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中國治理研究 - 政大學術集成

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(1)國立政治大學亞太研究英語碩士學位學程 International Master‟s Program in Asia-Pacific Studies College of Social Sciences National Chengchi University 碩士論文. 立. Master‟s 政 治Thesis. 大. ‧ 國. 學 ‧. 論文題目. Nat. n. sit. Governance in China. er. io. al. y. Thesis Topic. Ch. engchi. Student: Advisor:. i Un. v. Patric Aeberhard Prof. I. Yuan. 中華民國 99 年 7 月 July 2010.

(2) 論文題目 Thesis Topic Governance in China 研究生 / Student:. Patric Aeberhard. 指導教授 / Advisor:. Prof. I. Yuan. 國立政治大學. 學. ‧ 國. 政 治 大 亞太研究英語碩士學位學程 立 碩士論文. y. ‧. Nat. er. io. sit. A Thesis. n. a l Master‟s Programi vin Asia-Pacific Studies Submitted to International Ch. n engchi U. National Chengchi University In partial fulfillment of the Requirement For the degree of Master in Asia-Pacific Studies. 中華民國 99 年 07 月 July 2010.

(3) i. Abstract Governance in China by Patric Aeberhard The performance of Chinese governance is widely rated as poor. Nevertheless, some authors evaluate the recent reforms as providing a chance to improve the governance within China. Although quantitative attempts to measure governance performance have been made, the results. 政 治 大. need more interpretation. To evaluate the performance of Chinese. 立. governance, this thesis begins with a review of different theoretical. ‧ 國. 學. concepts of governance. The literature on the performance of the governance within China and quantitative approaches attests to China‟s. ‧. moderately good performance in relation to effectiveness but sees a major. sit. y. Nat. problem in what we could define as „good governance.‟ The. er. io. interpretations of some particular reforms provide no clear answer as to. n. whether they constitute a a step towards improving v the system or if the. i. l. Ch problem will worsen. Consequently, this U n includes a case study on i thesis e ngch. the galloping growth of coal-fired power plants within China which offers a different perspective and demonstrates that China‟s central government is incapable of implementing its energy policy at the local level. Illegal power plants and the disregard for environmental rules are an evident sign of a failure of governance. But I argue that China‟s governance problems and failures do not matter in the short term. It is the price that China has to pay for the central government‟s determination to achieve fast economic growth, and it is a bill that will to be paid in the future..

(4) ii. Table of contents Abstract ....................................................................................................................................... i Table of contents ........................................................................................................................ ii List of tables.............................................................................................................................. iv List of abbreviations .................................................................................................................. v Introduction ........................................................................................................................ 1 1.1.. Governance theories........................................................................................................... 4 Governance as theory ................................................................................................. 4. 2.1.1.. Governance ........................................................................................................ 6. 2.1.2.. Good governance ............................................................................................. 12. 2.1.3.. Corporate governance ...................................................................................... 15. 2.1.4.. Public governance ............................................................................................ 17. 2.1.5.. ‧ 國. 2.1.. y. Definition of Governance ........................................................................................ 26. Governance in China........................................................................................................ 28 Different approaches to issues inherent in the governance framework ................... 28. 3.1.1. 3.2.. al. n. 3.1.. Ch. i Un. v. Reforms and its impact on the governance framework .................................... 31. engchi. Measurement and evaluation of governance in China ............................................. 37. 3.2.1.. Worldwide Governance Indicators (WGI) ....................................................... 38. 3.2.2.. The WHO indicator on governance in China in health care ............................ 48. 3.2.3.. Other projects to measure Governance ............................................................ 49. 3.3. 4.. Critique on the use of the term „governance‟: normative implications ............ 24. io. 3.. International agencies and their use of governance ......................................... 21. Nat. 2.2.. Global governance ........................................................................................... 19. ‧. 2.1.7.. 學. 2.1.6.. 立. 政 治 大. sit. 2.. Research question and design .................................................................................... 3. er. 1.. Issues relating to China‟s governance performance................................................. 50. Case study – energy policy .............................................................................................. 55 4.1.. China‟s energy Problem – the roots of the need for a better energy policy ............. 57. 4.1.1.. Rising demand for primary energy .................................................................. 58. 4.1.2.. Determinants of the rising energy demand ...................................................... 60. 4.1.3.. China‟s energy production and supply............................................................. 62.

(5) iii 4.2.. 4.2.1.. The policy development and implementation process ..................................... 74. 4.2.2.. Allocation of economic, social and environmental resources .......................... 81. 4.2.3.. Outcome of the governance framework ........................................................... 85. 4.3.. Conclusion ....................................................................................................................... 90 5.1.. The limits of governance theories in China ............................................................. 93. Bibliography .................................................................................................................... 94. 立. 政 治 大. 學 ‧. io. sit. y. Nat. n. al. er. 6.. Conclusion for energy policy and governance ......................................................... 89. ‧ 國. 5.. Coal fired power plants and energy policy in the governance theory framework ... 73. Ch. engchi. i Un. v.

(6) iv. List of tables Table 1: Activities of governance .............................................................................................. 6 Table 2: Government and governance as perspective in political science ............................... 11 Table 3: Civil employees in China........................................................................................... 32 Table 4: Six governance indicators .......................................................................................... 39 Table 5: Governance indicators for China (1996, 2006 and 2008) - Country's percentile rank (0-100) ............................................................................................................................. 40 Table 6: WGI (China): Voice and Accountability - country's percentile rank (0-100)............ 41 Table 7: WGI (China): Political Stability - country's percentile rank (0-100) ......................... 42 Table 8: WGI (China): Government Effectiveness - country's percentile rank (0-100) .......... 43 Table 9: WGI (China): Regulatory Quality - country's percentile rank (0-100) ...................... 43 Table 10: WGI (China): Rule of Law - country's percentile rank (0-100)............................... 44. 政 治 大 Table 12: Governance Indicators for China in comparison (2008) - country's percentile rank 立 (0-100) ............................................................................................................................. 45 Table 11: WGI (China): Control of Corruption - country's percentile rank (0-100)................ 45. ‧ 國. 學. Table 13: Energy production and consumption in China between 1991 and 2005.................. 58 Table 14: Consumption of primary energy in China in 2006 .................................................. 59. ‧. Table 15: China's coal imports and exports ............................................................................. 60 Table 16: Major hard coal producers [Mt] ............................................................................... 63. y. Nat. sit. Table 17: Coal mine categories: number of mines and average production per mine, 1995 and. er. io. 2005 ................................................................................................................................. 65 Table 18: Oil production, consumption and trade in China since 1971 ................................... 66. n. al. Ch. i Un. v. Table 19: Nuclear power generation capacity in China ........................................................... 68. engchi. Table 20: Renewable energy targets in China's medium and long-term development plan .... 69 Table 21: Fuel shares of generating capacity and output in China in 2002 ............................. 70 Table 22: China‟s power generation growth rates January 2003 – April 2009........................ 71 Table 23: Average efficiencies of coal-fired power plants in China by age and unit size ....... 72 Table 24: Coal mine licensing procedures ............................................................................... 77 Table 25: Coal mining fatalities: annual total and rate per million tons of coal mined, 19492006 ................................................................................................................................. 82.

