Nurturing regulatory compliance: Is procedural justice effective when people question the legitimacy of the law?

Procedural justice generally enhances an authority's legitimacy and encourages people to comply with an authority's decisions and rules. We argue, however, that previous research on procedural justice and legitimacy has examined legitimacy in a limited way by focusing solely on the perceived legitimacy of authorities and ignoring how people may perceive the legitimacy of the laws and rules they enforce. In addition, no research to date has examined how such perceptions of legitimacy may moderate the effect of procedural justice on compliance behavior. Using survey data collected across three different regulatory contexts – taxation (Study 1), social security (Study 2), and law enforcement (Study 3) – the findings suggest that one's perceptions of the legitimacy of the law moderates the effect of procedural justice on compliance behaviors; procedural justice is more important for shaping compliance behaviors when people question the legitimacy of the laws than when they accept them as legitimate. An explanation of these findings using a social distancing framework is offered, along with a discussion of the implications the findings have on enforcement.     

Over‐commitment and backsliding in international trade

‘International commitments pay’ could be the mantra of the current literature on international organisations: tying their hands at the international level is a means for governments to push through politically costly, but ultimately welfare‐enhancing reforms. It is argued in this article that this logic has a limit, which can be empirically observed. Past a given point, further depth of integration increases odds of backsliding. This belief is tested in the context of accession to an institution whose rules have been heavily scrutinised: the World Trade Organization (WTO). Countries with low rule of law are imposed a risk premium in the form of demands for deeper concessions, making ‘over‐committing’ possible. This relationship is used to assess the extent to which deeper commitments lead to backsliding. Industry‐level analysis supports these beliefs: deep commitments lead to increased odds of backtracking through a range of legal and extra‐legal mechanisms. Ambitious international commitments can backfire.     

Scaling‐up participation at USAID

Since the 1970s many non‐governmental development organisations have moved away from top‐down modes of operation toward participatory practices that hand over decision‐making power to the poor. The bilateral development agencies of the industrialised states have been slower to follow suit, but in the 1980s and 1990s a number of such agencies also initiated participatory‐oriented reforms. Development scholars have paid little attention to reforms of the larger organisations. In this article, we analyse the efforts of the United States Agency for International Development to embrace participation in the 1990s. Internal reformers managed to change some agency procedures but had only limited success in institutionalising participatory practices. Forces internal to the agency, including rigid rules and employee incentive structures, hampered reform efforts. Also, while some developments external to the agency facilitated participation, many others, including legislative interference and shifting national policy priorities, hindered change toward participation. The case reveals how complex webs of accountability relationships make participatory‐oriented transformation a cumbersome process in large development organisations. Change towards participation can succeed, but only if reformers acknowledge and consider existing institutional constraints. Copyright © 2004 John Wiley & Sons, Ltd.     

Regulating the Internet infrastructure: A comparative appraisal of the legitimacy of ICANN,ITU, and the WSIS

How to generate legitimate forms of governance beyond the nation state is often considered a central question in contemporary world politics. To proceed in theory‐building, scholars need to systematically assign the theory‐driven assumptions on legitimate forms of governance beyond the nation state with the various, already observable, forms of global governance. This article aims to conduct a comparative appraisal of the legitimatory quality of different patterns of governance by applying a framework of indicators for their assessment. The indicators are selected from the scholarly debate within International Relations on the legitimacy of global governance arrangements and structured by a multidimensional concept of legitimacy (input, throughput, and output dimensions). This framework is then applied to international, transnational, and private forms of global governance in the field of Internet regulation in order to show how each of them tries to produce and maintain legitimacy, which strategies it applies, and in how it interacts with its stakeholders.     

Legitimacy through targeted transparency? Regulatory effectiveness and sustainability of lobbying regulation in the European Union

Regulating interest groups’ access to decision makers constitutes a key dimension of legitimate and accountable systems of government. The European Union explicitly links lobbying regulation with the democratic credentials of its supranational system of governance and proposes transparency as a solution to increase legitimacy and regulate private actors’ participation in policy making. This lobbying regulation regime consists of a Transparency Register that conditions access to decision makers upon joining it and complying with its information disclosure requirements. The extent to which transparency‐based regulatory regimes are successful in ensuring effective regulation of targeted actors and in being recognised as a legitimate instrument of governance constitutes a key empirical question. Therefore, the study asks: Do stakeholders perceive the transparency‐based EU lobbying regulation regime to be a legitimate form of regulatory governance? The study answers by building on a classic model of targeted transparency and proposes perceived regulatory effectiveness and sustainability as two key dimensions on which to evaluate the legitimacy of the Register. The arguments are tested on a new dataset reporting the evaluations of 1,374 stakeholders on the design and performance of the EU lobbying regulation regime. The findings describe a transparency regime that scores low in perceived effectiveness and moderate to low in sustainability. Citizens criticise the quality of information disclosed and the Register's performance as a transparency instrument. The Register did not effectively bridge the information gap between the public and interest groups about supranational lobbying. In terms of sustainability, interest organisations appreciate the systemic benefits of transparency, but identify few organisation‐level benefits. Organisations that are policy insiders incur more transparency costs so they instrumentally support transparency only insofar it suits their lobbying strategies and does not threaten their position. Insiders support including additional categories of organisations in the Register's regulatory remit but not more types of interactions with policy makers. They support an imperfect regulatory status quo to which they have adapted but lack incentives to support increased transparency and information disclosure. Targeted transparency proves an ineffective approach to regulating interest groups’ participation in EU policy making, constituting a suboptimal choice for ensuring transparent, accountable and legitimate supranational lobbying.     

