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.     

Comparing regulatory processes in genome editing and autonomous vehicles: How institutional environments shape sociotechnical imaginaries

This study compares the regulation of two emerging technologies, the CRISPR genome-editing system and Connected and Autonomous Vehicles (CAV) in the United States. The study draws on 33 in-depth interviews with innovation and governance experts to study the relationship between their regulatory environments and developing beliefs about these technologies. Using sociotechnical imaginaries as a framework, we explore how social actors envision technologically driven futures and the social order that enables them. These imaginaries are essential to emerging technologies, where experts build a framework of potentialities for innovation still underway. While scholarship has documented how sociotechnical imaginaries arise among policymakers, groups of scientists, state and local stakeholders, and public actors in different countries, less has been said about how regulatory organizations and their actors shape expectations around technologies that are in the early and middle stages of development. This article finds that regulatory institutions shape emerging imaginaries along three related axes: the distribution of authority, technological novelty, and risk. Interviewees negotiate these three contingencies differently based on relevant extant regulatory structures and ideologies, resulting in distinct imaginaries around each technology. CRISPR actors envision genome editing as largely diminishing biomedical harm and eventually suitable for health markets, while CAV actors diverge on whether self-driving cars alleviate or exacerbate risk and how they may enter roads. That organizational structures and practices of regulation inform broadly held sociotechnical imaginaries bears significance for studies of innovation trajectories, suggesting regulators can take an active role in shaping how risks and benefits of emerging technology are defined.     

Emerging technologies and problem definition uncertainty: The case of cybersecurity

For governments to regulate, they must first define the problem and decide which policymakers have the authority to make decisions. Technological development can disrupt the authority-allocation process by fostering uncertainty about which actors are responsible for making policy. This article examines the role that changing technology has played in the development of cybersecurity policy in the United States. New technologies have increased the type and scope of assets vulnerable to cyberthreats, and with them the number of governing units who can claim jurisdiction over cybersecurity-related issues. Uncertainty about the nature of the problem has led the U.S. Congress to rely heavily on bureaucratic witnesses and focus on how existing regulations can be brought to bear. Emerging technologies create regulatory challenges for governance not only through unforeseen consequences but through uncertainty over who can regulate. Fragmented authority can produce piecemeal responses and a reliance on existing frameworks that benefit regulated industries.     

Regulating public procurement in Brazil,India, and China: Toward the regulatory-developmental state

Since the 1990s, emerging economies such as Brazil, India, and China have adopted transparency-enhancing public procurement regulations in line with international norms. Yet they have hesitated to join the World Trade Organization's legally binding Government Procurement Agreement (GPA). Based on the Special Issue framework, this article scrutinizes the underlying domestic and international determinants, and how they influence emerging countries’ positions in two overlapping international procurement regimes. In particular, reform-oriented state actors, societal pressure, and lesson-drawing from international templates have induced a strengthening of domestic procurement institutions and turned emerging countries into “promoters” of the international transparency regime. Conversely, the rising powers have remained, to varying degrees, reluctant “spoilers” of the GPA-based market access regime in order to keep policy space and use procurement for domestic development objectives. The article suggests that this regulatory-developmental layering of rule-based governance and interventionist ambitions characterizes the variegated regulatory state in emerging countries.     

When private governance impedes multilateralism: The case of international pesticide governance

Private standards play an increasingly important governance role, yet their effects on state-led policymaking remain understudied. We examine how the operation of private agricultural standards influences multilateral pesticide governance with a particular focus on the listing of substances under the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, a treaty-based information-sharing mechanism that allows countries to refuse hazardous chemical imports. We find that private agricultural standard-setting bodies use the Rotterdam Convention's pesticide list to develop their own lists of banned substances. This alters the Rotterdam Convention's intended role, impeding efforts to add substances to the treaty, as attempts by private actors to impose stricter governance than state actors can undermine the potential for international state-based governance to become more stringent. We characterize this as a “confounding interaction” whereby institutional linkages between actions by public and private actors with broadly aligned goals results in unexpected negative consequences for governance.     

