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- 19 - Politics and International Studies
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- The University of Birmingham
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- 19 - Politics and International Studies
- Summary impact type
- Societal
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Cheeseman’s deep election monitoring (DEM) provides a new model to combat electoral manipulation which represents a real threat to democratic stability. To date, this new form of election observation has been adopted by the UK in Kenya, Ethiopia, and Malawi, and the United Nations in Nigeria. It has resulted in effective interventions and ensured a smooth transfer of power, without mass demonstrations, civil unrest and loss of life. Changes in the Westminster Foundation of Democracy’s approach have improved legislative accountability in six countries that are home to over 170 million people, and has changed how they manage their democracy promotion programmes. In addition, better government policy has been implemented in 38 developing countries.
2. Underpinning research
Cheeseman’s research focuses on elections in regimes that claim to be democracies but feature predominantly authoritarian political systems. The team that he leads as part of the Political Economy of Democracy Promotion project has conducted nationally representative surveys (three countries, 8,500 respondents), semi-structured interviews (200 in six countries), and comparative cross-national analysis in order to better understand how authoritarian leaders manipulate the image of democracy to sustain authoritarian rule. This work has generated four key findings that have collectively helped to place electoral fraud and the need to strengthen domestic accountability mechanisms at the heart of the academic and policy debate in the field of democratization.
F1. The average quality of elections is low, especially in new democracies, and new strategies of electoral manipulation are becoming increasingly widely used. How to rig an election [R1] documented the existence of a “Dictator’s Toolbox” of six strategies that enable incumbents to achieve an unfair electoral advantage, and revealed how authoritarian leaders can swap out of overt political violence and in to subtler strategies such as “low profile” intimidation in order to make manipulation harder to detect.
F2. Existing techniques of election observation are insufficient to detect and expose fraud. Traditional methods of election monitoring which rely on randomly deploying a small number of teams to watch the process of voting at the polling station level have been shown to be poorly placed to detect fraud in a new era of strategic rigging [R1, R2]. They also have limited usefulness — because they were not designed for this purpose — when it comes to helping international donors to identify the most effective interventions to reduce and manage electoral controversies during the campaign itself.
F3. International democracy promotion is most likely to be successful when Western aid donors adopt a ‘portfolio’ approach, identifying a mixture of projects with different profiles. Programs designed to support democracy abroad can be better designed and targeted by moving away from planning and evaluating individual projects on a case-by-case basis. Instead, it is critical to consider the distribution — or portfolio — of projects being undertaken on the basis of two dimensions: narrow vs inclusive approaches and institutional vs issue-based interventions [R3]. By developing a typology based on different combinations of these two dimensions, Cheeseman revealed how donors can select programs with different risk profiles to balance their desire for ‘big wins’ against the need to demonstrate value for money.
F4. Technocratic approaches to strengthening civil society are unlikely to generate systematic transformation unless they adopt an inclusive approach that engages with local contexts and populations [R4, R5]. Cross-national collaborations are only likely to build the critical mass required to generate systemic change within civil society if they engage with more explicitly political organizations and are able to contextualize their approaches.
3. References to the research
R1. Nic Cheeseman, How to Rig an Election, Yale University Press, 2018.
R2. Nic Cheeseman, Gabrielle Lynch and Justin Willis, ‘Digital Dilemmas: The Unintended Consequences of Election Technology’, Democratization 25, 8 (2018): 1397–1418.
DOI: 10.1080/13510347.2018.1470165
R3. Nic Cheeseman and Susan Dodsworth, ‘Risk, politics, and development: Lessons from the UK’s democracy aid’, Public Administration and Development 38, 2 (2018): 53–64.
DOI: 10.1002/pad.1822
R4. Nic Cheeseman and Susan Dodsworth, ‘Ten Challenges in Democracy Support and How to Overcome Them’, Global Policy, (2018).
DOI: 10.1111/1758-5899.12567
R5. Nic Cheeseman and Susan Dodsworth, ‘The Promise — and Pitfalls — of Collaborating with Development Organizations in Africa’, African Affairs 117, 466 (2018): 130–145.
DOI: 10.1093/afraf/adx041
Evidence of quality
Grant of £470,000 from the East African Research Fund of the UK Government for “Early Warning and Long-term Monitoring” of the Kenyan general elections of 2017 (EA/014).
Grant of £120,000 as part of the Anti-Corruption Evidence research consortium (ACE) funded by DFID and based at School of Oriental and African Studies (SOAS) for research on anti-corruption messaging in Nigeria.
4. Details of the impact
Cheeseman has changed UK policy in respect of electoral monitoring and approach to elections. His work on democracy has also changed the way that the Westminster Foundation for Democracy (WFD) works with civil society on legislative scrutiny and has significantly contributed to changes in the way that democracy promotion programmes are managed.
- Transforming policy through the UK Government’s (FCO) adoption of ‘deep election monitoring’
The FCO has changed its approach to election monitoring, adopting a new model of ‘deep election monitoring’ (DEM) that was developed by Cheeseman [C1; F2]. The DEM approach provides international donors advance warnings of likely ‘trouble-spots’ and improves the efficacy of their interventions [F1]. This approach combines the expertise of UK researchers with country experts, and is regarded as best practice. For example, the UK High Commissioner for Kenya and the Head of Governance for DFID/FCDO Kenya, describe DEM as a model “for the real-time use of external evidence in international policy-making” [C2] and “for how the British government can engage with policy-makers to try and ensure more credible, peaceful and inclusive elections” [C3]. That this is so is further evidenced by its adoption in other countries, including Nigeria [C4] and Ethiopia [C5]. Through this method, international donors, including the UK Government, are better able to understand key electoral risks and so design more effective interventions. This has in turn helped to better manage electoral controversies in countries with a combined population of over 300 million [C2, C3, C6].
