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

2.  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 Outline

3.  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 Rationale

4.  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 Objectives

5.  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 Design/sampling

6. TNGO Initiative @ The Moynihan Institute of Global Affairs

9.  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 Limitations of the sample

10.  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 characteristics and preparation TNGO Initiative @ The Moynihan Institute of Global Affairs Interview protocol

11.  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 Interview process

12.  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 Limitations of the method/ coding

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

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

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

16. TNGO Initiative @ The Moynihan Institute of Global Affairs 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.

17.  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 Motives

18.  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 Effectiveness

19.  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 Effectiveness: a gap

20.  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 Defining Accountability

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

22.  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 Accountability: a gap

23.  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 Leadership

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

25.  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 Networking/partnerships: definition

26.  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 Networking/partnerships: motives and benefits

27. N “a network expands your universe” (Interview No. 150) P “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 Networking/partnerships: answer samples

28.  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 Networking/partnerships: challenges

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