Governance Case Studies Methodology_Draft
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Generating Knowledge Products to Support the Implementation and Dissemination of LED Policies throughout Latin America and the Caribbean (LAC) ...

Generating Knowledge Products to Support the Implementation and Dissemination of LED Policies throughout Latin America and the Caribbean (LAC)

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  • 1.       “Generating  Knowledge  Products  to  Support  the  Implementation  and  Dissemination  of   LED  Policies  throughout  Latin  America  and  the  Caribbean  (LAC)”       Joint  Research  Initiative  Berkeley-­‐Orkestra-­‐FOMIN         Proposed  Methodology  for  Case  Studies  on  Local  Governance1               Draft     December  8,  2011                                                                                                                1   This   methodology   builds   on   the   following   documents:   proposal   to   the   FOMIN   Productivity   Fund   “Generating  knowledge  products  to  support  the  implementation  and  dissemination  of  LED  policies  throughout  LAC”;  “Diseño  y  trasferencia   de   metodología   para   el   levantamiento   de   casos   prácticos   en   desarrollo   económico   local”   by   K.  Fernandez-­‐Stark   and   G.   Gereffi   (Duke   University);   “Pautas   para   la   elaboración   de   estudios   de   caso”   (IDB,   April  2011);  “Coordinación  institucional  y  la  colaboración  de  los  sectores  publico  y  privado:  términos  de  referencia  para  un   estudio   de   caso   sobre   la   cooperación   de   actores-­‐múltiples”   by   G.   Casaburi;   and   “   Learning   from   the   local:  governance   of   networks   for   innovation   in   the   Basque   country”   by   M.   J.   Aranguren,   M.   Larrea,   ad   J.   Wilson  (European  Planning  Studies  Col.  18,  No.  1,  January  2010).  In  addition,  the  document  was  revised  by  researchers  and  experts  during  a  meeting  held  at  the  IDB  on  December  1  and  2,  2011.    
  • 2.     Table  of  contents    I.  BACKGROUND ............................................................................................................................... 3  II.  PREPARATION  OF  CASE  STUDIES .................................................................................................. 3   1.   CASE  SELECTION  CRITERIA ..................................................................................................................3   2.   CASE  STUDY  DESIGN ..........................................................................................................................4  III.  STRUCTURE  OF  CASE  STUDIES  ON  LOCAL  GOVERNANCE .............................................................. 5   1.   DESCRIPTION  OF  THE  EVOLUTION  OF  THE  REGION,  THE  CLUSTER  (IF  THERE  IS),  AND  OF  THE  LED  AGENCY  (IF  THERE   IS  ONE) ...........................................................................................................................................5   1.1.   DESCRIPTION  OF  THE  DYNAMICS  OF  THE  REGIONAL  CONTEXT  AND  ROLE  OF  KEY  ACTORS ...................................6   1.2.   DESCRIPTION  AND  ANALYSIS  OF  BUSINESS  SECTOR....................................................................................6   1.3.   DESCRIPTION  AND  ANALYSIS  OF  THE  PUBLIC  SECTOR .................................................................................6   1.4.   DESCRIPTION  AND  ANALYSIS  OF  THE  LEVEL  OF  INFRASTRUCTURE  AND  THE  LEVEL  OF  HUMAN  AND  SOCIAL   DEVELOPMENT .................................................................................................................................6   2.   ANALYSIS  OF  THE  LOCAL  GOVERNANCE  (ALSO  CALLED  PUBLIC-­‐PRIVATE  MANAGEMENT  MODEL,  PPMM).............7   3.   ASSESSMENT  OF  THE  RELEVANCE  OF  THE  ENVIRONMENT  IN  THE  DEVELOPMENT  STRATEGY  OF  THE  REGION .ERROR!   BOOKMARK  NOT  DEFINED.   4.   DETAILED  ANALYSIS  OF  SOME  OF  THE  CONCRETE  INITIATIVES/ACTIONS  UNDERTAKEN  DURING  THE  FOMIN  PROJECT   THAT  PROVED  TO  BE  CRITICAL  FOR  THE  SUCCESS/FAILURE  AND  EVOLUTION  OF  THE  REGION .....ERROR!  BOOKMARK   NOT  DEFINED.   5.   CONCLUSIONS ..................................................................................................................................8  IV.  CROSS-­‐ANALYSIS  OF  CASE  STUDIES ............................................................................................. 8   1.   PUTTING  IT  ALL  TOGETHER:  IDENTIFICATION  OF  COMMON  PATTERNS  AND  ELEMENTS  FOR  SUCCESS ....................8   2.   KNOWLEDGE  PRODUCTS .....................................................................................................................9     2  
