Leadership and Effectiveness of Transnational NGOs: Perspectives from cross-sectoral research

1. Leadership and Effectiveness of Transnational NGOs: Perspectives from cross-sectoral research Steven J. Lux Transnational NGO Initiative Moynihan Institute of Global Affairs

2. Outline • Rationale for interview study • Design: sampling, protocol and interview process • Coding, data structure and data transformation • Preliminary findings TNGO Initiative @ The Moynihan Institute of Global Affairs

3. Rationale • A rapidly growing awareness of TNGOs is not matched by systematic and interdisciplinary research efforts; • In particular, we diagnose a dearth of large-N studies cutting across size, sectors, and financial capacity; TNGO Initiative @ The Moynihan Institute of Global Affairs

4. Objectives • Create data in a cross-disciplinary context, using quantitative as well as qualitative tools; • Add the perspective of TNGO leadership on their role in global governance; • Develop a research program integrated with teaching and practitioner engagement; TNGO Initiative @ The Moynihan Institute of Global Affairs

5. Design/sampling • In-depth interviews with leaders from 152 US-registered TNGOs; • Sample selection: 1. sector, 2. size, 3. financial health and capacity; • Selected from a population rated by Charity Navigator in 2005; TNGO Initiative @ The Moynihan Institute of Global Affairs

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9. Limitations of the sample • The claim of representativeness is limited to US-registered TNGOs, not global community of such orgs. • Charity Navigator provided a specific population, but was the only one containing financial ratings. TNGO Initiative @ The Moynihan Institute of Global Affairs

10. Interview protocol • Changes in organizational goals and governance structures • Effectiveness and its assessment • Accountability • Funding as related to effectiveness and accountability • Communication, collaboration, networks and partnerships • Leadership characteristicsand preparation TNGO Initiative @ The Moynihan Institute of Global Affairs

11. Interview process • Response rate: 123 out of 177; in-sample replacements • Interviewees largely top leaders (81%); • Researcher visit headquarters; • Interviews lasted an average of 85 minutes; TNGO Initiative @ The Moynihan Institute of Global Affairs

12. Limitations of the method/ coding • What measures did we take to increase the candor of TNGO leaders’ answers? • Confidentiality was guaranteed. • Interviewers assessed candor after the interview. • Most TNGO leaders exceeded the time commitment, indicating a strong interest in the results. TNGO Initiative @ The Moynihan Institute of Global Affairs

13. Coding process • Professional transcriptions; • Atlas.ti software used to code interviews; • Development of codebook; TNGO Initiative @ The Moynihan Institute of Global Affairs

14. Alignment TNGO Initiative @ The Moynihan Institute of Global Affairs

15. Emerging findings • Motives and goals • Effectiveness • Accountability • Leadership • Networking and partnerships TNGO Initiative @ The Moynihan Institute of Global Affairs

16. Bridging the gap A general conclusion: When we look across data in different areas of the interview protocol, one of the striking results is the consistent gap between the academic literature and practitioners’ perspectives. TNGO Initiative @ The Moynihan Institute of Global Affairs

17. Motives • How do we best understand TNGOs? • Principled and interest-driven views compete in the current debates, in particular in IR. • Interviews show that TNGOs are not best understood as either principled or interest-driven actors. • Strategic pursuit of impact: TNGOs pursue principles within a dynamically constrained environment. TNGO Initiative @ The Moynihan Institute of Global Affairs

18. Effectiveness • Leaders conceptualize effectiveness largely as goal attainment and evaluation -- outcome accountability • Stronger conceptualization of goal attainment at the program level than at the organizational level • Resource availability/growth, overhead minimization and stakeholder satisfaction are far less pervasive in the answers TNGO Initiative @ The Moynihan Institute of Global Affairs

19. Effectiveness: a gap • TNGOs monitor outputs closely but relegate outcome attribution to narrative process tracing or speculation (lack of rigor). • Definition of effectiveness as goal attainment contrasts sharply with the academic literature which has largely abandoned goal attainment for proxy measures, including reputation or resource acquisition. TNGO Initiative @ The Moynihan Institute of Global Affairs

20. Defining Accountability • TNGO leaders primarily focus on three dimensions of accountability: financial management, mandate and transparency; • TNGO leaders are less likely to mention the following dimensions of accountability: responsiveness, evaluation, and participation; TNGO Initiative @ The Moynihan Institute of Global Affairs

21. Benefits of Accountability • Service-delivery organizations emphasize growth as the main benefit of accountability; • Advocacy organizations emphasize reputational benefits; TNGO Initiative @ The Moynihan Institute of Global Affairs

22. Accountability: a gap • TNGO leaders are satisfied with the level of their organization’s accountability • The three dimensions of accountability emphasized by TNGO leaders are least likely to lead to organizational learning. • TNGO leader perspectives confirm a gap between their current practice and ideas advanced by standard-based initiatives and the academic literature. TNGO Initiative @ The Moynihan Institute of Global Affairs

23. Leadership • Leadership behavior in the face of constraints: • 57% of leaders ‘work within the system’, i.e. make incremental changes rather than challenge governance constraints head-on (‘constraint respecters’) • 11% prefer to ‘work behind the scenes’ • 13% challenge constraints head-on TNGO Initiative @ The Moynihan Institute of Global Affairs

24. Leadership • 19% have ability to either challenge directly or indirectly, depending on context; TNGO Initiative @ The Moynihan Institute of Global Affairs

25. Networking/partnerships: definition • Networks: informal, loose relationships among organizations, sub-units or individuals. Membership tends to be more homogenous. • Partnerships: more formal working or contractual relationships between institutions. Different types of expertise brought together. TNGO Initiative @ The Moynihan Institute of Global Affairs

26. Networking/partnerships: motives and benefits • TNGOs join networks primarily to interact and share resources (information, expertise…). Networks help TNGOs raise their voice and may help in identifying sources of funding or potential partners. • TNGOs form partnerships primarily for joint implementation. Partnerships can attract donor support, improve effectiveness/efficiency, and increase transparency. TNGO Initiative @ The Moynihan Institute of Global Affairs

27. Networking/partnerships: answer samples • “a network expands your universe” (Interview No. 150) • “need to pool resources to actually be able to do this project; [we are] doing it jointly and splitting the budget” (Interview No. 27) TNGO Initiative @ The Moynihan Institute of Global Affairs

28. Networking/partnerships: challenges • Networks: lack of commitment, may involve wasting time and resources. • “We get tired because often the network is over time” (Interview No. 142) • Partnerships: inequality and (un)fair distribution of benefits. • “For an NGO getting one percent of the one percent of a fortune five-hundred company’s annual revenues, [how can you] call that a partnership?” (Interview No. 148) TNGO Initiative @ The Moynihan Institute of Global Affairs

29. Future plans • Research collaboration • Data sharing • Practitioner engagement • Summer Institute • Education TNGO Initiative @ The Moynihan Institute of Global Affairs