Two examples of countries where the DEM has been successfully used are Kenya and Malawi:
The DEM was utilized in the 2017 Kenyan election, resulting in a more effective international response [C2, C7]. Significantly, the DEM helped — along with broader international and domestic efforts to deter violence — to reduce the number of fatalities linked to the election from more than 1,000 in 2007 [C7] to 92 in 2017. The DEM was used to predict that the election would result in a narrow and disputed victory for the incumbent. Through regular reports and face-to-face briefings with the UK High Commissioner, the researchers advised Western aid donors to establish effective conflict resolution mechanisms ahead of election day [C3]. These included back-room channels for private negotiations between the leading candidates and investments in local peace programmes.
Malawi pursued a similar approach ahead of the re-run presidential election of 2020. The DEM “played a role in persuading President Mutharika and the ruling party to allow high quality elections and ultimately accept defeat” [C6] — sparing the country the mass demonstrations that resulted in the death or serious injury of over 60 people following the disputed 2019 poll. In order to design interventions to prevent a repeat of the 2019 elections — which were nullified in the courts amid accusations of electoral manipulation — Cheeseman teamed up with leading Malawian researchers to advise the UK High Commissioner and DFID’s Senior Governance Adviser over a period of three months [C6]. This involved drawing on the lessons from How to Rig an Election [R1] to identify the most likely areas of electoral manipulation [F1, F2], identifying key messages to dissuade President Peter Mutharika from pursuing these strategies, and drafting statements for the High Commission to communicate these messages both publicly and privately [C6].
- Improving quality of legislative scrutiny by changing how the Westminster Foundation for Democracy works with civil society
The Westminster Foundation for Democracy has changed its approach to strengthening legislative accountability by integrating civil society partners in this area of their democracy promotion work for the first time [C8, C9], resulting in improved quality of legislative scrutiny in six of their partner countries that are home to over 170 million people (Kenya, Malawi, Uganda, Nigeria, Albania and Kyrgyzstan). The Westminster Foundation for Democracy — the UK’s premier democracy promotion organization that is funded directly by the UK Government with an annual budget of over £7 million — has changed the way it works with civil society groups since 2018 following research-based advice from Cheeseman and Dodsworth [F3]. From then, civil society groups became a core component of their strategic plan [C8]. The WFD’s Head of Research confirmed the significance of this new approach, which “explicitly integrates civil society partners for the first time” [C9], enabling WFD to work with a broader range of political and technical groups to strengthen legislative committees and provide parliamentarians with greater access to information, enhancing accountability in new democracies [F4]. As a result, since 2018 WFD has been spending around £2 million of its budget more effectively [C9]. In turn, this has facilitated greater strengthening of democratic processes and institutions than was previously possible and delivering “tangible benefits” [C9] to the legislatures and civil society groups that the WFD supports in 30 developing countries with over 400 million citizens [C8].
This NGO influence came about after the WFD invited Cheeseman to establish the Political Economy of Democracy Promotion project as a collaboration between WFD and the University of Birmingham [C10]. In 2017, the researchers and WFD identified how best to work with civil society and manage political risk as two areas in which academic research could benefit the organization, subsequently producing a working paper on each topic [F4]. The trust built up through the project enabled the key findings to be quickly incorporated into WFD programming, leading to the investment of funds in a way that more effectively leverages the influence and information of civil society groups.
- Changing the management of democracy promotion programmes
The WFD have implemented a fundamentally new approach to its own internal programme management. Cheeseman and Dodsworth’s work on portfolio approaches was used to restructure the way the WFD selects and monitors programmes, so that their risks and potential benefits are considered as a group rather than on a case-by-case basis [F3]. As a result, the WFD has been able to keep democracy promotion programmes running even in extremely difficult cases in which countries have undertaken an authoritarian turn, as in Venezuela [C9]. WFD estimates that this has improved the quality of legislative scrutiny, and hence improved government policy in key areas such as the budget and healthcare for over 170 million people across six countries [C9].
5. Sources to corroborate the impact
C1. East Africa Research Fund grant from Foreign Commonwealth Office/Department for International Development (DFID) in Kenya for Deep Election Monitoring [Available as PDF]
C2. Testimony from UK High Commissioner for Kenya (27th September 2018) [Available as PDF]
C3. Testimony from Head of Governance, FCDO Kenya (18th November 2020) [Available as PDF]
C4. Terms of Reference for the Deep Election Monitoring project to be replicated in Nigeria [Available as PDF]
C5. Terms of Reference for the Deep Election Monitoring project to be replicated in Ethiopia [Available as PDF]
C6. Testimony from former British High Commissioner to Malawi, FCDO (17th December 2020) [Available as PDF]
C7. DFID evaluation of support to Kenyan elections, November 2019 [Available as PDF]
C8. Westminster Foundation for Democracy strategic plans for 2017–2022 [Available as PDF]
C9. Testimony from Research Director, Westminster Foundation for Democracy, UK [Available as PDF]
C10. Westminster Foundation for Democracy contract with the University of Birmingham [Available as PDF]
- Submitting institution
- The University of Birmingham
- Unit of assessment
- 19 - Politics and International Studies
- Summary impact type
- Societal
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
In October 2010, UN peacekeepers inadvertently introduced cholera to Haiti for the first time, causing the death of over 10,000 Haitians and infecting nearly 1 million. The UN initially refused to accept responsibility for the outbreak. Our research was influential in reversing this position, leading to the UN taking responsibility and giving an unprecedented apology to the Haitian people. Specifically, we:
(1) Informed and influenced the UN’s policy on responsibility, setting a precedent for future UN actions;
(2) Transformed UN policy on accountability, through the adoption of the human rights-based Resolution Summit Framework;
(3) Improved the health and public outcomes of the Haitian people through reparations in the form of a $400 million trust fund.
