Capacity Of State Institutions Research Articles

„Traps” of Institutional Capacity of the Ukrainian State: Causes of Emergence and Ways to Overcome

In the article, based on the use of international indices (governance effectiveness, corruption perception, democracy, rule of law, and others), an assessment of the institutional capacity of the Ukrainian state is given, particularly during the Great War. The article also analyzes "capacity traps" as gaps in legislation that undermine the effectiveness of the state governance system, and as a result, devalue the institution of political accountability and deteriorate the state’s institutional capacity. The author also explains, based on sociological surveys regarding trust in state institutions, why the decline in trust towards government bodies (with the exception of the Armed Forces and the President) increases the risks of delegitimizing the government, as this translates into a reluctance of many citizens to fulfill their civic duties, particularly with respect to mobilization, tax payments, etc. The author identifies the inefficiency of the system of checks and balances as the key problem of the institutional capacity of the Ukrainian state, which leads to duplication of powers between branches of government, ineffective functioning of the parliament and government, excessive concentration of power in the hands of the president, and the nullification of the role of the government as the center of executive power. The author thoroughly analyzes the existing in Ukraine "capacity traps" (what has been done for the first time in domestic political science), emphasizes their cumulative negative effect, outlines the negative consequences if they persist, and proposes effective instruments of non-electoral legitimacy of power, which are extremely necessary during wartime. Particular attention is paid to the need to reform Ukraine’s constitutional system to eliminate these institutional traps. Several ways to enhance institutional capacity are outlined, including the self-legitimization of power through information policy under conditions of forced restrictions on rights and freedoms; amending the constitution and legislation to eliminate the "capacity traps"; and the use of non-electoral instruments of legitimacy of power as a temporary measure that can strengthen the state's institutional capacity, but only during the war.

FACTORS INFLUENCING THE INSTITUTIONAL CAPACITY OF THE STATE: A COMPARATIVE ANALYSIS OF UKRAINE AND THE USA

Background . In an era marked by globalization and rapid transformation, Ukraine is actively reforming its public administration system to align with European standards and effectively tackle contemporary challenges. Concurrently, the United States, with its robust democratic legacy and sophisticated governance framework, persistently evolves to meet new global trends while preserving its institutional robustness. This article delves into the analysis of public administration systems' capacity, positing it as a pivotal factor in governmental efficacy. It operates under the premise that the success of public policy is intrinsically linked to the government's capacity for informed decision-making. Methods . This study employs an integrated approach that amalgamates both qualitative and quantitative research methodologies to fulfill its objectives. Theoretical methodologies like abstraction and modeling are pivotal in distilling key concepts and constructing a coherent analytical framework for the investigation. Empirical approaches, including surveys and interviews, are crucial for amassing primary data pertinent to actual public initiatives within Ukraine. Results . The discourse scrutinizes the political, managerial, and juridical dimensions of state institutional capacity, drawing on Ukraine and the USA as case studies. It explores how their public administration systems acclimate to swift shifts and global exigencies that demand not just reactivity but also foresight. Employing a holistic methodology that integrates qualitative and quantitative analyses, the study underscores shared strategies and distinctive approaches to governance, pinpoints critical performance indicators, and evaluates hypotheses concerning their interplay. Moreover, the paper accentuates the significance of accessible, high-caliber administrative services in cultivating public trust in government, alongside the imperative for agility and innovation within public administration to navigate the flux of circumstances. The research underscores the salience of expertise, impartiality, and concerted action in empowering government entities to address issues and realize strategic objectives. It contends that the constancy of legal frameworks and the combat against corruption are vital to the predictability and integrity of administrative operations. Professionalism, impartiality, coordinated efforts, legislative and institutional stability, as well as the eradication of corruption and vested interests, are pinpointed as crucial elements influencing public confidence and administrative efficacy. Conclusions . The caliber of administrative services directly impact public trust levels, while managerial adaptability and ingenuity, coupled with societal engagement, enhance system transparency and performance. The author underscores the value of synergies with civic bodies and the private sector in bolstering efficiency and transparency. In summation, the author underscores the paramountcy of institutional capacity in the fruition of public policy and advocates for ongoing scholarly exchange and dialogue between Ukraine and the USA to disseminate exemplary practices and augment the collective capacity of public administration.

