第三部门的治理：失灵与补救

二十世纪八十年代，伴随着全球化公民社会的兴起，第三部门作为一种新的治理力量和范式追入到学术领域，第三部门以志愿的方式提供公共物品，实现公共利益和公共价值，相对于政府的层级控制和市场的私益属性，更适应于后工业化社会的需要，本文要探讨的是，第三部门作为政府和市场的替代性模式，是否也存在着治理失败的可能性，以及第三部门的治理失灵因何存在“可补救性”的问题。     

The paradox of collective action: Linking interest aggregation and interest articulation in EU legislative lobbying

Olson's logic of collective action predicts that business interest associations face fewer collective action problems than citizen action groups. This article challenges this assumption by arguing that forming an organization comes with different collective action problems than voicing a joint policy position. This leads us to examine an important paradox: Citizen groups face challenges in establishing themselves as organizations but find it relatively easy to position themselves on policy issues, whereas the reverse is true for business associations. We study this paradox empirically based on interviews with spokespersons of interest organizations active in the European Union and find support for our hypotheses. Our findings demonstrate that citizen groups position themselves on policy issues more easily than business interests and that this competitive advantage is amplified when policy issues attract the attention of the media.     

State-led bricolage and the extension of collective governance: Hybridity in the Swiss skill formation system

This paper explores the extension of collective governance to sectors without collective governance tradition. We introduce the concept of state-led bricolage to analyze the expansion of the Swiss apprenticeship training system – in which employer associations fulfill core collective governance tasks – to economic sectors in which training had previously followed a school-based and state-oriented logic. In deindustrializing societies, these sectors are key for the survival of collectively governed training systems. Through a mixed-methods analysis, we examine the reform process that led to the creation of new intermediary organizations that enable collective governance in these sectors. In addition, we compare the organizational features of these organizations with the respective organizations in the traditional crafts and industry sectors. We find that the new organizations result from state-led bricolage. They are hybrid organizations that reflect some of the bricoleur's core policy goals and critically build on the combination of associational and state-oriented institutional logics.     

Institutional Change and Embeddedness: Caste and Gender in Financial Cooperatives in Rural India

ABSTRACT

This article examines the interaction between institutional change and caste and gender embeddedness. It develops a framework for understanding how this interaction takes place. The article presents data on the results of an effort by a non-profit development organization, the Cooperative Development Foundation (CDF), to promote women's cooperatives, grounded in the ideas of mutual self-help and equitable access to services, in rural Andhra Pradesh in India. Using a simple theoretical framework that highlights the multi-level nature of institutional change, and the potential for interactions with embeddedness at one level to affect interactions at other levels, the article presents data showing how particular institutional rules of the cooperatives interacted with caste and gender to shape the overall governance and service delivery practices of these new organizations. In particular, after failed attempts to integrate existing, male-dominated cooperatives with women, the CDF created gender-segregated cooperatives. Data from the women's cooperatives show the creation of mixed-caste organizations, with boards of directors that were fairly representative of their membership, but with presidents that were more likely to be from the higher-castes. Access to financial services shows little caste bias, though lending is through caste-based peer groups. The data suggest that the interaction of embeddedness and institutional change is a process contingent on: a) the strategy taken by the development organization towards embeddedness; b) the nature of the institutional change itself relative to the existing social structure; and c) the effects the interactions between institutional change and embeddedness at different levels have on each other.     

论村民委员会作为乡村社会维权性组织的可能与路径

“三农”问题的实质是农民权益问题,作为村民自治组织的村民委员会应成为维护乡村社会权益的组织依托;当前在我国乡村治理的实践中,乡村自治性组织的维权性功能存在着缺位、错位和异化的现象,这是由诸多原因造成的;在社会主义新农村建设中应着力构建以保障农民权益为根本的乡村治理新机制,推进乡村自治组织的社会性复归;通过政治环境的发展、制度机制的重构、文化观念的培育,挖掘和塑造村民自治性组织作为村民群众维权性组织的组织资源和实践能力。     

International development institutions and national ­economic contexts: neo-liberalism encounters India’s indigenous political traditions

Drawing on the case of India, which since 1991 has been undergoing a far-reaching programme of market-oriented reform, this paper argues that the World Bank and other transnational development actors have been unable to adjust themselves ­sufficiently to indigenous ideological traditions that affect the sustainability of economic liberalization. While markets are becoming increasingly embedded at the level of institutions, they are not achieving what might be termed ‘ideological embeddedness’. The paper maps the ideological context facing market reformers in India by looking at the relationship between, on the one hand, the idea of swadeshi (an indigenous form of economic nationalism), and on the other, three competing forces in Indian politics. The paper concludes by arguing that it is the mutual antipathy among these political forces, rather than any fundamental incompatibility between swadeshi’s precepts and the embedded-market framework, that prevents organizations like the World Bank from adapting swadeshi as an indigenous basis for framing its approach to market embeddedness.     

