Comparing the legitimacy and effectiveness of global hard and soft law: An analytical framework

The international norms that are developed as tools of global governance can be placed on a continuum from traditional “hard law” treaties to the vaguest and voluntary “soft law.” In this article we develop an analytical framework for comparing norms on different positions along the continuum, thus for comparing international hard and soft law. We root the framework in both the rationalist and the constructivist paradigms of international relations by focusing on two overarching evaluative criteria: effectiveness and legitimacy. These broad concepts are divided into smaller building blocks encompassing mechanisms through which norms can exert influence; for example, by changing material incentives, identities, and building capacity, and by contributing to building source‐based, procedural, and substantive legitimacy. We illustrate the applicability of the framework with three norm processes of varying degrees of “softness” in global climate governance.     

Inside UN Climate Change Negotiations: The Copenhagen Conference

UN negotiations on climate change entail a fundamental transformation of the global economy and constitute the single most important process in world politics. This is an account of the 2009 Copenhagen summit from the perspective of a government delegate. The article offers a guide to global climate negotiations, tells the story of Copenhagen from behind closed doors, and assesses the current state of global climate governance. It outlines key policy issues under negotiation, the positions and policy preferences of key countries and coalitions, the outcomes of Copenhagen, and achievements and failures in climate negotiations to date. The Copenhagen Accord is a weak agreement designed to mask the political failure of the international community to create a global climate treaty. However, climate policy around the world is making considerable progress. While the UN negotiations process is deadlocked, multilevel climate governance is thriving.     

Multi‐Sited Governance of Large‐Scale Land Acquisitions: Mapping and Evaluating the Terrain

Recent spikes in commodity prices, the growing appetite for primary commodities among emerging economies, growing interest in biofuels and speculations over future returns to land and its products have led to a renewed interest in farmland in the global South. With highly publicized risks and polarized “win‐lose” narratives, so‐called “land grabbing” has become an important focus of transnational governance activity. In juxtaposition to those seeing large‐scale land acquisitions as inherently risky or undesirable, some argue for the potential opportunities they engender—provided risks can be mitigated through improved governance. This paper explores this argument through a systematic analysis of the formal features of the multi‐sited governance mechanisms in place to guide agricultural investment and govern its social and environmental effects. The intent is not to discount the importance of informal norms and practices or the so‐called “lived experience of governance,” nor the argument that such land acquisitions are inherently flawed irrespective of the “discipline imposed on them.” Rather, the paper aims to explore the merits of the arguments advanced by the pro‐investment camp, and to explore the extent to which the emerging global governance architecture is set up to deliver on the purported benefits of large‐scale agricultural investment. Results suggest that serious weaknesses in the substantive scope, reach and/or implementation mechanisms in all of the reviewed governance mechanisms pose a serious risk to the likely effectiveness of the emerging governance architecture in minimizing risks and leveraging benefits. Addressing these weaknesses is an obvious first step for bolstering the credibility of those advocating that governance is the solution.     

Power transitions and the rise of the regulatory state: Global market governance in flux

This special issue examines the consequences of the ongoing power transition in the world economy for global regulatory regimes, especially the variation in rising powers' transition from rule-takers to rule-makers in global markets. This introductory article presents the analytical framework for better understanding those consequences, the Power Transition Theory of Global Economic Governance (PTT-GEG), which extends the scope of traditional power transition theory to conflict and cooperation in the international political economy and global regulatory governance. PTT-GEG emphasizes variation in the institutional strength of the regulatory state as the key conduit through which the growing market size of the emergent economies gives their governments leverage in global regulatory regimes. Whether or not a particular rising power, for a particular regulatory issue, invests its resources in building a strong regulatory state, however, is a political choice, requiring an analysis of the interplay of domestic and international politics that fuels or inhibits the creation of regulatory capacity and capability. PTT-GEG further emphasizes variation in the extent to which rising powers' substantive, policy-specific preferences diverge from the established powers' preferences as enshrined in the regulatory status quo. Divergence should not be assumed as given. Distinct combinations of these two variables yield, for each regulatory regime, distinct theoretical expectations about how the power transition in the world economy will affect global economic governance, helping us identify the conditions under which rule-takers will become regime-transforming rule-makers, regime-undermining rule-breakers, resentful rule-fakers, or regime-strengthening rule-promoters, as well as the conditions under which they remain weakly regime-supporting rule-takers.     

