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Ghana ist ein Musterbeispiel dafür, dass ein Entwicklungsland den Weg zu Good Governance schaffen kann. In vielen Studien wird dem Land im afrikanischen Vergleich heute bescheinigt, hier ein Vorreiter zu sein. Dies ist Ausgangslage der vorliegenden Studie, die der Frage nachgeht „Welche Gründe, Muster und Bedingungen führen zur Entstehung von Good Governance?“. Im Zentrum der vorliegenden Studie steht, wie aus der erkenntnisleitenden Fragestellung hervorgeht, eine empirische Untersuchung zur Entstehung von Good Governance und damit ein Transformationsprozess. Dieser wird bewusst über einen sehr langen Zeitraum (über ein halbes Jahrhundert) untersucht, um auch langfristige Entwicklungen einbeziehen zu können. Die Studie wird mit Hilfe eines „Mixed-Methods-Ansatzes“ sowohl unter Rückgriff auf quantitative als auch auf qualitative Methoden durchgeführt, was sich im Rückblick als sehr ertragreich erwiesen hat. Zunächst wird die Qualität der Governance über den gesamten Zeitraum anhand von sechs Indikatoren gemessen. Danach werden qualitativ die Gründe für die Fort- und Rückschritte analysiert. Dabei lassen sich immer wieder Systematiken herausarbeiten, wie zum Beispiel zirkuläre Entwicklungen, die über viele Jahre den Weg hin zu Good Governance verhinderten, bis jeweils Ausbrüche aus den Kreisläufen geschafft werden konnten. Sowohl in der demokratischen und rechtsstaatlichen Entwicklung als auch bezogen auf die Versorgung der Bevölkerung mit öffentlichen Gütern und die wirtschaftliche Entwicklung. Auch wenn die verschiedenen Bereiche von Good Governance zunächst einzeln untersucht werden, so zeigen sich gleichzeitig deutlich die Wechselwirkungen der Komponenten. Zum Beispiel kristallisiert sich klar heraus, dass Rechtsstaatlichkeit sowohl auf die Stabilität politischer Systeme wirkt, als auch auf die wirtschaftliche Entwicklung. Ebenso beeinflussen diese wiederum die Korruption. Ähnliche Verknüpfungen lassen sich auch bei allen anderen Bereichen nachvollziehen. Die Entwicklung eines Landes kann also nur unter Berücksichtigung eines komplexen Governance-Systems verstanden und erklärt werden. Dabei können die Wechselwirkungen entweder konstruktiv oder destruktiv sein. Die Verflechtungen der einzelnen Bereiche werden in einem Negativ- und dann in einem Positiv-Szenario festgehalten. Diese Idealtypen-Bildung spitzt die Erkenntnisse der vorliegenden Arbeit zu und dient dem analytischen Verständnis der untersuchten Prozesse. Die Untersuchung zeigt, wie Good Governance über das Zusammenspiel verschiedener Faktoren entstehen kann und dass es wissenschaftlich sehr ertragreich ist, Transformationsforschung auf ein komplexes Governance-System auszuweiten. Hierbei werden die vielen empirisch erarbeiteten Ergebnisse zu den einzelnen Transformationen zu komplexen, in sich greifenden Gesamtszenarien zusammengeführt. Da es bisher keine explizite Good Governance-Transformationsforschung gab, wurde hiermit ein erster Schritt in diese Richtung getan. Es wird darüber hinaus deutlich, dass eine Transformation zu Good Governance nicht durch eine kurzfristige Veränderung der Rahmenbedingungen zu erreichen ist. Es geht um kulturelle Veränderungen, um Lernprozesse, um langfristige Entwicklungen, die in der Studie am Beispiel Ghana analysiert werden. In vielen vorangegangenen Transformationsstudien wurde diese zeitliche Komponente vernachlässigt. Ghana hat bereits viele Schritte getan, um einen Weg in die Zukunft und zu Good Governance zu finden. Die Untersuchung dieser Schritte ist Kern der vorliegenden Arbeit. Der Weg Ghanas ist jedoch noch nicht abgeschlossen.
In the past decades, development cooperation (DC) led by conventional bi- and multilateral donors has been joined by a large number of small, private or public-private donors. This pluralism of actors raises questions as to whether or not these new donors are able to implement projects more or less effectively than their conventional counterparts. In contrast to their predecessors, the new donors have committed themselves to be more pragmatic, innovative and flexible in their development cooperation measures. However, they are also criticized for weakening the function of local civil society and have the reputation of being an intransparent and often controversial alternative to public services. With additional financial resources and their new approach to development, the new donors have been described in the literature as playing a controversial role in transforming development cooperation. This dissertation compares the effectiveness of initiatives by new and conventional donors with regard to the provision of public goods and services to the poor in the water and sanitation sector in India.
