T18P01 - Public Sector Innovation: Organizational and Institutional Trends in the Post-New Public Management Era

Topic : Others

Panel Chair : Pedro Cavalcante - cavalcante.pedro@gmail.com

Panel Second Chair : Bruno Queiroz Cunha - bruno.cunha@pped.ie.ufrj.br

Panel Third Chair : Antonio Isidro - antonio.isidro.filho@gmail.com

Objectives and Scientific Relevance of the panel

Call for papers

Session 1 Innovation and Public Administration Trends

Discussants

Michelle Morais de Sa e Silva - michelle.morais@enap.gov.br - ENAP - Brazil's National School of Public Administration - Brazil

Antonio Isidro - antonio.isidro.filho@gmail.com - University of Brasilia - Brazil

Trends in Public Administration post-NPM Era: innovations in the Brazilian federal government

Pedro Cavalcante - cavalcante.pedro@gmail.com - University of Columbia - United States

              In the last decades, economic, social and political-administrative transformations have generated a variety of restructuring process and, consequently, important results in the Brazilian public administration. The country has experienced several advances regarding the socioeconomic indicators, as well as the quality of public services provided by the State. Notwithstanding the improvements in the economic sphere, especially the monetary stability initiated with the Real Plan (1994) and recently the middle class growth (after 2004), the exclusive economic explanation is insufficient to interpret the Brazilian development in the last twenty years, particularly, because the GDP average growth  was low in comparison to international patterns.

              An alternative explanation may come from the efforts of the Brazilian government in building innovative capacity to formulate and implement effective public policies, despite the recurrent structural limitations, such as fluctuations in revenues, e.g. In this context, this paper’s argument is that innovations within the federal government in Brazil have followed the values and trends of international public management, specially post NPM Era, which has caused improvements in access and quality of public services and, subsequently, has impacted on better socioeconomic indicators.

              Based on the internationally widespread propositions of the New Public Management (NPM), in 1995, the federal government initiated a reformist project focused on rearranging the State’s intervention scope and the overrun of the bureaucratic model, allegedly inefficient. The project, called PDRAE (Directive Plan for the Reform of the State Apparatus) proposed, among others, reducing State activities, thru privatizing and publicizing some sectors, the operation of the government strategic core with regulatory role and guided by the managerial model. Therefore, instead of the inflexibility and inefficiency that were a mark of the administrative machinery, the public service would turn to a result based management organization, similar to the private sector. After partially approved the 1995 reform, the new government that took over in 2003 did not present a distinctive proposal of administrative reform, however, many changes implemented before were kept and others were introduced.

              Therefore, the paper aims to investigate the innovative capacity of the Brazilian government by focus on the convergence/divergence of the Brazilian innovation with the values and trends of international public administration. The goal is not to prove the causal relationship between innovations in the public sector and development, which in fact is an assumption of this research on management capacity in Brazil.

              To do so, a literature review is undertaken in order to identify the values and trends of the post New Public Management (NPM) movement. After that, the paper begins a systematic analysis of the advances in management from all initiatives registered in the Federal Award of Public Management Innovation (FAPMI), from 1996 to 2015. The number of applications is around 2,000 and because of that, the paper uses qualitative software to analyze in which extent the innovations in the Brazilian government have followed the same values and trends identified in the developed countries.

Finding the Holes, Filling the Gaps: A Bibliometric Analysis of Expert Expectations on Public Administration Trends and Key Concepts in the Literature

Curry Dion - D.S.D.Curry@swansea.ac.uk - Swansea University - United Kingdom

Academic expertise on public administration and public policy and the literature in these fields do not always connect. Many contested concepts exist in public administration, where academics and researchers do not have a clear consensus of the importance, scope or reach of the ideas within the literature. This in turn affects perceptions of trends in both the discipline and practice of public administration and subsequent public sector innovation. In addition, it is unclear where this academic debate can be placed in regard to practical discussions of public administration and public administration reform. This paper will explore the following research question: how have key public administration concepts developed in the social sciences literature over time? What are the academic and practical implications of the robustness of these concepts?

 

This paper aims to examine key trends as perceived by public administration academics by analysing and assessing the full corpus of literature on these concepts. This research draws on a survey of all European public administration academics, who were asked what they saw as the key trends in the discipline, which would become more important with time, and which would diminish in importance. These results were used to compile a list of key concepts in public administration. The main focus of the paper will be on examining the bibliometric breadth and depth of these key concepts in order to develop a conceptual map of public administration and how this differs across disciplines and sub-disciplines. Methodologically, the research will use bibliometric analysis to examine these concepts across the social sciences. This will provide a bibliometric database of approximately 15,000 articles (using Web of Science) and 650,000 cited references. These can be used to analyse key research and sources used in conceptualising key ideas in public administration, how these concepts travel across disciplines and how research clusters develop over time.

