Performance regulation in a networked healthcare system: From cosmetic to institutionalized compliance

This article studies the role of a public regulator in managing the performance of healthcare professionals. It combines a networked governance perspective with responsive regulation theory to show the mechanisms that have added to significant changes in medical cost management in the Netherlands. In a five-year period, hospital practices transitioned from cosmetic compliance with performance regulation and strategic upcoding to institutionalized compliance more in line with regulatory goals. The article demonstrates how policy changes transformed incentive structures, introduced new forms of accountability, and added actors to the network with technocratic disciplining tasks. The networked character of performance regulation offered opportunities for a responsive, non-coercive regulatory strategy that engaged various actors in a regulatory conversation about strategic coding. Responsive regulation can reduce strategic responses to performance regulation and manage the gap between administrative and clinical logics. The case study contributes to our understanding of the effectiveness of responsive, non-punitive regulation in networked settings.     

REGULATORY RED TAPE AND PRIVATE FIRM PERFORMANCE

Regulation may obstruct dynamic adaptation, innovative power, and entrepreneurial activity. On the other hand, regulation could be interpreted as a phenomenon which society just has to learn to live with, and which otherwise does no real economic harm. This article explores both of these hypotheses. We study the impact of three dimensions of regulatory red tape on the performance of private companies: regulation cost, regulation change, and regulation inconsistency. We analyse unique survey data from 530 Dutch private companies. The results show that regulation cost, inconsistency, and change limit sales turnover growth, and that regulation change hampers market competition performance.     

Regulating lobbying through voluntary transparency clubs: The connoisseurs’ assessment. Evidence from the European Union

Regulating private actors’ participation in policy‐making is key to democratic governance. Across political systems, targeted transparency is used to regulate lobbying activities. We examine the extent to which primary regulatory targets (organizations with frequent access to policy‐makers) support the architecture of lobbying regulation regimes set up as voluntary transparency clubs. Our empirical testing ground is the European Union. We conceptualize the EU Transparency Register as a Voluntary Transparency Club, elaborate on its club goods, and derive a set of theoretical expectations about its members’ evaluations of the club's transparency standards, membership size, and monitoring and enforcement mechanisms. We find significant differences between members’ and non‐members’ assessment regarding the regulatory performance of this transparency club. Members with frequent access to executive policy‐makers criticize the club's transparency standards and do not consider the Register a useful regulatory instrument. Yet, they support expanding its regulatory remit and increasing the club membership.     

Understanding the Regulatory Thicket: Interactions Among State Environmental Regulators and Regulatees

Research exploring state-level regulatory interactions in the U.S. often employs survey methodology to ask front-line actors about their experiences. While these efforts are noteworthy, we argue that it is important to investigate these interactions utilizing a different approach. In this exploratory study, we use randomized vignettes, to which a respondent can react without fear of revealing practices or succumbing to social desirability. Our results are in concert with a growing body of literature that suggests cooperation between the regulator and regulatees is essential for future interactions in order to achieve compliance, yet each party’s perceptions may not be completely congruent.     

Contesting land grabs,negotiating statehood: the politics of international accountability mechanisms and land disputes in rural Cambodia

Abstract

In Cambodia, rural citizens embroiled in protracted land grabbing cases with the state and private companies are turning increasingly to international accountability mechanisms for resolution. This article applies the interlinked concepts of hybrid governance and legal pluralism to understand the prospects and limitations of ‘forum-shopping’ through appeals to international mechanisms for rural communities affected by land grabs. Drawing on interviews and using process tracing, it examines the outcomes of a mediation case filed with the International Finance Corporation’s Compliance Advisor/Ombudsman (CAO) involving indigenous groups and a Vietnamese rubber company in north-east Cambodia. It argues that while international accountability mechanisms yield platforms for dispossessed groups to assert claims, they also reify choices between entitlements and attainability without circumventing the problems associated with justice delivery under Cambodia’s authoritarian regime. Overall, this study highlights the interaction, competition and collaboration between distinct forms of regulatory authority exercised by national and transnational actors involved in land grabbing cases in Cambodia, demonstrating their role in ‘negotiating statehood’ by governing local claims to land.     