Globalisation,Legitimacy, and Pacification: The Emergence of a Global Welfare Regime

The globalisation-induced rollback of social expenditures, and the concomitant increase in inequality and unemployment in developed as well as developing countries, are leading to a crisis of legitimacy for the national capitalist state and the capitalist system as whole. It is argued that the global capitalist class will attempt to offset this crisis of legitimacy through the development of a "global welfare regime" to perform the functions that the nation-state is increasingly unable to fulfil, namely, those of pacifying populations through the handing out of material and symbolic rewards. This article will formulate a working definition of legitimacy, show that this legitimacy is being threatened by globalisation, and then present empirical support for this hypothesis of a crisis of legitimacy. Finally, it will analyse in detail the policies of the international governmental organisations that are predicted to constitute a global welfare regime, showing that they are moving to shore up the faltering stability of unregulated global capitalism.     

Campaign‐Style Enforcement and Regulatory Compliance

This article examines the recoupling mechanism of campaign‐style enforcement and its effects on environmental regulatory compliance. Drawing on the policy implementation literature and institutional theory, the authors develop a conceptual model of campaign‐style enforcement in which both resource mobilization and power redistribution are theorized to address decoupling problems in regulatory compliance. The two‐pathway recoupling mechanism is evidenced by an empirical investigation of the implementation of China's energy conservation and emission reduction policy as part of that country's 11th Five‐Year Plan. Findings suggest that campaign‐style enforcement can effectively improve regulatory compliance when it addresses the efficiency/legitimacy conflict by providing policy incentives and reorganizing a clear hierarchy of political authority. The article concludes with a discussion of the strengths and limitations of campaign‐style enforcement.     

Multinational Corporations and Service Provision in Sub‐Saharan Africa: Legitimacy and Institutionalization Matter

This article considers attempts by multinational corporations to provide services in areas of limited statehood. Under which conditions are such attempts effective? We make two arguments: First, they must be legitimate to be effective. Second, the institutional design of the firms’ service provision programs is an important factor for their effectiveness. We assess these arguments by analyzing multinationals in the South African car industry fighting HIV/AIDS, and international mining firms in South Africa and the Democratic Republic of Congo trying to improve public security. The analysis demonstrates that under conditions of legitimacy and high degrees of institutionalization firm programs effectively contribute to service provision in areas of limited statehood.     

‘When I find myself in times of trouble …’ : The conditional effect of international organisations on policy convergence

Most quantitative analyses of policy convergence treat transnational communication in international organisations and domestic economic problems as additive factors. By contrast, this article argues that domestic economic problems motivate governments to search for successful policies, while international organisations offer channels for policy learning. Thus, both factors interact, magnifying each other's effects. The argument is corroborated by a quantitative analysis of the privatisation of telecommunications providers in the Western OECD world. A dyadic logit model shows that joint membership in international organisations increases the likelihood of policy convergence if governments face budget deficits. The argument of the article builds a bridge between theories of international organisations and domestic theories of policy making. Theories of the former gain an important scope condition specifying the conditions under which transnational communication works, while exploring the latter gains a theory specifying where new policy ideas come from.     

The Norwegian Supreme Court and Equitable Considerations: Problematic Aspects of Legal Reasoning

Legitimacy, confidence and autonomy in the court system are dependent on people trusting the institution to make decisions based on predefined legal rules. Simultaneously, confidence in the system is also dependent on the system's capability to adjust to changes in values in society. The Norwegian courts appear to be increasingly basing their rulings on ‘equitable considerations’. This involves the making of decisions by reference not only to predefined rules – as expressed in structures or pre‐existing legal practice – but also to policy considerations such as utility and fairness. Judicial decisions made with reference to political considerations imply that the courts are arrogating a role that democratic theory reserves for legislators. What happens when ‘equitable considerations’ play a large part in the decisions of the Supreme Court? Does the institution have capabilities and mechanisms that sustain such a judicial practice as a legitimate form of law enforcement? I argue that the capability to adjust to changes in society only seems possible if the judges act beyond the domain of traditional judicial competence. Through different kinds of mechanisms, elements of ‘equitable considerations’ over time become hidden and difficult to grasp. On the one hand, this makes it possible for the Supreme Court to sustain a judicial practice as a legitimate form of law enforcement, but simultaneously it creates problems of confidence and legitimacy because the premises for the decisions are not explicated.     

