Executive Success in Fiscal Policymaking An Exploratory Mixed Method Analysis of Large Cities

The fiscal policymaking process involves actors from executive and legislative branches of the government. Since these actors have different and usually incompatible goals, they are in constant competition to influence the outcome of the policy process in a way to serve their self-interests. The authorities and tools owned by each actor, as well as structural factors determine the winner. This dissertation analyzes the executive success in the policy process by focusing on mayoral fiscal policy proposals in large US cities. The main contribution of this research, which uses a sequential exploratory mixed method research design, is to help develop a theory for mayoral success in fiscal policymaking. It uses a combination of qualitative and quantitative research for theory development and testing respectively. In the first phase, through case analysis of six city policy actions, it identifies the factors influencing executive success. The theoretical model of executive success which is developed as a result of within and cross-case analyses is then used to develop a research model to be tested in the quantitative research phase. Findings suggest that, in addition to formal and personal powers of the mayor, fiscal institutions are also a predictor of executive success in making fiscal policies. Also, in contrast to existing literature, political institutions are found to have no impact on executive success. The new theoretical model developed in this research substantially alters the way executive success is perceived and studied by presenting a more comprehensive and structured logical model. The model identifies two sub-categories for executive success based on the type of decision-making style of the policy makers and discusses individual factors facilitating executive success under these categories of decision-making types. This logical framework helps develop a theory of executive success which can be used to inform empirical analyses. From a practical point of view, the findings help answer important policy questions on the necessity of several institutional rules for cities and the desirable formal powers of mayors in city governments.