Competition and Coordination in Bank Regulation: The Financial Crisis of 2007–09

The ability of businesses to shift regulatory jurisdictions has long raised questions about whether this generates a regulatory race to the bottom (RTB). Prior to the Financial Crisis of 2007–09, the structure of U.S. federal bank regulation raised similar questions, as banks could choose their regulator and regulators received fees for assessing banks. I investigate this question, through the theoretical lenses of bureaucratic structure, regulatory capture and bureaucratic reputation. Relying on quantitative and qualitative data, I find that the initial regulatory structure did induce a regulatory RTB, but once the Financial Crisis had begun, reputational fears on the part of federal agencies reversed the race, as the regulators strengthened standards and brought more enforcement actions. The paper ultimately shows that multiple theories help to explain what is going on with regulatory RTBs.     

Private Governance and the South: lessons from global forest politics

Abstract

Private governance beyond the state is emerging as a prominent debate in International Relations, focusing on the activities of private non-state actors and the influences of private rules and standards. However, the conceptual framework of governance has until recently been employed predominantly with reference to the oecd world. Despite this restricted view, a growing number of processes, organisations and institutions are beginning to affect developing countries and new institutional settings open up avenues of influence for actors from the South. In the context of a lively debate about global governance and the transformation of world politics, this article asks: what influences does private governance have on developing countries, their societies and their economies? What influence do southern actors have in and through private governance arrangements? I argue that we can assess the specific impacts of private governance, as well as potential avenues of influence for actors from the South, with regard to three functional pathways: governance through regulation, governance through learning and discourse, and governance through integration. Focusing in particular on private governance in the global forest arena, I argue that, while southern actors have not benefited so much economically from private certification schemes, they have been partially empowered through cognitive and integrative processes of governance.     

Assessing the European Union's engagement with transnational policy networks on conflict-prone natural resources

Transnational policy networks (TPNs) are attracting greater scholarly interest given their impact on the contemporary conduct of international affairs. While this has been a welcome development for International Relations scholars and provided some preliminary insights, there is a need for more scholarly studies of TPNs that delve into specific issue-areas on a comparative basis. The paper addresses the above need by providing analyses of the role of European Union (EU)-based actors – the European Commission, member states, civil society organizations, and firms – in regulatory frameworks on conflict-prone natural resources such as oil, diamonds, coltan, tin, tungsten, and gold. To that end, the paper draws upon participant observations, interviews with state and non-state actors, and access to primary documents in order to provide a comparative examination of EU-based state and non-state actors within the Extractive Industries Transparency Initiative and draft EU legislation that seeks to prevent the trade of conflict-prone minerals.     

SELF‐REGULATION WITHIN THE REGULATORY STATE: TOWARDS A NEW REGULATORY PARADIGM?

An emerging feature of the modern regulatory state in Britain and elsewhere is the promotion of self‐regulation. This paper examines the relationship between the state and self‐regulation in the context of the challenge of meeting public interest objectives. It draws on research on the policy and practice of self‐regulation in recent years in Britain. The paper argues that the institutions, processes and mechanisms of the modern regulatory state and the ‘better regulation’ agenda in Britain, notably those that aim to foster transparency and accountability, can assist in the achievement of public interest objectives in self‐regulatory schemes. We conclude that a ‘new regulatory paradigm’ can be put forward which involves a form of regulatory ‘subsidiarity’, whereby the achievement of regulatory outcomes can be delegated downwards to the regulated organizations and self‐regulatory bodies while being offset by increasing public regulatory oversight based on systems of accountability and transparency.     

FRAGMENTED OR CONNECTIVE PROFESSIONALISM? STRATEGIES FOR PROFESSIONALIZING THE WORK OF STRATEGISTS AND OTHER (ORGANIZATIONAL) PROFESSIONALS

Many professionals, especially organizational ones (managers, controllers, strategists), face difficulties in organizing their professional fields. Work ambiguities and dependencies on outsiders make it difficult to set homogeneous standards and shelter occupational domains. Professionalism tends to be fragmented. It is questionable, however, whether professionalization is a matter of either enforced regulation or fragmented regulatory forms. More connective forms of professional control might enable groups to establish professional domains, despite ambiguities and dependencies. In order to understand professionalization dynamics in public domains and the relevance of connective professionalism, we study the development of one particular field, strategists in government. We show that the professionalization of Dutch strategists is fragmented: strategists are a varied and mobile group; they have different ideas about work; they depend on many other actors and factors. We also show that strategists opt for either more enforced forms of professionalism, or less professional control. Finally, we show how they might establish connective professionalism. By enacting embedded work spaces, strategists can reconfigure their work. This is also relevant for other (organizational) professionals.     

