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What are the origins of British Modern Social Policy?
Dated from;



The New Poor Law Act of 1834 and




The 1842 Chadwick Report on the Sanitary Condition of the Labouring Population of GreatBritain.




State intervention in education and social security came much later.




(Gough)

Poor

Britain Compared to Prussian state in developing into a welfare state

Introduced compulsory education later.



1883 Bismarck introduced the world’s firsthealth insurance programme, followed by old age pensions in 1889.

1883

What social policies existed in Britain Before WorldWar I?
The introduction of old age pensions, school meals and the first socialinsurance scheme.
When did the term Wohlfahrstaat first appear in the Germany?

The term first appeared in Germany in the late 1920s

Welfare state

When did the termWelfare statefirst appear in Britain?

The term first appeared in Britain in the early 1940s

term in UK

Therborn's definition of a welfare state is...




(1983)

Therborn(1983) defined ‘welfare states’ as those states where more than one half of all governmentexpenditures are devoted to social policy, as opposed to the economy, the military, law andorder, infrastructure and other traditional functions of the state.

Three Rs of social policy

Deacon (2003)

Regulation, rights and redistribution
Three ways of assessing the extent and nature of social policies: 1) Regulation
The major legislations and regulations which modify the behaviour of private actors inorder to achieve publicly-recognised goals, justified by some reference to normativevalues.



The private actors can be individuals in households, firms and collectiveeconomic actors and groups and movements in civil society.





modify

Three ways of assessing the extent and nature of social policies: 2) Rights

The extent to which substantive social and economic rights (as opposed to procedural civil and political rights) are guaranteed by the state to the whole population (but notethis can be qualified by residence, nationality, and citizenship).

guaranteed

Three ways of assessing the extent and nature of social policies: 3) Redistribution

The extent to which the state, through taxation and public expenditure redistributes factoror primary incomes in a progressive direction.

progressive direction

Beveridge's Five Giant's


(e.g. of scope of policy regulation)

Beveridge’s ‘Five Giants’ of;




Want (social protection, moneytransfers),


Disease (health services, both preventive and curative),


Squalor (housing andurban planning),


Ignorance (education), and


Idleness (employment policies).

WDSII

T.H.Marshall(1950)

(citizenship as example of rights)

Marshall identifies differentia specifica of ‘welfare states’ (what sets these states apart from others) as the use of state guaranteed rights to counter the power of money or political connections.



After WW2, full employment was recognised as an equivalent economic right in several countries.

Measuring redistribution

Measures of public spending,and taxation and other forms of revenue, which are easier to measure.



Problem: measuring 'welfare effort' as a share of GDP. Increased unemployment leads to increased benefit spending. Likewise with ageing population.

Welfare share of GDP

Another way of expressing the study of Deacon's three Rs is...

Inputs; legislative inputs, or the expenditure of resources, whether monetary orworkforce (e.g. spending on social protection)




Outputs; the implementation of legislation and the provision of specificservices. (eg coverage rates of social insurance benefits for designated groups)



Outcomes; the final impact on individuals (eg poverty rates) or on societaldistributions (eg level of inequality)

I-O-O

Visualise orthodox national social policy making

EXPLANATIONS OF SOCIAL POLICIES IN THE OECD


1-3 Hill and Easton


4 Gough



1. Societal (socio-ec) conditions i.e. Industrialisation, democratisation, religion, race ethnicity and diversity




2) Collective actors, classes and power resources i.e. Class organisations, religious groups




3). States, constitutions and political systems




4) The 4th ‘I’: Ideas


1a Industrialisation as a dependent variable for welfare states?

(Wilensky)



1950-60s Industrialism thesis, Wilensky




‘economic growth and its demographic and bureaucratic outcomes are the root causes of the general emergence of the welfare state‘

1b Democratisation as a dependent variable for welfare states?

Social policies as a response to the modernisation of society, a concept which embraced changing class structure and new forms of popular and political representation alongside industrialisation (Flora, 1981)



Problem with democratisation thesis

Flora and Alber (1981) in a study of the introduction of social insurance programmes beforeWW1, demonstrated rather that it was absolutist powers such as Bismarck’s Germany, whoinnovated, with parliamentary monarchies lagging behind.



Bismarck sough to appease the masses to maintain control.

Bismarck

1c Religion as a dependent variable when researching welfare states?
Focused on the post-Reformation division between Catholicism and Protestantism in the West.



