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The Collaborative Leadership for Development Approach

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Leadership plays an important role in development and is a complement to
financing and technical solutions. The 2017 World Development Report on Governance and
the Law has highlighted how increased commitment, coordination, and cooperation increases
effectiveness of policies and the delivery of services to citizens. It also demonstrated how
power asymmetries can undermine implementation of policy reform given that those with
power can exclude critical stakeholders from a change process.

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The Collaborative Leadership for Development Approach

  1. 1. The Collaborative Leadership for Development Approach LEADERSHIP DEVELOPMENT PUTTING CENTER OF AT THE
  2. 2. © 2016 The World Bank Group 1818 H Street, NW Washington, DC 20433 USA www.worldbank.org/ All rights reserved. This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. Nothing herein shall constitute or be considered to be a limitation upon or waiver of the privileges and immunities of The World Bank, all of which are specifically reserved.
  3. 3. Contents Foreword..........................................................................................................................v Preface...........................................................................................................................vii Part I. Overview and Approach............................................................................................1 The CL4DTheory of Change and Adaptive Leadership Framework..........................................................................2 Evolution.....................................................................................................................................................................7 The CL4D Process......................................................................................................................................................10 Part 2. Experience and Learning.......................................................................................19 Program Description.................................................................................................................................................20 Key Insights ..............................................................................................................................................................22 An Unpredictable Journey........................................................................................................................................30 Part 3. Going forward.......................................................................................................31 Challenges................................................................................................................................................................33 Solutions...................................................................................................................................................................33 Conclusion.................................................................................................................................................................35 Annex 1. Collaborative Leadership for Development:Theory of Change ..............................37 Annex 2. Adaptive Leadership...........................................................................................41 Annex 3. Collective Action................................................................................................43 Annex 4. Rapid Results Approach......................................................................................45 Annex 5. Phases of Rapid Results Initiatives ......................................................................47 Annex 6.The Delivery Partners Development Program.......................................................50 Annex 7. Summary of Country Engagements.....................................................................52 Annex 8.The Client-Partner Dialogues..............................................................................54 Annex 9. Selected Country Case studies.............................................................................56 Annex 10.The Global Partnership on Collaborative Leadership for Development .................65 Annex 11. 2016 Global Leadership Forum Round-Up...........................................................66 Annex 12. 2017 Global Leadership Forum Highlights..........................................................71
  4. 4. Foreword v Foreword Leadership plays an important role in development and is a complement to financing and technical solutions. The 2017 World Development Report on Governance and the Law has highlighted how increased commitment, coordination, and cooperation increases effectiveness of policies and the delivery of services to citizens. It also demonstrated how power asymmetries can undermine implementation of policy reform given that those with power can exclude critical stakeholders from a change process. The World Bank’s Collaborative Leadership for Development (CL4D) program is dedicated to providing support to Bank-financed operations by strengthening the capacity of government counterparts to work as effective teams and by helping to build coalitions for change among different actors in society. The CL4D approach strengthens government teams engaged in Bank-financed operations to more effectively manage risks, overcome political economy obstacles, and achieve tangible results. In order to achieve the World Bank’s goals of ending extreme poverty and promoting shared prosperity, it is essential that we collaborate by pooling our knowledge and efforts in many areas, including the support of leadership in countries. Supporting stakeholders to engage and work differently to smooth project implementation and accelerate progress toward development results is the purpose of the CL4D program. The CL4D approach is embedded in Bank-financed operations and currently supports more than 50 initiatives across various sectors world-wide. It is problem-driven, solution-focused, hands-on work with multi-stakeholder teams that supports deeper analysis and experimentation. This report documents the experience and insights of the CL4D program. I hope it will serve as a valuable reference document that will help us take on the challenge of enhancing collaborative leadership actions and results that will contribute to the achievement of our development goals. Jan Walliser Vice President Equitable Growth, Finance and Institutions The World Bank Group
  5. 5. Preface vii Preface I still recall the excitement on the faces of the individuals who had gathered in Obudu for the Greater Than Leadership program to support Water Utility Reform in Nigeria in September 2013. We had just spent four and a half days together with nearly 60 individuals from six states across the country. They came from the government, private sector, civil society, religious and traditional leaders, parliament, and the media. The teams wrestled with the difficult questions involved in moving the reform forward, making the utilities financially sustainable, and delivering quality services to citizens. At the end of the workshop, the newly formed multi-stakeholder teams shared their excitement and confidence at being able to systematically work to take on the constraints and barriers that had been holding them back, and also build coalitions to further their efforts. This was the first time the government teams had sat with their clients and other key actors and had developed a comprehensive action plan to take on the myriad challenges in front of them. It was incredible to see how they had come together as a team. A month later, I was pleased to learn that a long-pending water reform bill that the teams had discussed had passed and would fillip the reform efforts. Bringing together the parliamentarians with the government officials and the citizens had helped build an understanding of different viewpoints and promote ownership of a jointly developed solution. And it paved the way for one of the first steps on the road to reform. The challenges faced by development practitioners today are more complex and interwoven in the political economy of countries than at any point in the past.The complexities are such that no single stakeholder can hope to sustainably change the status quo. It is necessary, therefore, to bringing together broad-based coalitions for reform, and address the question of the“how”of reform. This was the basic question that spurred the journey that we have found ourselves on at the Collaborative Leadership for Development (CL4D) program. The World Bank probably has the best analytical tools and instruments in the development arena. It is also one of the premier international financial institutions. Despite these advantages, the development projects it supports have a mixed track record of success.
  6. 6. Based on experience, we have reason to believe that collaborative leadership and coalition building are key ingredients—the "special sauce"—in the recipe for sustainable development. Over the years, the CL4D program has evolved from a “training” mindset to more of a “facilitated action-learning”approach—one that seeks to develop the capacity of government officials to work as effective teams, and helps lay the foundation for building reform coalitions to sustain the efforts. The focus has also been on how to make this approach more embedded in World Bank Group operations. Several case stories and other resource materials have been developed over the years, including a process guide, an indicative roadmap, toolboxes, animations, and booklets capturing lessons learned through engagement with partners and clients. This document seeks to bring together the team's learning and experience of the past years and also lays the foundation for the future of this work. It also seeks to contextualize the materials developed so far. Today, the program is at a crossroads. With a high degree of appreciation by WBG operations and clients alike, and with the intention of fully mainstreaming the approach, the program has been moved to the Equitable Growth, Finance and Institutions Vice Presidency. The ongoing effort is to further refine the model so that it becomes an integral part of World Bank operations over the years to come. The program has also embarked on an ambitious effort to broaden the space for the work on leadership and coalitions by launching a global partnership on collaborative leadership for development. Exciting times lay ahead! While I have personally led the production of this document, I would like to acknowledge Najma Siddiqi who helped to develop the idea and provided guidance for the structure and content as an e-book. I thank Denson Catindoy as the project manager, and KayWinning for her contributions to the section on current experience. I appreciate the whole CL4D team for their contributions and for sharing their experiences and lessons for this work going forward.Thank you to Roby Senderowitsch for his support and for requesting a document that captured the evolution, experience, and future direction of the CL4D approach, and to Abha Joshi-Ghani for her encouragement and support. Thank you as well to Jan Walliser and Edward Olowo-Okere. Most of all, thanks to our consultant Kris Rusch, who took up the challenge, developed the text, designed, and presented the content of this e-book in a highly consultative and creative manner, resulting in a product that is substantive, informative, and accessible. Ajay Tejasvi Narasimhan Program Manager Collaborative Leadership for Development Program The World Bank Group Ajay Tejasvi Benjamina Randrianarivelo Ceren Ozer Denson Catindoy Donghui Park Eva Schiffer Hirut M’cleod Kay Winning Lili Sisombat Manuel Contreras Marielle Wessin Najma Siddiqi Sue Harding Team CL4D
  7. 7. Overview and Approach 1 A growing body of literature is documenting what development practitioners have observed for some time: the most critically needed, well-conceived, and technically sophisticated interventions can be undone by what Campos and Syquia call “the politics of change.”1 In some reform efforts, widespread support for the substance and method of development projects generates harmonious collective action and successful implementation. In other cases, sewage systems fail because residents aren’t vested in paying taxes to maintain them, government employees resist adapting Financial Management Information Systems because they like the old system better, government procurement rules seem fine on paper yet the practice is rife with bribery and collusion. The politics of change is a factor in every reform effort. But when government dysfunction, corruption, political rivalry, weak rule of law, top-down processes, and numerous other interpersonal and institutional vulnerabilities stall development activities, the harms extend beyond the project. Missed milestones mean development funds sit undispersed, projects may be restructured and gains to date are lost, alliances dwindle, and cynicism becomes more entrenched. On the ground, poverty continues to exact its daily toll from the world’s most vulnerable people. The Bank has some of the world’s most sophisticated operational knowledge and technical tools at its disposal. Yet, when political and interpersonal complexities hinder development, technical expertise alone is powerless to get projects back on track. Moving from the status quo to the desired state of reform requires infusing implementation teams with a special set of information and skills that equips them to negotiate their unique political economies and mobilize groups to overcome the barriers to reform. One of the World Bank Group’s key resources for strengthening intervention teams is the Collaborative Leadership for Development (CL4D) approach. 1.  J. Edgardo Campos and Jose Luis Syquia, Managing the Politics of Reform: Overhauling the Legal Infrastructure of Public Procurement in the Philippines (Washington, DC: The World Bank: 2006), 2. Part I Overview and Approach
  8. 8. 2 Overview and Approach The CL4D Theory of Change and Adaptive Leadership Framework The CL4D theory of change posits that between a stalled project’s current status and the desired state of reform is a complex and tenacious culture of assumptions, mindsets, systems, incentives, and behaviors that must be examined and transformed for reform to take root. Although the current state has elements that hinder development, it is difficult to change because, as Heifetz, Linsky, and Grashow note, the system of mindsets, assumptions, and behaviors that make up the status quo“functions elegantly to solve a stream of problems and opportunities for which it has already evolved.”2 Because the status quo rewards conformity to its own norms and “rules of the game,” moving development projects to the desired state requires implementation partners to deeply understand the current context and their own relationship to it so that they can strategically transform it. In the CL4D theory of change, people must be willing not only to transform systems and institutions, but also to transform themselves.This process takes time and focus, requires a taste for experimentation (particularly during the implementation stage) and demands group learning and adaptation. (See Annex 1 for the CL4D Theory of Change.) Adaptive leadership provides CL4D’s theoretical framework for bringing about such change. (See Annex 2.) In the CL4D approach, leading means mobilizing a group of people to achieve a common good. Adaptive leadership posits that leadership is an activity, not merely a formal title or a high position in an organizational hierarchy. Adaptive leadership is a model for developing “process expertise” to apply to collective challenges.3 Three key concepts from adaptive leadership help implementing teams see—and do—things differently. These concepts are: • Adaptive challenges vs. technical problems • Informal vs. formal authority • Social function of authority Adaptive Challenges vs. Technical Problems Adaptive leadership applies to adaptive—as opposed to technical—problems. What are the differences? In short, technical challenges can be solved with technical expertise. Technical challenges tend to be rational, finite, and clearly defined; they are based on facts or reason, tied to existing protocol or procedures, and are resolvable with existing knowledge and means. Most technical solutions can be implemented relatively quickly, and their success is associated with compliance, not commitment. 2. Ronald Heifetz, Alexander Grashow, and Marty Linsky, The Practice of Adaptive Leadership: Tools and Tactics for Changing Your Organization and the World, (Harvard Business School Press: 2009), 49.  3.  Heifetz, Grashow and Linsky, 2.
