The Origins of Conflict in Polycentric Governance Systems

Natural resources are governed by polycentric systems, which can be conceptualized as an “ecology of games” in which policy actors participate in multiple policy forums governing interdependent issues. This article analyzes why actors perceive different payoffs across the forums in which they participate, ranging from mutually beneficial games of cooperation to conflictual zero-sum games in which one actor's gain means another actor's loss. The authors develop hypotheses at the level of the individual, the forum, and the overall polycentric system and test them using survey data collected in three research sites: Tampa Bay, Florida; the Paraná River delta, Argentina; and the Sacramento–San Joaquin River delta, California. The empirical findings suggest that levels of conflict in policy forums are higher when the actors who participate in them are concerned with hot-button issues, when the forums have large and diverse memberships, and in systems with a long history of conflict. The results shed new light on the drivers of conflict and cooperation in complex governance systems and suggest ways to manage conflict.     

Transaction Costs and the Perceived Effectiveness of Complex Institutional Systems

This article studies factors affecting how policy actors perceive the effectiveness of political institutions involved in complex water governance systems. The ecology of games framework argues that participants are more likely to perceive institutions as effective when the benefits of solving collective action problems outweigh the transaction costs of developing political contracts within these institutions. The authors hypothesize that transaction costs are a function of conflict, type of participation, political knowledge, scientific knowledge, and actor resources. Survey results suggest that the importance of these different sources of transaction costs varies across study sites in the Tampa Bay watershed in Florida, the Sacramento–San Joaquin River delta in California, and the Paraná River delta in Argentina. Based on the observed differences, some initial ideas are sketched about the evolution of complex governance systems from fairly simple and informal rules and networks to well‐established tapestries of many formal institutions.     

Understanding What Shapes a Polycentric Governance System

Recent research has shown that communication networks involving governmental and nongovernmental actors self‐organize based on how risk is perceived. According to the “risk hypothesis,” actors embedded in governance systems in which there is widespread risk of defection tend to form bonding structures, whereas those in low‐risk systems form bridging structures. A parallel strand of research proposes to study complex governance systems composed of multiple actors and the decision‐making forums in which they interact. In this article, the authors couple these research threads and show how bonding and bridging structures form when stakeholders participate in three complex governance systems of varying institutional strength. Findings suggest that the prevalence of one type of structure over the other depends on contextual variables such as the stability of the institutions and the occurrence of environmental focusing events that demand quick policy responses.     

EMS-based Environmental Regimes as Club Goods: Examining Variations in Firm-level Adoption of ISO 14001 and EMAS in U.K., U.S. and Germany

This paper examines variations in firm-level adoption of environmental management systems (EMS) – ISO 14001 and the European Union's Eco-Audit and Management Scheme (EMAS) – in the United Kingdom, Germany and the United States. Drawing on insights from club theory, institutional theory, and stakeholder theory, it argues that despite the fact that these EMS are created by supranational organizations (one regional and one international), firms' perceptions of their costs and benefits are largely determined by domestic factors. In particular, these perceptions are shaped by how EMS are promoted and information about them is disseminated in each country (supply aspects) and how the constellation of stakeholders (suppliers, environmental groups, regulators, general public) support their introduction (demand aspects). The paper concludes that there are numerous ways governments and interested stakeholders can encourage companies to adopt voluntary environmental codes. The key is to find the right mix of incentives for specific national contexts.     

Transnational private governance between the logics of empowerment and control

Transnational private governance initiatives that address problems of social and environmental concern now pervade many sectors. In tackling distinct substantive problems, these programs have, however, prioritized different problem‐oriented logics in their institutionalized rules and procedures. One is a “logic of control” that focuses on ameliorating environmental and social externalities by establishing strict and enforceable rules; another is a “logic of empowerment” that concentrates on remedying the exclusion of marginalized actors in the global economy. Examining certification programs in the areas of fair trade, organic agriculture, fisheries, and forest management, we assess the evolutionary effects of programs prioritizing one logic and then having to accommodate the other. The challenges programs face when balancing between the two logics, we argue, elucidate specific distributional consequences for wealth, power, and regulatory capabilities that private governance programs seek to overcome.     