2. Underpinning research
While tasked with peacekeeping operations in the aftermath of the January 2010 earthquake, the United Nations Stabilization Mission in Haiti (MINUSTAH) inadvertently introduced a cholera epidemic that resulted in widespread illness and further devastated the country. Cholera victims and their families had appealed to the UN for reparations, but without success [R1, R2]. The UN refused to accept moral or legal blame for the epidemic and invoked its right to immunity from prosecution, which prevented victims from accessing a court or any form of reparation.
Through in-depth interdisciplinary case-study research, co-designed and co-produced with relevant stakeholders and including extensive fieldwork, Lemay-Hébert and Freedman (School of Law at the University of Birmingham), combined political science, international relations and international law approaches in their research to identify a resolution to the stalemate. The resulting policy framework enabled the UN to accept moral responsibility and, eventually, to identify and implement a feasible and viable response for the victims and their communities. This framework was underpinned by four key research findings:
F1. The UN had a moral and legal responsibility for the cholera outbreak and, therefore, was duty-bound to provide reparations to those affected by the cholera epidemic [R1, R2]. Lemay-Hébert and Freedman documented the causal role played by the UN in bringing about the cholera outbreak and established the moral and legal case for UN responsibility. The UN originally claimed it had no responsibility for the outbreak, insisting that it was caused by a ‘perfect storm’ of unfortunate circumstances that were out of their control [R2, R3, R4]. However, independent proof that a lack of clean toilet facilities in peacekeeping camps led to infected faecal waste draining into the main tributary of the Artibonite River, on which over 1.5 million Haitians rely for cooking, cleaning, washing, and drinking, meant that the UN should be held accountable [R5].
F2. The cholera outbreak should be considered a human rights issue rather than a securitised humanitarian one [R3, R4]. Lemay-Hébert and Freedman argued that the cholera outbreak and the subsequent handling of the epidemic by the UN constituted a violation of the human right to health of Haitians. This claim rested on the assertion that there should be a distinction between the UN acting as an organisation (which can invoke immunity) and acting as a sovereign power within a state’s territory (where immunity should be overridden). Because the UN had taken on functions of the state at the time of the outbreak (through the Interim Haiti Recovery Commission) and the Haitian government had temporarily disbanded for this period, the UN therefore must be bound to any obligations that arose from the threat to health posed by the epidemic [R2].
F3. The UN’s immunity from legal processes should be interpreted in the broader context of human rights law and should be overridden when it prevents citizens accessing a remedy. With the UN initially labelling victim compensation claims as ‘not receivable’ and invoking their immunity under Section 2 of the Convention on the Privileges and Immunities of the United Nations, Lemay-Hébert and Freedman highlighted the barriers to victims exercising their right of access to court and how these might be challenged legally [R1]. They found that, despite being responsible for the cholera outbreak through inadequate screening protocols and sanitation [R2, R3], the UN failed to provide alternative dispute resolution mechanisms for victims [R3].
F4. The most effective form of reparations would be victim-centred and focus on the needs of survivors. Because the UN failed to provide alternative dispute-resolution mechanisms for victims and had effectively securitised the situation [R4], it became paramount to increase global efforts seeking justice for the cholera victims.
The most effective approach to compensation would be individual reparations to recognise two categories of victim: survivors and family members of those who died. Individual reparations would be better received than collective ones, as it would enable those affected by the cholera epidemic to regain material loss suffered [R1].
3. References to the research
R1. Freedman, R., and Lemay-Hebert, N. (2017), Haiti: Cholera Report, Miami: Kimberly Green Latin American and Caribbean Center. Available on Latin America and Caribbean Centre website
R2. Freedman, R., and Lemay-Hébert, N. (2015) “‘Jistis ak reparasyon pou tout viktim kolera MINUSTAH’: The United Nations and the Right to Health in Haiti”, Leiden Journal of International Law 28(3): 507–527. DOI: 10.1017/S0922156515000278
R3. Freedman, R., and Lemay-Hébert, N. (2015) “Towards an Alternative Interpretation of UN Immunity: A Human Rights-Based Approach to the Haiti Cholera Case”, Questions of International Law 8(19): 5–18. ISSN: 2284-2969
R4. Lemay-Hébert, N. (2014) “Resistance in the Time of Cholera: The Limits of Stabilization through Securitization in Haiti”, International Peacekeeping, 21(2): 198–213. DOI: 10.1080/13533312.2014.910399
R5. Freedman, R., Lemay-Hébert, N., Pierre, P., and Thelin, K. (2017) “A Roadmap for the UN to Resolve the Haiti Cholera Dispute”, Georgetown Journal of International Affairs, 13 April 2017. Available on Georgetown Journal of International Affairs website
4. Details of the impact
The impacts of this case are threefold: (1) In a dramatic u-turn, the UN reversed its policy and took responsibility for the cholera outbreak in Haiti. This sets a precedent and has ramifications for all subsequent UN actions; (2) Through the adoption of the human rights-based Resolution Summit Framework, UN policy has been transformed; (3) Reparation has been made to the Haitian people through the creation of a $400 million trust fund. This has led to improved public health outcomes in the communities most affected by the epidemic.
- Reversed UN policy on responsibility through a court challenge
In December 2016, the UN General Assembly recognised “that the United Nations had a moral responsibility to the victims of the cholera epidemic in Haiti” [F1, F2; C1]. Speaking in French and English, as well as, for the first time in such circumstances, in a non-official UN language, Haitian Creole, the UN Secretary-General issued an apology to the people of Haiti, expressing that the organisation “simply did not do enough with regard to the cholera outbreak and its spread” [C2].
