Nudging Early Reduces Administrative Burden: Three Field Experiments to Improve Code Enforcement

In the past decade, public sector organizations around the world have worked to simplify administrative processes as a way to improve user experience and compliance. Academic evidence on administrative burden supports this approach and there is a strong body of research showing that learning costs, compliance costs, and psychological costs help to explain why residents do not always take up programs for which they are eligible. This article considers the role of these types of costs in a different set of resident-state interactions: compliance with regulations. We present the results of three large field experiments aimed at improving resident compliance with municipal housing codes using targeted behavioral interventions. We find that contacting property owners earlier, redesigning first notices, and proactively communicating with previous violators, can significantly improve compliance by 14.7 percent, 3.3 percent, and 9.2 percent, respectively, with costs savings ranging from 6 to 15 percent of a city's annual enforcement budget. Our results counterintuitively suggest that sometimes adding steps to an administrative process can reduce the costs associated with the resident-state interaction.     

Robotic Bureaucracy: Administrative Burden and Red Tape in University Research

This Viewpoint essay examines university research administration and the use of software systems that automate university research grants and contract administration, including the automatic sending of emails for reporting and compliance purposes. These systems are described as “robotic bureaucracy.” The rise of regulations and their contribution to administrative burden on university research have led university administrators to increasingly rely on robotic bureaucracy to handle compliance. This article draws on the administrative burden, behavioral public administration, and electronic communications and management literatures, which are increasingly focused on the psychological and cognitive bases of behavior. These literatures suggest that the assumptions behind robotic bureaucracy ignore the extent to which these systems shift the burden of compliance from administrators to researchers.     

Reducing the Compliance Burden of Non-profit Organisations: Cutting Red Tape

Australian governments now rely on the non-profit sector to provide essential services. Yet, anecdotally, the compliance burden imposed by governments consumes scarce service delivery resources. This study quantifies the cost of government generated paperwork for Queensland non-profit organisations. Fourteen non-profits kept logs to record government paperwork over 12 months. The non-profits also provided their experiences of government paperwork and in particular grant submission and reporting processes. The study finds that government grant paperwork forms the bulk of a non-profits total paperwork burden with grant submissions being the most costly to complete. Costs are clearly regressive with small non-profits bearing a significantly higher burden. Governments need to lead the way and empower the non-profit sector by reducing this administrative burden and releasing the funds for direct service provision .     

The Effectiveness of Administrative Reform in New Democracies

Practitioners and scholars of postcommunist politics disagree on the accomplishments of administrative reforms in new Eastern European democracies. The transformation of the public sector after 1989 has aimed to consolidate the democratic process and enhance economic development. Skeptics, however, argue that administrative reforms face serious challenges in the context of economic liberalization, insufficient capacity for modernization, and cultural legacies of the past. The authors judge reform effectiveness by testing the impact of civil service reform on government transparency and foreign direct investment. The results of the empirical analysis confirm that once reform is adopted, administrations become more effective at reducing corruption and attracting investment. Despite the delays and difficulties of implementation, the adoption of reform is important in and of itself, and countries can expect positive results sooner than skeptics predict.     

Administrative Easing: Rule Reduction and Medicaid Enrollment

Administrative burden is widely recognized as a barrier to program enrollment, denying legal entitlements to many potentially eligible individuals. Building on recent research in behavioral public administration, this article examines the effect of voluntary state reductions in administrative burden (administrative easing) on Medicaid enrollment rates using differential implementation of the Affordable Care Act. Using a novel data set that includes state-level data on simplified enrollment and renewal procedures for Medicaid from 2008 to 2017, the authors examine how change in Medicaid enrollment is conditioned by the adoption of rule-reduction procedures. Findings show that reductions in the administrative burden required to sign up for Medicaid were associated with increased enrollments. Real-time eligibility and reductions in enrollment burden were particularly impactful at increasing enrollment for both children and adults separate from increases in Medicaid income eligibility thresholds. The results suggest that efforts to ease the cognitive burden of enrolling in entitlement programs can improve take-up.     

