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Evaluation The Quality Governance - Indicators, Models and Methodologies - Tony Bovaird Elke Loffler - 2003
Evaluation The Quality Governance - Indicators, Models and Methodologies - Tony Bovaird Elke Loffler - 2003
Abstract
This article provides an overview for this special issue on the evaluation of the quality
of public governance. It charts the move in the public sector during the 1990s from
concern largely with excellence in service delivery to a concern for good governance.
It examines what we mean by governance and ‘good governance’ and the dimensions
of ‘good public governance’. It demonstrates that there is now widespread interest in
measuring not only the quality of services but also improvements in quality of life and
improvements in governance processes. It discusses how measures of good
governance are being used in different contexts around the world. Finally, it considers
how the measurement of good governance can be encouraged, e.g. through awards,
inspections, setting funding conditions and empowering stakeholders to demand better
evidence.
Introduction
This article provides an overview for this symposium issue on the evaluation of
the quality of public governance. It sets out a conceptual framework within which
international developments in the measurement of public governance can be
understood.
The article begins by charting the move in the public sector during the 1990s
from concern largely with excellence in service delivery to a concern for good
governance. It examines what we mean by governance and ‘good governance’
and the dimensions of ‘good public governance’. It demonstrates that there is now
widespread interest in measuring not only the quality of services but also
improvements in quality of life and improvements in governance processes. It dis-
cusses how measures of good governance are being used in different contexts
around the world. It considers how the measurement of good governance can be
encouraged, e.g. through awards, inspections, setting funding conditions and
empowering stakeholders to demand better evidence. Finally, the authors present
an innovative approach to the evaluation of public governance which is currently
being piloted internationally.
Tony Bovaird is Professor of Strategy and Public Services Management, Bristol Business
School, University of the West of England, Bristol, UK and Elke Löffler is Chief
Executive, Governance International, UK. CDU: 65.012.3.
International Review of Administrative Sciences [0020–8523(200309)69:3]
Copyright © 2003 IIAS. SAGE Publications (London, Thousand Oaks, CA and New
Delhi), Vol. 69 (2003), 313–328; 036081
02_IRAS69/3 articles 15/8/03 10:37 am Page 314
practitioners generally have ignored the terminology behind the concepts and
simply pushed forward with their practice.
We start from the belief that any definition of public governance has to be
context-specific and is likely, therefore, to differ between stakeholders and
between countries. However, for our purposes in this article, we will use a specific
definition of public governance which makes it particularly easy to explore
how different stakeholders can be involved appropriately in the evaluation of the
quality of public governance (Governance International, 2003). It will become
clear that other definitions of governance will entail some modifications of the
approach outlined here. Later in the article we discuss some examples of this.
We understand public governance to be
the ways in which stakeholders interact with each other in order to influence the out-
comes of public policies.
the negotiation by all the stakeholders in an issue (or area) of improved public policy
outcomes and agreed governance principles, which are both implemented and regularly
evaluated by all stakeholders.
quality of public governance is clear and that many stakeholders — and this
certainly includes the general public in most OECD countries — would like such
an evaluation to be undertaken and would like the results to be publicly available.
However, if this task is to be tackled, it will be important to get it right. In our
view, existing performance measurement approaches are entirely inadequate for
this task — it requires new conceptual frameworks, different assessment models
and methodologies and new sets of indicators.
The starting point is to explore the components of good governance. From our
definition of good governance it is clear that there are two key areas in which
measurement is required (Governance International, 2003):
• improvements in public policy outcomes; and
• implementation by all stakeholders of a set of principles and processes by
means of which appropriate public policies will be designed and put into practice.
We will consider each of these in turn.
• the level of income and conditions of working life, rather than the perform-
ance of economic development programmes;
• the level of health and social well-being experienced by citizens, rather than
the quality of health and social care given to service users;
• the level of understanding of citizens, in relation to the issues about which
they wish to know, and their level of competence in tasks which they wish to
undertake, rather than the quality of the education and training services which
they experience;
• the level of access which people enjoy to facilities they wish to experience,
rather than the quality of the roads or public transport services which they use;
• the quality of the environment which people experience rather than the
quality of environmental protection or improvement services;
• the comfort which people enjoy in their homes, rather than the quality of
house building and repair services which are provided; and
• the quality of the leisure and cultural experiences which citizens enjoy, rather
than the quality of the recreation, sports and arts services which are provided.
This does not mean that there is no longer an interest in or a need for measuring
the quality or quantity of services provided by the public sector. However, these
must be seen as purely instrumental, rather than as ends in themselves. As a con-
sequence of this change in orientation, there is now a major challenge to find ways
in which quality of life improvements such as those listed here can be assessed.