This was a reversal of policy with regard to UN responsibility to which the University of Birmingham’s work was pivotal [F3]. This was done in an amicus curiae brief, submitted in May 2014, in support of the lawsuit brought by the Institute for Justice and Democracy in Haiti (IJDH) in the US courts ( Georges et al. v. United Nation) [C3]. The human rights-based approach, which deemed the UN accountable for the Haiti cholera crisis, and underpinned the brief was developed by Lemay-Hébert and Freedman [F2]. The specific challenge failed in the US courts, but it helped to elicit a new willingness from the UN for a resolution outside of court. In a statement released by the Secretary-General on the 19 August 2016 (a day after the court decision), he describes both regret and a moral responsibility of the UN and international community to eliminate cholera and states that he is “actively working to develop a package that would provide material assistance and support to those Haitians most directly affected by cholera” [C2]. Such willingness represented a fundamental shift from the UN’s original position and reversed the position, eventually leading to the 2016 apology and acceptance of responsibility.
This amounts to unprecedented recognition “that the United Nations had a moral responsibility to the victims of the cholera epidemic in Haiti, as well as to support Haiti in overcoming the epidemic and building sound water, sanitation and health systems” [F1, F2; C1]. This is a substantial reversal of policy, a rejection of UN immunity, and it has set a precedent for accountability, apology, and reparation.
This reversal sets a precedent and has long-term ramifications for public policy and legal accountability that are likely to be significant.
- Transformed UN policy through the adoption of the Resolution Summit Framework as a lobbying tool
Lemay-Hébert and Freedman convened a Resolution Summit at the University of Birmingham in December 2015, attended by experts from the UN and NGOs, where they designed and agreed a framework ( the Resolution Summit Framework). The framework was based on the human rights approach advocated by Lemay-Hébert and Freedman and intended to be acceptable to the UN, its Member States, and Haitian victims. The framework called for three actions [C4]:
1) an apology from the UN to the people of Haiti;
2) preventive measures to avoid future deaths and suffering;
3) financial compensation for the victims.
That Lemay-Hébert’s and Freedman’s work was crucial is confirmed by experts who attended the summit and attested that “the Birmingham project has been instrumental in helping to achieve a resolution acceptable to all parties” [C5a].
The framework subsequently served as a campaign tool to engineer policy change, equipped representatives with a research-based human rights argument for reparative justice, and encouraged a coordinated approach to raising the issue. The framework was adopted as the IJDH’s official recommendations to the UN to guide their actions on reparations in Haiti. Lemay-Hébert, Freedman, and NGOs, including the IJDH and Partners in Health, lobbied to have the framework adopted.
In March 2016, at the UN Security Council, the Security Council member states were asked to support the framework and to adopt a coordinated approach to review the UN peacekeeping mission in Haiti (MINUSTAH). That policy-makers recognised the importance of the issue is evidenced by the changes in policy discourse. For example, in the MINUSTAH review, which was the first discussion of cholera as a human rights issue in the Security Council, the UK representative specifically acknowledged that “more needs to be done to defend the vulnerable people of Haiti against cholera and rid Haiti of that pervasive disease” [C6, p. 11]. In the same debate, Peru and Saint Vincent and the Grenadines, speaking on behalf the Group of Friends of Haiti (11 states) and CARICOM (14 states), respectively, also expressed unanimous support for a change in UN public policy concerning cholera in Haiti [C6, pp. 23, 29].
Recommendations contained in Lemay-Hébert’s and Freedman’s research [F1–F4] and outlined at the Resolution Summit [C4, C5a-c] were cited extensively in the report by the UN Special Rapporteur on extreme poverty and human rights in August 2016. The report criticised the UN’s handling of the cholera epidemic, in particular “the refusal to address the human rights violations that have occurred […] as a result of the cholera epidemic” and pushed for the Secretary-General to change his position on the issue, recommending the three-part Resolution Summit Framework as a new policy direction [C7]. The Special Rapporteur explicitly acknowledged that “ the framework that was produced at the Birmingham workshop has informed the approach taken in terms of the three aspects needed to resolve the disputes” [C5c].
In September 2016, Lemay-Hébert and Freedman wrote to the UN Secretary General, to reiterate the recommendations made in the Resolution Summit Report. The letter was co-authored, with other key legal, health, and human rights experts, and it proposed that the UN’s Haiti cholera “response must include a public apology, compensation for victims, and full funding for cholera elimination” [F4; C8]. According to one of the participants at the workshop, the Deputy Chief Medical Officer for Partners in Health, this lobbying effort ‘contributed to a changed approach to remedying the situation’ [C5b]. In December 2016, after years of silence, the UN General Assembly adopted the three recommendations contained in the Resolution Summit Framework developed in Birmingham.
3. Through the introduction of reparations, in the form of a trust fund, Haitian public health and patient outcomes have been improved
In addition to the Secretary-General’s apology, the UN announced that a trust fund worth $400 million would be mobilised to provide access to justice and reparations to those who had suffered as a result of the epidemic. Evidence that the UN had reversed its policy on accountability and the eradication of cholera is the establishment of the UN Haiti Cholera Response Multi-partner Trust Fund.
Supported by donations from UN member states, to date this has raised $20.5 million, of which so far around $14.2 million have been distributed to provide collective reparations to Haitian communities affected by cholera [C9a]. Following the recommendations of the Resolution Summit in Birmingham, the UN Haiti Cholera Response Multi-partner Trust Fund has two tracks:
Track 1A: Intensifying immediate efforts to cut transmission of cholera and improve access to care and treatment;
Track 1B: Addressing the longer-term issues of water, sanitation, and health systems;
Track 2: Developing a proposal for a package of material assistance and support to Haitians most directly affected by cholera.