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.     

Can non‐state global governance be legitimate? An analytical framework

In the absence of effective national and intergovernmental regulation to ameliorate global environmental and social problems, “private” alternatives have proliferated, including self‐regulation, corporate social responsibility, and public–private partnerships. Of the alternatives, “non‐state market driven” (NSMD) governance systems deserve greater attention because they offer the strongest regulation and potential to socially embed global markets. NSMD systems encourage compliance by recognizing and tracking, along the market’s supply chain, responsibly produced goods and services. They aim to establish “political legitimacy” whereby firms, social actors, and stakeholders are united into a community that accepts “shared rule as appropriate and justified.” Drawing inductively on evidence from a range of NSMD systems, and deductively on theories of institutions and learning, we develop an analytical framework and a preliminary set of causal propositions to explicate whether and how political legitimacy might be achieved. The framework corrects the existing literature’s inattention to the conditioning effects of global social structure, and its tendency to treat actor evaluations of NSMD systems as static and strategic. It identifies a three‐phase process through which NSMD systems might gain political legitimacy. It posits that a “logic of consequences” alone cannot explain actor evaluations: the explanation requires greater reference to a “logic of appropriateness” as systems progress through the phases. The framework aims to guide future empirical work to assess the potential of NSMD systems to socially embed global markets.     

State intervention and neoliberalism in the globalizing world economy: lessons from Singapore's regionalization programme

The recent 1997-98 Asian economic crisis has thrown Asia's divergent pathways to development into serious question. Protagonists of neoliberalism argue that their agenda is now becoming a global orthodoxy when several ailing Asian economies have accepted IMF packages which come with neoliberal economic programmes. Drawing on lessons from Singapore's regionalization programme, this article contends that it is far too early to conclude that Asian developmental states are giving up their governance of domestic economies. Instead, there is evidence that these Asian developmental states are re-regulating their domestic economies to ride out of the economic crisis. The article first starts with the debate between neoliberalism and state developmentalism in our understanding of global political economy. It then examines the political economy of Singapore's regionalization programme through which Singapore-based transnational corporations are strongly encouraged by the state to regionalize their operations, followed by a critical discussion of the impact of the recent Asian economic crisis on the re-regulation of the regionalization programme by the state in Singapore. Some lessons for Asian emerging economies are suggested in the concluding section.     

Kooperative Politikberatung. Ein neues Beziehungsgeflecht zwischen Politik und Politikberatung?

The institutional and societal framework of policy-advice-giving is changing and so are the worlds of political consultants and policy experts in Germany and other advanced democracies. While there are several new developments which are challenging established forms of policy-advice and political consulting, the present article focuses its attention on the impact of new governance structures on policy advice and political consulting. The main argument of the article is that when government becomes governance and the number of actors and venues involved in the decision-making process increase, a new cooperative and discursive mode of policy-advice giving complements or sometimes even replaces more established forms of policy-advice-giving. We review the evolution of the debate about the role of policy-advice-giving from different perspectives, and particularly explore possible consequences of the changing nature of the state as well as of newly emerging modes of cooperative policy-advice and political consulting — both for empirical as well as conceptual research in the field. Through this, we attempt to generate a debate on the future direction of different modes of policy-advice and political consulting within a changing framework of governance structures in advanced democracies.     

