Policy Diffusion Through Multiple Streams: The (Non‐)Adoption of Energy Conservation Building Code in India

Although the diffusion of policy innovations can promote sustainability, how this process be accelerated remains unclear. I address gap by conceptualizing transfer and using multiple streams framework (MSF) developing hypotheses to connect them. apply theorization explain limited spread energy conservation building code (ECBC) in India combining a trace adoption embedded case Andhra Pradesh with dyadic event history analysis state-level during 2012-18. The data for study are collated from official statistics, elite interviews, news reports, documents, secondary literature. qualitative shows that occurred when external influence prior elsewhere were used entrepreneur exploit window opportunity couple problem, policy, politics state; demonstrates was influenced interaction among structural characteristics streams. conclude implications research on MSF as well relevance findings promoting innovation sustainable transition. 政策扩散文献的发展已与政策变革研究相分离，尽管二者存在紧密联系。通过使用多源流框架（MSF）并就“连接政策转移和政策扩散”提出假设，我对政策转移和扩散进行概念化，以期应对该二分法。通过对安得拉邦嵌入式案例中的政策采纳进行过程追踪，并对2012年至2018年间的邦级政策扩散进行配对事件史分析（dyadic analysis），我应用MSF阐明印度节能建筑规范（ECBC）的有限扩散。本研究所用数据整理自官方统计、精英访谈、新闻报道、政策文件以及二次文献。尽管定性分析显示，当一名政策企业家对外部影响和先前别处的政策采纳加以利用，以期开发机会窗、并将邦内的问题、政策、政治相结合时，安得拉邦便出现了政策转移，但配对分析证明，问题、政策、政治三者的结构特征的交互作用影响了政策扩散。我的结论提出了该研究对政策扩散研究和MSF的意义，以及研究发现对推动政策创新、实现可持续能源转型的重要性。 La literatura sobre difusión de políticas ha evolucionado en silos partir la investigación el cambio políticas, aunque los dos están estrechamente relacionados entre sí. Abordo esta dicotomía conceptualizando transferencia y utilizando marco múltiples corrientes desarrollando hipótesis para conectarlas. Aplico este teórico explicar limitada del código construcción conservación energía al combinar un proceso adopción caso integrado con análisis historia eventos diádicos nivel estatal durante Los datos estudio se recopilan estadísticas oficiales, entrevistas élite, informes noticias, documentos secundaria. Si bien cualitativo muestra que ocurrió cuando emprendedor utilizó influencia externa previa otro lugar explotar una ventana oportunidad problema pareja, política estado, diádico demuestra estuvo influenciada por interacción las características estructurales problema, política. Concluyo implicaciones MSF, así como relevancia hallazgos promover innovación transición energética sostenible. better understanding catalyze help upscale literature has, ironically, shed little light mechanisms (Graham, Shipan, & Volden, 2013). Scholars have suggested issues besetting field include: (i) incoherence between conceptualization operationalization (Maggetti Gilardi, 2016); (ii) lack integration structure agency (Graham et al., 2013; Marsh Sharman, 2009); (iii) predominant focus at stage, hardly any affect agenda dynamics (Gilardi, 2016). However, more fundamental problem is relative neglect change scholarship diffusion, even though two closely related (Karch, 2007). An is, therefore, first step towards systematic path studying when, where, why, likely policymaking, it not. To do so, conceptualize (MSF)— which initially proposed (Kingdon, 1995)—but has subsequently been employed examine implementation (Fowler, 2020; Ridde, 2009; Zahariadis, 2003). Previously, an expected utility model punctuated equilibrium theory integrate conceptually (Boushey, 2012; Braun 2006). In comparison, compelling choice uncover (and interaction) structure, agency, chance and, consequently, also indicate where entrepreneurship might accelerate process. Further, extend application other stages process, including agenda-setting implementation. turn, enriched conceptual latter incorporates interdependence policymaking,1.1. Independence understood differently diffusion. A critical assumption three relatively independent one another. interdependence, here, imply relationship within jurisdiction. On hand, key premise both internal policymaking jurisdiction systematically. case, independence refer jurisdictions not jurisdiction). article, use latter. rarely acknowledged—or correctly operationalized—in based (Brunner, 2008; Cairney, Lovell, conceptualization, qualitatively quantitatively, low India. Building most important regulatory tools enhancing efficiency (Dhaka, Mathur, Garg, Lucon 2014; Yu 2017) thereby, reducing greenhouse gas emissions Rawal, 2019; 2018). (ECBC)—the Indian version code—was adopted union government 2007, compliance voluntary until respective state governments amend adopt code. action level slow; ECBC sustainability. This article structured follows. Section 2, present theoretical develop hypotheses. Subsequently, describe governance (Section 3). 