Mémoire numérisé par la Division de la gestion de documents et des archives de l'Université de Montréal.

<p>One of the problems challenging the knowledge society is to understand the chang-ing prerequisites for publicly governed knowledge production. Several attempts have been made amongst which perhaps the most debated is the concept of changing mo-des of knowledge production proposed by Gibbons et al. The aim of this thesis is to empirically explore whether this concept can be used to identify and explain research policy developments during the period 1980–2000. A two-layered comparative study was undertaken, in which Swedish research poli-cy developments were studied in depth. The main result from the in-depth study was that there is insufficient evidence to fully support Gibbons et al.’s claims. In analysing this result from a comparative perspective the main conclusion was that neither the changing modes of knowledge production nor the two-track concept that was deri-ved from the in-depth study could explain the developments in research policy. The research policy developments in Sweden, the United Kingdom, the Netherlands and Finland were re-examined from an institutional perspective, in which the major ide-as that had influenced the policy process during the period 1980–2000 were used to identify and explain developments in these countries. The main conclusion of this thesis is that all the countries studied are using the public research system as a source of strategic opportunity. However, the analysis also shows that both embedded ideas of how public knowledge should be produced, and the nature of the policy process contribute to explaining the different strategies employed the governments of these countries to make publicly funded research a tool for economic and societal development.</p>

One of the problems challenging the knowledge society is to understand the chang-ing prerequisites for publicly governed knowledge production. Several attempts have been made amongst which perhaps the most debated is the concept of changing mo-des of knowledge production proposed by Gibbons et al. The aim of this thesis is to empirically explore whether this concept can be used to identify and explain research policy developments during the period 1980–2000. A two-layered comparative study was undertaken, in which Swedish research poli-cy developments were studied in depth. The main result from the in-depth study was that there is insufficient evidence to fully support Gibbons et al.’s claims. In analysing this result from a comparative perspective the main conclusion was that neither the changing modes of knowledge production nor the two-track concept that was deri-ved from the in-depth study could explain the developments in research policy. The research policy developments in Sweden, the United Kingdom, the Netherlands and Finland were re-examined from an institutional perspective, in which the major ide-as that had influenced the policy process during the period 1980–2000 were used to identify and explain developments in these countries. The main conclusion of this thesis is that all the countries studied are using the public research system as a source of strategic opportunity. However, the analysis also shows that both embedded ideas of how public knowledge should be produced, and the nature of the policy process contribute to explaining the different strategies employed the governments of these countries to make publicly funded research a tool for economic and societal development.

How are new scientific concepts of illnesses and disorder formed? The last fifty years have seen a dramatic increase in new diagnoses incorporated into medical manuals. The concept of the male menopause, or the andropause diagnosis, is suitable for studying how medical knowledge is produced, since it has alternated between being and not being part of the acknowledged medical knowledge since the beginning of the 19th century, when it was originally launched. After being rather unnoticed during the 20th century, the concept of the male menopause had a renaissance in the 1990s’. The andropause then became a specific research area, articles about the male menopause were widely published in medical journals, specific therapies were developed, and andropause clinics opened around the world. The thesis explores what combination of circumstances lay behind the establishment of the andropause as a scientific object in the 1990s’. The purpose was to find out what the institutionalization of the (concept of the) andropause shows about the production of science, specifically  medical knowledge. Methodologically, the study can be described as an analysis of ideas, where the ideas contained in the concept of a male menopause are in focus. Accordingly, the research materials were scientific literature, media, and other documents where the idea of a male menopause was expressed. The analysis was structured in four divisions. First, the andropause theory was studied to find any obvious scientific explanations, such as new knowledge or discoveries. “Pure science” could not explain the breakthrough of the andropause diagnosis, since the andropause theory is laden with uncertainties according to the scientific principles of evaluation that the medical science itself supports. Second, the social organization of the medical knowledge production was inquired with focus on the medical profession, and the andropause theory was found to offer new professional arenas. Third, factors outside profession and science were found, the extra scientific dimensions, primarily cultural conditions and social structures. The emergence of feminist theory was found to change the perception of men in the culture, where the male norm no longer is self-evident. Fourth, in the social structure, pharmaceutical companies were found to engage strongly in the andropause concept. Together these factors constituted the andopause as a scientific object. The thesis demonstrates: the advantage of a multi perspective analysis: the complexity of the development of concepts of disease: the weakness of the epistemology of evidence-based medicine: and the social and cultural foundation of science.

