Street‐level bureaucrats,rule‐following and tenure: How assessment tools are used at the front line of the public sector

Studies on street‐level bureaucracy examine actions of frontline workers within the public sector. In this literature, there is a lack of evidence on how job tenure affects how frontline workers respond to formal steering. We contribute to prior research by studying the nationwide introduction of an assessment support tool to be used by caseworkers to assess clients’ needs under the Swedish active labour market policy. We examine the potential effects of tenure on how caseworkers use this tool. The empirical analysis is based on quantitative and qualitative data. We show that as tenure increases, street‐level bureaucrats, especially male caseworkers, tend to act in accordance with policy signals to a lesser extent. The qualitative analysis shows that this pattern can partly be explained by the fact that increasing experience with meeting clients face to face increases caseworkers’ perceived confidence and skills.     

NEGOTIATING BUREAUCRATS

This article will present the argument that frontline bureaucrats fulfilling their duties within an infrastructure bureaucracy can be understood as negotiating bureaucrats, policymakers, and cousins to street‐level bureaucrats. Empirically, the argument is based on data from an exploratory case study of a major road construction project in Sweden collected through passive participatory observation, interviews, and documents; the main source of theoretical inspiration is implementation theory and the theory of street‐level bureaucracy. Working conditions, both similar to and different from street‐level bureaucrats, are discussed, and patterns of negotiating practices are identified and analyzed. The analysis indicates that a fragmented implementation structure has effects on when and how negotiating practices are applied, and on policy outcomes, bureaucratic legitimacy, and political efficacy.     

Do tax officials use double standards in evaluating citizen‐clients? A policy‐capturing study among Dutch frontline tax officials

In line with psychological and economic discrimination theories, street‐level bureaucracy studies show a direct effect of citizen characteristics on officials' judgements, or show how street‐level bureaucrats employ stereotypical reasoning in making decisions. Relying on sociological double standards theory, this study hypothesizes that citizen‐clients' status characteristics influence officials' evaluations not only directly, but also indirectly and more pervasively by influencing the interpretation of other signals. By means of a policy‐capturing study among Dutch frontline tax officials, this study takes a first step in testing double standards propositions in the context of official–citizen encounters. The findings support only some hypotheses, but indicate that citizen‐clients' level of education could serve as a moderating context affecting the interpretation of cues. The article provides important theoretical and methodological guidelines for future research on stereotyping at the front line.     

Terms of trade and class conflict in a computable general equilibrium model for Mexico

A computable general equilibrium model for Mexico is constructed in which class conflict over the distribution of the surplus is the principal determinant of the terms of trade. The model consists of seven social classes and eight productive sectors. Classes are distinguished as ‘fundamental’ or ‘subsumed’ according to whether their incomes are primarily determined by conscious class struggle or by the resulting system of relative prices. Flexible prices are assumed to clear markets for which non‐produced means of production, such as agricultural land, limit supply while output in the remaining sectors is determined by the level of effective demand. For the latter sectors, two theories of price formation are compared and are seen to differ radically in their implicit conception of the nature of class conflict. A ‘Keynes‐Kalecki’ closure is considered in which prices are determined by a fixed mark‐up on costs. This enables capitalists to protect themselves from incursions on the rate of profit due to labour militancy or state‐imposed terms‐of‐trade policy designed to favour peasants andlor the agrarian bourgeoisie. A second, ‘Marx‐Sraffian’ price closure constrains the economy to a wage‐profit‐terms‐of‐trade surface; where the economy conjuncturally resides on this surface depends upon the level of effective demand, wages and terms‐of‐trade policy. Various policy scenarios are investigated under both closures.     

IS OUTPUT PERFORMANCE ALL ABOUT THE RESOURCES? A FUZZY‐SET QUALITATIVE COMPARATIVE ANALYSIS OF STREET‐LEVEL BUREAUCRATS IN SWITZERLAND

This article refines Lipsky's assertion that lacking resources negatively affects output performance. It uses fuzzy‐set Qualitative Comparative Analysis to analyse the nuanced interplay of contextual and individual determinants of the output performance of veterinary inspectors as street‐level bureaucrats in Switzerland. Moving ‘beyond Lipsky’, the study builds on recent theoretical contributions and a systematic comparison across organizational contexts. Against a widespread assumption, output performance is not all about resources. The impact of perceived available resources hinges on caseloads, which prove to be more decisive. These contextual factors interact with individual attitudes emerging from diverse public accountabilities. The results contextualize the often‐emphasized importance of worker–client interaction. In a setting where clients cannot escape the interaction, street‐level bureaucrats are not primarily held accountable by them. Studies of output performance should thus consider gaps between what is being demanded of and offered to street‐level bureaucrats, and the latter's multiple embeddedness.     

