MASTER THESIS

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“We all do better when we work together. Our differences do matter, but our common humanity matters more.”

(Bill Clinton)

Maaike M. Boumans Xiaojing Fei Silvia Martín

Thesis Defense / Master in Strategic Leadership toward Sustainability / Blekinge Institute of Technology / 28 May 2013

Leverage Points for Effective Cross-Sector Collaboration in Eco-municipalitiesLooking at Eindhoven Case Study

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AGENDA

• Introduction

• Methods & Results

• Discussion

• Conclusion

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Sustainability Challenge

Nature and its complex ecosystems are currently being systematically exhausted, eventually reaching a point where our ecological niche is destroyed

and where the human race can no longer be sustained (Robèrt 2000)

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(adapted from Robèrt et al. 2010) 4

Challenges of Cities

• more than 50% of the world’s population

is living in cities

• 70% of the greenhouse gases

• consume 75% of the world's energy

• from urban inequality to air pollution, and

from resource management to

overpopulation

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Cities are Complex Systems

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… need for a systems perspective and a strategic approach

Framework for Strategic Sustainable Development

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a strategic planning tool using a systems perspective to deal with complex sustainability problems

SYSTEM

SUCCESS

STRATEGIC

ACTIONS

TOOLS


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Understanding of the socio-ecological system, the Sustainability Challenge, and the interconnections between

nested systems

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In a sustainable society, nature is not subject to systematically increasing...

...concentrations of substances extracted from the Earth’s crust;

...concentrations of substances produced by society;

...degradation by physical means;

And, in that society...

...people are not subject to conditions that systematically undermine their capacity to meet their needs.

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Vision of success aligned with the four Sustainable Principles

SYSTEM

SUCCESS

STRATEGIC

ACTIONS

TOOLS 9

1. Does the action proceed in the right direction with respect to the Sustainability Principles?

2. Does the action provide a flexible platform for future improvements?

3. Is this action likely to produce a sufficient return on investment to further catalyse the process?

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THREE PRIORITISATION QUESTIONS:

BACKCASTING FROM PRINCIPLES:

1. Begin with the end in mind2. Move backwards from the vision to the present3. Move step by step towards the vision

SYSTEM

SUCCESS

STRATEGIC

ACTIONS

TOOLS

SYSTEM

SUCCESS

STRATEGIC

ACTIONS

TOOLS

SYSTEM

SUCCESS

STRATEGIC

ACTIONS

TOOLS 10

• Voluntary process

• Three societal sectors (Government, Business and NGOs)

• Work together

• Share knowledge and learning

• Achieve a common goal

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Cross-Sector Collaboration (CSC)

Biosphere

Society

Cities

CSC

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CSC FRAMEWORKIN

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(adapted from Bryson Crosby and Stone 2006)

INITIAL CONDITIONS

PROCESS STRUCTURE AND GOVERNANCE

CONTINGENCIES AND

CONSTRAINTS

OUTCOMES AND ACCOUNTABILITIES

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Eco-municipality

• First Eco-municipality in Finland in 1980

• 70 cities and towns in Sweden

• Spread around the world

• Using FSSD as a guide for sustainability

• Develop ecological, economical, and social healthy community for long term

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municipalities (history)

economically, and socially healthy community for the long term, using The Natural Step Framework for sustainability as a guide, and a democratic, highly participative development process as

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“There is little expertise in the complex process of convening diverse groups of institutions to achieve common goals.”

(TNS Canada 2013) 14

PURPOSE of THESIS

to gain the insight into effective CSC in Eco-municipalities

and

inform the FSSD in the context of CSC in Eco-municipalities

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What are Leverage Points?

places within a complex system where a small

shift in one thing can produce big changes

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Primary Research Question

What are the potential leverage points for effective

Cross-Sector Collaboration in Eco-municipalities?

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SUPPORTING RESEARCH QUESTION 1:

What defines an effective CSC?


What are the enablers and barriers for effective CSC in Eco-municipalities?

ADDITIONAL RESEARCH QUESTION:

What are the leverage points for an effective CSC in an Eco-municipality Case Study?

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Conceptualize in FSSD• CSC in Eco-municipality in socio-ecological system

• What are the enablers and barriers for effective CSC in Eco-municipalities? (SRQ2)

• What are the potential leverage points for effective CSC in Eco-municipalities? (PRQ)

SYSTEM

• 4SPs

• Vision

• What is an effective CSC? (SRQ1)SUCCESS

• Backcasting

• 3 Prioritization Questions

• Additional Prioritization Question based on LP (PRQ)STRATEGIC

• What actions can contribute to effective CSC?ACTIONS

• What tools can help to have more effective CSC?TOOLS

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SCOPEThis study is focused on Eco-municipalities in the

US, Canada and Europe

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AUDIENCE

Practitioners in Eco-municipalities

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SRQ2

PRQ

ARQ

Experts and practitioners

interviews

METHODS

In-depth Case Study

187 E/S/B

Data coding and aggregation

Semi-structured Interview

SRQ1

Literature Case Studies

16 Lens Factors

Content Analysis

Data reduction and clustering

45 Potential Leverage points

Causal Loop Diagram

9 Leverage pointsfor In-depth Case Study

Informed FSSD in the context of CSC in

Eco-municipalities20

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What defines an effective CSC?

