Exploring emerging ICT-enabled governance models in European cities

Transcription

1 Exploring emerging ICT-enabled governance models in European cities EXPGOV Project Research Plan D.1 - FINAL (V.2.0, ) This document has been drafted by Gianluca Misuraca, Scientific Officer at the Information Society Unit of IPTS as part of the Research Line on ICT for Governance. The research plan has been developed also based upon discussions held with EURO Secretariat (Mr. Jan Franke, Policy Officer on Knowledge Society), with the Chair of the Working Group on egovernment 2.0 of the EURO Knowledge Society Forum (Mr Franco Carcillo of the City if Turin) and with representatives of city governments, members of EURO and other city networks. The draft research plan has been presented for validation to the Annual meeting of the Advisory Board of the Knowledge Society Forum of EURO that took place in Brussels on 27 th January Disclaimer: The views expressed in this document are purely those of the author and may not in any circumstances be regarded as stating an official position of the European Commission. European Union, IPTS, 2010 For more information about the EXPGOV Project visit: 1

2 Table of Contents 0. Executive Summary Justification and Background Problem statement Research state of the art Research Framework Research objectives Research questions Methodological approach Work plan description Activities Milestones Deliverables Expected outcomes Contribution to policy Contribution to knowledge

3 0. Executive Summary The Exploratory research on ICT-enabled governance models in European cities (EXPGOV) aims at deepening the understanding of the interplay between ICTs and governance processes at city level in the EU by providing evidence of the effects of changes that ICTs are producing on city governance models. At the same time, it seeks to identify the key drivers of such changes, as well as their socio-economic implications using a specific policy domain as an example. The focus of the research is on the way the different stakeholders interact when introducing ICTs in governance systems and the way these interactions affect institutions and communities, and the related decision-making process. Two main issues will be specifically investigated: 1) the changes produced by ICTs on the governance processes 1, (e.g. regulatory and legal frameworks, organisational and administrative procedures, roles of various stakeholders involved, etc.) and consequently the effects on decision-making, public management and service delivery; and 2) the socio-economic implications in a specific policy domain. The core research question underpinning the analysis is the following: RQ: What new ICT-enabled governance models are emerging at city level in Europe? In order to answer this research question three sub-questions will be researched: a. Which are the main dimensions of new ICT-enabled governance models emerging in European cities? b. What are the effects of the changes driven by ICTs on the interaction 1) within the city administration and 2) between the city government and other stakeholders in a specific policy domain? c. What are the implications of new ICT-enabled governance models on a specific policy domain? The research will carry on the following activities: 1. Development of a framework to assess the main dimensions of ICT-enabled governance models at city level through conceptual work, desk research and consultation with representatives of cities and other experts 2. Case Studies Analysis: i. Selection of a limited number of cases to be studied in-depth in order to understand the effects of changes driven by ICTs and analyse their implications on a specific policy domain to be identified in collaboration with cities ii. Case studies investigation through interviews and focus groups with representatives of cities and other stakeholders (circa per city) and analysis of documentation and data made available during interviews with selected cities 3. Cross-cases assessment and discussion of the key drivers of changes and their consequences for ICT-enabled governance as well as the implications on the policy domain under investigation 4. Validation of findings from case studies and discussion of results of the exploratory research with experts, representatives from the cities and other stakeholders. 5. Drafting of a Final Report which will include policy recommendations and indications to define a future research agenda in the area of ICT-enabled governance in European cities. Timeframe of Research Activities: October 2009 October We refer here to changes due to ICTs both at inter-administration level and with regard to the relationship between the government and the different stakeholders involved in the specific service, either directly provided by the city government or mediated by other actors as intermediaries. 3