4 presents sources methods study. 5, quantitative analyses. Finally, discuss 6). For study, defined activity systematically conditioned another (Simmons, Dobbin, Garrett, 2006), hierarchically similar or different Shipan Broadly, four “mechanisms” through “sending” (hereafter, sender) “receiving” receiver) identified: learning, socialization, competition, coercion (Dobbin 2007; Graham Maggetti 2016; 2008). learning mechanism, receiver draws lessons if successful sender 2010; Meseguer, 2006; Ting, Carpenter, contrast, socialization said occur socially constructed policy—and its economic political rationality—in (Checkel, 2005; DiMaggio Powell, 1983; Greenhill, 2010). Separately, competition triggered concerned about will own resources, example, changes environmental, investment, tax, trade reform (Basinger Hallerberg, 2004; Elkins, Guzman, Simmons, Simmons Vogel, 1995; 2002). aims impose receiver, conditionalities, incentives, sanctions (Allen, Pettus, Haider-Markel, Karch, Multiple operate simultaneously, only network but sender-receiver dyad. Closely concept knowledge regarding ideas, institutions, policies (Dolowitz Marsh, 2000). While early topic focused government-to-government transfer, subsequent recognized widespread movement around world (Lovell, scholarship, too, several identified ranging “rational” lesson drawing (Rose, 1991) imitation (Radaelli, 2000) 2000), resulting spectrum instrumental, symbolic, non-transfer (Strebel Widmer, 2012). contrast generally analyzing timing pattern matching macro-level, studies examining substance tracing micro-level 1996). Consequently, “the privileges while agency” (Marsh 2009, p. 269). some scholars combination, synthesis, necessary provide “full explanation” phenomenon Paterson, Hoffmann, Betsill, Bernstein, 2014), issue unifying change. Ultimately, “diffusion part larger adoption, albeit very interesting one” 56). expected-utility (Braun 2006) 2012) previously build foundation these emphasize over agency. approach capture contingency provided Cairney (2009) Lovell (2016), who synthesize—albeit partially—the notion transfer. insight further MSF. Adapted garbage organizational (Cohen, March, Olsen, 1972), depicted interplay streams: 1995). stream represents perceptions societal circumstances indicators, “focusing events,” feedback create insufficient condition captures evolution alternatives criteria such financial viability, normative appeal, public acceptability, technical feasibility. Distinct two, reflects factors administrative turnover, party ideologies, interest groups. Kingdon (1995, 122) posited placed windows opportunity, “coupled” entrepreneurs—actors willing “invest their resources – time, energy, reputation, sometimes money hope future return”—to push pet proposal forward. Since then, witnessed significant development applied however, variants emerged. Illustratively, Zahariadis (1992) did demarcate decision-making stage his Herweg, Huß, Zohlnhöfer (2015) differentiated next, Howlett, McConnell, Perl introduced program account additional activities involved beyond agenda-setting. following (1992), three-stream formulation collapse distinction decision making. interdependent setting, due and/or trans-jurisdictional actor each policy-making receiver. First, altered ways. Policy externalities influence, anticipated underlying conditions jurisdiction—for instance, threatening environmental leadership (Walker, 1969; Wiener Koontz, 2010)—as highlighted mechanism Even does alter material conditions, still framing creation new indicators. OECD developed Better Life Index countries measured well-being proposing alternative gross domestic product (GDP; Bache Reardon, directly definition Wüest (2020), found way framed changed practical understood. Moreover, actors play role Davies True (2017) British instrumental international sexual violence conflict frame, Haas showed epistemic communities contributed awareness areas climate (see, also, Mukherjee 2015). Hypothesis 1.If influences definition, ripe coupling. Second, Fundamentally, then circulate globally (Baker Walker, 2019), possibly objective (Steinbacher, shift attention instrument circulation either monitor learn appropriateness success sender, Weyland, 2009). Australia attentive smart metering sought draw elsewhere. So long observable (van der Heiden Strebel, 2012), inform assessment feasibility, acceptability (Burns, Krott, Sayadyan, Giessen, 2017; Jones Newburn, 2005) survival ideas coercion—for 2007)—can viability stream. strength determined receiver—such prevailing mix institutional environment Füglister, Luyet, Howlett Rayner, Obinger, Schmitt, Starke, 2013)—characteristics sender—such reputation (Minkman, van Buuren, Bekkers, 2018)—and similarities, presence common (Nicholson-Crotty Carley, 2016) cooperation (Kammerer Namhata, mediated actors. Knowledge brokers, contribute providing template form kernel (Koski, networking (Jones 2002) “infiltration” (Bennett, 1991), transnational active specification (Ayana, Arts, Wiersum, 2018; den Besten, Behagel, Diprose, Kurniawan, Macdonald, 2019). constituencies—a special type community—have combination building, prototyping, support (Béland, Foli, Ramesh, Woo, Saguin, Saguin Voß Simons, 2014). 