Crisis and Upgrading: The Case of the Hungarian Automotive and Electronics Sectors

By triggering a wave of organisational restructuring, reconfiguration of supply chains and consolidation of business processes at multinational companies, the crisis offered significant upgrading opportunities for peripheral actors in globalised production networks (the so-called global value chains). Drawing on Hungarian case studies of local subsidiaries in the automotive and electronics industries, this essay investigates the crisis-induced product, process and functional upgrading opportunities in low-cost locations. We show Hungary's high level of integration into global value chains and document the rapidly ongoing process of functional upgrading.     

State effects and the effects of state building: institution building and the formation of state-centred societies

This article discusses the assumptions underlying state-building efforts and the effects of these efforts. It addresses two main questions: why has state building not led to the establishment of effective states? And what are the effects of statebuilding? It is argued that these efforts have been based on an institutionalist model of the state derived from a Weberian framework, and that the basic reason why state building has failed is that the creation of effective states requires the creation of state-centred societies, where both material and symbolic resources are concentrated in the state. This is very difficult to achieve for external actors. But, although state building has not achieved the kinds of effects associated with effective states, it has nevertheless had significant effects. These include, first, accentuating the patrimonialism which has led to state weakness in the first place; second, reductions in national sovereignty as external actors’ substantial influence on policy agendas renders the state itself subject to control and regulation by actors external to it; and, third, perpetuating the idea of the state, while undermining the possibility of creating actual states which conform to this idea.     

Power,REDD+ and reforming forest governance in Indonesia

Abstract

This paper analyses the various power relations that shape forest policy and governance reform in Indonesia. It applies Foucault’s theories on power to several key initiatives introduced as part of REDD+ (Reducing Emissions from Deforestation and Forest Degradation). By analysing both the operation and the effects of power relations the paper accounts for how competing actors influence major policy change, and the impact different policies have on governing multiple forest users. Sovereign and disciplinary power underpins government attempts to implement new regulatory, planning and enforcement functions across the forest estate. Policy instruments such as the concession moratorium create securitised territorial zones that enable sustainable forest practices to operate. By contrast, forest management units operate through inclusive strategies that discipline forest users into responsible managers, whilst enforcement excludes those who contravene the law. Productive power and resistance explain efforts by government and non-government actors to progress or limit REDD+. Productive power operates through the multiple activities that generate new knowledge on incentivising carbon, and by engaging new subjects in carbon projects. Community resistance draws on discourses and localised subjectivities focussed on forest dependency and rights, whereas industry networks have been adept at positioning REDD+ as a threat to national development.     

Regulatory reform,property rights,and economic development

Overcoming tradeoffs between the social benefits of regulation and the economic benefits of development has never been easy in practice. This article examines the economic development consequences of state and local regulation by developing a framework that provides a theoretical basis for expecting regulatory costs to influence the amount and location of new development. After elaborating the theory, I identify two ways state and local governments may be able to pursue regulatory goals without creating disincentives for economic development. One approach is for state or local government to socialize costs of regulatory compliance through public expenditures or subsidies. A second, and more promising, approach is to pursue regulatory reform which lessens private sector transaction costs by reducing regulatory uncertainty. This framework is illustrated using two cases: state regulation of the chemical industry, and growth management regulation.     

THE WELFARE STATE: A REGULATORY PERSPECTIVE

The role of regulation and the regulatory state in social policy, redistribution, and the reforms of the welfare state are increasingly important but often underestimated and misunderstood. These problems are evident in Majone's highly influential work where the regulatory state and the ‘positive’ state stand as two alternative monomorphic forms of state. This article offers a polymorphic alternative where the regulatory state may come to the rescue of the welfare state, allowing independent extension, retrenchment, and stagnation of welfare via social regulation. The article extends a regulatory governance perspective into the core of the welfare state, clarifies the relations between fiscal and regulatory instruments, and demonstrates that the boundaries of the regulatory state are wider than are usually understood. It turns our understanding of the welfare state on its head, highlighting first the less visible regulatory layer, and then the more visible layer of fiscal transfers.     

