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The top-heavy shape of authoritarian bureaucracy: evidence from Russia and China 专制官僚的头重脚轻:来自俄罗斯和中国的证据
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-11-29 DOI: 10.1177/00208523211058865
Tao Li, Zhenyu M. Wang
The prevalence of top-heavy bureaucracies in non-democracies cannot be explained by the theories of Parkinson, Tullock, Niskanen, or Simon or by classical managerial theories. When bureaucracy positions carry rents, the competition for promotion becomes a rent-seeking process. Borrowing the career-tournament theory framework from managerial scholarship, we argue that top-heavy bureaucracy resembles a tournament with too many finalists. When rent is centralized at the top (i.e. power centralization), as is the case in many non-democracies, the optimal bureaucracy should be top-heavy, accommodating and encouraging relatively more finalists at the top to compete for the final big prize. We provide suggestive evidence by analyzing ministry organizations in China (1993–2014) and Russia (2002–2015). After some fluctuations, the shape of Russian ministries eventually converged with that of China. In the steady state, their ministry shapes are far more top-heavy than what is prescribed by managerial theories. At the micro-level, ministry power centralization, measured by the perceived influence of the ministers, is correlated with ministry top-heaviness in Russia. Points for practitioners Our theory suggests that a top-heavy authoritarian bureaucratic structure naturally follows from a back-loaded sequential career tournament and an effort-maximizing bureaucratic leader. Our findings also suggest that Chinese and Russian ministries both converge to a highly top-heavy structure in the long run. We demonstrate that the top-heavy structure first arose during the planned-economy experiment in the Soviet Union. Our research sheds new light on public-sector reforms that aim to reduce bureaucracy top-heaviness in autocracies.
帕金森氏(Parkinson)、图洛克(Tullock)、尼斯卡宁(Niskanen)或西蒙(Simon)的理论或经典管理理论都无法解释非民主国家普遍存在的头重头轻的官僚机构。当官僚职位带有租金时,晋升竞争就变成了寻租过程。借用管理学术的职业锦标赛理论框架,我们认为头重脚轻的官僚主义类似于决赛选手太多的锦标赛。当租金集中在高层时(即权力集中),就像许多非民主国家的情况一样,最理想的官僚机构应该是头重头轻的,容纳和鼓励相对更多的高层最终入围者争夺最终的大奖。我们通过分析中国(1993-2014)和俄罗斯(2002-2015)的部委组织提供了启发性证据。在经历了一些波动之后,俄罗斯政府部门的形态最终与中国趋同。在稳定状态下,它们的部门形态远比管理理论所规定的头重脚轻。在微观层面上,以部长的感知影响力衡量的部门权力集中与俄罗斯的部门头重脚轻相关。我们的理论表明,头重脚轻的专制官僚结构自然是由后负荷的连续职业锦标赛和努力最大化的官僚主义领导者产生的。我们的研究结果还表明,从长远来看,中国和俄罗斯的部委都趋向于高度头重脚轻的结构。我们证明,头重脚轻的结构首先出现在苏联的计划经济实验中。我们的研究为公共部门改革提供了新的视角,这些改革旨在减少专制国家的官僚作风。
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引用次数: 3
Chronicle of the International Institute of Administrative Sciences 国际行政科学研究所编年史
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-11-26 DOI: 10.1177/00208523211058651
S. Sahraoui
Managing the “Opportunity of the Covid-19 crisis” at the International Institute of Administrative Sciences Public administration will never be the same during and after Covid-19—if there is ever an after Covid-19. Sabine Kuhlman, International Institute of Administrative Sciences (IIAS) Vice President for Western Europe, developed along with a number of colleagues (Kuhlmann et al., 2021), a cross-country comparative analysis in the September 2021 special issue of the International Review of Administrative Sciences (IRAS) on “Testing the crisis: Opportunity management and governance of the Covid-19 pandemic”. The comparison shows that opportunities arise during crises and the extent of these opportunities increases with the magnitude of the crisis. Needless to say that the Covid-19 crisis is a global cataclysm of a magnitude hardly seen before. Its longevity makes is all the more trying for a variety of actors including governments and public administration. The opportunities are, however, immense as well. According to Kuhlman and her co-authors, “opportunity