Negotiated compliance at the street level: Personalizing immunization in England,Israel and Sweden

Often portrayed as behaviour that is inconsistent with policy goals, public noncompliance poses a significant challenge for government. To explore what compliance efforts entail on the ground, this study focuses on childhood immunization as a paradigmatic case where a failure to ensure compliance poses a public health risk. The analysis draws on 48 semi‐structured interviews with frontline nurses and regional/national public health officials in England (N = 15), Sweden (N = 17) and Israel (N = 16), all of which have experienced periodic noncompliance spikes, but differ in direct delivery of vaccination provision. Compliance efforts emerged as a joint decision‐making process in which improvisatory practices of personalized appeals are deployed to accommodate parents’ concerns, termed here ‘street‐level negotiation’. Whereas compliance is suggestive of compelling citizens’ adherence to standardized rules, compliance negotiation draws attention to the limited resources street‐level workers have when encountering noncompliance and to policy‐clients’ influence on delivery arrangements when holding discretionary power over whether or not to comply.     

WEBER AND KAFKA: THE RATIONAL AND THE ENIGMATIC BUREAUCRACY

Max Weber's and Franz Kafka's respective understandings of bureaucracy are as different as night and day. Yet, Kafka's novel The Castle is best read with Max Weber at hand. In fact, Kafka relates systematically to all the dimensions in Weber's ideal type of bureaucracy and give us a much‐contemplated parody, almost a counter‐punctual ideal type, based on four key observations: bureaucratic excesses unfold in time and space; a ‘no error’ ideology generates inescapable dilemmas; inscrutability is a life condition in bureaucracy; civil servants end up walking on the spot, just like the figures in Escher's painting: Ascending and Descending. Nevertheless, Weber and Kafka can both be right. While Kafka looks at the bureaucratic phenomenon through persons who are marginalized, Weber's perspective is historic‐comparative and top‐down. Are the observations of the one more correct than the other? The question is meaningless. As two opposite poles, Weber and Kafka ‘magnetize’ each other.     

HOW LOW CAN YOU GO? RATIONALES AND CHALLENGES FOR NEIGHBOURHOOD GOVERNANCE

Associated with innovation in both democratic practice and service design, neighbourhoods are high on policy agendas across Europe. Drawing upon classic debates about size and devolution, the article identifies four distinct rationales for neighbourhood governance: civic, social, political and economic. In England, the ‘new localism’ agenda gets near to developing a comprehensive case for neighbourhood governance, drawing upon all four rationales. Options for institutional design are explored with reference to four ideal types: (1) neighbourhood empowerment; (2) neighbourhood partnership; (3) neighbourhood government; (4) and neighbourhood management. Key challenges for neighbourhood governance are analysed in terms of capacity, competence, diversity and equity. The article argues that the classic democracy/capacity trade‐off associated with small units needs to be re‐thought in the context of the ‘new governance’ (multi‐level, multi‐actor and e‐enabled). Rather than confronting one big trade‐off, institutional designers face a series of questions about the underlying purposes and priorities of neighbourhood governance.     

THE CENTRE STRIKES BACK: META‐GOVERNANCE,DELEGATION, AND THE CORE EXECUTIVE IN THE UNITED KINGDOM, 2010–14

A growing literature on ‘agencification’, ‘quangocratization’, and the ‘autonomization’ of the state has highlighted a coordination dilemma in contemporary public governance whereby governments rely on delegated governance but are frustrated by the lack of control that arises from such structures. In the run‐up to the 2010 General Election in the United Kingdom this coordination dilemma was prominent as the capacity of the Cabinet Office to exert control over arm's‐length bodies, either directly or indirectly, received intense criticism. This article presents the findings of the first detailed research project to examine the subsequent Coalition Government's approach to this dilemma. It argues that in relation to the governance of public bodies, the role and capacity of the Cabinet Office has been transformed. In mapping this development the article explores the implications of the centre striking back in the context of ‘post‐New Public Management’ reforms.     