India is an emerging country but it is experiencing high poverty rates and poor water supply in predominantly rural areas. It lends itself for analyzing this research theme as it is currently being confronted by a large number of actors and approaches that aim to find solutions for these challenges .
In the theoretical framework of this dissertation, four governance configurations are derived from the interaction of varying actor types with regard to hierarchical and non-hierarchical steering of their interactions. These four governance configurations differ in decision-making responsibilities, accountability and delegation of tasks or direction of information flow. The assumption on actor relationships and steering is supplemented by possible alternative explanations in the empirical investigation, such as resource availability, the inheritance of structures and institutions from previous projects in a project context, gaining acceptance through beneficiaries (local legitimacy) as a door opener, and asymmetries of power in the project context.
Case study evidence from seven projects reveals that the actors' relationship is important for successful project delivery. Additionally, the results show that there is a systematic difference between conventional and new donors. Projects led by conventional donors were consistently more successful, due to an actor relationship that placed the responsibility in the hands of the recipient actors and benefited from the trust and reputation of a long-term cooperation. The trust and reputation of conventional donors always went along with a back-up from federal level and trickled down as reputation also at local level implementation. Furthermore, charismatic leaders, as well as the acquired structures and institutions of predecessor projects, also proved to be a positive influencing factor for successful project implementation.
Despite the mixed results of the seven case studies, central recommendations for action can be derived for the various actors involved in development cooperation. For example, new donors could fulfill a supplementary function with conventional donors by developing innovative project approaches through pilot studies and then implementing them as a supplement to the projects of conventional donors on the ground. In return, conventional donors would have to make room the new donors by integrating their approaches into already programs in order to promote donor harmonization. It is also important to identify and occupy niches for activities and to promote harmonization among donors on state and federal sides.
The empirical results demonstrate the need for a harmonization strategy of different donor types in order to prevent duplication, over-experimentation and the failure of development programs. A transformation to successful and sustainable development cooperation can only be achieved through more coordination processes and national self-responsibility.
Translating innovation
(2017)
This doctoral thesis studies the process of innovation adoption in public administrations, addressing the research question of how an innovation is translated to a local context. The study empirically explores Design Thinking as a new problem-solving approach introduced by a federal government organisation in Singapore. With a focus on user-centeredness, collaboration and iteration Design Thinking seems to offer a new way to engage recipients and other stakeholders of public services as well as to re-think the policy design process from a user’s point of view. Pioneered in the private sector, early adopters of the methodology include civil services in Australia, Denmark, the United Kingdom, the United States as well as Singapore. Hitherto, there is not much evidence on how and for which purposes Design Thinking is used in the public sector.
For the purpose of this study, innovation adoption is framed in an institutionalist perspective addressing how concepts are translated to local contexts. The study rejects simplistic views of the innovation adoption process, in which an idea diffuses to another setting without adaptation. The translation perspective is fruitful because it captures the multidimensionality and ‘messiness’ of innovation adoption. More specifically, the overall research question addressed in this study is: How has Design Thinking been translated to the local context of the public sector organisation under investigation? And from a theoretical point of view: What can we learn from translation theory about innovation adoption processes?
Moreover, there are only few empirical studies of organisations adopting Design Thinking and most of them focus on private organisations. We know very little about how Design Thinking is embedded in public sector organisations. This study therefore provides further empirical evidence of how Design Thinking is used in a public sector organisation, especially with regards to its application to policy work which has so far been under-researched.
An exploratory single case study approach was chosen to provide an in-depth analysis of the innovation adoption process. Based on a purposive, theory-driven sampling approach, a Singaporean Ministry was selected because it represented an organisational setting in which Design Thinking had been embedded for several years, making it a relevant case with regard to the research question. Following a qualitative research design, 28 semi-structured interviews (45-100 minutes) with employees and managers were conducted. The interview data was triangulated with observations and documents, collected during a field research research stay in Singapore.
The empirical study of innovation adoption in a single organisation focused on the intra-organisational perspective, with the aim to capture the variations of translation that occur during the adoption process. In so doing, this study opened the black box often assumed in implementation studies. Second, this research advances translation studies not only by showing variance, but also by deriving explanatory factors. The main differences in the translation of Design Thinking occurred between service delivery and policy divisions, as well as between the first adopter and the rest of the organisation. For the intra-organisational translation of Design Thinking in the Singaporean Ministry the following five factors played a role: task type, mode of adoption, type of expertise, sequence of adoption, and the adoption of similar practices.