(7) v. List of abbreviations Asian Development Bank Billion cubic meter (1 E+9 m³) Control of Corruption Communist Party of China Central Government Owned Mines Carbon dioxide Environmental Protection Bureau Gross Domestic Product Government Effectiveness Gigawatt Gigawatt-hour International Energy Agency Intergovernmental Organization International Monetary Fund Local Government Owned Mines Liquefied Natural Gas Municipal People‟s Congress Municipal People‟s Political Consultative Conference Million tons Megawatt National Development and Reform Commission Non-governmental organization Nitrogen dioxide Organisation for Economic Co-operation and Development Particulate matter (PM) <=10 μm People‟s Republic of China Political Stability and Absence of Violence Rule of Law Renminbi Regulatory Quality Severe acute respiratory syndrome State-owned Assets Supervision and Administration Commission State Environmental Protection Agency (SEPA) Sustainable Governance Indicators Sulfur dioxide State Owned enterprise Trans National Companies Terawatt-hour United Nations United Nations Development Program Voice and Accountability Village, Town and Private-Owned Mines World Bank Institute Worldwide Governance Indicators World Health Organization. 立. 政 治 大. ‧. ‧ 國. 學. n. al. er. io. sit. y. Nat. ADB Bcm CC CCP CGM CO2 EPB GDP GE GW GWh IEA IGO IMF LGM LNG MPC MPPCC Mt MW NDRC NGO NO2 OECD PM10 PRC PV RL RMB RQ SARS SASAC SEPA SGI SO2 SOE TNC TWh UN UNDP VA VTPM WBI WGI WHO. Ch. engchi. i Un. v.

(8) 1. 1. Introduction. Views of China are segmented into many different groups. For one group, China is the authoritarian communist country that violates human rights, destroys the environment and supports internationally outlawed regimes. The recent riots in Tibet are seen as evidence that China is a “ticking time bomb.” The international protests during the Olympic torch relay in 2008 underscore their views that the Chinese government‟s human rights record is far from where it should be. They closely correlate the two terms „China‟ and „crisis.‟ On the other hand, business people and. 政 治 大. certain political leaders see within China the promise of a bright future and a model of effective economic reforms. They see enormous opportunities in doing business in. 立. China, with the emergence of a huge consumer market. The seemingly everlasting. ‧ 國. 學. annual 10% rise in GDP makes them confident that China is on the right path. The same debate exists in the academic world. One group considers China‟s recent. ‧. achievements as very promising. They interpret the reform outcome as positive and. y. Nat. see China as being on the right road, while the other group draws the contrary. io. sit. conclusion. The studies by Dali Yang 1 and Minxin Pei 2 are a case in point. Even. al. er. though both authors have written about the same topic and in parts have used the. n. iv n C h e n gofcjob-rotations instance, Yang3 praises the introduction h i U among cadres in the center‟s same primary sources, they have reached mutually contradictory conclusions. For. nomenclature and county magistrates as positive. He suggests that their working performance was enhanced and the likelihood for bribery and corruption, lowered. Yang underlines the end-of-term audits for such officials which “have become a crucial link in the enhancement of the cadre disciplinary regime.” 4 The same institutional reform can be seen from a completely different perspective. Pei describes the rotations of cadres as new exit options that dramatically reduce the time horizon for responsibilities. Self-interest and rent seeking became more salient. Pei‟s radically 1. Dali L. Yang, Remaking the Chinese Leviathan: Market Transition and the Politics of Governance in China (Stanford: Stanford University Press, 2004), 181. 2 Minxin Pei, China's trapped transition the limits of developmental autocracy (Cambridge, Mass.: Harvard University Press, 2006), 153. 3 Yang, "Remaking the Chinese Leviathan: Market Transition and the Politics of Governance in China", 181. 4 Ibid., 182..

(9) 2. different view leads him to conclude that “the unintended effect of this institutional practice is to turn these officials, literally, into roving bandits.” 5 The problem of different interpretations can even be found within the statistics used. Pei sees the problem of overstaffing as a risk to a steadily growing Chinese state carrying an immense cost and constituting the root cause for China becoming a predatory state. Pei stresses that the problem became worse during the 1990s. In particular, district and township governments significantly raised their staff levels above those officially authorized. Underreporting and the lack of a standard classification of employees made matters even worse in Pei‟s opinion. He compares the growth rate of state employees between 1953 and 1978, 1.8%, and between 1979 and 1990, 6.7%, and concludes that the official figures for 2002 suggest a doubling of employees compared. 政 治 大. with 1978. 6 The same statistics can be read and interpreted very differently. According to Yang, 7 the Chinese state at the local level was recently massively. 立. downsized. The plan, at the time of writing his book, to reduce 20% of its staff would. ‧. ‧ 國. state.. 學. first affect the unauthorized employees and act as an effective tool to make a slimmer. This was a relevant discussion. Very different aspects of China‟s political, social and. sit. y. Nat. economic life are affected by this debate. Will corruption take over and become a major threat? Will the growing social inequality lead to social unrest? How will this. io. n. al. er. affect the authoritarian one-party-state and the political stability in China?. Ch. i Un. v. It is an unresolved discussion; scholars are divided on this topic. There is no common. engchi. theory or consensus about key questions. Will market forces reform the political system? Will the Communist Party survive? Or will the environmental problems become a major issue affecting China‟s stability? It is far-reaching discussion; China‟s relations with other countries will be affected more and more. The world economy has much greater dependence on China and the expression „China threat‟ has become a popular issue. The salience of these questions makes them, in my view, worthy of focus. In this thesis, a theoretical approach is. 5. Pei, "China's trapped transition the limits of developmental autocracy", 153. Ibid., 136. 7 Yang, "Remaking the Chinese Leviathan: Market Transition and the Politics of Governance in China", 47. 6.

(10) 3. sought to contribute a different viewpoint to the discussion. To look at the practical aspect, a salient topic of governance will follow the theoretical part.. 1.1.. Research question and design. The thesis uses the governance approach to find an answer to the ongoing discussion on China‟s recent achievements. I suggest that under the angle of governance, the interpretation of the manifold problem areas is more meaningful than the use of one specific theory. Economic theories for instance help to interpret some particular effects in the economic development but obscure major changes in society and in politics. If China‟s challenges are analyzed from a governance perspective, it should be. 政 治 大 within China will help立 to find an answer to the question „where are we?‟ in the possible to include various effects on China‟s rapid changes. The focus on governance. ‧ 國. 學. discussion mainly because the governance perspective is more suitable to give an inclusive picture of development.. ‧. In the first step, a literature review is undertaken focusing on the different concepts and definitions of governance. A second step will narrow the discussion on. y. Nat. sit. governance within China. I will begin with the debate on positive and negative. al. er. io. outlooks on China‟s achievements in relation to reforming the state under a. n. governance perspective. Furthermore, governance theories on measuring China‟s. Ch. i Un. v. performance are applied to selected topics. The theoretical discussion will be followed. engchi. by a case study discussing the governance of energy policies in China. The final concluding chapter will provide answers to several questions: -. How can governance theories help in the interpretation of governance indicators?. -. How can governance theories explain changes in China‟s performance in governance indexes?. -. How can we explain China‟s governance problems?. -. What are the limits of governance reforms?. Finally, are governance theories helpful in the debate as to whether China‟s future should be seen in a more positive or negative perspective?.

