published_or_final_version / abstract / Urban Planning and Environmental Management / Doctoral / Doctor of Philosophy

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This dissertation comprises a close analysis of decentralization in Bolivia, employing a methodology that marries qualitative and quantitative techniques. It first examines the effects of decentralization on public-sector investment and the provision of public services in Bolivia using a unique database that includes measures of municipalities' social and institutional characteristics and information on its policy-making processes. I find that decentralization changed both the sectoral uses of public resources and their geographic distribution significantly by increasing government sensitivity to local needs in human capital investment and the provision of basic services. I then investigate the determinants of central and local government investment respectively in order to investigate why the shift in regime produced such large changes in investment patterns. I then turn to a much deeper examination of local government via nine case studies, selected to broadly represent Bolivia's national diversity. I begin with an account of the workings of local government in the best and worst of these, analyzing the character and interactions of the major societal actors. I locate fundamental causes of good and bad government in the economic structure of a district as it relates to the political party system, and the cohesiveness and organizational capacity of its civil society. These ideas are used to build a conceptual model of the local government process in which the interactions of political, economic and civic actors reveal information and enforce accountability. I show how imbalances between them can cripple accountability and distort the policy-making process. Lastly, the dissertation tests the model by examining government performance in seven additional municipalities. I show that the framework can explain the emergence of good or bad government institutions, and thus the quality of government a district ultimately receives, through the interactions of key players —notably civic organizations — deep in the local political economy.

ABSTRACT Subnational foreign activities are a new and relatively unexplored aspect of the international system. The absence of clear and universal rules creates an ambiguous political playground that can be misused by both states and their subnational governmental units for reaching their foreign policy and foreign trade goals. Worldwide, different patterns for subnational foreign activities in federal states have emerged. For example, in the United States, member states of the federation are fighting over foreign investments mainly. In Germany, on the other hand, members of the federation have delegated their rights in terms of foreign activities to the federal government. In general, federations with long democratic traditions have managed to introduce the formulas for containing subnational foreign activities. In Russia, in contrast, the breakdown of the Soviet Union confronted both the federal centre and members of federation with a fundamentally new situation. In Soviet times, the territorial units of the Russian Socialist Federative Soviet Republic (RSFSR), were of administrative nature only, i.e. they lacked the political dimension. Some of the Russian regions were using their newly-gained freedom for the purpose of challenging the federal centre. Pskov region of Russia has been one of the most active subnational actors.

This thesis considers the impact of Europeanisation upon local government in the West of Scotland through analysing firstly, the response of Strathclyde Regional Council to Europeanising influences and the policies which SRC subsequently pursued to respond to these developments. The impact of European policies as a form of multi-level governance is also evaluated through research into the role of local government within two institutions established in Strathclyde to deal with aspects of European policy :- Strathclyde European Partnership and the Ouverture programme. Lastly, the impact of local government reorganisation upon SRC's successor unitary authorities to engage with European policy is considered. The research findings illustrate that the process of Europeanisation has developed through a number of cyclical stages which has resulted in the development of changing and varying response from SNAs to European policy developments. The initial engagement of SRC with European Institutions occurred at an early stage as the Council attempted to discover new sources of finance. The pro-active stance of the Council resulted in financial benefits for Strathclyde but also an increasing engagement within SRC with European policy as the Council responded to the emerging Single European Market. This engagement also led SRC to attempt to utilise a variety of means to influence European policy. The research suggests that while local government was able to influence the European policy process this tended to occur where European Commission and / or member-state(s) interests overlapped with those of local government. While multi-level governance exists in Western Scotland, the key partners remain the European Commission and the member state.

From 1992 to 2003 the emergence of the urban resident Minimum Livelihood Guarantee (MLG) system saw a major reconfiguration and expansion of social assistance in the People's Republic of China (PRC). There are currently two gaps in current studies of the MLG which this dissertation will address. First, detailed historical information on the MLG is lacking in the English language. Second, the focus of current studies on the effectiveness of the MLG has led to an implicitly rational explanation for the emergence and development of the policy. Such an explanation does not provide a satisfactory explanation for the MLG. Using Chinese language sources and interview data collected during two field trips to the PRC this dissertation uses four different periods in the MLG's development to argue that that explaining the programme requires a more complex approach. Drawing on insights provided by the China studies and wider political science literature I argue that the development of the MLG system has been a complex process which can be explained by using a synthesis of concepts. These are the role played by policy sponsors, a new concept developed in the dissertation, and policy entrepreneurs. Second, the continued importance of the structure of the Chinese state. Finally, the influence of feedback from previous policy decisions and outcomes. These three concepts are used to examine four significant stages of the MLG programme's development. First, the often overlooked emergence of the first MLG programme in Shanghai between 1992 and 1993 is examined. Second, the MLG's shift from a local innovation to a national policy from 1994 to 1997 is investigated. Third, the factors behind the significant expansion of the MLG between 1999 and 2003 are contrasted with more low key developments in the scope and delivery of social assistance. Finally, the concepts developed and applied to the MLG are taken and used to explain the emergence and spread of the Community Public Service Agencies in Dalian. I conclude that the synthesis of the policy sponsor and neo-institutionalist concepts provide a richer explanation of the MLG than that implicit in the existing literature.