  9. 9. Overview and Approach 3 In contrast, adaptive challenges are complex, persistent, and systemic, often deeply embedded in culture or social norms. Therefore, addressing adaptive barriers to development requires people to examine their social paradigms, mindsets, values, and behaviors and to change in deeply significant ways that they may initially resist. Implementing solutions to adaptive challenges calls for a willingness to change systems, a spirit of experimentation, an ability to take risks and make honest appraisals of their effects, and to accept new, unexpected discoveries. This experimental, learn-as-you-go approach inherent to adaptive solutions also means that adaptive approaches may take longer to fully implement. Hence, people are generally more enthused by technical solutions and may want to focus on them exclusively, even when faced with a situation complicated by adaptive challenges. In the development context, for example, a shortage of medicines is a technical problem. A belief that poor health is“normal”so there is no value in seeking health services except in emergencies is an adaptive challenge that is much more difficult to change. Adaptive Challenges to Water Reform Distinguishing technical from adaptive challenges was a crucial component of addressing water reform in Nigeria. Nigeria’s high water table makes it relatively easy for individuals to dig their own wells, whereas others may tap into purified water lines to divert water for their own use or to sell it to others. The relatively large supply of water available through informal markets made it difficult for the government to collect the fees and tariffs needed to pay for water service to citizens and infrastructure maintenance. CL4D was invited to hold a weeklong workshop in Obudu with six reform teams comprising more than 50 engineers and water commissioners from Bauchi, Cross River, Ebonyi, Ekiti, Lagos, and Rivers. Participants came to the workshop with various ideas for technical solutions, such as increasing tariffs and installing new water meters. CL4D exercises helped them see those solutions as technical in nature, while providing opportunities for them to master the skill of differentiating technical from adaptive challenges. Participants soon saw that adaptive challenges remained regardless of the technical solution adapted: How would water authorities ensure residents actually paid for water? What would prevent continued diversion of water for private gain? By the end of the workshop, participants not only had the skills to distinguish technical from adaptive elements of their challenge, all six teams had (1) established 11-month goals, (2) created detailed work plans to implement those goals, and (3) developed key messages that targeted stakeholders. This initial workshop laid the groundwork for a follow-up workshop involving the original teams, plus teams from five other areas in Nigeria working on water utility reform. The Force-Field Analysis and other tools now in the CL4D Toolbox (described below) assisted participants as they analyzed the political-economic context and developed RRIs to incrementally bring about their desired states. Once the World Bank Country Director for Nigeria Marie-Francois Marie-Nelly saw the level of engagement and traction these workshops sustained, she asked CL4D to support not just a project or sector, but the entire portfolio.
  10. 10. 4 Overview and Approach Informal vs. Formal Authority Formal authority is conferred by a title; the informal authority at the core of adaptive leadership is derived from one’s ability to inspire trust and commitment in others to advance the initiative. To exercise leadership, we need both formal authority, which is constant, as well as informal authority, which changes as a function of our interventions in a social system. In the process of development, anyone can take leadership action, or exercise authority. In fact, encouraging numerous, cohesive leadership actions within an engagement is a hallmark of the collective leadership approach. Although formal authority figures may hold a role or job title for years, informal authority changes and fluctuates depending on the project’s needs and participant skillsets. Social Function of Authority Borrowing another concept from adaptive leadership, CL4D views authority as conferred power to perform a service. It is given and can be taken away. The social functions of authority are to help provide a sense of purpose and direction, to maintain order, and provide protection. The exercise of leadership calls for the use of both formal and informal authority by change agents on the ground. Societies have expectations for people they view as formal leaders, and these expectations and assumptions may be particularly important for public sector leaders whose conduct has a major impact on the lives of average citizens. CL4D uses the adaptive leadership framework to prepare implementation teams to mobilize people, ideas, and resources to make progress toward shared objectives. The CL4D program seeks to help influence the behavior of public sector authorities and other change agents by challenging their traditional notions of leadership, formal and informal authority, and the social functions of authority, thus setting the stage for multiple actors to begin collaborating around common challenges and goals. Principles and practices of CL4D (discussed below) help diffuse potentially competing interests and tensions among actors, and mobilize them to collectively move projects forward. Analyzing Constraints to Collective Action Although the“desired state”of development projects implies an improvement over the current state,mobilizingpeopleandresourcestobringaboutadesiredoutcomeisnotstraightforward. Collective action toward a public good is frequently hindered by conflicts of interest— frequently, self-interest is in conflict with the greater community interests. (See Annex 3.) Because adaptive challenges are deeply rooted in the current political economy, analyzing and understanding the political economy is critical to understanding how to progress toward the desired state. According to Corduneanu-Huci, Hamilton, and Ferrer (2013), a political– economic analysis is crucial to overcoming barriers to reform because The diagnostics and tools of political economy help focus analyses on the actors, their potential for collective action, the costs and benefits of reform, and the relevant institutions and incentives. They also provide a navigational compass for
  11. 11. Overview and Approach 5 reformers. Political-economy analysis helps explain why suboptimal development outcomes occur.4 Following a careful analysis, it is not uncommon to find that many implementation problems, although they are diverse on the surface, in fact share similar incentive structures. Concepts from political-economic analysis provide the frames for understanding constraints to collective action. Some of these concepts include the following: “Freerider”problem:individualsororganizationsconsumemorethantheirfairshare of a public resource or shoulder less than a fair share of the costs of its production. Information Asymmetry: one party has more or better information than the other, leading to an imbalance of power. Credible Commitment: any arrangement or mechanism that makes it very costly for someone to go back on a promise. Tragedy of the Commons: a situation in which an individual or group exploits common resources, like water, but in so doing contributes to the depletion of such a good. Agenda Setting: the strategic use of rules and procedures to influence a decision toward a favorable outcome. CL4D tools and processes help development partners understand the true nature of the challenges they confront. 4.  Corduneanu-Huci, Hamilton, and Ferrer, 2013, 15. Tragedy of the Commons in Lao More than half of Lao’s total national wealth lies in its natural resources, including its forests. Yet illegal logging is rampant. Through a CL4D engagement, the implementation team learned that skewed incentives were a key challenge.The high profits from illegally harvested timber encouraged rent-seeking and willful lack of law enforcement. In addition, there was little collaboration among ministries and also between ministries and the army, police, and customs, which made it difficult to address the issue. Underlying all was a widespread belief that it would be impossible to fundamentally change the situation. CL4D’s assessment suggested a Training of Trainers approach through key institutions such as the National University of Laos, the Environment Protection Fund, and the National Academy of Politics and Public Administration, among others. Those who received the training then are expected to train at least 720 provincial and local government officials on protected area management in two- week workshops in the provinces over a four-year period.