(11) 4. 2. Governance theories. This chapter presents a brief overview on different governance approaches. Although the term governance is widely used and most of us have a general idea of what governance means, the definitions and use of the term governance are manifold. Governance is used in different disciplines. For instance, in business administration the conception of corporate governance is used to explain the sets and arrangements that determine the leadership of a corporation and how accountability of the. 政 治 大 To discuss the different approaches of governance, the term governance itself is 立 individuals who lead it can be ensured.. addressed first. Based on the general definition, references to specific fields follow.. ‧ 國. 學. Good governance, corporate governance, public governance and global governance all have their roots in the general concept of governance.. ‧ y. Nat. io. al. sit. Governance as theory. er. 2.1.. v. n. Governance plays a prominent and critically important role in international 8. Ch. i Un. development strategies. This can easily be seen in international agencies which are in. engchi. charge of developing and implementing such strategies. For instance, the OECD, World Bank, IMF, Asian Development Bank and several UN agencies, all assign an important role to the idea of governance. The specific use and definition of governance in these institutions is discussed further in chapter 2.1.6. Although governance is frequently used to describe current problems and challenges in terms of how governments can govern in order to guarantee the effectiveness of their actions, governance as theory embraces a broader concept. According to J.P.. 8. Arthur A. Goldsmith, "Is Governance Reform a Catalyst for Development?," Governance, Vol. 20, (2007), 165..

(12) 5. Burns‟ definition, governance is confined neither to governments nor to the state.9 Kahler and Lake10 make the same point poignantly: “governance is not government.” Governance used as theory correlates with other terms which “denote changes in the way public policies are managed.” 11 In many ways governance, networks and partnerships express this general concept. Governance used as theory involves virtually any duty of a government. According to Cheung and Schott,12 governance is often used as a synonym for government: “the manner in which power is exercised in the management of a country‟s economic and social resources for development.” Although governance and government are related, the discussion of governance as theory expands its focus. Governance theory “implies thinking about government, its role and mode of functioning in relation to non-. 政 治 大 manner in which power is exercised in the management of a country‟s economic and 立. government actors.” 13 Burns dissected and described it in a general sense as “the social resources for development.” 14 Rhodes saw it as the changed rules and. ‧ 國. 學. conditions “by which the society is governed;” 15 the state becomes less important.. ‧. In the following chapters, different governance theories are discussed, starting with the general concept of governance followed by more specific topics and hot spots. y. Nat. sit. where governance is applied (chapters 2.1.2– 2.1.5). These theories involve state-. al. er. io. society, corporation-state and NGO-state relations, and much more. Chapter 2.1.6. n. presents a discussion of the governance concepts of international organizations. It is. Ch. i Un. v. followed by a critique on the use of governance in chapter 2.1.7.. 9. engchi. John P. Burns, "Governance and public sector reform in the People's Republic of China","Governance and Public Sector Reform in Asia - Paradigm shifts or business as usual?" (eds.) Cheung and Schott, (New York: RoutledgeCurzon, 2003), 68. 10 Miles Kahler and David A. Lake, "Globalization and Governance","Governance in a global economy: political authority in transition" (eds.) Kahler and Lake, (Princeton, New Jersey: Princeton University Press, 2003), 8. 11 Sonja Wälti, Daniel Kübler and Yannis Papadopoulos, "How Democratic Is "Governance"? Lessons from Swiss Drug Policy," Governance, Vol. 17, No. 1 (2004), 83. 12 Anthony B. L. Cheung and Ian Schott, "Governance and public sector reforms in Asia: paradigms, paradoxes and dilemmas","Governance and Public Sector Reform in Asia - Paradigm shifts or business as usual?" (eds.) Cheung and Schott, (New York: RoutledgeCurzon, 2003), 4. 13 OECD, China in the Global Economy: Governance in China OECD, 2005), 39. 14 Burns, "Governance and public sector reform in the People's Republic of China", 68. 15 Rod A. W. Rhodes, "The New Governance: Governing without Government," Political Studies, Vol. 44, No. 4 (1996), 653..

(13) 6. 2.1.1. Governance The easiest way to begin to define governance is to look at what scholars agree that it is not. Most scholars agree that “under either conception […] governance is not government.”. 16. Howell made a second general remark about the nature of. 17. governance that governance is, in principle, not different from other political science concepts.. A first attempt to define what governance is can be made with the distinction between a broad or narrow conception18; such conceptions are either to describe and explain a process between society and state or as a set of authority relationships.. 政 治 大. Beside the scope of the theory, governance can also, as a second attempt, be. 立. classified on the basis of its activities. Keohane and Nye19 suggest three levels and. ‧ 國. 學. three actors which are involved in governance activities: Table 1: Activities of governance20. TNCs. IGOs. Firms. Central. Third Sector. n. al. Ch. sit. y. Governmental. er. io Subnational. ‧. Nat. Supranational National. Private. v ni. U i e h n c g Local Local. NGOs Nonprofits Local. This classification proposes governance activities in the private sector, in the government and a third sector, society. Governance is not limited to the national state but also coexists on supranational and subnational levels.. 16. Kahler and Lake, "Globalization and Governance", 8, Oran R. Young, Governance in World Affairs (New York: Cornell University Press, 1999). 17 Jude Howell, "Governance Matters: Key Challenges and Emerging Tendencies","Governance in China" (ed.), Howell, (Oxford: Rowman & Littlefield, 2004a), 1. 18 Kahler and Lake, "Globalization and Governance", 7. 19 Robert. O. Keohane and Joseph S. Nye, "Introduction","Governance in a Globalizing World" (eds.) Nye and Donahue, Brookings Institution Press, 2000), 13. 20 Ibid., 13..

(14) 7. A third attempt is to consider the usage of governance. Mayntz 21 writes that governance was originally related to political guidance or steering. The root of the modern theory of political governance (also known under the „Steuerungstheorie‟) “emerged after World War II, at a time when governments aspired explicitly to steer their nations‟ social and economic development.”22 The first theories were based on a paradigm with policy development and implementation from a legislator‟s or topdown perspective.23 The paradigm shift reflects a continuous development of the first theories. However, the first theories could not explain a number of phenomena in the context of European policy developments. The theories went through five changes: the bottom-up perspective, including public/private networks, analyzing the effects of European policy, the European level of policy making and political input processes.24. 政 治 大. Besides this change, Mayntz observes another occasion where governance theories changed. Different actors believed that the emergence of new forms of self-. 立. government meant a loss of steering capacity: “The state appeared weak [and] „semi-. ‧ 國. 學. sovereign‟.”25 But the results of empirical political science research suggested that it “is not so much a loss of state control as a change in its form.”26 Recently, Mayntz has. ‧. observed a paradigm change and the emergence of two new uses of governance since the late 1980s. Mayntz sees on the one side that governance is used to describe a new. Nat. sit. y. mode of governing. The new element was “the hierarchical control model, a more co-. al. er. io. operative mode where state and non-state actors participate in mixed public/private. n. networks.”27 On the other side governance has, in her opinion, another new meaning. Ch. i Un. v. from a different, and much more general, viewpoint. “Here governance means the. engchi. different modes of coordinating individual action, or basic forms of social orders.”28 Contandriopoulos et al.29 have proposed a composite schema that integrates the new paradigm under three problematic facets:. 21. Renate Mayntz, "New challenges to governance theory","Governance as Social and Political Communication" (ed.), Bang, Manchester University Press, 2003), 27. 22 Ibid., 28. 23 Ibid., 29. 24 Ibid., 30. 25 Ibid., 32. 26 Ibid., 32. 27 Ibid., 27. 28 Ibid., 28. 29 Damien Contandriopoulos, Jean-Louis Denis, Ann Langley and Annick Valette, "Governance Structures and Political Processes in a Public System: Lessons from Quebec," Public Administration, Vol. 82, No. 3 (2004), 628..