Out of tune or well tempered? How competition agencies direct the orchestrating state

This article analyzes the impact competition agencies have on the orchestrating role of states in domestic private regulation. I argue that these agencies can significantly affect interactions in the governance triangle through the way they apply a “logic of the market” to evaluate agreements between firms. The regulatory framework of European Union competition law has increasingly constrained the ability of firms to take into account broader interests when making agreements to foster social objectives. This logic of the market clashes with the ever‐increasing emphasis governments place on enabling firms to enter into such agreements. I analyze this tension through a case study of a pact of Dutch retailers to collectively introduce higher animal welfare standards for poultry. Using regulatory network analysis I trace the governance interactions between the governance triangle on the one hand (government, non‐governmental organizations, and firms), and the Dutch competition authority, Autoriteit Consument en Markt (ACM) and the European Commission on the other hand. Attempts by the Dutch government to instruct the ACM to be more lenient toward private regulation were blocked twice by the European Commission. As a result, the Dutch government abandoned private regulation as the preferred mode and proposed a bottom‐up process that would generate public regulation as a way to avoid conflict with competition policy. I argue that paradoxically enough the intervention of these non‐majoritarian competition agencies against the “will” of the governance triangle has potentially increased the effectiveness and legitimacy of orchestration processes.     

Multilevel Governance and Business Interests in the European Union

The article analyzes how business interests responded to European integration. It draws on survey data of eight hundred German, French, British, and European Union (EU) trade associations as well as thirty-four large firms. The argument is that the multilevel governance approach to European integration captures the realities of EU interest intermediation better than neofunctionalism and intergovernmentalism. The article suggests that the strategies of interest organizations depend mainly on their location in the EU multilevel system and on their governance capacities. I distinguish two kinds of governance capacities: negotiation capacities and organizational resources. The analysis proceeds in the following steps: After outlining the three theories of European integration and presenting their implications for interest groups, a brief overview of the relative importance for interest organizations of EU and national institutions over time is provided. Then, cluster analysis techniques serve to identify types of interest groups according to their lobbying strategies in the multilevel system: niche organizations, occasional players, traditionalists, EU players, and multilevel players are distinguished. The composition of these clusters and the characteristics of their members support the multilevel governance approach and indicate that multilevel players have greater governance capacities than organizations in the other clusters.     

Collaborative Behavior and the Performance of Government Agencies

ABSTRACT

While collaboration among individuals, work groups, and organizations is central for understanding the performance of public agencies, most studies have focused on collaboration between organizations or sectors. We develop a model that focuses on two types of collaborative behavior: between persons (both horizontal and vertical) and between work units. We empirically test our hypotheses using data on work collaboration and perceptions of public agency performance from the United States federal government. We introduce a method for estimating the impact of different types of collaborative behavior that also accounts for nonlinear effects and a dependent variable that takes ordered values. We find that intra-organizational collaborative behavior has a large impact on organizational performance and that horizontal collaborative behavior between workers has the greatest impact among the specific types.     

The Emerging Federal Quasi Government: Issues of Management and Accountability

There has been a growing trend in the federal government toward reliance on organizations that commingle legal attributes of the government and private sectors. These hybrid organizations now constitute a quasi government that occasions both interest and concern by political leaders, practitioners, and scholars alike because these organizations touch the very heart of democratic governance: To whom are these hybrids accountable? How well is the public interest being protected against the interests of private parties? In this article, the author seeks to define the quasi government and place these hybrid entities into manageable categories from which legal and behavioral generalizations may be drawn. Are hybrid organizations a problem or a solution? Looking critically at this question, the author suggests the answer may depend in large measure on which of two management paradigms the reader accepts: the constitutionalist management paradigm or the entrepreneurial management paradigm, both of which are defined and discussed. The author concludes that the increasin reliance on hybrid organizations constitutes a threat not only to accountable management within the government, but to the fundamental values of democratic governance as well.     