Moderate Islam and secularist opposition in Turkey: implications for the world,Muslims and secular democracy

Developing an argument based in theories of democratic consolidation and religious competition, and discussing the reasons for the secularist opposition to the government, this article analyses how government by a party rooted in moderate Islamism may affect Turkey's peculiar secular democracy, development and external relations and how Muslims in the world relate to modernization and democracy. Arguing that secularism in advanced democracies may be a product of democracy as much as it is the other way around, the article maintains that democratic consolidation may secure further consolidation of Turkish secularism and sustainable moderation of Turkish political Islam. Besides democratic Islamic – conservative actors and other factors, democratic consolidation requires strong democratic – secularist political parties so that secularist and moderate Islamist civilian actors check and balance each other. Otherwise, middle class value divisions and mistrust in areas like education and social regulation may jeopardise democratisation and economic modernisation and continuing reconciliation of Islamism with secular democracy and modernity.     

Performance Regimes—The Institutional Context of Performance Policies

Performance measurement, targeting, reporting and managing of public services has spread across jurisdictions in recent years. The most usual stance adopted by governments in developing performance policies has been shaped by principal-agent theory and a hierarchy of principal-agent relationships from core executive to service delivery. Such notions have been challenged from several directions, both in theory and empirically. Writers on accountability and those analyzing the “audit explosion” and the growth of “regulation inside government” have pointed to the way in which multiple actors and accountabilities have grown. Drawing on these and other sources this article develops a “performance regimes” perspective that offers a heuristic analytical framework of the main groups of institutional actors who can (but do not always) attempt to shape or steer the performance of service delivery agencies. The aim is to create a framework that can be applied comparatively to study changes in total performance regimes over time and between jurisdictions and sectors.     

INDEPENDENT REGULATORY BODIES AND IMPOSSIBLE JOBS: THE FAILURE OF GERMAN PUBLIC SERVICE BROADCASTING REGULATION

This case study takes the rise and fall of licence fee indexation within German public service regulation as an example and traces mechanisms of re‐politicization of independent regulatory agencies (IRAs). According to the evidence, agency contestation is likely when: (1) administrative cultures result in incoherencies in institutional design; (2) IRAs deal with redistribution; (3) conflicts about principles of regulation persist; (4) IRAs pursue one particular regulatory ideology; (5) controversial regulatory output is highly visible; and (6) affected interests are not given a say. The article points to the relevance of new regulatory technologies that are likely to embody regulatory bias. Moreover, it seems that successful contestation of IRAs requires the conjunction of escalating factors. Nevertheless, such contestation might not result in a return to old modes of command and control.     

Steering the Community Regulatory System: the Challenges Ahead

This article reviews the process of regulatory reform in the European Union (EU). The main argument is that EU initiatives have been cast in a rather narrow conceptual framework, limited to issues such as simplification and better law-making. Although important, these issues are only a component of the wider task of governing regulation. Therefore I introduce and discuss three proposals for re-casting the debate on EU regulation. First, the focus should be shifted from 'better law-making' to 'better regulatory policy-making'. Second, regulatory management, rather than simplification, should represent the strategic objective of EU institutions. Third, regulatory reform should be accompanied by administrative reform. Consequently, the relative impenetrability of the Commission to administrative reform represents a serious obstacle to regulatory reform.     

China's economic integration into global regulatory frameworks: A study of government procurement

This paper examines the extent of China's integration in the global economy and its ability to implement the WTO commitments by using government procurement as a case study. This paper argues that the domestic framework of government procurement has been gradually harmonized with the WTO commitments. Full implementation of the commitments has been constrained by several factors: policy elites consider government procurement to be a drive of cost saving and against corruption instead of a policy of spurring trade liberalization. There are still significant discrepancies between the domestic and international regulatory frameworks. Besides that, the implementation contradicts the policy priorities of local state actors on whom the policy of elites heavily depend for success. The Chinese government's capacity in enforcing international agreements has further been undermined by the structural problems of the administration.