China’s “Radicalism at the Center”: Regime Legitimation through Climate Politics and Climate Governance

The article examines whether there is reciprocity between the legitimating effects of China’s regime at home and abroad and how global governance and legitimacy interact in the case of China. This is done through an analysis of Chinese climate politics and China’s engagement in international climate negotiations and governance, especially its behavior during and after the Copenhagen Climate Summit in December 2009 and the Chinese regime’s efforts to legitimate this behavior. While China’s role in international climate governance was disputed at the Copenhagen Summit, China contributed constructively to brokering a deal with significant implications for a new climate governance architecture suiting China’s preferences and being aligned with China’s core interests. China defended the procedural logic of the current global climate governance framework and managed to contain institutional change. Based on Anthony Giddens’ proposition about “radicalism at the centre”, it is argued that China’s national and international discourse on and actions associated with climate change and the international negotiations about the new climate governance architecture seem to be able to reinforce each other and may well have a mutual legitimacy augmenting effect for the ‘radicals at the centre’ of the Chinese regime, provided that they ensure consequential logic through targeted reduction of GHG emissions and a “green transformation” of the economy.     

China and Disaster Governance: Assessing the Domestic Sources of a Global Responsibility

This article examines China’s engagement with global disaster governance. It reveals how international sentiments of humanitarian responsibility—understood as the imperative to help one’s own people as well as distant others—resonate deeply with Chinese political and social thought, with important implications for the Chinese leadership in managing the complex challenges presented by natural disasters. Here, modern conceptions of China’s global responsibilities are traced back to historic Chinese thinking on the nexus between political statecraft and able disaster management, and to its experiences in dealing with catastrophic events like the 2008 Sichuan Earthquake. Together, these have worked to inform China’s contemporary involvement in disaster relief operations within and beyond its borders.     

Informelle Parteistrukturen und institutioneller Wandel: Japanische Erfahrungen nach den politischen Reformen des Jahres 1994

The political reforms of 1994 — a new electoral system, the introduction of public subsidies for political parties, and more restrictive regulations governing political funds — have drastically changed the formal framework for political parties’ activities in Japan. This article analyses the impact of the political reforms on important informal structures in Japan’s political parties. It is shown that intra-party factions within the long-time governing LDP and the personal support organisations of individual members of parliament have undergone some changes but continue to persist in spite of the reforms. The article closes by summing up the lessons which the Japanese case offers for the transformation of informal institutions qua changes in the formal environment.     

Governance conditions,roles and capacity‐building needs in the rebel‐held areas of Southern Sudan

An assessment is made of the state of sustainable human development (SHD) and the institutions of governance that are in the process of being established in the rebel‐held areas of Southern Sudan. The development roles of the main governance actors—government, civil society and the private sector—are examined and capacity‐building needs are described. The importance of good leadership, institutionalised partnerships between government and national and international NGOs, and capacity building for transparency and accountability is stressed. Most pointedly, the risks of allowing governance practices, suited to the management of a liberation struggle, to spill over into the civil administration of a peaceful state are emphasised. The conditions necessary for the institutionalisation of sound governance practices are discussed. Of particular importance are a genuine desire on the part of the leadership to establish such conditions and a willingness on the part of external donors to address issues of accountability and transparency openly in collaboration with the leadership. The data are also suggestive of broad development strategies that address the bases of SHD and empowerment. These broad strategies are designed to improve the very low levels of health and education that exist in the Southern Sudan, and thereby empower people to engage in economic activity and in governance decision‐making. Rehabilitation and maintenance of the physical infrastructure underlies all development activity. The findings highlight the governance difficulties faced by war‐torn societies, the challenges facing post‐crisis administrations and (confirming Caplan 2002) the need for such administrations to possess sufficient executive authority to be able to perform effectively in situations of ‘pre‐state, post‐imperial chaos’. Most critical of all, however, is the genuine interest of the major powers in doing more than—when it suits them—extinguishing the flames of conflict or establishing acquiescent political regimes following the military pacification of ‘rogue’ or anarchic states. Effective post‐crisis administration and development calls for much greater commitment of resources from the major powers than has been forthcoming to date, reflecting a belief among them that equitable and sustainable global development is the preferred route to the prevention of such crises. Copyright © 2003 John Wiley & Sons, Ltd.     