 

By identifying key articles, more fine-grained qualitative and quantitative analyses of the meaning of these key concepts can also be developed and theorised based on the breadth of the concepts through the discipline and the depth of the concepts in terms of cited references. The paper is highly relevant to understanding academic and practical applications of key concepts in public administration. First, it will provide insight into how public sector reform trends develop, grow and spread academically and across disciplines in both normative and analytical ways. This allows for an assessment of the robustness of these concepts, with bibliometrics providing a quantitative approach to understanding the breadth and depth of the public administration literature. Second, it will provide insight into new areas and disciplines into which these public administration concepts are moving and how they can be theorised, thus highlighting where innovative approaches to conceptualisation may be found and how academic work can be linked to practical applications of public administration concepts. This delivers a clear, systematic and quantitative way of assessing the literature and identifying gaps between public administration knowledge and expertise and the relevant literature on key trends in public administration.

The Political Dynamics of Innovation in Anti-Corruption Policies: The “Invention” of the Central Anti-Corruption Policy-Making Agency in Brazil

Temistocles Murilo Oliveira Junior - temuju@gmail.com - Federal University of Rio de Janeiro - Brazil

This study analyzes how the political dynamics have forged institutional changes that represent innovations in the anti-corruption policy in Brazil. These dynamics represent polarizations and coalitions for legitimacy and power that involved the key actors that have influenced and participated in processes related to this policy. The premise is that innovation in public service is inherently affected by politics, even if it aims at protecting the public service from politics.

The focus is on the “invention” of the first central anti-corruption policy-making agency in Brazil, which was the Office of the Comptroller-General (CGU). This Office, which was one of the others within the structure of the Presidency of the Republic of Brazil (PRB), was the anti-corruption agency (ACA) of the Federal Executive Branch and the body aimed at implementing the OECD, OAS, and UN conventions.

In Brazil, the corruption scandals of the 1990s led the PRB to create two accountability bureaucracies, one to promote the administrative oversight (the SFC, in 1994) and other the administrative investigations and sanctions (the CRG, in 2001). In 2002, the PRB created the CGU from a “bricolage” process that merged the SFC, the CRG and an ombudsman’s office, the OGU. In 2006, the prerogatives of the CGU were extended including the promotion of transparency and social oversight.

The creation and extend of the CGU were formally justified based on the need to follow the international guidelines on the establishing of ACAs aimed at promoting and improving comprehensive anti-corruption programs. Two issues are relevant: a) the corruption-fighting in Brazil has a great impact on the political game and public policies; the CGU allowed the PRB to gain the leadership in policy-making and implementation of this policy.

How have the processes related to the CGU creation and extend taken place? What are the mechanisms that have driven them? How have the key actors acted? This study explores these questions draws on works on public policies, international relations and historical and organizational institutionalism.

This study assumes a power-distributional perspective that considers the dialectic relationship between structure and agency. It presumes that the “invention” of the CGU has resulted from processes largely driven by isomorphic mechanisms, led by actors that have competed and cooperated for power and legitimacy. The methodology is based on process-tracing combined with documentary and bibliographic techniques.

The partial results of this study suggest that the creations of the SFC and the CRG were based on previous structures and primarily guided to preserve the legitimacy of the PRB. The merger that resulted in the CGU creation was based on the adaptation of previous bodies to the guidelines of the WB, the OAS, and the UN and occurred when the PRB was seeking for international support to the Brazilian fiscal reform. There are indications that the extension of the prerogatives of the CGU in 2006 was focused on leading the corruption-fighting in Brazil and maximizing the positive feedbacks of the results of such fight to its legitimacy.

