Conceptual Governance Framework Research Articles

A self-assessment guide for readiness to govern

PurposeThis viewpoint introduces a “Readiness Self-Assessment Guide” that can be used as a diagnostic tool to help health service governors and managers, particularly in Low-Middle Income Countries, or those in the early stages of developing their governance program.Design/methodology/approachThe approach uses the conceptual framework for governance developed by Barbazza and Tello (2014).FindingsThe Guide is based on five foundational elements or components of governance that frame the actual governance activities. The self-assessment process uses a sequence of real-world examples to help users of the Guide assess their organization’s “readiness” or current capacity to strengthen quality. A simple scoring process allows users to rate their organization’s progress through potential evolutionary steps. The resulting analysis is intended to be the starting point of a structured discussion among team members about priorities, enabling factors and constraints.Practical implicationsAssessment of the institutional context is a fundamental step that will enable quality teams to select the appropriate tools for their priority concerns. This Readiness Self-Assessment Guide can be used as part of that diagnostic assessment.Originality/valueThis paper is empirically derived from the author’s experience as a consultant helping health service organizations and governing authorities to develop health governance programs in several countries.

Minimizing Cost Overrun in Rail Projects through 5D-BIM: A Conceptual Governance Framework

Integration of 5D Building Information Modeling (BIM) into large rail projects has the potential to significantly enhance cost management and control. Nevertheless, 5D-BIM implementation has encountered difficulties stemming from technical, functional, and governance-related factors. This paper builds a conceptual framework to support financial decision making, enhances project management, and promotes efficient project delivery. The framework encompasses a set of interrelated elements that include project governance, BIM policies and standards, digital platforms, BIM LOD, cost-estimation classification, and continuous improvement. The proposed framework acknowledges the significance of project governance in guiding and organizing the implementation of 5D-BIM. Additionally, BIM policies and standards ensure the adherence to quality standards for the produced BIM models. Digital platforms serve as the basis for multiple users to generate, access, share, and exchange project information. BIM LOD promotes collaboration and coordination among all project stakeholders. Cost-estimation classification aligns the estimation process with the development of project scope and financial decision making. Continuous improvement plays a vital role in optimizing processes, enhancing efficiency, and achieving higher-quality outcomes. Moreover, it fosters stakeholder satisfaction, improves project performance, and nurtures a conducive environment for innovation and learning. The study analyzes the framework utilization in Victorian rail projects and identifies key implementation challenges. The main technical hurdles encountered were the lack of current horizontal infrastructure standards for data exchange and the lack of compatibility with current cost-management standards. Increased project complexity and the absence of clear project governance strategies and processes also posed organizational challenges. A further validation of the framework in real-world rail projects was recommended to achieve the implementation goals.

Data governance: proposal for a conceptual framework for Brazilian public administration

Data Governance (DG) has become a topic of outstanding importance in modern organizations, since the amount and complexity of data generated and stored has increased exponentially in recent decades. In this context, an effective GD becomes essential to guarantee the quality, reliability and security of information. This dissertation, through a literature review and research methodologies: content analysis and document analysis, identified 55 DG mechanisms in the literature review and sought evidence of their application in a sample of Government Constitutive Acts. For the selection of the sample, a survey was carried out on the World Wide Web in January 2023, where 12 documents were selected, 5 Normative Acts establishing policies and GD committees. As main results, it was possible to identify 167 GD mechanisms in the governmental context, yet, it was found that 76% of the mechanisms contained in the literature are present in the Constitutive Acts. Based on these mechanisms, it was possible to present a conceptual framework for Government Data Governance (GDG) applied to PSB. The GDG subordinate to public governance was represented through the mechanisms of leadership, strategy and control; the interaction between the PSB and the 167 GDG mechanisms distributed in four dimensions: Governance, Quality, Management and Compliance. It is expected that the proposed framework will serve as a reference for future research on GDG and allow both the PSB and other GFD Bodies to implement the GDG mechanisms that are most appropriate to their realities.

Governance of Autonomous Agents on the Web: Challenges and Opportunities

The study of autonomous agents has a long history in the Multiagent System and the Semantic Web communities, with applications ranging from automating business processes to personal assistants. More recently, the Web of Things (WoT), which is an extension of the Internet of Things (IoT) with metadata expressed in Web standards, and its community provide further motivation for pushing the autonomous agents research agenda forward. Although representing and reasoning about norms, policies, and preferences is crucial to ensuring that autonomous agents act in a manner that satisfies stakeholder requirements, normative concepts, policies, and preferences have yet to be considered as first-class abstractions in Web-based multiagent systems. Towards this end, this article motivates the need for alignment and joint research across the Multiagent Systems, Semantic Web, and WoT communities, introduces a conceptual framework for governance of autonomous agents on the Web, and identifies several research challenges and opportunities.