Calvanist/Protestant work ethic


(Weber)




The Protestant acceptance of secular state power is paralleled at the end of the 19c bythe new Catholic doctrines of ‘social capitalism’ and subsidiarity

The Protestant Ethic and the Spirit of Capitalism (Weber, 1905)
Protestant (particularly Calvinist) ethic influenced large numbers of people to engage in work in the secular world, developing their own enterprises and engaging in trade and the accumulation of wealth for investment.

Catholicism and the welfare state

When measured byproportions of the population baptized into the Catholic church, it provides a powerfulexplanation of several persistent social policy features, such as social transfers (positive) andwomen working (negative) (Castles 1998b)

Subsidiarity
The principle that a central authority should have a subsidiary function, performing only those tasks which cannot be performed at a more local level.

Gov v Local level

Social transfers
The items included are:

(a) social security benefits, reimbursements,


(b) other social security benefits in kind,


(c) social assistance benefits in kind, and


(d) transfers of individual non-market goods or services.

1d Race, ethnicity, diversity as dependent variables when researching welfare states?
Alesina (2001)



Two main arguments are advanced:




that diversity undermines the nationalsolidarity necessary to sustain expensive welfare systems, and;




that racial differences provide aresource that political entrepreneurs can exploit to gain support.




These factors both reflect andfoster divisions leading to privatised or group solutions to mitigating risk, rather than moreredistributive national solutions.

Race, ethnicity, diversity conclusion by Alesina (2001)
These factors both reflect andfoster divisions leading to privatised or group solutions to mitigating risk, rather than moreredistributive national solutions.

Privatisation v redistribution

What were the explanations in the 1970s which moved forward one step from macro societalchanges to prioritise the collective organisation and powers of major social actors, notable socialclasses.
The ‘social democratic model’ (Castles 1978)



aka




The ‘power resources’ or ‘democratic class struggle’ model (Korpi)

Castles and Korpi

2) Who are the 'collective actors, classes and power resources'

2a. Class organisations

2b. Religion, Catholicism and Christian Democracy

2a. Class organisations as a dependent variable in social policy development:




What did the ‘power resources’ or ‘democratic class struggle’ model (Korpi) state?

Once democracy was established, unions rights recognised in law and parties representing working class interests permitted to organise, then a decisive shift in the class balance of power occurred.




Working class organisations and parties had more leverage to counter the previously natural-seeming demands of business and traditional elites.


What was the basis for the new power-resources theories?



Theoretical and empirical critiques of modernisation theses were complemented byempirical findings, notably the exceptional trajectory of the US.

trajectory

How did the distribution of power resources affect the development of SE?

The distribution of power resources between the main social classes of capitalist society determined the extent, range and redistributive effects of economic and social policies.



Thus the manifest differences between the Swedish and American welfare states could be explained.

Sweden v America

What were the differences within the power-resources school?

Different emphases places on different aspects; coalitions vs weak political groups. (Gough)

emphases

What is the conclusion of the power resources thesis when focussed on class?

Politics matter.




It was not so much the development and modernisation of the West thatgenerated welfare states, but the way this was reflected in organisations within civil society, theirrespective powers and their representation in parliaments.

representation

What is a short-coming of the power resources thesis when focussed on class?
The class power resources approach could not explain the early introductionof social policies by non-class-based parties, nor the subsequent emergence of strong welfaresystems in countries with relatively weak unions and social democratic parties, such as theNetherlands (Therborn 1989)
2b. Religion, Catholicism and Christian Democracy as collectives when researching welfare states?



Catholicism

Catholic social thinkingprovided a distinctive anti-socialist and anti-liberal rationale for public social policies. Theprinciple of subsidiarity, that policies be enacted at the lowest effective social level, recognisedthe crucial role of family, community, workplace and church, but also advocated a significantplace for local, regional and national public bodies. (Netherlands)
2b. Religion, Catholicism and Christian Democracy as collectives when researching welfare states?



Christian Democrat

Christian Democrat welfare states in Europe provide verygenerous transfer benefits, especially to male breadwinners, but with a low commitment to fullemployment policies and the provision of social services.

Factors 1 and 2 influenced Esping Andersen's Three Worlds of Welfare Capitalism.




What else did?

1 Societal conditions and 2 Collective actors and power resources




in addition to...




The two poles of liberal and socialdemocratic.

Smith v Fabian

Where did EA's theory of welfare regimes stem from and how was it modified?

The theory of welfare regimes stemmed from thesocial democratic class struggle analysis, but modified this with the recognition of the distinctivecontribution of Christian Democracy and etatist and corporatist traditions in Western Europe.

