Bottom-Up Identification of Subsystems in Complex Governance Systems

Theories of policymaking often focus on subsystems within a larger, overarching governance system. However, subsystem identification is complicated by the complexity of governance systems, characterized by multiple, interrelated issues, multi-level interactions, and a diverse set of organizations. This study suggests an empirical, bottom-up methodology to identify subsystems. Subsystems are identified based on bundles of similar observed organizational activity. The study further suggests a set of three elementary criteria to classify individual subsystems. In order to prove the value of the methodology, subsystems are identified through cluster analysis, and subsequently classified in a study of Swiss water governance. Results suggest that Swiss water governance can be understood as a network of overlapping subsystems connected by boundary penetrating organizations, with high-conflict and quiet politics subgroups. The study shows that a principled analysis of subsystems as the interconnected, constituent parts of complex governance systems offers insights into important contextual factors shaping outcomes. Such insights are prerequisite knowledge in order to understand and navigate complex systems for researchers and practitioners alike.     

Multiplex Network Analysis for Complex Governance Systems Using Surveys and Online Behavior

Text analysis, web scraping, and other computational techniques enable policy network researchers to efficiently obtain objective measures of network connections. However, the extent to which these observational methods differ from traditional survey instrument‐based measures remains an open question. Focusing on a large regional policy network of 221 organizations, this study compares a measure of collaboration generated via survey instrument to two different measures based upon internet hyperlinks and Twitter interactions between network actors. We address two questions: (1) To what extent do objective network measures based upon observed online interactions and subjective measures based upon self‐reported relationships reveal the same inter‐organizational partnerships and structural network dynamics? and (2) How useful are online network measures for supplementing survey‐based network measures? We find a significant, but substantively small, correlation between survey‐based measures and online interactions. Thus, online network measures may complement survey‐based measures, but likely reflect different aspects of the overall policy network. We conclude by discussing the potential for multiplex measures of policy networks that draw upon multiple measures to more fully understand policy network landscapes. These results bridge and help to contextualize prior work on policy network measures and virtual policy networks within the broader context of complex governance systems.     

The Impact of Forum Interdependence and Network Structure on Actor Performance in Complex Governance Systems

One of the main assumptions of the Ecology of Games Framework (EGF) is that governance processes are heavily affected by the interactions among policy actors that take place in multiple decision‐making forums, which often function interdependently. In this article, we use data collected in the Tampa Bay and California Delta water governance systems to examine how “biophysical interdependence”—the extent to which forums deal with interconnected policy problems—impacts the costs that actors face when they participate in forums, which in turn can affect their performance in them. Furthermore, we examine how the individual information exchange networks that actors have (i.e., their ego‐networks) can mediate the previous relationship. We find that actors with networks that have more closure are better able to mitigate the costs associated with participating in biophysically interdependent forums, thus leading to better in‐forum performance. Our findings shed new light on the relationship between structure and function in complex ecologies of games.     

Participation in Multiple Decision Making Water Governance Forums in Brazil Enhances Actors’ Perceived Level of Influence

The Ecology of Games Framework (EGF) draws attention to the intertwined nature of different forums in a given policy setting and how this affects governance outcomes. In this article, we associate the EGF with the literature on power asymmetries, in order to investigate hypotheses of actors’ perceived level of influence in a forum. Focusing on the Paraíba do Sul river basin committee in Brazil, we specifically explore actors’ participation in multiple forums, time spent participating in the basin committee, and actors’ degree of involvement in the committee as factors that might explain actors’ level of perceived influence in the forum. The findings suggest participation in multiple forums is a key driver of perceived influence and thus highlight a way to challenge traditional power asymmetries. More research, however, is needed to determine to what extent perceived influence is affecting decision‐making processes and governance outcomes in the Paraíba do Sul river basin committee.     

