Knowledge-based Governancebased Governance for Sustainable ...€¦ · Knowledge-based...

Knowledge based GovernanceKnowledge-based Governance for Sustainable Development:

A Typology of Appraisals around the Policy Cycley y

Reinhard Steurer

BOKU University, Vienna

André Martinuzzi

Steurer & Martinuzzi: Knowledge-based Governance for Sustainable Development

RIMAS – Research Institute for Managing SustainabilityVienna University of Economics and Business

OrientationOrientation

Knowledge-based governance and theKnowledge based governance and the political roles appraisals can assumeGovernance for SD: a cyclical modelGovernance for SD: a cyclical modelTypes of appraisals around the strategy cycleConclusions on the interplay of public governance and the generation of policy-relevant knowledge


The political roles policy appraisals can play…The political roles policy appraisals can play…

Evaluation for accountability

• Purpose: accountability, measure effects and legitimize high financial input

• Type: mostly ex-post and quantitativevalue-for-money studies

• Role of evaluator: expert• Fields of application:Fields of application:

structural funds, subsidy programs



Evaluation asconflict moderation

• Purpose: seek for consenus in situations with high potential for societal conflicts

• Type: mostly ex-ante, participatory methods, focus on the quality of processes

• Role of the evaluator: neutral moderator• Fields of application: technologyFields of application: technology

assessments, (Environmental) Impact Assessment



• Purpose: innovation, learning, feedback• Type: mostly accompanying organizational• Type: mostly accompanying organizational

development methods• Role of the evaluator: consultant

Fi ld f li i Th B d• Fields of application: Theory Based Evaluation (Chen/Rossi); Cluster Evaluation (Sanders), „from studies to t “ (St /Ri t)

Evaluation as

streams“ (Stame/Rist)

Evaluation aspolicy-learning device


… or Governance by Evaluation… or Governance by Evaluation

Appraisals asAppraisals as conflict moderationlegitimization

Governance by Evaluation

Appraisals as

• Or Knowledge-based governance …

if ll th l

• Or Knowledge-based governance …

if ll th lAppraisals aspolicy-learning device

• … if all three roles are fulfilled

• … if all three roles are fulfilled



Knowledge-based governance and theKnowledge based governance and the political roles appraisals can assumeGovernance for SD: a cyclical modelGovernance for SD: a cyclical modelTypes of appraisals around the strategy cycleConclusions on the interplay of public governance and the generation of policy-relevant knowledge


Key features of contemporary Governance for SD (for details, see the ESDN website at www.sd-network.euand European Environment Special Issue 17/3, 2007)

Due to the lack of other comprehensive steering instrumentsSD strategies play a central role in coordinating the

d li ki f SDgovernance and policy-making of SD …

… resembling strategic processes rather than shelved documents ...

… aiming at normative SD principles …g p p

… by following some key process steps …

hi h f SD t t l


… which form an SD strategy cycle.

The SD strategy cycle: The SD strategy cycle: Principles and StepsPrinciples and Steps

From political will From actions to

5. Renew political comittment and guidance

1. Provide political comittment and guidance

-Setting the agenda Provide mandate & direction

pto goals

From actions toto policy renewal

-Provide mandate & direction

2. Specify goals

- Formulate vision &Long-term focus4 Implement policies SMART objectives

- Address governance principles

Policy integration

Participation

4. Implement policies

- Adopt policies- Enforce policies

3. Design policies

Reflexivity

- Explore policy options- Formulate and design policies - Secure budgets From goals

to policy optionsFrom options

to actions


to policy options

Appraisals around Appraisals around the strategy cyclethe strategy cycle

1. & 5 (Renew) politicalcomittment and guidance1. & 5 (Renew) political

comittment and guidance From political will From actions to comittment and guidance

- Political mandate- Setting the agenda & providedirection

comittment and guidance

- Political mandate- Setting the agenda & providedirection

pto goals

From actions toto policy renewal

5 R liti l

2. Specify goals

- Formulate vision and

2. Specify goals

- Formulate vision andLong-term focus4. Implement policies4. Implement policies

1. Provide politicalcomittment and

5. Renew politicalcomittment and

guidance

objectives- Address governance

principles

objectives- Address governance

principles

Policy integration

Participation





guidance

2. Specify goals

Policy integration

Participation

Long-term focus4. Implement

policies

3. Explore and selectli i

3. Explore and selectli i

Reflexivity

3. Design policies

Participation

Reflexivity

policy options

- Formulate policies (in work/action plans)

Secure budgets

policy options

- Formulate policies (in work/action plans)

Secure budgetsFrom goals

to policy optionsFrom options

to actions


- Secure budgets- Secure budgets to policy optionsto act o s

Appraisals around Appraisals around the strategy cyclethe strategy cycle

Ex-post appraisals: evaluations, audits, i

Applied research & studies

BasicresearchBasic outcome mapping, ex-post SEAs

SDI Monitoring

5 R liti l

Basicresearch

1. Provide politicalcomittment and

5. Renew politicalcomittment and

guidance

guidance

2. Specify goals

Policy integration

Participation

Long-term focus4. Implement

policies

Peer reviews

3. Design policies

Participation

Reflexivity

Ex-ante appraisals: SEAs, SIAs, CBAs

SDI Monitoring

Basicresearch

Basicresearch


a te app a sa s S s, S s, C s

Applied research & studies


Knowledge-based governance and theKnowledge based governance and the political roles appraisals can assumeGovernance for SD: a cyclical modelGovernance for SD: a cyclical modelTypes of inputs around the strategy cycleConclusions on the interplay of public governance and the generation of policy-relevant knowledge


ConclusionsConclusions

Knowledge-based governance: Policy-making is surrounded (influenced?) by a stream of information that accompanies the strategy/policy cyclegy/p y y

Governance-based knowledge generation: The nature of different types of appraisals is shaped by their place and proximity around the t t lstrategy cycle …

… and by public administration narratives (“bureaucracy” focuses on accountability NPM on efficiency new governance on processes)accountability, NPM on efficiency, new governance on processes)

Related utilisation challenges: Knowledge is not always tailor-made, not always on demand, not always heard and/or understood y , y /because

different languages and logics are employed lf f f t iti i diffi lt t


self-reference of expert communities is difficult to overcome…

A management perspective on evaluationA management perspective on evaluation

Policy-irrelevant research?

Basic researchResearch agenda is

defined by• Public discourse

Governance is shaped by • Research methods Applied research

Evaluations & consulting

Public discourse• Problem definitions

in calls & tenders• Funding decisions

• Research methods• Research design• Research findings• Recommandations

Policy-making & adming• Recommandations

Area of (potentially) knowledge-based

governanceResearch-free policy-making?


A systems perspective on evaluationsA systems perspective on evaluations

four self-referential systems configured around their individual code

Science Evaluationcodeexplicit and implicit system functions (e.g. selection, power, success)success)limited transfer of knowledge, self-perception of autopoietically closed systems

Administration Policy

autopoietically closed systems

Based on A. Nicolai „Die Strategie-Industrie –Systemtheoretische Analyse des Zusammenspiels von Wissenschaft yZusammenspiels von Wissenschaft, Praxis und Unternehmensberatung“, Wiesbaden 2000


Thank you

Reinhard [email protected]

André [email protected]


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