2.If successfully, Third, mood dynamics. true tobacco United Kingdom, wherein ban Ireland mobilized against England, anti-tobacco legislation Labor Member Parliament. instrumentally groups advocate preferences. Harrinkari, Katila, Karppinen (2017), coalition Finland forestry regulation legitimize position Finnish forest debate. power distribution reinforcing authority dominant contributing emergence subsystem (Ramcilovic-Suominen, Lovric, Mustalahti, immediate context, strategic calculus policymaking. External salience issue—for suasion 2008)—thereby, creating expectation opening Karch (2012) science States, national debate Stem Cell Research Enhancement Act increased likelihood introduction state-level. information consequences willingness act, although nature contingent existing Gilardi (2010) that, unemployment countries, right-wing emulate viewed electoral success, thus demonstrating higher act horizontal vertical (common ideologically similar) parties (Butler, Dynes, Shor, 2017), (Barrilleaux, Jansa, 2015), coalitions (Meckling, 2011). 3.If raises take increases potential effect Figure 1. As discussed above, sending jurisdiction, say S, (pathway A), B), C) receiving R1 R2. At micro-level, suggests sufficient occur. Whether results upon streams, alignment ability) entrepreneurs transferred original undergo “mutations” “recombinations” they evolve assemblage translation (Gulbrandsen, Sammut, Wettestad, Minkman Stone, Vasseur, 4.In activity, ripe, present, couples leading adoption. patterns emerge across time. It should, no surprise severity (Daley Garand, 2005), availability base 2010), situation (Minkman 2018) elections 1969) associated rate (Mintrom, 1997; Mintrom Vergari, 1998). formulate hypothesis. 5.The extent should least partially why others Energy categorized “concurrent” subject Constitution India: executive legislative making generation inter-state transmission, generation, intra-state distribution. result, states leeway planning, implementation, monitoring evaluation. polycentric system creates opportunities experimentation requires consideration wide socio-economic disparities—which manifest heterogeneities demand supply, environment, context—in upscaling (Chindarkar Goyal, Ministry New Renewable Energy, 2001, enacted reduce intensity economy (Ministry Power, Bureau Efficiency (BEE)—a agency—was set up facilitate measures market transformation self-regulation (Bureau Efficiency, 2019a). BEE fulfills objectives soliciting participation various stakeholders range energy-intensive consumption sectors, residential commercial buildings. implement formulated lies designated agencies coordinate BEE. state-level, received lower priority. recent preparedness country scored than 50 percent nearly half less 30 (AEEE BEE, same code, tool footprint ECBC, specifies design-time requirements envelope; lighting; heating, ventilation, air conditioning; electrical system; water pumping heating Private buildings, required comply status; cannot mandate (Khosla, make mandatory, three-step level. must customize code—in consultation BEE—depending regional context 2019b). (a known “notification”). incorporated into urban authorities state. all begun amendment slow. shown Supplementary Information (SI): Table S1, decade after formulated, 10 territory (out 36) had facilitated, hindered, catalyzed. mixed design test H1-H5 H1-H4 qualitatively. sampled purposively fifth served sender. Thus, enables whether affected Pradesh, occurred. access community—a source tracing—was experts factor selecting Pradesh. high obtained sources. conducted 13 interviews Delhi, Gujarat, 2018 understand inhibit roles These triangulated under Right (RTI) 2005 available publicly, addition, parsed 500 reports Lexis Academic database pertaining ECBC. analysis, technique literature, 2012-18 hypothesis H5. approach, unit state, pair consisting already policy) yet year. differentiate empirics, term emulation—defined “a [jurisdiction] intentionally conform [jurisdiction]” (Boehmke, 1126)—to macro-level analysis. actual emulation difficult observe, per standard practice studies, dependent variable coded 1 thereby implying (Gilardi numerous emulation, included variables review, da