The UN Special Envoy for Haiti reported that “the Fund has allowed international partners to respond to some of the most immediate needs” of citizens affected by the outbreak [C9b].
Initially, the Fund supported the consultation of communities most affected, reflecting the call for an enhanced understanding of victims’ needs in reparative processes as found in Freedman’s and Lemay-Hébert’s research [F4]. Following the successful conclusion of pilot projects initiated on the basis of this consultation, $6.7 million have been allocated to projects covering 134 local communities (those hardest hit by the epidemic) [C9a] and providing material benefits to many thousands of Haitians affected by the epidemic [C9b–d].
Alongside this direct assistance provided to affected communities (Track 2), the Multi-Partner Trust Fund has also allocated resources to “intensifying support for cholera control and response” (Track 1). Since 2018, more than $3 million have been spent on projects focused on ending the transmission of cholera, improving access to care and treatment, and addressing infrastructural issues in Haiti by increasing provision and access to healthcare, sanitation, and high-quality water [F4].
The UN’s new commitment to intensify support for cholera control and response [F2, F4], and the disbursements from the Trust Fund, have improved public health and patient outcomes within the country [C9b–d]. For example, interventions from the Pan American Health Organization, who received funding from the Trust, led to a drop from around 352,033 suspected cases in cholera at its peak in 2011 to less than 100 per week by 2018. They also recorded an incidence rate for 2018 of 25.5 cases per 100,000 people “which is the lowest recorded incidence since the beginning of the outbreak” [C10]. Two years later, at the fifth meeting of the advisory committee of the Trust Fund on 20 May 2020, the Special Envoy for Haiti shared data indicating zero laboratory confirmed cases of cholera and zero deaths for 16 consecutive months.
5. Sources to corroborate the impact
C1. Report by the Secretary-General ‘A new approach to Cholera in Haiti’ [Available as PDF]
C2. UN Secretary-General Ban Ki-Moon’s apology to the people of Haiti [Available as PDF]
C3. Memorandum of Law of Amici Curiae European Law Scholars and Practitioners in Support of Plaintiffs’ Opposition to the Government’s Statement of Interest, Civil Action No. 1:13-Cv-07146-Jpo, Document 32-1, filed 15 May 2014, United States District Court, Southern District of New York. [Available as PDF]
C4. Haiti Cholera Resolution (Birmingham) Summit Outcome Report, 7 December 2015, University of Birmingham. [Available as PDF]
C5. Testimonies from experts who attended Birmingham Summit:
Former international judge [Available as PDF]
Deputy Chief Medical Officer, Partners in Health [Available as PDF]
UN Human Rights Council Special Rapporteur on extreme poverty (30th November 2016) [Available as PDF]
C6. 7651st meeting of the UN Security Council (71st year), 17 March 2016 [Available as PDF]
C7. UN General Assembly, Report of the Special Rapporteur on extreme poverty and human rights UN. Doc. A/71/40823, 26 August 2016 [Available as PDF]
C8. Letter to UN Secretary General, 19 September 2016 [Available as PDF]
C9. Trust fund data and UN-reported outcomes of funding:
Trust Fund donation data. (Accessed 19th December 2020) [Available as PDF]
Minutes of the 3rd Meeting of the Advisory Committee of the UN Haiti Cholera Response Multi-Partner Trust Fund. 22 February 2019, 02:00-04:00p.m., New York. [Available as PDF]
2019 Annual Report: UN Haiti Cholera Response. [Available as PDF]
Minutes of the fifth (20 May 2020) of the Advisory Committee of the UN Haiti Cholera Response Multi-Partner Trust Fund. [Available as PDF]
C10. Pan-American Health Organization/World Health Organization, Epidemiological Update Cholera. [Available as PDF]
- Submitting institution
- The University of Birmingham
- Unit of assessment
- 19 - Politics and International Studies
- Summary impact type
- Political
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Professor Kataryna Wolczuk has transformed the way in which the European Parliament and the European Commission use and implement the Association Agreements (AAs) for the Eastern Partnership (EaP) countries. Her work on Ukraine has been adopted as a model for other associated countries. In particular, EU policy makers have changed their definition of policy success. As a result, the policy focus has shifted from monitoring sector by sector, to a focus on state building and capacity building. Specifically, she has:
Influenced the European Parliament’s policy decisions in relation to the Eastern Partnership Countries, including a new focus on institutional architecture and organisational capacity;
Shifted policy development of the European Commission from monitoring progress to state rebuilding;
Changed the policy and practice of the European Court of Auditors in Ukraine, involving a move away from procedural compliance and towards policy effectiveness.
2. Underpinning research
The Eastern Partnership (EaP) is a joint policy initiative between the EU, its Member States and its Eastern neighbours, including Georgia, Moldova and Ukraine, to promote stability, good governance and co-operation. Policy towards the post-Soviet states in the EU’s Eastern Neighbourhood is a critical and challenging area for the EU’s foreign policy as the post-Soviet space has become an area of increasing geopolitical competition between the EU and Russia. The EU seeks to promote stability in this contested neighbourhood by offering EaP states a deeper form of integration, but without a membership perspective.
Association Agreements (AAs) are the legal treaties that lay out the strategy and framework for this cooperation, incorporating the development of political, social, cultural, trade and security links. The EU’s approach has centred on concluding AAs with EaP states, but these have resulted in a powerful backlash from Russia. Successful implementation of the AAs has been challenged further by the fact that AAs are complex legal documents, which the partner countries often are unable to implement due to a lack of capacity and resources, while the EU lacks the experience and expertise to help them tackle the challenges they face. Much of the EU’s focus has been on ‘exporting’ its rules rather than the needs and priorities of the partner countries.