(15) 8. (1) securing agreement on a program of action among a diversity of actors and organizations; (2) redistributing the capacity of actors and organizations to interpret decisions according to their own values; and (3) gaining acceptance among the collective that resultant actions are legitimate.30. The shift away from the original top-down approach resulted in a more diversified conceptualization of governance. Policy outcomes were no longer the sole achievement of a central government. “The center may pass a law but subsequently it interacts with local government, health authorities, the voluntary sector, the private sector and, in turn, they interact with one another.”31 This signifies a shift to a theory. 政 治 大. of policy development and implementation under a network angle. Most prominent, this idea resulted in the term „new governance‟ which is defined as self-organizing. 立. networks.32. ‧ 國. 學. In a second step, the focus switches to concepts of governance which describe, in a broader sense, the functional position of governance. It includes some particular. ‧. definitions, which several scholars have used as theory. As an example of a narrow. y. Nat. definition, Kahler and Lake33 mentioned: “Governance can […] be understood more. io. sit. narrowly as that subset of restraints that rests on authority, where authority itself is a. al. er. social relationship in which A (a person or occupant of an office) wills B to follow A. n. iv n C U to two actors where one of them h euse. way is not very useful for further n gIt only c h irefers. and B voluntarily complies.” Narrow in its conception, governance defined in this. obeys a decision of the other. Other scholars focused more on processes and the order of power distribution. Howell34 defined governance as “the totality of processes and arrangements, both formal and informal, by which power and public authority are distributed and regulated.” This definition is more general and does not specify the direction of power. It studies places where governance is relevant, including: political institutions, the military, judiciary, and informal processes. “It embraces not only the study of states but also the arrangements and processes within political and civil 30. Tim Freeman and Edward Peck, "Performing Governance: a Partnership Board Dramaturgy," ibid.Vol. 85, No. 4 (2007), 908. 31 Rhodes, "The New Governance: Governing without Government," 657. 32 Sonja Wälti and Daniel Kubler, ""New Governance" and Associative Pluralism: The Case of Drug Policy in Swiss Cities," Policy Studies Journal, Vol. 31, No. 4 (2003), 500. 33 Kahler and Lake, "Globalization and Governance", 7. 34 Howell, "Governance Matters: Key Challenges and Emerging Tendencies", 2..

(16) 9. society, the relations between these, and in turn their linkages with the state.”35 A similar concept of governance follows Keohane and Nye,36 who proposed governance as “the processes and institutions, both formal and informal, that guide and restrain the collective activities of a group.” The authors underline that besides government, several other players in distinct areas are involved, namely: private firms, associations of firms, nongovernmental organizations (NGOs), and associations of NGOs. International organizations act as organizations to which the governments delegate authority. Another possibility of how scholars see governance can be found in the discussion on European governance. In this context, governance is a political program with an intent “to introduce territorially unbounded public and private actors, acting outside of their formal jurisdiction, into political institutions‟ decision-making. 政 治 大. processes.”37 Governance is faced with several new methods of policy-making and implementation, such as non-binding decision-making, informal and unfixed networks. 立. of advice, lobbying, and new instruments to measure the processes, like. ‧. ‧ 國. 學. benchmarking.38. A third step to approach the broad concept of governance concentrates on the. Nat. sit. y. fundamental questions of governance: “Who has the right to govern? Who has power. al. er. io. and who has authority, and how are the two related 39 ?” From this standpoint,. n. governance focuses more on the decision-making process and its behavioral 40. Ch. i Un. v. conventions. Under this perspective, the idea of networks plays an important role.. engchi. Networks are self-organizing and not limited to one organization but rather interorganizational and a complemental.. 41. Rosenau. 42. made a distinction between. government and governance, whereas governance‟s authority is based on shared. 35. Ibid., 2. Keohane and Nye, "Introduction", 12. 37 David J. Bailey, "Governance or the crisis of governmentality? Applying critical state theory at the European level," Journal of European Public Policy, Vol. 13, No. 1 (2006), 22. 38 Ibid., 23. 39 Howell, "Governance Matters: Key Challenges and Emerging Tendencies", 8. 40 Goldsmith, "Is Governance Reform a Catalyst for Development?," 165. 41 Rhodes, "The New Governance: Governing without Government," 652. 42 James N. Rosenau, "Governance, order, and change in world politics","Governance Without Government: Order and Change in World Politics" (eds.) Rosenau and Czempiel, Cambridge University Press, 1992), 4, James N. Rosenau, "Approaches to Global Governance Theory", (eds.) Hewson and Sinclair, State University of New York Press, 1999). 36.

(17) 10. goals. 43 This differs from government, which derives its legitimacy from formal authority. Four important differences can be discerned. Firstly, the state is no longer the lynchpin; rather, network systems between public, private and voluntary sectors have gained authority. Secondly, the new networks made it necessary to coordinate resources and communications. Thirdly, the rules shifted to game-like interactions which generated trust and regulations. And fourthly, the networks have a significant degree of autonomy from the state. However, the state is still able to steer the networks, albeit imperfectly and indirectly. 44 This point underlines an important characteristic of governance; governance is a (new) governing style, “in which boundaries between and within public and private sectors have become blurred.”45 Within this concept, Czampiel46 formulated his definition of governance distant from. 政 治 大 [T]he capacity to get things done without the legal competence to command that they 立 of the state-centered concept:. be done […] From this point of view the international system is a system of. ‧. ‧ 國. 學. governance.. n. er. io. sit. y. Nat. al. 43. Ch. engchi. i Un. v. Rhodes, "The New Governance: Governing without Government," 657. Ibid., 660. 45 Gerry Stoker, "Governance as theory: five propositions," International Social Science Journal, Vol. 50, No. 155 (1998), 17. 46 Ernst-Otto Czempiel, "Governance and democratization","Governance Without Government: Order and Change in World Politics" (eds.) Rosenau and Czempiel, Cambridge University Press, 1992), 250. 44.

(18) 11 Table 2: Government and governance as perspective in political science47. Government State vs. Market vs. Society Polity.  . Focusing on the state Democracy and hierarchy as most important institutions. Politics. . Competition between parties for retaining power and between stakeholders for influence Conflict settlement through decisions of state organs and enforcement of state decisions. 立.  政 治 大 . Legislation Distribution public service. . io. sit. y. Nat.   . ‧. ‧ 國.  . . Conflict between governing and leading actors Steering and coordination in a complex institutionalized system of rules Negotiation between state and public actors Adaption institutional systems of rules Communication (in networks and communities), compromises, bartering Coproduction collective goods Network management Politics of institutions (change management for institutions). 學. Policy. . n. al. er. . Governance State, Market and Networks as complex forms of steering  Institutional structure, which combines elements of hierarchy, negotiations systems, and mechanism of competiveness  Networks. iv n C andh e society are inotU separated. ngch. Table 2 shows the analytical dimension of governance. In contrast to more common approaches state, market. The interactions are. characterized by multi-dependency with an emphasis of rules in networks. Governance is a concept used to understand and explain several problems. Depending on its definition, governance can be used to understand changes in a state‟s government.48 Another example can be found in the fields of economics and political economics: decentralization, integration and federalism. With the factors of externalities, heterogeneity, and economies of scale scholars try “to determine the. 47. Arthur Benz, Governance-Regieren in komplexen Regelsystemen: eine Einführung VS Verlag für Sozialwissenschaften, 2004), 21. 48 Rhodes, "The New Governance: Governing without Government," 666..