 

The Effects of Organizational Structure on Innovativeness, Pro-activeness, and Risk-taking in the Korean Public Sector

Hyun Gyu Oh - hyungyu516@naver.com - Korea, (South) Republic of

In regards to the rate of adjusting and responding to changes in the rapidly transforming environment, the public sector noticeably lags behind the private sector; in consideration of this fact, organizational innovation is an issue that must be further emphasized and dealt with in public organizations rather than private organizations. Even within the process of the Korean government’s diverse policy enforcement, there has been continuous criticism that organizations and respective members have rampantly displayed attitudes of ‘peace-at-any-price,’ rather than trying to express innovativeness and creativity through innovation and change. Public sector innovation extends beyond the simple issue of efficiency and is directly linked to the benefit of citizens and national quality of life, which is why it serves as a driving force behind the creation of efficient public services. Based on the unique social and cultural qualities long inherent in Korea’s public sector, the government has lead various structural changes in organizations. What sorts of contributions might these efforts for change have brought to the enhancement of public sector innovation? Based on a similar research question, this study examined the effects of organizational structure on innovativeness, pro-activeness, and risk-taking in the Korean public sector. Furthermore, it examined in detail how the effects differ according to organization type. Based on empirical analysis results, this study aimed to propose beneficial implications for future public sector innovation studies and to extract policy-related suggestions on the basis of the uniqueness of Korean society and culture.

 

Use of Design Thinking in the Brazilian public administration: innovation initiative in personnel management at National Civil Aviation Agency - ANAC

Rodrigo Narcizo - rodrigo.narcizo@anac.gov.br - Agência Nacional de Aviação Civil - ANAC - Brazil

Fabio Martins - fperes001@gmail.com - Brazilian National Civil Aviation Agency - ANAC - Brazil

Marilia Fernandes - nf.marilia@gmail.com - National Civil Aviation Agency - Brazil

Nathalia Lima - nathaliauchoa@hotmail.com - Brazil

The purpose of this paper is to analyze the Project for Innovation in Personnel Management conducted by the National Civil Aviation Agency (ANAC), regulatory agency and Brazilian civil aviation authority. Two interesting aspects of this project are the use of the Design Thinking approach to promote innovation and the project focus on producing innovation to address a problem within the organization, rather than produce innovation targeted aimed for society

 

The choice for a internal customer service has a double objective: to improve the services provided by the personnel management area and to be an instrument to promote and foster the culture of innovation within ANAC. There is an organizational context where innovation is one of the institutional values, but the Agency's workers themselves do not perceive this value in the practices of the organization. In addition, the area of ​​personnel management is perceived with an extremely bureaucratic sector and averse to innovation. In this sense, a project of innovation in people management also has the aspect of confronting these perceptions.

 

The methodology of this paper consists of the analysis of the documents produced during the project, from the initial planning to the process of choosing the idea resultant of a ideation workshop. The debate is supported by the use of bibliography related to innovation management, public sector innovation and design thinking in order to evaluate the choices made in the project, its successes, failures and difficulties and also to observe if there is any effective impact on the innovation culture within ANAC. In addition, this case study also serves as a support for studies on innovation directed to human resource management in the public sector, which has characteristics and challenges distinct from the private sector.

 

As an initiative of institutional experimentalism in the area of ​​innovation and taking into consideration that design thinking has been used for innovation in the public sector this paper fits in the panel "Public Sector Innovation: Organizational and Institutional Trends in the Post-New Public Management Era".

 

Session 2 Innovation, Technology and Open Innovation

Discussants

Pedro Cavalcante - cavalcante.pedro@gmail.com - University of Columbia - United States

Bruno Queiroz Cunha - bruno.cunha@pped.ie.ufrj.br - Federal University of Rio de Janeiro - Brazil

Bridging the Digital Divide through E-governance in Agriculture

Gerald Glenn Panganiban - gerald_glenn97@hotmail.com - Korea University - Philippines

     E-government is the use of information and communication technologies (ICT) and the Internet as a tool to help achieve better government through efficiency and effectiveness in operations, development of accessible services, and reinforcement of citizen engagement and participation. However, “digital divide” problems of physical access, adaptation, coherence and impacts particularly in public ICT initiatives hamper this initiative. These are magnified especially in rural and agricultural areas where penetration of e-government services seems to be deficient. Studies have highlighted these limitations but much is to be explored about how governments effectively implement e-government despite the challenges especially in developing countries.  

     This study focuses on the Department of Agriculture, an agency responsible for the promotion of agricultural development by providing policy framework, investment and support services for domestic and export-oriented enterprises. It seems unlikely, but e-government is one instrument used by the DA to achieve efficiency, broaden accessibility, enhancing transparency, accountability and corruption control. Therefore, this paper aims to answer the main question: What are the conditions in which allowed the DA to achieve its objectives through e-government despite problems associated with the digital divide? It also aims to answer specific questions: Has e-government achieved the purposes of efficiency and effectiveness in organization; a broader, responsive and more convenient access to services or has it aided in mobilizing institutional and external environmental resources and opportunities to respond to dynamic needs and expectations of stakeholders? This paper aims to relate practice with theory by identifying critical factors characteristic of public management paradigms such as NPM and collaborative governance. Implications, policy recommendations and further study are also incorporated.