management” by various political and administrative actors will depend on both institutional factors and individual ones. Institutional factors consist of the institutional starting conditions, administrative cultures and historical path dependencies. Individual factors consist of the strategies of actors who will see in the crisis a welcome opportunity to demonstrate leadership and effective governance. In these annual chronicles, and other than referring the reader to the excellent special issue of IRAS and in particular Kuhlman et al.’s contribution, I would like to review the work of the IIAS during this year and plans for the years ahead in terms of the conceptual framework laid out by the guest editors to the special issue. How did the IIAS, through the agency of its secretariat, manage opportunities arising from the Covid-19 crisis. It goes without saying that the special issue is about managing the health crisis itself at the
国际行政科学研究所管理“新冠肺炎危机的机遇”如果有“后新冠肺炎”,公共行政在新冠肺炎期间和之后将永远不会相同。国际行政科学研究所(IIAS)负责西欧事务的副院长Sabine Kuhlman与一些同事(Kuhlmann等人,2021年)在《国际行政科学评论》(IRAS) 2021年9月特刊上发表了一篇关于“考验危机:Covid-19大流行的机会管理和治理”的跨国比较分析。比较表明,机会出现在危机期间,这些机会的程度随着危机的严重程度而增加。毋庸置疑,新冠肺炎危机是一场前所未有的全球性灾难。它的长期存在使得包括政府和公共行政部门在内的各种行为者更加艰难。然而,机遇也是巨大的。根据库尔曼和她的合著者的说法,各种政治和行政行为者的“机会管理”将取决于制度因素和个人因素。制度因素包括制度起始条件、行政文化和历史路径依赖。个别因素包括行为者的战略,这些行为者将在危机中看到展示领导力和有效治理的可喜机会。在这些年度编年史中,除了向读者介绍IRAS的优秀特刊,特别是Kuhlman等人的贡献外,我想回顾一下ias今年的工作,并根据特刊的客座编辑提出的概念框架为未来几年做计划。国际投资协定如何通过秘书处管理新冠肺炎危机带来的机遇?毫无疑问,这一特刊是关于管理卫生危机本身的
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引用次数: 0
A transformative change through a coordination process and a steering agency. The case of the financial information system of the French central state 通过协调过程和指导机构进行变革。以法国中央政府财政信息系统为例
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-11-26 DOI: 10.1177/00208523211058859
Samuel Defacqz, C. Dupuy
Recent scholarship has focused on how coordination mechanisms are implemented by public sector organizations, thereby paying attention to coordination as a process. This article studies the coordination process that resulted in the implementation of the interministerial financial information system of the French central state—named Chorus. Chorus is a case of an unlikely coordination process rolled out in the non-conducive context of the French Napoleonic Administration. Chorus aimed at connecting all ministries’ administrative services to a shared information system, while ministries were previously using their own systems and applications. Based on the literature on mechanisms of coordination, and focusing on the role of existing institutions and the actors involved in the coordination process, the analysis has two main results. First, AIFE—“Agence pour l’informatique financière de l’État”, the agency in charge of the implementation of Chorus—steered the process by developing a stepwise network-based interministerial strategy. Second, the coordination steered by AIFE resulted in a transformative change of the French state's financial and accounting structures through a layering process of change. Thereby, the article contributes to the empirical analysis of public administrations’ recent changes toward increased coordination at the central level by studying recent reforms in France and their outcomes. Points for practitioners This article shows that coordination processes within public sector organizations are context sensitive and depend on the behavior of the “agents of change” in charge of these processes. In contexts that are non-conducive to transformative change (e.g. siloed structures, presence of veto players), the set-up of agile, resourceful and autonomous change agents is key. When veto players may oppose structural change, the article suggests setting up network-based coordination processes aiming at incremental evolutions inducing transformative change.
