Showing papers in "Governance in 2016"

The Reputational Basis of Public Accountability

Abstract: This article proposes a reputation‐based approach to account for two core puzzles of accountability. The first is the misfit between behavioral predictions of the hegemonic political science framework for talking about accountability, namely, principal–agent, and empirical findings. The second puzzle is the unrivaled popularity of accountability, given evidence that supposedly accountability‐enhancing measures often lead to opposite effects. A “reputation‐informed” theoretical approach to public accountability suggests that accountability is not about reducing informational asymmetries, containing “drift,” or ensuring that agents stay committed to the terms of their mandate. Accountability—in terms of both holding and giving—is about managing and cultivating one's reputation vis‐a‐vis different audiences. It is about being seen as a reputable actor in the eyes of one's audience(s), conveying the impression of competently performing one's (accountability) roles, thereby generating reputational benefits.

How Solutions Chase Problems: Instrument Constituencies in the Policy Process

Abstract: Public policies are composed of complex arrangements of policy goals and policy means matched through some decision-making process. Exactly how this process works and which comes first—problem or solution—is an outstanding research question in the policy sciences. This article argues the emerging concept of an “instrument constituency”—a subsystem component dedicated to the articulation and promotion of particular kinds of solutions regardless of problem context—can help policy scholars answer this critical question and better understand policymaking. At present, however, there is only limited empirical evidence of the existence, accuracy, and relevance of the instrument constituency concept. This article clarifies and refines the concept through cross-sectoral and cross-national case studies, demonstrating its utility in aiding our understanding of policy processes and their dynamics, including the issue of how problems and solutions are proposed and matched in the course of policy adoption.

Is Public Management Neglecting the State

Abstract: Public management is a domain of research that is now roughly three decades old. Researchers in this area have made important advances in understanding about the performance of public organizations. But questions have been raised about the scope and methods of public management research (PMR). Does it neglect important questions about the development of major institutions of the modern state? Has it focused unduly on problems of the advanced democracies? Has it made itself irrelevant to public debates about the role and design of government, and the capacity of public institutions to deal with emerging challenges? This set of eight short essays were prepared for a roundtable held at the research conference of the PMR Association at the University of Aarhus in June 2016. Contributors were asked to consider the question: Is PMR neglecting the state?

Three Decades of Policy Layering and Politically Sustainable Reform in the European Union's Agricultural Policy

Abstract: The study of policy reform has tended to focus on single-stage reforms taking place over a relatively short period. Recent research has drawn attention to gradual policy changes unfolding over extended periods. One strategy of gradual change is layering, in which new policy dimensions are introduced by adding new policy instruments or by redesigning existing ones to address new concerns. The limited research on single-stage policy reforms highlights that these may not endure in the postenactment phase when circumstances change. We argue that gradual policy layering may create sustainability dynamics that can result in lasting reform trajectories. The European Union’s Common Agricultural Policy (CAP) has changed substantially over the last three decades in response to emerging policy concerns by adding new layers. This succession of reforms proved durable and resilient to reversal in the lead-up to the 2013 CAP reform when institutional and political circumstances changed.

The Policy Power of the Westminster Parliament: The “Parliamentary State” and the Empirical Evidence

Abstract: Drawing on several large research projects, and using both quantitative and qualitative evidence, this article assesses the policy influence of the Westminster parliament. Frequently dismissed as powerless in both academic and more popular accounts, we instead show evidence of an institution with significant policy influence, at successive stages of the policy process. Conventional accounts have focused too much on the decision-making stage, to the exclusion of parliament's role at earlier and later policy stages. Critics have also focused disproportionately on visible influence, overlooking behind-the-scenes negotiations and the role of anticipated reactions. Based on analysis of over 6,000 parliamentary votes, 4,000 legislative amendments, 1,000 committee recommendations, and 500 interviews, we conclude that Westminster's influence is both substantial and probably rising.