Beyond Subsystems: Policy Regimes and Governance

We suggest attention to policy regimes provides a fruitful means for joining the contributions of scholars who study policy processes with those who are concerned with governance challenges. Our research synthesis underscores the limits of existing theorizing about policy processes for problems that span multiple areas of policy and highlights the prospects for and limitations of governing beyond the boundaries of subsystems. We suggest new avenues for theorizing and research in policy processes based on the concept of a boundary‐spanning policy regime. We develop notions about this type of policy regime within the context of the broader literature about regimes in political science, discuss the forces that shape the strength and durability of such regimes, and provide a variety of examples. This synthesis challenges the focus of policy process scholars on subsystems and broadens the traditional focus on policymaking to consideration of the dynamics of governing.     

Governance,public policy and boundary-making

This symposium draws attention to innovative and emerging research in Australian public policy exploring the interplay of governance, public policy and boundary-making. Conceptually and substantively, boundaries are fundamental to understanding policy outcomes, yet remain overlooked and undertheorised. We aim to contribute to public policy debates, in Australia and beyond, by provoking further reflection on this theme, in particular, the distributive effects of boundaries in policy-making; the blurring of boundaries implicit to governance frameworks; the crossing of boundaries, especially by policy-officials within and between institutions; the construction of boundaries to separate and marginalise; and the existence of temporal–spatial boundaries that demarcate jurisdiction and authority. In short, the study of governance and public policy-making is marked by multiple different types of boundaries but the way in which boundaries get drawn and redrawn is also suffuse with political contestation meaning they raise crucial questions about the exercise of power.     

Network Governance and the 2020 Summit

The idea that governance has replaced government, and that networks have replaced hierarchy as the dominant mode of governance, have become mainstream views in the public policy literature. In this article, we consider a key initiative of the Rudd government in Australia, the 2020 Summit, which, at first sight, seems like an example of network governance in action. Having considered the operation and outcomes of the Summit, however, we argue that it more accurately illustrates how governments, perhaps particularly in Westminster systems, attempt to preserve hierarchy, through a process of metagovernance.     

The Environmental Performance of Participatory and Collaborative Governance: A Framework of Causal Mechanisms

Many have advocated for collaborative governance and the participation of citizens and stakeholders on the basis that it can improve the environmental outcomes of public decision making, as compared to traditional, top‐down decision making. Others, however, point to the potential negative effects of participation and collaboration on environmental outcomes. This article draws on several literatures to identify five clusters of causal mechanisms describing the relationship between participation and environmental outcomes. We distinguish (i) mechanisms that describe how participation impacts on the environmental standard of outputs, from (ii) mechanisms relating to the implementation of outputs. Three mechanism clusters focus on the role of representation of environmental concerns, participants' environmental knowledge, and dialogical interaction in decision making. Two further clusters elaborate on the role of acceptance, conflict resolution, and collaborative networks for the implementation of decisions. In addition to the mechanisms, linking independent with dependent variables, we identify the conditions under which participation may lead to better (or worse) environmental outcomes. This helps to resolve apparent contradictions in the literature. We conclude by outlining avenues for research that builds on this framework for analysis.     

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.     

达赖、班禅关系与新中国治藏方略研究（1949-1959）

1949--1959年,达赖、班禅两大系统的关系是中央政府治理西藏的重要问题之一,相关决策也成为中国共产党和中央人民政府治理西藏总体战略的一个组成部分。本文依据档案文献,论述了这十年间达赖、班禅两大系统关系的演变过程,并探讨中央政府相关的治藏政策。     

Tracing Process to Performance of Collaborative Governance: A Comparative Case Study of Federal Hydropower Licensing

Despite collaborative governance's popularity, whether collaboration improves policy performance remains uncertain. This study assesses the link between collaborative decision making and licensed environmental management protocols in the Federal Energy Regulatory Commission's (FERC's) process for licensing hydropower facilities in the United States. Using results from a previous study of FERC relicensing (Ulibarri, forthcoming), one high‐, one medium‐, and one low‐collaboration case were selected. Using documents including meeting minutes, public comments, and issued licenses, I assessed collaboration and license outputs, then conducted process tracing to examine whether and how differences in collaboration produced differences in license quality. High collaboration resulted in jointly developed and highly implementable operating regimes designed to improve numerous resources, while low collaboration resulted in operating requirements that ignored environmental concerns raised by stakeholders and lacked implementation provisions. These results support the hypothesis that collaboration can improve environmental outcomes, revealing the pragmatic value of collaboration. [Correction added on 13 January 2015, after first online publication: the occurrences of ‘0’ in the abstract were erroneous and have now been corrected.]     