最近的学术研究侧重于公共部门组织如何实施协调机制,从而关注协调作为一个过程。本文研究了导致法国中央国有企业合唱部际财务信息系统实施的协调过程。Chorus是一个不太可能在法国拿破仑政府的不利背景下展开的协调过程的案例。Chorus的目标是将所有部委的行政服务连接到一个共享的信息系统,而以前各部委使用自己的系统和应用程序。基于对协调机制的文献研究,并关注现有机构和参与协调过程的行动者的作用,本文的分析有两个主要结果。首先,AIFE -“金融信息机构État”,即负责执行《合唱》的机构,通过逐步制定基于网络的部际战略,引导了这一进程。其次,AIFE引导的协调导致了法国国家金融和会计结构通过分层变化过程的革命性变化。因此,本文通过研究法国最近的改革及其结果,有助于对公共行政最近在中央一级加强协调的变化进行实证分析。这篇文章表明,公共部门组织中的协调过程是上下文敏感的,并且依赖于负责这些过程的“变革代理人”的行为。在不利于变革的环境中(例如,孤立的结构、否决者的存在),建立敏捷、足智多谋和自主的变革代理人是关键。当否决者可能反对结构性变革时,本文建议建立基于网络的协调过程,旨在促进渐进进化,从而引发变革。
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引用次数: 0
Public service-oriented work motives across Europe: A cross-country, multi-level investigation 欧洲各地以公共服务为导向的工作动机:一项跨国、多层次的调查
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-11-16 DOI: 10.1177/00208523211045251
Fabian Homberg, Jens Mohrenweiser
This article disentangles the country-specific institutional system at the macro level from individual-level attraction and socialization in measuring public service-oriented work motives across European countries through public–private sector comparisons. We argue that country-specific institutions shape the level of public service-oriented work motives of each country and thereby generate level differences across countries. In contrast, public–private sector differences, (i.e. gaps), in public service-oriented work motives within a country reflect aspects of individual-level attraction and socialization. We use the 2005 and 2010 waves of the European Working Conditions Survey and demonstrate that the levels and gaps are empirically distinct phenomena, contrary to current treatment in the literature. We conclude that the distinction between levels and gaps can advance understanding of the antecedents of public service-oriented work motives and support the institutional theory of public service-oriented work motives. Points for practitioners This article argues and provides evidence for the fact that levels of work motives oriented towards public service that are visible in a cross-country comparison should not be confused with the gap of such work motives inside one country. This distinction is important because in countries where gaps between the sectors are almost non-existent and levels are generally high, interventions geared towards public service-oriented work motives are less likely to be effective.