Majority representation and legitimacy: Survey-experimental evidence from the European Union

What can policy makers do in day-to-day decision making to strengthen citizens' belief that the political system is legitimate? Much literature has highlighted that the realization of citizens' personal preferences in policy making is an important driver of legitimacy beliefs. We argue that citizens, in addition, also care about whether a policy represents the preferences of the majority of citizens, even if their personal preference diverges from the majority's. Using the case of the European Union (EU) as a system that has recurringly experienced crises of public legitimacy, we conduct a vignette survey experiment in which respondents assess the legitimacy of fictitious EU decisions that vary in how they were taken and whose preferences they represent. Results from original surveys conducted in the five largest EU countries show that the congruence of EU decisions not only with personal opinion but also with different forms of majority opinion significantly strengthens legitimacy beliefs. We also show that the most likely mechanism behind this finding is the application of a ‘consensus heuristic’, by which respondents use majority opinion as a cue to identify legitimate decisions. In contrast, procedural features such as the consultation of interest groups or the inclusiveness of decision making in the institutions have little effect on legitimacy beliefs. These findings suggest that policy makers can address legitimacy deficits by strengthening majority representation, which will have both egotropic and sociotropic effects.     

Can Rights-Based Approaches Enhance Levels of Legitimacy and Cooperation in Conservation? A Relational Account

Rights-based approaches (RBAs) are increasingly gaining favour among practitioners in the field of natural resource conservation and management. RBAs are a non-binding operational framework through which conservation actors can integrate human rights standards and principles into the design, planning, implementation, monitoring, and evaluation of projects and programmes. In addition to promoting the human rights of local populations, it is also argued that RBAs may hold benefits for conservation initiatives. This article draws on existing research on the social psychology of procedural fairness to develop a relational account of how and whether RBAs may enhance levels of legitimacy and cooperation in conservation. This relational account stresses the importance of fair experiences for generating positive feelings of legitimacy and associated cooperative behaviour among individuals interacting with organisations or authorities. On the whole, this article suggests that if RBAs can ensure respect for the human rights of local populations, they have the potential to engender fair experiences and related positive institutional effects, thereby significantly strengthening the overall effectiveness of conservation initiatives.     

Written Versus Unwritten Rules: The Role of Rule Formalization in Green Tape

ABSTRACT

Contemporary conceptions of written organizational rules evoke images of inefficiency, constraint, and rigidity. While formal rules can generate negative outcomes, this article argues that their written nature is not the culprit. Rather, theory suggests that the formalization process increases a rule's likelihood of becoming effective “green tape.” From a rule design perspective, rule formalization is expected to trigger more organizational learning and greater scrutiny than unwritten rules, which undergo no such process. From a compliance perspective, written rules are expected to focus organizational attention and convey legitimacy better than unwritten rules, thereby increasing the likelihood of compliance. Combining these expectations, the article hypothesizes that written rules will exhibit more logical designs, higher compliance, and ultimately greater effectiveness than unwritten rules. Statistical modeling of two data sources supports these expectations and suggests the need to rethink reflexively negative attitudes toward written organizational rules.     

Which decision‐making arrangements generate the strongest legitimacy beliefs? Evidence from a randomised field experiment

How can democracies satisfy citizens' demands for legitimate decision making? This article reports findings from a randomised field experiment designed to mimic decision making in large‐scale democracies. Natural collectives of individuals with a shared history and future (high school classes) were studied. They were asked to make a decision about how to spend a sum of money under arrangements imposed by the researchers and distributed randomly across classes. Within this setting, empirical support for three ideas about legitimacy enhancing decision‐making arrangements is tested: participatory constitution‐making; personal involvement in the decision‐making process; and fairness in the implementation of arrangements. Throughout the analyses it was found that personal involvement is the main factor generating legitimacy beliefs.     