Polycentric Systems of Governance: A Theoretical Model for the Commons

Polycentricity is a fundamental concept in commons scholarship that connotes a complex form of governance with multiple centers of semiautonomous decision making. If the decision‐making centers take each other into account in competitive and cooperative relationships and have recourse to conflict resolution mechanisms, they may be regarded as a polycentric governance system. In the context of natural resource governance, commons scholars have ascribed a number of advantages to polycentric governance systems, most notably enhanced adaptive capacity, provision of good institutional fit for natural resource systems, and mitigation of risk on account of redundant governance actors and institutions. Despite the popularity of the concept, systematic development of polycentricity, including its posited advantages, is lacking in the commons literature. To build greater clarity and specificity around the concept, we develop a theoretical model of a polycentric governance system with a focus on the features necessary or conducive for achieving the functioning predicted by commons scholars. The model is comprised of attributes, which constitute the definitional elements, and enabling conditions, which specify additional institutional features for achieving functionality in the commons. The model we propose takes the concept a step further toward specificity without sacrificing the generality necessary for contextual application and further development.     

Evaluating Stakeholder Participation and Influence on State-Level Rulemaking

Despite sustained attention to the role of stakeholders in policymaking—both in legislative and regulatory venues—we lack a systematic understanding of whether and when stakeholders wield influence over decisions. This is particularly true regarding state-level rulemaking in the United States, which has become an important venue of policy action as federal policymaking is increasingly stymied. Although the specifics of the rulemaking process vary to some degree across states, determining whether common patterns of stakeholder influence exist across states and issue areas can advance our understanding of regulatory institutions more broadly. This study contributes to the growing body of scholarship on state-level rulemaking by analyzing the ways in which stakeholders participate in rulemaking processes and the effects on rulemaking decisions of such participation in three policy domains across five states. We find that while industry may be influential during rulemaking across cases, consequential opportunities for non-industry stakeholders to influence regulatory decisions also exist.     

Network Dynamics in Natural Resource Governance: A Case Study of Swiss Landscape Management

Structural characteristics of social networks have been recognized as important factors of effective natural resource governance. However, network analyses of natural resource governance most often remain static, even though governance is an inherently dynamic process. In this article, we investigate the evolution of a social network of organizational actors involved in the governance of natural resources in a regional nature park project in Switzerland. We ask how the maturation of a governance network affects bonding social capital and centralization in the network. Applying separable temporal exponential random graph modeling (STERGM), we test two hypotheses based on the risk hypothesis by Berardo and Scholz (2010) in a longitudinal setting. Results show that network dynamics clearly follow the expected trend toward generating bonding social capital but do not imply a shift toward less hierarchical and more decentralized structures over time. We investigate how these structural processes may contribute to network effectiveness over time.     

Governance,Policy Innovation,and Local Economic Development in North Carolina

This article examines the extent to which local governments in North Carolina embrace innovation in their economic development activities. The study makes a distinctive theoretical contribution by examining the relationship between innovation in how economic development policies are administered and implemented (using concepts associated with governance and NPM), and innovation in what is substantively done (policy innovation). An analysis of the results from a statewide survey of local governments in North Carolina finds that certain governance/management variables are significant determinants of economic development policy innovation. An implication of this finding is that new ways of doing economic development may go hand‐in‐hand with new ways of governing and managing. Many of the governance/management variables are also positively associated with the use of a greater number of traditional economic development strategies and tools. This suggests that local governments may find it helpful to be innovative in how they implement economic development irrespective of the substantive policy orientation of particular strategies and tools.     