Polycentric Governance and Irrigation Reform in Kenya

Abstract: In Kenya, as in many developing countries, centralized control over water resources was implemented to improve agricultural productivity. By the 1980s, however, Kenya's postindependence policies of bureaucratic control were in disarray, and conflicts over water use were common. More recently, Kenya has embarked on a series of reforms that create a polycentric approach to water governance, in which decision making about water resources is shared among multiple, overlapping local, regional, and national authorities. Drawing on archival and field research, we examine these reforms in their historic context and argue that whereas centralized control was poorly adapted to the Kenyan context, polycentric governance is better suited to Kenya's variable social and ecological conditions and the available resources of its administrative agencies.

Norm Diffusion and Reputation: The Rise of the Extractive Industries Transparency Initiative

Abstract: Transparency in the extractives sector is widely seen as a key tool for improving accountability and deterring corruption. Yet for those very reasons, it is a puzzle that so many governments in corruption-prone countries have voluntarily signed up to greater scrutiny in this area, by joining the Extractive Industries Transparency Initiative (EITI). We argue that EITI serves as a reputational intermediary, whereby reformers can signal good intentions and international actors can reward achievement. International and domestic actors thus utilize EITI to diffuse the norm of resource transparency and to advance reformist aims in a highly problematic policy area.

The financial crisis and varieties of pension privatization reversals in Eastern Europe

Abstract: Since the global financial crisis, those East European countries that had partly privatized their pension systems in the 1990s or early 2000s increasingly scaled back their mandatory private retirement accounts and restored the role of public provision. What explains this wave of reversals in pension privatization and variation in its outcomes? Proponents of pension privatization had argued that it would boost domestic capital markets and economic growth. By revealing how pension privatization helped increase sovereign debt and how large a part of pension funds' assets was invested in government bonds, the crisis strengthened the position of domestic opponents of mandatory private accounts. But these actors' capacity and determination to reverse pension privatization depended on the level of their country's public debt and on pension funds' portfolio structure. Empirically, the argument is supported with case studies of Hungarian, Polish, and Slovak pension reform.

Who will be the principled Principals? Examining willingness to actively oppose corruption

Abstract: Many anticorruption campaigns aim to encourage citizens to demand better control over corruption. Recent literature suggests that perceived high levels of corruption and government effectiveness in controlling corruption will limit citizens' willingness to actively oppose corruption. Using Transparency International's 2013 Global Corruption Barometer, we test these ideas across a 71-country sample. We find that perceived government effectiveness tends to encourage anticorruption civic action, while perceptions of corruption being widespread tend to have the opposite impact in non-OECD countries. Our analyses also suggest that the interaction between these perceptions is important; we find that, especially among those who perceive that the level of corruption is high, when confidence in the government's efforts grows, so does their willingness fight corruption.

State Capitalism, Chinese‐Style: Strategic Value of Sectors, Sectoral Characteristics, and Globalization

Abstract: Scholarship on the institutional foundations of Chinese-style capitalism emphasizes the impact of liberal reformers and China's participation in international organizations, devolution of economic decision making and local experimentation, and the proliferation of market actors to explain their origins. This article investigates distinct patterns of sectoral variation in market governance in China today, examining the extent and scope in which dominant forms of market coordination and distribution of property rights reflect variation in national goals of economic power, security, and growth; structural sectoral attributes; and the path-dependent effects of institutional arrangements. The reinforcement of state coordination and the dominance of state ownership and shareholding in strategic industries, such as telecommunications, and the relinquishment of state control and the dominance of market stakeholders in nonstrategic sectors, such as textiles, characterize the rise of bifurcated capitalism in the period before and after China's accession to the World Trade Organization.

The Durability of Carbon Cap-and-Trade Policy

Abstract: The surge of American states' adoption of policies to mitigate climate change in the late 1990s and 2000s appeared to constitute a first wave of expanding use of market-based policy tools such as carbon cap-and-trade in the absence of binding federal constraints. Instead, a substantial number of states have rescinded earlier policy commitments, as have Canadian provincial partners, while others have remained engaged or even expanded their policies. This article examines the durability of the three regional cap-and-trade zones that were established with comparable structure and intent but met very different fates. The analysis of these regional entities places particular emphasis on their political resilience across election cycles, their ability to be flexible and adapt administratively through mid-course adjustments, and their capacity to build constituency support through benefit-allocation to offset opposition linked to cost imposition.