The main goal of this thesis is to explore how the encounters between public professionals and citizens affect the quality of participatory democracy. Participatory democracy was introduced as a radical alternative to representative democracy, but has often not lived up to its promises. Among the great variety of factors that have been found to matter, questions have arisen about the added value of public encounters: are problems and failures of participation because of or despite public professionals and citizens coming together? Despite a growing body of research on this subject, public encounters have so far not been adequately understood on their own terms. Building on recent contributions to the communicative turn in participatory democracy, this thesis develops a relational, situated, performative approach to analyze the communicative “in-between” of public professionals and citizens. In order to examine their communicative practices, a narrative analysis has been conducted of the stories public professionals and citizens tell about their daily experiences. Through a grounded theory process of analyzing 59 intensive interviews conducted in Glasgow, Amsterdam, and Bologna, the research formulated a theory of communicative capacity. The research shows that when public professionals and citizens meet, they develop and sustain dominant patterns of communication that limit their ability to solve local problems. Each case was characterized by a distinct communicative pattern, because local actors focused more on the substantive issues at hand rather than on the way they communicated about these. This was difficult to change because three inherent processes of participatory practice were drawing public professionals and citizens into dominant communicative patterns. Therefore, the thesis argues that the quality of participatory democracy depends on the communicative capacity of public professionals and citizens to recognize and break through these dominant patterns by constantly adapting the nature, tone, and conditions of their conversations to the situation at hand. The main contribution of this thesis is that it provides a more grounded and rounded understanding of the nature and importance of the communicative “in-between” (interaction or encounter) of public professionals and citizens for the quality of participatory democracy.

By the early 1900s, ambitious business leaders were transforming Dallas, Texas into a rising commercial metropolis. However, the problems created by rapid urban growth spawned demands from all classes of citizens upon local government for more public improvements and services. When city government failed to meet these demands, many citizens began to seek a more responsive governmental system. Their search led to the establishment of a commission government which, like the modern business corporation, delegated authority to competent, well-paid administrators. Civic reformers hoped that the new system would represent overall community interests. However, Dallas business leaders, believing that continued urban expansion depended upon a city government attuned to business interests, organized a political movement which won them control of the city commission.

M.Com. (Development Economics) / The Local Government Equitable Share (LES) is a lump sum unconditional grant that is legally entitled to municipalities in South Africa. The grant aims to supplement municipal own revenues in the delivery of services. However, increases in the LES allocations to municipalities have coincided with increased service delivery protests and poor revenue management on the part of local government. Given these trends and the ultimate goal of the LES, it is important to assess the actual impact this grant is having on local government fiscal decision. This minor dissertation evaluates the impact of the LES on the expenditure and revenue decisions and performance of local government in South Africa. Specifically, the research seeks to ascertain the nature of such impacts in terms of how expenditure and revenue decisions are adjusted with this grant funding and whether such funds may be creating adverse incentives on the part of local governments to spend inefficiently and/or not maximising their effort in collecting own revenues. The analysis uses a cross sectional dataset for a sample of 129 municipalities for the 2009/10 municipal financial year, with the Stochastic Frontier Analysis as the primary methodology. The analysis finds that the LES has no statistically significant impact on municipal operating expenditure. This suggests that the funds from this grant might not have contributed to municipal service outputs in the 2009/10 financial year. Furthermore, the results found that the LES is positively correlated with expenditure inefficiencies and poor tax/revenue effort. This suggests that the LES funds create perverse incentives for local government to waste LES funds and not collect revenues from local taxes. The latter is due to municipalities substituting tax revenues with funds from the LES, hence resulting in the LES not having an impact on overall expenditure.

M.Comm. / An operational information model is adapted in this study to suit the current municipal applications. Problems arising from the current changing environment will have to be dealt with to ensure future success of municipalities. A control centre forms the basis of the model from where the relevant information can be supplied to employees in a robust form for outdoor use. The information is updated regularly and control measures are in place for issuing of the information. The effective management of the system will ensure that functions such as training, reporting, safety, labour relations, etc. are optimally implemented.