(19) 12. most efficient level of governance.”49 In the end, a general definition of governance includes all of the abovementioned aspects. If we define governance “as the traditions and institutions that determine how authority is exercised in a particular country,”50 most of the phenomena mentioned in this chapter will have been taken into account.. 2.1.2. Good governance Good governance signifies governance in a normative sense. That means that “the juxtaposition of „good‟ augments the essentially evaluative nature of the concept.”51 Good governance has become popular in several international institutions as a key tool to evaluate governments. Most notably, international financial institutions such as. 政 治 大 institutionalizing processes 立 in terms of effectiveness, efficiency, transparency and. the IMF and the World Bank have applied good governance to evaluate. ‧ 國. 學. accountability of governments. 52 Financial institutions and Western governments were the first to link development assistance to governance issues.53 With the idea of good governance, the international organizations aim to create processes and. ‧. mechanisms for enhancing government quality. Good governance acts as a legal. y. Nat. framework for development. Better accountability, transparency and decentralization. io. sit. are the key elements of this process. Some Western governments “interpret the term. n. al. er. more broadly to embrace also the processes of democratization, respect for human rights, and socioeconomic equity.”54. Ch. engchi. i Un. v. In the normative aspect of good governance, „good‟ refers to some rules that are considered necessary for sustainable development,55 meaning that good governance. 49. Lisa L. Martin, "The Leverage of Economic Theories - Explaining Governance in an Internationalized Industry","Governance in a global economy: political authority in transition" (eds.) Kahler and Lake, (Princeton, New Jersey: Princeton University Press, 2003), 35. 50 Cheung and Schott, "Governance and public sector reforms in Asia: paradigms, paradoxes and dilemmas", 4. 51 Howell, "Governance Matters: Key Challenges and Emerging Tendencies", 1. 52 Ibid. 53 Howell, "Getting to the Roots: Governance Pathologies and Future Prospects", 233. 54 Howell, "Governance Matters: Key Challenges and Emerging Tendencies", 1. 55 Daniel Kaufmann and Aart Kraay, "Governance Indicators: Where Are We, Where Should We Be Going?," International Bank for Reconstruction and Development, (2007)..

(20) 13. should be established. 56 The OECD 57 has defined six criteria of good governance: rule of law, accountability, transparency, efficiency and effectiveness, responsiveness, and forward-vision. The idea that good governance leads to development and economic growth is widespread not only among scholars but also in development agencies. The “possibility that open and inclusionary institutions take more human and financial capital to run successfully58” is one of the assumptions. Grindle59 has taken a different critical standpoint. According to Grindle, taking good governance as a guide to development is problematic for several reasons. Firstly, governments in developing countries have often low legitimacy and venal leadership. Civil society, to the extent that it exists at all, struggles with being disenfranchised and may be divided. Under. 政 治 大 contexts, getting good governance as a route toward poverty reduction can overwhelm 立. such circumstances, the ideas of good governance are barely workable. “In such the commitment of even the most energetic reformers.” 60 Secondly, most of the. ‧ 國. 學. policies proposed on the basis of good governance approaches are ahistorical and are in large measure incompatible with regional characteristics. Thirdly, the study of. ‧. developed countries offers no evidence that good governance is an essential condition. sit. y. Nat. for development. Studies suggest “that economic development occurred long before countries had fully institutionalized democracies, professional bureaucracies, rules for. io. al. er. corporate governance, modern financial institutions, and extensive social welfare. n. iv n C h enecessary accountable institutions were not i U for economic and industrial n g c hconditions. services.” 61 The essential requirements of good governance of transparent and. development.. 56. Goldsmith, "Is Governance Reform a Catalyst for Development?," 165. OECD, "China in the Global Economy: Governance in China", 43. 58 Goldsmith, "Is Governance Reform a Catalyst for Development?," 182. 59 Merilee S. Grindle, "Good Enough Governance: Poverty Reduction and Reform in Developing Countries," Governance: An International Journal of Policy, Administration, and Institutions, Vol. 17, No. 4 (2004), 525. 60 Ibid., 526. 61 Ibid., 531. 57.

(21) 14. Instead of a „full program‟ of good governance, Grindle has proposed a proper concept of „good enough governance‟, which she defines as “a condition of minimally acceptable government performance and civil society engagement that does not significantly hinder economic and political development and that permits poverty reduction initiatives to go forward.”62 A reduced agenda for good governance requires tackling the problem of choosing which reforms of good governance would be reasonable to introduce. That requires a broad knowledge of the possibilities of how particular goals, such as poverty reduction, can be achieved. The lack of sufficient information about how strategies can be implemented makes good governance for a wide range of countries only “a distant possibility63” of what can be done in actuality.. 立. 政 治 大. Gindles‟ concept of good enough governance has some implications for which part of. ‧ 國. 學. development we should focus upon. The idea is that some governance deficits are less important and do not require too much attention. Grindle “suggested that good enough. ‧. governance directs attention to considerations of the minimal conditions of. y. Nat. governance necessary to allow political and economic development to occur.” 64. io. sit. Nevertheless, good governance remains an important guideline for a wide range of. al. er. areas of the development community, despite the fact that numerous questions remain. n. iv n C that the World Bank and other h lenders i U World‟ will change their policies e n gto ctheh„Third. unanswered, especially the question of which institutions matter most. It is not likely. regarding good governance any time soon.. 62. Ibid., 526. Ibid., 543. 64 Merilee S. Grindle, "Good Enough Governance Revisited," Development Policy Review, Vol. 25, No. 5 (2007), 554. 63.

(22) 15. 2.1.3. Corporate governance Corporate governance, as the name suggests, applies the idea of governance to corporations. Like governance used in other fields, there is no set definition of corporate governance; how corporate governance is characterized depends, instead, upon the intention of the particular study.. In general, corporate governance has two principal perspectives. One is narrowly related to the corporate perspective and its investors. Shleifer and Vishny 65 have defined corporate governance in terms of how investors can protect their investments. The underlying idea is that suppliers of finance to corporations develop ways to. 政 治 大 the efficacy of corporate 立 boards representing their interests.. ensure getting a return on their investments. It focuses on shareholders and measures 66. According to this. ‧ 國. 學. viewpoint, corporate governance answers three main questions: “How do the suppliers of finance get managers to return some of their profits to them? How do they make sure that managers do not steal the capital they supply or invest it in bad. ‧. projects? How do suppliers of finance control managers?” 67 Although this overall. y. Nat. point of view takes an investor‟s standpoint, the public sphere is strongly involved.68. io. sit. The second perspective is related to the corporations‟ stakeholders. Although by. n. al. er. definition it includes its investors as stakeholder, various actors are related to. i Un. v. corporations. Most prominent is the OECD‟s definition of corporate governance:. Ch. engchi. “Corporate governance involves „a set of relationships between a company‟s management, its board, its shareholders and other stakeholders. Corporate governance also provides the structure through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance, are determined.”69 This approach focuses more on the “quality of accounting practices across countries.”70 That implies that corporate governance is not directly concerned with how enterprises run their business, but rather with how enterprises incorporate 65. Andrei Shleifer and Robert W. Vishny, "A Survey of Corporate Governance," The Journal of Finance, Vol. 52, No. 2 (1997). 66 Xun Wu, "Corporate Governance and Corruption: A Cross-Country Analysis," Governance: An International Journal of Policy, Administration, and Institutions, Vol. 18, No. 2 (2005), 161. 67 Shleifer and Vishny, "A Survey of Corporate Governance," 737. 68 Ibid., 738. 69 OECD, "China in the Global Economy: Governance in China", 43. 70 Wu, "Corporate Governance and Corruption: A Cross-Country Analysis," 161..