Indirect Rule and Varieties of Governance

Abstract: This article reexamines the venerable concept of indirect rule. We argue, drawing on evidence from colonial and postcolonial South Asia, that indirect rule actually represented a diverse set of governance forms that need to be clearly distinguished. Using a new typology of varieties of governance, we show that colonial governments established suzerain, hybrid, and de jure governance, in addition to direct rule across territories, based on the incentives and constraints of the state. The repertoire of governance forms narrowed and changed but did not disappear during decolonization, showing that the postcolonial state had powerful reasons to maintain forms of heterodox governance. Dramatic shifts, alongside enduring continuity, challenge a simple narrative of path dependence and the adherence to tradition, instead showing that governments have made conscious choices about how to govern. We conclude by discussing the implications of these arguments for broader understandings of state power.

Why Quotas Are Needed to Improve Women's Access to Services in Clientelistic Regimes

Abstract: Using data from a survey of 200 Moroccan and Algerian parliamentarians, this article assesses the relationship between parliamentarian gender, quotas, and constituency service provision to females. The findings suggest that while electing women increases service provision to females, quotas are needed to create mandates in clientelistic, patriarchal settings, where serving women is a less effective electoral strategy than serving men. Deputies elected through quotas are more responsive to women than members of either sex elected without quotas. The article extends a theory of homosocial capital to explain gender gaps in parliamentarians' supply of and citizens' demand for services. By demonstrating a novel mandate effect and framing mandates in a positive light, the article extends the literature on gender, representation, and clientelism; urges scholars to examine service representation; and supports quotas to promote women's access to services, political participation, and electability.

The Westminster Model and the ‘Indivisibility of the Political and Administrative Elite’ : A Convenient Myth Whose Time Is Up?

Abstract: This article argues that the principle of indivisibility in the relationship between political and administrative elites acted as a central convention of the Westminster system for much of the twentieth century. It explores how in more recent decades this principle has been challenged by the shift to a principal–agent approach. It considers the extent to which this shift diminishes the traditional Westminster model's understanding of the minister–civil servant relationship as one based on a symbiotic interdependent partnership. In its place has emerged a more universal command and control relationship that is seen as necessary to meet the demands of modern accountability and transparency. Such a change has fundamentally altered a long-established power-bargain between ministers and civil servants and undermined a core tenet of the Westminster model.

Principal–Agent Analysis and Pathological Delegation: The (Almost) Untold Story

Abstract: Principal–agent (PA) has come a long way since it was introduced to the political science sphere. Nowadays, PA has established itself as an institutional midrange theoretical framework that encompasses various methodological as well as theoretical approaches. This article argues, however, that scholars still assume, a priori, that the agent is an opportunistic and disloyal actor. This article seeks to question this theoretical assumption by demonstrating how principals could be as much problematic as their agents, a phenomenon that it terms “pathological delegation.” In so doing, it offers a first analysis of the small strand of the literature that examines problems embedded in the principals' side as well as provides new empirical evidence in the context of the European Neighbourhood Policy. Finally, the article posits that scholars should not treat pathological delegation as an anomaly but rather attempt to integrate, test, and develop new theoretical assumptions on this phenomenon.

The Political Budget Cycle and Subnational Debt Expenditures in Federations: Panel Data Evidence from India

Abstract: What political variables explain variations in subnational fiscal expenditures on interest payments on the debt? The author argues that the political budget cycle and center-right political party ideology—rather than the effective number of parties, alternation of power, ideological proximity between the central government and constituent units, or most forms of political party ideology—can help explain the level of expenditures on interest payment of subnational debt in India. The core empirical finding is that significant increases in expenditures on the debt occur the year in which a state assembly election is held in India.

