A sizeable literature documents patterns of competition between local governments in metropolitan regions, while also exploring variation in such local government financial attributes as efficiency, budget size, fiscal disparity, and service equity, which are frequently bound together under the concept of fiscal health. However, the concept of fiscal health is broader and more sophisticated than any one fiscal measure, and empirical studies tend to focus only on multi-purpose governments. This study brings these concepts together to investigate how interlocal competition affects the fiscal health of different government types. This study answers three questions: What is a measure of fiscal health applicable to different government types? How does competition among cities and towns affect local fiscal health? How does the proliferation of special districts affect the fiscal health of local governments? This study measures the concept of fiscal health using factor analysis and examines the effects of competition among different government types on the fiscal health of both municipalities and special districts. Utilizing a pooled cross-sectional time-series approach and data from the U.S. Census Bureau for metropolitan statistical areas for every five years between 1972 and 2012,the study finds that competition among municipalities has adverse influences on the fiscal health of …

Local governments do not operate in a vacuum. Instead, they are part of a complex “polycentric” system of governments where politically autonomous and self-ruled cities compete with one another over taxable wealth. Missing from the scholarship on metropolitan governance is an understanding of the factors driving competition among local governments. The purpose of this dissertation is to fill this gap by examining how interjurisdictional competition over economic development impacts a city’s choice of strategies for attracting business and residential investment and how those strategies affect revenue collection. First, this dissertation examines whether cities, knowing the economic development strategies of their neighboring cities, pursue similar types of businesses? Or do cities strategically target different types of businesses as a way to avoid the negative consequences of competition? Second, this dissertation explores what impact the decision to pursue similar or dissimilar businesses has on the revenue collection of local governments. Using spatial data analysis to analyze a sample of 2,299 cities, this dissertation finds general support for both theoretical frameworks presented. Overall, the findings from both analyses provide unique insights into metropolitan governance and interjurisdictional competition.

This dissertation examines the factors influencing a state’s decision to adopt a local government investment pool (LGIP), the institutional arrangements used in managing them, and the effect of the institutional types on LGIP performance. The dissertation extends the policy adoption theory with insights from investment theory to demonstrate that management credibility influences the likelihood of a state’s LGIP adoption. The study finds that the quality of financial management, the quality of professional leadership, proximate state neighbors who have previously adopted an LGIP, and economic factors determine a state’s proclivity to policy adoption. The dissertation also describes the institutional arrangements used in managing LGIPs and develops typologies based on their institutional arrangements. The dissertation compares LGIPs depending on the risk aversion of their institutional arrangements. The research extends the risk-return tradeoff in investment theory to LGIP institutional arrangements. The empirical findings show that LGIP institutional arrangement that has greater risk report higher performance. The dissertation also finds that competition in the LGIP market due to multiple vendors, and periods of economic recession account for higher performance because of higher risk-taking behaviors associated with them. This dissertation promotes public funds investment laws that emphasize prudent management of government finances and guides managers …

This dissertation assesses the importance of a specific debt instrument, the Certifi- cate of Obligation in the state of Texas. It conceptualizes the Certificate of Obligation as a type of contractual debt that enables local governments to finance their capital projects. This dissertation is guided by three research questions: (1) What are the various types of debt instruments employed by local governments and what are their relative advantages? (2) How prevalent is the use of a specific debt instrument such as Certificates of Obligation? And why would some local governments prefer to issue them while others do not? (3) To what extent does the local institutional environment, e.g., the executive authority of city managers in the council-manager form of government, affect debt financing behaviors of local governments? To examine the first research question, we created a typology to represent four ideal types of borrowing methods: (1) Contractual Debt, (2) Voter Approval/Special Tax Debt, (3) Guaranteed, and (4) Non-Guaranteed Debts. The typology examines whether or not the state mandates the referendum requirement for the use of each of these debt instruments, and at the same time determines whether each debt instrument is secured by multiple or single revenue sources. Using data …

Turkey is considering privatizing its telecommunications system. Any developing country must analyze whether its economic, social, and institutional environment is appropriate for the privatization of a utility. The purposes of this study are (1) to establish a model to assist policy makers, (2) to analyze whether Turkey meets the prerequisites for telecommunications privatization, and (3) to provide Turkish leaders pragmatic policy alternatives pertaining to privatization of the Turkish Telecommunications system.High inflation rate, weakness of the private sector and the lack of regulatory regime are the major impediments facing Turkey's privatization efforts. Turkey might consider several options including (1) not privatizing at all, (2) retaining public ownership of the network operations while privatizing only the physical equipment market, or (3) following the British privatization model.