(23) 16. tools and rules into their internal regulations to guarantee maintaining a relationship with their stakeholders under the “expectations for accountability and regulation by the interests beyond the corporate boundaries.”71. Definitions of corporate governance sometimes combine both approaches. In that case, the term is related to state and social influences that affect “institutional processes, including those for appointing the controllers and/or regulators, involved in organizing the production and sale of goods and services.”72 It describes the relations within an economic system which enable the control or regulation of the corporations, including the rules of how regulators or controllers are appointed.73 In all cases of. 政 治 大. how corporate governance is defined, reference is made to structures, specifically, how authority in an enterprise is structured. That includes the distribution of power,. 立. decision-making process as well as by whom and how both are controlled and. ‧. ‧ 國. aspects:. 學. monitored. According to Gourevitch74 the governance element focuses on three main. n. er. io. sit. y. Nat. al. 71. Ch. engchi. i Un. v. Rhodes, "The New Governance: Governing without Government," 653. Shann Turnbull, "Corporate Governance: Its scope, concerns and theories," Corporate Governance: An International Review, Vol. 5, No. 4 (1997), 181. 73 Ibid., 182. 74 Peter Gourevitch, "Corporate Governance - Global Markets, National Politics","Governance in a global economy: political authority in transition" (eds.) Kahler and Lake, (Princeton, New Jersey: Princeton University Press, 2003), 307. 72.

(24) 17. “[1.] Information institutions: accounting rules, audit procedures, standards-settings, and third-party analysis.[2.] Oversight institutions: boards of directors and the rules governing their fiduciary responsibilities.[3.] Control institutions: the degree of voice minority shareholders have in the case of contested control and the rules that govern such contests, including the rules of hiring, compensating, and firing senior managers.” 75 There are certain identifiable points of convergence between good governance and corporate governance. Some features, such as accountability and transparency, have been said to be necessary to both forms of governance. Like good governance, corporate governance occupies a prominent position in policymaking in developing countries. The expectations underlined in some studies suggest that “low corporate governance standards raise the cost of capital, lower the operating. 政 治 大. performance of industry, and impede the flow of investment.” 76 In other words, corporate governance is an important factor in boosting a country‟s economy. The. 立. problems corporate governance faces are similar to those of good governance. It is a. ‧ 國. 學. critical area of policy making which incorporates interactions between domestic politics, the private sector and even an international dimension. 77 It is difficult to. ‧. demonstrate a direct correlation between growth and corporate governance. All this may lead to similar conclusion, namely that a „good enough corporate governance‟. y. Nat. n. er. io. al. sit. should be moved to the center stage of discussions.. 2.1.4. Public governance C. hengchi. i Un. v. Public governance can be seen as the concepts of corporate governance applied to public administrations. Just as governance and government have historically been considered to be synonyms, it can be argued that so are public administration and public governance. Osborne 78 has shown that theories of public administration management have passed through three paradigmatic stages. From the beginning of the 20th century through to the late 1970s and early 1980s, the preeminent paradigm was that public administration had some similarities to the use of governance during the same period. This was followed by the new public management which enriched 75. Ibid., 307. Wu, "Corporate Governance and Corruption: A Cross-Country Analysis," 151. 77 Gourevitch, "Corporate Governance - Global Markets, National Politics", 325. 78 Stephen Osborne, "The New Public Governance?," Public Management Review, (2006), 377. 76.

(25) 18. public administration management with private-sector managerial techniques 79 and focused on entrepreneurial leadership within public service organizations. Mayntz‟s 80 and Mayntz and Scharpf‟s. 81. actor-centered institutionalism (Akteur zentrierter. Institutionalismus) theory argues that because in complex societies certain actors possess the de facto power of veto, the state is finding it increasingly difficult to implement public policies.82 This development has led to the newest trend, which can be seen as a fusion of governance theories with existing administration management theories. The new public governance emerged as the predominant paradigm. From this perspective, it is clear that “„governance‟, and „public governance‟, are not new terms and they themselves come with considerable prior theoretical and/or ideological baggage.”83 Like the various definitions of other uses of governance, the views related. 政 治 大. to how public governance is seen are not harmonized. For instance, Rhodes 84 has identified no fewer than seven different uses of governance in studying public. 立. administration: “governance; the new public management; good governance;. ‧ 國. 學. international interdependence; socio-cybernetic systems; the new political economy; and networks.” A definition proposed by the OECD is a good synthesis of these seven. ‧. approaches: “Public governance has been defined as „the formal and informal arrangements that determine how public decisions are made and how public actions. Nat. sit. y. are carried out, from the perspective of maintaining a country‟s constitutional‟ values. n. al. er. io. as problems, actors and times change‟.”85. Ch. engchi. i Un. v. The main concern of public governance is correlated to the public choice theory that tries to develop institutions to prevent people from misusing the state for maximizing their own benefit.86 For that purpose, the older concept of new public management. 79. Ibid., 379. Renate Mayntz, Soziale Dynamik und politische Steuerung: Theoretische und methodologische Überlegungen Campus, 1997). 81 Renate Mayntz and Fritz W. Scharpf, "Steuerung und Selbstorganisation in staatsnahen Sektoren","Gesellschaftliche Selbstregelung und politische Steuerung" (eds.) Mayntz and Scharpf, (Frankfurt aM: Campus, 1995). 82 Yannis Papadopoulos, "Governance, Coordination and Legitimacy in Public Policies," International Journal of Urban and Regional Research, Vol. 24, No. 1 (2000), 214. 83 Osborne, "The New Public Governance?," 381. 84 Rod A. W. Rhodes, "Governance and Public Administration","Debating Governance: Authority, Steering, and Democracy" (ed.), Pierre, Oxford University Press, 2000). 85 OECD, "China in the Global Economy: Governance in China", 43. 86 Goldsmith, "Is Governance Reform a Catalyst for Development?," 166. 80.

(26) 19. took the view that “society should be run as if it were a firm.”87 Public governance overturns this view and focuses on designing institutions capable of influencing intrinsic motivation. Frei 88 has identified four aspects which are designated to fulfill these expectations: (1) Popular participation rights which generate a common identification and provide feedback to the system (2) Fixed position and income of officials encourage them to make suggestions for improvements and to criticize processes without fearing the disagreement of their superiors (3) Extensive selection processing of agents and (4) autonomy within the rules. 89 The tools of public governance are different from those of new public management in that the agents‟ behaviors are influenced to achieve the principal goals. It is a global approach with a strong enhancement of “efficiency, outcome, competition, value-for-money, catalytic. 政 治 大. role, autonomy, partnership, and customer orientation.”90. 立. ‧ 國. 學. 2.1.5. Global governance. Next, I discuss global governance, which is the latest application of the concept of. ‧. governance as well as one that has drawn widespread attention. In contrast to the. y. Nat. previous concepts, in which the focus was on institutions, global governance points to. io. sit. the sources and political implications of global change91 and the implications linking. n. al. er. private and governmental actors. 92 Global governance became increasingly popular. i Un. v. simultaneously with the notion of economic globalization. It is not surprising that. Ch. engchi. with the link to two general terms, global change and globalization, an enormous variety of global governance conceptions would follow. 93 Nonetheless, several distinct concepts of global governance must be recognized. Hewson and Sinclair 94 87. Bruno S. Frey, Corporate Governance: What can we Learn from Public Governance (Zürich: Institute for Empirical Research in Economics, 2003), 2. 88 Ibid., 5. 89 Ibid., 5-10. 90 M. Shamsul Haque, "Significance of accountability under the new approach to public governance," International Review of Administrative Sciences, Vol. 66, No. 4 (2000), 600. 91 Martin Hewson and Timothy J. Sinclair, Approaches to Global Governance Theory State University of New York Press, 1999), Martin Hewson and Timothy J. Sinclair, "The Emergence of Global Governance Theory","Global Governance - Critical Concepts in Political Science" (ed.), Sinclair, (New York: Taylor & Francis, 2004), 227. 92 J. Humphrey and D. Messner, "China and India as emerging global governance actors: Challenges for developing and developed countries," Ids Bulletin-Institute of Development Studies, Vol. 37, No. 1 (2006), 107. 93 Hewson and Sinclair, "The Emergence of Global Governance Theory", 229. 94 Ibid., 239..