Does Administrative Burden Influence Public Support for Government Programs? Evidence from a Survey Experiment

Research indicates that administrative burden influences the behaviors and views of clients and potential clients of government programs. However, administrative burden may also shape mass attitudes toward government programs. Taking a behavioral public administration approach, the authors consider whether and how exposure to information about administrative burden embedded within eligibility-based programs influences citizen favorability toward those programs. It is hypothesized that if information about the existing screening mechanisms is highlighted and made salient, this will lead to greater approval of eligibility-based programs. This expectation is evaluated using a survey experiment that explores administrative burden in the Temporary Assistance for Needy Families (TANF) program. The evidence shows that being exposed to information about administrative burden increases favorability toward TANF and its recipients, though these effects are conditional on party identification. The results provide insight into a potential consequence of administrative burden, showing the way in which information regarding burden can shape citizens’ support for eligibility-based programs.     

Diffusion of Compliance in the ‘Race towards Brussels?’ A Spatial Approach to EU Accession Conditionality

Previous studies identified several determinants that help explain candidate states’ compliance with EU accession conditionality. However, one influence has largely been neglected so far: states’ spatial dependency. Is it possible to observe diffusion to the extent that states’ interlinkages allow their compliance with the acquis communautaire to be assessed? Are candidate states more – or perhaps even less – likely to comply with EU law when other candidates do? The paper seeks to address these questions. By building on existing research on policy diffusion, it develops a theoretical framework for studying candidates’ compliance with EU law over the accession process according to their spatial dependence. The theoretical argument focuses on ‘competitive learning’ and is tested with quantitative data. The results suggest that candidates’ levels of compliance are indeed driven by spatial interlinkages; however, free riding seems more prevalent than enhanced compliance.     

What a Difference a Grade Makes: Evidence from New York City's Restaurant Grading Policy

Can governments use grades to induce businesses to improve their compliance with regulations? Does public disclosure of compliance with food safety regulations matter for restaurants? Ultimately, this depends on whether grades matter for the bottom line. Based on 28 months of data on more than 15,000 restaurants in New York City, this article explores the impact of public restaurant grades on economic activity and public resources using rigorous panel data methods, including fixed‐effects models with controls for underlying food safety compliance. Results show that A grades reduce the probability of restaurant closure and increase revenues while increasing sales taxes remitted and decreasing fines relative to B grades. Conversely, C grades increase the probability of restaurant closure and decrease revenues while decreasing sales taxes remitted relative to B grades. These findings suggest that policy makers can incorporate public information into regulations to more strongly incentivize compliance.     

Cross‐Border Shopping and State Use Tax Liabilities: Evidence from eBay Transactions

Online commerce presents consumers with a convenient way of shopping outside of their local jurisdiction, and this online purchase decision is capable of affecting in significant ways the sales and use tax collections of state governments. However, the actual revenue impact has proven difficult to estimate. There is considerable work that examines the revenue impact of seller compliance with sales taxes. However, there is little work on buyer compliance with use taxes. In this paper, we investigate the potential impact of cross‐border shopping on state use tax liabilities of buyers, using data from the largest online consumer‐to‐consumer and business‐to‐consumer marketplace, eBay.com . We collect our own data on actual cross‐border shopping transactions from eBay, focusing upon a “representative” commodity classification and a “typical” day; these data consist of nearly 21,000 eBay listings generated by roughly 7,000 individual sellers with over 9,000 buyers. These data allow us to examine the extent of actual, not estimated, cross‐border shopping by buyers, and the subsequent potential impact of this cross‐border shopping on state use tax liabilities. Our results indicate that cross‐border shopping is highly prevalent on eBay, with out‐of‐state purchases accounting for on average 94 percent of the volume of a state's purchase transactions. Even so, given the limited volume of eBay‐based transactions relative to total sales transactions, the likely impact of cross‐border transactions on state use tax revenue streams is quite low, at least at present, typically less than one percent of actual state sales tax revenues.     