As a form of tax and expenditure limitations, property tax exemptions result in an utility gap between two groups of population residing in the same community: free-riders who are paying less than they receive and contributors who are paying more than they receive. This utility gap is problematic to municipalities because contributors may exit the city as this gap becomes wider. How do municipalities respond to the increasing amount of property tax exemptions? Using 41 Texas cities data from 2000 to 2016, this dissertation examines how property tax exemptions affect municipalities' fiscal behavior. The analysis indicates that property tax exemptions lead to higher property tax burden, change municipalities' revenue structure, and lead to less capital spending.

The flypaper effect states that grants-in-aid increases public spending more than a comparable increase in personal income. If aid increases spending, then there is the possibility that it displaces own-source revenue or a portion of the aid itself is used to meet other priorities of governments, fungibility. Different local government structures have the tendency to prioritize either the operating or capital budget. Empirical evidence shows that federal and state grants have different flypaper effect. While fungible state aid is allocated to the operating budget, that of federal goes to the capital budget. Council-manager and mayor-council form of governments do not allocate fungible intergovernmental aid differently between the capital and operating budgets.

This dissertation is about economic resilience of local governments to natural disasters. Specifically, the dissertation investigates resilience on regional level. Moreover, the dissertation also investigates growth in the green job sector in local governments. The findings indicate that local governments working with each other helps green job creation. In addition, the dissertation finds that green jobs, following disasters, experience three percent growth. This dissertation is important because it investigates the relationship between climate- related disasters and green jobs, which is an area that is under-investigated.

Local government in the United States have been collaborating across institutional boundaries, collaborating with other local government to share their resources in the delivery of goods and services in their communities. Although local governments have collaborated for a long time, mixed analysis resulted on which form of government is most effective in the delivery of goods and services based on structure and stability of their financial conditions. This dissertation introduces technology as a key component in the collaborative process in implementing smart initiatives among communities. This dissertation uses surveys conducted from ICMA and Smart City Council, 2016, and a case study comparing two smart cities to test the hypotheses; which structure of government is more effective and whether an increase in financial condition encourages more collaborative efforts. The data reveals that the council-manager form of government is more efficient, however, in contrast, to the case study which indicated that both forms of government were efficient in implementing smart initiatives, however, differences in collaborative efforts were seen based on structure. The results of this analysis provide significant new information for both scholars and practitioners.

The goal of this thesis is to understand the consequences of educational choice in the public school system. The research takes place in San Antonio, Texas. The research encompasses meaningful comparisons between three sets of low income students and their families: 1) those who chose to remain in their attendance-zone school, 2) those who enrolled in the multilingual program, and 3) those who applied to the multilingual program but were not admitted because of space limitations.

Successful service coordination for the homeless depends on the ability of diverse organizations to effectively collaborate. This study utilizes a life-cycle framework to expand on the collaborative governance theory by highlighting the different stages of collaboration that homeless service networks encounter. Activation, collectivity, and institutionalization are three stages used to uncover the unique nature of emergency discharge planning processes. Since collaboration is not a static process and government regulation for emergency discharge plans were recently enacted in 2012, collaborative networks encounter challenges and success factors at different stages. A qualitative case-study approach of organizational leaders in homeless service networks in Texas (Dallas, Ft. Worth and Houston) examines stages of collaboration. Results show common success and challenge factors identified among the three networks, but the factors take on different forms in relation to where the networks are at in the coordination stages. Practitioners can use the findings from this study as a guide to set up benchmarks and measurable objectives to identify strengths and weaknesses in their coordination processes.