本文通过公私部门的比较,在衡量欧洲国家公共服务型工作动机时,将宏观层面的国家特定制度体系与个人层面的吸引力和社会化区分开来。我们认为,特定国家的机构决定了每个国家公共服务工作动机的水平,从而产生了各国之间的水平差异。相比之下,一个国家内公共服务型工作动机的公私部门差异(即差距)反映了个人层面的吸引力和社会化。我们使用了2005年和2010年欧洲工作条件调查的浪潮,并证明这些水平和差距是经验上不同的现象,与文献中目前的处理方式相反。我们得出的结论是,对水平和差距的区分可以促进对公共服务型工作动机前因的理解,并支持公共服务性工作动机的制度理论。从业者的要点本文认为并提供了证据,证明在跨国比较中可见的面向公共服务的工作动机水平不应与一个国家内此类工作动机的差距相混淆。这种区别很重要,因为在部门之间几乎没有差距、水平普遍较高的国家,针对公共服务工作动机的干预措施不太可能有效。
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引用次数: 0
Exploring performance paradox in public organizations: Analyzing the predictors of distortive behaviors in performance measurement 探索公共组织中的绩效悖论:分析绩效衡量中扭曲行为的预测因素
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-11-11 DOI: 10.1177/00208523211054876
Sungjoo Choi, Soonae Park
Scholars have argued that utilization of quantitative performance indicators by public organizations could generate unintended consequences that might outweigh the benefits of performance measurement. We examined the relationships between goal ambiguity and external control, and distortive practices in performance measurement in public organizations. The data from 47 agencies of the central and local governments in Korea were analyzed using fixed-effect ordered logistic regression methods. The results showed that goal ambiguity was positively and significantly associated with distortive practices in performance measurement. Goal ambiguity may incentivize public employees to misuse performance information to obtain rewards for higher performance ratings. Contrary to our expectation, reinforced external control was negatively and significantly related to distortive behaviors in performance measurement. Higher work autonomy was not significantly associated with manipulation of performance information. Employees with higher intrinsic motivation were less likely to distort performance measures, whereas the ones with higher extrinsic motivation were more likely to misuse performance information to achieve higher performance ratings. Points for practitioners To avoid the potential distortions in performance measurement, public managers should adopt a refined measurement model of performance customized to the unique characteristics of public services. Multiple sets of measures need to be developed and managed properly to respond to complex political environments which involve different key values and the stakeholders in the policy processes, and the nature of public service products and outcomes. Reinforced behavioral control in the process of measuring performance will also be necessary.
学者们认为,公共组织利用量化绩效指标可能会产生意想不到的后果,可能超过绩效衡量的好处。我们研究了目标模糊性与外部控制之间的关系,以及公共组织绩效衡量中的扭曲做法。使用固定效应有序逻辑回归方法对韩国47个中央和地方政府机构的数据进行了分析。结果表明,目标模糊性与绩效衡量中的扭曲行为呈正相关。目标模糊可能会激励公职人员滥用绩效信息,以获得更高绩效评级的奖励。与我们的预期相反,强化外部控制与绩效衡量中的扭曲行为呈负相关且显著。较高的工作自主性与绩效信息的操纵没有显著关联。具有较高内在动机的员工不太可能扭曲绩效指标,而具有较高外在动机的员工更有可能滥用绩效信息来获得更高的绩效评级。从业人员要点为了避免绩效衡量中的潜在扭曲,公共管理人员应根据公共服务的独特特点,采用精细的绩效衡量模型。需要制定和妥善管理多套措施,以应对复杂的政治环境,这些环境涉及不同的关键价值观和政策过程中的利益攸关方,以及公共服务产品和结果的性质。在衡量绩效的过程中加强行为控制也是必要的。
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引用次数: 2
The practice of motivated reasoning: observing knowledge use in real-world policy processes 动机推理的实践:观察现实世界政策过程中的知识使用
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-10-26 DOI: 10.1177/00208523211047355
Lars Dorren, Mirijam Böhme
Motivated reasoning theory is a psychological theory that reads that policymakers interpret evidence in ways that fit their preferences rather than assessing it neutrally. The theory is increasingly used to explain policy processes as part of a behavioural approach to public administration, but it has limitations. As psychological research relies on experiments, the question remains what role motivated reasoning plays in real-world policy processes. Based on ethnographic observations collected during the planning phase of a large infrastructure project, this study confirms that motivated reasoning explains how people interpret information. However, it also shows that peoples’ context has a great impact on their reasoning. Ultimately, we suggest that a focus on time and real-world context is essential in understanding processes of reasoning, for which methodological diversification is needed. Points for practitioners People are inclined to interpret information in light of existing attitudes, rather than approach it neutrally. They read it in such a way that it confirms their attitudes, or are critical of it when it does not. Conflicts caused by differentiating views can be better understood by looking at the attitudes that inform these views. Discussions that might seem aimless at first might have secondary functions such as building trust amongst participants.
