When Politics Matters: The Impact of Politicians' and Bureaucrats' Preferences on Salient and Nonsalient Policy Areas

For three decades, the “politics matters” literature has found that political ideology is an important explanation of public policy. However, this literature systematically fails to include the influence of the bureaucracy. In fact, it is almost impossible to identify a single study in this literature that controls for the influence of the permanent bureaucracy. In this article, we investigate whether politics still matters when bureaucratic preferences are taken into account. We do this in a simultaneous test of political and bureaucratic influences on public budgets, a policy measure often studied in the “politics matters” literature. We find that political preferences trump bureaucratic ones in policy areas salient to the public but not in less salient areas. This might be comforting news from a democratic perspective. However, as public budgets represent an easy case for political influence, it is food for thought that political preferences do not always prevail.     

Reining in the Bureaucrats: Democratic Transition and Administrative Procedural Reform in Korea

How do civilian presidents control their bureaucracies after taking over from an authoritarian regime? To answer this question, I develop a “reining in” theory of delegation. I argue that presidents who faces intrabranch conflict over policy issues and cannot appoint—and dismiss—freely will solve their delegation problems through administrative procedure acts (APAs) and related laws. While some scholars argue that APAs are tools for preserving the status quo, I find that APAs help presidents change policy. Building on the delegation literature from economics, my theory represents a more general argument than prior theories for why presidents support APAs. I test the theory through a case study of South Korea's first civilian government (post‐1961), under President Kim Young Sam. Kim initiated an APA to rein in a professionalized civil service that opposed his policy preferences. Strict procedural requirements designed to keep tabs on bureaucratic activities enhanced Kim's control over his bureaucracy.     

China's Hybrid Adaptive Bureaucracy: The Case of the 863 Program for Science and Technology

Portrayals of China's bureaucratic behavior tend to emphasize either streamlined central control via top‐down directives emanating from a Leninist system, or a highly fragmented organization characterized by continuous horizontal bargaining. While both views have merit, they miss important but little‐recognized dynamics of Chinese bureaucratic behavior. Examination of the 30‐year evolution of a single organization, China's 863 Program, allows us a unique look inside the “black box” of decision making. First, we highlight a largely unrecognized mechanism of top‐down control: a signal‐response process that fosters substantial uncertainty for officials in the system. Second, our case highlights a circumstance in which reformers made radical moves—deployed as a “band‐aid” layer of rational‐instrumentalism—to meet a perceived external security threat. These moves demonstrate efforts to incorporate Weberian norms, and suggest sources of dynamism and learning in a “hybrid adaptive” bureaucracy.     

Europeanization and Domestic Employment Policy Change: Conceptual and Methodological Background

The article deals with the differential domestic employment policy adaptation to the European Employment Strategy that occurred over the past years in two European countries—Italy and France. Building on the Europeanization and welfare state change literature, the contribution operationalizes the “goodness of fit” hypothesis and develops a “policy structure” approach for the analysis of domestic employment policy change. The main argument is that domestic adaptation to the European Union depends primarily on the preferences of key institutional and social actors, and not on the specific design of domestic institutions. More in general, the article not only supports the validity of the misfit hypothesis but also shows how the nature and intensity of domestic preferences do explain differential patterns of adaptation to Europe (policy transformation in the Italian case, policy adjustment in the French case) in similar conditions of policy “misfit.”     

数字竞赛与双重博弈:对易地扶贫搬迁政策执行偏差的一种解释

基层政策执行会出现偏差已经成为学界的共识,但是对于此问题的分析机制并不明晰,多数研究均是从单一视角予以阐释。通过深入考察易地搬迁中“拆旧复垦”政策的具体执行过程,从自上而下与自下而上相互融合视角入手,讨论“拆旧复垦”政策如何在不同利益主体的互构下发生了转变,为何完美的指标数据与文字背后却发现政策执行陷入模糊或搁置状态。从案例解构结果来看,在发展导向的逻辑下,基层政府通过主动加码寻求搬迁规模最大化以谋求在“数字竞赛”中胜出;在压力型体制的上下博弈中,基层政府采取拼凑应对的模糊执行策略以有效应对自上而下的政绩考核;在不完全信息状态的混合博弈中,政策受众在理性计算之下与基层政府形成了“合谋的沉默”。文章的贡献在于,对基层政策执行偏差的解释没有囿于讨论科层结构的弊端,而是从政策设计本身以及不同利益主体互构的视角出发解读其内在逻辑。     

