Typology of Carrots, Sticks, and Sermons: Tracing Its Influence on the Discipline of Public Policy
Article Sidebar
Main Article Content
Abstract
Background: The 1998 book "Carrots, Sticks & Sermons: Policy Instruments and Their Evaluation" introduced a seminal typology categorizing policy tools by their mechanisms of influence. Despite its potential to shape policy theory and practice, its broader disciplinary impact and citation patterns remain underexplored. This article evaluates the book's legacy in public policy literature while testing bibliometric methods, including emerging generative artificial intelligence (GAI) tools for research synthesis.
Purpose: The study aims to (1) assess the influence of the book on the discourse in the public policy literature and (2) explore the utility and limits of AI-driven tools for tracing scholarly impact. It addresses four questions: the book's citation trends, its presence in major disciplinary texts, citation intent, and GAI's ability to reference the work accurately.
Setting: Not applicable.
Intervention: Not applicable.
Research Design: A mixed-methods approach consisted of: (i) quantitative bibliometrics (citation counts, trends, and keyword analysis), (ii) qualitative content analysis by human researchers (major disciplinary handbooks/textbooks and articles), and (iii) generative AI semantic search and analysis.
Data Collection and Analysis: The quantitative analysis covered a corpus of interdisciplinary public policy literature from 1998 to 2024, extracted from citation databases (Scopus, Web of Science, Google Scholar). Qualitative analysis focused on 20 major handbooks and textbooks from public policy discipline (occurrence of references to book and policy instruments typology) and coding of 20 highly cited articles (classification of citation types in terms of intent). Work with GAI focused on semantic search and analysis with various AI platforms.
Findings: The findings underscore the typology's enduring relevance while advocating for methodological rigor in impact assessments and GAI-aided research. The book has achieved "classic" status in public policy, evidenced by 1,369 citations on Google Scholar, 924 citations on Scopus, 627 citations on Web of Science, as well as presence in 16 out of 20 major disciplinary handbooks/textbooks. Its typology is foundational but often superficially referenced; only 7 of 20 top articles applied it directly. GAI tools also referred to the book, although frequently misattributed or diluted the source, highlighting risks in automated literature reviews. The authors propose updating the typology of policy instruments to include behavioral tools (e.g., nudges) and stress the need for human verification of GAI outputs.
Downloads
Article Details
This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.
Copyright and Permissions
Authors retain full copyright for articles published in JMDE. JMDE publishes under a Creative Commons Attribution-NonCommercial 4.0 International License (CC BY - NC 4.0). Users are allowed to copy, distribute, and transmit the work in any medium or format for noncommercial purposes, provided that the original authors and source are credited accurately and appropriately. Only the original authors may distribute the article for commercial or compensatory purposes. To view a copy of this license, visit creativecommons.org
References
Araral, E., Fritzen, S., Howlett, M., Ramesh, M., & Wu, X. (Eds.). (2013). Routledge handbook of public policy. Routledge. https://doi.org/10.4324/9780203097571 DOI: https://doi.org/10.4324/9780203097571
Bemelmans-Videc, M.-L., Rist, R., & Vedung, E. (Eds.). (1998). Carrots, sticks & sermons: Policy instruments and their evaluation. Transaction Publishers.
Birkland, T. A. (2020). An introduction to the policy process. Routledge. https://doi.org/10.4324/9781315292335 DOI: https://doi.org/10.4324/9781315292335
Borrás, S., & Edquist, C. (2013). The choice of innovation policy instruments. Technological Forecasting and Social Change, 80(8), 1513-1522. https://doi.org/10.1016/j.techfore.2013.03.002 DOI: https://doi.org/10.1016/j.techfore.2013.03.002
Cairney, P. (2019). Understanding public policy: Theories and issues (2nd ed.). Macmillan International.
Capano, G., & Howlett, M. (Eds.). (2020). A modern guide to public policy. Edward Elgar. https://doi.org/10.4337/9781789904987 DOI: https://doi.org/10.4337/9781789904987
Capano, G., & Howlett, M. (2020b). The knowns and unknowns of policy instrument analysis: Policy tools and the current research agenda on policy mixes. SAGE Open, 10(1), 215824401990056. https://doi.org/10.1177/2158244019900568 DOI: https://doi.org/10.1177/2158244019900568
Chen, Y., Ramamurthy, K., & Wen, K.-W. (2012). Organizations' information security policy compliance: Stick or carrot approach? Journal of Management Information Systems, 29(3), 157-188. https://doi.org/10.2753/MIS0742-1222290305 DOI: https://doi.org/10.2753/MIS0742-1222290305
Colebatch, H. K., & Hoppe, R. (Eds.). (2018). Handbook on policy, process and governing. Edward Elgar Publishing. https://doi.org/10.4337/9781784714871 DOI: https://doi.org/10.4337/9781784714871
Cubbage, F., Harou, P., & Sills, E. (2007). Policy instruments to enhance multi-functional forest management. Forest Policy and Economics, 9(7), 833-851. https://doi.org/10.1016/j.forpol.2006.03.010 DOI: https://doi.org/10.1016/j.forpol.2006.03.010
Davies, J.-M., & Mazumder, A. (2003). Health and environmental policy issues in Canada: The role of watershed management in sustaining clean drinking water quality at surface sources. Journal of Environmental Management, 68(3), 273-286. https://doi.org/10.1016/S0301-4797(03)00070-7 DOI: https://doi.org/10.1016/S0301-4797(03)00070-7
Dubois, G., Sovacool, B., Aall, C., Nilsson, M., Barbier, C., Herrmann, A., Bruyère, S., Andersson, C., Skold, B., Nadaud, F., Dorner, F., Moberg, K. R., Ceron, J. P., Fischer, H., Amelung, D., Baltruszewicz, M., Fischer, J., Benevise, F., Louis, V. R., & Sauerborn, R. (2019). It starts at home? Climate policies targeting household consumption and behavioral decisions are key to low-carbon futures. Energy Research & Social Science, 52, 144-158. https://doi.org/10.1016/j.erss.2019.02.001 DOI: https://doi.org/10.1016/j.erss.2019.02.001
Dunn, W. N. (2017). Public policy analysis: An integrated approach (6th ed.). Routledge. https://doi.org/10.4324/9781315181226 DOI: https://doi.org/10.4324/9781315181226
Dye, T. R. (2017). Understanding public policy (15th ed.). Pearson.