  12. 12. 6 Overview and Approach A Focus on Rapid Results Achievingdevelopmentgoalstakestime—years—butgovernmentsoftenneedtoshowresults in a timely manner to prove credibility or earn the public’s trust. A Rapid Results Approach (RRA) is CL4D’s instrument for helping implementation teams achieve measurable progress toward the desired state in a timely fashion. Specifically, implementation teams use the RRA to break a large development objective into a series of projects known as Rapid Results Initiatives (RRIs) that teams strive to achieve within 100 days. (See Annexes 4 and 5.) These projects can be launched one at a time or in waves of projects to bring about large-scale change. In the CL4D approach, teams are provided with Rapid Results Coaches and a step-by-step process on how to effect change in an organic but disciplined way. This process includes: (1) helping teams create the right context for change; (2) helping teams identify a viable challenge to make progress on; (3) helping teams identify the right individuals for a RRI team; and (4) supporting teams throughout implementation. RRIs have a structured process as well as a temporary team structure. This provides clients with a clear procedure on how to experiment towards their desired results and achieve system-wide change. RRIsinjectasenseofurgencyintodevelopmentprojects.Theinitiativestargetmeaningful results that are challenging to achieve; their success is never guaranteed. Instead, success depends on—and rallies—the commitment of leaders to engage in new ways of doing business. Implementation teams must be willing to“learn by doing”an RRI, which comes with a certain amount of risk. At the same time, according to Campos and colleagues: Through an RRI, the risk of failure is reduced considerably—what is the worst that can happen in a 100 days? But if implemented effectively, it produces tangible results that a decision maker can point to (and claim credit for) and demonstrates how tangible results can be achieved systematically on a wider scale (and which minimizes risk), i.e., it helps the decision maker meet his or her delivery “score card” and,forpoliticians,enhancetheirre-electability.Thiscreatesincentivestoconsider the RRA and support the conduct of RRIs.5 CL4D frequently pairs RRIs with implementation retreats so that learning can be shared in a structured way and achievements celebrated. The approach is particularly useful when bringing together disparate stakeholders that need to perform as high functioning teams. Teams complete RRIs having achieved • Progress towards their goal • Understanding on how to deliver tangible results • Understanding on how to deal with known and unknown implementation risks • Insight on what it takes to sustain and build on their results 5.  J. Edgardo Campos, Benjamina Randrianarivelo, and Kay Winning, Escaping the “Capability Trap”: Turning “Small” Development into “Big” Development, International Public Management Review 16(1), 2015, 12.
  13. 13. Overview and Approach 7 Evolution CL4D has its roots in a leadership roundtable hosted by the Leadership and Governance Practice of the World Bank Institute in September 2009. Observing that the carrot (funding) and stick (conditionality) approach to development had not aptly facilitated implementation, thought leaders and practitioners met to explore ideas about more effective approaches. Roundtable participants identified adaptive leadership as a promising model to help implementers think beyond what needs to be done and to also consider how to engage multiple stakeholders to get projects completed on time. The Leadership Practice began to design a practical, hands-on program that utilized the adaptive leadership approach to involve multiple stakeholders. The following year, the practice offered a pilot program named“Collaborative Leadership for Development Impact”for 19 participants from six fragile states. The curriculum addressed political economy analysis, strategic communication, self-mastery, network analysis, adaptive leadership, and rapid results, which remain integral to the CL4D approach. The pilot program made clear the need to develop teams and to tackle complex implementation challenges with both technical and adaptive interventions. In 2011, the practice launched the Decisions. Actions. Results (DARE) program with the explicit intention of training and operationalizing leadership groups. DARE, partnering with the Lee Kuan Yew School of Public Policy, offered a 10-day capacity development program to teams from five cities in the East Asia and Pacific Region, focusing on urban river waterfront RRIs are Results oriented – the work is focused on achieving tangible, measureable, bottom-line results (instead of activities, preparations, or recommendations) Fast – project duration is 100 days or less Experimental – the approach fosters innovation and learning, allowing teams to test large-scale change in low-risk ways Stimulating– teams gain new insights on implementation challenges and risks, increasing a sense of purpose, urgency, collaboration, and accountability Empowering – teams set their own goals and are expected to actively pursue it, building capacity and confidence Cross-functional– teams bring together individuals who have frontline knowledge of the challenge at hand Visible – projects are actively supported and valued by a sponsor, which typically comes from a senior-level manager Supported by coaches – teams are provided with a trained RRI Coach to guide the process and to ensure that progress is being made in a disciplined way
  14. 14. 8 Overview and Approach development. World-class faculty trained the teams on both technical and leadership issues. CL4D also partnered with the University of Cape Town to train eight metropolitan teams from across South Africa focusing on urban resettlements. These engagements focused on developing leadership—not leaders—and drove home the importance of participatory learning, follow-up, and ensuring relevance to WBG operations. In 2012, the practice transformed the DARE program into Greater Than Leadership (GTL) and the Leadership for Results (L4R) programs. GTL aimed to prepare client teams for the “unpredictable journey” of implementation, to adapt a more "learn-as-you-go" approach to their project’s success and sustainability. GTL was envisioned as a year-long program that began with client team consultations and a six-day intensive, hands-on workshop that focused on identifying problems and their solutions. GTL aimed to prepare implementation teams to strategically confront the leadership challenges they would face in the year ahead. GTL participants received intensive training during their workshop on adaptive leadership and other elements that were incorporated into the CL4D approach: self-mastery, network mapping, constraints to collective action, and strategic communication. They completed the training with an 11-month results goal and implementation plan, and an understanding of how they could leverage a Rapid Results Approach. L4R addressed the need for long-term engagements to support development initiatives confronting adaptive challenges. Together, GTL and L4R supported more than 100 teams and were the largest programs of the Leadership Practice. However, to improve impact, both these initiatives required more upfront preparation as well as more follow-up support and hands-on engagements with clients. In2011,aGlobalFacultyDevelopmentWorkshopwasofferedtomorethan20practitioners as potential faculty. In 2012, there were several micro-teaching sessions and a three-week summer training course for faculty, including tutorials, immersion, and practice sessions. Teaching effectiveness and adult-learning pedagogies were integrated into these sessions. In 2013, the Delivery Partners Development Program (DPDP) was created specifically to help the GTL and L4R scale up (see Annex 6). DPDP convened four different groups of seasoned An analytical approach to governance and the political-economic environment that accounts for these complex interactions is essential to understanding root problems, why they persist, and how they can be changed. —Corduneanu-Huci, Hamilton, and Ferrer “ ”
  15. 15. Overview and Approach 9 facilitatorsandseniordevelopmentprofessionals(includingpartnerorganizations)fromaround the world with the intention of building a highly skilled faculty of individuals fully trained in the GTL and L4R approaches. The trainings consisted of two phases. The first “immersive learning” format allowed participants to get a better sense of what it feels like to participate in a reform effort using these approaches. In the second phase, DPDP offered clinics on the immersive learning experiences to deepen participant understanding of the core concepts and to enhance teaching skills with an understanding of the art and science of adult learning. Campos et al. (2015) captured the implementation, results, and learning of an L4R in public sector reform project in Burundi, providing valuable insights about the power of multi- stakeholder approaches, leadership, and learning-by-doing for clients.6 Other work by Campos andSyquiaonoverhaulingthelegalinfrastructureofpublicprocurementinthePhilippinesalso provides valuable insights in relation to managing reform in a difficult political environment and the need to facilitate a tightly knitted coalition to support the reform enablers.7 CL4D emerged in 2014 from blending the best elements of GTL and L4R. To address the lessons of the earlier projects, CL4D initiatives were designed to allow facilitators to learn and work together with client teams and to help apply—not simply demonstrate—the approach. For the purpose of this document, both GTL and L4R, which have now blended into CL4D, are treated as CL4D. For a list of the initiatives identified by program at their launch, please see Annex 7. In addition to practical program experience and feedback from WBG client engagements overthepastseveralyears,varioussourcesofacademicresearchprovideastrongunderpinning to the design of the CL4D program. These include the work of Heifetz, Grashow, and Linsky8 on the practice of adaptive leadership as a mechanism for addressing complex challenges and the acceptance and implementation of change; MacGregor Burns9 on transformational leadership; Lipman-Blumen10 on connective leadership; Leftwich and Hogg11 on leadership, elites, and coalitions; Bass12 on transformation leadership; Weber13 on charismatic leadership; and the World Development Report 2011 (WDR 2011) on conflict, security, and development. WDR 2011 drew a link between security and strong, legitimate institutions that can provide 6.  Campos, Randrianarivelo, and Winning, 11. 7.  Campos and Syquia, 2006, v. 8.  Heifetz, Grashow and Linsky. 9.  James MacGregor Burns, Transforming Leadership, New York: Grove Press, 2004. 10.  Jean Lipman-Blumen, Connective Leadership: Managing in a Changing World, Oxford: Oxford University Press, 2000. 11.  Steve Hogg and Adrian Leftwich, Leaders, Elites and Coalitions: The Case for Leadership and the Primacy of Politics, Developmental Leadership Program, 2007. 12.  Bernard M. Bass, “From Transactional to Transformational Leadership: Learning to Share the Vision,” Organizational Dynamics, (winter): 19–31. 13.  Max Weber, “The Three Types of Legitimate Rule,” Berkeley Publications in Society and Institutions, 4(1) 1-11, 1958.