Museum Outreach Programs to Promote Community Engagement in Local Environmental Issues

Ideas of ‘community’ and ‘community voice’ have been mobilised in collaborative programs developed between the National Museum of Australia and the Murray‐Darling Basin Commission since 1992. This collaboration is set within a broader context of changing ideas and practice around governance, community and environmental issues. The recent Murray‐Darling Outreach Project (MDOP), a series of museum outreach projects with regional communities aiming to increase community engagement in local environmental issues in the Murray‐Darling Basin, is specifically examined. Evaluation research on the MDOP found that the approach to program development significantly shaped the types of voices, range of issues presented and the nature of the communicative forums established. The potential impacts on online audiences are discussed along with broader implications for government agencies involved in community partnerships.     

Managing Incentive Dynamics for Collaborative Governance in Land and Ecological Conservation

Public governance often involves policy tools and stakeholders from multiple sectors. How different policy tools are used may affect the chances that the values and interests of diverse stakeholders can be aligned in mutually supportive ways. Drawing on insights from behavioral and cognitive economics, this article uses the case of land and ecological conservation in Twin Lake, Taiwan, to illustrate how various interactive dynamics—hierarchical exclusion and preemptive effects—may affect efforts in land and ecological conservation involving stakeholders from multiple sectors. Such illustrations may inform the choice and sequencing of policy tools for facilitating collaborative governance.     

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.     

How governance boundaries affect regional collaboration on atmospheric governance—Evidence from China's Yangtze River Delta

Regional public affairs will become more complex when contradictions emerge between administrative boundaries and policy issues that require cross-boundary collaboration. Breaking administrative boundaries has become a prerequisite for facilitating inter-local government collaboration. This study categorizes governance boundaries into the administrative boundary and the ecology-based policy boundary and then examines how these two governance boundaries and their interactive relationship contribute to the intergovernmental collaboration network in China's regional atmospheric governance (RAG). Using data on the atmospheric governance collaboration from 30 cities in the Yangtze River Delta region from 2013 to 2018, we employ the MR-QAP model to find that cities within the same administrative boundary are more likely to collaborate and cities within the ecology-based policy boundary, compared with those beyond, are more likely to collaborate but with a lagging effect. Ecology-based policy boundary has a positive but lagging moderating effect on the contribution of the administrative boundary to the formation of intergovernmental collaboration networks.     

Legitimacy and the Privatization of Environmental Governance: How Non–State Market–Driven (NSMD) Governance Systems Gain Rule–Making Authority

In recent years, transnational and domestic nongovernmental organizations have created non–state market–driven (NSMD) governance systems whose purpose is to develop and implement environmentally and socially responsible management practices. Eschewing traditional state authority, these systems and their supporters have turned to the market's supply chain to create incentives and force companies to comply.
This paper develops an analytical framework designed to understand better the emergence of NSMD governance systems and the conditions under which they may gain authority to create policy. Its theoretical roots draw on pragmatic, moral, and cognitive legitimacy granting distinctions made within organizational sociology, while its empirical focus is on the case of sustainable forestry certification, arguably the most advanced case of NSMD governance globally. The paper argues that such a framework is needed to assess whether these new private governance systems might ultimately challenge existing state–centered authority and public policy–making processes, and in so doing reshape power relations within domestic and global environmental governance.     

Turning Up the Heat: Partisanship in Deliberative Innovation

Two forum types have featured prominently in deliberative practice: (1) forums involving partisans (such as key 'stakeholders') and (2) forums involving non-partisans (such as 'lay citizens'). Drawing on deliberative theory and cases from Germany, we explore the relative merits of these forum types in terms of deliberative capacity, legitimacy and political impact. The two types offer deliberative governance something different. Non-partisan forums such as citizens' juries or consensus conferences rate favorably in deliberative capacity, but can fall short when it comes to external legitimacy and policy impact. Contrary to expectations, partisan forums can also encounter substantial legitimation and impact problems. How can designed forums contribute to deliberative democratization, given that partisanship is an inevitable fact of politics? We offer some suggestions about how deliberative theory and practice might better accommodate the reality of partisanship, while securing benefits revealed in non-partisan forums.     