Die vorliegende Arbeit beschäftigt sich mit einer klassischen aber noch immer zentralen und aktuellen Frage der Evaluationsforschung, der Hinterfragung der Verwendung bzw. Wirksamkeit von Evaluationsverfahren. Vor dem Hintergrund der seit Ende der 1990er Jahre vor allem in Europa starken Zunahme von institutionalisierten Politik-Evaluationsverfahren sowie der zugleich zunehmenden Kritik dieser Verfahren in Wissenschaft und Praxis, untersucht die Arbeit diese Wirksamkeit am Fallbeispiel der Forschungspolitik der Europäischen Union. Aufbauend auf einer Aufarbeitung des Forschungsstandes zur Evaluationsverwendungsforschung und einer Vorstellung des gewählten Politikfeldes sowie der spezifischen Evaluationspraxis, erfolgt dazu eine systematische Gegenüberstellung der zentralen Evaluationsempfehlungen und der Entwicklung im Politikfeld über die vergangenen 15 Jahre. Im Ergebnis kommt die Arbeit zu der Feststellung eines (überraschend) hohen Ausmaßes an Entsprechung der Evaluationsempfehlungen mit der Politikentwicklung im untersuchten Fallbeispiel. Auf der Basis der Untersuchung des Fallbeispiels aber auch unter Heranziehung weiterer empirischer Beiträge in der Literatur ist damit der Behauptung der fehlenden Wirksamkeit der institutionalisierten Evaluation auf die Politikgestaltung klar zu widersprechen. Eine weitergehende Diskussion des Ergebnisses der Fallstudie legt darüber hinaus nahe, dass einige spezifische Faktoren und Bedingungen die Wirksamkeit der Evaluationsverfahren im untersuchten Fallbeispiel positiv zu beeinflussen scheinen. Im Einzelnen sind dies: der Charakter und die Ausprägung der Evaluationsempfehlungen, das spezifische institutionelle Umfeld der Evaluation sowie das spezifische 'politische Klima'. Aus dem Ergebnis lässt sich andererseits aber auch folgern, dass insbesondere im Hinblick auf die Akzeptanzproblematik eine Verstärkung der Bemühungen zur Wahrnehmung der Evaluations-wirksamkeit auf Seiten aller Beteiligten geboten scheint. Die Arbeit stellt hierzu abschließend einige Vorschläge und Ideen zusammen, die diese Wahrnehmung verbessern können. / The present paper discusses a classic but still essential and prevailing problem in evaluation research, the analysis of the utilization and effects of evaluation results. Given the notable increase of institutionally conducted policy-evaluations as of the late 1990's in especially in Europe accompanied by an equally notable increase of criticism from both academics and practitioners towards the utilization of evaluation, the paper examines the actual utilization of evaluation based on the example of the European Union research policy. Following an extensive literature review on evaluation utilization research and a presentation of the selected policy field including the specific evaluation context and arrangements, the paper conducts a detailed and systematic comparison of the key evaluation recommendations and the successive development in the policy field during the past 15 years. The comparison and subsequently the paper demonstrate a (surprisingly) high degree of correlation between the evaluation recommendations and the policy development in the chosen example. Based on these results together with further empirical evidence identified in evaluation research literature, the criticism towards the general non-utilization of evaluation results is clearly to be opposed. In addition, a further discussion and analysis of the results of the case study suggests that certain factors and conditions have contributed positively to the evaluation utilization in the chosen example. In particular these are: the characteristics of the evaluation recommendations, the specific institutional context of the evaluation and the specific 'political climate' in research policy. Finally, based on the result of the study, the paper also invites to reflect on the appropriateness and further development of means to enhance the visibility and recognition of the (actual) evaluation utilization by all parties concerned. In its final section the paper therefore proposes a number of means qualified to contribute to this recognition.

Mémoire numérisé par la Division de la gestion de documents et des archives de l'Université de Montréal