  16. 16. 10 Overview and Approach adequate services and markets for its residents.14 More recently, World Development Report 2015, Mind, Society, and Behavior,15 looked at the role of the psychological perspectives on development and the role behavioral sciences might play. A full chapter was devoted to adaptive interventions of the sort implemented for many years by CL4D and its predecessors. Cumulatively, this research covers a broad range of players in the development field (multilateral institutions, bi-lateral institutions and academic institutions), and thus provides a solid base that supports and endorses the foundations of the CL4D approach. In 2015, the CL4D program convened two Client–Partner Dialogues (CPDs) for a week of engagement to learn from experience with main stakeholder groups such as the government clients,WBGTTLs, and facilitation partners. (See Annex 8.)The first of these gatherings of clients and development professionals was held in Istanbul, Turkey, in April 2015, and the second was held in Colombo, Sri Lanka, in November 2015.16 Participants represented four constituency groups: client governments, coaches and facilitators, members of training institutions and academies, and World Bank Group task team leads. The purpose of the Dialogues was to bring clients and partners together to discuss in detail the CL4D approach, share knowledge, and experience of CL4D and similar approaches, and explore ways to collaborate and enhance the program’s capacity moving forward. Each day of the Dialogues, participants were introduced to key CL4D concepts and practices through discussions and hands-on exercises in the CL4D tools and methods. These were not training workshops. As distinct from training events, these events focused on substantive engagement with the main stakeholder groups to appreciate their perspectives and experiences, while also offering an immersion in the CL4D approach in the spirit of collaborative exploration. The CL4D Process The path from the status quo to the desired state, as Ian A. Goldin remarked, “is littered with uncertainty,”17 so CL4D has developed a roadmap and toolkit to help implementation teams keep move through uncertainty. The CL4D process is team-based, solution-focused, and results-oriented approach that enables clients and their implementation teams to focus on their long-term reform targets while defining and achieving incremental results. The methodology is designed to enhance the space for innovation and includes regular review points for evaluation and course correction. 14.  World Bank, World Development Report 2011: Conflict Security and Development, Washington, DC: World Bank Group, 2011. 15.  World Bank, World Development Report 2015: Mind, Society, and Behavior, Washington, DC: World Bank Group, 2015. 16.  Highlights of and insights gleaned from the dialogues may be seen in The Istanbul Dialogue: Building a Community of Practice, Washington, DC: World Bank Group, 2015, and The Colombo Dialogue: Strategies for Change, Washington, DC: World Bank Group, 2016. 17.  Campos and Syquia, 2006, v.
  17. 17. CL4D ROADMAP IMPLEMENT DESIGN SCOPESUSTAIN Overview and Approach 11 The CL4D Roadmap The CL4D Roadmap, tailored to each development context, guides implementation teams through change. The Roadmap consists of 20 detailed steps grouped into four phases: Phase 1. Scope: Bring people and information together to develop a strategic frame in which to address the problem. Phase 2. Design: Mobilize stakeholders to create an integrated approach to overcoming the development roadblock. Phase 3. Implement: Take action and track progress, staying flexible and willing to learn and adapt throughout the process. Phase 4. Sustain: Take stock and plan an approach to sustain and scale the development intervention.
  18. 18. During the scoping phase, the CL4D team works with other WBG units and concerned client groups to learn and understand about the nature of the challenge and to come up with a potential way forward. Activities: • Develop solid understanding of the context and issues • Establish effective working relationships with key stakeholders • Assess readiness and establish authorizing environment • Agree on scope of the project; goals and measures of success; approach; roles and responsibilities; budget and funding • Identify change leaders Milestones: 1. Request received 2. Consultations held 3. Preparation completed 4. Strategic framing completed In the design phase, the implementation team produces a detailed design and planning of the CL4D engagement and the constituent activities, as agreed with the client for the engagement with a fully developed and resourced implementation plan. Activities: • Develop the detail design, including tools and methods in collaboration with GP, CCSA, CMU • Identify and mobilize the resources required for implementation—both client and WBG • Agree the challenge to work on first • Measure baseline for key indicators • Complete planning and logistics for implementation launch • Communicate with key stakeholders Milestones: 5. Stakeholders mobilized 6. Detailed design developed
  19. 19. During the implementation phase, the team undertakes the activities proposed in the design document. These activities are expected to be adapted and enhanced based on the requirements of each context, additional information, and lessons learned during the process. Activities: • Run an orientation workshop for WB team including GP and CMU • Form project teams and establish baseline for key indicators • Run a workshop to share tools and approaches with project teams • Start work on projects and establish cycles of "learning and doing" • Facilitate face-to-face and virtual working & coaching sessions • Measure and analyze processes & outcomes • Adjust approach Milestones: 7. Content workshop held 8. Action plans developed 9. Kickoff event organized 10. Virtual connections made 11. Additional inputs arranged 12. Virtual connections made 13. Mid-cycle review completed The sustain phase assesses the achievement of objectives, the effectiveness of tools and approaches, the capacity enhanced, and the potential to scale and sustain the changes achieved so far. An assessment takes place a year or more following the completion of the CL4D intervention, and it is usually conducted by an independent evaluator. Activities: • Analyze data and assess the effective impact of the CL4D approach in achieving the overall goal • Assess the potential to scale in existing and /or new sectors • Agree a plan for the way forward, including changes and additions to the approach as necessary • Share learning Milestones: 18. Impact assessment done 19. The way forward specified 20. Approach defined 14. Virtual connections made 15. Additional inputs arranged 16. Virtual connections made 17. End-cycle review completed
  20. 20. 14 Overview and Approach Toolbox CL4D ensures that implementing teams are equipped with the tools they need to effectively take on development challenges. The CL4D Toolbox is the product of more than five years of developing and experimenting with exercises that help development professionals facilitate behavioral change. It is essential to open the Toolbox with an understanding that it is not a collection of feel-good, group activities; it is a distillation of experience and adaptations meant to help create meaningful—often breakthrough—experiences. Like the CL4D approach itself, the Toolbox evolves, with new tools being considered, tested, and added as practitioners discuss experiences and needs. To create the first CL4D Toolbox, the program looked at the tools used most frequently and found most effective by team members. CL4D interviewed the author of the tools as well as users to understand the intention and the range of user experiences with the tools. These interviews also captured practical tips on how to avoid pitfalls and create a successful experience for users. The information thus collected is presented in a common structure to facilitate the use of tools. The first stage of the Toolbox contained 22 tools. CL4D brought this initial toolkit to it 2015 Dialogues in Istanbul and Colombo.18 Dialogue participants, several of whom were or had been CL4D implementing partners, learned about and used several tools and were asked to share their views for how the Toolkit could be improved. Incorporating this and other feedback, CL4D produced a second (Spring 2016) iteration of the Toolbox. New tools have been added, and the toolbox clusters have been reorganized. Toolkits 1 and 2 now have a total of 46 dynamic tools and methods that CL4D facilitators use to help their clients navigate the complex challenges of reform. The tools and methods are organized according to the following clusters: 18. See The Istanbul Dialogue and The Colombo Dialogue. 1. Understanding Context: Appreciating the Challenge 2. Creating Connections: Strengthening Teams 3. Appreciating Concepts: Changing Social Paradigms 4. Crafting Narrative: The Way Forward 5. Mobilizing Coalitions: For Collective Action 6. Mapping Action: Generating Results 7. Mastering Self: Getting Centered { { Learning the context and concepts, and making connections Centering and moving forward with the narrative, and forming coalitions to generate results
  21. 21. Overview and Approach 15 CL4D Toolkit: The Map is Not the Territory One of the tools that helps to change social paradigms is Mental Maps. Mental Maps is a structured conversation based on a series of world maps that reveal the power of paradigms and underlying beliefs to influence one’s sense of reality. In this exercise, participants quietly observe a series of world maps and jot down their initial impressions of each map. A following group discussion reveals that each person may be looking at the map to see if it serves their own interests: Some may be looking for topography, for example, while others may be looking for geopolitical divisions. Maps can also serve to normalize bias, such as when nations show their countries at the center of world maps. This isn’t “wrong”; it’s just a normalized perspective. As CL4D facilitators point out in this exercise, it’s equally as legitimate to represent North America and Europe on the bottom of maps instead of at the top, as our nations are landmasses on a globe in a universe with no “natural” up or down. Maps, then, serve to reflect each individual’s thought processes or mental models. Individuals harbor a range of mental models of the world; examining these models can reveal our personal norms and starting points from which we approach challenges. Theory determines what we observe; what is possible to observe. Like our mental models, maps are not the territory; they are merely representations. When facing adaptive challenges, particularly when trying to mobilize diverse coalitions with fundamentally different perspectives, it can be fruitful to use the Mental Maps tool to uncover basic assumptions about what participants hold to be correct, or true.
