HISTORY,INSTITUTIONS, AND CITIES: A VIEW FROM THE AMERICAS*

ABSTRACT Every nation, formally or informally, defines and establishes the lines of political and fiscal authority among its national, regional, and local governments. Historically, centralized governments tend to restrict the power and autonomy of provincial and local governments. In this paper, we exploit the quasi‐experimental distribution of political institutions in the Americas caused by variation in European colonial experience to examine the impact of institutions on urban and local development, specifically on the degree of urban primacy, the size distribution of cities, the number and density of local government units, and the fragmentation of metropolitan areas. We argue that centralization of political power at the national level, as experienced in many countries in Latin America, contributes to urban primacy and a size distribution of cities favoring large cities. Additionally, even in more politically decentralized countries such as Canada and the U.S., variance in political centralization at the provincial (state) level over local governments led to significant divergences in urban primacy, the distribution of city sizes, as well as the form, number, and density of local governments. While we cannot rule out the importance of other factors, our findings suggest that political centralization affects spatial economic development.     

Voluntary Environmental Programs in the Public Sector: Evaluating an Urban Water Conservation Program in California

Solving conflictual environmental policy problems is increasingly falling under the purview of local governments and public agencies. Nonregulatory approaches, such as the development of voluntary environmental programs (VEPs), could offer a useful policy alternative as they often have greater political traction and flexibility. However, there has been little work examining the use of VEPs in the public sector. This article uses a new dataset from California to examine how political institutions affect decisions by local governments and public agencies to participate in a voluntary urban water conservation program and whether this program has improved the water conservation performance of its members. The results show that special district governments, private utilities, and water suppliers dependent on purchased water are more likely to participate in the program and to join early. However, urban water agencies that have joined the program have not reduced their per capita water use more than those that have not. These results underscore the influence of political institutions in public‐sector decision making and demonstrate that, as in the private sector, commitment to a VEP by local government and public agencies does not guarantee implementation or environmental improvements. While voluntary programs offer political and administrative advantages, in order for VEPs in the public sector to be effective they must be accompanied and supported by credible enforcement mechanisms, performance standards, and rigorous monitoring programs.     

美国县制演化及其对中国县制改革的启示

本文基于文献资料比较系统地考察了美国县制的起源、模式及特征,重点总结了工业社会到来时美国县制发生的危机、原因、对策和结果,论述了美国县制在后工业社会崛起的机理,最后总结了美国县制的演变规律及其对我国县制改革的启示。     

Nontraditional Public Enterprise as Local Economic Development Policy

Recently, many local governments have explored or implemented economic development policies involving “local public enterprise,” i.e., local-level public ownership of economic enterprises and other profitmaking productive assets. This policy activity tends to involve enterprises and productive assets not traditionally owned by the local public sector, such as hotels, retail establishments, manufacturing facilities, and sports teams. This emerging but still experimental policy phenomenon is explored systematically below.     

Experimentalist Governance with Interactive Central–Local Relations: Making New Pension Policies in China

Although regional policy experimentation has become a global trend, the distinct features of experimentalist governance in a given country, such as China, remains to be investigated. This article extends policy process theory by proposing the framework of experimentalist governance with interactive central–local relations or Chinese‐style experimentalist governance, which combines three features. First, policy goals and instruments are formed separately and interactively by the central and local governments. Second, the central government is burdened with its own concerns about policy performance for maintaining authority and legitimacy. Third, the evaluation of policy pilots relies primarily on the responses of local governments. We further conceptualize three new patterns of experimentalist governance in China, namely, “comparative trial,” “selective recognition,” and “adaptive reconciliation,” in addition to “hierarchical experimentation.” These patterns are illustrated with case studies on four pension policies in China, which are for public sector employees, urban employees, rural residents, and migrant workers.     