The Government will create a motivated, merit-based, performance-driven, and professional civil service that is resistant to temptations of corruption and which provides efficient, effective and transparent public services that do not force customers to pay bribes.
— (GoIRA, 2006, p. 106)
We were in a black hole! We had an empty glass and had nothing from our side to fill it with! Thus, we accepted anything anybody offered; that is how our glass was filled; that is how we reformed our civil service.
— (Former Advisor to IARCSC, personal communication, August 2015)
How and under what conditions were the post-Taleban Civil Service Reforms of Afghanistan initiated? What were the main components of the reforms? What were their objectives and to which extent were they achieved? Who were the leading domestic and foreign actors involved in the process? Finally, what specific factors influenced the success and failure Afghanistan’s Civil Service Reforms since 2002? Guided by such fundamental questions, this research studies the wicked process of reforming the Afghan civil service in an environment where a variety of contextual, programmatic, and external factors affected the design and implementation of reforms that were entirely funded and technically assisted by the international community.
Focusing on the core components of reforms—recruitment, remuneration, and appraisal of civil servants—the qualitative study provides a detailed picture of the pre-reform civil service and its major human resources developments in the past. Following discussions on the content and purposes of the main reform programs, it will then analyze the extent of changes in policies and practices by examining the outputs and effects of these reforms.
Moreover, the study defines the specific factors that led the reforms toward a situation where most of the intended objectives remain unachieved. Doing so, it explores and explains how an overwhelming influence of international actors with conflicting interests, large-scale corruption, political interference, networks of patronage, institutionalized nepotism, culturally accepted cronyism and widespread ethnic favoritism created a very complex environment and prevented the reforms from transforming Afghanistan’s patrimonial civil service into a professional civil service, which is driven by performance and merit.
This PhD thesis is essentially a collection of six sequential articles on dynamics of accountability in the reformed employment and welfare administration in different countries. The first article examines how recent changes in the governance of employment services in three European countries (Denmark, Germany and Norway) have influenced accountability relationships from a very wide-ranging perspective. It starts from the overall assumption in the literature that accountability relationships are becoming more numerous and complex, and that these changes may lead to multiple accountability disorder. The article explores these assumptions by analyzing the different actors involved and the information requested in the new governance arrangements in all three countries. It concludes that the considerable changes in organizational arrangements and more managerial information demanded and provided have led to more shared forms of accountability. Nevertheless, a clear development towards less political or administrative accountability could not be observed.
The second article analyzes how the structure and development of reform processes affect accountability relationships and via what mechanisms. It is distinguished between an instrumental perspective and an institutional perspective and each of these perspectives takes a different view on the link between reforms and concrete action and results. By taking the welfare reforms in Norway and Germany as an example, it is shown that the reform outcomes in both countries are the result of a complex process of powering, puzzling and institutional constraints where different situational interpretations of problems, interests and administrative legacies had to be balanced. Accountability thus results not from a single process of environmental necessity or strategic choice, but from a dynamic interplay between different actors and institutional spheres.
The third article then covers a specific instrument of public sector reforms, i.e. the increasing use of performance management. The article discusses the challenges and ambiguities between performance management and different forms of accountability based on the cases of the reformed welfare administration in Norway and Germany. The findings are that the introduction of performance management creates new accountability structures which influence service delivery, but not necessarily in the direction expected by reform agents. Observed unintended consequences include target fixation, the displacement of political accountability and the predominance of control aspects of accountability.
The fourth article analyzes the accountability implications of the increasingly marketized models of welfare governance. It has often been argued that relocating powers and discretion to private contractors involve a trade-off between democratic accountability and efficiency. However, there is limited empirical evidence of how contracting out shapes accountability or is shaped by alternative democratic or administrative forms of accountability. Along these lines the article examines employment service accountability in the era of contracting out in Germany, Denmark and Great Britain. It is found that market accountability instruments are complementary instruments, not substitutes. The findings highlight the importance of administrative and political instruments in legitimizing marketized service provision and shed light on the processes that lead to the development of a hybrid accountability model.
The fifth and sixth articles focus on the diagonal accountability relationships between public agencies, supreme audit institutions (SAI) and parental ministry or parliament.
The fifth article examines the evolving role of SAIs in Denmark, Germany and Norway focusing particularly on their contribution to public accountability and their ambivalent relationship with some aspects of public sector reform in the welfare sector. The article analyzes how SAIs assess New Public Management inspired reforms in the welfare sector in the three countries. The analysis shows that all three SAIs have taken on an evaluative role when judging New Public Management instruments. At the same time their emphasis on legality and compliance can be at odds with some of the operating principles introduced by New Public Management reforms.