Modular Interorganizational Network Governance: A Conceptual Framework for Addressing Complex Social Problems

We develop a conceptual governance framework to guide creating and managing a modular interorganizational network to address complex social problems. Drawing on theoretical foundations in modularity and interorganizational networks, we propose that modularizing complex social problems is a dialectic, emergent process that blends a convener-led network formation with a consultative problem definition and solution design. We also posit that social systems are imperfectly modular and need purposefully designed interface governance to integrate the modules. Finally, we advance how leveraging modularity may simultaneously advance the interests of participating actors and deliver societal value. Together, the propositions advance a governance framework for a modular, multi-actor adaptive system suited to tackle the scale, diversity, and dynamics of complex social problems.

Climate change governance in agroforestry systems: a systematic review

Agroforestry has the potential to fundamentally transform socio-ecological systems to address the root causes of climate vulnerability. Although there is increasing interest in agroforestry as a transformative adaptation strategy, its implementation is often discouraged by the need to involve multiple stakeholders, sectors, and governance levels with potentially different interests. We draw on a systematic review of sixty-four peer-reviewed papers on climate change governance in agroforestry systems to (1) outline the current state of the literature, (2) characterise how governance is conceptualised, (3) investigate governance challenges, and (4) provide insights into effective governance. The review finds that most relevant papers have been published in the past three years, and most of these papers are found in interdisciplinary journals. The main governance challenges include coordinating polycentricity, overcoming power imbalances, and sharing, translating, and integrating different types of knowledge. However, few empirical studies of agroforestry governance have been completed. A richer conceptual framework of governance is required to improve our ability to navigate the role of sustainable land management practices such as agroforestry in successful climate change adaptation and mitigation.

A Governance Approach to Regional Energy Transition: Meaning, Conceptualization and Practice

Energy transition requires action from different levels of government. While the national and local level have received ample scholarly attention, thus far little attention has been paid to the regional level. This is remarkable because policy makers across Europe are wondering what governance of regional transition actually is and how to shape and implement it. In the present paper, this concern is addressed. The research questions are, “What does regional governance of energy transition entail? How can it be conceptualized? And what does it mean in practice?” The questions are answered by presenting the results of a multi-disciplinary literature study, presenting a conceptual framework on governance of regional energy transition, using insights from innovation and transition studies as well as from the regional and network governance literature, and applying this to the illustrative case of the West-Brabant region in The Netherlands. West-Brabant is a relatively large region and was home to a pilot that involved the development of a regional energy strategy. Data collection involved twenty expert interviews, text documents and participative observation in workshops. Results highlight the relevance of each of the key elements of the conceptual governance framework. However, some are particularly relevant like structural characteristics of the regional actor network, actor characteristics, and regional governance arrangements used. The results reveal commonalities with regional governance in other policy domains. This paper contributes to the literature on polycentric governance of energy transition and climate change mitigation, and concludes with the presentation of a research agenda.

Modular Network Governance: A Conceptual Framework for Addressing Complex Social Problems

We develop a conceptual governance framework to guide the creation and management of a modular network to address complex social problems. Drawing on theoretical foundations in modularity and inter-organizational networks, we propose that modularization of complex social problems is a dialectic, emergent process that blends a convener-led network formation with consultative problem definition and solution design. We also posit that social systems are imperfectly modular and need purposefully designed interface governance to integrate the modules. Finally, we advance how modularity may be leveraged to simultaneously advance the interests of participating actors and deliver societal value. The propositions together advance a governance framework for a modular, multiactor adaptive system suited to tackle the scale, diversity and dynamics of complex social problems.

Factors of Risk Reduction in Agile and Lean Enabled Governance of IT Project Portfolios

The subject of this paper is project portfolio governance and its improvement based on agile and lean methods and concepts. The main objective is to propose a new conceptual governance framework which improves the management of project portfolio processes’ execution and reduces the risks of portfolio components’ implementation. The existing project portfolio models and governance processes use traditional principles, regulation, planning, and control methods, which require enhancement to ensure the portfolio management processes are followed in successful project implementation. The agile and lean project portfolio governance is a relative new domain for which the awareness and practical results related to influence on governance processes, risks, and quality are missing. The contribution is foremost methodological in introduction of agile and lean portfolio governance methods and processes, followed by the agile and lean governance framework, and conclusively in revealing the factors of risk reduction in the agile and lean enabled project portfolio governance with the emphasis on implementation risks reduction.

Revisiting conceptual framework of governance & financial factors in reverse merger performance

The performance reverse takeover firms or reverse merger firms have been studied in correlation to traditional initial public offering (IPO) performance. However, those studies have not been extensive enough to explain the contributing factors of the reverse merger performance. Some of the previous studies have compared the implication of corporate governance attributes and the implication of the financial conditions of the involving firms to the reverse merger firm performance. However, there are more areas to be assessed in the perspective of corporate governance, including the variety of ownership structure and its effect on the risk-taking behavior and reputation. This study proposes a new conceptual model on how corporate governance and financial characteristics influence the reverse merger performance, constructed from the literature review. The conception of the reverse merger characteristics and how they are associated with the firm performance is expected to support investor in their investment decision.