旅游城市住宅市场负外部性及其矫正策略研究

旅游业与包括住宅产业在内的房地产业之间存在着显著的正外部效应。这使得旅游房地产成为旅游城市发展经济的一个重要推动力。然而,随着国内旅游房地产开发的热度不断提升,旅游业对旅游城市住宅市场的负外部效应也日益凸显。西方学者的研究表明这些负外部效应主要源自为发展旅游业而实施的较严格的控制性规划以及旅游地产开发带来的第二住宅现象。特别是第二住宅已经成为导致我国部分旅游城市住宅市场失衡的重要诱因。为了保障本地居民的居住需求,促进旅游业与旅游城市经济、社会的和谐和可持续发展,政府应当采取必要的手段矫正旅游房地产开发对本地住宅市场的负外部性。     

TAX COMPETITION IN THE PRESENCE OF INTERJURISDICTIONAL EXTERNALITIES: THE CASE OF CRIME PREVENTION*

ABSTRACT The paper analyzes the effect of fiscal competition when local governments choose the level of public goods that generate spillover effects elsewhere. For instance, law enforcement activities affect both the crime level in the jurisdiction providing the good and in neighboring communities. The model shows that when local governments rely on capital taxation to finance these expenditures the spillover effects may not lead to an inefficient provision of public goods as predicted by the tax competition literature. In the model, capital is costlessly mobile and offenders relocate responding to differential criminal opportunities and differential local law enforcement efforts.     

不同类型产业集群发展中地方政府行为的比较研究

产业集群是当今地方政府发展本地经济的主要政策方向之一。本研究首先从理论上探讨地方政府在经济发展和产业集群中行为动机和特征,其次案例分析内生型的花都区狮岭镇皮革皮具产业集群和外生型的东莞市石龙镇电子信息产业集群发展不同阶段中地方政府的行为方式,然后对比发现两种类型产业集群中的地方政府行为方式与产业集群的形成过程和发展特征相协调,最后总结出不同类型产业集群在不同阶段地方政府行为方式的重点领域,以期为地方政府产业集群政策的制定提供参考。     

政府空间治理与地方产业发展响应——以重庆市电子信息产业为例

政府空间治理对地方发展具有深刻影响。西方学界在解释国家治理时有三个重要学说:非马克思主义理论、马克思主义理论和福柯学说,但并不能完全解释我国的政府治理结构。中国治理结构包含中央政府和地方政府等多个层次,各层次的行为能力和权力空间有所不同。改革开放以来,中央政府允许地方政府通过调节财税杠杆、土地、劳动力等要素进行地方治理模式创新。同时,地方政府积极争取成为由中央政府批准的特殊经济区,对本地制度环境进行改革和创新,以促进地方产业发展。本文以重庆市为例,结合6次深入调研,探讨政府如何通过财税、土地等多项改革,提升空间治理能力,创造差异化治理环境,以带动地方产业发展的积极响应。     

From institutions to events – structural change in Norwegian local cultural policy

In this paper we discuss the ongoing restructuring of local cultural policy in Norway. Since the 1990s, we argue, the local cultural sector has been undergoing a structural change, in the form of a movement from institutions to events. As public resources granted to traditional local cultural institutions such as libraries and culture schools decrease, there is a rise in resources granted to new arenas of local cultural life, such as cultural festivals and culture houses. We explain this shift of balance from institutions to events in local cultural policy with reference to three types of mechanism. First, we point to the ‘flexibilisation’ of the cultural sector, which ensues from its sensitivity to changes in the funding of the local governments. Second, new forms of earmarked state funding schemes pull local resources in the direction of cultural festivals and cultural events. A third mechanism that explains the shift from institutions to events is local policymakers’ adoption of theories of culture as a source of urban and regional regeneration.     

Cultural policy in France’s overseas: permanence of colonial logics and the potential for creole resistance

France's overseas territories have received greater political autonomy these past three decades. In the Arts sector, the centralised government as well as local governments have developed many cultural policies. Yet, a close examination, through postcolonial lenses, reveals that these policies are imbued with a colonial logic and that colonial patterns are being maintained. These policies hide and deny processes of creolisation that represent a potential for resistance and emancipation.     

