Deliverable D1.1 Report on trust in government, politics, policy and regulatory governance Point of Contact DAVID LEVI-FAUR Institution Hebrew University of Jerusalem E-mail [email protected] Deliverable D1.1 Project Acronym TiGRE Project Title Trust in Governance and Regulation in Europe Grant Agreement No. 870722 Topic H2020-SC6-GOVERNANCE-01-2019: Trust in Governance Project start date 01 January 2020 Nature Report Dissemination level Public Due date M04 Date of delivery M10 Lead partner HUJI Contributing partners Kozminski, UAntwerpen, UNIL, UNI-Speyer, UU, IBEI Authors David Levi-Faur, Libby Maman, Yael Kariv-Teitelbaum, Rotem Medzini, Dominika Latusek, Koen Verhoest, Frederique Six, Bjorn Kleizen, Patricia Popelier, Monika Glavina, Esther van Zimmeren, Martino Maggetti, Rahel Schomaker, Moritz Kappler, Lauren Fahy, Judith van Erp and Stephan Grimmelikhuijsen Reviewer UiO © TiGRE 2020. This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License. This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 870722 (TiGRE). This document reflects only the view of the author(s). The Agency is not responsible for any use that may be made of the information it contains. ii Deliverable D1.1 Revision History Version Date Author Comment 0.1 14.09.2020 David Levi-Faur First compilation of all involved partner contributions 22.09.2020 Heidi Houlberg Salomonsen, Review Caroline Howard Grøn 0.2 28.09.2020 David Levi-Faur Compilation of revisions by all involved partners 05.10.2020 Martino Maggetti, Review by the coordinator Ioannis Papadopoulos, Edoardo Guaschino 0.3 07.10.2020 Clara Roujeau Formatting and minor corrections 0.4 12.10.2020 David Levi-Faur, Clara Some corrections in Section 4 Roujeau 0.5 13.10.2020 Peter Ulrich, Clara Roujeau Formatting and minor corrections 1.0 15.10.2020 Clara Roujeau Final version, approved by the coordinator iii Deliverable D1.1 Contents Abbreviations, Participant short names vii Abbreviations vii … vii Participant short names vii List of Figures viii // Keep this line in place. It is need to fix a Word-bug in the TOC. viii ... viii - viii List of Tables viii ... viii Summary 1 // Keep this line in place. It is need to fix a Word-bug in the TOC. 1 Section 1: Trust and distrust: conceptual issues 2 1.1 Trust and Distrust as Concepts 4 1.1.1 Conceptualizing trust 4 1.1.2 Conceptualizing Distrust 6 1.1.3 Relation between trust and distrust and functionalities of trust and distrust as two different concepts 8 1.1.4 Trust and control 12 1.1.5 Philosophical and Ethical Approaches to Trust 13 1.2 Processes of Trust Building, maintenance and repair 15 1.2.1 Processes of trust-building 15 1.2.2 Trust Violations and Trust Repair 18 1.2.3 Processes of trust-reduction and distrust building 23 1.3 About different kinds of trustors and trustees: Levels and referents of trust 25 1.3.1 Individuals as trustor and trustee: interpersonal trust 25 1.3.2 Individual trustor and collective trustee: Trust in organizations and systems as collective entities 26 1.3.3 Trust at collective level: organizations and collectivities as trustors 28 1.3.4 Concluding remarks 30 1.4 Concluding remarks for Section 1 31 1.5 Bibliography 32 Section 2: Regulation and Regulatory Regimes: Conceptual Issues 41 2.1 Introducing and Defining Regulation 41 2.2 The Regulatory Regime 44 2.3 The Regulatory Agency 46 2.4 The Regulatory State 48 2.5 Regulatory Capitalism 50 2.6 The Regulatory Game: Actor-Centred Analysis 52 2.7 Concluding remarks for Section 2 54 2.8 Bibliography 55 Section 3: Trust and Distrust in Government 61 3.1 Introduction 61 3.2 Trust and distrust in political institutions and actors 64 iv Deliverable D1.1 3.2.1 Citizen trust and distrust in political institutions, political actors and political parties 64 3.2.2 Citizen trust and distrust in a multilevel context 66 3.2.3 Recent review of drivers and effects of political trust 67 3.2.4 Summary 68 3.3 Citizen trust and distrust in public administration and public service delivery 71 3.3.1 Disentangling trust in PA 71 3.3.2 Drivers of trust in public administration 71 3.3.3 Effects and consequences 73 3.3.4 Circular and interlinkage effects and trade-offs 74 3.3.5 Summary 74 3.4 Citizen trust and distrust in judicial actors and courts 77 3.4.1 Trust in courts: an understudied topic in Europe 77 3.4.2 Interaction of trust in courts at different levels (multi-level dynamics) 78 3.4.3 Trust in courts within one legal system 80 3.4.4 Summary 83 3.5 Trust and distrust of government actors towards citizens 86 3.5.1 Drivers of government’s trust towards citizens 86 3.5.2 Consequences of government’s trust towards citizens 88 3.5.3 Summary 88 3.6 Trust and distrust between public organizations (administrational