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In the past decades, development cooperation (DC) led by conventional bi- and multilateral donors has been joined by a large number of small, private or public-private donors. This pluralism of actors raises questions as to whether or not these new donors are able to implement projects more or less effectively than their conventional counterparts. In contrast to their predecessors, the new donors have committed themselves to be more pragmatic, innovative and flexible in their development cooperation measures. However, they are also criticized for weakening the function of local civil society and have the reputation of being an intransparent and often controversial alternative to public services. With additional financial resources and their new approach to development, the new donors have been described in the literature as playing a controversial role in transforming development cooperation. This dissertation compares the effectiveness of initiatives by new and conventional donors with regard to the provision of public goods and services to the poor in the water and sanitation sector in India.
India is an emerging country but it is experiencing high poverty rates and poor water supply in predominantly rural areas. It lends itself for analyzing this research theme as it is currently being confronted by a large number of actors and approaches that aim to find solutions for these challenges .
In the theoretical framework of this dissertation, four governance configurations are derived from the interaction of varying actor types with regard to hierarchical and non-hierarchical steering of their interactions. These four governance configurations differ in decision-making responsibilities, accountability and delegation of tasks or direction of information flow. The assumption on actor relationships and steering is supplemented by possible alternative explanations in the empirical investigation, such as resource availability, the inheritance of structures and institutions from previous projects in a project context, gaining acceptance through beneficiaries (local legitimacy) as a door opener, and asymmetries of power in the project context.
Case study evidence from seven projects reveals that the actors' relationship is important for successful project delivery. Additionally, the results show that there is a systematic difference between conventional and new donors. Projects led by conventional donors were consistently more successful, due to an actor relationship that placed the responsibility in the hands of the recipient actors and benefited from the trust and reputation of a long-term cooperation. The trust and reputation of conventional donors always went along with a back-up from federal level and trickled down as reputation also at local level implementation. Furthermore, charismatic leaders, as well as the acquired structures and institutions of predecessor projects, also proved to be a positive influencing factor for successful project implementation.
Despite the mixed results of the seven case studies, central recommendations for action can be derived for the various actors involved in development cooperation. For example, new donors could fulfill a supplementary function with conventional donors by developing innovative project approaches through pilot studies and then implementing them as a supplement to the projects of conventional donors on the ground. In return, conventional donors would have to make room the new donors by integrating their approaches into already programs in order to promote donor harmonization. It is also important to identify and occupy niches for activities and to promote harmonization among donors on state and federal sides.
The empirical results demonstrate the need for a harmonization strategy of different donor types in order to prevent duplication, over-experimentation and the failure of development programs. A transformation to successful and sustainable development cooperation can only be achieved through more coordination processes and national self-responsibility.
In the debate on how to govern sustainable development, a central question concerns the interaction between knowledge about sustainability and policy developments. The discourse on what constitutes sustainable development conflict on some of the most basic issues, including the proper definitions, instruments and indicators of what should be ‘developed’ or ‘sustained’. Whereas earlier research on the role of (scientific) knowledge in policy adopted a rationalist-positivist view of knowledge as the basis for ‘evidence-based policy making’, recent literature on knowledge creation and transfer processes has instead pointed towards aspects of knowledge-policy ‘co-production’ (Jasanoff 2004). It is highlighted that knowledge utilisation is not just a matter of the quality of the knowledge as such, but a question of which knowledge fits with the institutional context and dominant power structures. Just as knowledge supports and justifies certain policy, policy can produce and stabilise certain knowledge. Moreover, rather than viewing knowledge-policy interaction as a linear and uni-directional model, this conceptualization is based on an assumption of the policy process as being more anarchic and unpredictable, something Cohen, March and Olsen (1972) has famously termed the ‘garbage-can model’.
The present dissertation focuses on the interplay between knowledge and policy in sustainability governance. It takes stock with the practice of ‘Management by Objectives and Results’ (MBOR: Lundqvist 2004) whereby policy actors define sustainable development goals (based on certain knowledge) and are expected to let these definitions guide policy developments as well as evaluate whether sustainability improves or not. As such a knowledge-policy instrument, Sustainability Indicators (SI:s) help both (subjectively) construct ‘social meaning’ about sustainability and (objectively) influence policy and measure its success. The different articles in this cumulative dissertation analyse the development, implementation and policy support (personal and institutional) of Sustainability Indicators as an instrument for MBOR in a variety of settings. More specifically, the articles centre on the question of how sustainability definitions and measurement tools on the one hand (knowledge) and policy instruments and political power structures on the other, are co-produced.
A first article examines the normative foundations of popular international SI:s and country rankings. Combining theoretical (constructivist) analysis with factor analysis, it analyses how the input variable structure of SI:s are related to different sustainability paradigms, producing a different output in terms of which countries (developed versus developing) are most highly ranked. Such a theoretical input-output analysis points towards a potential problem of SI:s becoming a sort of ‘circular argumentation constructs’. The article thus, highlights on a quantitative basis what others have noted qualitatively – that different definitions and interpretations of sustainability influence indicator output to the point of contradiction. The normative aspects of SI:s does thereby not merely concern the question of which indicators to use for what purposes, but also the more fundamental question of how normative and political bias are intrinsically a part of the measurement instrument as such. The study argues that, although no indicator can be expected to tell the sustainability ‘truth-out-there’, a theoretical localization of indicators – and of the input variable structure – may help facilitate interpretation of SI output and the choice of which indicators to use for what (policy or academic) purpose.
A second article examines the co-production of knowledge and policy in German sustainability governance. It focuses on the German sustainability strategy ‘Perspektiven für Deutschland’ (2002), a strategy that stands out both in an international comparison of national sustainability strategies as well as among German government policy strategies because of its relative stability over five consecutive government constellations, its rather high status and increasingly coercive nature. The study analyses what impact the sustainability strategy has had on the policy process between 2002 and 2015, in terms of defining problems and shaping policy processes. Contrasting rationalist and constructivist perspectives on the role of knowledge in policy, two factors, namely the level of (scientific and political) consensus about policy goals and the ‘contextual fit’ of problem definitions, are found to be main factors explaining how different aspects of the strategy is used. Moreover, the study argues that SI:s are part of a continuous process of ‘structuring’ in which indicator, user and context factors together help structure the sustainability challenge in such a way that it becomes more manageable for government policy.
A third article examines how 31 European countries have built supportive institutions of MBOR between 1992 and 2012. In particular during the 1990s and early 2000s much hope was put into the institutionalisation of Environmental Policy Integration (EPI) as a way to overcome sectoral thinking in sustainability policy making and integrate issues of environmental sustainability into all government policy. However, despite high political backing (FN, EU, OECD), implementation of EPI seems to differ widely among countries. The study is a quantitative longitudinal cross-country comparison of how countries’ ‘EPI architectures’ have developed over time. Moreover, it asks which ‘EPI architectures’ seem to be more effective in producing more ‘stringent’ sustainability policy.