4 1. Justification and Background 1.1. Problem statement Over the last decade there has been a growing awareness of the need to consider ICT-enabled applications for increasing citizens' participation and opening-up governance models that allows a wider audience to contribute to the political debate and improve the quality of the public service delivery. This awareness has resulted in a number of innovative experiences and pilot projects especially at city government level. The convergence of broadband with ICT-enabled applications (e.g. especially user-driven applications based on social computing and mobile technologies) is transforming the way people use the Internet to communicate and interact. As most European citizens embrace the "collaborative Internet" their expectation to be able to interact with city governments using ICTs and fully benefiting from their potential for participation shall increase. While traditional ways of governing and engaging citizens will continue, the use of ICTs to enhance government service delivery and to improve policy development and decisionmaking provides opportunities for cities to engage and involve citizens and local communities in new ways, thus leading to possible novel models of ICT-enabled governance systems. However, while it is recognized that ICT-enabled applications are generating changes in the city government systems, the effects of such changes on governance processes and their impacts on specific policy areas are yet to be fully demonstrated Research state of the art While research in the overlapping areas of e-government, e-governance, e-participation and e-inclusion at city level has been examining mainly the supply side and the sophistication of e-services offered, reliable data on measuring the effects of ICT-enabled applications on governance processes and the impacts on specific policy areas are lacking, and where existing not yet harmonized, incomplete or difficult to use for comparison in other contexts or at EU level. Further research is therefore required to better understand the implications of changes deriving from emerging ICT-enabled governance models at city level, where, despite the recognized importance of the city government role, it seems there is no evidence of: 1) the direct intervening effects of ICT-enabled applications on city governance systems; 2) the indirect intervening effects of ICT-enabled applications on the institutional settings themselves; and 3) the causal connection (if any) with policy outcomes, quality of service-delivery and socioeconomic impacts. In order to better understand the implications of these changes on governance systems it is required to consolidate the research analysis in this field and characterize the level of interaction between city government and other actors, the technologies used, the stage in the policy-making process and various governance related issues and constraints, identifying the key enablers and the correlation (if any) between ICT-enabled applications and improved quality of public service delivery, to ensure that ICT initiatives in support of city governance and specific policy areas would achieve a greater socio-economic impact. 4

5 2. Research Framework 2.1. Research objectives The IPTS Exploratory research on ICT-enabled governance models in European cities (EXPGOV) intends to deepen the understanding of the interplay of ICT and governance processes at city level in the EU by providing evidence of the implications of changes that ICT-enabled applications are producing on governance models (e.g. changing institutional roles and public values and consequently governance and public management processes) using a specific policy domain as an example. At the same time, the research aims at identifying the key drivers of such changes, as well as their socio-economic impacts on the specific policy area analysed. Considering governance as a multidimensional construct, the focus of the research is on the way the different stakeholders interact when introducing ICT-enabled applications in specific policy areas and the way these interactions affect institutions and communities, and the related governance processes. The governance changes under scrutiny are both technologically and socially driven and manifest themselves in new governance models and public management practices, revised institutional processes and organisational structures. Based on this theoretical assumptions, two main issues will be investigated: 1) the changes in the governance processes (both inter-administration and with regard to the relationship between the government and the different stakeholders involved in the specific ICT-enabled service, either directly provided by the city government or mediated by other actors as intermediaries), in term of roles, values and institutional settings (regulatory and legal frameworks, organisational and administrative procedures, etc.) and 2) the socio-economic impacts produced on the target users of specific eservices and the policy area under analysis Research questions The core research question underpinning the analysis is the following: RQ: What new ICT-enabled governance models are emerging at city level in Europe? In order to answer this research question three sub-questions will be researched: a. Which are the main dimensions of new ICT-enabled governance models emerging in European cities? b. What are the effects of the changes driven by ICTs on the interaction 1) within the city administration and 2) between the city government and other stakeholders in a specific policy domain? c. What are the implications of new ICT-enabled governance models on a specific policy domain? 2.3. Methodological approach The methodological approach of the research is based on grounded-theory / action research and will involve a qualitative assessment of selected case studies. The research methods used will be: desk research, semi-structured interviews; focus-groups and meta-analysis of secondary sources, as well as a micro-delphi for gathering Experts' opinions. 5