基础设施网络整合与跨区域治理——“哈大齐”工业走廊与松花江水污染案例分析

在全球化和信息化背景下,区域管理正在从传统的都市区(Metropolitan)管理过渡到巨型都市区(Megapolitan)或者城市走廊(City Corridor)的管理.从社会技术系统(Societal-techno System)视角,将区域管理作为一个涉众系统(Multi-actor System)考虑,研究物理系统与社会网络之间的交互作用,通过研究基础设施网络和跨区域治理关系,探索涉众系统情境下的政策制定模型.采用理论分析和案例研究相结合的方法,利用哈大齐工业走廊案例和松花江水污染案例进行了研究.结果发现,基础设施整合具有嵌入性特征;基础设施整合和专业化分工网络的形成,是跨区域治理的基础,所形成的城市网络,其核心功能体现在"分散的集中化"上,以保证有效的基础设施整合、分工网络的形成和提供高级生产者服务;在跨区域治理政策制定中,应该采用自上而下和自下而上组合的基于规则和过程的涉众情境下的政策制定过程,以实现社会、政府和市场之间的均衡.     

跨域治理的概念谱系与研究模型

跨域治理是指跨域事务的利益相关者，为了实现公共目标和解决共同危机所展开的合作与管理活动。在阐释跨域治理概念谱系的基础上，讨论了跨域治理的过程、结构与整合模型，以期从文献整理分析的角度对跨域治理进行深入的理解和探讨，并展望跨域治理研究的发展方向及前景。     

Designing stakeholder consultations: Reinforcing or alleviating bias in the European Union system of governance?

Consultations with stakeholders are a policy instrument widely used by policy makers to design policies and prepare legislative proposals across national and supranational systems of government. The European Union has recently reviewed its stakeholder consultation regime and asked for stakeholders’ policy input. This offers an opportunity to examine empirically stakeholders’ own evaluation of the regime and to ask a fundamental question about its democratic credentials: Do stakeholders recognise the EU consultation regime as reinforcing bias in interest representation by benefiting policy insiders, or conversely as an instrument that alleviates bias in supranational policy making? Building on rational choice institutionalism, this article outlines the potential distributional outcomes of the regime and argues that they are likely to vary along the lines of a classic divide in policy making that opposes policy insiders to outsiders. Two competing narratives are discussed in relation to the expected direction of this variation by focusing on insiders’ incentives to support or oppose the regime. The observable implications are tested empirically on an original dataset containing information about stakeholders’ positions on the evaluation of the regime status quo, its proposed further institutionalisation and their recommendations for change. The findings describe a consultation regime that seems to have created conditions alleviating bias in stakeholders’ participation in supranational policy making. This is evident in the lack of systematic, significant differences between insiders and outsiders in the evaluation of the consultation regime. Where differences do occur, they are consistent with the image of a consultation regime that has not reinforced bias in favour of policy insiders. These actors are found to be more critical of the regime status quo, its institutionalisation and more inclined to recommend policy improvements. This supports an optimistic view over the democratic credentials and legitimacy of the EU consultation regime and outlines an additional scenario under which policy actors that are traditionally associated with exerting more power and influence find themselves stripped of their privileged position in the context of European supranational governance.     

Presidential address medical governance: Are we ready to prescribe?

Federal and state governments in the United States play substantial and complex roles in promoting, subsidizing, regulating, and even providing health care in the United States. Financial pressures on Medicare and Medicaid, concerns about the translation of evidence‐based findings into medical practice, and efforts to reduce the number of people without any health insurance are likely to expand governments' roles even further in the future. Although a large body of research seeks ways to improve the delivery of medical services, relatively little research addresses the advantages and disadvantages of the various governance arrangements that are or could be used to make better collective decisions about the allocation of medical resources. Assessments of the many types of governance arrangements already employed—advisory committees such as those employed by the Food and Drug Administration, menu‐creating commissions with narrow mandates such as the Oregon Health Plan, and stakeholders trusteeships such as the Organ Procurement and Transplantation Network—should be an important topic for health policy research pursued by public policy and management scholars. Absent these efforts, the policy community may not be able to offer good advice about medical governance. © 2007 by the Association for Public Policy Analysis and Management     