  22. 22. 16 Overview and Approach The Force Field Analysis (FFA) is used to create a structured visual representation of the current context describing in detail the drivers of change and the expected barriers to change. This framework for identifying and examining forces that support or block change, was developed by Kurt Lewin (1890–1947), a pioneer in social and applied psychology. FFA provides an overview of the political climate and is considered an excellent first tool to use in a comprehensive political economy analysis. The FFA tool used by CL4D builds on this framework and is an adaptation aimed at understanding and responding to forces that influence a social, organizational context—either supporting/driving or hindering/blocking a change or reform process. It is used to initiate, inform, and track change processes. It can be used to reach different depths of analysis and to determine the types and directions for action in response to such analysis. It is a simple tool that can facilitate drawing up a more complete picture of any given context by • describing the current and desired states at given points on a timeline; • identifying the barriers and drivers related to achieving the end result or the desired state; and, • proposing actions to optimize and to overcome the drivers and barriers, respectively. The FFA works best when • participants are informed of the subject under discussion. • facilitators are experienced and effective in guiding the process. • diverse perspectives are brought to the discussion. • ample time is allowed for a rich, productive conversation. • participants express themselves in an uninhibited manner. • proceedings are documented to facilitate making decisions and proposing actions. • participants keep the exercise grounded by contributing experienced (rather than imagined or romanticized) reality. CL4D Toolkit: Opposing Forces An issue is held in balance by the interaction of two opposing sets of forces: those seeking to promote change (driving forces) and those attempting to maintain the status quo (restraining forces). —Kurt Lewin “ ”
  23. 23. Use the FFA to… And not to… build the whole picture – to the extent possible identify root causes of a problem (use the Problem/ Objectives Tree instead) focus on key factors (forces) that help or hinder the change process resolve conflicts (use conflict resolutions methods) appreciate the “force-field” develop a detailed plan of action (use planning tools and methods) find ways to optimize or overcome these factors (forces), as needed use as a time-filler (use less robust tools) document action and results related to each factor to-date, to inform action and results going forward Analyze stakeholders or as an alternate to Net-Map, Rapid Result Initiatives, or Results- Based Management FFA In practice Overview and Approach 17
  24. 24. 18 Overview and Approach “ ” The gap between the current state and the desired state is the space within which to exercise leadership actions. –Najma Siddiqi
  25. 25. CL4D Experience and Learning 19 Part 2 Experience and Learning Thecrucialneedfor legitimate public institutions to be viewed as trustworthy in the eyes of citizens was the fundamental message of the 2011 World Development Report.19 Focused on the global, recurring nature of 21st century violence and conflict, WDR 2011 conveyed the urgent need to strengthen government capacity to provide its citizens with security, justice, and jobs. Without such institutional capacity and the trust it engenders, nations remain vulnerable to conflict and the increased levels of stalled development and poverty that follow. Development is never a linear process and progress is expected to be slow. Nevertheless, the glacially slow pace of measurable progress in some sectors combined with setbacks in others can, over decades, precipitate a rethink in approach. Such a shift is now underway at the WBG and elsewhere, as acknowledgement grows that the political-economic context in which development projects are implemented are as relevant to success as the soundness of the technical approach itself. Personal, interpersonal, political, and cultural factors are always at play, whether they are recognized by or not. Recently, the WBG has stressed the importance of looking at these individual and interpersonal factors. World Development Report 2015: Mind, Society, and Behavior explicitly reminded readers that “individuals are not calculating automatons. Rather, people are malleable and emotional actors whose decision making is influenced by contextual cues, local social networks and social norms, and shared mental models.”20 WDR 2015 was explicitly devoted to encouraging researchers and practitioners to “help advance a new set of development approaches based on a fuller consideration of psychological and social influences.”21 Since 2009, CL4D has been developing WBG capacity to do just that. As institutional awareness grows about the need to address implementation challenges with more than 19.  WDR 2011. 20.  WDR 2015, 3. 21.  WDR 2015, 2.
  26. 26. 20 CL4D Experience and Learning technical know-how continues to grow, the CL4D approach becomes more relevant than ever to Bank operations. Program Description CL4D seeks to accelerate the reduction of global poverty by helping WBG clients to deliver on their commitment to provide public value. Working closely with WBG project teams, CL4D compliments the technical“what”of reform by addressing the“how”of implementation. CL4D doesn’t solve client problems for them. Instead, CL4D works deliberately to increase client capacities to identify and solve complex problems and to bring about the behavioral and institutional changes that allow for sustained results. CL4D works with partners to address implementation challenges, to learn from them, and to adapt quickly and accordingly. Working closely with WBG project teams, CL4D puts together a team of specialists whose experiences and skills meet the needs of each specific engagement. On the ground, the CL4D team helps the implementation team demonstrate the benefit of the CL4D approach to projects and clients; expand the demonstration to scale; and institutionalize the approach, tools, and methods so that capacity can continue to grow in the client country. CL4D teams have partnered with more than 100 project implementation teams across numerous sectors, including education, electricity, land and gender, governance, health, public financial management, solid waste management, urban sector, and water & sanitation. (See Annex 10 for more details on selected cases.) To date, on-the-ground experiences reveal three key development insights: • Sustainable development is not possible without collaborative leadership. • Strengthening the leadership capacity of government organizations to work together is fundamental to a well-run public sector. • Establishing coalitions for reform can build trust in public institutions. In the sections that follow, these insights are illustrated by looking at select engagements. 2009–2016 CL4D supported • 435 coalitions • 100 project implementation teams • 25 countries • 9 sectors
  27. 27. Kazakhstan Russia CL4D Client engagements, 2010–2016. Malaysia Philippines S. Africa Uganda Mozambique Niger Argentina Mexico Kyrgyzstan Morocco Guinea Sierra Leone The Caribbean Dominican Republic Bosnia & Herzegovina Malawi S. Korea Nepal Vietnam Kenya Kosovo Cambodia China PDR Lao Mongolia Bangladesh Bhutan ThailandIndia Indonesia Macedonia Montenegro Cameroon Nigeria Ghana Ethiopia Iraq Burundi Rep. of Congo Zambia Tanzania Madagascar Comoros
  28. 28. 22 CL4D Experience and Learning Key Insights Insight: Sustainable development is not possible without collaborative leadership. Before the war in Iraq, the Baghdad’s water and sewerage systems functioned well. Fifteen years after the war, however, they were failing. In the 1990s, the water and sewerage systems served 95 percent of urban households and about 75 percent of households in rural areas. But war, economic sanctions, and worsening security took a toll. By 2005, less than half the country had water services. By 2011, sewer backups were a way of life throughout the city. Citizens, understandably, were reluctant to pay for water services. Some didn’t understand how much they needed to pay, and many resented being asked to pay for poor services when they were never required to pay when service was good. There was a longstanding need to improve sewage system maintenance and to address issues such as illegal water diversion, which was straining the system. However, no maintenance had been done in some areas of the city in more than 15 years, despite rapid growth in the city’s population over that period. As a result, Baghdad citizens were frequently subjected to clogged sewage pipes, flooding, and disruptions to water supply. Under such circumstances, utilities personnel were not engaging with citizenry; customer service was poor. With over 7 million residents and a high population growth rate in the city, Baghdad is the second most crowded city in the Arab world. The Mayoralty of Baghdad was under increased pressure from a growing population the to improve its public services, particularly the sewerage system. Seeking to address the challenge, in 2013, the Deputy Mayor for Technical Affairs launched an initiative to serve all citizens of Baghdad with reliable sewerage services by 2017. Challenges included but were not limited to a demand for services that exceed supply, insufficient investment to maintain aging infrastructure, and a lack of coordination between those involved in service provision and systems maintenance. These had technical solutions. But finger pointing between the Mayoralty and its 14 municipalities over decentralization and a dissatisfied, vocal public indicated adaptive challenges were also an issue. Weak institutional capacity is a large challenge for post-conflict states, and one that cannot be ignored without substantial risks.22 But there is also risk for public officials if they fail to bring about an important change. CL4D’s focus on building capacity for collaborative leadership takes the pressure off individuals with certain positions or titles to have all the answers to complex problems. Instead, CL4D develops the capacity for leadership actions to occur throughout institutions and systems. Collectively, stakeholders see that they have the skills to address challenges if they work together. When the Deputy Mayor and project champion had to travel out of the country, his ability to oversee the project was hindered, but the effort didn’t slow down. A steering committee was formed to support the project and keep the initiatives on track. In contrast to the existing top- 22.  WDR 2011.