TABLE 1
Type of quality of life performance indicators (QOL PIs)
Nature of PI
General Specific
Coverage Holistic — all dimensions of qol Type 1 pis Type 2 pis
One or several dimensions of qol Type 3 pis Type 4 pis
produce international league tables such as the annual overall quality of life
survey undertaken by the consulting company Mercer (www.mercer.com/
globalcontent/employeemobility/quality.asp, as of 25 March 2003). However,
there will often be only limited information of this sort, so that it is necessary
to fall back on one of the other types of information. Type 2 qol pis can partly
supplement Type 1 qol pis but they are very heterogeneous by nature, so that it
can be difficult to aggregate them — for example, it is rarely possible to deduce
from several different Type 2 qol pis (such as desire to move to another town,
desire to find a new relationship) whether or not an individual is likely to be con-
tent with his/her overall quality of life.
The most common approach has generally been to use Type 3 or 4 qol pis.
These may provide overall or partial assessments of the quality of life but cover
only a limited number of specific perspectives. It has been particularly common to
develop qol pis from the standpoints of health, social care and the environment.
Examples include the following.
1. Objective improvements to quality of life of users and citizens:
• improvements in health status — overall PI,
• percentage of immobile elderly who have increased visits from mobile ser-
vice providers (e.g. hygiene assistants, chiropodists, library staff) — partial PI and
• percentage of citizens living within five minutes walk of a field, park or other
open space — partial PI.
2. Subjective improvements to quality of life of users and citizens:
• percentage feeling less pain than before — partial PI,
• percentage of frail elderly people who believe that their level of social inter-
action with family and friends is improving — overall PI and
• percentage believing that the quality of their overall environment is improv-
ing – overall PI.
3. Achievement of objectives/targets/standards in relation to outcomes:
• percentage of citizens with lower than World Health Organization recom-
mended levels of obesity — partial PI,
• percentage of people with disabilities who are capable of living independent-
ly (as defined in social care standards) — partial PI and
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• percentage of citizens living in areas where air pollution levels are below EU
maximum standards — partial PI.
While each of the indicators in this list needs careful interpretation (and, there-
fore, is capable of misinterpretation), they do suggest that many aspects of the
quality of life can now be more easily taken into account in decisions made in the
public domain. The challenge is no longer mainly technical, i.e. to demonstrate
that it can be done, rather it is political, i.e. to show that public stakeholders
actually care about demonstrating improvements to the quality of life, as shown
by such indicators.
the fourth phase, the strategic cycle starts again. It is planned to extend this project
to other Germany local authorities during 2003.
The Audit Commission in Britain, working with over 70 pilot local authorities,
has developed a portfolio of 38 pis which measure qol in 13 broad thematic areas
(Audit Commission, 2002). There are four pis in the economic field, four pis for
community involvement, 17 other social pis and 12 pis in the environmental field.
Of these 38 pis, 28 can be collected from existing ‘objective’ data sources but ten
pis require surveys of citizens — seven of which attempt to obtain subjective,
perceptual data and three of which are to collect objective data on behaviour.
(Such survey approaches are already common in the UK — citizens are already
surveyed every three years on how satisfied they are with their local council and
the services which it provides.) These qol pis have been produced in order to
encourage local authorities and their partners to consider qol issues in ways
which will benefit local communities. The government regards the use of these
pis as ‘recommended good practice’ in the monitoring of community strategies
but there is as yet no statutory requirement to do this.
The European Urban Audit was launched by the European Commission in
1997 ‘to enable an assessment of the state of individual EU cities and to provide
access to comparative information from other EU cities’ (http://europa.eu.int/
comm/regional_policy/urban2/urban/audit/src/intro.htm). Since then, the 58 pilot
cities have grown to a consortium of more than 200 cities in Europe. The pilot
started with a set of 33 qol pis on five themes including socioeconomic develop-
ment, civic involvement, levels of training and education, environment, culture
and recreation. These 33 qol indicators had to be refined and regrouped into 21
domains in order to allow comparable information to be collected by the pilots.
In the meantime, two large data volumes have been published which allows the
reader to see how a particular city compares with the other Urban Audit cities.
The results of the second Urban Audit will be released in early 2004 — however,
the list of variables has been changed considerably, which will make comparisons
over time difficult.
Although the qol measurement movement is still relatively young, it is possi-
ble to make a preliminary assessment:
• Even though information about qol indicators is primarily geared towards
improving the accountability of public agencies to citizens and community
groups, the way the information is presented is rarely target-group oriented.
Annual reports (which tend to become thicker and thicker every year), reporting
publicly about the qol in a local area or in a wider context, seem to be targeted
more at social scientists and enthusiastic statisticians than to average citizens
(or politicians). They rarely seem to be tailored to the needs of people or groups
interested in specific issues.