Professor Kataryna Wolczuk’s long-standing and multi-faceted research expertise on the post-Soviet states — covering both domestic politics and relations with the EU — has enabled her to provide integrated, trans-disciplinary and cross-country analyses that stress the priority of state (re)building over simple implementation of the AAs. Over the last decade, Wolczuk has combined research insights from scholarship on the EU’s institutional architecture and foreign policy, international law and international development with analysis of domestic politics and public administration in Ukraine, Moldova and Georgia. Key findings from her research show that the implementation of AAs represents huge challenges in terms of the scope, depth and cost of change required for the associated countries for the following reasons:
F1. Contrary to EU assumptions, the case for the adoption of EU rules as a route to fast and cost-effective modernisation of the post-Soviet countries is not clear-cut. This means that important adaptations are required [R1, R2], in part because the reforms promoted by the EU directly undermine the sources of deeply entrenched corruption, triggering strong resistance from those who benefit from the status quo [R3, R4].
F2. Weak state capacity hinders the implementation of the AAs in Georgia, Moldova and Ukraine [R5, R6]. In particular, while the countries have taken on massive commitments vis-à-vis the EU, domestic institutions (such as government, ministries and parliaments) are too weak and lack sufficient capacity, coordination and resources to enact complex and ambitious agreements. State-building remains a priority, and indeed a precondition, for effective AA implementation. At the same time, the narrow focus, technocratic approach and short time scales of EU technical assistance are not conducive to institution building in the post-Soviet countries [R3].
F3. Georgia, Moldova and Ukraine ostensibly have adopted ‘best practices’ of implementing the AAs, but so far only in a rather superficial and ineffective way. To a considerable degree, the associated countries only pay lip service to EU requirements, given that they lack requisite political leadership, institutional capacity and coordination mechanisms to implement the agreements [R1].
Based on this diagnosis of the problem, Wolczuk has further concluded that:
F4. Only once EU institutions clearly recognise the shortcomings outlined in F1–F3 will they be in a position to promote realistic targets and offer suitable, tailored support [R6]. In order to achieve the reforms required in Georgia, Moldova and Ukraine, the EU must adopt a more flexible, realistic and differentiated approach, prioritising state-building in order to develop capacity to implement the agreements and to modernise the countries in the process of deepening their relationships with the EU [R1, R2].
F5. The EU itself lacks capacity and expertise to support the AA countries. Given the ambitious objectives of the AAs, the agreements cannot be regarded as merely bilateral free trade agreements. They require closer attention and dedicated expertise inside the EU institution. Therefore, the EU itself needs to develop the capacity to oversee the reforms and implementation of the agreements in the associated countries [R6]. This includes the need for the European Court of Auditors to incorporate local knowledge and focus more on effectiveness and results in its audits of AA countries [R2].
3. References to the research
R1. Wolczuk, K. (2008) ‘Ukraine and its relations with the EU’. In Fisher, S. (ed) Ukraine: Quo Vadis, Chaillot Papers No. 108, Institute for Strategic Studies (Paris), 87–118.
R2. Wolczuk, K. and Zeroulis, D. (2018) ‘Rebuilding Ukraine: An Assessment of EU Assistance’, Research Paper, Chatham House, London. Available on Chatham House website
R3. Ash, T., Gunn, J., Lough, J., Lutsevych, O., Nixey, J., Sherr, J. and Wolczuk, K. (2017) The Struggle for Ukraine, Chatham House Report. London.
R4. Wolczuk, K. (2016). ‘Managing the flows of gas and rules: Ukraine between the EU and Russia’, Eurasian Geography and Economics, 57(1), 113–1370. DOI: 10.1080/15387216.2016.1174072
R5. Wolczuk, K. (2019). ‘State building and European integration in Ukraine’, Eurasian Geography and Economics, 60(3), 1–19. DOI: 10.1080/15387216.2019.1655463
R6. Wolczuk, K. (2019) ‘The EU’s Deepening Approach to Ukrainian Reform Is Paying Dividends’, Expert Comment, Chatham House, London, 30 August.
Evidence of quality
ESRC grant ES/I01523X/1 (2011–2014) ‘Exploring the Role of the EU in Domestic Change in Post-Soviet States’ (Principal Investigator)
ESRC grant ES/J013358/1 (2013–2016) ‘Russia and the EU in the Common Neighbourhood: Export of Governance and Legal (In)Compatibility’ under the ‘Rising Powers and Interdependent Futures’ ESRC network (Principal Investigator)
FP7 grant GA 613354 (2014–2016) ‘Exploring the Security-Democracy Nexus in the Caucasus’ (University of Birmingham was a partner institution in the consortium led by Fondation Maison des Sciences de l'Homme)
Horizon 2020 grant GA 693382 (2016–2019) EU-STRAT ‘The EU and Eastern Partnership Countries: An Inside-Out Analysis and Strategic Assessment’ (University of Birmingham was a partner institution in the consortium led by the Free University in Berlin)
4. Details of the impact
Professor Kataryna Wolczuk has transformed the way in which the European Parliament and European Commission use and implement the Association Agreements (AAs) for the Eastern Partnership (EaP) countries. Her sustained engagement with these institutions has been influential in changing their approach to their relationships with EaP countries, despite a backdrop of political volatility in Moldova and Ukraine. Specifically, she has shaped policy decisions and policy development of the European Parliament, and changed the practice of the European Court of Auditors with regard to EaP countries.