  29. 29. CL4D Experience and Learning 23 down approach to problem solving, the CL4D team in Baghdad worked with formal leaders and others to increase the number of people involved in designing solutions to address the problem. The Baghdad Water Authority (BWA) and Baghdad Sewerage Directorate (BSD) set RRI goals to address inadequate sewer maintenance and inefficient water billing. Using the Net- Map tool, CL4D helped implementation teams better understand the interests and influences of various stakeholders, including NGOs, the private sector, households, the BWA and BSD, as well as the Municipalities. This information helped the teams set specific performance goals for a Rapid Results Approach. The sewerage team’s initial goal was to reduce the number of blockages and overflows in targeted areas by 50 percent in 90 days. There had been no maintenance in the target area for 15 years. Project objectives were (1) high-level commitment to the objectives; (2) creation of functioning multi-stakeholder teams; (3) creation of platforms for two-way communication with citizens, and (4) maintaining success. The water team’s initial goal was to increase collections by 10 percent (compared with the same period the prior year) among a sample of 200 households. The team sought to achieve this goal by educating consumers about how their bills were calculated and how much their water use was subsidized. The implementation teams developed a broad, multi-stakeholder coalition dedicated to making progress. Over the course of the six-month intervention, this coalition expanded to include nontechnical members (from the city’s media and cleaning departments) whose perspectives reflected greater concern for the experience of end users of the sewage system. In addition, the implementation team deepened its responsiveness to and interaction with the community by working with the neighborhood council (representing the target area during this 6-month period) to survey citizens to learn about their experiences and gauge Mayoralty of Baghdad Project Goal Improve water and sewerage infrastructure and services and increase collection of payments for services. Project Partners • Deputy Mayor of Baghdad in charge of technical affairs • Director General of the Baghdad Water Authority • Deputy General of the Baghdad Sewage Department • Citizens of Baghdad • Water Global Practice, World Bank • Iraq Country Management Unit, World Bank
  30. 30. 24 CL4D Experience and Learning their satisfaction as the project advanced. This was the first time that the city government had directly asked citizens for their input on the design and management of an infrastructure project. Finally, the Mayoralty institutionalized better communication with citizen stakeholders by activating a hotline and adding two cell phone lines to receive citizen complaints about the sewage system; a user-friendly water billing system was also designed. The two teams reached their goals to increase bill collection for water and to end complaints of blockages and overflows related to sewerage services in the selected localities. The water team increased collections by 13 percent, an impressive amount above the target. The sewerage team also completed sewer cleaning, which eliminated resident complaints about blockages and overflows. Among numerous other improvements, a communications system was established with citizens to ensure regular feedback on the sewerage system improvements. This gave stakeholders a sense of ownership and responsibility regarding sanitation to effected households. The project produced scalable outcomes within 6 months, which meant that the process could be implemented in the city’s other districts.The Mayoralty gained credibility as a result. Citizens were thrilled with the“amazing”work, and municipalities also won. One Deputy Head said of the new water bill guide, “I support you 100 percent. This should have been done long ago!”23 Participants in this successful initiative took away the fact that system reform requires sustained collective leadership. Several leaders “owned” the RRIs and created an authorizing environment that empowered teams to make needed changes to budgets, processes, and other practices that allowed for significant change. 23.  E. Cuvillier, N. Mofid, S. Al-Maroof, F. Al-Attia, B. Randrianarivel, N. Siddiqi et al. MENA Knowledge and Learning Quick Notes Series, Sept. 13, no. 104, 3. International assistance needs also differ in fragile situations. The requirement to generate rapid confidence-building results puts a particular premium on speed. —WDR 2011, p. 16 “ ”
  31. 31. CL4D Experience and Learning 25 Insight: Strengthening the leadership capacity of government organizations to work together is fundamental to a well-run public sector. The WBG had been engaged in four previous sanitation projects in the Greater Accra Metropolitan Area (GAMA) before the CL4D team joined the effort to increase access to sanitation and water. Previous engagements focused on technical challenges and involved cycles of identifying need, building infrastructure to improve the situation, improperly managing infrastructure leading to dilapidation and failure, resulting in requests for more infrastructure. The GAMA has multiple authorizing subsystems. Each of the 11 Municipal and Metropolitan Assemblies (MMAs) are responsible for sanitation implementation, while the Ministry of Local Government and Rural Development (MLGRD), which oversee the MMAs, make policy decisions. The MMA Chief Executives (MCEs) and the Minister of the MLGRD are named directly by the President. Each MMA had its own political economy and readiness for working on specific issues. The CL4D implementation team sought to help lay the foundation for a coordinated approach for the provision of sanitation and water supply services to low- income urban areas and the development of environmental master plans for the GAMA using existing institutions. Several adaptive challenges were evident. The MMAs often did not cooperate or collaborate to resolve the sanitation problem. There was a top-down leadership style within the MMAs, in which staff were told what to do rather than be provided results to which they should aspire. Skewed incentive systems in the organization discouraged monitoring and enforcement of bylaws. Sanitation efforts lacked a results-orientation and accountability. In addition, during election years, there are pressures on the MCEs to show visible results, such as new infrastructure, and to avoid actions that might anger the electorate, such as enforcing sanitation bylaws. CL4D focused on the sphere of influence of MMAs. CL4D aimed to develop a strong implementation team with a clear vision and improved implementation capacity results for the GAMA project. They also sought to develop a more integrated approach to implementation in GAMA Project Goal To increase access to improved sanitation and to facilitate a higher quality water supply in the Greater Accra Metropolitan Area. Project Partners • Ministry of Water Resources • Metropolitan and Municipal Assemblies of GAMA • WBG Water GP • Private sector actors
  32. 32. 26 CL4D Experience and Learning the MMAs, where those people who own the problem and those who can help move forward on it are involved in the work, thereby extending the responsibility for achieving results in the sanitation sector beyond the core GAMA team. In an effort to demonstrate that success in this space is possible, the CL4D team provided project partners in the Ministry with the space and guidance to experiment with new ways of engaging the MMAs while increasingly challenging and supporting them. CL4D worked with the implementation team to analyze project challenges, and uncovered a specific need and desire to improve leadership qualities on all levels. To this end, two rounds of RRIs were embedded in a larger framework of improving leadership and results orientation. Leadership training was interwoven with each intervention. The first round of RRIs supported project planning, and the results were shared with the public. The second round of RRIs sought to operationalize changes, which included communicating with the public; working with the private sector on pricing, technological innovation, and capacity to deliver at scale; quality assurance and M&E by the MMA; and improving enforcement of by-laws and informal rules. Concrete results included the rehabilitation of 10 major drains, and institutionalizing changes that improve sanitation services and sustain them. For instance, a task force was formed to focus solely on sanitation cases, monitoring teams report obstructions and reduce flood risk, and weekly sanitation inspections of public spaces and markets were implemented, among others. Hon. Sam Atukwei Quaye, Municipal Chief Executive, Ga West Municipal Assembly, said, "being an adaptive leader … you can motivate the people, you can give back … and mobilize people to effect change in our community … My life will not be the same after this workshop.” Where there had been a deeply entrenched belief that change was not possible, now, a CL4D team member observed, the“culture of impossibility has been greatly improved.” Simply fulfilling your responsibilities does not constitute leadership according to this framework. —Ajay Tejasvi “ ”
  33. 33. CL4D Experience and Learning 27 Burundi Project Goal Improved delivery of public services, starting in the eductation and health sectors Project Partners • All ministries of Government of Burundi • National School of Administration, Burundi • World Bank Country Management Unit, Burundi • International Finance Corporation Insight: Establishing coalitions for reform can build trust in public institutions. As Burundi was emerging from a 12-year civil war, among its many challenges was how to deliver services to citizens given its loss of infrastructure, limited resources, and low human capacity, including high levels of turnover at all levels of government and inexperienced remaining staff. As a fragile, post-conflict state, the political economy was also dismal: The government was largely unaccountable to citizens, corruption remained a concern, communication among ministries was dysfunctional, rules were inefficient, and policies were outdated. The newly elected government sought to deliver services to gain citizen’s trust, establish stability, and help the country move forward. CL4D was invited to collaborate with the government to improve public service delivery in meaningful ways in the short-term, while over time, strengthening public sector leadership capacity to manage development. The CL4D approach was structured around cycles of RRIs combined with high-level government retreats. The RRI functioned to stretch the assumptions of public servants and to deliver results within a relatively short time frame. The series of cabinet retreats with government ministers and other senior officials was selected as a way to showcase results of the RRIs and to obtain buy-in for expanded initiatives. The RRIs, which empowered and upskilled local officials, combined with the retreats, served to incrementally increase the capacity of government leaders at all levels. A key change agent was the secondVice President, who headed a steering committee to support the program. This level of support, combined with the collaborative planning and buy-in among officials that occurred at Cabinet retreats, created a solid authorizing environment for the program. Addressing the president’s campaign pledges was an important way to earn public trust so the steering committee looked to make advances in the health and education sectors. The implementation team began by launching two pilot RRIs. One project aimed to increase HIV/ AIDS screening among pregnant women. In the first month of the pilot, the Ministry of Health increased number of HIV/AIDS screenings in pregnant women from 71 to 482, far exceeding expectations.