  • 3.   I.  Background    The   MIF   Local   Economic   Development   (LED)   Agenda   aims   to   expand   the   adoption   of   local  economic   development   policies   and   strategies   based   on   public-­‐private   interaction   and  geared   to   economic,   social,   and   environmental   sustainability.   These   policies   foster   micro,  small   and   medium   enterprise   (MSME)   development   by   strengthening   the   economic  competitiveness  factors  in  the  territories  in  which  they  operate.  Currently  in  the  third  stage  of  the  concept  maturity  curve,  this  Agenda  includes  30  projects  (this  includes  6  projects  to  be  approved  in  2011).      One   of   the   key   components   of   the   projects   that   FOMIN   implements   to   foster   LED   is   the  creation   of   a   local   institutional   arrangement   that   is   responsible   for   the   design   and  implementation   of   LED   strategies   and   action   plans.   These   institutional   arrangements   may  take   different   shapes   and   functions,   and   ultimately   lead   to   different   types   of   outcomes.   The  main   objective   of   these   case   studies   is   to   generate   knowledge   products   on   how   public-­‐private  management  models  (PPMM)2  emerge  around  LED  and  what  role  these  PPMM  play  in   guiding   change   (change   in   policies,   programs,   trajectories,   outcomes,   etc.),   filling   a  knowledge   gap   that   is   affecting   the   implementation   and   dissemination   of   LED   policies  throughout  Latin  America  and  the  Caribbean  (LAC).     II.  Preparation  of  Case  Studies    This   section   focuses   on   the   preparation   work   that   has   to   happen   in   order   to   develop   the  case   studies.   First,   it   provides   criteria   for   the   selection   of   the   experiences   that   will   be   the  object  of  the  case  studies.  Second,  it  provides  elements  for  the  design  of  the  case  studies,  including   objective,   research   questions,   unit   of   analysis,   and   tools   for   data   collection   and  analysis.    1. Case  Selection  Criteria   1. Public-­‐private  interaction   Variables  to  be  considered:   • Number  of  actors  participating  in  local  committee/forum/agency   • Diversity  and  representativeness  of  actors   • Relevance  of  actors  involved  in  the  program     2. Construction  of  a  LED  strategy   Variables  to  be  considered:   • Number  and  typology  of  initiatives  included  in  the  strategy   • Funding  of  the  initiatives,  taking  into  account  whether  there  is  resource  pooling   • Whether   the   PPMM   was   able   to   influence   a   policy   change   at   the   regional   or   national  level     3. Formalization  of  the  public-­‐private  interaction   Variables  to  be  considered:   • Type  of  public-­‐private  management  model  (PPMM)  adopted  (in  order  to  select   cases  that  offer  a  variation  in  the  typology  of  PPMM)   • Stage  in  the  process  of  PPMM  creation:  incipient  vs.  mature  PPMM   • Whether  the  PPMM  obtained  legal  recognition   • Typology  of  public  and  private  actors  represented  in  the  PPMM                                                                                                                         3  