     This paper employs in-depth content analysis of DA and its affiliated agencies’ websites and e-government services to assess its development and effectiveness. It uses structured interviews for information officers of DA bureaus and agencies to gather firsthand information on the prerequisites for successful implementation and challenges in executing e-government. It also aims to uncover unintended results and other contentious issues in carrying out e-government.

     DA e-government is still at the level enhanced information dissemination stage but falls short of the transactional stage which is a fully functional level of e-government. However, despite digital divide limits, e-government seems to complement the agencies’ existing DA programs through online capability to monitor current market prices, process permits, monitor weather and pest advisories and learn new farming techniques. A remarkable finding is that e-government has largely involved the use of social media platforms as supplement to existing services. These evidences primarily show that government, regardless of sector and public management style, seems to adapt well to developments in ICT. The next step would be for government to institutionalize existing mechanisms to gain legitimacy, further improve access by citizens, and realize its full benefits.

Towards Digital-era Governance: the Case of the Australian Public Service

Mark Evans - mark.evans@canberra.edu.au - Institute for Governance and Policy Analysis, University of Canberra - Australia

The Australian Public Service (APS) is currently undergoing a historic shift from New Public Management (NPM) towards the establishment of Digital Era Governance (DEG) and current fiscal consolidation measures are likely to further precipitate change. This constitutes more than an increased uptake in IT solutions – it challenges the established ways in which policy is made and public services are delivered, monitored and evaluated. Most significantly, it questions dominant public sector cultures and values. We live in a digital era, where rapid and disruptive change in societal behaviour and industrial and economic patterns have become the norm and government is finally waking up to the realities of the new economy. But how prepared is the APS for an era of disruptive digital innovation? This paper draws on a comprehensive survey of digital thought leaders to evaluate the opportunities for innovative governance in a digital world focusing on Australia as a case study. It explores five key questions. (1) What is the value proposition for digital era governance? (2) What is driving digital innovation? (3) What are the barriers to digital innovation? (4) Where is government acting as an exemplar? And, (5) what are the characteristics of high performing digital governance? It argues that digital innovation is transforming agencies with significant service delivery and data analytic functions in a radical way. Other smaller, non-technical agencies have hardly been affected. The principle influences on the response of different agencies to digital change is determined by a combination of its function, decision-making culture, digital capability, degree of politicisation (i.e. relevance to the core government agenda) and, political-bureaucratic strategic alignment. Innovation requires disruptive change (Bovens 2005 and Dunleavy and Margetts 2012) and in this case the coupling of digital capability and political-bureaucratic strategic alignment is providing it. Indeed, there is sufficient evidence to suggest that the essential dynamic of innovation is such a powerful centrifugal force that even the laggards will be unable to resist.

 

Innovation and accountability in health care provision? The ambiguous role of Community Interest Companies in the National Health Service in England.

Shields Jolanta - jolanta.shields@postgrad.manchester.ac.uk - The University of Manchester - United Kingdom

This paper examines the role of a relatively new provider of health care in the National Health Service in England: the Community Interest Company (CIC). CICs are hybrid forms of private company and social enterprise that have taken responsibility for the delivery of some primary health care (and in a few cases social care) in England since 2011. For policy makers these organisations appear to successfully blend commercial interests with social values, and are therefore considered to be a better alternative to the simple binary option of either public or private provision of health care services.  The paper evaluates the role of CICs in the NHS in England by focusing on their capacity to generate forms of service innovation and improve local accountability. It argues that the scarce existing research far too often articulates CICs as an idealized and spontaneous policy innovation that is decontextualised from wider political processes. The paper adopts the concept of delegated governance to explore the paradigmatic shift in the role of the welfare state that increasingly seeks to provide universal social goods at a distance. It argues that forms of delegated governance have played a decisive role in creating social welfare markets and establishing the new ‘rules of the game’ for the provision of health care. Seen in this light, the so-called innovation and accountability of CICs can be interpreted as politically expedient in opening up the space for potential health care reforms. The paper claims, in contrast to the existing policy discourse, that the types of innovation and accountability that are generated by CICs continues to be shaped by the existing market orientated forms of commissioning for health care. The paper illustrates this by analysing data gathered from policy documents and interviews with health care stakeholders in CICs. In this respect, the paper teases out a number of insights related to the innovation and accountability aspects of the CIC structure by highlighting the role of institutionally, politically and historically determined conditions.