- Influencing the European Parliament’s policy decisions in relation to the Eastern Partnership Countries
Wolczuk has influenced changes in policy decisions and legal acts of the European Parliament in two ways:
Wolczuk has enabled relevant members of the European Parliament to focus attention on the context and needs of the EaP countries [C1]. Her recommendations on how to promote reforms in the AA countries have been explicitly incorporated into three Resolutions of the European Parliament [C2a–c]. These key legal acts, which set out how the EU will implement the AAs in the EaP countries, now include specific recommendations from Wolczuk centred on improving the institutional architecture of AA countries and creating organisational capacity and processes to implement the agreements [F2, F4]. The Secretariat of the European Parliament confirmed this, noting that “the findings of [Wolczuk’s] study have been duly taken into account in several EP reports and resolutions and have informed discussions” and that “Prof. Wolczuk’s research has been and remains instrumental for the work of the EP in relation to the Association countries” [C3].
Wolczuk’s recommendation of using the Support Group for Ukraine (SGUA) as a model for other associated countries [F4, C4] has also been adopted in the Resolutions and Reports by the European Parliament, who have called on the European Commission and the European Union External Action Service (EEAS) to set up groups for Moldova and Georgia [C2a, #53; C2b, #11]. The SGUA has been essential to bring concentrated expertise to support reform in Ukraine and in helping the government to start applying the recommendations outlined in the AA implementation reports. Therefore, the commencement of similar groups is of vital importance to provide the governments of other associated countries with similar levels of support.
The uptake of Wolczuk’s recommendations in these areas were the result of her close work with the Secretariat of the European Parliament and presenting her research findings to the European Parliament’s Committee on Foreign Affairs, the largest committee in the European Parliament, of which they then requested a report [C4].
- Significantly influencing policy change within the European Commission and European Parliament from monitoring progress to state rebuilding
A significant policy change within the EU has been informed by Wolczuk’s work. Specifically, instead of focusing on the adoption of EU rules in implementing the strategy, the policy’s central focus has shifted towards prioritising state-building in Ukraine [F2, F4]. The Deputy Director-General for European Neighbourhood and Enlargement Negotiations recognised the importance of Wolczuk’s work to this change, stating that “the EU’s novel support in Ukraine is verging on transformational not only for Ukraine but for the EU’s role as an international actor” and emphasising that “this brings invaluable lessons and experience for the EU’s role in the Eastern neighbourhood and beyond” [C5]. This approach came from Wolczuk’s contribution through the seminars co-designed and delivered with multiple Directors-General of the European Commission, as well as the co-authoring of a paper with the Deputy Director-General for European Neighbourhood and Enlargement Negotiations [C5]. This approach has been central to the work of the SGUA, who have since 2015 adopted the view “that the profound reform of the public sector was necessary”, a reflection of Wolczuk’s findings [F4; C6]. The importance of this approach has been confirmed in the key policy planning document of the von-der-Leyen Commission since 2019. This confidential list of policy priorities, prepared for the College of the European Commission (consisting of all EU Commissioners), justifies continued funding for the SGUA with a specific reference to Wolczuk’s research [R6; C7].
Wolczuk has stimulated policy debate within the European Parliament, particularly the Euronest Parliamentary Assembly, resulting in a shift of the discourse around AAs. Previously, the focus had been on the progress of the AA’s implementation in different sectors, such as energy and transport, but this has now transformed to emphasise state weakness as being the key impediment to their implementation [F2]. This has enabled policy makers working in this area to shift focus from the “export of EU rules” to the AA countries to the need to build state capacity as a pre-condition to implement these rules [C8]. This has fed into the European Parliament’s reports on the implementation of the AAs [C9a–c], which now explicitly call for “a focus on capacity in terms of human resources and expertise, to ensure full implementation of relevant legislation and the monitoring thereof” [C9a, p.3].
- Changing the policy and practice of the European Court of Auditors
Wolczuk has assisted the European Court of Auditors (ECA) in changing its practices on the audit of the EU’s assistance to Ukraine. The ECA, the EU’s independent external auditor responsible for evaluating EU’s assistance to any ‘third country’, conducted their audit of Ukraine by collecting in-depth information and focusing on the results of the EU’s assistance, as recommended by Wolczuk [F5]. While previously the focus of the audits was on procedural compliance which merely sought to import EU ‘best practice’ to Ukraine, the focus now is explicitly on the substance of the projects and ensuring that an audit is focused on the effectiveness of the projects and how well they are tailored to Ukraine’s needs. A member of the ECA acknowledged the need to change the methods adopted in previous audits, stating that “we understood that EU best practices was not necessarily a solution for Ukraine” [C10], in line with Wolczuk’s research findings. The ECA’s staff consulted with Wolczuk in September 2019 at Chatham House in London, stating their intention to enact her recommendations on how to improve their auditing process for Ukraine as a reason for the meeting taking place. During the meeting, the auditors focussed on the nature of corruption in Ukraine and what is needed to eradicate it in order to “achieve a better understanding of local context and learn from past successes and shortcomings” [R3; C10].