  • 4.   4. Collective  goods   Variables  to  be  considered:   • Range  of  collective  goods  generated  in  the  region   • Number  and  range  of  actors  involved  in  the  formation  of  collective  goods   • Type  of  management  arrangements  adopted  for  the  collective  goods     5. Characteristics  of  the  public  sector  involved   Variables  to  be  considered:   • What   level   of   public   sector   is   involved   in   the   PPMM:   municipal   government,   Group   of   municipalities   (like   a   mancomunidad),   provincial/regional   government,   national  government    2. Case  Study  Design   • Objective:   The   main   objective   of   these   case   studies   is   to   generate   knowledge   products   on   how   public-­‐private   management   models   (PPMM)   emerge   around   LED   and   what   role   these   PPMM   play   in   guiding   changes   in   LED   (change   in   policies,   programs,   trajectories,   outcomes,   etc.).   This   objective   will   be   reached   using   the   experience   of   the   projects   included   in   FOMIN’s   LED   Agenda   as   well   as   by   drawing   lessons  from  other  experiences  (for  example,  from  Europe  and  Asia).  The  knowledge   generated   through   the   research   will   be   disseminated   to   practitioners   and   policymakers,   and   will   help   build   methodologies   that   will   guide   public   and   private   stakeholders   in   Latin   American   countries   in   the   design   and   implementation   of   LED   strategies.   • Research   questions:   Broadly   speaking,   what   we   want   to   find   out   through   the   case   study   is:   What   worked   well   and   why?   What   could   have   worked   better   and   why?   More   specific   research   questions   for   these   case   studies   are   listed   in   the   following   table.   Table  1.  Research  Questions   Research  questions  for  case  studies  on  local  governance3   1. What   are   the   ranges   and   types   of   PPM   that   are   pertinent   for   LED   strategies?   The   typology  would  emerge  from  a  mixture  of  existing  literature  and  FOMIN  cases.   2. Which   are   the  ex-­‐ante  factors   that   have   influenced   the   particular   PPM   structure   under  consideration?  In  particular,  the  context  and  the  specific  objectives  of  the  LED   strategy   should   be   addressed,   as   well   as   the   relationships   existing   among   the   firms   (and  other  stakeholders).   3. What  other  key  factors  have  motivated  that  particular  PPM  structure?  What  are  the   mechanisms  that  lead  to  its  formation?   4. What  are  the  incentives  for  the  actors  to  participate  and  the  barriers/obstacles  they   have   encountered   in   the   different   stages   (with   a   particular   emphasis   on   the   initial   ones)?  What  are  the  strategies  that  are  pursued  at  the  local  level  in  order  to  reach  a   more  formal  governance  structure?   5. What   are   the   outcomes   that   have   been   achieved   and   what   is   the   relationship   between  them  and  the  PPM  structure  under  analysis?   6. How  can  the  sustainability  of  collective  action  be  reached?  What  are  the  factors  that                                                                                                                  3  In  this  document,  the  expression  governance  (or  local  governance)  is  used  as  synonym  of  public-­‐private  management  model  for  LED  (PPMM).     4  
  • 5.   threaten  it  and  how  can  they  be  avoided?   Research  questions  for  case  studies  on  local  governance  where     environmental  issues  are  central  (in  addition  to  previous  questions)   1. How   did   the   PPM   structure   incorporate   the   sustainable   use   of   natural   resources   for   productive  ends  in  its  strategy?     2. Who  were  the  new  players  in  the  local  governance?     3. How  did  the  incorporation  of  the  management  of  natural  resources  influence  the  local   governance?     • Unit   of   Analysis   (what   or   who   will   be   “investigated”):   in   this   case,   it   is   a   particular   public-­‐private  initiative  that  could  be  more  or  less  formalized.     • Background   and   context:   before   getting   into   the   analysis   of   the   specific   case,   the   case  study  will  include  a  review  of  existing  literature  on  the  topic  in  order  to  contrast   it  against  the  case  studies  to  be  developed,  and  the  conceptualization  and  definition   of   the   expression   “territorial   governance”   (commonly   used   in   FOMIN   projects)   to   effectively   convey   a   wide   range   of   public-­‐private   management   models   for   LED   (PPMM).   • Methods   and   tools   of   data   collection:   these   are   defined   based   on   the   type   of   research   questions   that   the   case   study   aims   at   addressing.   