Majesty and mercy: undocumented immigration,deferred removal action,and the spectacle of sovereign exceptionalism

The article casts a critical gaze at the Obama Administration’s decision – articulated in a series of bureaucratic memos and directives issued June 2010–July 2012 – to exercise prosecutorial discretion in processing 300,000 undocumented immigrants slated for deportation from the US Commentators on the partisan left hailed the Administration’s decision as a pragmatic and humane effort to implement federal immigration laws. Commentators on the partisan right argued that prosecutorial discretion constituted an effective – and illegal – abdication of the president’s mandate to execute the letter of immigration law. This article positions the decision, instead, at the nexus of sovereign exceptionalism and political community-building and argues that deferred action constitutes the highest and most controversial deployment of the “majesty” of territorial state sovereignty: the process of selectively meting out “mercy” to those who approximate the set of expectations bound up in the notion of the “good” American. Petitioners for deferred action status, I argue, function, ideologically, to construct the undocumented petitioner’s liminality as help and reify the sovereign power’s exceptionalism. The discussion, in turn, invites us to revisit Schmittian and Agambenian conceptions of sovereign exceptionalism and rethink the work sovereign prerogative does in the everyday.     

The Future of Leadership in Public Universities: Is Shared Leadership the Answer?

Leadership of public universities has come under fire—from scandals, from funding, from students, from every direction. Top‐down leadership of institutions of higher education has been described as a “disease.” Shared governance—a mechanism of faculty representation in the leadership and decision‐making processes—a seeming alternative, has been described as “a recipe for paralysis.” In this article, the authors proffer shared leadership as a potential elixir for leading public institutions of higher learning, unleashing creative potential, focusing on pressing strategic imperatives, and enabling sustainable systems that leverage true talent to maximum effect. It is time to move beyond the moribund myth of top‐down heroic leadership and beyond the bureaucratic, political quagmire of the current state of affairs in shared governance. Is shared leadership the answer?      

Nudging the Neoliberal Agenda: Administrative Opportunities in the Deregulated State

The current climate of neoliberalism in the executive branch is attended by active deregulation and distrust of the administrative state. As protections are rolled back, there is concern that individuals may be susceptible to information asymmetries that will influence their decision making, leading to detrimental outcomes for both their own and the general welfare. Behavioral public administration—the bureaucratic conception of “nudge” theory—offers ways to counter the pitfalls that come with greater freedom of choice, as promoted by the neoliberal agenda. Public administrators may employ alternative mechanisms, such as choice architecture, to help people make better decisions in the absence of explicitly protective regulations. After laying out the argument for a behavioral approach, this article analyzes several neoliberal agenda issues with potential nudge responses for practical implementation, as well as a justifiable call for action to protect the public welfare in the absence of policy guidance.     

(Un)principled principals, (un)principled agents: The differential effects of managerial civil service reforms on corruption in developing and OECD countries

Do management practices have similar anticorruption effects in OECD and developing countries? Despite prominent cautions against “New Zealand” reforms which enhance managerial discretion in developing countries, scholars have not assessed this question statistically. Our article addresses this gap through a conjoint experiment with 6,500 public servants in three developing countries and one OECD country. Our experiment assesses Weberian relative to managerial approaches to recruitment, job stability, and pay. We argue that in developing countries with institutionalized corruption and weak rule of law—yet not OECD countries without such features—“unprincipled” principals use managerial discretion over hiring, firing, and pay to favor “unprincipled” bureaucratic agents who engage in corruption. Our results support this argument: managerial practices are associated with greater bureaucratic corruption in our surveyed developing countries, yet have little effect in our OECD country. Alleged “best practices” in public management in OECD countries may thus be “worst practices” in developing countries.     

