based in each geographic region to share expert insights about the region’s social welfare developments and challenges during the decades spanning the turn of the millennium. Each chapter applies a regionally relevant administrative lens to a selected social policy issue of notable importance to the region in recent decades. Many chapters also place their subjects in a larger cultural and historical context.

The result is a diverse and engaging collection of insights about pre-​COVID-​19 social welfare systems around the world and an authoritative reference point for subsequent comparative research. Future handbooks will survey the pandemic and post-​pandemic social-​sector landscape to describe how things have changed, but compared to what? This handbook provides the answer: future changes will be defined in comparison to what we knew about governance and public management for social policy on the eve of the Global Pandemic.

For guides to the handbook’s individual chapters, readers are encouraged to consult each section’s overview written by its regionally based editor(s) (Chapters 2, 12, 22, 34, 45, and 55). This introductory chapter sets out the whole handbook’s conceptual framework and its themes of goal pluralism, policy and institutional diversity, and local

4

K a r en J. Baeh ler

initiative. The chapters that follow document a rich variety of governance and public management conceptions and practices within and across the world’s heterogeneous regions.

The sum of that variety constitutes not only the benchmark against which future changes will be understood but also the stock of human, cultural, community, and organizational resources from which future advances will be built.

Scope Societies establish institutions. Institutions pursue objectives through policies.

Policies change institutions and sometimes generate new ones, which in turn produce more policies, which shape society. Social change induces institutional change, and round it goes.

Though simple to state, the complexity of this cycle poses enormous challenges to those who want to understand and explain the relationships between social policies and the ministries, departments, agencies, tribal governments, party organizations, nonprofit organizations, state-​owned enterprises, public-​private partnerships, local clubs, kinship structures, joined-​up networks, etc. that create and recreate them. In pursuit of insights into this complexity, the Oxford Handbook of Governance and Management for Social Policy examines macro, meso, and micro dimensions of public administration as they bear on social policy (Roberts 2020). Three words in the title signal the book’s encompassing approach.

Governance Governance refers broadly to how power and authority are organized within a sphere of human activity. Understanding governance for social policy requires a macro lens because of the complexity caused by multiple interacting forces. Even in what appear to be the simplest social welfare systems, collective responses to social needs employ a complex and constantly shifting array of official and unofficial institutions that may include multiple levels of government, the commercial sector, and civil society in all its many modes.

The study of governance seeks to explain why specific configurations of institutions exist in specific contexts at specific points in time and how those configurations influence not only the delivery of social benefits and services, but also the formulation and adoption of the policies in the first place and their evolution over time. Governance arrangements reflect larger historical, cultural, psychological, political, and economic drivers of institutional change and continuity, as do the policies they shape. Chapters in this book map the many influences at play with help from theoretical frameworks and empirical findings found in public administration, public policy, political science, political economy, policy history, social policy, social development, social history, sociology, budgeting and finance, and other related fields and sub-​fields.

Introduct ion to the Handbook

5

Public Management Management for social policy refers to how officials within relevant government and private-​and civil-​sector organizations acquire and use resources to generate activities, outputs, and outcomes aimed at improving human well-​being (Baehler and Klerman 2017). Much public management research seeks to model individual and organizational behaviors within or among programs or agencies as functions of selected internal and external forces, some of which are easier to observe and measure than others. Many public management researchers also seek to describe and explain the impact of organizational behaviors and management activities on program outcomes. Research on organizational networks, joined-​up government, partnerships of multiple types (public-​public, public-​ private, public-​nonprofit, etc.), and related phenomena capture inter-​institutional complexity. The public management literature is vast and robust. Bright lines between public management and governance scholarship are difficult to draw, but helpful in ensuring all three levels of analysis—​macro, meso, and micro—​are pursued.

Social Policy For purposes of this handbook, social policy encompasses the various expansions of the field described by Daniel Béland (2019), including fiscal policy perspectives, development issues of special relevance to the Global South, and “social protection by other means” (Castles 1989). The latter category refers to provision of direct and indirect social support via mechanisms not ordinarily associated with the welfare state, a phenomenon observed in virtually every country around the world but often perceived as more central in developing regions (Seelkopf and Stark 2019).