Community,Authorities, and Support for Vigilantism: Experimental Evidence

Vigilante justice challenges the state’s monopoly over the use of violence and as such has come to the attention of a growing body of political scholars. However, still little is known about the circumstances that foster support for citizens circumventing the state to confront crime directly. I argue that citizens’ perceptions of a trusting community, on the one hand, and an untrustworthy law enforcement, on the other, jointly influence their support for this kind of behavior. I test these hypotheses using a lab-in-the-field experiment in Mexico, a case in which the expansion of vigilante organizations has posed a serious challenge to the state. I find that participants are more supportive of a vigilante action when those considering said action are described to be inserted within a trustworthy community. Furthermore, I find that this effect is moderated by the described trustworthiness of law enforcement. These results contribute to our understanding of the emergence of vigilantism, and how trust in authorities can moderate the normative expression of social capital.     

Accountability infrastructures: Pragmatic compliance inside organizations

We trace the pragmatic turn in regulatory governance from the level of the state and civil society to the coalface of the regulated organization. Since the 1980s, an array of new regulatory models has emerged. These models, while distinct, are unified in two related tendencies. First, they support the devolution of responsibility for standard setting, program design, and enforcement to the regulated organization. This delegation of governance to the organization itself has catalyzed the creation of accountability infrastructures within organizations, a network of offices, roles, programs, and procedures dedicated to aligning the organization's operations with external standards, codes of conduct, ethical and normative expectations, and regulations. Second, the diverse regulatory models depend, often implicitly, on organizational accountability infrastructures that incorporate the tenets of pragmatist philosophy: inquiry through narration, adaptation to context, and problem-solving through experimentation. Reviewing the empirical literature on organizational compliance, we find ample evidence of inquiry through narration at the organizational coalface. However, we find limited evidence of narrating plurality in the organization and narrating experimentation as problem-solving, as these activities create tensions with internal and external parties who expect singular, stable representations of governance. These tensions reveal an important incongruity between pragmatic governance across organizations and pragmatic governance within organizations. We contribute to the regulatory governance literature by documenting this important shift in the locus of governance to the organizational coalface and by charting a new research agenda. We argue that examinations of regulatory governance should be retraced in three ways. First, attention should shift to the organizational coalface, recognizing and analyzing accountability infrastructures as the central contemporary mechanism of governance. Second, the long-standing focus in regulatory studies on why parties comply should shift to understanding how regulated parties manage themselves to achieve compliance. Third, analyses of compliance should examine the tensions in narrating adaptation and experimentation, and the implications of such tensions for the achievement of prosocial outcomes.     

The Challenge of Strengthening Nonprofits and Civil Society

The Winter Commission Report was centrally concerned with improving the performance of state and local governments. Since the issuance of the commission’s report in 1993, the delivery of services by state and local government has been substantially changed by the growing role of nonprofit organizations in providing public services and representing citizen interests. As a result, state and local governments and nonprofit agencies are faced with complex governance challenges. The central argument of this paper is that despite the dramatic changes in the relationship between government and nonprofit organizations in recent years, the key tenets of the Winter Commission report—the need for improved training and education, greater transparency and accountability, more emphasis on performance, and improved citizen engagement—remain deeply relevant in improving the governance of the public services in an increasingly complex policy process and service delivery system at the state and local levels.     

Organizing for Crisis Management: Building Governance Capacity and Legitimacy

What makes a well‐functioning governmental crisis management system, and how can this be studied using an organization theory–based approach? A core argument is that such a system needs both governance capacity and governance legitimacy. Organizational arrangements as well as the legitimacy of government authorities will affect crisis management performance. A central argument is that both structural features and cultural context matter, as does the nature of the crisis. Is it a transboundary crisis? How unique is it, and how much uncertainty is associated with it? The arguments are substantiated with empirical examples and supported by a literature synthesis, focusing on public administration research. A main conclusion is that there is no optimal formula for harmonizing competing interests and tensions or for overcoming uncertainty and ambiguous government structures. Flexibility and adaptation are key assets, which are constrained by the political, administrative, and situational context. Furthermore, a future research agenda is indicated.     

Democracy and Troubled Autonomy: Sectarian Politics and Civil Society in Japan

Civil society organizations (CSOs) exist in overlapping fields of influence, often within contentious relationships. Although the autonomy of a CSO is generally considered critical, currently available conceptualizations of civil society tend to focus on its relation to the state and minimize the role of political parties and social movement organizations. Drawing on the case study of the Women's Democratic Club (WDC), a women's organization in Japan established in the period immediately after World War II, this article examines the ways in which CSOs' embeddedness in their socio-political contexts problematizes organizational autonomy. As a non-partisan organization with democratic values, the WDC promoted egalitarianism and embraced heterogeneous membership within the organization. However, its embeddedness in the political left and its members’ divided and conflicting loyalties challenged its autonomy as an organization. This article seeks to contribute to the inclusion of non-governmental organizations in theoretical and empirical considerations of autonomy of civil society.     