Ek, K., & Söderholm, P. (2010). The devil is in the details: Household electricity saving behavior and the role of information. Energy Policy, 38(3), 1578-1587. https://doi.org/10.1016/j.enpol.2009.11.041 DOI: https://doi.org/10.1016/j.enpol.2009.11.041
Ellegård, K., & Palm, J. (2011). Visualizing energy consumption activities as a tool for making everyday life more sustainable. Applied Energy, 88(5), 1920-1926. https://doi.org/10.1016/j.apenergy.2010.11.019 DOI: https://doi.org/10.1016/j.apenergy.2010.11.019
Etzioni, A. (1961). A comparative analysis of complex organizations. Free Press.
Farazmand, A. (Ed.). (2023). Global encyclopedia of public administration, public policy, and governance. Springer Nature. https://doi.org/10.1007/978-3-030-66252-3 DOI: https://doi.org/10.1007/978-3-030-66252-3
Fischer, F., Miller, G., & Sidney, M. (Eds.). (2007). Handbook of public policy analysis: Theory, politics and methods. CRC Press. https://doi.org/10.1201/9781420017007 DOI: https://doi.org/10.1201/9781420017007
Gerston, L. (2010). Public policy making: Process and principles (3rd ed.). Routledge.
Givoni, M., Macmillen, J., Banister, D., & Feitelson, E. (2013). From policy measures to policy packages. Transport Reviews, 33(1), 1-20. https://doi.org/10.1080/01441647.2012.744779 DOI: https://doi.org/10.1080/01441647.2012.744779
Glickman, M., & Zhang, Y. (2024). AI and generative AI for research discovery and summarization. Harvard Data Science Review, 6.2(Spring), 1-29. https://doi.org/10.1162/99608f92.7f9220ff DOI: https://doi.org/10.1162/99608f92.7f9220ff
Hezri, A. A., & Dovers, S. R. (2006). Sustainability indicators, policy and governance: Issues for ecological economics. Ecological Economics, 60(1), 86-99. https://doi.org/10.1016/j.ecolecon.2005.11.019 DOI: https://doi.org/10.1016/j.ecolecon.2005.11.019
Hildebrandt, J., Hagemann, N., & Thrän, D. (2017). The contribution of wood-based construction materials for leveraging a low carbon building sector in Europe. Sustainable Cities and Society, 34, 405-418. https://doi.org/10.1016/j.scs.2017.06.013 DOI: https://doi.org/10.1016/j.scs.2017.06.013
Hill, M., & Varone, F. (2021). The public policy process (8th ed.). Routledge. https://doi.org/10.4324/9781003010203 DOI: https://doi.org/10.4324/9781003010203
Hood, C., & Margetts, H. (2007). The tools of government in the digital age. Palgrave Macmillan. https://doi.org/10.1007/978-1-137-06154-6 DOI: https://doi.org/10.1007/978-1-137-06154-6
Howlett, M. (2009). Governance modes, policy regimes and operational plans: A multi-level nested model of policy instrument choice and policy design. Policy Sciences, 42(1), 73-89. https://doi.org/10.1007/s11077-009-9079-1 DOI: https://doi.org/10.1007/s11077-009-9079-1
Howlett, M. (Ed.). (2023). The Routledge handbook of policy tools. Routledge. https://doi.org/10.4324/9781003163954 DOI: https://doi.org/10.4324/9781003163954
Howlett, M., & Mukherjee, I. (Eds.). (2020). Routledge handbook of policy design. Routledge. DOI: https://doi.org/10.4324/9780429286322
https://doi.org/10.4324/9780429286322 DOI: https://doi.org/10.4324/9780429286322
Howlett, M., Ramesh, M., & Perl, A. (2020). Studying public policies: Principles and processes. Oxford University Press.