Startup Promotion as an Experiment in Public Sector Innovation

ricardo paixão - rfpaixao@gmail.com - Universidade de Brasília - Brazil

Modern discussions on the role of law as a "technology" (Comparato, 1965) were renewed by Diogo Coutinho to think about the law as a "tool" to shape legitimate and effective arrangements in public policies  (Coutinho, 2014, p. 15). In order to test this idea this paper will explore, from a normative point of view, a public policy of startup promotion developed by the state of Santa Catarina in Brazil. The policy in question, Sinapse da Inovação (Fundação Certi, 2014), in operation since 2008, delivers results far above the average for similar programs. According to preliminary results, the policymakers consider the creation of a local startup ecosystem to be the policy's most valuable result and this ecosystem can be considered a common resource. 

 

The rich normative repertoire of the Institutional Analysis and Development Framework (Ostrom, 2011 M D McGinnis, 2011 Michael D McGinnis) makes it a potentially valuable tool to support the analysis and brings the additional chalenge to adapt the framework to a non natural resource setting. 

 

During the 20th century a significant part of innovation in industry occurred on medium to large companies. However, the popularization of the Internet and mobile technologies accelerated the creation and adoption of new technologies. Development cycles shrunk from 5 to 10 years to 1 to 2 and, in specific cases, only a few months. Startups enable a more agile framework for design and development of new ideas. A startup is a temporary organization in search of a scalable business model, repetitive and profitable (Kon, Melo, Cukier, Yuklea, & Oritt, 2015). For these reasons policy makers have been increasingly interested in the promotion of startups (Rammer & Müller, 2012). In Brazil there are programs at the federal level (Startup Brazil, Innovativa Brasil), state (Seed MG, Sinapse da Inovação) and even at the city level (Startup Rio). Thus, from a policy standpoint, it is very relevant to develop a legal technology to support the various programs being implemented.

 

Bibliography

 

Comparato, F. K. (1965). O Indispensável Direito Econômico. Revista dos Tribunais, 353.

Coutinho, D. R. (2014). Democracia e Desenvolvimento Econômico: Abordagem Institucional. Full Professorship Thesis, Universidade de São Paulo. 

Fundação Certi (2014). Sinapse da Inovação: A Estratégia de Santa Catarina para Gerar Empreendimentos Inovadores. 

Kon, F. Melo, C., Cukier, D., Yuklea, H., & Oritt, H. (2015). The Panorama of the Israeli Software Startup Ecosystem. IME Working Paper.

McGinnis, M. D. (2011). An introduction to IAD and the language of the workshop Ostrom: a simple guide to a complex framework. Policy Studies Journal, 39 (1).

McGinnis, M. D. (2015). Updated Guide to IAD and the Language of the Ostrom Workshop: A Simplified Overview of the Complex Framework for the Analysis of Institutions and Their Development, 1-36.

Ostrom, E. (2011). Background on the Institutional Analysis and. Policy Studies Journal, 39 (1): 7-27. 

Rammer, C., & Müller, B. (2012). Start-Up Promotion Instruments in OECD Countries and Their Application to Developing Countries. 

Ushering Solar Energy development? Innovation and public policy barriers in Brazil and China

Alena Profit Pachioni - alena.profit@gmail.com - Germany

Alina Gilmanova Cavalcante - alina_gilmanova@yahoo.com - Unicamp - Brazil

Since innovation policy ultimately rests on the activities and initiatives of the private sector, public policy innovation is usually slower in the regulation of these issues. The national energy sector, which before has been considered as a major domain of the nation-state, is becoming more and globalized, driven mainly by the private sector. In Brazil, the solar energy sector emerged after the cost of solar cells declined and the government established a net-mettering regulation. In China, solar energy grew mainly due to the foreign market demand triggered by the incentives towards renewable energy development in Western countries. Despite China's success in developing the solar energy sector much more rapidly than Brazil, in both countries public policy barriers exist. By looking into the different institutional settings of the state–business relations in both emerging countries, we seek to understand how public policy innovation impacts solar energy development in Brazil and China. With this we point out the key role innovation plays in the transitioning of the energy sector, ushering possibilities for changes in structures and regulations, products, technology and systems.

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