PUBLIC SECTOR UNIONISM AND TAX BURDENS: ARE THEY RELATED?*

One factor that has affected state and local politics since the 1960's is the growth of public sector unionism. Conventional wisdom assumes that the “fist generation” of public unionism has been a major cause of the fiscal problems faced by many state and local governments in the 1970's. State level cross-sectional analysis (1960–71) questions this widely held assumption with respect to the impact of strike activity and collective bargaining legislation on the tax burden across the states.     

区域旅游发展中政府合作的制度障碍及对策思考

在区域旅游业发展进程中,由于行政区划的刚性约束,地区利益分配矛盾以及现行行政管理体制等制度性因素的制约,导致地方政府之间合作的目标机制、运行机制和制度保障机制的不能适应区域旅游业发展的需要,从而造成了区域政府合作有名无实。基于以上原因,本文从分析行政区划、地方利益竞争及现行管理体制等方面入手,探讨了现阶段地方政府在共同发展区域旅游的合作中所存在的制度障碍,提出在地位平等、互信互利、政府主导和市场合作等原则的基础上,建构制度化的多层次组织机构以制定统一的区域旅游经济发展政策,建立区域旅游利益共享机制,重建地方政府竞争秩序以及完善政府合作原则等对策。     

THE DEBT/TAX CHOICE IN THE FINANCING OF STATE AND LOCAL CAPITAL EXPENDITURES*

ABSTRACT. State and local governments commonly finance investment in public capital by issuing bonds and by using current revenues. This paper presents a model of state and local governments' reliance on borrowing in which the optimal share of debt in the financing of capital investment depends on the relative costs of tax and debt finance. Equations are derived and estimated for spending on public capital and the share of debt in the financing of that spending. The results reveal that the level of private incomes plays an important role in both the capital investment and financial decisions of the jurisdiction. Even after controlling for Sunbelt-Snowbelt differences in incomes, grants, outstanding debt and certain demographic factors, the results indicate that state and local governments located in the Snowbelt rely more heavily on bond issues to finance capital investment. Finally, the estimated invariance of the level of state and local capital investment to the share of debt in the financing of the investment suggests that investment decisions are not greatly affected by factors influencing the willingness to issue bonds.     

China's Infrastructure Investment Boom and Local Debt Crisis

A noted Hong Kong-based economist addresses the emerging financing problems prompted by debt-laden local governments in China in the aftermath of the global financial crisis. More specifically, using the most recent data available, he traces the root of China's local debt overhang to a protracted debt-financed infrastructure investment boom in which several key institutions (the cadre evaluation system, the land management regime, and the banking sector) have created an environment that draws local governments into a land-infrastructure-leverage trap. The author argues that the resulting high levels of debt may ultimately impede the country's efforts to mitigate structural imbalances in its economy. Journal of Economic Literature, Classification Numbers: H600, H700, P200, P300. 3 figures, 9 tables, 121 references.     

扎根理论视角下旅游非正式部门成长路径——以安徽西递古村为例

以安徽西递古村的旅游非正式部门为研究对象,运用扎根理论研究方法,通过聚焦编码、轴心编码、理论编码三步骤,分析案例地旅游非正式部门的成长路径。研究发现:1旅游非正式部门发展在符合生命周期基本理论基础上,具有新特色。随着阶段推进,主导影响因素由单一向多元转变,外部影响因素的作用力愈渐加强。2精英带动在旅游非正式部门发展起步阶段起主导作用并以粗放开发为特色;利益驱动下旅游非正式部门过度扩张使得同质竞争激烈化,经营边际收益减少;家庭结构与社区影响造成经营固化与惯性,社会政策带来经营萎缩,经营者试图通过寻租及名望身份赋加的形式改变困境,增强对经济之外的其他诉求(如名望、人际),促进了旅游非正式部门对自我身份重新审视与再定位。3社区力量在市场饱和后以隐性道德伦理手段维持既有市场结构平衡状态,成为市场竞争调控手段新补充。     