Beyond compliance: public voluntary standards and their effect on state institutional capacity in Vietnam

ABSTRACT Public certification standards have received limited scholarly attention, especially the institutional capacity of public authorities that develop and implement these standards to address complex challenges, such as the promotion of industrial ecology and industrial symbiosis for enhancing resource use efficiency. This research uses an institutional capacity assessment framework to examine the ways in which a voluntary public standard for certifying eco-industrial parks affected the Vietnamese state’s capacity to coordinate and implement industrial ecology. The article draws upon the interviews and a review of official documentation to show that the benefits of public standards extend beyond compliance to the enhancement of state capacities to coordinate complex policy domains such as industrial ecology. The findings contribute to providing a basis to redesign standard-setting processes to move beyond end-user compliance and provide insights into how public actors can more effectively address ‘systemic’ sustainability challenges – from circular economy ambitions to the Sustainable Development Goals.

Governance and management of health care institutions in Serbia: An overview of recent developments

In order to promote awareness of factors that affect social services, their quality, effectiveness and coverage, the term “governance” is frequently used. However, there is no agreement on definitions, frameworks and how it relates to the health sector. In this overview, two interrelated processes in Serbia will be analyzed: governance and management at the macro-, meso-, and micro level. Key messages are as follows: i) Continue decentralization and support to an effective national decision-making body (Health Council of Serbia) with all relevant stakeholders; ii) Reduce the well-known implementation gap and agree on a binding time frame for reforms, and; iii) Establish obligatory schemes for education and training of managers and support sustainability of state institutional capacity to teach, train and advise on a scientific basis.

A Perturbed Peace: Applying Complexity Theory to UN Peacekeeping

ABSTRACT This article explores the application of complexity theory to UN peacekeeping. To date, peacekeeping has been dominated by linear models of change, assuming that conflict settings can be addressed by elite-driven peace processes, gradual improvements to state institutional capacity, and development programming. However, this article argues that complexity theory offers a far more accurate and useful lens through which to view the work of peacekeeping: conflict settings represent complex, interdependent socio-political systems with emergent qualities giving them the capacity to self-organize via feedback loops and other adaptive activity. Self-organization means such systems are highly resistant to attempts to change behaviour via top-down or input-output approaches. In fact, peacekeeping itself is endogenous to the systems it is trying to change, often displaying the same kinds of self-organization typical of complex systems elsewhere. Drawing on experience working and conducting fieldwork in the UN peacekeping mission in Democratic Republic of the Congo, this article argues that UN peacekeeping operations should view themselves as actors within the complex conflict ecosystem, looking to enable transformational change from within, rather than impose liberal Western models from without.

Theoretical and legal principles of liability for violation of customs rules

The article examines the legal nature of the concepts of "offense" and "liability" in the context of ensuring compliance with customs legislation, as customs security is the main task of customs authorities of each state, within which they must ensure the receipt of customs duties and other customs payments, to protect the national producer, to prevent the import of banned and dangerous products, to ensure compliance with the law.
 In the conditions of insufficient functional capacity of state institutions, high level of corruption and development of criminogenic formations the risks and threats of destabilization of economic security of the state amplify. This leads to aggravation of the socio-economic situation in society, deterioration of the quality of life and the emergence of disparities in spatial and regional development. Strengthening the impact of destabilizing trends on the formation of economic security of the state requires the development of priority areas for its strengthening.
 Combating violations of customs rules is a significant, not fully operational, tool to increase the level of economic security of the state. Issues related to the organizational and legal framework for combating violations of customs rules, in particular, the legislative consolidation of responsibility for their commission, are extremely relevant, which led to the research topic. The article counteracts the violation of customs rules is revealed through the essence of administrative and criminal liability for offenses. And it is the scientific study of the legal nature of the concepts of "responsibility" and "offense" using the method of comparing and comparing the definitions of different theorists makes it possible to consider these phenomena with the fullest study of their application to crimes committed in the customs sphere.
 The formation and current state of the institution of responsibility for economic crimes is directly related to the formation and development of customs legislation. However, it retains its autonomy in this area, as it clearly defines the law enforcement focus, closely related to those areas of legislation that contain rules whose sanctions should protect legal relations in all spheres and areas of public life, ie. criminal, administrative legislation.