In   general,   these   will   include   document   review,   fieldwork   to   collect   qualitative   and   quantitative   data   about   the   case   under   analysis,   interviews   with   IDB/FOMIN   staff   and   consultants   involved  in  the  projects  (when  applicable).     • Methods   of   analysis   and   interpretation   of   data:   qualitative   and   quantitative   analysis   will   be   used   for   each   case   study,   applying   a   mixed   method   analysis   whenever   possible.   • Cross-­‐case  analysis  of  case  studies:  identify  common  patterns  and  draw  conclusions   and  recommendations.     III.  Structure  of  Case  Studies  on  Local  Governance  What  follows  is  a  schematic  description  of  what  could  be  the  areas  of  research  that  should  be  covered  by  each  case  study.  These  are  guidelines  that  can  orient  the  research  as  well  as  the  outline  of  each  case  study.    1. Description  of  the  evolution  of  the  region,  the  cluster  (if  there  is),  and  of  the  LED   agency  (if  there  is  one)   Place   the   particular   case   and/or   the   FOMIN   project   within   their   historical   context   • and   long-­‐term   perspective:   look   at   processes   and   analyze   the   project   as   part   of   a   longer  process.     • Within   this   narrative   description,   it   is   important   to   highlight   factors   of   the   FOMIN   project  that  had  some  influence/impact  on  the  region/cluster/agency.   • What  are  the  competitive  and  comparative  advantages  of  the  region?   • Are   there   obstacles   that   hamper   gaining   more   benefits   from   competitive   and   comparative  advantages?      In   order   to   give   a   complete   picture   of   the   evolution   of   the   region/cluster,   provide  information  based  on  the  following  sub-­‐sections:     5  
  • 6.   1.1. Description  of  the  dynamics  of  the  regional  context  and  role  of  key  actors   • General   information   about   the   region:   size,   urban   area   vs.   rural   area,   population   trend,  etc.  See  table  below  for  an  example  of  data  to  collect.  This  is  a  minimum  set   of  basic  data  that  is  necessary  in  order  to  put  each  specific  case  study  in  context  and   provide  elements  for  comparisons  across  cases.     Table  2.  Demographic  variables   2000   2005   2010   Demographic  Variables   Country   Region   Country   Region   Country   Region   Total  Population                           Population  growth  (%)                           2 Total  area  (Km )                           Urban  area  (%  of  total)                           Rural  area  (%of  total)                             • Describe  the  key  economic  sectors  in  the  region  that  are  linked  to  the  main  sector   under  study.     • Who  are  the  major  economic  players  in  the  region?     • Carry  out  a  SWOT  analysis  of  the  region  (optional).   1.2. Description  and  analysis  of  business  sector   • What   is   the   firm   structure   existing   in   the   region   (small   and   medium,   large   firms,   headquarters   or   branches   of   multinational   companies,   cooperatives,   informal   sector)?     • What   are   the   main/leader   companies   in   the   region   and   in   what   sectors?   What   are   the  power  dynamics  within  the  business  sector?   • Are   there   any   support   programs   for   the   productive   sector,   and   in   particular   for   SMEs?  (if  relevant)   • Is  access  to  finance  available  for  business  (specifying  whether  there  are  differences   for  SMEs  and  for  large  firms)?  (if  relevant)   • Are  there  any  relevant  programs  and  actors  in  the  field  of  workforce  training  (such   as  vocational  schools)  and  R&D  for  innovation?   1.3. Description  and  analysis  of  the  public  sector   • Describe  the  type  of  government  organization  in  the  territory.   • Identify  the  main  players  in  the  public  sector  that  operated  in  the  territory.   • Provide  a  brief  description  of  the  level  of  decentralization  (including  the  existence  of   particular  laws  for  “mancomunidades”)   • Identify  the  impact  of  the  political  cycle  /  political  turnover  (if  relevant)   1.4. Description  and  analysis  of  the  level  of  infrastructure  and  the  level  of  human  and   social  development  (if  data  is  available;  the  relevant  region  should  be  clearly   defined  in  each  case)   Briefly  describe  the  existence  and  quality  level  of  the  following:   • Transportation  (airports,  harbors,  bus  and  train  terminals)   • Telecommunication  (landlines,  cell  phones,  internet)   • Energy  (gas,  oil,  hydroelectric,  etc.)   • Schools,  hospitals     Provide  a  brief  analysis  of:   • Level  of  education  in  the  region     6  