When Missions Matter: Professional Priorities and the “Stepchild” of Supervisory Programs

If there is a clear bottom line to the literature on political control of the bureaucracy, it is that control is never complete. Principals can be multiple, priorities diverse, preferences for policy incomplete and not articulated, and intentional choice lost in the muddle. Yet as long as bureaucratic studies remain focused upon outside political actors, or at best, the political appointee at the helm of an agency, we will not make many advances in our understanding of important organizational dynamics that act as an independent force upon the phenomenon of bureaucratic behavior. This article suggests a politically cognizant return to the bureaucracy by examining the distinct management efforts of the Fed, the Office of the Comptroller of the Currency, and the FDIC to supervise the consumer and civil rights obligations of banks, known collectively as “compliance” obligations. The same mandates, issued and overseen by the same political principals, and implemented within common professional cultures, have been managed in ways that vary in the context of each agency's organizational mission. It is argued that organizational mission provides an empirical link between the priorities and mandates imposed from a system of “overhead democracy,” and the influential priorities of a common professional group (bank examiners) in each of the agencies.     

Fragmented Welfare States: Federal Institutions and the Development of Social Policy

Despite political scientists' growing appreciation of the ways in which institutions influence political processes, the “new institutionalism” has so far had a limited impact on the comparative study of welfare state development. This article discusses some broad issues concerning institutions and public policy by exploring the implications of one set of institutions — those associated with federalism — for the politics of social policy. Federal institutions encourage three distinctive dynamics: they influence the policy preferences, strategies, and influence of social actors; they create important new institutional actors (the constituent units of the federation); and they generate predictable policymaking dilemmas associated with shared decision-making. Comparisons between social policy development in Canada and the United States are used to demonstrate that while federalism clearly matters, how it matters will depend on the characteristics of a particular federal system and the ways in which federal institutions interact with other important variables.     

Incrementalism: Dead yet Flourishing

Charles Lindblom's 1959 essay “The Science of ‘Muddling Through’” is best known for the strategy of decision making—disjointed incrementalism—that it recommended. That famous paper and Lindblom's related work also provided two theories: a critique of the conventional method (the synoptic approach) and an argument for using incrementalism instead. Both are applied theories: they are designed to help solve complex policy problems. Lindblom's negative applied theory has stood the test of time well: the empirical foundations of its main micro‐component (cognitive constraints of individuals) and its central macro‐component (the impact of preference conflict on policy making) have grown stronger since 1959. The picture regarding the positive applied theory is more mixed. As a coherent decision‐making strategy, disjointed incrementalism has almost disappeared. Yet its key elements, the major heuristics identified in “Muddling Through,” are thriving in many applied fields. Intriguingly, they are often accompanied by subroutines—especially optimization as a choice rule—typically associated with the synoptic approach.     

Symposium: Policy analysis for congress. Policy analysis for congress: Lengthening the time horizon

Policy analysis for the Congress is a timely subject. Several policy initiatives have emerged recently from the “first branch.” Others have demonstrated an independent capacity for analysis that is impressive by historical standards. This article introduces a practitioner symposium of three related works on policy analysis for Congress, with appropriate commentary by a distinguished veteran. It argues that because timing is crucial in the congressional policy process, anticipation and advance preparation are central to the effective use of analysis. The other articles illustrate the stages of advance preparation—of the policy analyst, the congressional environment, and the Member for voting—in the form of case studies.     

Searching for a “Sound Negro Policy”: A Racial Agenda for the Housing Acts of 1949 and 1954

Abstract

The Housing Acts of 1949 and 1954 provided the foundation for slum clearance and urban renewal. Despite efforts to finesse the issue, race remained central to the formation and implementation of public policy. The Racial Relations Service (RRS), an institutional remnant of the New Deal, tried unsuccessfully to prevent local authorities from using the new federal resources to reinforce existing “ghettos.” Searching for a “sound Negro policy,” the RRS warned housing officials against pursuing such a course and offered bureaucratic resistance to individual projects deemed inimical to minority interests.

The coincidence of demographic and political change in the 1950s, the subsequent dismantling of the RRS, the reaction to the Supreme Court's decision in Brown v. Board of Education, and the passage of the Housing Act of 1954 all contributed to the use of urban renewal to create and sustain racially separate neighborhoods even as the civil rights movement gained momentum.     