This dissertation examines the impact of city-level characteristics (immigration-friendliness index, unemployment rate, and the percentage of Democrat Party votes) on the psychological resiliency of Latino immigrants. In the light of increased attention on the immigrant issue throughout the world, this study aims to develop our understanding of the factors that have the effect on the resiliency of immigrant populations. This dissertation examines these different characteristics by examining five different cities in Texas: Austin, Dallas, Fort-Worth, Houston, and San Antonio. The survey was distributed through the Amazon Mechanical Turk (MTurk) to those individuals who define themselves Hispanic or Latino. Results suggest that the city characteristics have a significant impact on the resiliency of Latino immigrants suggesting that local governments have a potential capability to increase the resiliency of the immigrant groups in the United States by embracing the notion that immigrants should be integrated into the fabric of the local community.

In our society, American citizens expect public policies to result in programs that address social problems in ways that are both efficient and effective. In order to judge if these two values are being achieved, public programs are often scrutinized through program monitoring and evaluation. Evaluation of public programs often is a responsibility delegated to local-level managers. The resulting discretion has to be balanced with the need for accountability that is also inherent in public programs. Evaluation is often difficult because outcomes are not readily measurable due to the complexity of the problems faced in the public setting. The Upward Bound program provides an example of this. Upward Bound provides services to students from low-income families and those in which neither parent holds a bachelor’s degree in order to increase the rate at which participants complete secondary education and enroll in and graduate from postsecondary institutions. Upward Bound is implemented and evaluated based upon specifications decided upon at the local level. This discretion granted to local level managers has resulted in wide variations in the way the program is being evaluated. This presents a problem for evaluation and has resulted in inconclusive results as to the success of the program. …

This dissertation examines the association between independent governance structure and various measures of good governance. The evaluation draws on observations of a dataset of 101 Texas public charities, in particular the organization's self-disclosed governance-related activities as reflected in the transparency, monitoring, and strategic tools available to the public. The study reveals that two measures of good governance are associated with an identified independent governance structure at the organizational level. In managing the governance of the organization, the study finds evidence that less emphasis is placed on the constituted strategic direction clauses listed in the articles of incorporation of the organization. The research suggests that each of the fiduciary stewardship concerns need to be addressed by the legal governing body in order to fulfill good governance as an outcome quality measure.

This dissertation argues that the core of building smart cities is through the procurement and implementation of smart city technologies (SCTs) by either individual (i.e., smart city) or collaborative endeavors (i.e., smart governance). Given that urbanization problems (e.g., air pollution) usually spill over city boundaries, building smart cities as silos may not solve these problems. Therefore, utilizing smart governance in SCT procurement and implementation should be a better approach. Considering the potential benefits of smart governance, this dissertation addresses three overarching questions: (1) What is a smart city? (2) What is smart governance? and (3) Why do some cities choose to participate in smart governance while others do not? By developing a typology of smart governance, this dissertation categorizes three levels of smart governance based on cities' participation in cooperative procurement and implementation of SCTs. Data collected from the 2019 Smart Governance Survey confirm that the level of smart governance does vary among Texas cities. Applying transaction costs and institutional collective action (ICA) frameworks, the dissertation finds that public managers' perceptions on transaction costs and joint gains as well as cities' extant ICA mechanisms affect cities' participation in smart governance.

Why do megachurches participate in economic development, and who benefits from their participation? Frumkin's framework for understanding nonprofit and voluntary action and extra-role behavior are theories tested to answer these questions. My research employs a mixed-methods research design conducted in two phases. In phase one, I analyze 42 responses to an online survey to provide data about the prevalence and nature of economic development activities offered by megachurches in the Dallas-Fort Worth and Houston-Sugar Land-Baytown Metropolitan Statistical Areas. Phase two involved 23 semi-structured telephone interviews with megachurch leadership to provide data that explains the rationale for why megachurches offer economic development activities and who benefits. Evidence from this research demonstrates that megachurches are participating in economic development for reasons consistent with both demand-side and supply-side arguments. Findings also show that megachurches take on extra-role behaviors for in response to community expectations and the values of members and staff. Implications for understanding partnership decisions and collaborations between faith-based organizations and local governments are discussed.

