EGPA 2024 - PSG XIX : Collaborative Networks and Social Innovation

Collaborative Governance:

Qualitative Integration of the Latest Prior Research in the U.S. andDevelopment of a Conceptual Framework
KEYWORDS:

New Collaborative Governance Model, Overall framework, Systematic review, Collaborative Innovation

Dr. OGAWA, Yamato

Professor, Kwansei Gakuin University, Japan
Senior Coordinator, Ministry of Internal Affairs and Communications Government of Japan

EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

2EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

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1 INTRODUCTION - OBJECTIVE AND BACKGROUNDEGPA 2024 - PSG XIX

 Collaborative governance is increasingly significant inpublic policy and management, drawing global academicinterest.
 Numerous studies on collaborative governance initiatedby Barbara Gray’s 1989 work, Collaborating, have been
conducted worldwide.

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1 INTRODUCTION - OBJECTIVE AND BACKGROUNDEGPA 2024 - PSG XIX

 Collaborative research has evolved through three phases:
Table 1: Historical Development of Collaborative Governance Research

current frameworks do
not incorporate thelatest research findings

Shortcoming ofexisting studies
Source: Created by the author51 INTRODUCTION - OBJECTIVE AND BACKGROUNDEGPA 2024 - PSG XIX

The aim of this paper:
Phase 2 : Current framework(A model of Collaborative Governance (Ansell & Gash 2008))
Integrates the latest research results of the Phase 3
systematic review of 117 U.S. papers published since 2009

developing an updated overall framework(New Collaborative Governance Model)
6EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

72 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)

EGPA 2024 - PSG XIX

Source: Ansell & Gash (2008)
Figure 1: A Model of Collaborative Governance

8EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

93 SYSTEMATIC REVIEWEGPA 2024 - PSG XIX

The systematic review relies on the PRISMA (Preferred ReportingItems for Systematic Reviews and Meta-Analyses) Statement fortransparency.
Table 2: Criteria for Literature in the Systematic Review

Source: Created by the author

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3 SYSTEMATIC REVIEWEGPA 2024 - PSG XIX

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3 SYSTEMATIC REVIEWEGPA 2024 - PSG XIX

A list of general information (author, title publication journal, year ofpublication) of the 117 publications were organizedthe contents were then analyzed using NVivo software.

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3 SYSTEMATIC REVIEWEGPA 2024 - PSG XIX

Coding Keywords that could be elements of a newcollaborative governance model (creation of a coating list)

KEY STEPS

Reviewing frequently Cited Papers of Coded Keywords
Developing a huge matrix(all of codes [vertical axis] x 117 papers [horizontal axis])→ indicating which implication related to which code or subcode can be derived from which paper

Full-text, semi-structured narrative review on the related papers of each code
1) objectives; 2) research methods, subjects, and data; 3) main research results
Qualitatively integrating the main research findings by code
all the codes were connected

and integrated to develop the New Collaborative Governance Model13

EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

144 NEW COLLABORATIVE GOVERNANCE MODEL
Starting condition
Power/resources/knowledge
asymmetries

Incentives for andconstraints on participation

Participant- Size (Representativeness:inclusiveness, small size, etc.)- Composition (Diversity,similarity)- Characteristics (Innovativeassets, gender, etc.)

Network- Position (Centrality, betweenness)- Strength (Strength of cohesion,directness and indirectness)- Density (Number of ties, coalitions)- Characteristics (Formal and informal,vertical and horizontal)

Start of collaboration- Common ground- Dispersion of power resources- Institutional roles- Structural positions

Collaborativestructure

Prehistory ofcooperation/conflict

Antecedent factors- Complexity, specificity, and severity of the issue- Uncertainty of the situation- Interests of external parties (Higher-level government, core cities, citizens, etc.)- Relationships with other local governments (Competitive, friendly, etc.)- Culture, capacity, size of own organization

Collaborative process- Formal and informal mechanisms- Conflict resolution

Collaborativeinteraction

Collaborativecapacity

Trust building- Interaction attitude(Open-mindedness,responsiveness,promptness)- Sufficient time in the initial
phase of collaboration

Commitment
to process- Interdependency andautonomy- Ownership- Mutual gain (Especiallyfinancial)- Attitude of the organization(Positive or negative)- Legal authority

Learning- Mutual learning- Cognitive and relational
learning- Transformative andinstrumental learning- Knowledge management

Resources- Internal and external
connections- Social capital- Evolution of collaborative governance itself- Project outcomes (Efficient and effective implementation, problem solving(Innovation, public value)- Democratic values (Participatory democracy, democratic legitimacy)