Legitimacy,self-determination,and conditional cooperators

ABSTRACT

This article critically examines the account of collective self-determination and state legitimacy developed by Stilz in her book. Central to this account is the idea that for a state to be legitimate it must reflect the shared will of the people over which it governs. I argue that the normative taxonomy Stilz employs to develop this criterion of legitimacy ignores the possibility of conditional cooperators: groups who are alienated from society due to the injustices they experience but are willing to affirm their participation in state institutions if these injustices are rectified. I then demonstrate that since there are no grounds for discounting the dissent of conditional cooperators, their presence significantly increases the threshold for state legitimacy that follows from Stilz’s theory. As a result, Stilz is forced to abandon her claim that basically just states generally enjoy a qualified ‘right to do wrong’.     

Transnational Parliamentary Assemblies: A Remedy for the Democratic Deficit of International Governance?

While international governance may improve the legitimacy of its policies by producing better outputs, it reduces legitimacy on the input side as decisions are taken further away from the citizens. This article examines transnational parliamentary assemblies and assesses whether they might add legitimacy to decision-making beyond the state. While the parliamentary route to legitimacy is often belittled within the realm of international relations, many such assemblies already exist. The study gives an overview of such assemblies and compares the European Parliament, the Nordic Council and the Baltic Sea Parliamentary Conference in detail. They represent three types of transnational parliamentary assemblies: parliament, assembly and conference. The article reaches the conclusion that a parliament can further democratic legitimacy in supranational contexts, whereas assemblies can provide additional legitimacy to processes of international cooperation. The conference type does not fulfil the criteria set for democratic legitimacy.     

Public policy and privatisation: the case of the Qatari experience

This article uses a qualitative methodology employing the elite model to describe and analyse the complex interplay of political and economic factors in the privatization experience of the state of Qatar. The article begins by providing a theoretical framework for privatisation in the context of public policy and classifying policies of privatisation into two categories: macro‐ and micro‐privatisation. The second part uses this framework to discuss the factors that gives the Qatari experience its distinguished flavour. These factors include: elite legitimacy and social culture, bureaucratic power, international pressure and patron–client networks. Copyright © 2007 John Wiley & Sons, Ltd.     

Transnational Legitimacy in a Globalising World: How the European Union Rescues its States

This article addresses claims regarding the limited legitimacy of international institutions. It argues that the two original appointed supranational institutions of the European Union play a crucial, if systematically underestimated, role not merely in providing legitimacy for the Union itself, but also in shoring up that of its constituent member states. We illustrate that supranationalism enhances national legitimacy in functional, political and administrative terms. It does so by helping member states produce outputs they otherwise could not (particularly by enabling them to deal with transboundary policy problems they would struggle to confront if acting in isolation) and by embedding within national political and administrative systems legally enforceable obligations to respect the interests of actors whose voice is excluded or muffled (de jure or de facto) within purely national political processes. The article contends that the claims to legitimacy made by the EU and its member states are of distinctive character but interdependent and mutually reinforcing.     

Decoupling practical and legal compliance: Analysis of member states’ implementation of EU policy

Despite the vast literature on policy implementation, systematic cross‐national research focusing on implementers’ performance regarding different policy issues is still in its infancy. The European Union policies are conducive to examining this relationship in a comparative setting, as the EU member states need to implement various EU directives both legally and in practice. In this study, a first attempt is made to analyse the relationship between legal conformity and practical implementation and the conditions for practical deviations in 27 member states across issues from four policy areas (Internal Market, Environment, Justice and Home Affairs and Social Policy). In line with existing approaches to EU compliance, it is expected that the policy preferences of domestic political elites (‘enforcement’) affect their incentives to ‘decouple’ practical from legal compliance. Instead, administrative and institutional capacities (‘management’) and societal constraints (‘legitimacy’) are likely to limit the ability of policy makers to exert control over the implementation process. The findings suggest that practical deviations arise from policy makers’ inability to steer the implementation process, regardless of their predispositions towards internationally agreed policies. The results have strong implications for the effective application of international rules in domestic settings, as they illustrate that political support for the implementation of ‘external’ policy does not ensure effective implementation in practice.     

All spending is not equal: European Union public spending,policy feedback and citizens’ support for the EU

While public support is central to the problem‐solving capacity of the European Union, we know little about when and why the EU can increase its citizens’ support through spending. Extensive research finds that citizens living in countries that are net beneficiaries of the EU budget are more supportive of the EU, assuming that citizens care equally about all forms of spending. It is argued in this article, however, that the amount of spending is only part of the story. Understanding the effects of spending on support requires a consideration of how transfers are spent. Drawing on policy feedback theories in comparative politics, it is shown that support for the EU is a function of the fit between the spending area and economic need in individuals’ immediate living context. Results from a statistical analysis of EU spending on human capital, infrastructure, agriculture, energy and environmental protection in 127 EU regions over the period 2001–2011 corroborate this argument. As the EU and other international organisations become increasingly publicly contested, the organisations themselves may increasingly try to shore up public support through spending, but they will only be successful under specific conditions.