The sixth article focuses on the auditing activities of the German SAI in the field of labor market administration as a single in-depth case study. The purpose is to analyze how SAIs gain impact in diagonal accountability settings. The results show that the direct relationship between auditor and auditee based on cooperation and trust is of outstanding importance for SAIs to give effect to their recommendations. However, if an SAI has to rely on actors of diagonal accountability, it is in a vulnerable position as it might lose control over the interpretation of its results.
Nathalie Hirschmann geht der Frage nach, auf welche Weise sich die Sicherheitswirtschaft im System der Sicherheit zu etablieren sucht und wie erfolgreich ihr dies gelingt. Ihre Analyse verdeutlicht, wie Schmuddelimage und begrenzte Kompetenzzuschreibung der Branche einerseits erschweren, neben der Polizei als institutionelle Trägerin der öffentlichen Sicherheit zu bestehen, und andererseits, gegenüber dem Kunden bzw. Auftraggeber in ein professionelleres Gefüge zu treten. Einen inhaltsanalytisch theoriegeleiteten, soziologisch-konzeptionellen Blick einnehmend wird deutlich, welche Ausbaubestrebungen kognitiver und sozialer Art die Sicherheitswirtschaft vorgenommen hat und wo diese an ihre Grenzen stoßen.
In my dissertation on 'Security Cooperation as a Way to Stop the Spread of Nu-clear Weapons? Nuclear Nonproliferation Policies of the United States towards the Federal Republic of Germany and Israel, 1945-1968', I study the use of security assistance as nonproliferation policy. I use insights of the Structural Realist and the Rational Institutionalist theories of International Relations to explain, respectively, important foreign policy goals and the basic orientation of policies, on the one hand, and the practical workings and effects of security cooperation on states’ behavior, on the other hand. Moreover, I consider the relations of the United States (US) with the two states in light of bargaining theory to explain the level of US ability to press other states to its preferred courses of action. The study is thus a combination of theory proposing and testing and historic description and explanation. It is also policy-relevant as I seek general lessons regarding the use of security cooperation as nonproliferation policy. I show that the US sought to keep the Federal Republic of Germany (FRG) from acquiring nuclear weapons in order to avoid crises with Moscow and threats to the cohesion of NATO. But the US also saw it as necessary to credibly guarantee the security of the FRG and treat it well in order to ensure that it would remain satisfied as an ally and without own nuclear weapons. Through various institutionalized security cooperation schemes, the US succeeded in this – though the FRG did acquire an option to produce nuclear weapons. The US opposed Israel’s nuclear weapon ambitions in turn because of an expectation that Arab states’ reactions could otherwise result in greater tension and risks of escalation and a worse balance-of-power in the area. But as also a US-Israel alliance could have led to stronger Arab-Soviet ties and thus a worse balance-of-power, and as it was not in US in-terest to be tied to Israel’s side in all regional issues, the US was not prepared to guarantee Israel’s security in a formal, credible way like it did in West Germany’s case. The US failed to persuade Israel to forgo producing nuclear weapons but gradually, an opaque nu-clear status combined with US arms sales that helped Israel to maintain a conventional military advantage over Arabs emerged as a solution to Israel’s security strategy. Because of perceptions that Israel and the FRG had also other options than cooperation with the US, and because the US ability to punish them for unwanted action was limited, these states were able to offer resistance when the US pressed its nonproliferation stance on them.
Übernimmt eine Protestpartei Regierungsverantwortung, sieht sie ihre Prinzipien und Forderungen der realpolitischen Nagelprobe ausgesetzt. Es ist ein Dilemma von Anspruch und Wirklichkeit, ein Spagat zwischen Protestimage und Regierungspolitik , der diese Parteien oftmals zu zerreißen droht. Anhand der Fallstudien von vier mitregierenden Protestparteien in Deutschland sollen folgende Fragen beantwortet werden: Was macht eine Partei zur Protestpartei? Was waren die Ursachen für die Wahlerfolge der Grünen, der AL, der STATT-Partei und der Schill-Partei? Wie verliefen die Koalitionsverhandlungen? Welche Forderungen konnten die Protestparteien gegenüber ihren großen Koalitionspartnern durchsetzen? Wo mussten sie Abstriche machen? Welche Reformvorhaben wurden angedacht und welche wurden tatsächlich umgesetzt? Welche innerparteilichen Konflikte ergaben sich aus der neuen Rolle der Protestparteien? Letztendlich zeigt sich: Protestparteien scheitern nicht an ihrem schmalspurigen Programm, geringer Stammwählerschaft oder unerfahrenem Personal, sondern weil sie naturgemäß in die „Erwartungsfalle“ tappen.