Huang, R., & Chen, D. (2015). Does environmental information disclosure benefit waste discharge reduction? Evidence from China. Journal of Business Ethics, 129(3), 535-552. https://doi.org/10.1007/s10551-014-2173-0 DOI: https://doi.org/10.1007/s10551-014-2173-0
Jordan, A., Wurzel, R. K. W., & Zito, A. R. (2003). "New" instruments of environmental governance: Patterns and pathways of change. Environmental Politics, 12(1), 1-24. https://doi.org/10.1080/714000665 DOI: https://doi.org/10.1080/714000665
Knill, C., & Tosun, J. (2012). Public policy: A new introduction. Palgrave Macmillan. https://doi.org/10.1007/978-1-137-00800-8 DOI: https://doi.org/10.1007/978-1-137-00800-8_1
Krott, M., Bader, A., Schusser, C., Devkota, R., Maryudi, A., Giessen, L., & Aurenhammer, H. (2014). Actor-centred power: The driving force in decentralised community based forest governance. Forest Policy and Economics, 49, 34-42. https://doi.org/10.1016/j.forpol.2013.04.012 DOI: https://doi.org/10.1016/j.forpol.2013.04.012
Matthews, D. (2021). Drowning in the literature? These smart software tools can help. Search engines that highlight key papers are keeping scientists up to date. Nature, 597(7874), 141-142. https://doi.org/10.1038/d41586-021-02346-4 DOI: https://doi.org/10.1038/d41586-021-02346-4
Moran, M., Rein, M., & Goodin, R. E. (Eds.). (2006). The Oxford handbook of public policy. Oxford University Press.
Morseletto, P. (2020). Targets for a circular economy. Resources, conservation and recycling, 153, 104553. https://doi.org/10.1016/j.resconrec.2019.104553 DOI: https://doi.org/10.1016/j.resconrec.2019.104553
OECD (2024), Fixing frictions: 'sludge audits' around the world: How governments are using behavioural science to reduce psychological burdens in public services (OECD Public Governance Policy Papers, No. 48). OECD. https://doi.org/10.1787/5e9bb35c-en DOI: https://doi.org/10.1787/5e9bb35c-en
Olejniczak, K., Śliwowski, P., & Leeuw, F. (2020). Comparing behavioral assumptions of policy tools: Framework for policy designers. Journal of Comparative Policy Analysis, 22(6), 498-520. https://doi.org/10.1080/13876988.2020.1808465 DOI: https://doi.org/10.1080/13876988.2020.1808465
Peters, B. G. (2021). An advanced introduction to public policy. Edward Elgar.
Peters, B. G., & Fontaine, G. (Eds.). (2022). Research handbook of policy design. Edward Elgar Publishing. https://doi.org/10.4337/9781839106606 DOI: https://doi.org/10.4337/9781839106606
Peters, G., & Pierre, J. (Eds.). (2006). Handbook of public policy. SAGE. https://doi.org/10.4135/9781848608054 DOI: https://doi.org/10.4135/9781848608054
Rodić, L., & Wilson, D. (2017). Resolving governance issues to achieve priority sustainable development goals related to solid waste management in developing dountries. Sustainability, 9(3), 404. https://doi.org/10.3390/su9030404 DOI: https://doi.org/10.3390/su9030404
Runhaar, H., Driessen, P., & Uittenbroek, C. (2014). Towards a systematic framework for the analysis of environmental policy integration. Environmental Policy and Governance, 24(4), 233-246. https://doi.org/10.1002/eet.1647 DOI: https://doi.org/10.1002/eet.1647
Schneider, A., & Ingram, H. (1990). Behavioral assumptions of policy tools. The Journal of Politics, 52(2), 510-529. https://doi.org/10.2307/2131904 DOI: https://doi.org/10.2307/2131904
Semantic Scholar. (2024, 3 June). What is Citation Intent? https://www.semanticscholar.org/faq#citation-intent
Stremersch, S., Camacho, N., Vanneste, S., & Verniers, I. (2015). Unraveling scientific impact: Citation types in marketing journals. International Journal of Research in Marketing, 32(1), 64-77. https://doi.org/10.1016/j.ijresmar.2014.09.004 DOI: https://doi.org/10.1016/j.ijresmar.2014.09.004
Steurer, R. (2010). The role of governments in corporate social responsibility: Characterising public policies on CSR in Europe. Policy Sciences, 43(1), 49-72. https://doi.org/10.1007/s11077-009-9084-4 DOI: https://doi.org/10.1007/s11077-009-9084-4
Thaler, R. H., & Sunstein, C. R. (2021). Nudge: The final edition. Penguin Books.
van Gerven, M., Rothmayr Allison, C., & Schubert, K. (Eds.). (2023). Encyclopedia of public policy. Springer Cham. https://doi.org/10.1007/978-3-030-90434-0 DOI: https://doi.org/10.1007/978-3-030-90434-0
Wallner, J. (2008). Legitimacy and public policy: Seeing beyond effectiveness, efficiency, and performance. Policy Studies Journal, 36(3), 421-443. https://doi.org/10.1111/j.1541-0072.2008.00275.x DOI: https://doi.org/10.1111/j.1541-0072.2008.00275.x