The Effect of Administrative Burden on Bureaucratic Perception of Policies: Evidence from Election Administration

This article argues that administrative burden—that is, an individual's experience of policy implementation as onerous—is an important consideration for administrators and influences their views on policy and governance options. The authors test this proposition in the policy area of election administration using a mixed‐method assessment of local election officials. They find that the perceived administrative burden of policies is associated with a preference to shift responsibilities to others, perceptions of greater flaws and lesser merit in policies that have created the burden (to the point that such judgments are demonstrably wrong), and opposition to related policy innovations.     

Looking the Part: Television Leads Less Informed Citizens to Vote Based on Candidates’ Appearance

As long as there has been democratic government, skeptics have worried that citizens would base their choices and their votes on superficial considerations. A series of recent studies seems to validate these fears, suggesting that candidates who merely look more capable or attractive perform better in elections. In this article, we examine the underlying process behind the appearance effect. Specifically, we test whether the effect of appearance is more pronounced among those who know little about politics but are exposed to visual images of candidates. To do so, we combine appearance‐based assessments of U.S. Senate and gubernatorial candidates with individual‐level survey data measuring vote intent, political knowledge, and television exposure. Confirming long‐standing concerns about image and television, we find that appealing‐looking politicians benefit disproportionately from television exposure, primarily among less knowledgeable individuals.     

论作为监管激励机制的企业合规

企业合规是公司治理的重要方式,对于企业履行社会责任及其可持续发展,尤其是对于中国企业“走出去”具有重要作用。由此,企业合规可以成为政府监管的一种重要激励机制,通过合规制度的建立来换取行政监管部门或者司法机关的宽大处理:其一,从轻减轻处罚依据的合规,即对于本应处以行政处罚的行为,要求其建立起完善的合规制度,进而予以从轻或者减轻处罚;其二,与监管部门达成和解协议条件的合规,即企业以建立和完善合规制度作为条件,与监管部门达成和解协议;其三,避免移送起诉的合规,即要求企业建立起合规制度,在特定情形下免于移送起诉。     

Gauging the Impact of Transparency Policies

To what extent do transparency policies generate positive impacts? This seemingly rhetorical question has become the subject of increasing contention, partly because of two research‐based biases. First, researchers have been blinded by metrics and method. Using tools that are often ill suited to gauging the gradual, diffuse, and indirect effects of most transparency policies, research has found—unsurprisingly—spotty evidence of impact. Transparency studies would benefit from greater use of complementary approaches, such as careful tracing of impact processes and indicators, combined with sensible counterfactual reasoning. Second, researchers have been looking for impact with blinkered vision. In particular, a thematic fixation on accountability and participation has monopolized attention. Key preconditions—such as compliance with and implementation of transparency policies—remain relatively neglected, as do other areas of potential impact, including capacity building, how actors are leveraging previously restricted streams of information, and transparency's role in improving policy coordination and communication.     

Citizen (Dis)satisfaction: An Experimental Equivalence Framing Study

This article introduces the importance of equivalence framing for understanding how satisfaction measures affect citizens’ evaluation of public services. Does a 90 percent satisfaction rate have a different effect than a logically equivalent 10 percent dissatisfaction rate? Two experiments were conducted on citizens’ evaluations of hospital services in a large, nationally representative sample of Danish citizens. Both experiments found that exposing citizens to a patient dissatisfaction measure led to more negative views of public service than exposing them to a logically equivalent satisfaction metric. There is some support for part of the shift in evaluations being caused by a negativity bias: dissatisfaction has a larger negative impact than satisfaction has a positive impact. Both professional experience at a hospital and prior exposure to satisfaction rates reduced the negative response to dissatisfaction rates. The results call for further study of equivalence framing of performance information.

Practitioner Points

• The valence (positive/negative) of performance information can have substantial effects on citizens’ perception of public services—even if the underlying performance is exactly the same.
• Presenting citizens with a dissatisfaction rate of 10 percent induces a much more negative evaluation of public services than presenting them with a logically equivalent satisfaction rate of 90 percent.
• Policy makers must carefully consider how minor equivalent changes in the presentation of performance information can induce large shifts in citizens’ perceptions of public service performance.