6 3. Work plan description Here below the main activities, milestones and expected deliverables of the research are presented Activities The macro activities of the research are the following: 1. Development of a framework to assess the main dimensions of ICT-enabled governance models at city level through conceptual work, desk research and consultation with representatives of cities and other experts 2. Case Studies Analysis: i. Selection of a limited number of cases to be studied in-depth in order to understand the effects of changes driven by ICTs and analyse their implications on a specific policy domain to be identified in collaboration with cities ii. Case studies investigation through interviews and focus groups with representatives of cities and other stakeholders (circa per city) and analysis of documentation and data made available during interviews with selected cities 3. Cross-cases assessment and discussion of the key drivers of changes and their consequences for ICT-enabled governance as well as the implications on the policy domain under investigation 4. Validation of findings from case studies and discussion of results of the exploratory research with experts, representatives from the cities and other stakeholders (eventually a specific validation workshop is envisaged). 5. Drafting of a Final Report which will include policy recommendations and indications to define a future research agenda in the area of ICT-enabled governance in European cities. 6

7 3.2. Milestones Phase 1 - Preliminary Analysis Milestone Number and Name Description Nature Timeframe Action by Expected Output ML1 Preliminary Analysis Analysis of state of the art of research literature Report of Preliminary Analysis R July-Sept IPTS review and main stakeholders ML2 ML3 Draft Research Design and Plan Preliminary Consultation & Networking ML4 KSF Event Autumn 2009 Draft Research Design and Plan R July-Sept IPTS Consultation & Networking with main stakeholders identified Presentation of the Research Plan and Design at the EURO KSF Event in Lille C July-Sept IPTS E IPTS/EURO Draft Research Plan & Design List of experts and stakeholders and agreement of collaboration with EURO and other city networks Presentation and validation of research objectives Phase 2 - Mapping Survey and Validation of Research Workplan Milestone Number and Name Description Nature Timeframe Action by Expected Output ML5 Prepare mapping survey Prepare mapping survey R Oct.2009 IPTS Mapping survey tested and upload on IPM ML6 Execute mapping survey Execute mapping survey R Nov-Dec.2009 IPTS Mapping survey operational on IPM ML7 Research Workplan validated and Prepare and discuss Prepare detailed Research Workplan and discuss Dec.2009 Jan. IPTS/EURO R shared with EURO and other workplan with EURO and other stakeholders 2010 stakeholders ML8 Analyse results of the Report of Analysis of the survey Analyse results of the survey R Jan.2010 IPTS survey ML9 Select policy areas Select policy areas R Jan.2010 IPTS/EURO Policy areas selected ML10 Select case studies Select case studies R Jan.2010 IPTS/EURO Case Studies selected ML11 Validate Workplan Validate Workplan C Jan.2010 IPTS/EURO Research Workplan validated and ML12 KSF Event Winter 2010 KSF Event Winter 2010 E IPTS/EURO submitted to the EURO KSF Presentation of the Survey results + research workplan approved 7

8 Phase 3 - Case Studies Milestone Number and Name Description Nature Timeframe Action by Expected Output Conceptual framework of Draft Conceptual framework and Prepare conceptual framework of measurement, Feb.-March ML13 measurement, including R IPTS literature review fore discussion including literature review 2010 literature review Develop and validate methodology and Draft Methodological framework ML14 Methodology case studies R Feb.2010 IPTS questionnaire for case studies and questionnaires Presentation of conceptual ML15 KSF Event Spring 2010 KSF Event Spring 2010 (Tallin) E IPTS/EUROCI framework of measurement and TIES methodology for case study analysis ML16 Case studies Case studies Analysis: 4 cases, interviews in person + eventual online questionnaire, gathering of data and documentation, analysis and validation of findings either in a focus group meeting or sharing the report online (2 missions x case of 2-3 wd or 1 mission of 5wd) R April- June 2010 IPTS with selected cities Report of activities ML17 Report of case studies Report of case studies R IPTS with Report of Case Studies June 2010 selected cities ML18 KSF Event Summer 2010 KSF Event Summer 2010 (Linkoping) E 9-11 June IPTS/EUROCI Presentation of preliminary results 2010 TIES of Case Studies ML19 Revise case studies reports Validate case studies reports C EURO Validated Reports of Case studies July 2010 & Cities ML20 Progress Report Draft progress report of research R July 2010 IPTS Progress Report 8