Case StudyEco-

municipality

Madison Corvallis Whistler

LiteratureReview

16 Lens Factors

L1. Understanding of Local Context

L2. Common Understanding of the

Problem

L3. Resources (Financial or Human)

L4. Existing Networks

L5. Initial Agreement

L6. Planning

L7. Partner Engagement

L8. Building Legitimacy

L.9 Building Leadership

L.10 Building Trust

L.11 Management Structure

L.12 Communication System

L.13 Dealing with Power Imbalance

L.14 Dealing with competing

Institutional Logics

L. 15 Monitoring System

L.16 Evaluation System

16 Lens Factors

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SUPPORTING RESEARCH QUESTION 1: What defines an effective CSC?

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What are the enablers and barriers for effective CSC in Eco-municipalities?

In-depthCase Study(Eindhoven)

ExpertInterviews

List of187

E/S/B

• 12 expert and practitioner interviews

• 10 interviews in In-depth Case Study

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INTERVIEWS

Area Experts Case Study Total

CSC TNS PractitionerOther

Sustainability Practitioners

Government Business NGO

EU 2 1 1 3 4 3 14

US/Canada 2 4 2 8Total 4 5 3 3 4 3 22

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Experts interviews: 122 E/S/BInBoth: 34 E/S/B Total: 187 E/S/B

107 enablers, 29 barriers

187 E/S/BEnabler: factor of positive influence to CSC

Straddler: factor described as barriers and enablers

Barrier: factor of negative influence to CSC

107 ENABLERS

29 STRADDLERS

51 BARRIERS

TOTAL E/S/B

Experts Interviews: 122 E/S/B

In-depth case study: 99 E/S/B

Both: 34 E/S/B

Initial Conditions

Process

Structure and Governance

Contingencies and Constraints

Outcomes and Accountabilities

6E/12S/30B

PUT

Initial Conditions: 45 in total: 31 E, 7 S, 7 B.

Process: 49 total: 42 E, 3 S, 4B

Structure & Governance:

Contingencies and Constraints: 48 (6E,12S, 30B)

Outcomes and Accountabilities: 19 (12E, 2S, 5B)

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187 E/S/B in the CSC Framework

31E/7S/7B

42E/3S/4B16E/5S/5B

12E/2S/5B

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PRIMARY RESEARCH QUESTION:

What are the potential leverage points for effective Cross-Sector Collaboration in Eco-municipalities?

Level of Importance Clustering

List of 87

E/S/B

List of187

E/S/B

List of 45

PotentialLeverage

Points

Initial Conditions

• (S) Local policy/Law

• (S) Internal Motivation/Attitude

• (E) System Thinking

• (E) Common understanding on sustainability

• (E) Shared interest from different goals

• (E) Resources in general

• (E) Financial resources

• (E) Human resources

• (E) Ongoing education on sustainability

• (E) Existing relationships

Process

• (E) Commitment (Government/Sponsors/Partners)

• (E) Sign an agreement

• (E) TNS Framework as common language

• (E) Common goal and vision

• (E) Co-creation with partners

• (E) Own identity and independent decision making

• (E) Conflict over ownership

• (E) Create ownership

• (E) Building credibility

• (E) Tell successful stories

• (E) Leadership from different roles

• (S) Personal leadership

• (E) Trust

• (E) Understand each other

• (E) Create space to listen and talk to each other

• (E) Create sense of progress by prototyping and rewarding success

Structure and Governance

• (E) Facilitator to manage the process

• (S) Role of government

• (E) Role of TNS

• (E) Non-hierarchical decision making

• (E) Formalization

• (E) Have different voices heard

• (B) Lack of communication

• (E) Be transparent

Constraints and Contingencies

• (B) Unequal efforts in collaboration

• (B) Barriers to collaboration with government

• (B) Conflict caused by own identity and different interests

• (S) Different mindset and way of working between sectors

• (B) Partners do not know each other

• (B) Economic crisis

• (B) Frustration due to no result without long-term perspective

Outcome and Accountabilities

• (E) Monitoring and reporting system

• (E) Build accountability

• (E) Communicate and visualize outcome

• (E) Reflection during the process

45 POTENTIAL LEVERAGE POINTS

OBSERVATIONS

• things that need to be in place in a CSC: monitoring and reporting system, formalization of the collaboration

• actions people involved in the collaboration can take: creating space, personal leadership, being transparent

• related to the facilitation of the process: trust, communication, conflict over ownership, finding shared interest on different goals

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• First Eco-municipality in the Netherlands

• 220.000 inhabitants

• City of technological innovation

Eindhoven as a Case StudyIN

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CSC between the municipality, five housing corporations,

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Housing Collaboration in Eindhoven

• collaboration between the municipality, 5 housing corporations and 2 NGOs since 2009

• created a common vision in 2011 after introduction into the FSSD

• 9 strategic goals

• working group

• decision making group

Causal LoopDiagram

List of 29 Potential Leverage

Points



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Eco-municipality Case Study (Eindhoven)

List of 9 Leverage

Points

List of 45 PotentialLeverage

Points

What is a Causal Loop Diagram?