  34. 34. 28 CL4D Experience and Learning The second of the pilot projects aimed to deliver 25,000 textbooks to schools in Bubanza province within 100 days. The books had been sitting in a warehouse for a year and a half. Under normal circumstances, it took a year to deliver textbooks, but the pilot project delivered the books in less than two months. What made these successes possible? A closer look at the education pilot suggests answers. Several systems had collapsed during the war, including systems that would ensure childrenhadtextbooks,whichwerealreadyinshortsupplyinBurundi.TheCL4Dprojecthelped provincial education officials undertake a results-focused project that was instrumental in shifting mindsets and mobilizing local governments and citizens to overcome the challenges inherent in moving a large number of books to remote provinces. As a part of the solution, the Director General was able to negotiate reduced rates with transport companies to ship books to the province. Another part of the solution involved the Provincial Director of Education working with the governor of the province. The governor oversaw service delivery and was in a position to highlight the problem and call for stakeholder assistance. The governor initiated a town hall meeting to mobilize development NGOs, local governmentstaff—includingprovincialdirectorsfromagriculture,publicworks,transport,and education—and residents of the province to move books from the province to villages. He also obtained buy-in from smaller (i.e., communal) administrations, ensuring there was awareness and buy-in throughout the new supply chain. Commune-level administrators mobilized volunteers to transport books from the communes to the villages and with school directors and village chiefs, who supported the initiative and also mobilized volunteers through the Parent–Teacher Association. In turn, the PTA relied on an existing Saturday morning volunteer program to carry the textbooks by foot, wheelbarrows, or bikes to the schools. In this way, the cross-sector coalitions delivered 25,000 textbooks within 60 days. Campos and colleagues noted that, although the initial pilot projects were miniscule in the whole scheme of things, they enabled the respective teams to learn what works and what does not in attaining key service delivery priorities involving the complete chain of actors required for implementation—textbook delivery in the case of education, and HIV/ AIDs screening of pregnant women in the case of health. The pilots demonstrated solutions to overcome long-standing constraints to implementation in two priority sectors, jumpstarting “ ” Effective visions have accuracy and not just imagination and appeal. —Heifetz, Grashow, and Linsky, 2009
  35. 35. CL4D Experience and Learning 29 results beyond expectations.24 Cabinetmeetingswereanimportantwaytoshiftsmindsetstobelievingthatlongstanding problems could be overcome with collaborative effort. Cabinet retreats offered an opportunity to showcase successes and exchange knowledge about setting and reaching objectives. Participants had an opportunity to feel good about their accomplishments, understand why they worked, and to look ahead together to set new goals. In 2011 President Pierre Nkurunziza said, To sustain economic performance, we must demand greater efficiency, and we expect results from all sectors ... In this regard, we have already motivated people towards improved accountability, planning, and performance using the Rapid Results Approach. We are confident that this improved performance is proof that sound management means the needs of the public become reality.25 The Government of Burundi in fact launched numerous RRIs over the following years involving several ministries using the same approach to make many incremental changes toward long-term goals. The two initial RRIs in 2006 became 246 RRIs by 2012, and all 21 ministries were implementing RRIs by 2010 (see figure 1). 24.  Campos, Randrianarivelo, and Winning, 2015, 5. 25.  Leadership Program Data and Testimonies, Feb. 2, 2016. Internal document. Figure 1. Percentage of 21 ministries in Burundi implementing RRIs, 2006–2012
  36. 36. 30 CL4D Experience and Learning An Unpredictable Journey “Institutional legitimacy is the key to stability,” stated then-WBG President Robert B. Zoellick, drawing connections between stable institutions, a society’s ability to serve its citizens, and security.26 As a matter of social justice, legitimate institutions must be strengthened so that citizens have access to safe drinking water, education, health care, jobs, and other fundamentals. But we know from observing stalled or failed development projects that implementing reform—and sustaining it—takes more than a solid technical solution. Campos and colleagues observed that donors and experts from developed countries excel at pointing out corruption, gaps, and weaknesses in developing country governments. Then, these experts typically refer to a vast literature of “good practices” from elsewhere that may assist the developing government in bridging the country’s gaps. But this approach perpetuates a problem. As Campos said, “The flaw in ‘Big Development’ is that, for the most part, it has neglected the challenges of implementation.”27 CL4D emerged explicitly to address “the challenges of implementation.” The program has an impressive track record of helping governments—particularly fragile governments emerging from conflict—adapt a different approach to leadership to deliver results and gain public trust. But because CL4D approaches to adaptive challenges always arise from within the context of challenge itself, because CL4D addresses the“how”of development by helping partners analyze unique political-economies and mobilize diverse coalitions of stakeholders, and because learning comes through experimentation, the development journey is unpredictable.The CL4D approach therefore requires the courage to proceed with a clear goal but without advance knowledge of each step required to reach it, to be willing to change oneself and the status quo, and to be committed to working with others for the public good. For development professionals, designing interventions for an unpredictable journey means moving from a perspective of designing projects to receive approval by the board of the donor organization toward designing projects that stand the highest chance of being realistically and successfully delivered to improve lives of beneficiaries—and offering services along the way that support and assist clients during implementation.28 For donors, funding development projects that take adaptive challenges into account is to acknowledge the complex contexts in which development projects are undertaken and to allow for a nimble implementation approach. Such an approach has many unknowns for donors, requires a long-term perspective, toleration for some initial failure, and patient engagements. But a collaborative learning and adapting approach holds great promise for building the capacity of government partners to become change agents for the common good. 26.  2011 WDR, xi. 27.  Campos, Randrianarivelo, and Winning, 2015, 2. 28.  Kay Winning and Roberto O. Panzardi, Leading, Learning, and Adapting Toward Development Results: An Example from Civil Service Reform in Sierra Leone (n.d.) 5.
  37. 37. Going Forward 31 Part 3 Going forward Over the past seven years, the Leadership Practice has evolved in its thinking and approach. The evolution has been driven from the ongoing changes in our operational landscape, and also from the insights and learning gained from our experience in working with 365 teams across more than 42 countries. The challenges facing the world today are increasing in number and complexity. It has been widely acknowledged in the development community and the World Bank Group that we cannot reach our twin goals of ending poverty and boosting shared prosperity by doing business as usual any longer. The context in which we are operating today is changing; collectively, we face increasing pressures. Promoting sustainable growth and creating jobs, particularly for youth, is a formidable task across the World. We have learned that a key to success in challenging circumstances is identifying the root causes of the problem, tackling some of our underlying attitudes and mental models that form our sense of reality and drive behavior. Solutions that merely address technical issues are seen to result in shifting the problem from one part of a system to another. We have also learned that our most effective solutions come from a combination of strategies.Itisthefinanceweprovide,thetechnicalsolutionswebringtothetable,thecapacity building and knowledge we have gained through years of experience, and the leadership skills we can activate to build stronger teams for implementation and reform coalitions to sustain progress. The Collaborative Leadership for Development Program has attempted to codify and systematize the WBG’s work on leadership and coalition building so that development teams can apply it adeptly to actual problems on the ground. In essence, by fostering a greater understanding of the many implementing challenges and political economy problems, we help create stronger teams that can build coalitions for reform and achieve strong, lasting results. We have learned that development is not a clear-cut, linear process. Our learning is similar to the observation made by Peter Senge in The Fifth Discipline, in which he notes that “cause and effect are not closely related in time and space.”29 He goes on to emphasize that the systems in which we operate are extremely complex, and it takes significant time for some of the behavioral changes to manifest as tangible outcomes of development interventions. An additional insight of the CL4D program is that development interventions take time, and often there are extraneous factors that play out over the course of the engagement. Taking into consideration some of the above insights, the CL4D program has evolved from a 29.  Peter M. Senge, The Fifth Discipline, New York: Doubleday, 2009, 63.
  38. 38. 32 Going Forward primarily weeklong action-learning program into a longer, hands-on support program, with customized interventions at regular periods of time. Since the beginning, the program has sought to complement the technical contributions of Bank operations. In line with this effort, the CL4D team has focused on working with the project team to help identify obstacles and working with the implementation teams to unblock the challenges that impede progress. The support intervention itself is closely interwoven into the World Bank Group’s project cycle and seeks to support operational teams and government clients think through political economy challenges from the beginning, as well as support projects that are stuck. Our goal is to mainstream the program into the overall operations of the WBG. CL4D is now actively engaging with operational teams to embed leadership and change management support for projects in the Project Appraisal Document (PAD) itself. This enables project teams to think through the design so as to help government agencies better align and coordinate their work. It also helps set the stage and context for thinking about the reform coalition that will be required to sustain changes. In“Possible or Impossible,”one of the tools used to begin a leadership intervention, three key leadership principles are emphasized as foundational in the efforts to build coalitions. They are: 1. Widen the base of support by articulating a clear vision and strategy. 2. Create alignment among stakeholders through a shared sense of purpose. 3. Balance stakeholder interests to sustain the momentum forward. We believe that the positive momentum generated by the CL4D interventions so far can be sustained only by expanding the space in this frontier area of leadership and coalitions for development. “ ” The implicit assumption is that one needs to wait for political will to "appear" before any real change can take place. But, in fact, political will can be engendered. —Campos, Randrianarivelo, and Winning, 2015
  39. 39. Going Forward 33 Challenges While there is emerging consensus on the need to put leadership and coalitions at the center of the development agenda, a number of challenges remain. First, there is a wide range of actors with varying degrees of exposure and experience in this field, including bilateral development agencies, academic institutions, research, training, and other private organizations and individual practitioners. This wealth of knowledge is dispersed and remains fragmented among leadership and change management practitioners and experts, and it is difficult to access in real time. Second, the fragmented, disconnected agendas among actors hampers the possibility for effective coordination in coming up with solutions to development challenges. Third, many development organizations lack the necessary instruments to integrate knowledge-sharing tools into their financial and technical support interventions. Finally, although many development actors agree with the need to include leadership and coalitionbuildingasimportantaspectsofaddressingcomplexchallenges,inadequatecapacity continues to undermine the integration of these aspects in implementation. Solutions Taking all this into consideration, the CL4D program has initiated the establishment of the Global Partnership on Collaborative Leadership for Development. (See Annex 10.) The Global Partnership seeks to put leadership and coalitions at the center of development by continually enhancing the know-how around practical approaches to find sustainable solutions to complex problems.The Global Partnership brings a vision to become the preferred destination for meaningful collaboration, knowledge exchange, and cutting-edge research on tools and methods in order to support leadership in countries that need to overcome“wicked problems” facing most societies today. Taking on the above-mentioned challenges, the Global Partnership was established on four pillars. They are: 1. Generating & Curating Knowledge: Knowledge in the leadership and coalition- building arena is fragmented and dispersed across a number of actors globally. Many actors have done substantive work that is not available to others who could learn and adapt the knowledge to their own contexts. This first pillar therefore focuses on the development of an integrated platform that allows actors to share and exchange information in real time and supports the development of an empirical evidence base. It could potentially a focus on specific challenges that we are trying to solve as a development community, bringing together knowledge from across the spectrum of development actors. Another important function of this pillar would be to support the generation and curation of knowledge in the form of case notes, research papers, videos, and interactive tools that the community at large can use. These efforts will add to tools and materials currently in use. The focus will also be on continuation of efforts to support and legitimize the role of leadership and coalitions through empirical studies