9 Phase 4 - Final Reporting Milestone Number and Name Description Nature Timeframe Action by Expected Output Cross-cases assessment and discussion of the key Report on cross-case analysis ML21 Cross-case analysis drivers of changes and their consequences for ICTenabled governance as well as the implications on R August 2010 IPTS the policy domain under investigation ML22 Draft Final report Draft Final report of Exploratory Research R Sept.2010 IPTS Draft Final report ML23 KSF Event Autumn 2010 KSF Event Autumn 2010, Birmingham E Oct.2010 ML24 ML25 Validation of findings Final Report Validation of findings from case studies and discussion of results of the exploratory research with experts, representatives from the cities and other stakeholders (a specific validation workshop is envisaged to take place at IPTS premises in Seville or at EC HQ in Bxl or alongside an EURO event). Prepare Final Report of the research, including policy recommendations and indications to define a future research agenda in the area of ICT-enabled governance in European cities C/E Nov.-Dec.2010 R Dec IPTS/EUROCI TIES IPTS/EUROCI TIES IPTS/EUROCI TIES and selected cities Presentation of final results of the research Research findings validated Final Report Phase 5 Dissemination of Results Milestone Number and Name Description Nature Timeframe Action by Expected Output ML26 Publication of results Publication of the Final Report R 2011 IPTS/EUROC ITIES ML27 Publication of results Preparation and submission of Scientific Articles 2011 IPTS/EUROC P for publication ITIES ML28 Dissemination of results Presentation of research results to scientific 2011 IPTS/EUROC E conferences ITIES ML29 Dissemination of results Presentation of research results to policy events 2011 IPTS/EUROC ITIES ML30 Future Research Planning Discussion of research results with policy-makers 2011 IPTS/EUROC and preparation of a Proposal for future research ITIES Legenda: C= Consultation, online communication or meetings; E= Event, Workshop, Conference; R= Desk Research / Reporting / Publication 9

10 3.3. Deliverables The main deliverables output of the research will be the following: Deliverable Expected date D1 Report of Analysis of the Mapping Survey D2 Draft Assessment Framework and selection of cases D3 Literature review and draft Conceptual Framework D4 Progress Report of Exploratory Research D5 Draft Report of case studies D6 Draft Report of cross-cases analysis D7 Presentation of key findings D8 Validation of Findings D9 Final Report of Exploratory Research D10 Publication of results (IPTS Scientific & Technical Report) Expected outcomes 4.1. Contribution to policy The research will contribute to inform policy-makers about the implications of change produced by new and emerging ICT-enabled governance models in EU cities and demonstrate evidence of impacts on the specific policy area under investigation. The research takes as its starting point that evidence of impact and implications of changes that ICT-enabled applications produce on governance models can contribute directly to the quality of EU policy making in the area of Information Society development, and its linkages with EU Urban and Regional Development and Social Cohesion Policies, as well as sectoral policies concerned by the specific governance areas of intervention, at both EU and Member States level Contribution to knowledge The research will contribute to consolidate scientific evidence of impacts of ICT-enabled applications (in terms of user-driven innovations) on city governance models in the EU. It will also contribute to reinforce methodological approaches of impact assessment in the specific policy area under investigation. Finally, the research will contribute to enrich the knowledge base in the research domain of e-governance. More specifically, the research intends to contribute to the theory and practice of e-governance with a twofold perspective: 1) From a practical-oriented perspective: analysing the drivers of change of emerging ICTenabled governance models and examining their outcomes at both institutional level and within the city governance structure and culture that supports it, and at the same time enables participation of different stakeholders and various forms of technological appropriation, thus leading to improved quality of service-delivery and user's satisfaction; 2) From a methodological perspective: contributing to develop and enhance methodologies and tools to trigger policy impact assessment while focusing on the interactions between innovative ICT-enabled processes and mechanisms with emerging forms of city governance. In doing so, and in addition to the direct contribution of the research resulting from the analysis of case studies, the research intends also to contribute to set the basis for the development of a policy impact framework to identify the key elements and indicators to be taken into account when measuring socio-economic impacts of ICT-enabled applications at city level. 10