Does the Network Centrality of Government Actors Matter? Examining the Role of Government Organizations in Aquaculture Partnerships

The growth in the use of collaborative governance arrangements has been accompanied by burgeoning scholarship in the field of public affairs that seeks to understand the benefits of engaging diverse stakeholders in common venues. However, few scholars have formally assessed the role of government actors in facilitating outcomes for individual participants in such efforts. Moreover, little work on collaborative governance examines how individual incentives and barriers to collective action are formed within the nested nature of these contexts. We contribute to the study of collaborative governance by formally investigating how the relative centrality of government actors in collaborative policy‐making venues affects individual relationship building and learning for participants therein. We find that government actor centrality is positively associated with relationship building and learning. However, in testing two different conceptualizations of “centrality,” we find that the definition of this construct clearly matters.     

Multilevel governance and organizational performance: Investigating the political‐bureaucratic labyrinth

Research on governance has extensively explored the complex interactions of governmental, nongovernmental, and for‐profit entities in the execution of public policy. It has consistently failed, however, to model empirically the joint effects of political and bureaucratic actors in governance systems. To address this issue, a theory of multilevel governance built upon the foundation of representative bureaucracy was developed and tested. Results from an analysis of Texas school districts suggest that Latinos at all levels of the governance system, political and managerial, influence representation at other levels. Findings also indicate that Latinos at each level of governance have positive effects, directly and indirectly, on outcomes for Latino students. The influence of both political and managerial actors at times extends beyond the immediately adjoining level; the effects of such actors cascade through the governance system. The results show that a priority for systematic research should be the identification of approaches and settings for examining the multilevel aspect of governance. © 2004 by the Association for Public Policy Analysis and Management.     

Competition and cooperation in artificial intelligence standard setting: Explaining emergent patterns

Efforts to set standards for artificial intelligence (AI) reveal striking patterns: technical experts hailing from geopolitical rivals, such as the United States and China, readily collaborate on technical AI standards within transnational standard-setting organizations, whereas governments are much less willing to collaborate on global ethical AI standards within international organizations. Whether competition or cooperation prevails can be explained by three variables: the actors that make up the membership of the standard-setting organization, the issues on which the organization's standard-setting efforts focus, and the “games” actors play when trying to set standards within a particular type of organization. A preliminary empirical analysis provides support for the contention that actors, issues, and games affect the prospects for cooperation on global AI standards. It matters because shared standards are vital for achieving truly global frameworks for the governance of AI. Such global frameworks, in turn, lower transaction costs and the probability that the world will witness the emergence of AI systems that threaten human rights and fundamental freedoms.     

Politics of the precautionary principle: assessing actors’ preferences in water protection policy

This paper analyzes the prospects for introducing the precautionary principle in water protection policy. In situations where a problem enters the political agenda and scientific uncertainties remain about causes or effects, political actors can justify state intervention based on the precautionary principle. It allows for public action even if risks related to the problem remain unclear. While the precautionary principle is widely applied in health and environmental policy fields all over the world, the mechanisms leading to its adoption are not fully understood. To close this gap, the paper investigates decision-makers preferences for the precautionary principle and further asks: Which factors promote political actors’ preferences for precautionary policy measures? In order to answer this question we study the case of emerging micropollutants—a water quality issue that recently entered political agendas, where many uncertainties remain about sources and effects. We rely on data gathered through a standardized survey among the political elite in Switzerland, which represents one of the first countries that adopted policy measures to reduce micropollutants in water bodies, despite the uncertainties that remain. Results analyzed through a temporal network autocorrelation model reveal that actors embedded in collaborative governance arrangements have the tendency to prefer precautionary action. Certain aspects of policy design, such as problem prioritization and target group membership, also impact the prospects for introducing the precautionary principle.     

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.     