Den polska forskningspolitiken har efter statssocialismens fall 1989 stått inför omfattande förändringar. Transformationen från den sovjetiska modellen för forskningspolitiskt styre, till formuleringen och implementeringen av en ny forskningspolitisk modell, innebar att KBN (Komitet Badan Naukowych, ”Forskningskommittén”) blev huvudansvarig för utformningen av den nya forskningspolitiken och organiseringen av forskningssystemet. Kommittén skulle fungera som en mer eller mindre autonom instans i förhållande till den polska regeringen, och hade inte bara hand om ansökningsprocesser om forskningsanslag, utan även forskningspolitiken på makronivå för att försäkra vetenskapens ”frihet” i förhållande till den politiska styrningen. Politikens relation till den vetenskapliga kunskapsproduktionen gick därmed på kort tid från att vila på ideal och värden som handlade om hur vetenskapen i första hand skulle bidra till samhällsnyttan, till ideal som snarare erkände dess egenvärde, allt formulerat och utarbetat i just det forskningspolitiska sammanhanget. Detta ideal hade dessutom stark förankring i den politiska historien, och de strukturer och kultur den ”gamla” forskningssystemen, forskningspolitiken och intelligentian i Polen präglades av. Snart började dock omfattande reformer av den polska forskningspolitiken ta form. Det tidiga nittiotalets sönderfallande ekonomi, där behovet av mobilisering av offentliga resurser för uppbyggnaden av marknadsekonomin upplevdes som angeläget, och efter det, förberedelserna inför EU-inträdet 2004, bidrog till omfattande omförhandlingar och omtolkningar av den anti-politiskt orienterade forskningspolitiska modellen med akademisk självorganisering som grundval. Dessa omfattande omförhandlingar och omtolkningar är också utgångspunkten för den här studien. Fokus i analysen ligger på hur förändringsdynamiken tog sig uttryck i omtolkningarna och omförhandlingarna av idéer om och förväntningar och krav på, vetenskapens roll i den polska forskningspolitiken mellan 1989-2011. Det empiriska material som ligger till grund för studien består av dels den tidskrift som KBN utgav månatligen och som kom att bli arenan för forskningspolitisk diskussion i landet, dels styrningsdokument från hela den studerade perioden. Med hjälp av en socialkonstruktionistisk ansats visar studien att idéer om och förväntningar och krav på vetenskapens roll omförhandlats och omtolkats dramatiskt under den studerade perioden, men också hur omförhandlingarna och omtolkningarna gått till. / In 1989, Polish research policy underwent transformation in the context of a broader societal transition from state socialism to democracy. KBN, Komitet Badan Naukowych (”The State Committee for Scientific Research”) was primarily responsible for the design of a new research policy and organization of the research system. In order to allay concerns about lingering state control, the Committee was to operate as a more or less autonomous body in relation to the workings of the Polish government. The Committee not only had responsibility for administering research grants, but also for research policy at the macro level to ensure academic freedom from political control. As a result the ambition of science policy was rather abruptly transformed from an instrumental view of science tied closely to societal progress under the Soviet regime to one recognising the intrinsic value of scientific knowledge. This transformed view of the role of science was not entirely new. It had strong roots in the political history and the structures and culture of the "old" research system, and more broadly among the Polish intelligentsia. However, several contextual factors acted to undermine the heralded ambition of autonomous scientific governance.  In the 1990s, economic conditions in Poland worsened.  In response mobilisation of public resources for the development of the market economy became an urgent imperative as did planning and preparation for the Poland’s accession to EU in 2004. These factors contributed to a yet another comprehensive reinterpretation and renegotiation of the role of science in Poland.  The empirical material that forms the basis for the study consists of both KBN’s periodical journal Sprawy Nauki that became the arena of science policy debate in the country and various governance documents from the study period. Using a social constructionist approach, this study analyses these transformational moments by focusing on how the dynamics of change found expression in the reinterpretations and renegotiations of the role of science in Polish research policy between 1989 and 2011.