Governance and Complexity—Emerging Issues for Governance Theory

Unexpected epidemics, abrupt catastrophic shifts in biophysical systems, and economic crises that cascade across national borders and regions are events that challenge the steering capacity of governance at all political levels. This article seeks to extend the applicability of governance theory by developing hypotheses about how different governance types can be expected to handle processes of change characterized by nonlinear dynamics, threshold effects, cascades, and limited predictability. The first part of the article argues the relevance of a complex adaptive system approach and goes on to review how well governance theory acknowledges the intriguing behavior of complex adaptive systems. In the second part, we develop a typology of governance systems based on their adaptive capacities. Finally, we investigate how combinations of governance systems on different levels buffer or weaken the capacity to govern complex adaptive systems.     

Transnational policy influence and the politics of legitimation

Many domains of transnational policy are now governed through dynamic, multilevel governance processes, encompassing transnational, national, and subnational scales. In such settings, both membership of policy communities and distributions of authority within them become more fluid and openly contested—increasing the importance of the politics of legitimation as a basis for distributing influence over policy processes and outcomes. Drawing on insights from theories of organizational and institutional legitimation, this article theorizes three distinctive strategies of policy influence exercised by transnational actors in multilevel governance settings, through which strategic efforts to legitimize transnational actors and forums are deployed as means of transnational policy influence. The three strategies involve: transnational field building, localized network building, and role adaptation. The effects of these influencing strategies on policy processes and outcomes are illustrated with reference to the case of Indonesian land governance, in which highly dynamic, contested, and multiscalar governance processes lend our theorized strategies particular salience.     

Balancing Regionalism and Localism: How Institutions and Incentives Shape American Transportation Policy

Public policy decisions are increasingly made by regional governance efforts that involve diverse decision makers from multiple government units within a geographic region. These decision-making bodies face competing pressures to represent regional and local interests. We study how decision makers balance preferences for regionalism and localism within metropolitan planning organizations (MPOs), the policymaking entities that are responsible for implementing U.S. federal surface transportation policy at the regional level. Our model of regional governance relates variation in regional policy outcomes to the incentives of MPO decision makers and the institutional environments in which they interact. Analyzing data from a sample of the nation's largest metropolitan areas, we find that MPOs dominated by elected officials produce more locally focused policies, holding other factors constant, while MPOs dominated by nonelected public managers produce more regionally oriented policies. Contextual factors, as well as the regional governance institutions themselves, further shape the balance between regionalism and localism.     

泛珠三角区域合作的制度演化分析

泛珠三角区域合作十多年来从概念构想、制度安排到机制设计，取得了显著的成效。透过威廉姆森制度演化的四个层次分析框架及其相互关系，可发现泛珠三角区域合作的制度演化中在第一层次的非正式制度方面泛珠三角区域各具特色但交融影响；宪法和法律等第二层次的制度为其合作提供了基本的制度环境；第三层次的日趋完善治理机制有效推进了泛珠三角的区域治理；而作为资源配置机制使各个领域的合作取得实质性的进展，且不同层次之间的制度演化互动明显，形成区域合作的制度体系。未来推进区域合作的深入在嵌入性制度层面需要加强民间的交流与融合，在制度环境方面要融入国家区域发展战略和加强区域合作的法制建设，在治理机制方面要健全合作架构和完善省际合作机制，在资源配置方面要制定泛珠三角区域合作的规划、实施和评估方案。     

New Governance, the Internet, and Country Code Top-Level Domains in Europe

Much academic work on governance in recent years has explored responses that states have made to sectors of the economy, usually historically well rooted nationally, that have been subject to globalizing pressures. Less work exists on responses that are being made to new parts of the economy emerging outside the nation state with inherently global characteristics. The Internet—and specifically its naming and addressing system—provides an example of how the state has aimed to assert public interest governance authority in a system initially absent of its influence. This article explores the nature and consequences of this activity in the process contributing to the study of the Internet and governance. Working within the limitations but also the opportunities created by policy norms developed at the global level, the article finds that the state has been instrumental in the development of novel public–private governance systems for Internet country code Top-Level Domains.