What did EA think of social expenditure (SE) as a measure of social policy?

It also argued strongly that SE was not an acceptable measure of social policy: ‘it is difficult to image that anyone struggled for spending per se’ (Esping-Andersen 1990

spending

EA's three distinct criteria of welfare capitalism andthree sets of measures to complement it are 1)...

1) The mix of the role of states and markets in theproduction of welfare – to which was added the role of households in Esping-Andersen’s later work (1999)



The ‘welfare mix (Gough)

The welfare mix

EA's three distinct criteria of welfare capitalism and three sets of measures to complement it are 2)...

Decommodification




‘thedegree to which individuals, or families, can uphold a socially acceptable standard of livingindependently of market participation’

What did EA add in 1999 to decommodification as a measure of social policy?

Theparallel concept of de-familialization’; ‘a de-familializing regime is one which seeks to unburden thehousehold and diminish individuals’ welfare dependence on kinship’ (Esping-Andersen 1999)

unburden

EA's three distinct criteria of welfare capitalism and three sets of measures to complement it are 3)...
The effect of the welfare mix and decommodification on the dominant pattern of stratification in a country,measured by the degree of segmentation and inequality in different social security systems. Theseprovide positive feedback, shaping class coalitions which tend to reproduce or intensify the originalinstitutional matrix and welfare outcomes.

segmentation / inequality

EA's three welfare state regimes in advanced capitalist countries are...

the liberal,


conservative-corporatist and


social-democratic.

What is the role of family, market, state in a liberal welfare regime?

Family - Marginal

Market - Central


State - Marginal

Marginal


Central



What is the role of family, market, state in a conservative-corporatist welfare regime?

Family - Central


Market - Marginal


State - Subsidiary

Marginal


Central


Subsidiary

What is the role of family, market, state in a social-democratic welfare regime?

Family - Marginal


Market - Marginal


State - Central

Marginal


Central



Degree of decommodification in a liberal welfare regime?



Give an example.

Minimal




e.g. USA

Degree of decommodification in a conservative-corporatist welfare regime?




Give an example.

High for breadwinner




Females tend to lose out with traditional family rearing duties falling to them




e.g. Germany, Italy

Degree of decommodification in a social democratic welfare regime?




Give an example.

Maximum




e.g. Sweden

3). States, constitutions and political systems
Influenced by 'new Institutionalism' (a theory that focuses on developing a sociological view of institutions — the way they interact and the way they affect society.)



This school of thought places the nature of the state and political institutionscentre-stage in explaining the nature of and variations between national social policies. It thusmoves along to the third box in the diagram above: accepting that socio-economic conditions andthe power resources of actors influence social programmes, they must still be mediated by thedecisive institutions of the state and its policy-making processes.

Thisschool is about ‘bringing the state back in’ (Skocpol)
Two major strands within the assessment of states facilitating or blocking of social policy. 1)
If power isdispersed and there are many veto points, then relatively small well-organised groups can blockthe systemic changes required radically to reform health or social security programmes (Bonoli 2000).



Thus federal systems, or constitutional separation of powers, hinder thedevelopment of welfare states; doubly so if both are present.

Bonoli, federalism

Two major strands within the assessment of states facilitating or blocking of social policy. 2)
Parliamentarysystems of government encourage party discipline and minimise special interest lobbying.



Emphasis on the bureaucratic legacies of past social programmes; the way thatpublic teachers and health workers, for example, or old age pensioners, can mobilise to defendand extend social programmes and benefits (Pierson 2000)

Huber et al (1993) cross-national study tested the effects ofthese state differences on both SE, generosity of benefits, extent of redistribution and othermeasures of social rights. What were the findings?
Constitutional structures played an importantrole in explaining the contrasts between Sweden on the one side and both the US andSwitzerland on the other.



But also;




Ageing populations and high income levels fostered higher SE.




More importantly,social democracy strongly influenced de-commodification and redistribution




ChristianDemocracy fostered high transfer benefits but also high unemployment.

How does Gough characterise the orthodox model of social policy in the West using factors 1-3 and the associated variables?

It is determined by all three factors 1, 2 and 3:autonomous socio-economic and demographic trends, the relative power andorganisational strengths of key collective actors in civil society, and the nature of politicalsystems, notably the degree of centralism versus fragmentation in constitutionalstructures.
How does Gough qualify the orthodox model of social policy in the West?
Thedependent variable problem. These distinguish between;



inputs (notably public spendingand taxation),




policy instruments (the features of health, social security systems,employment policies etc),




policy outputs (decommodification, redistribution etc) and




final outcomes (such as degrees of equality).