Den polska forskningspolitiken har efter statssocialismens fall 1989 stått inför omfattande förändringar. Transformationen från den sovjetiska modellen för forskningspolitiskt styre, till formuleringen och implementeringen av en ny forskningspolitisk modell, innebar att KBN (Komitet Badan Naukowych, ”Forskningskommittén”) blev huvudansvarig för utformningen av den nya forskningspolitiken och organiseringen av forskningssystemet. Kommittén skulle fungera som en mer eller mindre autonom instans i förhållande till den polska regeringen, och hade inte bara hand om ansökningsprocesser om forskningsanslag, utan även forskningspolitiken på makronivå för att försäkra vetenskapens ”frihet” i förhållande till den politiska styrningen. Politikens relation till den vetenskapliga kunskapsproduktionen gick därmed på kort tid från att vila på ideal och värden som handlade om hur vetenskapen i första hand skulle bidra till samhällsnyttan, till ideal som snarare erkände dess egenvärde, allt formulerat och utarbetat i just det forskningspolitiska sammanhanget. Detta ideal hade dessutom stark förankring i den politiska historien, och de strukturer och kultur den ”gamla” forskningssystemen, forskningspolitiken och intelligentian i Polen präglades av. Snart började dock omfattande reformer av den polska forskningspolitiken ta form. Det tidiga nittiotalets sönderfallande ekonomi, där behovet av mobilisering av offentliga resurser för uppbyggnaden av marknadsekonomin upplevdes som angeläget, och efter det, förberedelserna inför EU-inträdet 2004, bidrog till omfattande omförhandlingar och omtolkningar av den anti-politiskt orienterade forskningspolitiska modellen med akademisk självorganisering som grundval. Dessa omfattande omförhandlingar och omtolkningar är också utgångspunkten för den här studien. Fokus i analysen ligger på hur förändringsdynamiken tog sig uttryck i omtolkningarna och omförhandlingarna av idéer om och förväntningar och krav på, vetenskapens roll i den polska forskningspolitiken mellan 1989-2011. Det empiriska material som ligger till grund för studien består av dels den tidskrift som KBN utgav månatligen och som kom att bli arenan för forskningspolitisk diskussion i landet, dels styrningsdokument från hela den studerade perioden. Med hjälp av en socialkonstruktionistisk ansats visar studien att idéer om och förväntningar och krav på vetenskapens roll omförhandlats och omtolkats dramatiskt under den studerade perioden, men också hur omförhandlingarna och omtolkningarna gått till. / In 1989, Polish research policy underwent transformation in the context of a broader societal transition from state socialism to democracy. KBN, Komitet Badan Naukowych (”The State Committee for Scientific Research”) was primarily responsible for the design of a new research policy and organization of the research system. In order to allay concerns about lingering state control, the Committee was to operate as a more or less autonomous body in relation to the workings of the Polish government. The Committee not only had responsibility for administering research grants, but also for research policy at the macro level to ensure academic freedom from political control. As a result the ambition of science policy was rather abruptly transformed from an instrumental view of science tied closely to societal progress under the Soviet regime to one recognising the intrinsic value of scientific knowledge. This transformed view of the role of science was not entirely new. It had strong roots in the political history and the structures and culture of the "old" research system, and more broadly among the Polish intelligentsia. However, several contextual factors acted to undermine the heralded ambition of autonomous scientific governance.  In the 1990s, economic conditions in Poland worsened.  In response mobilisation of public resources for the development of the market economy became an urgent imperative as did planning and preparation for the Poland’s accession to EU in 2004. These factors contributed to a yet another comprehensive reinterpretation and renegotiation of the role of science in Poland.  The empirical material that forms the basis for the study consists of both KBN’s periodical journal Sprawy Nauki that became the arena of science policy debate in the country and various governance documents from the study period. Using a social constructionist approach, this study analyses these transformational moments by focusing on how the dynamics of change found expression in the reinterpretations and renegotiations of the role of science in Polish research policy between 1989 and 2011.

The thesis focuses on theoretical and empirical analysis of the EU research policy and its impacts. The aim of the thesis is to evaluate effects of this policy on the financial management of universities, or more precisely the impact of financial rules defined by the European Commission (EC) in the 7th Framework Programme (FP7) on the development of full cost methodologies at universities in the EU27. The thesis also analyzes the process of the preparation of the new FP8 HORIZON 2020 financial rules and asses if feedback and needs of participating universities are reflected and thus principles of European good governance are applied. In order to meet its goals, the thesis states three hypotheses: Hypothesis 1: Universities from the EU27 that participate in FP7 develop full cost methodologies. Hypothesis 2: EC requirements in FP7 are one of the main drivers to implement full cost methodologies for universities form EU27. Hypothesis 3: Universities from the EU27 communicate development of their full cost methodologies with the EC. The thesis is organized into four chapters. The first one characterizes the concept of European good governance and one of its instruments, i.e. policy evaluation and its use in the thesis (including the analysis of performed questionnaire research). Second chapter defines the term of financial management and its use in the thesis. Third chapter describes the EU research policy, its historical development, main instruments (FPs), role of European institutions and attitude to full costing. The last forth chapter analyzes in details experience of universities form EU27 with development of full cost methodologies. Within its conclusions, the thesis proves that the EU research policy significantly influences the financial management of universities from EU27 and implementation of full cost methodologies by them. It is inter alia proved, that 70 % of universities from the EU27 that do not implement full costing in FP7 yet plan to introduce such methodologies in the future; that FP7 financial rules are drivers to implement full cost methodologies for almost 2/3 universities from the EU27 participating in FP7 and that 3/4 of universities form EU27 applying full costing in FP7 consulted on their methodologies with the EC. All three hypotheses thus were verified. Nevertheless, it was concluded that principles of European good governance are not satisfactory applied by the EC, because it does not support the use of full costing in HORIZON 2020 anymore.

Following established traditions in anthropology and sociology, where cross-border research helps to identify important themes which benefit from comparative study, this dissertation introduces cross-sector policy research as a new methodology for generating useful insights about public policy. The cross-sector method is applied to the study of the UK energy and transport sectors. A range of generic policy developments in the energy sector are identified including: the development of efficiency indicators, scenario analysis, and the establishment of energy efficiency programmes. Such developments have not, as yet, occurred in the transport sector. A structural analogy between energy and transport is developed which is used to generate a range of innovations for transport policy including: gross mass movements and intensities as indicators of the efficiency with which the economy uses transport; the projection of a quantitative scenario of sustainable mobility; and the outline of a transport efficiency programme. The insights from the analogy are generalised to consider the benefits of a wider application of cross-sector policy research to other policy areas.