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

1. 1
“We all do better when we work together.
Our differences do matter, but our common humanity matters more.”
(Bill Clinton)

2. Leverage Points for Effective
Cross-Sector Collaboration
in Eco-municipalities
Looking at Eindhoven Case Study
Maaike M. Boumans Xiaojing Fei Silvia Martín
2
Thesis Defense / Master in Strategic Leadership toward Sustainability / Blekinge Institute of Technology / 28 May 2013

3. AGENDA
• Introduction
• Methods & Results
• Discussion
• Conclusion
3

4. 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)
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
(adapted from Robèrt et al. 2010) 4

5. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
5

6. Cities are Complex Systems
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
6
… need for a systems perspective and a strategic approach

7. Framework for Strategic Sustainable
Development
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
7
a strategic planning tool using a systems perspective to deal
with complex sustainability problems

8. Framework for Strategic Sustainable
SYSTEM
SUCCESS
STRATEGIC
ACTIONS
TOOLS
Development
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Understanding of the socio-ecological system, the
Sustainability Challenge, and the interconnections between
nested systems
8

9. 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.
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Framework for Strategic Sustainable
Development
Vision of success aligned with the four Sustainable Principles
SYSTEM
SUCCESS
STRATEGIC
ACTIONS
TOOLS 9

10. BACKCASTING FROM PRINCIPLES:
1. Begin with the end in mind
2. Move backwards from the vision to the present
3. Move step by step towards the vision
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?
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Framework for Strategic Sustainable
Development
THREE PRIORITISATION QUESTIONS:
SYSTEM
SUCCESS
STRATEGIC
STRATEGIC
ACTIONS
ACTIONS
ACTIONS
TOOLS TOOLS
10

11. • Voluntary process
• Three societal sectors (Government, Business and NGOs)
• Work together
• Share knowledge and learning
• Achieve a common goal
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Cross-Sector Collaboration (CSC)
Biosphere
Society
Cities
CSC
11

12. CSC FRAMEWORK
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
INITIAL CONDITIONS
PROCESS STRUCTURE AND
GOVERNANCE
CONTINGENCIES
(adapted from Bryson Crosby and Stone 2006)
AND
CONSTRAINTS
OUTCOMES AND ACCOUNTABILITIES
12

13. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
13

14. “There is little expertise in the complex process of convening diverse
groups of institutions to achieve common goals.”
(TNS Canada 2013) 14

15. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
15

16. What are Leverage Points?
places within a complex system where a small
shift in one thing can produce big changes
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
16

17. Primary Research Question
What are the potential leverage points for effective
Cross-Sector Collaboration in Eco-municipalities?
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
SUPPORTING RESEARCH QUESTION 1:
What defines an effective CSC?
SUPPORTING RESEARCH QUESTION 2:
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? 17

18. 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 ACTIONS can contribute to effective CSC?
TOOLS • What tools can help to have more effective CSC?
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
18

19. SCOPE
This study is focused on Eco-municipalities in the
US, Canada and Europe
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
AUDIENCE
Practitioners in Eco-municipalities
19

20. SRQ2
PRQ
Informed FSSD in the
context of CSC in
Eco-municipalities ARQ
20
METHODS
Semi-structured Interview
Experts and
practitioners
interviews
In-depth Case
Study
Data coding and aggregation
187 E/S/B
Literature Case Studies
SRQ1
Content Analysis
16 Lens Factors
Data reduction and clustering
45 Potential Leverage points
Causal Loop Diagram
9 Leverage points
for In-depth Case Study

21. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
21
SUPPORTING RESEARCH QUESTION 1:
What defines an effective CSC?
Case Study
Eco-municipality
Madison
Corvallis
Whistler
Literature
Review
16 Lens
Factors

22. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
SUPPORTING RESEARCH QUESTION 1: What defines an effective CSC?
22

23. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
23
SUPPORTING RESEARCH QUESTION 2:
What are the enablers and barriers for effective CSC in
Eco-municipalities?
In-depth
Case Study
(Eindhoven)
Expert
Interviews
List of
187
E/S/B

24. • 12 expert and practitioner interviews
• 10 interviews in In-depth Case Study
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
24
INTERVIEWS
Area Experts Case Study Total
CSC TNS Practitioner
Other
Sustainability
Practitioners
Government Business NGO
EU 2 1 1 3 4 3 14
US/Canada 2 4 2 8
Total 4 5 3 3 4 3 22

25. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
187 E/S/B
Enabler: 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

26. Initial Conditions
Process
Structure and Governance
Contingencies and Constraints
Outcomes and Accountabilities
12E/2S/5B
6E/12S/30B
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
187 E/S/B in the CSC Framework
31E/7S/7B
42E/3S/4B
16E/5S/5B

27. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
27
PRIMARY RESEARCH QUESTION:
What are the potential leverage points for effective
Cross-Sector Collaboration in Eco-municipalities?
List of
87
E/S/B
Level of
Importance Clustering
List of
187
E/S/B
List of
45
Potential
Leverage
Points

28. 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

29. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION

30. ADDITIONAL RESEARCH QUESTION:
What are the leverage points for an effective CSC in an
Eco-municipality Case Study?
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
30

31. Eindhoven as a Case Study
• First Eco-municipality in the
Netherlands
• 220.000 inhabitants
• City of technological
innovation
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
31

32. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Housing Collaboration in Eindhoven
32
• 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

33. ADDITIONAL RESEARCH QUESTION:
What are the leverage points for an effective CSC in an
Eco-municipality Case Study?
Causal Loop
Diagram
List of 29
Potential
Leverage
Points
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
33
Eco-municipality Case Study (Eindhoven)
List of 9
Leverage
Points
List of 45
Potential
Leverage
Points

34. What is a Causal Loop Diagram?
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
34

35. Current Situation

36. Current Situation: Leverage Points highlighted

37. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
9 LEVERAGE POINTS

38. Ideal Scenario: 9 Leverage Points activated

39. Current Situation: Leverage Points highlighted

40. 40
“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)

41. LEVERAGE POINT 2: Make sure that the collaboration is
formalized and recognized as such by all partners
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
41
Formalization
Human
Resources
Ownership
Credibility
Leadership from
different Roles
Collaboration
with the
government
Monitoring
Accountability
Communication
Communicate
and visualize
outcomes
Facilitator
Commitment

42. 42
“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)

43. INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
LEVERAGE POINT 4: Someone must take the responsibility
of facilitating the process
43
Formalization
Facilitator
Co-creation
Commitment
Ownership
Have different
voices heard
Communication
Understand Each
Other
Create space to
talk and listen
Leadership from Credibility
different roles
Accountability
Communicate
and visulaize
outcomes
Reflection during
the process

44. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
44
SYSTEM
SUCCESS
STRATEGIC
ACTIONS
TOOLS

45. Reflection on Methods
• Process for Identifying Leverage Points
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
45
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

46. 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
46

47. • 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
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
Main Findings
47

48. Recommendations for Further
Research
• 16 Lens Factors for effective CSC
• 45 Potential Leverage Points
• The process to select Leverage Points
• How intervene in Leverage Points
INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION
48

49. “We did not put our ideas together, we put our purposes together.
49
And we agreed. Then we decided.”
(Ross Rocketto)

50. Thank you!
Gracias!
Dank je wel!
谢谢你!
50

51. • 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.
51
REFERENCES

52. 52
Sustainability
Challenge
Cities
FSSD
CSC
Systems
Perspective
Eco-municipality

53. 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

54. Unexpected Results
• Common goal and vision
• FSSD as a common language
• Commitment
• Trust
• Co-creation with partners

55. Ideal Scenario: Negative Flows Change

56. Ideal Scenario: Activated Flows