Social movements and the changing structure of political opportunity in the European union 1

To the extent that European integration results in the decline in the importance of the nation‐state as the exclusive seat of formal political power, we can expect attendant changes in those forms of interest aggregation and articulation historically linked to the state. This article suggests that a polity characterised by multi‐level governance is emerging in Europe and that this poses a set of new constraints and opportunities for groups that wish to influence political decisions. We argue that group strategy in response to this is a function of: (1) the structure of political opportunities facing a group in the EU; and (2) inherited institutions and ideologies that constrain the capacity of a group to exploit those opportunities. We use this framework to analyse the effect of European integration on four groups: the labour movement, regional movements, the environmental movement and the anti‐nuclear movement.     

Parallel Systems and Human Resource Management in India's Public Health Services: A View from the Front Lines

There is building evidence in India that the delivery of health services suffers both from an actual shortfall in trained health professionals and from unsatisfactory results of existing service providers working in the public and private sectors. This study focuses on the public sector and examines de facto institutional and governance arrangements that may give rise to well‐documented provider behaviors such as absenteeism that can adversely affect service delivery processes and outcomes. We analyze four human resource management (HRM) subsystems: postings, transfers, promotions and disciplinary practices from the perspective of front‐line workers—physicians working in rural healthcare facilities operated by two state governments. We sampled physicians in one “post‐reform” state that has instituted HRM reforms and one “pre‐reform” state that has not. The findings are based on both quantitative and qualitative measurements. The results show that formal rules are undermined by a parallel modus operandi in which desirable posts are often determined by political connections and side payments. The evidence suggests an institutional environment in which formal rules of accountability are trumped by a parallel set of accountabilities. These systems appear so entrenched that reforms have borne no significant effect. Copyright © 2015 John Wiley & Sons, Ltd.     

Integrating Concerns with Climate Change into Local Development Planning in Cambodia

Integration of climate change adaptation with development planning at multiple scales is widely seen as preferable to reactive, fragmented, or highly centralized responses. At the same time, there are growing concerns on when intervention is most appropriate, the transaction costs of coordination, and the adequacy of institutional capacity at local levels, especially in developing countries. This article examines entry points and mechanisms for integrating concerns with climate change into local development planning in Cambodia. An institutional ethnography of the planning process indicates that subnational planning is participatory and flexible; and thus, provides plausible entry points to integrate climate change concerns. Case study methods applied to two externally supported, climate‐resilient development projects identify promising mechanisms and strategies, as well as obstacles to integration. A vulnerability reduction assessment tool and top‐up grant scheme both included promising deliberative and participatory elements from which lessons for future and elsewhere can be drawn. At the same time, key stakeholders concede that local integration more widely is hampered by multiple obstacles, including weak institutional capacity, low community participation, and lack of resources and incentives. Addressing these challenges requires political commitments for good governance, capacity development, and additional resources.     

Mind the (Mobilization) Gap: Comparing Climate Activism in the United States and European Union

The barriers to concerted political action on climate change mitigation are steep, especially in multilevel systems where power is diffused and authority contested. This article seeks to explain how mobilization—galvanizing resources and people to participate actively—occurs in complex multilevel systems. It compares two different polities—the United States and the European Union—to tease out the key features of multilevel systems and how they affect climate activism and mobilization. To capture this dynamic, it proposes a three‐staged model of mobilization: awareness building, alliance building, and network creation. The latter stage features “mobilization networks”—stakeholder networks able to transcend levels and institutional inertia and steer polities toward particular climate goals. The article demonstrates how each stage of mobilization is highly contingent on stakeholders' ability to exploit—or at least navigate—multilevel institutional barriers.     