Managing Risk and Regulation in European Food Safety Governance

This article focuses on the state of European food safety governance and offers a view on possible future courses of regulatory policymaking. We begin by examining the deficiencies of the current multilevel governance system in European Union (EU) food safety policy, with an empirical focus on Hazard Analysis and Critical Control Point (HACCP) systems. We then submit that a regulatory agency model (centralization) might perform better than multilevel governance or renationalization in terms of reducing business uncertainty, promoting food safety enhancing innovation, and improving consumer trust in the food supply. Hence it would make European food markets more resilient to recurrent food safety crises. We also argue that the EU's precautionary approach as applied to some areas of food safety risks is tied to legitimacy enhancing objectives of EU institutional actors. Assuming that supply‐side rents will change over time, we submit that emphasis of regulatory impact analysis (i.e., cost benefit considerations) is likely to increase.     

The effects of boundary spanners on trust and performance of urban governance networks: findings from survey research on urban development projects in the Netherlands

Previous research has extensively analyzed the role, and indicated the importance, of network management for the functioning and performance of public or governance networks. In this article, we focus on the influence of boundary spanning actors in such networks—an aspect less examined in the governance network literature. Boundary spanners are considered to be important for governance network performance. Building on the literature, we expect a mediating role of trust in this relationship. To empirically test these relationships, we conducted survey research (N = 141) among project managers involved in urban governance networks: networks around complex urban projects that include the organizations involved in the governance process (the formulation of policies, decision making, and implementation) in these complex projects. We found a strong positive relationship between the presence of boundary spanners and trust and governance network performance. The results indicate a partially mediating role of trust in this relationship. Furthermore, we found that these boundary spanners originated mainly from private and societal organizations, and less from governmental organizations.     

Reversing delegation? Politicization,de-delegation,and non-majoritarian institutions

Elected governments and states have delegated extensive powers to non-majoritarian institutions (NMIs) such as independent central banks and regulatory agencies, courts, and international trade and investment organizations, which have become central actors in governance. But, far from having resolved the balance between political control and governing competence or removed certain issues from political debate, NMIs have faced challenges to their legitimacy by elected officials and sometimes attempts to reverse delegation through “de-delegation”. Our special issue studies the politicization of NMIs, and then whether, why and how it leads to de-delegation through reducing the formal powers of NMIs or increasing controls over them. In this article, we examine how to analyze de-delegation, how politicization of NMIs has developed, and how it has affected de-delegation. We underline not only institutional rules that constrain elected officials but also the actions of NMIs themselves and their relationships with other NMIs as part of multi-level governance systems. We find that politicization has varied, but even when strong, elected officials have not introduced widespread and long-lasting de-delegation; on the contrary, they have frequently widened the powers of NMIs. Insofar as elected politicians have sought to curb NMIs, they have often preferred to use existing controls and non-compliance. Finally, we consider the wider implications of the combination of politicization and lack of de-delegation for broader issues of governance such as the division of powers between the elected and unelected and democratic accountability.     

Dysfunctional state institutions,trust, and governance in areas of limited statehood

Areas of limited statehood where the state is absent or dysfunctional are rarely ungoverned or ungovernable spaces. The provision of rules and regulations, as well as of public goods and services – governance – does not necessarily depend on the existence of functioning state institutions. How can this be explained? To begin with, we identify functional equivalents to state institutions that fail to govern hierarchically. Moreover, we focus on informal institutions based on trust that are endogenous to areas of limited statehood. Personalized trust among community members enables actors to overcome collective action problems and enhances the legitimacy of governance actors. The main challenge in areas of limited statehood, which are often characterized by social heterogeneity and deep social and cultural cleavages (particularly in post‐conflict societies) is to move to generalized trust beyond the local level and to “imagined communities among strangers,” despite dysfunctional state institutions. We propose two mechanisms: First, the more group‐based identities are constructed in inclusive ways and the more group identities are cross‐cutting and overlapping, the more they lead to and maintain generalized trust. Second, experiences with fair and impartial institutions and governance practices – irrespective of whether state or non‐state – also lead to generalized trust beyond the local level and allow for the upscaling of governance.     