Why Europe looks so much like China: Big government and low income inequalities

One view in the literature is that the East Asian economic model is superior to other models in the Global South (i.e. in the developing world), at least in terms of catch-up development and possibly even in innovations beyond the technological frontier. Unlike economic models in Latin America and Sub-Saharan Africa, the East Asian model prioritizes community interests of the work collective, the neighbourhood, the nation-state, and all of humanity over those of individuals, possibly limiting some human rights for the greater benefit of all. Crucial features of the East Asian economic model include relatively low income and wealth inequalities, strong state institutional capacity. The origins of the East Asian economic model can be traced to different trajectories of the development of the Global South since the 16th century.This paper argues that European economic model and the East Asian model have a lot in common. After controlling for the country size and the level of development, it turns out that government consumption as a share of GDP is relatively high in both models, whereas income inequalities are relatively low.

CONTEMPORARY APPROACHES FOR PREVENTION AND COUNTERING VIOLENT EXTREMISM

States use a variety of approaches, mechanisms, models and programs to prevent and combat violent extremism and radicalism. Some of them are newly developed, and others already existing. They aim to enable practitioners, professionals and members of the local community to apply their various skills, knowledge and capacities for early prevention of violent extremism and radicalization, ie to identify vulnerable persons and persons at risk and provide them with the necessary support to be redirected in a non-violent way before committing a crime. Different types of approaches, mechanisms, models and programs are influenced, among others, by the nature of the threat, the socio-political situation in the country, the security situation, as well as by the prevailing norms and circumstances, management structures, resources, capacities, risk assessments and traditions.
 The aim of the paper is to summarize and analyze the modern peacebuilding approaches used to prevent and combat violent extremism and to draw conclusions about their effectiveness. In doing so, the challenges and weaknesses of such programs will be identified, in order to overcome and improve them in the future and to show better results in achieving their goals. The paper specifically analyzes and discusses the EU approach to capacity building in the fight against terrorism and violent extremism aimed at promoting the capacity of state institutions to provide criminal justice and law enforcement, while respecting human rights and the rule of law. Supporting key preventive measures against violent extremism and countering terrorist financing are also top priorities for preventing terrorist activities and their consequences.
 Creating such approaches/models for preventing and combating violent extremism should be followed by a broad consultation process with key national and local stakeholders, governments and the civil society sector, as well as law enforcement professionals and others who can provide support depending on the needs of the process. Such a process should not be rushed; creating the necessary multidisciplinary support for effective access takes time and patience, including from politicians, policymakers, practitioners, and members of the public, who may seek prompt action in the context of modern-day terrorist and violent extremist threats.

Why Europe Looks so Much like China: Big Government and Low Income Inequalities

One view in the literature (Popov 2020) is that East Asian model is superior to other models in the Global South, at least in terms of catch-up development and possibly even in innovations beyond the technological frontier. Unlike economic models in Latin America and Sub-Sahara Africa, the East Asian model prioritizes community interests (e.g., that of work collective, neighborhood, nation-state, and all of humanity) over those of individuals with the possibility of limiting some human rights for the greater benefit of all. Crucial features of the East Asian economic model include relatively low income and wealth inequalities, strong state institutional capacity (as measured by the murder rate and share of the shadow economy). The origins of the East Asian economic model can be traced to different trajectories of the development of the Global South since the 16th century (Popov, 2009; 2014). This paper argues that European economic model and East Asian model have a lot in common. After controlling for the size of the country and the level of development, it turns out that government consumption as a share of GDP is relatively high in both models, whereas income inequalities are relatively low.

