Encouraging Performance & Combating Corruption: Using AAA Principles to Lead and Govern Rex L. Facer II Associate Professor of Public Finance & Management George Romney Institute of Public Management Marriott School of Management Brigham Young University

Agenda The Governance Context: Fukuyama’s ViewThe Governance Context: Fukuyama’s View Purpose of Governance: FlourishingPurpose of Governance: Flourishing AAA PrinciplesAAA Principles AgencyAgency AccountabilityAccountability AgapeAgape ConclusionConclusion

Fukuyama on political order Essential Institutions of “Political Order”:Essential Institutions of “Political Order”:  A strong state  Effectively apply laws, recruit officials and undertake policies without favoritism  The rule of law  A set of rules of behavior that are binding on even the most powerful  Accountability  Government is responsive to the interests of the whole society

Political order How can we create the conditions necessary for Political Order?How can we create the conditions necessary for Political Order? Fukuyama presents several alternatives based on the experience of a range of nations.Fukuyama presents several alternatives based on the experience of a range of nations. Many contemporary thinkers use the term governance or good governance when discussing the types of concepts that Fukuyama focuses on.Many contemporary thinkers use the term governance or good governance when discussing the types of concepts that Fukuyama focuses on.

Objective of governance The UNDP notes that the objective of governance is:The UNDP notes that the objective of governance is: “The ultimate goal is to bring effective and equitable delivery of service to citizens, especially the poor, indigenous and local communities, and reinforce the rule of law and citizen security through the design of appropriate policy, legal and regulatory frameworks and strengthening of local governance institutions.”“The ultimate goal is to bring effective and equitable delivery of service to citizens, especially the poor, indigenous and local communities, and reinforce the rule of law and citizen security through the design of appropriate policy, legal and regulatory frameworks and strengthening of local governance institutions.” To me this is a society that is able to flourishTo me this is a society that is able to flourish

Governance Objective: Human Flourishing Building on the ancient tradition of Socrates, Plato, and Aristotle, my colleagues at BYU and I believe that the purpose of governance is to promote human flourishing whether in governmental or non-governmental organizations.Building on the ancient tradition of Socrates, Plato, and Aristotle, my colleagues at BYU and I believe that the purpose of governance is to promote human flourishing whether in governmental or non-governmental organizations. This principle of human flourishing is captured in the greek term eudaimonia. Eudiamonia, according to Norton (1976), is the accomplishment of the innate excellence in each of us.This principle of human flourishing is captured in the greek term eudaimonia. Eudiamonia, according to Norton (1976), is the accomplishment of the innate excellence in each of us. More recently, Godfrey (2014), describes this pursuit of eudaimonia as being able to have an “objectively desirable life” (p.191)More recently, Godfrey (2014), describes this pursuit of eudaimonia as being able to have an “objectively desirable life” (p.191) This notion of flourishing is applicable to individuals, families, communities, and nations.This notion of flourishing is applicable to individuals, families, communities, and nations.

AAA Principles of Governance In the pursuit of human flourishing we believe three principles are paramount:In the pursuit of human flourishing we believe three principles are paramount: A gencyA gency A ccountabilityA ccountability A gapeA gape

agency Agency – typically in Public Administration literature agency is used as a noun: a department or arm of the government.Agency – typically in Public Administration literature agency is used as a noun: a department or arm of the government. However, as a governance principle, we must use agency as a verb.However, as a governance principle, we must use agency as a verb. As a verb, agency is the ability to make choices.As a verb, agency is the ability to make choices.

agency Agency the first principle of governanceAgency the first principle of governance The exercise of agency requires both viable alternatives and sufficient information about the alternatives to make an informed and accountable choice. “for us to have agency, we must not only have alternatives, but we must also know what they are. If we are unaware of the choices available, the existence of those choices is meaningless to us.” Christofferson 2009

agency Agency’s focus on choice highlights the performance consequences of those choices and allows for accountability. If there is no choice, why should there be accountability?Agency’s focus on choice highlights the performance consequences of those choices and allows for accountability. If there is no choice, why should there be accountability?