     

The Influence of EU Membership on Methods and Processes of Budgeting in Britain and France, 1970–1995

This article explores the impact European Union (EU) integration has had on methods and processes of budgeting in France and Britain from 1970 to 1995. It assesses whether convergence of budgetary institutions occurs and, if so, whether it is promoted by an obligation of compliance or by an hybridization effect. Compliance refers to changes in national budgetary institutions made compulsory by membership in the EU. Hybridization emphasizes that national and EU budgetary processes are increasingly interwoven and indivisible. Public budgeting is no longer purely national because part of the decision-making on national expenditure is made at the EU level and because the national budget is closely linked to the EU budget in financial and policy terms. Based on an institutional analysis, combined with elite interviewing, the article suggests that hybridization is a significant factor contributing to a convergence of budgetary practices in Britain and France. Underlying the argument is the fact that an increasingly important function of departmental actors involves negotiating with their EU counterparts at the EU level, in addition to the conventional budgetary game at the domestic level. Regarding compliance, there is an influence as testified by significant formal institutional convergence. However, compliance seems a less effective factor in influencing convergence than hybridization because it conveys a "negative" approach to convergence, based on enforcement and sanctions. The article suggests that the convergence of administrative systems is promoted by the growing similarity of administrative practices more than by the harmonization of rules.     

Benefit adequacy among elderly Social Security retired-worker beneficiaries and the SSI federal benefit rate

Both target effectiveness and administrative simplicity are desirable properties in the design of minimum benefit packages for public retirement programs. The federal benefit rate (FBR) of the Supplemental Security Income (SSI) program has been proposed by some analysts as a potentially attractive basis of establishing a new minimum benefit for Social Security on both of these grounds. This type of proposal is related to a broader array of minimum benefit proposals that would establish a Social Security benefit floor based on the poverty rate. In contrast to Social Security, the SSI program is means tested, including both an income and asset screen and also a categorical eligibility screen (the requirement to qualify as aged or disabled). The SSI FBR provides an inflation-adjusted, guaranteed income floor for aged and disabled people with low assets. The FBR has been perceived by proponents as a minimal measure of Social Security benefit adequacy because it represents a subpoverty income level for a family of one or two depending on marital status. For this same reason it has been seen as a target-effective tool of designing a minimum Social Security benefit. An FBR-based minimum benefit has also been viewed as administratively simple to implement; the benefit can be calculated from Social Security administrative records using a completely automated electronic process. Therefore-in contrast to the SSI program itself-an FBR-based minimum benefit would incur virtually no ongoing administrative costs, would not require a separate application for a means-tested program, and would avoid the perception of welfare stigma. While these ideas have been discussed in the literature and among policymakers in the United States over the years, and similar proposals have been considered or implemented in several foreign countries, there have been no previous analyses measuring the size of the potentially affected beneficiary population. Nor has there been any systematic assessment of the FBR as a measure of benefit adequacy or the tradeoffs between potential target effectiveness and administrative simplicity. Based on a series of simulations, we assess the FBR as a potential foundation for minimum Social Security benefits and we examine the tradeoffs between administrative simplicity and target effectiveness using microdata from the 1996 panel of the Survey of Income and Program Participation (SIPP). Our empirical analysis is limited to Social Security retired-worker beneficiaries aged 65 or older. We start with the assessment of the FBR as a measure of benefit adequacy. We are particularly concerned about two types of error: (1) incorrectly identifying some Social Security beneficiaries as "economically vulnerable," and (2) incorrectly identifying others as "not economically vulnerable." Operationally we measure economic vulnerability by two alternative standards. One of our measures considers beneficiaries with family income below the official poverty threshold as vulnerable. Our second measure is more restrictive; it uses a family income threshold equal to 75 percent of the official poverty threshold. We find that a substantial minority of retired workers have Social Security benefits below the FBR. The results also show that the FBR-based measure of Social Security benefit adequacy is very imprecise in terms of identifying economically vulnerable people. We estimate that the vast majority of beneficiaries with Social Security benefits below the FBR are not economically vulnerable. Conversely, an FBR-level Social Security benefit threshold fails to identify some beneficiaries who are economically vulnerable. Thus an FBR-level minimum benefit would be poorly targeted in terms of both types of errors we are concerned about. An FBR-level minimum benefit would provide minimum Social Security benefits to many people who are clearly not poor. Conversely, an FBR-level minimum benefit would not provide any income relief to some who are poor. The administrative simplicity behind these screening errors also results in additional program cost that may be perceived as substantial. We estimate that an FBR-level minimum benefit would increase aggregate program cost for retired workers aged 65 or older by roughly 2 percent. There are two fundamental reasons for these findings. First, the concept of an FBR-level minimum benefit looks at the individual or married couple in artificial isolation; however, the family is the main consumption unit in our society. The income of an unmarried partner or family members other than a married spouse is ignored. Second, individuals and couples may also have income from sources other than Social Security or SSI, which is also ignored by a simple FBR-based minimum benefit concept. The substantial empirical magnitude of measurement error arising from these conceptual simplifications naturally leads to the assessment of the tradeoff between target effectiveness and administrative simplicity. To facilitate this analysis, we simulate the potential effect of alternative screening methods designed to increase target effectiveness; while reducing program cost, such alternatives also may increase administrative complexity. For example, considering the combined Social Security benefit of a married couple (rather than looking at the husband and wife in isolation) might substantially increase target effectiveness with a relatively small increase in administrative complexity. Adding a family income screen might increase administrative complexity to a greater degree, but also would increase target effectiveness dramatically. The results also suggest that at some point adding new screens-such as a comprehensive asset test-may drastically increase administrative complexity with diminishing returns in terms of increased target effectiveness and reduced program cost. Whether a broad-based minimum benefit concept that is not tied to previous work experience is perceived by policymakers as desirable or not may depend on several factors not addressed in this article. However, to the extent that this type of minimum benefit design is regarded as potentially desirable, the tradeoffs between administrative simplicity and target effectiveness need to be considered.     