Can private governance boost public policy? Insights from public–private governance interactions in the fisheries and electricity sectors

Based on the inductive analysis of two parallel cases of private environmental governance – private, market-driven fisheries governance and private, market-driven governance for electricity decarbonization – this paper uncovers a trigger for positive public policy spillovers from private environmental governance. It identifies circumstances that prompt groups of business actors working as private regulators to also take on a role as public policy advocates and supporters, revealing a potential for private governance initiatives that are targeted at a particular environmental problem to serve as a bolster for the public regulatory governance of that problem as well. Both private governance cases at the basis of this analysis feature groups of business actors seeking to meet voluntary sustainability goals through the tools of private governance (specifically, through flexing buyer power and private authority in an effort to reform environmentally problematic practices among particular groups of suppliers). In both cases, the business's inability to attain private sustainability goals though private governance means alone has given rise to business demand for facilitative public environmental policy and regulation. The analysis presented in this paper thus points to the occurrence of a particular and intriguing pattern of complementarity between private authority and public policy – one where public policy is called on to fill gaps left by private environmental governance and authority. And it identifies key conditions for such private-governance-driven recentering of public policy to occur, namely the presence of private supply chain greening goals and commitments that are economically, reputationally, and/or competitively critical for businesses to attain, combined with shortfalls in the capacity of businesses' private authority to bring about such attainment. The two case analysis further suggests the importance of ENGOs in identifying and activating some of the opportunities for leveraging shortfalls in private environmental governance to the advantage of public environmental policy and regulation.     

Liberalization as a Development Strategy: Network Governance in the Korean Mobile Telecom Market

This study analyzes Korea's often noted yet seldom studied spectacular rise to become one of the important global players in the mobile telecommunications industry. The Korean “leap frog” occurred in the context of liberalization under the worldwide liberal telecommunications regime. This article finds that network governance—the emphasis on the use of partnerships and network transactions with global firms as well as the local private sector—is the reason for Korea's success. It examines the origins of and driving forces acting upon the liberalization policy, and discusses how the state and telecom firms cooperated to develop the mobile market. It also assesses the new governance that is taking place in Korea's telecom market by focusing on the changing roles of the state in three major aspects: provision, regulation, and foreign entry barriers into the mobile market. While the Korean government promoted a market‐conforming telecom market and private ownership, this article argues, it formulated rather different governance principles from the U.S. model of liberal governance.     

Analyzing Global Governance Failure: A Philosophical Framework

This article seeks to make a contribution to theory development by explicating the competing approaches (explanatory frameworks and research methods) that can be used in the analysis of episodes of global governance failures—undesirable events (such as war, or incidents of international terrorism) and behaviors (such as rogue political leaders accumulating weapons of mass destruction or supporting international terrorist groups) that are a consequence of the ineffectiveness of a global governance process. It does so by constructing a methodological taxonomy, which enables the identification of the competing philosophical methodologies that underpin contending perspectives on the causation of, and solutions to, episodes of global governance failures, by reference to contesting understandings of what knowledge is (an epistemological issue) and what exists that is capable of giving rise to consequences (an ontological issue). It then identifies the epistemological and ontological challenges facing policy analysts seeking to analyze and address global governance failure. Meeting these challenges requires the adoption of a methodology that draws insights from the epistemological and ontological syntheses that have emerged within contemporary social theory.     

Politikdiffusion im Schatten des Parteistaats: Die Integration Chinas in das internationale Regime zur Geldwäschebekämpfung

This study scrutinizes the functions and effects of various mechanisms of policy diffusion by taking the hyper-sovereigntist state of the People’s Republic of China as a hard test case. It demonstrates that a one-sided focus on the contribution of international or transnational interactions to policy diffusion may lead to severe misinterpretations. Thus, careful control studies of the domestic determinants of policy diffusion are indispensable for clearing up the focus. As the Chinese case reveals, politically orchestrated, tactical adaptation to international regulatory standards can be employed to promote a nation’s rise in the global political economy. Policy diffusion does not therefore automatically promote the establishment of credible, shared norms of global governance.