Local territorial attachment in times of jurisdictional consolidation

Many European countries are changing political boundaries at the local government level. Reforms consolidating local jurisdictions have recently been implemented in a number of countries, and more mergers/amalgamations are ongoing. We examine whether citizens' attachment to their local political unit is affected when municipal maps are redrawn. Our study is based on a dataset from Danish local governments with survey data from before and after a major reform of municipal mergers, and the traditional endogeneity problems are thereby circumvented. Drawing on Scannell and Gifford's tripartite model of person, place and process, we find that person characteristics affect local territorial attachment as well as the intersection between places of residence and the processes leading to the new jurisdiction. It is not an increase in the absolute size of the municipality (i.e., place) or the amalgamation as such (i.e., process) that affects the level of attachment, but rather the relative size of the former municipality compared to the new municipality and thereby the specifics of the redrawing of boundaries. When smaller municipalities are amalgamated with larger municipalities, the local territorial attachment decreases among citizens living in the smaller municipalities but not among citizens living in the larger municipalities.     

“借口”:中国城市资本高度集聚的政治经济学分析框架

面对改革开放以来中国快速城市化现象,本文从中国投资拉动的经济增长模式出发,发现中国城市存在着高度积累,特别是行政级别高的城市持续投资增长的现象,在分析投资、投资效率与大型事件关系的基础上,提出了官员晋升竞标赛和财政分权预算约束条件下的制度机会主义行为假设,认为大型事件不过是政府构建的一个有利于在城市体系下,通过打破传统的政府预算约束,实现资本高度集中促进经济持续增长的制度机会主义行为。"借口"模式旨在揭示大型事件现象背后的政治与经济激励,并以2010年广州举办亚运会为例,按政府构建—突破约束—官员晋升的结构,分析了广州市政府构建全社会共识,举办亚运会带来巨额投资促进城市发展实现政治与经济激励的事实,为"借口"模式提供了实证的案例。最后,对"借口"模式的未来趋势进行了探讨。     

The Sydney 2000 Olympics and Urban Entrepreneurialism: Local Variations in Urban Governance

Hallmark events are important redevelopment tools utilised by entrepreneurial governments. The features of these events are analogous to those of entrepreneurial urban governance. This study examined the local impacts of the Sydney 2000 Olympic Games, particularly in relation to its social and political legacies, in three local government areas which hosted Olympic venues. It also investigated the nature of urban governance in Sydney, Australia, as it was manifested in the planning of the Sydney 2000 Olympics. Examples of entrepreneurialism in planning for the Olympics included the centralisation of planning powers, the increasing involvement of the private sector in government activities, and the relaxation of planning processes, resulting in reduced openness, accountability and public participation. Examples of resistance to the anti–democratic tendencies of entrepreneurialism were however evident in some areas, with managerial and democratic concerns remaining important to some local governments. Local community activism was imperative to achieving civic participation and ensuring commitment by local government to these managerial and democratic concerns. Activism also enabled some local communities to secure significant benefits from the Olympic Games.     

Airport Privatization

In today's economic and political climate, there is a growing trend toward less governmental intervention in the economy and more reliance on the private sector for the delivery of a variety of services. Deficit politics, airline deregulation, and the prospect of a windfall of cash has prompted many local units of government that own and operate airports to consider selling or leasing these facilities to private investors. Airport privatization has emerged as a contentious issue, with weighty arguments on both sides of the debate. This article examines these arguments and presents several models of airport privatization. The authors suggest that the most aggressive form of privatization–full divestiture–is unlikely to produce the benefits advertised by its proponents. However, less radical forms of privatization serve as useful models for future airport ownership and operation. The authors conclude that, given the great variation in the types of airports in the United States system, no single model is sufficient.