动机推理理论是一种心理学理论,认为政策制定者以符合他们偏好的方式解释证据,而不是中立地评估证据。作为公共行政行为方法的一部分,这一理论越来越多地用于解释政策过程,但它有局限性。由于心理学研究依赖于实验,问题仍然是动机推理在现实世界的政策过程中扮演什么角色。基于在大型基础设施项目规划阶段收集的人种学观察,本研究证实了动机推理解释了人们如何解释信息。然而,这也表明人们的语境对他们的推理有很大的影响。最后,我们建议,在理解推理过程中,对时间和现实世界背景的关注是必不可少的,为此需要方法多样化。从业者要点人们倾向于根据现有的态度来解释信息,而不是中立地处理信息。他们以这样一种方式阅读它,即它证实了他们的态度,或者在它不证实他们的态度时批评它。不同观点引起的冲突可以通过观察这些观点的态度来更好地理解。一开始看起来毫无目的的讨论可能具有次要功能,例如在参与者之间建立信任。
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引用次数: 1
Public–private partnership in a smart city: A curious case in Japan 智慧城市中的公私合作:日本的一个奇怪案例
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-10-21 DOI: 10.1177/00208523211051839
Daniela Pianezzi, Yuji Mori, S. Uddin
Previous studies have overlooked how partnerships between public and private actors (PPPs) play out as an effect of cultural and historical conditions in the context of a smart city. Our analysis investigates the peculiar context of Japan, where smart city initiatives stem from a historically and culturally embedded “partnership” between government and businesses. Unlike other smart city settings, the adoption of a neoliberal logic of an all-embracing market world by prioritizing business interests over other civic issues is not inevitable. This paper contributes to the literature on PPPs and smart cities by presenting the case of a partnership between public and private actors that overcomes the antagonistic and transactional relationship problematized in previous studies. We demonstrate that the workings of PPPs are historically and culturally embedded. Thus, we caution policy-makers against adopting a universal framework for partnerships in smart city initiatives. In the case of Japan, we advocate for long term orientations of projects instead of the short-term goals espoused by smart city initiatives.
先前的研究忽略了公共和私人行为者(PPP)之间的伙伴关系如何在智能城市的背景下发挥文化和历史条件的影响。我们的分析调查了日本的特殊背景,在日本,智能城市倡议源于政府和企业之间的历史和文化“伙伴关系”。与其他智能城市环境不同,通过将商业利益置于其他公民问题之上,采用包罗万象的市场世界的新自由主义逻辑并非不可避免。本文通过介绍公共和私人行为者之间的伙伴关系,克服了先前研究中存在的对立和交易关系问题,为PPP和智能城市的文献做出了贡献。我们证明,公私伙伴关系的运作具有历史和文化底蕴。因此,我们提醒决策者不要在智能城市倡议中采用普遍的伙伴关系框架。就日本而言,我们提倡项目的长期方向,而不是智能城市倡议所支持的短期目标。
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引用次数: 3
Strategizing for grand challenges: economic development and governance traditions in Malaysian local government 为重大挑战制定战略:马来西亚地方政府的经济发展和治理传统
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-10-19 DOI: 10.1177/00208523211048167
J. Hughes, K. Orr, M. Yusoff
This qualitative study provides empirical knowledge and develops theory about the role of strategic management in Malaysian local government. As the country addresses the grand challenge of economic growth amid enduring national aspirations of moving from developing to fully developed status, the analysis identifies six approaches to strategic management across nine Malaysian local authorities. Rather than presenting a linear story of progression, the six models of strategizing in Malaysia illuminate the governance traditions that co-exist in this setting. The study examines the assumptions about public management that underpin the different approaches and relates these to the country's inheritance of classical public administration and centralized government, the introduction of New Public Management, and the subsequent emergence of features of New Public Governance. It contributes to theory by providing an analysis of the role of strategy in each of the three governance traditions and connects debates about local governance with scholarship on strategic management. It also contributes to the emerging literature on strategizing for grand challenges and the limited repository of such studies located in a public sector context. The article ends by identifying the implications for policy and practice and suggesting areas for further research. Points for practitioners This study highlights the need for collaboration to address strategic meta problems, manage economic pressures and deliver public services. The six approaches to strategy development presented provide a set of models and frames through which practitioners may assess their local environment. Our typology offers a basis for cross-sectoral learning and reflection, including ways of diagnosing contextual variables and developing strategic knowledge. The Malaysian case shows how the context of strategy formation has been affected by the shift from local government to governance, as well as by interacting colonial legacies.