Why share? An analysis of the sources of post-conflict power-sharing

Why do former belligerents institutionalize power-sharing arrangements after a civil war ends? The choice of power-sharing institutions shapes the nature of governance in many post-conflict settings. A better understanding of how belligerents come to choose institutionalized forms of power-sharing would thus help us explain how belligerents come to make a seemingly simple institutional choice that may have immense consequences. Existing scholarship emphasizes the nature of the conflict preceding negotiations, international actors, or state institutional capacity as critical factors for determining whether former belligerents will agree to share power or not. Yet these accounts overlook the importance of political considerations between and within ethnic groups. This article argues that elites create power-sharing institutions when the most significant threat to their political power comes from an outside group as opposed to from within their own group. That is, forward-looking and power-minded leaders of former belligerents push for the type of power-sharing at the negotiating table that affords them the greatest opportunity to influence country-level politics after the conflict has concluded in full. For elites facing competition from outside, this means securing power-sharing through institutional rules and guidelines in the settlement of the civil war to ensure that they are included in the governance of the state. By contrast, for elites fearing in-group rivals, complex governance institutions are at best unnecessary and, at worst, a significant concession to weaker opponents. I test the argument with a cross-national analysis of an original dataset of 186 power-sharing negotiations from 1945–2011. The empirical analysis suggests that elites are most likely to institutionalize power-sharing when no single ethnic group dominates politics and when most ethnic groups are unified. The quantitative analysis is complemented with illustrative examples from cases of power-sharing negotiations that offer insight into the proposed theoretical mechanisms.

Mass Media Reporting and Illicit Harvesting of Russian Crab: Implications for Sustainable Fishery

Existing methods of combating the shadow economy do not always give reliable results. This is particularly true for the illegal use of renewable natural resources. In some parts of the Northwest Pacific basin, illegal, unreported, and unregulated (IUU) fishing has become an issue of growing concern for the sustainability of resource management, ecology, and the social environment. Many factors combine to produce these harmful phenomena. The complex legal rights for shared natural marine resources, the weak capacity of state institutions, and the lack of international cooperation between exporters and importers are all relevant. These factors can be eliminated by supplementing the “traditional” analysis of the shadow economy with new data mined from the media. For the crab harvesting regions of Russia, long-lasting benefits can be achieved through improvements in governance, accountability, and public awareness, or more specifically, through extensive mass media coverage of relevant topics. We argue that in the Russian Pacific, levels of illegal crab harvesting and smuggling correlates closely to the frequency of media references. The results suggest possible applications of mass media analysis: developing additional metrics for the dynamics of shadow economies; and the formulation of effective policy recommendations for sustainable fishing.

Conjuring the Criminal State: The “State-Idea” in Post-Conflict Reconstruction and International Statebuilding

AbstractA central challenge of post-conflict recovery is the reconstruction of state institutions, which often emerge from war destroyed or otherwise unable to carry out core administrative activities. But scholarship on international peacebuilding and post-conflict politics tends to focus narrowly on the functional aspects of the state, the state-system, to the neglect of another critical dimension: the state-idea, or its symbolic and normative authority. How do internationally backed institution-building efforts shape the ideational foundations of the state following conflict? Drawing on original interviews and archival research from postwar Guatemala, this article illustrates how, paradoxically, postwar peacebuilding and rule of law initiatives that sought to strengthen the capacity of state institutions simultaneously contributed to the discursive construction of the state as a criminal organization. Specifically, the United Nations’ International Commission against Impunity in Guatemala (CICIG), in seeking to combat state-based criminal structures and bolster institutions, transformed long-held conceptions of Guatemala's “weak” or “failed” state into an alternative vision of the state as a powerful complex of clandestine, predatory networks, and practices. In conjuring the state as a criminal organization that appropriates the formal organs of political power for illicit ends, this international statebuilding initiative generated a coherent and durable state-idea that belies key advances in institutional capacity and the rule of law. Overall, this article contributes to growing debates about the unintended, deleterious effects of international statebuilding efforts by demonstrating how distinct ideas of state power come to fill the void between state capacity and legitimacy.