The dissertation examines factors influencing nonprofit organizations' contribution to collaborative governance for climate change adaptation and nonprofit roles in the collaboration. Why an organization collaborates with others has long been a concern of scholars. However, in a majority of empirical studies, collaboration has been considered as a dichotomous concept. To fill the gap, this study considers organizations' contribution to collaboration, i.e., collaboration level in terms of power, joint activities, human resource, funding, and information sharing. To understand contribution of nonprofits to collaboration for climate change adaptation, this research employs the institutional collective action framework suggesting that organizations work together when expected benefits are greater than collaborative risks. Survey data from 101 nonprofit private organizations (beyoungri mingan danche) in South Korea, which are legally defined in the Assistance for Nonprofit, Nongovernmental Organizations Act, are analyzed. Finding is that government funding and social relationship are strongly associated with nonprofit contribution to collaboration, highlighting that the financial stability of nonprofit organizations and mutual trust among entities based on routine interaction are critical motives for nonprofit collaboration. Finding also reveals that Korean nonprofits mainly play a role as social capital creators in climate change adaptation. The finding also highlights that Sang Bu Sang Jo …

This dissertation argues that stormwater management is fragmented both at that vertical fragmentation (at the level of intergovernmental relations) and horizontal fragmentation (within the level of governments). The first essay focuses on the institutional arrangements used by states to implement stormwater management policies. Building on the race to the bottom literature, I examine the impact of the institutional arrangement centralization on state water quality in California, Texas, Virginia, and Minnesota. A five-year (2013-2018) permitting cycle was used to analyze five dimensions: formalism, coercion, education, prioritization, and accommodation.There is an inverse relationship between the quality of stormwater and the degree of centralization in the institutional arrangements adopted by state governments to implement their stormwater management policies. The second essay focuses on a local government's decision to join an inter-local agreement to comply with federal/state stormwater management policies. Building on the transaction cost framework, the study used a cross-sectional design to analyze a case study. The case study consists of 119 cities subjected to stormwater regulation requirements in northern Texas during 2017. The dependent variable is the membership of the regional inter-local agreement, and the independent variables are the number of neighboring cities and population density. Community wealth, public works spending, stormwater …

This dissertation examines the effects of tax and expenditure limitations (TELs) stringency and its interaction with revenue diversity and the council-manager form of government on municipal general fund expenditure. TELs are explicit rules that states impose to reduce local government spending. TELs stringency varies from state to state, leading to difficulties in assessing their impact across the nation. This dissertation proposes a new means for measuring the stringency of TELs imposed on local governments. Factor analysis is utilized, and then factor scores are calculated to identify degrees of TELs stringency. This study contends that higher levels of TELs stringency are associated with lower local government spending. However, the effectiveness of TELs is dependent on revenue diversity and the form of government. This study suggests that both revenue diversity and the council-manager form of government mitigate the impacts of TELs stringency on local government spending. Panel data from 2007 to 2011 from 1,508 municipalities are utilized. This study finds that higher levels of TELs stringency are associated with lower levels of municipal general fund expenditures per capita. However, TELs stringency is effective only when revenue diversity is low and when cities have a form of government other than council-manager. These results …

This study investigated the perceptions of emergency managers regarding the degree of emergency management professionalism in Mexico and how it can be improved. The disaster of the Mexico City earthquake of 1985 was used as the starting point for this case study, as the prospects for more-frequent and more-intense disasters lend credence to the need for improved professionalism and, thus, effectiveness among emergency managers in the future. An expansive framework of emergency management professionalism mechanisms (or characteristics) and an additional compilation of new public management components (or values) were devised from the extant literatures found within the respective emergency management and public administration fields. The theory advanced by this study is that by integrating new public management components with emergency management mechanisms, professionalism in Mexico will improve and, thus, emergency managers will become more effective. ualitative field research was the methodology employed and it included interviews with 35 emergency managers in Mexico in corroboration with documentary evidence, to ascertain emergency managers' perceptions of professionalism in Mexico. The findings of this study determined that emergency managers in Mexico are implementing many of the mechanisms of professionalism but fewer new public management components. This study posits that by integrating new public management …