SYMPOSIUM ON CHANGING MODES OF GOVERNANCE IN PUBLIC SECTOR ORGANIZATIONS: ACTION AND RHETORIC

This symposium grew out of the sub‐theme, ‘New Modes of Governance in Public Sector Organizations’, of the European Group for Organizational Studies (EGOS) Conference held in Ljubljana in July 2004. Our aim was to provide a forum to discuss the policy and practice and the space between in public sector management and governance within Europe.     

Theory building: the debate between modernist and interpretive social science in the pursuit of democratic governance

Bevir’s Democratic Governance advances a new theory of governance. The theory rejects reliance on bureaucracy, market and community on the one hand, and strives to embrace a participatory and deliberative rationality to achieve democratic governance on the other. The fundamental question remains: in what ways can his theory ease the tension and bridge the gap between democracy and bureaucracy? If readers are interested in the development of a more coherent theory on public administration or prefer a more balanced perspective in the study of democratic governance, this book serves as a good start, though it may not be able to give you the ultimate answer.     

The post-cold war predicament: A conclusion

The 1997 Asian economic crisis discredited the international discussion about ‘Asian values’ in Pacific Asia, replacing it with a globalised ‘good governance’ discourse. The financial breakdown undermined claims by Asian autocrats that government should be based on authoritarian ‘Asian values’, not ‘Western democracy’. Yet, seven years later, authoritarian regimes in the region are flourishing while the new democracies flounder. Why have dictatorships, not democracies, prospered politically since the Asian financial crisis? Pacific Asia began as an ‘imagined community’ of developmental dictatorships, making authoritarian development the ‘original position’ against which democratic governance is judged. While the demise of ‘Asian values’ contributed to the fall of the Suharto regime in Indonesia, it did less harm to authoritarian regimes in more economically developed Malaysia and Singapore. The US‐led anti‐terror coalition provided several authoritarian rulers in Pacific Asia with welcome support from the West, while allowing them to weaken internal opposition. The new democracies, by contrast, faced international pressures to combat terrorism, often arousing local protest. Finally, middle class‐based reformist movements have risked destabilising the region's new democracies in the name of good governance.     

Conceptualizing throughput legitimacy: Procedural mechanisms of accountability,transparency, inclusiveness and openness in EU governance

This symposium demonstrates the potential for throughput legitimacy as a concept for shedding empirical light on the strengths and weaknesses of multi‐level governance, as well as challenging the concept theoretically. This article introduces the symposium by conceptualizing throughput legitimacy as an ‘umbrella concept’, encompassing a constellation of normative criteria not necessarily empirically interrelated. It argues that in order to interrogate multi‐level governance processes in all their complexity, it makes sense for us to develop normative standards that are not naïve about the empirical realities of how power is exercised within multi‐level governance, or how it may interact with legitimacy. We argue that while throughput legitimacy has its normative limits, it can be substantively useful for these purposes. While being no replacement for input and output legitimacy, throughput legitimacy offers distinctive normative criteria—accountability, transparency, inclusiveness and openness—and points towards substantive institutional reforms.     

The global governance of informal economies: the International Labour Organization in East Africa

This article develops a Gramscian approach to the governance of ‘informal’ economies through a historical study of International Labour Organization (ILO) programmes in East Africa. Drawing on Gramsci’s conception of the ‘subaltern’, the article highlights the ways in which the articulation of ‘informality’ in policy documents is coloured by broader struggles over the political organisation of labour. The article develops this argument through two case studies. The first examines the World Employment Programme mission to Kenya in the 1970s that popularised the concept of ‘informal’ labour. The second is a contemporary programme on apprenticeships in the informal economy that originated in Tanzania.     

Connecting governance and the front lines: How work pressure and autonomy matter for coping in different performance regimes

How frontline employees cope with perceived work pressure may be of direct influence on policy outcomes. This study contributes to the street‐level bureaucracy literature in several ways. First, we study both passive client‐oriented and active system‐oriented coping. Second, we analyse how these coping behaviours relate to work pressure and work autonomy. Finally, this article analyses whether these relationships are conditioned by the performance regime. Using a unique set‐up of hospital employees (n = 979) working in external and internal performance regimes, we find a higher level of system‐oriented active coping than client‐oriented passive coping. Moreover, we find that autonomy matters for system‐oriented coping and work pressure for client‐oriented coping, and that these relationships are context‐dependent.     

Do consistent government policies lead to greater meaningfulness and legitimacy on the front line?