The Local Governance of Arrival in Leipzig: Housing of Asylum-Seeking Persons as a Contested Field

The article examines how the German city of Leipzig governs the housing of asylum seekers. Leipzig was a frontrunner in organizing the decentralized accommodation of asylum seekers when adopting its accommodation concept in 2012. This concept aimed at integrating asylum-seeking persons in the regular housing market at an early stage of arrival. However, since then, the city of Leipzig faces more and more challenges in implementing the concept. This is particularly due to the increasingly tight situation on the housing market while the number of people seeking protection increased and partly due to discriminating and xenophobic attitudes on the side of house owners and managers. Therefore, we argue that the so-called refugee crisis of 2015–2016 has to be seen in close interaction with a growing general housing shortage in Leipzig like in many other large European cities. Furthermore, we understand the municipal governing of housing as a contested field regarding its entanglement of diverse federal levels and policy scales, the diversity of stakeholders involved, and its dynamic change over the last years. We analyze this contested field set against the current context of arrival and dynamic urban growth on a local level. Based on empirical qualitative research that was conducted by us in 2016, Leipzig’s local specifics will be investigated under the umbrella of our conceptual framework of Governance of Arrival. The issues of a strained housing market and the integration of asylum seekers in it do not apply only to Leipzig, but shed light on similar developments in other European Cities.

Supply chain information governance: toward a conceptual framework

PurposeThe purpose of this paper is to propose a scalable conceptual framework for governance of supply chain (SC) information flows by re-contextualizing the organizational concept of information governance as an SC concept.Design/methodology/approachThis study leverages the strategy-structure-process-performance (SSPP) theory base to explain how effective SC information governance relates to improved internal SC performance. Via an in-depth literature review followed by conceptual theory building, the key features of organizational-level information governance are cast into a theoretical framework.FindingsThis study presents the theoretical framework that explains how SC information governance should contribute to improved internal SC performance. The proposed framework provides a theoretical basis for future research on SC information governance and would become a useful first step to extend the concept of SC information governance at the SC level.Practical implicationsSC managers should be aware that information governance mechanisms, rather than the management of basic, information flow-directed processes, to yield the best performance outcomes. Because of the numerous touch points information has in complex SCs, managing the quality of SC information through broader, higher-level governance standards is more important than maximizing connectivity and information flows, and information governance structures/policies across organizations should be designed accordingly.Originality/valueThis study theoretically links SC information governance and internal SC performance via information quality. It also advances the understanding of SC information flow by challenging the implicit but flawed assumption that uniformity of information quality within the supply chain to create the best outcomes.

The utopia of order versus chaos: A conceptual framework for governance, organizational design and governmentality in projects

Images of utopia of order and chaos can serve to depict paradoxes observed in projects by illustrating the ongoing challenges presented by formal organization and informal social structure at the interface of temporary/permanent organizing. This paper develops a conceptual framework that shows that governance, organizational design and governmentality are all essential to an understanding of projects. We seek to clarify these concepts and to consider temporalities in the organizational project management context. This implies examining temporary/permanent organizing interaction at macro-meso-micro levels and challenging the traditional categorization of the formal and the informal aspects into two different and isolated streams of research. The paper offers a theoretical contribution to project studies by creating a bridge between process theory, the sensemaking perspective and the study of organizational project management. It also contributes to practice through the framework's analytical potential and improved understanding of the relationship between governance and organizational design.

The societal governance of megaproject social responsibility

Megaprojects bear extensive and profound social responsibilities throughout the project lifecycle. The prolonged lifecycle and heterogeneous stakeholders of megaprojects have posed great challenges for the governance of the economic, social, and environmental issues involved. Hence, this study has elaborated on a conceptual governance framework to answer such crucial question: How to govern megaproject social responsibility? To be specific, the concept and characteristics of the governance of megaproject social responsibility have been proposed. Furthermore, a systematic framework of societal governance beyond corporate governance and public governance has been developed based on the “Business–Government–Society” view regarding megaproject social responsibility. We conclude that an integrative mechanism of corporations, the government, and the public is essentially required to facilitate and maintain efficient and effective societal governance, thus creating shared and sustainable value for all stakeholders throughout the megaproject lifecycle.

