Bruno Dente, Politecnico di Milano Aalborg, 14.06.12 INSTITUTIONAL CAPACITY FOR TERRITORIAL...
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Transcript of Bruno Dente, Politecnico di Milano Aalborg, 14.06.12 INSTITUTIONAL CAPACITY FOR TERRITORIAL...
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Bruno Dente, Politecnico di MilanoAalborg, 14.06.12
INSTITUTIONAL CAPACITY
FOR TERRITORIAL DEVELOPMENT
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1. Identifying institutional preconditions for effective territorial strategies
2. Developing a methodology for measuring Institutional Capacity
3. Building performance indicators to measure Institutional Capacity
4. Producing policy recommendations for building Institutional Capacity
Project Goals
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1. Alsace: Decentralization of the management of the OP
2. Aquitaine: Regional interventions and inter-governmental cooperation for innovation
3. Rhône-Alpes: Rhône basin multi-regional program management
4. Puglia: Evaluation Unit
5. Toscana: Integrated Sustainable Urban Development Projects
6. Sicilia: Territorial Integrated Programs for development (TIPs)
7. Puglia: reform processes and sectoral planning in the field of water, waste and soil protection
8. Lubelskie: the impacts of the Polish decentralization of the EU Structural Funds framework in the programming period 2007-2013
9. Dolnoslaskie: the relations between strategic planning and mid-term programming instruments
The Case Studies
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Conceptual Framework
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TERRITORIAL DEVELOPMENT
INSTITUTIONAL CAPACITY
1. Managing EU policy2. Using EU policy for regional
priorities3. Mainstreaming of EU principles
(partnership, evaluation, equal opportunities, transparency, etc.)
CAPACITY BUILDING POLICIES–Staffing–Training–Networking–Procedures–Institutional innovations
STRUCTURAL VARIABLES
INSTITUTIONAL THICKNESS
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INSTED REGIONS CAN BE DIVIDED INTO TWO GROUPS, BUT:- CBP results largely independent on SV- SV and IC may be linked only by using the Institutional Thickness
framework
FIVE DIMENSIONS OF INSTITUTIONAL THICKNESS:- Consistency through time (e.g. Toscana vs. Alsace)- Framework Coherence (e.g. French regions and Toscana vs.
Sicilia)- Governance- Adaptation to change (e.g. Toscana and the French regions)- Resistance (e.g. resistance to central governments)
Contexts for Capacity Processes
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TYPE ONE IC:- Experience explains procedural success (e.g. Italian regions),
but it is the starting level of IC that explains results (e.g. the French regions)
TYPE TWO IC: - Experience with designing and implementing development
projects is key
TYPE THREE IC:- Partnership is widespread (need or commitment?)- Evaluation, transparency, etc. are more easily mainstreamed,
but watch for effectiveness
Institutional Capacity: Key Lessons
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TYPE ONE IC
1. Amount of decommittment
2. Procedural delays
TYPE TWO IC
3. Level of co-financing
4. High level of multilevel governance
TYPE THREE IC
5. Mainstreaming of the different institutional features of EU programmes
6. Success in getting competitive development funding
Institutional Capacity: six basic Indicators
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Capacity Building Policies (CBP)
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INSTED RegionsImplemented CBPs
Staffing Training NetworkingProcedural
ArrangementsInstitutional innovations
Alsace ●● ● ●
Aquitaine ●● ● ●
Rhône-Alpes ● ●
Toscana ● ●● ●
Puglia (NUVAL) ●● ● ●● ●●●
Puglia (Waste, Water and Soil) ●● ● ● ●●● ●●●
Sicilia ● ●● ●● ● ●
Lubelskie ●●● ●● ● ●●
Dolnoslaskie ●●● ●● ● ● ●●
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STAFFING:- Typical when the task is new, but levels of stability vary
TRAINING: - Widespread, but great diversity (issues, actors, timing)
NETWORKING:- Networking is widespread, but network complexity is limited
PROCEDURES: - Good for governing at arm’s length (e.g.Toscana, Puglia)
INSTITUTIONAL INNOVATIONS: - Institutionalization and legitimacy are sensitive issues
MAIN PROBLEMS:- Limited long-term effects; conflicts and lack of integration;
inappropriate tailoring and design
CBP: Key Lessons
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CBPs can break path dependency and improve capacity, no matter the starting level of development
TYPE ONE IC:- All CBPs can improve type one IC, but variable levels of
specificity and different impacts on receiving administrations
TYPE TWO IC: - Effects will be observable in the future, BUT procedures can
activate type two IC in the short run (e.g. Toscana, Sicilia, Dolnoslaskie)
TYPE THREE IC:- Permanent and integrated institutional innovations can help
fixing type three capacity gaps
CBP and Institutional Capacity
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CBP and Institutional Capacity
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CBPs TYPE one IC TYPE two IC TYPE three IC
Staffing ++ ++ +
Training ++ + +
Networking +++
Procedures +++ ++
Institutional innovations + ++ ++
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Causal Mechanisms for effective CBPs
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Incentive Stick and Carrots: competitive funds, performance reserve, performance
management (Lubelskie, Puglia, Toscana) Focusing Events: integrated projects (Toscana)
Reputation Certification: EU and national institutions can be certificators (Polish regions, NUVAL) Creation of communities: networking in development actions (All) Creation of rules of coordination: procedures for using the budget (Aquitaine)
Coordination
Creation of rules of coordination: organizational restructuring (Lubelskie); Unified application form for EU and non-EU funds (Aquitaine)
Repeated interactions: departments exchange (Lubelskie), Inter-sectorial groups (NUVAL); TIP Office and supervisory committee (Sicilia)
Actor certification: devolution of responsibility to the region (Alsace, Aquitaine)
Defense
Control feedback: external monitoring and evaluation (Lubelskie) Sticks: deadlines and commitments (Dolnoslaskie) Blame avoidance: legitimizing support (NUVAL) Precommitment: rule of decommitment (Rhône-Alpes); standards and procedures
(Toscana); structured application and signing of partnership agreements (Sicilia)
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LOOK AT THE DIFFERENT TYPES OF IC: - financial management is important, but TYPE TWO and TYPE
THREE IC are needed for more effective cohesion policy
DIAGNOSE STRATEGIC PLANNING:- Allow for different development trajectories- Pay attention to formal implementations- Indicators may help
SELECT THE RIGHT CBP:- More specific strategies by looking at CBP effectiveness
WHY DOES IT WORK?- To increase transferability causal mechanisms may help
uncover causal chains
Next steps: Conditionalities and IC
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DEVELOPMENT OF THE PROPOSED INDICATORS- Develop consistency, replicability and comparability- Add indicators to the list, BUT watch for diversity across
countries
OPERATIONAL DATABASE OF SMART PRACTICES- Success stories of increased IC- Identifiable causal chains- Possibility to use secondary sources
Next Steps: Indicators and Smart Practices
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