• There is little evidence so far that elected politicians make much use of qol
indicators. An initiative by the Canadian House of Commons to examine the
actual and potential impact of societal indicators and outcomes for use by parlia-
02_IRAS69/3 articles 15/8/03 10:37 am Page 322
mentarians suggested that one of the main problems is that tracking a society’s
progress is a long-term process, while parliamentarians work on comparatively
short time scales (Bennett et al., 2001).
• In the case of qol projects at the local level, the large bulk of data is still col-
lected by the local authority. Other local agencies, voluntary groups and citizens
are not much involved in the definition of indicators or data collection, which
makes it less likely that they will be interested in the qol reports which ensue.
• There is already a discernible trend to use qol indicators, where they are
available, not only for inter-area comparisons but also for inter-agency bench-
marking. There must be a major question as to whether this makes sense for qol
indicators. Given the differences between local areas and the different configura-
tions of agencies responsible for qol improvements, inter-agency comparisons on
qol indicators are likely to have relatively few benefits. Indeed, they are
likely to have significant disbenefits in driving the whole qol assessment exercise
into a game of proving ‘who is best’, with all the distortions this typically pro-
duces.
• first, criteria on ‘free and fair elections’, including the procedural aspects of
electoral process and systems but going further to assess how far the system
enshrines equality between citizens in the value of their votes and their oppor-
tunity to stand for political office;
• second, criteria assessing the degree of openness, accountability and respon-
siveness of government (at different levels);
• third, criteria assessing the degree of protection for civil and political rights
and freedoms; and
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• citizens,
• politicians representing the specific issue,
• third sector representatives, including community organizations, voluntary
organizations and charities working on the issue,
• business sector,
• the media (press, tv, radio),
• government departments and agencies (officials) and
• other levels of government with responsibilities for the issue.
Some groups fit rather uneasily into these categories — for example, trade
unions representing public sector staff would normally be classified as ‘third
sector’ but they will be viewed by many of their staff as just one more internal
interest group among the category ‘government departments and agencies’.
Again, community groups will often be closer to ‘citizens’ than to ‘third sector’.
Consequently, this classification should be regarded as indicative rather than cut-
and-dried.
In contrast to the other governance measurement projects described earlier,
the aim of the GI Governance Health Check is not only to provide a diagnosis but
to activate the involved stakeholders into taking action to contribute their share
to the improvement of identified governance weaknesses. In particular, the GI
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more likely to be seen as important by the agency, given that its own stakeholders
have delivered the judgements — and the results can be embedded into the ongo-
ing learning relationship between the agency and its stakeholders. However, it is
clearly a more complex process, likely to take more time and to be more expen-
sive, unless designed to focus on priority issues.
Clearly, the triggers listed here are not necessarily likely to produce enough
pressure to fire enthusiasm for public governance assessment, particularly in a
360° multiple stakeholder process. However, there is reason to be optimistic that
these triggers might work on occasion, particularly where powerful stakeholders
are discontented with the judgements made about performance on the narrow
front of service delivery. It is then possible that the natural process of competitive
claiming might make it attractive for other organizations, or areas such as regions
or local districts, to join in the comparisons. In this way, the enthusiasm of the
pathfinders may be able to initiate a ‘snowball’ process whereby the most
advanced organizations undertake public governance assessments in order not to
be upstaged by their ‘rivals’ for prestige. At the same time, some organizations
which are conscious of their weaknesses but determined to strive for improve-
ment are likely to join in the game, even though it will result in their appearing in
a disadvantageous position in any ‘league table’ which emerges.
However, it must remain doubtful that this process would ever extend to those
organizations or areas where the results are likely to be embarrassingly bad and
where there is little stomach for the painful process of real improvement. Here, it
is more likely that only insistence by higher levels of government would ensure
that public governance assessment was undertaken.
Conclusions
There is now widespread international interest in measuring not only the quality
of services but also improvements in quality of life, both overall and in specific
dimensions (such as health, social well-being and environment). Moreover, there
have recently been some encouraging developments in the measurement of
improvements in governance processes.
However, the definition of ‘good governance’ is still very much a contested
area, so that measures of ‘good governance’ are used in widely different ways in
different contexts around the world. While this is not a problem in itself, there
would be real benefits from some standardization of approaches, particularly
where they made it possible for comparisons to be made. It would, therefore, be
valuable if the measurement of good governance could be encouraged on a wider
front, e.g. through international awards for ‘best practice’ in ‘good governance’.
However, more headway in this area is probably still contingent upon the
development and testing of more systematic approaches to the evaluation of the
quality of public governance. Only where this has already been undertaken is it
likely to be productive to move to more ‘punitive’ mechanisms for promoting
such evaluations, such as inspectorates (at national level) or the setting of funding
conditions for aid (at the international level).
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