accountability Accountability – requires individuals and organizations to take responsibility for their actionsAccountability – requires individuals and organizations to take responsibility for their actions The World Bank notes that “Accountability can be defined as the obligation of power-holders to account for or take responsibility for their actions.” Social Accountability: What Does It Mean for the World Bank? 2006The World Bank notes that “Accountability can be defined as the obligation of power-holders to account for or take responsibility for their actions.” Social Accountability: What Does It Mean for the World Bank? 2006

accountability There are a range of mechanisms used to promote accountability:There are a range of mechanisms used to promote accountability: political mechanisms such as constitutional constraints, separation of powers, the legislature, and legislative investigative commissions, political mechanisms such as constitutional constraints, separation of powers, the legislature, and legislative investigative commissions, fiscal mechanisms including formal systems of auditing and financial accounting, fiscal mechanisms including formal systems of auditing and financial accounting, administrative mechanisms, for example, hierarchical reporting, norms of public sector probity, public service codes of conduct, rules and procedures regarding transparency and public oversight, and administrative mechanisms, for example, hierarchical reporting, norms of public sector probity, public service codes of conduct, rules and procedures regarding transparency and public oversight, and legal mechanisms like corruption control agencies, ombudsmen and the judiciary ( Bringing Citizen Voice and Client Focus into Service Delivery, Gaventa and Goetz 2001). legal mechanisms like corruption control agencies, ombudsmen and the judiciary ( Bringing Citizen Voice and Client Focus into Service Delivery, Gaventa and Goetz 2001).

accountability Accountability not only supports performance, but is a tool to combat corruption.Accountability not only supports performance, but is a tool to combat corruption. For example, the 2004 World Development Report (WDR) argues that the key to making services work for poor people is to strengthen relationships of accountability between policymakers, service providers and citizens.For example, the 2004 World Development Report (WDR) argues that the key to making services work for poor people is to strengthen relationships of accountability between policymakers, service providers and citizens.

agape Agape – unselfish love for another; demonstrates a genuine concern for othersAgape – unselfish love for another; demonstrates a genuine concern for others “agape…is not a longing for possessions or worth, but a generous move by one person for the sake of the other.” (Yao 1996, p. 82)“agape…is not a longing for possessions or worth, but a generous move by one person for the sake of the other.” (Yao 1996, p. 82) Agape is in essence a deep care or concern for others that guides behavior. It is an outward orientation.Agape is in essence a deep care or concern for others that guides behavior. It is an outward orientation. Many world traditions have similar concepts, for example in Confucian teachings, the concept of jen is similar. Confucius describes jen as “loving humans” in Hindu teachings it is prema – elevated love, to give up selfishnessMany world traditions have similar concepts, for example in Confucian teachings, the concept of jen is similar. Confucius describes jen as “loving humans” in Hindu teachings it is prema – elevated love, to give up selfishness

agape AgapeAgape The primacy of agape as a guiding principle comes from a fundamental belief that we must value and honor the dignity of all people.The primacy of agape as a guiding principle comes from a fundamental belief that we must value and honor the dignity of all people.

AAA Principles of governance When taken together as driving principles, these lead to human flourishing. As such, organizations should be use agency, accountability, and agape to shape their actions toWhen taken together as driving principles, these lead to human flourishing. As such, organizations should be use agency, accountability, and agape to shape their actions to 1. Promote/Facilitate/Develop the flourishing of the citizens/clients/community which it serves1. Promote/Facilitate/Develop the flourishing of the citizens/clients/community which it serves 2. Promote/Facilitate/Develop the flourishing of employees and volunteers who work in their organizations2. Promote/Facilitate/Develop the flourishing of employees and volunteers who work in their organizations

AAA Principles of governance AGENCY ACCOUNTABILITY AGAPE HUMAN FLOURISHING

Good Governance Rex L. Facer II Associate Professor of Public Finance & Management George Romney Institute of Public Management Brigham Young University