  • 7.   • Level  of  education  of  the  workforce  (in  the  main  economic  sectors)   • Main  needs  for  human  capital  development   • Evolution  of  employment  and  unemployment   • Evolution  of  poverty  level  in  the  region   • Description  of  main  health  issues  in  the  region   Table  3.  Example  of  employment,  poverty,  and  education  variables   2000   2005   2010   Variables   Country   Region   Country   Region   Country   Region   Employment   Total  population  employed                           Participation  of  women  in  the  workforce  (%)                           Unemployment  (%)                           Poverty   Population  below  country  poverty  line   (thousands)                           Population  below  country  poverty  line  (%total   population)                           GNI  index                           Education   R&D  as  %  of  GDP                             Education  as  %  of  GDP                             Literacy  rate  (%)                           Population  with  primary  school  degree  (%)                           Population  with  secondary  school  degree  (%)                           Population  with  university  level  degree  (%)                          2. Analysis  of  the  local  governance  (also  called  public-­‐private  management  model,   PPMM)   • Relevant  historical  analysis  of  the  unit  of  analysis  (the  PPM  and  the  region  where  it   operates)   • Describe  the  context  in  which  the  local  governance  is  operating:   o Identify  main  entities/agencies  for  local  economic  development  and  their  main   activities  in  the  last  few  years.  Describe  success  and  failure  of  these  activities   o Identify  main  firm  associations  and  describe  their  role  in  the  local  context   o Identify  and  describe  the  type  of  relationships  existing  among  firms  (horizontal   vs.  vertical,  cooperation  vs.  competition)   o Identify  main  NGOs  and  describe  their  role  in  the  local  context   o Describe  citizen  participation  in  decision-­‐making  processes   o Is   there   a   shared   vision   for   the   future   of   the   region   and   about   its   collective   identity?     • Provide  a  profile  of  the  PPM  structure:  is  it  formalized?  Does  it  have  its  own  budget?   If  so,  what  is  it?  Does  it  have  any  infrastructure  (like  offices)?     • Concisely  describe  the  success  (or  failure)  of  the  experience  in  terms  of  “before”  and   “after”.   What   are   the   key   factors   that   have   motivated   the   adoption   of   a   specific   public-­‐private   management   model   (PPMM)?   What   are   the   mechanisms   that   led   to   the  formation  of  such  PPMM?  What  are  the  motivations  of  the  actors  and  the  power   dynamics?   • The   process   of   building   local   governance   is   a   very   long   and   complex   one,   and   in   many  FOMIN  projects  (and  in  general,  in  many  regions  throughout  LAC)  the  process   is  still  at  the  beginning  and  the  governance  arrangements  that  we  can  observe  are   still  very  incipient  and  not  formalized  in  any  particular  “institution”  yet.  Bearing  this   mind,  analyze  the  factors  that  may  be  a  barrier  or  an  incentive  at  these  initial  stages.     7  