这项定性研究提供了关于战略管理在马来西亚地方政府中作用的经验知识和发展理论。在马来西亚应对经济增长的巨大挑战之际,国家从发展到完全发达的长期愿望,该分析确定了马来西亚九个地方当局的六种战略管理方法。马来西亚的六种战略模式并没有呈现一个线性的发展故事,而是阐明了在这种背景下共存的治理传统。该研究考察了支持不同方法的关于公共管理的假设,并将这些假设与该国对传统公共行政和中央集权政府的继承、新公共管理的引入以及新公共治理特征的随后出现联系起来。它分析了战略在三种治理传统中的作用,并将关于地方治理的辩论与战略管理的学术联系起来,从而为理论做出了贡献。它还为新出现的关于应对重大挑战的战略制定的文献以及公共部门背景下此类研究的有限库做出了贡献。文章最后指出了对政策和实践的影响,并提出了进一步研究的领域。从业者要点这项研究强调了合作解决战略元问题、管理经济压力和提供公共服务的必要性。提出的六种战略制定方法提供了一套模型和框架,从业者可以通过这些模型和框架评估当地环境。我们的类型学为跨部门学习和反思提供了基础,包括诊断上下文变量和发展战略知识的方法。马来西亚的案例表明,战略形成的背景如何受到从地方政府到治理的转变以及相互影响的殖民遗产的影响。
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引用次数: 0
Smart criminal justice: Phenomena and normative requirements 智慧刑事司法:现象与规范要求
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-10-19 DOI: 10.1177/00208523211039740
Monika Simmler, Giulia Canova, K. Schedler
Advanced technology is not only transforming the public sector in general but is also increasingly transmuting the criminal justice system. Smart applications are designed to predict crimes, automate legal proceedings, and predict recidivism. We argue that such use of intelligent technology to optimize police work, criminal justice, and law enforcement is ultimately serving to establish a “smart criminal justice.” However, not every use of technology is intelligent or “smart,” per se. Based on a literature analysis, we explore the meaning of “smartness” from a descriptive and normative perspective, in order to develop a catalog of decisive criteria. We identify the use of technology as a basic prerequisite, and efficiency, effectiveness, and participation as normative criteria for any smart initiative in the public sector. Considering the specifics of the criminal justice system, these criteria can be expanded by claims related to legality, equality, and transparency. In sum, this article presents and discusses guidelines for assessing the usefulness and legitimacy of technical innovations in the criminal justice system. The catalog developed here will facilitate practitioners and policy-makers in determining when the use of technology in criminal justice is actually smart, and more importantly, when it is not. Points for practitioners Advanced technology is increasingly being used in the public sector in general and the criminal justice system in particular, bringing opportunities as well as substantial risk. The use of technology has to adhere to normative principles to be considered as “smart criminal justice.” This article presents a list of normative criteria that can be used in practice to assess whether technology in criminal justice is used smartly. Practitioners are encouraged to use this catalog as a guide for procurement, implementation, and evaluation processes.