We investigate the impact of policy consistency on frontline workers’ perceptions of policy meaningfulness and legitimacy. The results from an experiment involving 779 teachers indicate that policy consistency does have a positive effect on legitimacy and to a lesser extent on meaningfulness. However, the extent depends on policy content and the degree of autonomy. Overall, our findings emphasize the potential positive impact of policy consistency. Although this, to some extent, conflicts with the nature of political decision‐ and policy‐making (i.e., democratically elected governments have been mandated to change policy), our study suggests that policy consistency could be a valuable strategy for governments to strengthen successful policy implementation. This adds a new perspective to the continuing debate within policy implementation and street‐level bureaucracy research on how to account for the complex, messy and sometimes contradictory implementation of public policies.     

Co‐production as a route to employability: Lessons from services with lone parents

Policy‐makers claim to support personalized approaches to improving the employability of disadvantaged groups. Yet, in liberal welfare states, mainstream activation programmes targeting these groups often deliver standardized, low‐quality services. Such failures may be related to a governance and management regime that uses tightly defined contracting and performance targets to incentivize (mainly for‐profit) service providers to move people into any job as quickly as possible. This article draws on evidence from third sector/public sector‐led services in Scotland to discuss an alternative approach. These services co‐produced personalized support in partnership with disadvantaged service users (in this case vulnerable lone parents). We suggest that, in this case, street‐level co‐production and personalization were facilitated by co‐governance and co‐management in the design and organization of provision. We conclude by identifying lessons for future employability services.     

ELITE ETHNOGRAPHIES: POTENTIAL,PITFALLS AND PROSPECTS FOR GETTING ‘UP CLOSE AND PERSONAL’

This article celebrates Rod Rhodes' use of ethnography to study political elites ‘up close and personal’. Initially Rhodes' work is contextualized within the development of political ethnography more generally, before his ethnographies of ‘Everyday life in a Ministry’ are reviewed, illustrating the potential of ethnography to research policy‐making elites. This review highlights epistemological and ontological questions which link to criticism of Rhodes' work as taking an anti‐foundational stance. In looking at future prospects for ethnography in governance settings, this article argues that researchers building on Rhodes' scholarship can choose whether to use ethnography as a ‘method’ or an ‘interpretive methodology’. In concluding, the case is made for a ‘constructivist modern empiricism’ which utilizes the ethnographic method alongside other research methods as being most useful for public policy and administration scholarship aiming to be practically useful for understanding either the processes of public policy‐making or its impact.     

GOVERNING INFORMATION: A THREE DIMENSIONAL ANALYSIS OF ENVIRONMENTAL ASSESSMENT

This article examines the institutional, political and regulatory dimensions of environmental assessment (EA) processes. While EA is most often conceptualized as a regulatory instrument, this article contends that viewing EA in this narrow fashion obscures the broader implications and significance of EA as a distinct form of governance. When conceived as a mode of governance, EA varies considerably in terms of the key governance characteristics emphasized in this symposium. The empirical evidence rests upon three cases studies looking at very different multi‐level governance contexts: the Tamar Valley Pulp Mill in Australia, the Whites Point Quarry in Canada, and the Byströe Canal Project in the Ukraine. The case study analysis identifies large variations in the institutional, political and regulatory form that EAs take, indicating that approaches identifying EA as a form of ‘New Governance’ are overly simplistic. The analysis also points to the multi‐directional influence of different governance dimensions. The insights derived from the use of the three dimensional framework validate its value as an analytical tool.     

Local Government at the Nexus?

The modernisation of local government in the UK, pursued by Labour governments since 1997, has covered many, often conflicting elements. Councils have been encouraged to be both strategic ‘place shapers’ and also involved in the nurturing of democratic engagement. This latter theme of ‘democratic renewal’ has in itself contained paradoxical elements, but has been a consistent focus of attention. This debate around democratic renewal has also taken place in the context of a broader ‘rethinking’ of local governments’ role, in an era of partnerships, governance and new models of service delivery. Normatively and practically new justifications for local government have been sought. One such normative foundation has drawn on a range of theoretical perspectives to reimagine the place of local government in the democratic polity, seeing local authorities and local councilors as facilitators or nurturers of democratic health. In particular, broad theoretical developments in communicative and deliberative democracy, and also, more recently, on work based in ‘second generation’ governance theory, have been drawn upon to place local government at the nexus of state and civil society. This paper will examine the possibilities for such a role, from a normative standpoint, to argue that local government can have only limited success in this role, particularly in the context of New Labour's restructuring of the local state.