The electoral connection in Australia: Candidate roles,campaign activity,and the popular vote

Studies of representational roles usually examine elected representatives rather than election candidates and make little attempt to link roles with either behavior or the popular vote that candidates attract. In this paper, we use 1990 Australian data to examine all major party election candidates, and show that candidates identify with three types of representational roles:locals, who focus on articulating local concerns and interests;partisans, who see their role in party political terms; andlegislators, who emphasize the parliamentary role of an elected representative. Incumbents, especially party leaders, focus on the partisan role. Candidates in each of these three types have different views of the qualities that a candidate should possess and emphasize different forms of campaign activity. In turn, these roles have a modest impact on the popular vote that candidates attract, net of other factors. In Australia, incumbents rely on national partisan forces for reelection, while challengers rely much more on their own efforts.     

Organizational design and its consequences for administrative reform: Historical lessons from the U.S. Budget and Accounting Act of 1921

The landmark U.S. Budget and Accounting Act of 1921 (BAA) instituted a series of administrative reforms that proponents claimed would improve budgetary control, stability, and coherence. We maintain that the compatibility of governance structures between agency and system levels is critical for understanding why these administrative centralization efforts were successful in achieving these aims for some federal agencies but not others. The BAA reforms impact on budgetary outcomes is evaluated using panel data on major U.S. federal agencies between 1894 and 1940. Applying semiparametric heterogeneous treatment estimation techniques, we find compelling support that administrative centralization of the federal budgetary process enhanced budget stability and coherence for executive departments while resulting in a lower caliber of budgetary performance for independent agencies. These findings imply that system‐level administrative centralization efforts may be effective only when public agencies are structurally amenable to such reforms.     

The Reformer's Spirit: How Public Administrators Fuel Training in the Skills of Good Governance

The public administration literature has long identified public administrators as key players in achieving government reform. Public managers may be motivated to provide employee access to training in governance skills by several factors, including the need to fulfill the current functions of government, to expand employee responsibilities, or to reform administrative processes and/or programs. The authors examine the impact of public managers on the availability of governance skills training by observing how the desire to achieve reform influences their training decisions in light of other motivating factors. They find that training in citizen input, client relations, and performance indicators are significantly and substantively more prevalent in organizations when public managers believe that such training is necessary for reform, and that the more “democratic” a skill, the more likely a reform motivation will outweigh other factors.     

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.