(27) 20. have traced the concept back to three mainstreams: “One arises from the attempt to trace broad changes in patterns of international regimes. A second is concerned with the implications of contemporary changes for the world organizations‟ capacities for addressing world problems. The third is concerned with identifying the ascendant political forces shaping the form of global governance.” All three issues are concerned with the effects of globalization on different levels and institutions. Global governance focuses further on three analytical dimensions: firstly, at the level of private or public institutions, global change has an influence; secondly, how the systems respond to the new challenges and the impact of democratic accountability and thirdly, the conflicts between convergence or divergence of the resulting policy products.95. 政 治 大 efficiency-based concepts. They 立. Theories on global governance are related to globalization and governance, and rely on functionalist- or. 96. suppose that institutions. involved in global change and globalization aggregate the preferences of these players. ‧ 國. 學. into policies. Bargaining is the method they use when preferences are in conflict.97 In either case, these processes became more important with the growing complexity of. ‧. global politics. The problems were analyzed in different ways. A static model focuses. sit. y. Nat. on governance and the state, based on the concept of sovereignty. Global governance occurs in cases of power inequality. That permits some states to possess the additional. io. al. er. ability to constrain others. Governance and international organizations focus on sites. n. iv n C h e nstate, located in one place like the central particular entities, or between them. h iin U g cbut of authority and their relationships. That means that the authoritative power is not. Furthermore, the model of transnational actors shifts the center of power to nongovernmental actors. Their power relies on market power or on particular areas where such organizations have a broad influence. And lastly, policy networks is a model where actors are organized among networks rather than within organizational entities.98. 95. Kahler and Lake, "Globalization and Governance", 8. Ibid., 16. 97 Ibid., 24. 98 Robert. O. Keohane and Joseph S. Nye, "Redefining Accountability for Global Governance",ibid., 394-395. 96.

(28) 21. 2.1.6. International agencies and their use of governance The International agencies that matter most in this context include but are not restricted to: the World Bank, the International Monetary Fund (IMF), the United Nations and its agencies, e.g. United Nations Development Programme (UNDP), the Organization for Economic Co-operation and Development (OECD) and the Asian Development Bank (ADB). It is no wonder that the concept of governance is widespread among international agencies which develop and implement a wide range of policies that, by definition, are concerned with these issues. A prominent example of the importance of governance to international organizations is the World Bank Institute‟s (WBI) large-scale „Governance & Anti-Corruption‟ project. 99 What the WBI shows is that such organizations may have a strong preference for good. 政 治 大 development: economic立 growth, social cohesion and good governance.. governance. The OECD, for example, has defined three pillars as targets for 100. Therefore,. ‧ 國. 學. for the OECD “good governance is thus seen as a crucial element in addressing challenges and fault lines facing a nation, and to ensure sustainable development.”101 The best way to analyze how international organizations conceptualize governance is. ‧. to distinguish between their use of governance and good governance.. n. er. io. sit. y. Nat. al. 99. Ch. engchi. i Un. v. The World Bank, WBI Governance & Anti-Corruption 2008). OECD, "China in the Global Economy: Governance in China", 11. 101 Ibid., 11. 100.

(29) 22. Governance OECD: Basically, the OECD includes a “whole-of-government and a sectoral approach.”102 In its definition, governance is recognized as critical to economic development and the achievement of a society‟s objectives.103 World Bank: Governance is the process and institutions through which decisions are made and authority in a country is exercised.104 IMF. 政 治 大. The IMF distinguishes two spheres: (1) improving the management of public. 立. resources through reforms covering public sector institutions, including administrative. ‧ 國. 學. procedures; and (2) supporting the development and maintenance of a transparent and stable economic and regulatory environment conducive to efficient private sector. sit. y. Nat. ADB. ‧. activities.105. al. er. io. Governance for the ADB is the “vital connection between sound and responsive. n. systems of public administration and the effective and equitable operation of the. Ch. i Un. v. economy,”106 as well as “the manner in which power is exercised in the management. engchi. of a country‟s economic and social resources for development.”107. 102. Ibid., 11. Ibid., 11. 104 The World Bank, Good Governance and Its Benefits on Economic Development: An Overview of Current Trends The World Bank Institute, 1997), 3. 105 International Monetary Fund, Good Governance: The IMF's Role Good Governance 1997). 106 Asian Development Bank (ADB), Governance: Sound Development Management (Manila: Asian Development Bank, 1995), 1. 107 Ibid., 3, Burns, "Governance and public sector reform in the People's Republic of China", 68. 103.

(30) 23. Good governance OECD: The OECD Public Management Committee has adopted a set of principles that explain the key components of good public governance: rule of law, accountability, transparency, efficiency and effectiveness, and forward-vision.108 It is worth noting that the OECD combines good and public into the term good public governance. World Bank For the World Bank, good governance takes place in three key areas: (1) selection, accountability and replacement of authorities (accountability and stability), (2). 政 治 大. efficiency of institutions, regulations, resource management (regulatory framework; and government effectiveness), and (3) respect for institutions, laws and interactions. 立. among players in civil society, business, and politics (control of corruption and rule of. ‧. ‧ 國. IMF. 學. law).109. Promoting good governance is one of the IMF‟s goals, which include: ensuring the. Nat. sit. y. rule of law, improving the efficiency and accountability of the public sector, and. al. n. ADB. er. io. tackling corruption.110. Ch. engchi. i Un. v. According to the Asian Development Bank, governance values are primarily accountability, transparency, openness, predictability and participation,111 which are necessary for effective management. 112 This is governance from the perspective of sound development management.113. 108. OECD, "China in the Global Economy: Governance in China", 43. The World Bank, "Good Governance and Its Benefits on Economic Development: An Overview of Current Trends", 7( 110 International Monetary Fund, "Good Governance: The IMF's Role", ( 111 Asian Development Bank (ADB), Governance 2008). 112 Asian Development Bank (ADB), "Governance: Sound Development Management", 3. 113 Ibid., 21. 109.