Economic Transition, Class Formation, and the Superintendent State in the Midwest: 1850‐1900

AbstractThis article outlines and clarifies the complex relationship between economic development, the formation of classes, political movement responses to these changes, and state institutional capacity building in response to these movements in the Midwestern US. It seeks to remedy views of the transition to capitalism in America that focus too narrowly on a moment of transition, positing instead a long, politically contested process of class formation by elucidating the specific interactions between agrarian and union movements and state‐building processes. Our research reveals the substantial role of the state in forcing through acceptance of economic changes and shifting class locations through a co‐developmental process of political resistance movements and state‐building.

The Origins of the State: Technology, Cooperation and Institutions

espite the vast evidence on the economic relevance of the state's institutional capacity to provide public goods and incentivize risk-sharing and innovation, we lack an organic and empirically sound theory of its origins. To help fill this gap, we develop a theory of state formation shedding light on the rise of the first stable state institutions in Bronze Age Mesopotamia. Our analysis suggests that the mix of adverse production conditions and unforeseen innovations pushed groups favored by old technologies to establish the state by granting political and property rights to powerless individuals endowed with new and complementary skills. Through these reforms, the elite convinced the nonelite that a sufficient part of the returns on joint investments would be shared via public spending and, thus, to cooperate and accumulate a culture of cooperation. Different from alternative theories, we stress that: 1) group formation is heavily shaped by unforeseen shocks to the returns on risk-sharing and innovation; 2) complementarity in group-specific skills is key determinant of state formation; 3) military, merchant and, especially, religious ranks favored reforms towards stronger nonelites' rights and the spread of a culture of cooperation; 4) access to violence is not a crucial institutional engine.

The advantages of using open source GIS for soil mapping

This article analyzes opportunities, state of development, popularity and prevalence of using freelicensed geoinformation systems in the world and in Ukraine; possibilities of using free GIS for soil mapping and individual agricultural soils of Chernivtsi affiliate of DU «Derzhgruntokhorona» were evaluated. The article examines the popularity of geoinformation systems with a free GNU GPL public license in the world and Ukraine, describes some interesting facts about using this software in the world for largescale projects in science and business, reviews the achievements of scientists in creating soil maps and opportunities for updating them with the help of free code software. New techniques for soil mapping are currently being developed in Ukraine, based on the use of multispectral space scan data, geoinformation systems etc. The cost of proprietary software is quite high as for the financial capacity of state institutions in Ukraine, so in our view, a good alternative for government agencies is to use non-profit distributed GIS and build predictive soil maps using them. Such maps can be used to create a National Soil Database and integrate it into SOTER, SOVEUR or similar international systems.

Bad governance: How privatization increases corruption in the developing world

AbstractInternational organizations have become key actors in the fight against corruption. Among these organizations, the International Monetary Fund (IMF) maintains a powerful position over borrowing countries in its ability to mandate far‐ranging policy reforms – so‐called “conditionalities” – in exchange for access to financial assistance. While IMF pressure can force the implementation of anti‐corruption policies, potentially reducing corruption, other IMF policy measures, such as the privatization of state‐owned enterprises, can create rent‐extraction opportunities and limit the capacity of state institutions to limit corrupt behavior. To test these mechanisms, we conduct instrumental‐variable regression analysis using an original dataset on IMF conditionality for up to 141 developing countries from 1982 to 2014. We find that conditions to privatize state‐owned enterprises exert significant detrimental effects on corruption control. Conversely, other areas of IMF intervention are not consistently related to corruption abatement. These findings offer policy lessons regarding the design of conditionality, which should avoid large‐scale privatization, especially under conditions of weak accountability.

Chinese engagement in Africa and Latin America: does it matter for state capacity?

ABSTRACTChina is now a major actor in global development and wields considerable influence in large parts of the world. The success of the Chinese development model has not only challenged the notion that democracy is necessary for development but also questioned the hegemony of the neo-liberal state encouraging and laying the foundations for a thriving private market economy. The Chinese model of aid, loans, and investments highlights the principles of ‘win-win’, ‘mutual respect’, and ‘non-interference’, based on the needs of a country as articulated by the recipient government. Yet, although Chinese aid does not explicitly aim to affect domestic policies and institutions in recipient countries, it does affect them. In this article, we explore the impact of Chinese aid practices – including grants, loans, and investment policies – on state legitimacy and the capacity of state institutions in sub-Saharan Africa and Latin America. We argue that while Chinese development interventions have highly diverse impacts in various geographical contexts, they tend to strengthen the elites that are in power – whether in government, or those supporting it from the outside. The extent to which Chinese policies contribute to strengthening state capacity depends on the incentives and visions that local elites possess.