政府与社会组织关系演进的历史逻辑

从总体性二元合一走向分化性二元合一,解决分化与耦合两个方面的问题,是中国政府与社会组织关系演进的总体态势。运用结构功能主义视角,可以发现,演进历经让渡与承接、规范与依附、激活与协同等阶段,由政府与社会组织的功能性界分,到基于责任结构整合的政会功能黏附,逐渐发展为基于全面结构整合的政会功能分化与耦合。演进的基本逻辑,是政府主导下功能演变与结构调整的互动,即由政府主导的演进轨道、由功能演变与结构调整互动而构成的演进机制。展望未来,分化性二元合一体系的完善,必须按照现代国家治理的要求,在政府与社会组织之间打造共建、共治与共享的结构功能系统,实现基于责任结构契合的功能目标一致、基于权力结构合理的功能形式耦合、基于利益结构规范的功能输出互益。     

Why Do Private Governance Organizations Not Converge? A Political–Institutional Analysis of Transnational Labor Standards Regulation

Voluntary governance arrangements focusing on responsible business behavior have proliferated over the past decades, and in many sectors of industry, different governance organizations now compete for business participation. This private governance competition has negative consequences for the effective functioning of these arrangements. In the literature up until now, optimism prevails on how a process of policy convergence between organizations may come about that would solve some of the problems that arise because of this competition. It is remarkable, however, that in one of the key industries referred to in this literature, the garments industry, convergence is virtually absent. This article explains why this is so and suggests that next to three existing approaches to the evolution and possible convergence of private governance organizations, actually a fourth, pessimistic type should be introduced, taking into account the evolution and perseverance of political difference between interest groups creating and supporting private governance arrangements.     

Collaborative Innovation: A Viable Alternative to Market Competition and Organizational Entrepreneurship

There are growing pressures for the public sector to be more innovative but considerable disagreement about how to achieve it. This article uses institutional and organizational analysis to compare three major public innovation strategies. The article confronts the myth that the market‐driven private sector is more innovative than the public sector by showing that both sectors have a number of drivers of as well as barriers to innovation, some of which are similar, while others are sector specific. The article then systematically analyzes three strategies for innovation: New Public Management, which emphasizes market competition; the neo‐Weberian state, which emphasizes organizational entrepreneurship; and collaborative governance, which emphasizes multiactor engagement across organizations in the private, public, and nonprofit sectors. The authors conclude that the choice of strategies for enhancing public innovation is contingent rather than absolute. Some contingencies for each strategy are outlined.     

Legislative committees as loyalty-generating institutions

The current debate over models of self-selection in Congress — whether Congressmen by-and-large find themselves on committees which most closely correspond to their constituents' interests — has implications for theories of Congressional organization. Building on recent findings which question a categorical self-selection process, in this paper we present a theory of committee function based on loyalty to party leaders. As a rationale for leadership privilege, and to provide context for our argument, we first present a theoretical framework based on a modified model of cooperation. We then focus on certain specifics of our leadership theory; that rank-and-file members vote leadership interests in exchange for leader support in gaining choice committee assignments and aid in passing legislation. This leads to predictions about voting patterns across committees. Static tests of these relations are performed, as well as those incorporating changes in voting patterns with seniority.     

How to Achieve a More Resource‐Efficient and Climate‐Neutral Energy System by 2030? Views of Nordic Stakeholders

The Nordic countries pursue ambitious energy transition goals through national energy policies and in the framework of Nordic cooperation. We propose that the transition is realistic only if it involves the public, private, and nongovernmental organization sectors as regulators, innovators, and advocates of relevant policies and solutions representing the multitude of interests involved. We examine these interests through Q methodological experiments, where 43 expert stakeholders’ rank‐order statements concerning their preferred policy measures vis‐à‐vis the electric energy system. Factor analysis of these subjectively held views produces three distinct views. The first two enjoy strong inter‐Nordic support. The first view prioritizes market and grid development, and the second view prioritizes electric transport, and solar and wind power. The third, “Finnish” view seeks to enhance security of supply, also via microgrids, and prioritizes biofuels over electric transport. Examining the common ground among the three views, we find that enhanced cooperation requires reinforced stakeholder interaction and policy coordination.