Reforming the Westminster Model of Agency Governance: Britain and Ireland After the Crisis

Abstract: Conventional understandings of what the Westminster model implies anticipate reliance on a top-down, hierarchical approach to budgetary accountability, reinforced by a post–New Public Management emphasis on recentralizing administrative capacity. This article, based on a comparative analysis of the experiences of Britain and Ireland, argues that the Westminster model of bureaucratic control and oversight itself has been evolving, hastened in large part due to the global financial crisis. Governments have gained stronger controls over the structures and practices of agencies, but agencies are also key players in securing better governance outcomes. The implication is that the crisis has not seen a return to the archetypal command-and-control model, nor a wholly new implementation of negotiated European-type practices, but rather a new accountability balance between elements of the Westminster system itself that have not previously been well understood.

How State Capacity Varies within Frontier States: A Multicountry Subnational Analysis

Abstract: While there is a growing literature on state formation and the rise of state capacity over time, this literature typically deals with differences between countries, neglecting the fact that state formation also occurs differentially within a country over time. This article examines legacies of state formation spatially, by looking at variation within “frontier” states—countries that in recent centuries have extended rule over new territories adjacent to their core regions. Frontier zones are found to have ongoing lower levels of public order and deficient public goods provision. Several theories are examined to explain this discrepancy, including internal resettlement, costs of monitoring and enforcement, and the relationship between settlers and the indigenous population. It is argued that the formation of strong social institutions among settlers leads to resistance to attempts to impose governance over frontier regions, and to “select for” lower fiscal capacity and lower provision of public goods.

Promiscuously Partisan? Public Service Impartiality and Responsiveness in Westminster Systems

Abstract: Public servants in Westminster countries are being drawn into the limelight by demands from their political masters that they publicly defend policies. Critics suggest these conditions undermine the capacity and willingness of senior public servants to manage the enduring Westminster tension between serving elected governments and remaining nonpartisan. Interviews with senior officials from Australia, Canada, and the United Kingdom challenge this pessimistic view, showing that officials consistently stress the importance of not "crossing the line" when dealing with their elected masters. Two exploratory case studies are presented - one of an Australian ministerial department (Treasury) and another of a Canadian quasi-autonomous agency (Statistics Canada) - in which public servants faced pressure to defend controversial government policies. These cases show how contemporary public servants actively interpret, establish, and defend the line between appropriate responsiveness and inappropriate partisanship in Westminster systems.

Is the Westminster System Broken Beyond Repair

Abstract: Is Westminster dying as a useful conceptual encapsulation of a particular system of public administration? Scholarly critiques over the last decade have suggested Westminster civil services are evolving in ways that erode crucial Westminster “traditions.” Core elements including security of tenure, merit-based selection, non-partisanship, anonymity, and ministerial responsibility are all perceived as in decline or under attack. Influential commentators have proposed concepts such as “new political governance,” changing “public sector bargains,” “court government/politics,” and “presidentialization” to document and interpret these allegedly paradigmatic shifts in public administration. This article places these in context by canvasing different accounts of what Westminster is, before assessing the critiques about what it has become. The article argues that Westminster is not broken beyond repair, but rather it has been remolded to suit the needs of contemporary governance.

Making Data Speak: Lessons for Using Numbers for Solving Public Policy Puzzles

Abstract: There is a vast increase in the production of policy analysis in government, but behind the rising volume is a deep paradox: We are generating information faster than we are devising strategies for hearing what it tells us and helping policymakers act on it. There are 10 big issues in using numbers for solving policy problems, and they lead to important lessons: Analysts need to speak in a language that policymakers can understand, capture the inevitable ambiguity of analysis without muddying their message, use analysis to help policymakers discover the opportunities for collaboration across interrelated policies, and speak to the questions that policymakers most want to have answered, instead of the questions they most want to study. These are the keys to defining what an information-age government truly means.