Participation in Policy Streams: Testing the Separation of Problems and Solutions in Subnational Policy Systems

The multiple streams theory of national policymaking has been influential in the study of public administration and public policy—if not without a fair bit of controversy. While some laud the model for its openness to the important role of policy entrepreneurs and the irrationalities of the decision‐making processes, others criticize the model for its lack of readily testable propositions. This article identifies a series of testable propositions in the multiple streams model (particularly that discussed by Kingdon). We assess whether participation in local policymaking (focusing on school district policymaking related to violence prevention) is characterized by “separate streams” of participants or is dominated by organized participants like interest groups or policy specialists. We found evidence of unity (rather than separation) in the policymaking process and scant evidence of elite, organized interests dominating the policymaking process. The results call into question a key assumption of the multiple streams model.     

Political Commitment,Policy Ambiguity,and Corporate Environmental Practices

A lack of clear political commitment together with confusing rules and enforcement often characterize the institutional context of policy implementation and regulatory compliance in developing countries. By connecting such contextual features to existing models of policy implementation and regulatory compliance, we examine how regulatory factors are related to basic and proactive corporate environmental management practices in the Pearl River Delta region in China. Drawing on data derived from both a survey and in‐depth interviews, we show that a perception of clear political commitment to environmental protection across multiple government levels and units is positively associated with business efforts in basic environmental practices, regardless of the specific enforcement intensity. Nevertheless, a perception of clear political commitment is not related to proactive environmental practices. Conversely, a perception of policy ambiguity, in the form of confusing regulatory standards and enforcement, is negatively associated with corporate efforts in both basic and proactive environmental practices; yet, intensive inspections mitigate these negative associations with policy ambiguity.     

全球气候变化对国际安全的挑战与思考

鉴于全球气候变化开始困扰国际社会以至威胁人类生存,如何解决这一非传统安全问题,便成为当今世界关注的焦点与亟待解决的问题。对此,学者们认为,各国间的谅解与互信,特别是在战略上的合作,对全球气候变化的治理、能源的合理使用是至关重要的。然而,由于传统的国家利益观念的影响,国际社会能否达成共识,将是治理气候变化这一潜在威胁的关键。历史上,危机常常可以转化为机遇。那么,国际社会能否抓住这一机遇,对来自全球气候变化的挑战进行认真的思考与治理,这将是对人类智慧的考验。     

International Regimes and Democratic Governance: Political Equality and Influence in Global Institutions

Proponents of cosmopolitan democracy rely primarily on institutional design to make their case for the feasibility of democratic governance at this level. Another strategy seems more plausible: proposing a 'non-ideal' theory in Rawls's sense that examines the social forces and conditions currently promoting democracy at the international level. The strongest forces operating now are various transnational associations that help to produce and monitor regime formation and compliance. Such a highly decentralized form of governance suggests that democratization is thereby promoted by a dense network of associations in international civil society, a global public sphere, and responsive political organizations. However much these forces disperse power through the normative principle of equal access to political influence, they could also fall well short of realizing desirable ideals such as free and open deliberation. In order not to devolve into an interest group pluralism, the decentralized strategy requires that a richer democracy be realized through the legal institutionalization of free and equal access to the global public sphere.     

Smart Growth Policy Choice: A Resource Dependency and Local Governance Explanation

Smart growth is a planning and land use policy objective that generally focuses on where development should occur and how best to protect natural resources. What explains the adoption of smart growth policy by local government? This study focuses on a cooperative intergovernmental program that seeks to enhance local government abilities to work toward achieving state goals on sustainability. Extant research suggests that local interest group preferences shape policy decisions. However, much of the evidence on the influence of local interest groups on smart growth policy is presented within the coercive intergovernmental context. This article argues that resource dependency influences local decisions in pursuing a smart growth agenda when state incentives are provided. The findings suggest that fiscal capacity and the characteristics of local governing institutions are significant predictors in the decision to take part in an intergovernmental program. Business and neighborhood interest groups have a significant effect on policy adoption, as do local characteristics depending on the smart growth functional area.