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Current Situation

Current Situation: Leverage Points highlighted

STRUCTURE

1. Use partners’ own identity and different interests to strengthen the collaboration

2. Make sure that the collaboration is formalized and recognized as such by all partners

3. Help to create a mental model in which differences between sectors are seen as strengths

4. Someone must take the responsibility of facilitating the process

AGENCY

5. Host a safe space in which partners can listen and talk to each other

6. Have an open mind to understand each other

7. Create sense of progress by prototyping and rewarding success

8. Measure the different efforts based on the partners´ capacities

9. Develop a culture of active communication

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9 LEVERAGE POINTS

Ideal Scenario: 9 Leverage Points activated

Current Situation: Leverage Points highlighted

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“And then it is not just about interpersonal relationships, it is about organizations and formally bringing them to be

involved in these things [collaborations].”

(Clarke 2013)

LEVERAGE POINT 2: Make sure that the collaboration is formalized and recognized as such by all partners

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Formalization

HumanResources

OwnershipCredibility

Leadership fromdifferent Roles

Monitoring

Collaborationwith the

government

Accountability

Communication

Communicateand visualize

outcomes

Facilitator

Commitment

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“Being a person that is very easy to talk to, that is understanding and a good listener, so that process manager,

has to have special skills as well, to be able to run this process. You can't just bring anyone in for this part.”

(Carstedt 2013)

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LEVERAGE POINT 4: Someone must take the responsibility of facilitating the process

Facilitator

Co-creation

Commitment

Ownership

CredibilityLeadership fromdifferent roles

Understand EachOther

Create space totalk and listen

Formalization

Have differentvoices heard

CommunicationAccountability

Communicateand visulaize

outcomes

Reflection duringthe process

Informed FSSD

• CSC in Eco-municipalities in socio-ecological system

• 5 aspects of CSC Framework

• Leverage points in CSC

• 4SPs

• Vision

• 16 Lens Factors

• Backcasting

• 3 Prioritization Questions

• Additional Prioritization Question: Does this action have a positive influence on one or more leverage points?

• Additional Actions that can intervene the leverage points

• Additional Tools that can be used to intervene the leverage points

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SUCCESS

STRATEGIC

ACTIONS

TOOLS

SYSTEM

Reflection on Methods

• Process for Identifying Leverage Points

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STEP 1• Choose E/S/Bs based on Current Status

STEP 2• Causal Loop Diagram of Current Situation

STEP3• Identify Leverage Points based on number of outflows

STEP 4• Causal Loop Diagram of Ideal Scenario

General Reflections

• No obvious way to recognize if an

Eco- municipality is using the FSSD in their daily activities

• Not necessarily a higher purpose in CSC

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• 16 Lens Factors for effective CSC

• 187 E/S/Bs

• 45 Potential Leverage Points

• 9 Leverage Points

• The informed FSSD in the context of CSC in Eco-municipalities

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Main Findings

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Recommendations for FurtherResearch

• 16 Lens Factors for effective CSC

• 45 Potential Leverage Points

• The process to select Leverage Points

• How intervene in Leverage Points

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“We did not put our ideas together, we put our purposes together. And we agreed. Then we decided.”

(Ross Rocketto)

Thank you!

Gracias!

Dank je wel!

谢谢你!

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• Robèrt, Karl-Henrik. 2000. Tools and concepts for sustainable development, how do they relate to a general framework for sustainable development, and to each other? Journal of Cleaner Production 8, no. 3: 243-254.

• TNS Canada. 2013. Sustainability Transition Lab: The Process.http://www.naturalstep.ca/sustainability-transition-lab-the-process (accessed 20 March 2013)

• Bryson, John M., Barbara C. Crosby, and Melissa Middleton Stone. 2006. The Design and Implementation of Cross-Sector Collaborations: Propositions from the Literature. Public Administration Review: 44 - 55.

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REFERENCES

http://www.naturalstep.ca/sustainability-transition-lab-the-process

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SustainabilityChallenge

Cities

FSSD

CSC

SystemsPerspective

Eco-municipality

Limitations

• The scope

• Data reduction based on the level of importance

– Alignment with the lens factor

– Mentioned times in Experts and practitioners Interview and In-depth case study

– Interest of researchers

– Need a survey to have practitioners scoring the level of importance

• Check the validity with experts

Unexpected Results

• Common goal and vision

• FSSD as a common language

• Commitment

• Trust

• Co-creation with partners

Ideal Scenario: Negative Flows Change

Ideal Scenario: Activated Flows

MASTER THESIS

Leadership & Management

Transcript of MASTER THESIS