How Solutions Chase Problems: Instrument Constituencies in the Policy Process

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.     

State Capacity,Bureaucratic Politicization,and Corruption in the Brazilian State

Responding to recent articles in Governance highlighting the need for improved measurement of bureaucratic characteristics, this article describes efforts to map Brazil's federal agencies on three dimensions—capacity, autonomy, and partisan dominance—derived from data on more than 326,000 civil servants. The article provides a “proof of concept” about the utility of agency‐level measures of these variables, demonstrating how they relate to an output common to all agencies: corruption. The article provides a first step in the direction of building a comparative research program that offers objective evaluation of bureaucracies within nation‐states, with the intent of better disentangling their impact on governance outcomes.     

Epistemic contestation and interagency conflict: The challenge of regulating investment funds

Scholarship on regulating global finance emphasizes the importance of national and bureaucratic interests, but less attention has been devoted to epistemic sources of regulatory conflict. We address this by analyzing the failure of regulators to agree tougher rules for large investment funds after the 2008 crisis. The article suggests this outcome was the result of epistemic contestation between prudential regulators and securities regulators, rooted in divergent interpretive “frames.” We show that US and EU prudential regulators pushed for entity-based regulation of investment funds by escalating the issue to global standard-setting bodies. But this was successfully resisted by securities regulators that exercised epistemic authority through recursive practices—appeals to expertise, jurisdictional claims, and alliance building—to defend their transaction-based approach. The article demonstrates how an interpretivist perspective can provide new insights into inter-agency conflict and regulatory disputes in other policy fields.     

Bureaucratic politics,innovation compatibility,and the dynamic diffusion of subnational decentralization reforms in China

Despite the widely recognized significance of policy attributes in explaining innovation diffusion, limited research has emphasized the underlying endogenous mechanisms dictating the construction of innovation attributes. This study points out that bureaucratic politics could dynamically shape an innovation's compatibility with the potential adopters and its diffusion likelihood. Based on the subnational decentralization reforms in China, we note that compared to administrative and fiscal decentralization, political decentralization is less likely to generate personal gains and more likely to negatively affect the career prospects of local officials in a layer-by-layer personnel management system. Therefore, the study speculates that political decentralization reforms have a lower level of compatibility, consequently reducing its diffusion likelihood among local governments. We confirmed our theoretical expectations by conducting an in-depth case study of the top-down diffusion of three types of “Province-Managing-County Reforms” among 102 counties in China's Henan Province (2004–2021).     

The politics of bank bailout in Japan: a cognitive capture and leadership view

Abstract

This article explores why the Japanese government did not decisively intervene on behalf of bank bailouts at the early stage of the banking crisis of 1997–98 and investigates the institutional and political context behind the use of fiscal money for bank bailouts in 1997–98, 1998–99, and 2001–05. In contrast with prevailing views, which emphasize the conflicts of interest or differences in policy preferences between politicians and bureaucrats and their captured nature either by bankers’ special interests or political/bureaucratic interests, this article argues that Japanese policymakers shared a congruent policy preference — that is, minimizing the disruptions in the existing institutional arrangement in government-bank-firm relations and this congruence in policy preference (or ‘cognitive capture’) compelled the government to take a creditor-centered approach to the banking problem — i.e., letting banks resolve their own problems. It also argues that a strong political leadership that can break with the ‘cognitive capture’ and sustain government's resolute commitment to solving the nonperforming loan problem is an essential factor for successful bank restructuring.     

„Selbstbewusst“ und „stolz“. Das außenpolitische Vokabular der Berliner Republik als Fährte einer Neuorientierung

The article sketches a newly developed analytical approach (“vocabulary analysis”) inspired by philosophy of language. Without engaging in the debate as to whether Germany’s foreign policy is best characterised either in terms of continuity or change, the article reconstructs the development of the German foreign policy practice between 1986 and 2002 on the basis of the foreign policy elite’s discourse. In an exemplary fashion it illustrates the use of the key concepts Germany, Europe, power, responsibility, self-confidence and pride. We conclude that vocabulary analysis reveals astonishing shifts in the semantic web of which German foreign policy discourse is “woven” — shifts which will also leave traces in Germany’s foreign policy identity.