Large‐Scale Social Protest: A Business Risk and a Bureaucratic Opportunity

Abstract: The public versus private nature of organizations influences their goals, processes, and employee values. However, existing studies have not analyzed whether and how the public nature of organizations shapes their responses to concrete social pressures. This article takes a first step toward addressing this gap by comparing the communication strategies of public organizations and businesses in response to large-scale social protests. Specifically, we conceptualize, theorize, and empirically analyze the communication strategies of 100 organizations in response to large-scale social protests that took place in Israel during 2011. We find that in response to these protests, public organizations tended to employ a “positive-visibility” strategy, whereas businesses were inclined to keep a “low public profile.” We associate these different communication strategies with the relatively benign consequences of large-scale social protests for public organizations compared with their high costs for businesses.

Westminster Traditions: Continuity and Change

Abstract: This article analyzes what the Westminster system actually means for civil services in historical context and contemporary practice. It explores the way in which practitioners, both politicians and civil servants, interpreted Westminster's implications and used them as justification, defense, and sometimes camouflage for their administrative choices in a range of jurisdictions. The article then uses the example of senior appointments to show why these nuanced interpretations are significant. Its principal finding is that the continued value of Westminster lies in its ability to provide a framework and discourse without being prescriptive or precise for particular circumstances. It is sufficiently flexible to be able to evolve with the needs of each generation yet continues to frame a sense of identity and purpose in how it is applied in abstract and practice.

Remaking Government in Canada: Dares, Resilience, and Civility in Westminster Systems

Abstract: By 2015 concern had emerged about the trajectory of Canada's Westminster model and the state of democratic governance under successive Harper governments, particularly with respect to transparency and relationships with public servants, which among other things led to the election of the Trudeau government in October 2015. This article compares these developments with the wholesale reform experiences in Australia, New Zealand, and the United Kingdom. We consider not only the evolving bargains between prime ministers and their ministers, political advisors, top officials, and legislatures, but also between party leaders and political parties, and between governments and civil society. Second, we characterize far-reaching reforms as “dares,” intended to change the trajectory of Westminster systems, which carry political risks. Third, we consider the resilience of Westminster systems in the face of significant change and inaction. The Harper reforms were not nearly as dramatic as those of the United Kingdom, New Zealand, and Australia during the late 1980s but did change the bargain with civil society, foundational to Westminster systems. The essential principles of responsible government have stood up well to the test of experience, and will serve as well tomorrow as they have in the past. However, parliamentary government is an inherently evolutionary form of government. Task Force on Public Service Values and Ethics (2000, 17)

Top-Down Self-Organization: State Logics, Substitutional Delegation, and Private Governance in Russia

Abstract: This study investigates the counterintuitive emergence of self-regulation in the Russian construction sector. Despite its proclivity for centralizing political authority, the government acted as the catalyst for the delegation of regulatory powers to private industry groups. The article argues that a factor little considered in extant literature—namely, a weak and corrupt bureaucracy—is key to explaining why the normally control-oriented executive branch began to promote private governance despite industry's preference for continued state regulation. The article's signal contribution is to theoretically explain and empirically demonstrate how a government's prior inability to establish intrastate control over an ineffective and bribable public bureaucracy creates incentives for political authorities to search for alternative means for policy implementation outside of existing state agencies. These findings are important for understanding the impetus and logic behind particular regulatory shifts in countries where the state apparatus is both deficient and corrupt.

“Unredressed” Grievances under RTE: Navigating the State Labyrinth

Abstract: Despite the refrain that India's statutory rights suffer from weak enforcement, little academic attention has been paid toward the role of grievance redress mechanisms that are crucial to rights enforcement. This article undertakes a systematic policy analysis of the grievance redress system under the Right to Education (RTE) Act at the level of both design and performance by illustrating it through the Karnataka example. Our findings show that the redress procedures under RTE in Karnataka are perplexing and poorly designed and have not led to enforcement of the right. With faltering administrative accountability, many complainants find themselves with unresolved grievances leading to unenforced or improperly enforced rights. Significant changes in the law and a substantial redesign of institutions are vital for effectively enforcing the RTE.