  • 8.   What  are  the  strategies  that  are  pursued  at  the  local  level  in  order  to  reach  a  more   formal  governance  structure?  Where  there  any  leaders  pushing  for  building  the  local   PPM?   • Describe   how   actions   are   decided   and   implemented,   what   types   of   decision   mechanisms  are  in  place,  and  how  they  contribute  to  achieving  the  objective  of  the   local   development   strategy.   How   relevant   information   is   handled/managed?   Were   actions   taken   to   improve   information   exchange   among   actors?   Do   actors   perceive   that   there   is   information   asymmetry?   Was   the   local   governance   structure   able   to   manage  or  solve  conflicts  of  interest  among  local  stakeholders?   • Describe  the  initiatives  and  positive  outcomes,  both  objective  and  subjective,  of  the   story   (either   if   it   is   a   success   or   a   failure).   Are   these   outcomes   associated   to   the   PPMM   adopted   in   the   region?   Provide   concrete   examples,   with   the   specific   skills   and  capacities  that  were  necessary  to  reach  those  outcomes.   • Identify  negative  side  effects  and  costs  of  success.   • Turning  points:   o Identify  key  turning  points  between  “before”  and  “after”   o Detail  the  role  of  governance  in  changing  the  course  of  action  at  this  stage.     • Identify  the  common  elements  that  underlay  the  actions  that  led  to  success.   • Analyze   “social   capital”   and   trust   among   actors:   did   actors   already   collaborate   before   the   project?   Were   there   factors   or   key   moments   that   contributed   to   building   trust/social   capital,   or   that   hampered   such   process?   What   was   the   quality   of   the   relationships  (use  Giuliani’s  work  as  a  starting  point  –  Social  Network  Analysis)?   • Perception   of   actors   participating   in   the   governance   structure:   did   the   way   of   thinking  of  actors  change  after  the  construction  of  local  governance?  How  have  the   functions   and   behaviors   of   actors   participating   in   the   governance   structure   changed?   Did   the   local   strategy   meet   the   needs   of   firms   and/or   other   actors?   Are   there   examples   in   which   the   implementation   of   the   strategy   has   improved/strengthened  initiatives  that  were  already  somewhat  successful?     Specifically,  on  collective  action:   • Analyze   the   formation   of   collective   actions   and   the   development   of   coordination   skills  among  main  actors  (public  sector,  private  sector,  academia,  civil  society,  etc.)   • Is  local  governance  involved  in  the  production  of  common/collective  goods?  Analyze   the   capacity   of   the   collective   action   (public-­‐private   collaboration)   to   produce   common/collective  goods   • Analyze  the  sustainability  of  the  collective  action.  What  are  the  factors  that  threaten   the  sustainability  of  the  collective  action  and  how  to  prevent  them?   • Are  there  spillovers  into  other  sectors  (positive  externalities)?  3. Conclusions   • Identify   drivers   and   limitations   to   the   formation   of   public-­‐private   management   models  for  local  economic  development   • Address  some  of  the  research  questions  by  using  the  evidence  from  the  case   • Identify  unresolved  issues  for  further  learning   IV.  Cross-­‐analysis  of  case  studies  1. Putting  it  all  together:  Identification  of  common  patterns  and  elements  for  success   • Look  at  the  processes  from  before  governance  to  after  governance  and  analyze  the   evolution   of   governance   patterns   (for   example,   from   a   governance   structure   built   around   the   leadership   of   one   or   few   actors   to   a   more   encompassing   governance,   where  a  wide  range  of  actors  participate).       8  
  • 9.   • Identify  factors  that  were  common  to  success  cases:  What  are  the  critical  variables   to  build  successful  PPM?  Are  there  common  factors  that  were  an  obstacle  to  PPM?   • Looking   across   cases,   analyze   whether   similar   types   of   PPM   led   to   similar   LED   outcomes  (the  research  may  not  have  enough  observations  to  develop  this  analysis).  2. Knowledge  products  This  cross-­‐analysis  should  produce  the  following  knowledge  products:   • Main  lessons  from  evidence  and  recommendations  for  practice   • Guidelines  for  practice   • Guidelines   about   desirable   skills   and   abilities   that   a   coordinator   of   local   economic   development  processes  should  have         9