trust) 93 3.6.1 Drivers of trust/distrust between organizations in the public sector 93 3.6.2 Dynamics of trust/distrust in interorganizational settings 94 3.6.3 Effects of interorganizational trust 95 3.6.4 Summary 96 3.7 Concluding remarks for Section 3 99 3.7.1 Trustor-related drivers 99 3.7.2 Trustee-related drivers 99 3.7.3 Issue-related drivers 100 3.7.4 Context-related drivers 100 3.7.5 Dynamics of trust and distrust 100 3.7.6 Effects of trust and distrust 101 3.8 Bibliography 102 Section 4: Trust with/out Regulation 114 4.1 The Relations between Trust and Regulation 116 4.1.1 Trust and Regulation are Separate and Independent 117 4.1.2 Trust and Regulation Compete with Each Other 118 4.1.3 Trust and Regulation May Replace Each Other 118 4.1.4 Trust and Regulation are Mutually Supportive 119 4.1.5 The Many Faces of the Relations: A Polymorphic Approach 120 4.2 Relations of Actors in Regulatory Regimes 121 4.2.1 Rule-Makers as Trustees and Trustors 122 4.2.2 The Rule-Intermediaries as Trustees and as Trustors 123 v Deliverable D1.1 4.2.3 The Rule-Takers as Trustees and Trustors 124 4.2.4 Symmetric and Asymmetric Interactions between Trust and Regulation 125 4.3 Drivers of the Relations between Trust and Regulation 126 4.3.1 Social Welfare Explanations: The Demand and Supply of Trust 126 4.3.2 Norm-based Explanations 128 4.3.3 Interest-Based Explanations 129 4.3.4 Institutional Explanations 130 4.4 Expected Outcomes of the Relations between Trust and Regulation 132 4.4.1 More Trust, More Social Welfare? 132 4.4.2 Better Regulation, More Social Welfare? 133 4.4.3 Four Approaches to the Outcomes of Trust and Regulation 133 4.5 Bibliography 135 Section 5: The Operationalization and Measurement of Trust 140 5.1 Review questions 141 5.2 Review method 141 5.3 Results 144 5.3.1 RQ1) What are the most common contexts studied (e.g. regions, sectors)? 144 5.3.2 RQ2) How have scholars measured trust in and by different kinds of regime actors? 145 5.3.3 RQ3) What high-level methods have scholars used (e.g. experiment, interview, survey)? 145 5.3.4 RQ 4) What precise measures/operationalizations have scholars used? 146 5.3.5 RQ5) Are there prominent limitations in the measurement of trust in regulatory contexts in recent scholarship? 156 5.4 Discussion and concluding remarks for Section 5 158 5.5 Bibliography 160 5.6 Appendix A 161 feef 161 5.7 Appendix B 165 dww 165 vi Deliverable D1.1 Abbreviations, Participant short names Abbreviations … CJEU Court of Justice of the European Union DoA Description of Action ECtHR European Court of Human Rights ENCJ European Network for Councils of the Judiciary EU European Union GA Grant Agreement NGO Non-Governmental Organisation NPM New Public Management OECD Organisation for Economic Co-operation and Development PA Public Administration RQ Research Question Participant short names UNIL Université de Lausanne UAntwerpen Universiteit Antwerpen IBEI Institut Barcelona d’Estudis Internacionals, Fundacio Privada HUJI The Hebrew University of Jerusalem Uni-Speyer German University of Administrative Sciences AU Aarhus Universitet UiO Universitetet i Oslo UU Universiteit Utrecht Kozminski Akademia Leona Kozminskiego SCIPROM SCIPROM Sàrl vii Deliverable D1.1 List of Figures // Keep this line in place. It is need to fix a Word-bug in the TOC. ... - Figure 1: The reciprocal and self-reinforcing process of trust building 16 Figure 2: Annual creation of regulatory agencies in the sample (left); cumulative annual creation of the agencies in the sample (right) (1950-2017) 46 Figure 3: Competing Relations 118 Figure 4: Substitutive Relations 118 Figure 5: Mutually Supportive Relations 120 Figure 6: Major Interactions of Trust and Regulation in Regulatory Regimes 121 Figure 7: Relations of Dis/Re/Trust with/out De/Re/Regulation 123 Figure 8: Symmetric and Asymmetric Conceptions of Actors Interactions 125 Figure 9: Flowchart for database searches and retaining studies 141 List of Tables ... Table 1: The functional and dysfunctional roles of interorganizational trust and distrust in the Flemish public sector 12 Table 2: Framework of mechanisms for restoring organizational and institutional trust 22 Table 3: Approaches to Regulation: Narrow and Broad Dimensions 42 Table 4: Summary table for drivers, dynamics and effects of trust in government 62 Table 5: Drivers, dynamics and effects of trust in political institutions and actors 69 Table 6: Drivers, dynamics and effects of trust in public administration 75 Table 7: Drivers, dynamics and effects of trust in and among courts 84 Table 8: Drivers, dynamics and effects of trust by government in citizens 90 Table 9: Drivers, dynamics and effects of trust between public organizations 97 Table