先进技术不仅正在改变整个公共部门,而且正在日益改变刑事司法系统。智能应用程序旨在预测犯罪、自动化法律程序和预测累犯。我们认为,使用智能技术来优化警察工作、刑事司法和执法,最终是为了建立“智能刑事司法”。然而,并不是每一种技术的使用都是智能的或“智能的”。基于文献分析,我们从描述性和规范性的角度探讨了“智能”的含义,以便制定决定性标准的目录。我们认为,技术的使用是一个基本的先决条件,效率、有效性和参与是公共部门任何明智举措的规范标准。考虑到刑事司法系统的具体情况,这些标准可以通过与合法性、平等性和透明度有关的主张来扩大。总之,本文提出并讨论了评估刑事司法系统技术创新的有用性和合法性的准则。这里制定的目录将有助于从业者和决策者确定在刑事司法中使用技术何时真正明智,更重要的是,何时不明智。从业人员积分先进技术越来越多地被用于公共部门,特别是刑事司法系统,带来了机遇,也带来了巨大的风险。技术的使用必须遵守规范性原则,才能被视为“聪明的刑事司法”。本文列出了一系列规范性标准,可用于评估刑事司法中的技术是否被聪明地使用。鼓励从业者使用本目录作为采购、实施和评估过程的指南。
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引用次数: 4
Introducing a digital tool for sustainability impact assessments within the German Federal Government: A neo-institutional perspective 在德国联邦政府内部引入可持续性影响评估的数字工具:新制度视角
IF 2.3 4区 管理学 Q2 PUBLIC ADMINISTRATION Pub Date : 2021-10-19 DOI: 10.1177/00208523211047093
Camilla Wanckel
This study examines the institutionalization of information technologies for policy formulation by investigating the case of eNAP. The digital tool was introduced in the spring of 2018 with the aim of supporting and improving sustainability impact assessments (SIAs) within the German Federal Government. Applying a neo-institutional perspective, this study shows how a tool like eNAP is embedded into prevailing regulative, normative, and cultural–cognitive structures. Findings from 10 semi-structured interviews indicate that the application of eNAP varies according to intra-ministerial coordination practices and portfolio-specific information-processing schemata. Overall, the tool serves to translate the abstract regulation to conduct an SIA, as well as to translate the vague norm of “sustainability” into a concrete assessment requirement, thereby helping increase policy officials’ awareness of sustainability goals. However, consistent with previous studies, great importance is not attached to SIAs in policy formulation, and prevailing norms and routines make the implementation of eNAP to increase the use of evidence or in-depth considerations of policy alternatives and their consequences unlikely. Points for practitioners Information and communication technologies (ICTs) provide new opportunities to support ex-ante policy evaluations. Practitioners enforcing ICTs for impact assessments should take a comprehensive perspective on the institutional context because both formal organizational structures and implicit expectations, habits and routines affect how policy officials use these tools. Technology alone does not improve policy evaluations, and a misfit between regulative, normative and cultural–cognitive institutional elements can lead to merely symbolic displays of impact assessments through the means of digital tools.
本研究通过调查eNAP的案例,考察了信息技术用于政策制定的制度化。该数字工具于2018年春季推出,旨在支持和改进德国联邦政府内部的可持续性影响评估。运用新制度视角,本研究展示了eNAP这样的工具是如何嵌入主流的调节、规范和文化认知结构中的。10次半结构化访谈的结果表明,eNAP的应用因部内协调实践和特定投资组合的信息处理模式而异。总的来说,该工具有助于将抽象的监管转化为SIA,并将模糊的“可持续性”规范转化为具体的评估要求,从而帮助提高政策官员对可持续性目标的认识。然而,与之前的研究一致,在政策制定中没有高度重视SIA,而现行的规范和惯例使得eNAP的实施不太可能增加证据的使用或对政策替代方案及其后果的深入考虑。从业人员要点信息和通信技术为支持事前政策评估提供了新的机会。执行信通技术影响评估的从业者应全面看待机构背景,因为正式的组织结构和隐含的期望、习惯和惯例都会影响政策官员如何使用这些工具。技术本身并不能改善政策评估,监管、规范和文化认知制度要素之间的不匹配可能导致通过数字工具对影响评估的象征性展示。
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引用次数: 3
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International Review of Administrative Sciences
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