What is the 'matching problem' (Stiller and Kersbergen)

Interdependence between independent variables and dependent variables.



Cause andeffect tend to be specified at different levels of analysis.

What are the 3 I's that Gough uses to refer to the orthodox model

The 3 I’s’:Industrialisation, Interests, and Institutions
4) What is the 4th ‘I’

Ideas:




Haas (1992) has identified therole of epistemic communities: ‘a network of professionals with recognised expertise andcompetence and authoritative claims to policy-relevant knowledge within a domain or issuearea’. Economists provided a powerful example of an epistemic community in the modern world.

Hmmm

5). From national to supra-national influences on policy-making.



Give an example of impact of supranational influence on a state

The post-war settlement of the United Nations system and the Bretton Woods institutions.




Theseposed significant constraints on economic and social policy-making, as witnessed in Britain in1977 when the government was ordered by the IMF to cut its deficit and social spending.Neverthless, within this framework the national Keynesian welfare state was assumed to rulewith significant autonomy.




Also SAPs in developing nations.

5a. Has the effect of increasing economic openness on the welfare states of the West has had a negative effect?

Mishra 1999:



Negative: retrenchment of uncompetitive welfare states, a race to the bottom intaxation, regulation, state responsibilities, social rights and redistribution.




Social dumping, social tourism

Mishra, 1999

Or has the effect of increasing economic openness on the welfare states of the West has had a positive effect?
Cameron (1978):



SE is positively correlated withopenness to trade across the OECD, and this link appears to be growing in strength

Cameron (1978)
What was interesting about the study of the impact of economic openness on Westernwelfare states by Scharpf and Scmidt (2000)
Despite an initial viewthat economic globalisation would impose convergent and downward pressures their results didnot support this.



Rather they found that countries reacted differently to common internationalchallenges according to their domestic institutions: countries were moving on differentemployment and welfare system trajectories ‘between which there was no transition path’

Esping-Andersen summarised his later work onwelfare regimes: ‘the inherent logic of our three welfare regimes seems to reproduce itself’(1999) this echoes Scharph et al

Does Pierson (2001) agree or disagree with Scharpf et al's findings?

Pierson and colleagues (2001a) reinforces this finding; heconcludes that external globalisation pressures are far less significant for contemporary welfarestates than the internal pressures of ‘post-industrialism’, including ageing and declining fertility,the switch to service jobs and family instability.

What does Gough say about economic openness in light of the findings?

Evidence supporting the negative impact of economic globalisation on Westernwelfare states is rather thin.




Economic globalisation pressures areusually mediated by domestic and international institutions, interests and ideas.

Contrary to Scharpf, Rodrik, Pierson, what does Deacon say?

He disputes that the weak impacts onpowerful Northern states will be replicated, especially among small weak Southern states

NvS

5b. Goodhart on migration's effect on social policy



Goodhart:



Growing migration intoEurope on recent years and consequent greater cultural diversity threatens European welfarestates. These require high social cohesion and a willingness to contribute to high and progressivetaxes, values which are threatened by multiculturalism, or equal respect for a wide range of peoples, values and ways of life.

Taylor-Gooby on migration's effect on social policy
A regression analysis by Taylor-Gooby (2005) shows that,taking account of the usual factors noted above, diversity does have a negative impact on SE,



Qualified by: much less so when the US is excluded. Moreover, once the influence of left politics istaken into account the influence of diversity falls dramatically. Once again, domestic politicssignificantly mediate global processes, at least in Europe.

regression analysis

5c. Policy learning and transfer



What was the earliest example of policy learning?

Since at least 1907-08 when Lord Beveridge and David Lloyd George visited Germany tostudy the new system of state social insurance, policy learning and policy transfer from abroadhave influenced national policy-making.

Bev n' Lloyd George

What are the results of comparative work on the influence of international organisations on Western nation states.
There is relatively little comparative work on the influence ofinternational organisations on Western nation states.



One exception is a comparison of theinfluence of the OECD and the EU on national employment policies (Noaksson and Jacobsson2003).




There are relatively more on the influence of the EU on member states (see eg Pochet andZeitlin 2005). It would be fair to conclude that such policy learning, influence and transfer isbelieved to be important but that it has so far proved difficult to trace and directly compare.

Are there any?