(31) 24. 2.1.7. Critique on the use of the term „governance‟: normative implications Although governance is widely used to describe processes of policy development and implementation, the use of governance is often criticized for its normative implications. When scholars and politicians speak about governance, they often do so with an emphasis on good governance, which is explicitly an evaluative and therefore normative value. I would argue, however, that governance itself is, in fact, descriptive and actually not necessarily normative. Next, I examine criticisms leveled by some scholars and international organizations of how governance is used. Governance as a challenge to democratic accountability It may sound contradictory to consider governance and accountability as being in. 政 治 大 remarks on 立 the challenges of governance for democratic accountability in. conflict, especially because accountability is one of the pillars of good governance. Rhodes‟114. ‧ 國. 學. the British case is one case in point. Accountability between voters and private organizations poses a further question. 115 From a deliberative critical perspective, governance is biased to technocratic decisions and therefore a threat to public. ‧. legitimization.116 “The participatory criticism predicts that governance reduces citizen. sit. y. Nat. involvement and eventually jeopardizes community-building and solidarity.”117. n. al. er. io. Governance does not help development. i Un. v. Governance reforms are often initiated to boost a country‟s development. Goldsmith 118. Ch. engchi. has concluded that governance reforms may not make a considerable contribution. to development, and mentioned four reasons: (1) accountable institutions would be appreciated, but setting them up need not necessarily provide a perceptible jolt to development; (2) public institutions may be adequate for an upsurge in production and income; (3) good governance reforms are more the effect of rather than the cause of speed-up development; (4) a higher rate of development often brings an escalation in. 114. Rhodes, "The New Governance: Governing without Government," 667. Wälti, Kübler and Papadopoulos, "How Democratic Is "Governance"? Lessons from Swiss Drug Policy," 84. 116 Cynthia Hewitt de Alcantara, "Uses and abuses of the concept of governance," International Social Science Journal, Vol. 50, No. 155 (1998), 113. 117 Wälti, Kübler and Papadopoulos, "How Democratic Is "Governance"? Lessons from Swiss Drug Policy," 106. 118 Arthur A. Goldsmith, "Is Governance Reform a Catalyst for Development?," ibid.Vol. 20, (2007), 181. 115.

(32) 25. corruption.119 The question hereby is: which part of governance or good governance has to be implemented first120?. Normative questions121 The broad definition of governance and good governance makes it difficult to distinguish among descriptive, evaluative and normative views of what „is‟ and what „ought to be‟. 122 In particular, if governance is used to ensure achievements of development like stable macroeconomic policy, reduction of poverty, openness to trade, decentralization, or efficient revenue collection, then democratic participation and the normative implications will become clear. For example, reduction of poverty. 政 治 大 is often not clear how governance can be distinguished from development itself.” 立. is of course a positive objective that has to be aimed for in order to be achieved. “[I]t. ‧. ‧ 國. 學. n. al. er. io. sit. y. Nat. 119. 123. Ch. engchi. i Un. v. Ibid., 181. Ibid, Grindle, "Good Enough Governance: Poverty Reduction and Reform in Developing Countries.", Grindle, "Good Enough Governance Revisited." 121 David Williams and Tom Young, "Governance, the World Bank and Liberal Theory," Political Studies, Vol. 42, No. 1 (1994). 122 Grindle, "Good Enough Governance Revisited," 555. 123 Ibid., 555. 120.

(33) 26. 2.2.. Definition of Governance. My preceding discussion of the different approaches of governance has shown the wide range of uses to which the term „governance‟ is put. There is no common approach, neither in academic discourse nor among international organizations, to define governance. Governance can be seen as an ad-hoc concept that is defined for a specific research topic or as a set of values for a common ground for policy development in the case of international organizations. Nevertheless, governance is a concept that can be understood intuitively, but for which a clear definition is very hard to reach. In most cases, we see a very strong relation to the more narrow approach of good governance. It is also a widely held belief, though the correlation remains to be proven, that better governance improves a country‟s performance in. 政 治 大 cohesion and environmental 立 protection.. many different areas, such as medium to long-term economic development, social. ‧ 國. 學. The aim of this paper is to evaluate whether governance theories are a helpful tool for answering the question whether the current reforms in China worsen China‟s existing. ‧. problems or whether China is on a good path. In view of the many governance theories, I propose to use an existing and broadly accepted concept of governance. y. Nat. sit. used by the World Bank124. Such a pragmatic approach has several advantages: It. al. er. io. reflects better than the academic discussion, a broad agreement of set of values within. iv n C also have its critics and it is notha value-free organization, it is the leading institution engchi U where Western and Asian countries have been engaged in governance issues since the n. the variation of definitions of governance theories. Although the World Bank may. early 1990s.125 But one of the main advantages in using the World Bank‟s governance concept is its declared aim to measure governance changes over time. It combines a quantitative with a qualitative approach, which makes it useful to examine whether governance theories can be a useful tool to evaluate China‟s future development. 124. Kaufmann and Kraay, "Governance Indicators: Where Are We, Where Should We Be Going?.", Daniel Kaufmann, Aart Kraay and Massimo Mastruzzi, Governance Matters VI: Governance Indicators for 1996-2006 SSRN, 2007), Daniel Kaufmann, Aart Kraay and Massimo Mastruzzi, Governance Matters VIII: Governance Indicators for 1996-2008 2009), The World Bank, Managing Development: The Governance Dimension (Washington, D.C.: The World Bank, 1991), The World Bank, "Good Governance and Its Benefits on Economic Development: An Overview of Current Trends", (, The World Bank, "WBI Governance & Anti-Corruption", (, The World Bank, WBI Governance & Anti-Corruption 2010), World Bank Institute, Country Data Report for CHINA, 19962006 World Bank Institute, 2007). 125 The World Bank, "Managing Development: The Governance Dimension", (.

(34) 27. In this thesis, governance will be defined as follow: Governance is the (1) process of policy development and implementation, as well as (2) the manner in which economic, social and environmental resources are allocated and used. The (3) outcome of this process can be measured in three dimensions of „Selection and Monitoring‟, „Efficiency‟ and „Respect‟.. These three dimensions with which the outcome is measured also correspond to the most important characteristics of successful states. Put another way as Brinkerhoff126. 政 治 大. did, failed states confront three main problems: lack of legitimacy, security and effectiveness.. 立. ‧ 國. 學. The following chapters are based on this conceptualization of governance. I will begin. ‧. by focusing my discussion of governance on the case of China. In addressing the central questions of this thesis, my discussion will inevitably not rely solely on the. Nat. n. al. er. io. sit. y. definition, but will also include broader aspects of governance.. 126. Ch. engchi. i Un. v. D. W. Brinkerhoff, "Rebuilding governance in failed states and post-conflict societies: core concepts and cross-cutting themes," Public Administration and Development, Vol. 25, No. 1 (2005), 5..

(35) 28. 3. Governance in China In this chapter, three main lines of governance in China are discussed, beginning with two different approaches to examine China‟s governance performance. In general terms, we can distinguish between a negative outlook expressed by Pei 127 and a generally positive evaluation presented by Yang.128 I will conclude this discussion with an evaluation of the strengths and weaknesses of China‟s governance capacity. Regarding the definitions, chapter 3.1 relies on the first section of the definition, which focuses on „the process of policy development and implementation‟ and the „manner how economic, social and environmental resources. 治 政 Chapter 3.3 points out „hotspots‟ in the actual discussion 大 on governance topics. 立. are allocated,‟ whereas chapter 3.2 is related to „the outcome of governance processes.‟. ‧ 國. 學. 3.1.. Different approaches to issues inherent in the governance. ‧. framework. y. Nat. sit. Regarding its governance, the early days of China‟s communist period the system was. al. er. io. extremely simple: social organizations had no autonomy and were de facto branches. n. of the government in Beijing.129 The economic opening and the related reforms in the. Ch. i Un. v. economic sphere spurred changes in China‟s system of governance. The CCP. engchi. government moved away from its four types of organizations (industrial units, agricultural units, service units and administrative units) to a more complex, and therefore different, system of governance.. 127. Pei, "China's trapped transition the limits of developmental autocracy". Yang, "Remaking the Chinese Leviathan: Market Transition and the Politics of Governance in China". 129 OECD, "China in the Global Economy: Governance in China", 13. 128.

數據

Table 1: Activities of governance 20
Table 2: Government and governance as perspective in political science 47 Government
Table 3: Civil employees in China 141
Table 4: Six governance indicators 172
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