Social policy by other means takes a wide variety of forms at different times and in different locations. These include, among many others, “company welfare benefits” and relative wage equality supplied by the corporate sector in Japan (Peng 2000, 94); provision of housing and other welfare benefits via the socialist “work unit” or danwei in China (Liu and Chai 2013, p. 197); labor market regulation, trade protection, and immigration controls in postwar New Zealand and Australia (Castles 1989); UK-​based proposals to shift public funding from healthcare to social determinants of health to improve health outcomes more effectively and efficiently (Wolff 2020); tax breaks for private spending, including employer-​sponsored health coverage, on a massive scale in the United States (Mandel 2011); trade-​union-​administered unemployment insurance in Nordic countries, known as the Ghent system (Lind 2007); consumer and producer subsidies in developing and middle-​income countries such as Egypt and Jordan (Seelkopf and Starke 2019); agricultural subsidies and access to squatter housing in Turkey (Dorlach 2019); nudges and choice architecture as embraced in many countries (Thaler and Sunstein 2021); and a diverse array of traditional sharing systems tied to kinship and community relationships in many parts of the world, including remittances.

6

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While some of the items in the above list are becoming more scarce over time, others are growing in popularity. Overall reliance on the “other” category shows no signs of diminishing. Adding social policy by other means to more familiar welfare-​state programs generates a huge menu of tools governments can use to supply (or encourage other institutions to supply) social protection goods. New approaches and rediscovery of older approaches will continue to expand the list over time.

From Social Programs to Social Transformation How, then, can governments decide which of the many new and existing approaches to embrace? Program evaluation research has illuminated the relative effectiveness of some specific, defined programs for which big data can be harnessed (Rathinem et al. 2021); randomized control trials (RCTs) can be run (Menzies Munthe-​Kaas et al. 2018); or, perhaps ideally, mixed methods research findings are available (Bannerjee and Dufflo 2011). Leaders of the “what works?” movement are to be commended for embracing open access distribution of research results and for making summaries of their results available in nontechnical, plain-​language reports (campbellcollaboration.org). Pursuit of rigorous evidence about what works in education, healthcare, housing, income supplementation, early childhood supports, development initiatives, etc. promises to improve efficiency and effectiveness of social welfare spending. When governments or donor organizations are choosing between two or three well-​tested interventions and applying a social-​investment framework to program choices, such information can help improve the quality of decision-​making.

But it is important to recognize limitations to the evidence-​based, social-​investment-​ oriented approach to social protection. These include a set of Western-​oriented assumptions about the programmatic nature of welfare states plus an inherent incrementalism that tends to arise because you cannot change too many different things all at once in a program structured as a controlled experiment. An additional challenge comes from the difficulty of replicating results in settings with other institutional structures, cultures, and norms: measures of the generalizability, or external validity, of program evaluation results are often fuzzier than measures of internal validity.

Beyond these familiar concerns, some alternative social-​policy paradigms leapfrog the micro/​meso level of programs altogether, and in so doing make different informational demands. For example, when national governments or regional groups of governments seek to pursue a transformative approach to advancing human well-​being, they need insights into complex processes of community development and renewal in light of macro factors such as the legacy effects of colonialism and postcolonialism (in many countries), geopolitical trends, and ongoing pressures of economic globalization (Taylor 2015).

Comprehensive, rights-​based approaches to achieving universal social protection likewise require insights on a different scale from program-​by-​program approaches (Cecchini et al. 2015). Such insights include knowledge about longer-​term forces of institutional

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evolution and how existing pathways can be redirected toward more beneficial, people-​ centered trajectories of development. RCTs and big-​data studies may help inform the macro picture but cannot supply most of what is needed.

Despite significant differences in strategic scale, the social transformation (Taylor 2002) and social investment (Hemerijck 2018) paradigms may overlap where specific ultimate goals are concerned, such as reducing poverty and inequality. Focusing on these shared ends can help scholars and practitioners move away from narrow definitions of social policy that include only the cash, in-​kind, and social-​insurance-​type interventions or “investments” associated with the welfare state. Viewed from the perspective of ultimate outcomes rather than programmatically, social policy could include even micro practices, such as the administrative burdens imposed by front-​line agencies on clients (Heinrich 2018; Herd and Moynihan 2018), many of which function as “sludge,” or harmful nudges (Thaler 2018). An outcomes-​based approach also encompasses macroeconomic and macro-​social strategies that contribute to the “key objectives we typically associate with traditional social programs” (Béland 2019, 308).