The Institutionalization of Private Governance: How Business and Nonprofit Organizations Agree on Transnational Rules

This article assesses the recent trend of cooperation among antagonistic private actors that results in the creation and implementation of issue-specific transnational norms and rules and the subsequent shift from public to private forms of governance. Many political scientists agree that authority also exists outside of formal political structures. Private actors increasingly begin to make their own rules and standards that acquire authority beyond the international system. This observation is often referred to as private transnational governance as opposed to public or international governance. Although the concept of private governance gains prominence in academic debates, it is not clear how private governance on the global scale is constructed and maintained or what specific or general conditions are necessary for private governance to emerge. Based on the review of common theoretical propositions, this article develops an integrated model along which the necessary conditions for the emergence of private governance can be assessed and understood. As most research has hitherto focused on institutionalized cooperation between business actors (self-regulation), this article takes a closer look at those transnational systems of rule that result out of the enhanced cooperation between profit and nonprofit actors (coregulation).     

STATE-CIVIL SOCIETY NETWORKS FOR POLICY IMPLEMENTATION IN DEVELOPING COUNTRIES1

The emphasis in this article is on the trends which speak of governance rather than government. Governance refers to the role of citizens in the policy process and how groups within a society organize to make and implement decisions on matters of great concern. The focus is on democratic governance as taking place through networks in developing countries. These networks are referred to as state-civil society networks and are defined as cross-sectoral collaborations in which the view is not of individuals, per se, but rather of individual actors who are seen as a connected and interdependent whole. Three case studies of such state-civil society networks provide some preliminary lessons which suggest four situational variables for the emergence and success of these networks. These include: regime type, level of trust, legal framework and regulations, and the nature of the policy to be implemented. They also suggest some effective mechanisms and processes based on ad hoc vs formalizedmechanisms, initiation of the network and coordinating linkages.     

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.     

The Phenomenon of Collective Action: Modeling Institutions as Structures of Care

This essay develops a theory of how institutions can work through the web of social relationships that exist in a place rather than through formal, bureaucratic lines of authority. In contrast to models that characterize institutions as organizational structures, roles, and patterns of exchange, this model depicts institutions as constituted primarily through the active working and reworking of relationships. Rather than adopt the network literature's focus on the overall pattern of relationships and exchanges carried out between policy actors, the author focuses directly on the nature of the relationships themselves and portrays the institution as the playing out of these relationships, employing Carol Gilligan's notion of care. The model of care is used to analyze the evolution, unraveling, and restoration of resource management systems on the Turtle Islands in Southeast Asia. The model provides lessons for institution building, especially for community-centered governance.     

Reorganising adjustment: Finland's emergence as a high technology leader

As attention has shifted to the topic of change in organised economies, Finland represents a valuable case study. The nation's leap from paper producer to high technology leader represents a unique opportunity to study restructuring within the confines of an allegedly incremental organised economy. To date, Finland's transformation has been interpreted as a product of sweeping liberal reforms in finance and corporate governance. This article, however, identifies an enduring role for collectively organised economic actors in labour market and technology policies. Cooperation in these arenas did not inhibit restructuring. On the contrary, collaborative technology policies actively facilitated the rapid redistribution of resources to an emerging ICT industry. In exploring the opportunities and constraints associated with these policies, this article not only sheds light on Finland's shift into high technology markets, but also identifies a more flexible role for coordination in the new economy.     

Rethinking cross-border Euregionalism as self-organising system

Studies of cross-border regions in the European Union have struggled conceptually with an apparent ambiguity of Euregionalism: namely that cross-border regions seem to be the manifestations of reterritorialising state governance on the one hand, but have clearly failed to substantially challenge the Westphalian state territorial system on the other. The aim of the present paper is to develop a conceptual framework that helps us understand this paradoxical nature of cross-border regions. To this end, we draw on the systems theory of Niklas Luhmann and the semiotics of Charles Sanders Peirce, and propose to regard Euregionalism (and regionalisms more generally) as a self-organising system. Self-organisation entails the process in which self-referential communication, rather than a set of actors, employs spatial concepts, such as the region, to enable system-specific entanglements with physical space, either short-lived or enduring, and possibly – but not necessarily – involving governance.