  40. 40. 34 Going Forward thus also strengthening the evidence base for leadership for development. In terms of dissemination of the knowledge, it is envisioned that the Partnership would organize and support regular outreach events like short seminars, learning events, and special themed events on youth leadership, leadership in fragile contexts, etc., to showcase the work of leadership. 2. Developing Strong Partnerships: This pillar would focus on building on current initiatives, as well as systematically bringing together existing donor partners and other development organizations to coordinate efforts on learning from a variety of different approaches. We envision that the work here could potentially support the joint conceptualization and production of leadership forums (Annex 11) as well as collaboration on the development of leadership programs and knowledge materials. 3. Enhancing Leadership Capacity: This pillar envisions supporting the evolution and development of dynamic, action-learning programs to support capacity development of change agents and to institutionalize the CL4D approach, with a focus on enabling behavior change for development. The thinking is that this will be a step forward from training programs aimed at specific projects or at individual or team development. In partnership with regional and national institutions, the Global Partnership could collaborate on leadership workshops and other similar activities for government leaders and change agents on the ground. Taking this line of thinking forward, the Partnership could also conduct Training of trainer (ToT) programs for regional institutions (such as National Academies of Administration) to train their faculty on collaborative leadership programs focused on enabling behavior change in constituents. 4. Providing Implementation Support: The fourth pillar supports implementation of projects on the ground. The idea is for leadership and change management approaches, tools, and methodologies to be incorporated in operational work to help strengthen government implementation teams to overcome obstacles to implementation and accelerate the achievement of development results. As part of a continuation of existing programs, the Partnership could also explore how it could collaborate in terms of providing leadership support to Cabinets for national- or state-level strategic planning and coordination. Another area of collaboration could include supporting client teams in the mobilization of multi-stakeholder coalitions for sustaining reforms. The Global Partnership would thus contribute substantively and significantly to the growing of the arena for change. Some outputs could potentially include: • Integrated platform that allows actors to share information in real time and support development of an empirical evidence base that can enhance learning and inform
  41. 41. CL4D Experience and Learning 35 future action • Dynamic, action learning programs to support capacity development of change agents, with a focus on enabling behavior change and results • A range of options to support to implementation teams to successfully overcome obstacles and accelerate progress • Coordinated, mutual reinforcement of efforts by partners in the field of leadership and coalition building, including exploration of funding mechanisms to sustain efforts in this field. Several of the above mentioned themes directly support the work that the CL4D program has expanded into over the past years. The future of the CL4D program is closely tied to both the Global Partnership and the successful ability of team members to embed the approach within the operations of the WBG.The ultimate aim is for the collaborative approach espoused by the CL4D program to be adopted as part of routine operations of the WBG, thereby making a big impact on the way development is done. Conclusion The CL4D program has demonstrated value in bringing together a range of perspectives and experiences to sharpen the challenge and identify root causes. It has consistently sought to surfacesolutionsfromconcernedclientsandpartnerstoenhanceownershipandengagement. It has helped clients to collectively learn to look at things differently and mobilized them to act differently for different results. In today’s complex world, such an approach is essential in enhancing and accelerating progress in achieving results.
  42. 42. 36 Contents “ ” The path from the status quo to the desired state is littered with uncertainty. What is needed are mechanisms that enable reformers to deal with this uncertainty on a day-to-day basis. This goes beyond the basic adage of forming a coalition to support a reform effort. It means that members of that coalition have to be knitted tightly into a well-coordinated team that can develop and implement strategy as events unfold. –Ian Goldinn, in Campos and Syquia, 2006
  43. 43. Annex 1 37 Annex 1. Collaborative Leadership for Development: Theory of Change There exists a gap between where projects are (current state) and where we want them to be (desired state).30 The current state is the result of a particular way of doing things. Existing mindsets, organizational structures, and incentives account for the status quo. Moving toward the desired state requires change. Assumptions, mental models, and behaviors will have to be reviewed and modified. Reducing the gap between the current and desired state is therefore a unique leadership challenge. Why? Because, in order to do so, a complex array of stakeholders will have to be mobilized to review their assumptions and mental models and modify their behaviors to align with reaching the desired state. Ultimately, stakeholders need to see, think, and behave differently. Development problems are more complex than generally assumed. The predominant view is that to“solve”them we need to apply technical solutions—solutions that can be found elsewhere—and that technically competent personnel can bring to bear their expertise on the problem to “solve” it. Complex development problems also have another dimension. We call this dimension “adaptive challenges.” These challenges require that the people with the problem acquire new ways of doing things, that they review their values and learn to do better. This is a process that takes time and focus, requires experimenting during implementation, and demands group learning and adaptation. It is an iterative process. Collaborative Leadership for Development (CL4D) offers frameworks and tools to help teams address complex, intractable, or new challenges, where existing approaches do not provide an answer. It does so by enabling a transition toward more reflective thinking, reviewing assumptions and mental maps, and collectively constructing a different way of seeing, thinking, and working in order to get different outcomes from the ones at hand. The approach seeks to contribute to WBG operations and country project teams to make progress in addressing their complex challenges and getting results on the ground to advance the Project Development Objectives. The Framework: Adaptive Leadership Adaptive Leadership provides the theoretical framework for our program. It posits that leadership is largely about actions, not just about the position that one holds. Leadership is the ability to mobilize people and resources for the common good. Key distinctions and concepts form the core of the Adaptive Leadership framework: 30.  This piece was developed by Manuel Contreras, Najma Siddiqi, and Ajay Tejasvi as background material for the CL4D Clinics, 2015.
  44. 44. 38 Annex 1 • Technical problems and adaptive challenges helps us differentiate between problems and solutions that are known (for which people have the competence to solve) and challenges that require us to re-examine our roles, processes, and underlying values. Addressing adaptive challenges requires leadership actions because it is our ability to mobilize people and resources to deal with these often hidden challenges that will make the difference. • Formal authority versus informal authority shows us that to exercise leadership we need both formal authority, which is constant, and informal authority, which changes as a function of our interventions in a social system. • Social function of authority helps us understand the social expectations people have of those they see as leaders. It also explains the inherent tension that arises from tackling adaptive challenges, because those expectations will be tested when the work of reviewing assumptions and values is given back to the people. Core Concept: Political Economy and Collective Action Constraints In any change or development endeavor, we need to understand the current reality and the current allocation of resources. Political economy analysis—and, more specifically, collective actionconstraints—helpsexplainwhyitishardtomobilizepeopleandresourcesforacommon cause. Identifying the constraints helps us better understand which types of solutions might be needed. A few of the constraints are as follows: • Tragedy of the commons occurs when several people exploit a shared but limited resource and deplete the resource. • Information asymmetry occurs when one party has information that gives them an advantage over others. • Agenda setting occurs when some people strategically shape the discussion to a desired outcome. This can become either a solution or a problem. • “Free rider”problem occurs when those who benefit from resources, goods, or services do not pay for them, which results in an under-provision for those goods or services. Taking political economy into consideration in an operationally relevant way when designing a program can help reduce the risk that the program will be derailed midstream which, in the context of WBG lending, is reflected in slow disbursements or no disbursement. Often enough, we end up having to radically restructure projects because we have failed to takethepoliticaleconomyaspectsofasituationintoaccountduringdesignorimplementation. The CL4D approach combines political economy analysis and stakeholder influence mapping to help understand the landscape, the players, and the“rules of the game”to inform the design and implementation of projects.
  45. 45. Annex 1 39 Implementation Methodology: Rapid Results Approach To support implementation, the CL4D program has had success with the Rapid Results Approach. Principles within the approach can be leveraged even when Rapid Results Initiatives are not used. These include the following: • Readiness is what people are willing and able to do and includes their motivation, understanding of the issues, resource commitment, skill level, scope and pace of the project/reform, experience with critical stakeholders, and history with the current situation. • Implementation Gap refers to the difference between what a person and organization is willing and capable of doing and all the steps that they would have to carry out to successfully implement the solutions developed or recommended. Recognizing these can point to entry points for CL4D support and RRI support. • Leveraging the short term. Often people are stuck because a problem is large and complex. The Rapid Results Approach teaches us how to leverage to short term to deliver outcomes, which can help stakeholders learn how to tackle their larger problem. • Results instead of activities. In order to leverage the short term, practitioners must focus on outcomes, not just activities. These outcomes form the foundation upon which long-term reforms can be built. The Process The framework and concepts above are what drive the CL4D theory of change to focus on the how: how to move from the current state to a desired future state. We argue that by using the adaptive leadership framework, applying political economy analysis, and focusing on results, we can create outcomes that build the foundation for continued progress over the long term. In this process, we use a number of flexible tools and methods to understand the context, build teams, create connections, and change social paradigms, to find the way forward, stimulate collective action, and achieve tangible results. Ourapproach,embeddedinWBGoperations,isproblem-driven,solution-focused,hands- on work with multi-stakeholder teams that supports deeper analysis and experimentation, encourages learning by doing, maps actions, and tracks progress closely to achieve tangible results. We highlight the individual and the group, collective and collaborative work, and build on the drive to create a better future. Our framework of transformation is focused on creating public value. In a nutshell, we can say that our initiatives are based on the following: 1. AppreciatingandworkingwithyourselfBEFOREyouworkwithothers,whichrequires an understanding and ability that we seek to enhance with self-mastery.