Social Policy for What?

The outcome-​based definition of social policy invites a renewed discussion of goals: What are the “key objectives we typically associate with traditional social programs” (Béland 2019, 308)? While that single question ultimately motivates and unites all 64 of the essays collected in this handbook, each chapter author probably would give it a slightly different answer.

Nobel Laureate Amartya Sen (2009, 253) captured both the multiplicity and universality of social policy objectives in his concept of human capabilities, which refers to “a person’s actual ability to do the different things that she values doing.” Capabilities are not themselves achievements, but rather sets of possible, attainable achievements. Put simply, they are the feasible activities and states of existence lying within an individual’s grasp.

Sen (1999) calls them beings and doings, always plural. As such, they represent one’s substantive freedom to achieve the kind of life, in all its many dimensions, one has chosen to value. Such freedom depends heavily, but not entirely, on factors that public policy can facilitate or frustrate, including construction of social infrastructure; access to resources, information, and opportunities; and protection from violence and injustice.

Capabilities are sometimes categorized into different groups, starting with basic capabilities, which include, for example, the freedom to be safely housed and well-​nourished with access to clean air and water, the freedom to marry or not marry, and others. Once these vital foundations are secured, other capabilities, and the types of resources and enabling conditions they require, tend to vary from place to place and time to time depending on social conventions. A capability such as freedom to access the internet arguably has evolved from supplemental status to basic-​necessity status in just a few decades (Conceição 2019; United Nations 2021). By contrast, the social necessity of owning a

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linen shirt in eighteenth-​century England, made famous by Adam Smith in Book V of The Wealth of Nations, has gone the way of all fashion trends.

Each basic capability has an essential quality about it that precludes trade-​offs and substitutions between them. While supplemental or enhanced capabilities may substitute for each other at times, all capabilities share the defining quality of irreducibility: they cannot be reduced or converted into any single, uniform measure such as dollars, utility, or happiness. Correspondingly, policy choices that aim to support human capabilities cannot be assessed via cost-​benefit analysis, which requires translation of all values into monetary units. Instead, multi-​criteria methods must be applied, with implications for how government ministries and departments organize their analytical and advisory functions. It should be noted that plural capabilities can be aggregated into various index measures, such as the Multidimensional Poverty Index (Alkire et al. 2020), after each is measured separately in its own natural units. Such aggregate measures provide valuable tools for wide-​angle analysis of well-​being without losing sight of the index’s component parts as separate and distinct centers of value.

Although some theorists of the social investment paradigm have linked it normatively to Sen’s capability approach, the point deserves closer scrutiny. The idea of investment typically signals an instrumental relationship: we invest in X to get more of Y, which is what we really want. Justifying investments in human capabilities based on their potential to increase economic productivity and growth may be smart politically, but it diverges from a core insight of the capability approach: that the economy exists to help people achieve the many things they value in their lives, and not the other way around. For Sen, capabilities are what humans everywhere really want.

Measuring Progress Against Plural Objectives The concept of basic capabilities forms the core of contemporary global approaches to measuring and advancing human development. The international development community began operationalizing the multidimensional capabilities approach on a global scale in the 1990s. In 2000, the approach coalesced around eight Millennium Development Goals (MDGs)1 adopted by the United Nations to overcome basic human deprivations worldwide by 2015. An expanded set of 17 Sustainable Development Goals (SDGs)2 took

The eight MDGs are to eradicate extreme poverty and hunger; achieve universal primary education; promote gender equality and empower women; reduce child mortality; improve maternal health; combat HIV/​AIDS, malaria, and other diseases; ensure environmental sustainability; and develop a global partnership for development.

2 The 17 SDGs are no poverty; zero hunger; good health and well-​being; quality education; gender equality; clean water and sanitation; affordable and clean energy; decent work and economic growth; industry, innovation, and infrastructure; reduced inequality; sustainable cities and communities; responsible consumption and production; climate action; life below water; life on land; peace, justice, and strong institutions; and partnerships for the goals.

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