A Conceptual Governance Framework for Climate Change Adaptation and Disaster Risk Reduction Integration

Climate change adaptation (CCA) and disaster risk reduction (DRR) have similar targets and goals in relation to climate change and related risks. The integration of CCA in core DRR operations is crucial to provide simultaneous benefits for social systems coping with challenges posed by climate extremes and climate change. Although state actors are generally responsible for governing a public issue such as CCA and DRR integration, the reform of top-down governing modes in neoliberal societies has enlarged the range of potential actors to include non state actors from economic and social communities. These new intervening actors require in-depth investigation. To achieve this goal, the article investigates the set of actors and their bridging arrangements that create and shape governance in CCA and DRR integration. The article conducts a comprehensive literature review in order to retrieve main actors and arrangements. The article summarizes actors and arrangements into a conceptual governance framework that can be used as a backdrop for future research on the topic. However, this framework has an explorative form, which must be refined according to site- and context-specific variables, norms, or networks. Accordingly, this article promotes an initial application of the framework to different contexts. Scholars may adopt the framework as a roadmap with which to corroborate the existence of a theoretical and empirical body of knowledge on governance of CCA and DRR integration.

Governance in Public–Private Partnerships in South Africa: Some Lessons from the Gautrain

This article explores the application of principles governing public–private partnerships (PPPs) to a particular case in South Africa and suggests ways in which governance principles could be incorporated more effectively within its designated objectives. Despite an increasing recognition of the need for active research into the effectiveness of governance principles within PPPs, there remains very little research about the effectiveness of PPP governance as a developmental project. The Gautrain Rapid Rail Link is a project by the Gauteng provincial government (GPG) to provide efficient public transport options and good governance, using the build, operate and transfer type of PPP. This article draws on both a background case study of the Gautrain and the conceptual framework of governance to evaluate the extent to which effective governance has been achieved through the Gautrain. It sheds light on some governance issues and on the lessons learned that might be useful in enhancing governance in PPPs in South Africa. If the PPP mega-rail transportation system is to provide a new approach to delivering goods and services to citizens in post-apartheid South Africa, PPPs will need to be viewed as governance tools, promoting transparency, accountability, risk allocation, responsiveness, collaboration, mutual commitment, social and community obligations and proper strategic representation of costs in their planning and implementation.

Improving the Governance Context and Framework Conditions of Natural Hazard Early Warning Systems

Early Warning Systems (EWSs) are a major element of disaster reduction. They provide resilience to natural hazards, protect economic assets and development gains. Until now, most EWS have focused mainly on hazard detection and the immediate warning and evacuation processes with an effort of saving lives in the context of an extreme event. However, the incidence of global societal calamities and losses continue to grow. Risks, crises and disasters are becoming more and more intricate, complex and multi-faceted. Some of the key challenges of EWSs include lack of an end to end and people-centred approach, and major weakness in terms of governance and institutional arrangements as the cross-cutting issues of EWSs. In this context, the governance aspect and framework conditions of EWSs need to be revisited. The paper reviews and analyses various concepts and frameworks related to EWSs in order to present ideas about how to systematise characteristics and dimensions of governance for an improved conceptual governance framework for EWSs. In this regard, the framework conditions and the governance context of EWSs are outlined in order to improve EWSs. The review process shows that EWSs framework to this point has evolved from the traditional three phase linear chain typology to a more complex and integrated cyclic model framework incorporating risk knowledge and appropriate response elements. Additional aspects include participation, feedbacks from different actors and the community and the required driving incentive structures for sustainability. A number of governance related weaknesses are identified in the existing concepts and frameworks. In addition, EWS do not systematically or methodologically take into account hazard-social ecological conditions. The governance aspects and framework conditions proposed in this paper include the four core EWS elements (risk knowledge, monitoring & warning, dissemination & communication, and response). Communication should be a central element operating at all times, levels and scales of the process. Additional aspects include: (1) the social-ecological system governance perspective (2) the governance perspectives directly related with the EWS in terms of architectures, the actors and the community, and (3) the broader systems of governance (i.e. political, economic, social and technological); to emphasis the driving incentive structures required for implementing and supporting an effective and sustainable EWS.

Private Governance and the South: lessons from global forest politics

Private governance beyond the state is emerging as a prominent debate in International Relations, focusing on the activities of private non-state actors and the influences of private rules and standards. However, the conceptual framework of governance has until recently been employed predominantly with reference to the oecd world. Despite this restricted view, a growing number of processes, organisations and institutions are beginning to affect developing countries and new institutional settings open up avenues of influence for actors from the South. In the context of a lively debate about global governance and the transformation of world politics, this article asks: what influences does private governance have on developing countries, their societies and their economies? What influence do southern actors have in and through private governance arrangements? I argue that we can assess the specific impacts of private governance, as well as potential avenues of influence for actors from the South, with regard to three functional pathways: governance through regulation, governance through learning and discourse, and governance through integration. Focusing in particular on private governance in the global forest arena, I argue that, while southern actors have not benefited so much economically from private certification schemes, they have been partially empowered through cognitive and integrative processes of governance.