Uneven institutional configurations and sectoral variation in China's socialist market economy: a comparative study of three pillar industries

ABSTRACTBy comparing three Chinese pillar industries, automobile, petroleum, and machinery, this paper analyzes how the development of uneven institutional configurations bred sectoral variation in transitional China. In 1994, at the dawn of the Chinese socialist market economy, the State Council issued guidelines for national industrial policy and proposed the enactment of similar growth-promoting policies for all pillar industries. The level of policy enactment and the resulting outcomes, however, vary significantly across the industries. Previous literature on China's rapid industrialization has sought to build a single model encompassing China as a whole, and has emphasized either the state's institutional capacity or China's unique governance mechanisms. This study investigates China's industrialization by taking account of the uneven development of institutional capacity amid macro institutional reforms. Every idea and institution evolved at a different pace in these reforms, and the incremental nature of the reforms further deepened the gaps between sectors. This paper argues that, due to this uneven development, the Chinese state was not strong enough to be considered a developmental state until at least the early 2000s.

The agro-industrial state: early agrarian influence on US state building

This contribution shows the influence of early agrarian movements on state institutional capacity building in the US, revealing how the two forces of state intervention and social movement pressure converged to produce a dynamic relationship between the transition to agrarian capitalism and industrialization or agro-industrialization. It will be shown how this protracted agro-industrial development fueled both social movements and state building responses that furthered capitalist development. By highlighting four specific categories of state building– land policy, infrastructure development, agricultural technology and agro-industrial development – this research reveals how the agro-industrial project developed out of rural class struggle spurred economic development and created unique capacities as the US state sought to quell and integrate this rural class struggle into capitalist development.

Global pharmaceutical regulation: the challenge of integration for developing states.

BackgroundThis paper has set out to map the state of pharmaceutical regulation in the developing world through the construction of cross-national indices drawing from World Health Organization data. The last two decades have been characterized by deep changes for the pharmaceutical sector, including the complete transformation of intellectual property systems at the behest of the World Trade Organization and the consolidation of global active ingredient suppliers in China and India. Although the rules for ownership of medicine have been set and globally implemented, we know surprisingly little about how the standards for market entrance and regulation of pharmaceutical products have changed at the national level. How standardized are national pharmaceutical market systems? Do we find homogeneity or variation across the developing world? Are their patterns for understanding why some countries have moved closer to one global norm for pharmaceutical regulation and others have developed hybrid models for oversight of this sector? Access to medicine is a core tool in public health. This paper gauges the levels of standards in public and private generics markets for developing countries building on national-level pharmaceutical market surveys for 78 countries to offer three indicators of market oversight: State Regulatory Infrastructure, Monitoring the Private Market and Public Quality Control. Identifying the different variables that affect a state’s institutional capacity and current standard level offers new insights to the state of pharmaceuticals in the developing world. It is notable that there are very few (none at the time of this paper) studies that map out the new global terrain for pharmaceutical regulation in the post-TRIPS context.ResultsThis paper uses item response theory to develop original indicators of pharmaceutical regulation. We find remarkable resistance to the implementation of global pharmaceutical norms for quality standards in developing states and in regulatory infrastructure. Human capacity across many developing countries remains limited. Most notably, variation among states is stark. Countries that have been leaders in establishing global norms do not appear to have influenced their neighbors in establishing regional patterns. Finally, in contrast to traditional theories of international norms diffusion, global standard-setters such as the United States or European Union appear to have surprisingly little influence on standard setting across our survey.ConclusionsOur research has implications for the framing of technical support on public health initiatives aimed at strengthening local public institutions in medicine and offers a new methodological approach for analyzing drug regulation systems in developing countries.Electronic supplementary materialThe online version of this article (doi:10.1186/s12992-016-0208-2) contains supplementary material, which is available to authorized users.