Sharedunderstanding
Culture- Clear mission- Common agenda
setting- Identification of sharedvalues- Sensitivity to the othercultures- Communication
languageTechnology- Digital infrastructure- Digital technology
and knowledge

Deliberation- Willingness toadjust preferences

Leadership- Facilitative leadership- Eco-leadership

Joint solutions,design, decisionmaking,implementation(Intermediateoutcomes)- Fairness and transparency of rules- Scope of participants (Representativeness,citizen participation)- Set up (Digital) platforms, summits, forums

Accountability(Evaluation, externallegitimacy)- Small Wins
- Strategic plans- Joint fact-finding

Institutional design(Internal legitimacy)

Outcome

Adaptation(Sustainability)- Formal, vertical and hierarchical accountability- Informal and horizontal accountability- Clarification and sharing of responsibility androle in achieving the goals- Establishment of evaluation strategy(Including evaluation criteria)- Performance information disclosure (Online)- Monitoring- Social media- System, procedures, eligibility

External factors

Figure 3:
New Collaborative Governance Model

Source: Created by the author
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4 NEW COLLABORATIVE GOVERNANCE MODEL

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4 NEW COLLABORATIVE GOVERNANCE MODEL

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EGPA 2024 - PSG XIX

Table of Contents
1 INTRODUCTION - OBJECTIVE AND BACKGROUND
2 THEORETICAL MODELS IN PREVIOUS STUDIES- A Model for Collaborative Governance (Ansell & Gash 2008)
3 SYSTEMATIC REVIEW
4 NEW COLLABORATIVE GOVERNANCE MODEL
5 CONCLUSION

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5 CONCLUSION As a result, based on the reviewed literature, the following components were added to the Collaborative
Governance Model: 1) "Antecedent factors"; 2) "Collaborative structure” and its components (i)"Participants" (ii) "Networks" (iii) "Culture"; 3) "Collaborative capacity" and its components (i)"Learning" (ii) "Resources" (iii) "Technology”; 4) "Collaborative solution design, decision-making, andimplementation"; 5) "Explanation (Evaluation/ external legitimacy)"; 6) "External factors"; and 7)"Adaptation (Sustainability)." Sub-components for each main component were also significantly added.
 The significance of these additions lies in addressing upstream issues, such as structuring collaborationand cultivating capacity, while the earlier Collaborative Governance Model focused mainly on trustbuilding among collaborative actors. This paper highlights the importance of participants’ characteristics,
network structure, required capacities and resources, and the use of new technologies in collaborative
governance, marking a key achievement.
 Additionally, the New Collaborative Governance Model incorporates downstream issues, identifying
outcomes such as the evolution of the collaborative governance regime, collaborative innovation, public
value, and democratic value. It also addresses the external accountability and legitimacy requirements andthe need for sustainable adaptation and development of the regime. These areas have been underexploredin previous models, representing another significant contribution of this work.

5 CONCLUSION

 Collaboration is a complex concept and a crucial tool for policy innovation. While there are manydifferent ways to cut through innovation, such as technology (e.g., digital in the current context) andeducation, collaborative innovation is an aspect of innovation that sublimates diverse human connections
and the ideas generated from them. It can be assumed that the importance of innovation will increase in
the future, and that one means of innovation, collaborative innovation, will become even more significant.
This paper contributes to the development of collaborative governance research and practice, identifying
factors that determine the success or failure of collaborative innovation.
 There are limitations in this paper. Opinions may vary on the comprehensiveness and validity of theelements and sub-elements, their categorization and relationships, and their overall optimality.
Additionally, the varying local government systems in the USA and their relationship to the theoreticalframework may be questioned. Future research should elaborate on and deepen these perspectives.
* This research paper has been published in Japanese as part of my book (Ogawa 2024) since March 31,2024. There are no plans to publish it in any other language except as a paper for European Group for Public
Administration.
* This paper is edited by Editage for English language proofreading.

REFERENCES
Ansell, Chris. and Gash, Alison (2008). “Collaborative Governance in Theory and Practice.” Journal of Public
Administration Research and Theory Vol. 18(4): 543-571.
Gray, Barbara (1989). Collaborating: Finding common ground for multi-party problems. San Francisco, CA: JosseyBass.
Ogawa, Yamato (2024). “Collaborative Governance in the U.S.: Qualitative Integration of the Latest Prior Researchesand Development of the Conceptual Framework,” Kwansei Gakuin University Press.

SYSTEMATIC LITERATURE REVIEW
See full paper

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