Doctoral Dissertation Research in Political Science: Corruption and Incumbency Disadvantage in New Democracies

政治学博士论文研究：新民主国家的腐败和在职劣势

• 批准号: 1323034
• 负责人: Joshua Tucker
• 金额: $ 1.58万
• 依托单位: New York University
• 依托单位国家: 美国
• 项目类别: Standard Grant
• 财政年份: 2014
• 资助国家: 美国
• 起止时间: 2014-02-01 至 2016-01-31
• 项目状态: 已结题
• 来源: https://www.nsf.gov/awardsearch/showAward?AWD_ID=1323034&HistoricalAwards=false
• 关键词: Doctoral; Dissertation; Research; Political; Science

This award satisfies Division B, Title V, Sec. 543 of the Consolidated and Further Continuing Appropriations Act of 2013 (P.L. 113-6, enacted on March 26, 2013). The project addresses corruption in emerging democracies, an issue critical to political stability in the world. Developing an understanding of political corruption is therefore vital for US national security interests. The project addresses an important puzzle: why does it seem that incumbent politicians are disadvantaged (less likely to win re-election than to be defeated by challengers) in many new democracies, and what role does corruption play in this process? Intellectual Merit: The project develops and tests a theory that proposes that incumbent corruption -- misuse of office for private gain -- is an important source of this disadvantage. Corruption is known to be higher in younger and poorer democracies than in established richer democracies. When voters cannot know exactly who is corrupt, there are many conditions under which voters will generally favor a challenger over any incumbent. This includes if the majority of politicians are corrupt, if potentially corrupt incumbents are rare but particularly rapacious, or if corrupt politicians can learn quickly how to better extract resources (i.e., become "more efficient at being corrupt"). Empirically verifying this hypothesis is challenging because corruption is difficult to observe and measure precisely, and because many factors related to corruption -- such as poverty or inequality -- may instead account for the incumbency disadvantage. To address these challenges, the project relies on extensive data to infer incumbent corruption in a study of Romanian mayoral elections, including: (1) more than 4,000 publicly available declarations of assets to detect abnormal wealth accumulation among incumbents; (2) over 1 million contracts by local public companies to identify suspiciously high prices, uncompetitive bids, or politically-connected awardees; (3) a comparison of budgeted expenditures on infrastructure with data on changes in its actual physical stock to identify leakages in public funds spending; and (4) data from more than 10,000 firms to uncover corrupt privatization of state property inherited from communism. Further, the project takes advantage of a unique institution in Romania: by law, the salary of the mayor increases once a city's population exceeds a certain threshold. Prior research has suggested that better pay decreases the need for illegitimate income and attracts more upstanding candidates for office, resulting in lower corruption. This rule permits a comparison of the incumbency (dis)advantage in cities with populations just above and below these salary thresholds. Cities near these thresholds should be similar in many other important respects except for the mayor's salary (and so, by extension, corruption). This strategy holds constant other potential causes of incumbency disadvantage and isolates the effect of corruption. Broader Impacts: Studying incumbency disadvantage in a young democracy such as Romania is important for several reasons. While incumbency disadvantage may be a desirable response to corruption, it also likely induces high policy instability and discourages high quality candidates from running for political office. Both high policy instability and low quality of political elites can threaten economic and social stability, and ultimately endanger the prospects for enduring democracy and economic growth. Unstable societies pose threats to international security and trade, including the interests of the United States. Learning how to better anticipate such sources of instability can better inform both foreign policy decisions and anti-corruption programs.

该合同符合2013年3月26日颁布的《2013年综合和进一步持续拨款法案》（P.L. 113-6）第五章第543节B部分。该项目旨在解决新兴民主国家的腐败问题，这是一个对世界政治稳定至关重要的问题。因此，了解政治腐败对美国的国家安全利益至关重要。该项目解决了一个重要的难题：为什么在许多新兴民主国家，现任政治家似乎处于不利地位（赢得连任的可能性比被挑战者击败的可能性更小），腐败在这一过程中扮演了什么角色？智力优势：该项目发展并检验了一种理论，该理论认为在职者腐败——滥用职权谋取私利——是这种劣势的一个重要来源。众所周知，在较年轻和较贫穷的民主国家，腐败现象比老牌的较富裕民主国家更为严重。当选民不能确切地知道谁腐败时，在许多情况下，选民通常会支持挑战者而不是在任者。这包括大多数政客是否腐败，潜在腐败的现任者是否很少但特别贪婪，或者腐败的政客是否能够迅速学会如何更好地榨取资源（即，变得“更有效地腐败”）。从经验上验证这一假设是具有挑战性的，因为腐败很难精确地观察和衡量，而且与腐败有关的许多因素——如贫困或不平等——可能反而是现任者劣势的原因。为了应对这些挑战，该项目在对罗马尼亚市长选举的研究中，依靠大量数据来推断现任者的腐败行为，包括：(1)超过4000份公开的资产声明，以检测现任者之间的异常财富积累；(2)超过100万份由当地上市公司签订的合同，以确定可疑的高价、无竞争力的投标或与政治有关的中标者；(3)将基础设施预算支出与其实际存量变化数据进行比较，以确定公共资金支出中的漏洞；(4)来自1万多家公司的数据，以揭露从共产主义继承的国有财产私有化的腐败行为。此外，该项目利用了罗马尼亚一项独特的制度：根据法律，一旦城市人口超过一定门槛，市长的工资就会增加。先前的研究表明，更高的工资减少了对非法收入的需求，并吸引了更多正直的候选人竞选公职，从而减少了腐败。这条规则允许比较人口刚好高于和低于这些工资门槛的城市的在职（不）优势。在这些门槛附近的城市应该在许多其他重要方面相似，除了市长的薪水（因此，延伸到腐败）。这一策略持续考虑了现任不利的其他潜在原因，并隔离了腐败的影响。更广泛的影响：在罗马尼亚这样一个年轻的民主国家，研究现任者的劣势很重要，原因有几个。虽然在职不利可能是对腐败的一种可取的反应，但它也可能导致政策高度不稳定，并阻碍高质量的候选人竞选政治职位。政策高度不稳定和政治精英素质低下都可能威胁经济和社会稳定，并最终危及持久民主和经济增长的前景。不稳定的社会对国际安全和贸易构成威胁，包括美国的利益。学习如何更好地预测这些不稳定的来源，可以更好地为外交政策决策和反腐败项目提供信息。