This dissertation investigates the effects of natural disasters and political institutions on municipalities' climate change policies. Although most theoretical frameworks on policy adoption highlight the roles of extreme events as exogenous factors influencing policy change, most studies tend to focus on the effects of extreme events on policy change at the national level. Additionally, the existing theoretical frameworks explaining local policy adoption and public service provision do not pay attention to the roles of extreme events in local governments' policy choices. To fill those gaps, this dissertation explores the roles of natural disasters and political institutions on municipal governments' climate change policies. It does this by applying the theory of focusing events to local climate mitigation and adaptation actions. Based on the policy change framework, the political market model, and the institutional collective action frameworks, this dissertation develops and tests hypotheses to examine the effects of natural disasters and political institutions on municipalities' climate mitigation and adaptation policies. The dissertation uses 2010 National League of Cities (NLC) sustainability surveys and the 2010 International City/County Management Association (ICMA) sustainability survey to test the hypotheses. Analytical results show that floods and droughts influence local climate change policies and suggest that local governments …

This work explores the relationship between municipal government debt and revenue diversification using a prism of institutional and fiscal interactions, concentrating on revenue fungibility effects over time and on the role of state-imposed constraints. A diversified revenue structure tends to stabilize revenue levels by balancing income-elastic and inelastic revenue sources. The impact of such diversity has been the subject of much research on expenditure and service levels among state and local governments. Considerably less research has been conducted on its potential relationship with debt, although capital financing is a necessary and often-utilized mechanism for funding capital and operational spending for local governments. Since it is well known that debt payments are fixed in the short run, they require sufficient revenue adequacy through economic highs and lows. It is thus argued that local governments with more diversified revenue structures are better able to utilize debt financing since revenue diversity mitigates the risk of borrowing by providing for greater fiscal predictability in the long run. This hypothesis is tested on two samples - a large sample of cities in Massachusetts from 2000 through 2009, as well as a cross-state sample, encompassing the cities from the majority of U.S. states. The findings of …

The objective of this dissertation is to test the Institutional Collective Action framework and examine the governance arrangements during health emergency. Basically, the dissertation argues that due to collaborative risks, transaction costs, barriers to collective action, governance arrangement provides avenues for action and a force for driving coordination across jurisdictional boundaries. The dissertation adopts two studies to investigate the governance arrangements represented by lead agency, emergency plans, Emergency Operation Center and city council mandates and coordination when it comes to health emergencies such as Ebola. The qualitative approach investigates the causal relationship between governance arrangements and coordination. The second study investigates to what extent do formal mechanisms and informal mechanisms affects the outcome of collaboration during a health emergency. This study uses a quantitative research approach to examine the patterns of collaborative arrangement used during health emergency. The findings of the study demonstrate the pattern used in health emergencies is dependent on the application of formal mechanisms represented by higher authority, emergency plans. Both studies indicate that due to collaboration risks, self-governance arrangements or higher authority mandates provides a venue for collective action. The survey data was collected from local, state and federal governments during the summer 2015 on the …

One of the long-standing debates in disaster science and practice is the tension between planning and structure on the one hand and flexibility and adaptation on the other in maximizing the effectiveness of response operations. This research aims to reconcile the divide that currently exists among scholars and practitioners and present a continuum that bridges the above models and ties planning, improvisation, and spontaneous planning together. The main questions that were examined with this research are: First, what role did spontaneous planning and improvisation play in responding to the two disasters. Second, in what ways do hazard characteristics (e.g. speed of onset and scope of impact) influence the roles played by spontaneous planning and improvisation? This is a qualitative study that employed a comparative case study to examine the characteristics of spontaneous planning. The major findings are that spontaneous planning does occur and that variables such as speed of onset, scope, magnitude, and number of organizations involved impact the visibility of spontaneous planning characteristics.