5. Sources to corroborate the impact
C1. Testimony of a Member of the European Parliament and a co-chair of the EURONEST Assembly (13th February 2019) [Available as PDF]
C2. Resolutions of the European Parliament on the Implementation of the Association Agreements (2018)
C3. Testimony from the Secretariat of the European Parliament [Available as PDF]
C4. ‘The Development of an Institutional Framework for the Implementation of the Association Agreements in Georgia, Moldova and Ukraine: a comparative perspective’. Study, Brussels: European Parliament, 2018. [Available as PDF]
C5. K. Mathernova and K. Wolczuk (2020) ‘The Eastern Partnership. Between Fundamentals and Integration’, New Eastern Europe, Sept.–Oct. No.5, 108–114 [Available as PDF]
C6. De Groot, B., Maslowska, M., Schleuning, S. and Wagner, P.M. (2019) ‘Overcoming challenges with innovation: Capacity building in transaction countries – examples from the Eastern Partnership and Ukraine’, New Eastern Europe, No.6 [Available as PDF]
C7. Corroborating contact: Deputy Director General, European Commission [provided to panel]
C8. Minutes of the Meetings of the Working Group on the Association Agreements, the EURONEST Assembly, Brussels, June 2018 and January 2019 [Available as PDF]
C9. Reports on the implementation of the Association Agreements by the Foreign Affairs Committee of the European Parliament (2018)
C10. Corroborating contact: Member of the European Court of Auditors [provided to panel]
- Submitting institution
- The University of Birmingham
- Unit of assessment
- 19 - Politics and International Studies
- Summary impact type
- Societal
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
The 21st Century Public Servant framework, developed by Catherine Mangan and colleagues (with Catherine Needham, UoA 20) has changed understanding within public bodies on what a ‘good public servant is’, empowering public service workers to respond to new challenges around technology, citizen expectations and austerity. It has provided a blueprint that is being taken up as best practice nationally, including in over 100 councils, through changed job descriptions, the recognition of new roles and skills, and the development of new value frameworks. It has underpinned a national ‘Partners in Practice’ scheme which allows organisations to apply to the Local Government Association (LGA) and which has been successfully piloted in two local authorities. Several national organisations (e.g., Public Health England, SOLACE and the LGA) have developed leadership programmes with curricula based directly on the research.
2. Underpinning research
Context
Five million people work for the public sector in the UK. This workforce is key to delivering the essential services on which the population relies. The context of public service delivery has been transformed in recent decades due to sustained austerity, increased localisation, greater demands for service user voice and control, increased public expectations and a mixed economy of welfare provision. Adapting to these new ways of working has been a major political challenge across national and local government bodies. A University of Birmingham Policy Commission in 2011 highlighted the challenges facing public services and the corresponding need for a different public service workforce. As a result, our research was undertaken to better enable public service workers to understand, and respond to, this changing context of public service work.
In partnership with Birmingham City Council, and with funding from ESRC, we carried out interviews across a wide range of public services in England, including local government, health, police and fire services. We also conducted a survey of new entrants to local government. The research identified key contextual changes in public services and how the roles, skills and values of the public service workforce must be transformed in response to changing contexts. The resultant ‘21st Century Public Servant’ framework identified 10 key characteristics associated with the 21st century public service worker, and challenged organisations to consider how to adapt practice to meet current and future needs. Crucially, the framework established an evidence base to improve workforce strategies and leadership development. Subsequently, this was extended through further fieldwork to encompass the roles, values and competencies of elected councillors in local government via the 21st Century Councillor framework.
Key findings from our research are:
F1. Changing citizen expectations, technological shifts and reduced funding have led to new cultural values that are reshaping ethics, careers and identities in public service work [R1, R2, R3]. This poses three main challenges for public service workers, to which they need to adapt:
Professional boundaries at the street-level are being challenged by more open, immediate and informal ways of engaging with citizens [R1].
Public service workers and councillors are expected to perform high levels of emotional labour within their roles, with a growing need for ‘soft skills’ such as interpersonal and communication skills [R1, R2, R4, R5, R6].
The expectation of being visible, available and prepared to interact with citizens in more informal ways is a cause of anxiety for workers and councillors, creating new support and training needs [R2, R6].
F2. Workforce planning in public services needs to shift away from valuing people only according to their professional domain or technical competence (e.g., planner, housing officer). What is required instead is an approach that also utilises public servants’ skills in engaging with citizens and working across organisational boundaries, such as ‘storytelling’ and ‘resource-weaving’ [R1, R2].
Practitioners need to adapt to new ways of working with citizens (‘being human’), with a sensitivity to place (‘officers are citizens too’) and adaptability to the public finance context (‘perma-austerity’) [R1, R2].
Councillors should develop their capacity to act as ‘stewards of place’ [R4, R6].
The move towards these ways of working will enable more effective inter-organisational collaboration, which is increasingly important in interconnected public service systems [R3].
F3. Elected and appointed leaders within public services are poorly equipped to deal with the complexity of this public service context:
Too much emphasis is placed on ‘hero leadership’, emphasising the charisma and control of an individual, whereas effective public service requires leadership to be dispersed throughout the organisation [R5].
Whilst traditional leadership skills are covered in existing training (e.g., management and financial responsibilities), there is insufficient training in relational, communicative and networking skills (e.g., resilience, system leadership). For councillors, training has reduced since 2008 and not all councils even offer basics such as induction programmes, buddying or mentoring schemes [R1, R4, R5].
F4. Current models of leadership development must be refocused on distributed and collaborative models of leading, which recognise the scope for people to lead at different levels of the organisation [R5].
Reflective practice needs to be embedded in staff development so that leaders and other staff can cope better with the emotional aspects of their work [R1, R2].
This includes councillors, whose leadership skills need to be developed within the specific context of local democratic decision-making and political accountability [R4, R6].
3. References to the research
R1. Needham, C., and Mangan, C. (2014) The Twenty-First Century Public Servant, Birmingham: University of Birmingham. Available on 21st Century Public Servant website
R2. Needham, C., and Mangan, C. (2016) ‘The Twenty-First Century Public Servant: working at three boundaries of public and private’, Public Money and Management, 36 (4): 265–72. DOI: 10.1080/09540962.2016.1162592
R3. Needham, C., Mastracci, S., and Mangan, C. (2017) ‘The emotional labour of boundary spanning’, Journal of Integrated Care, 25 (4): 288–300. DOI: 10.1108/JICA-04-2017-0008
R4. Mangan, C., Needham, C., Bottom, K., and Parker, S. (2016) The Twenty-First Century Councillor, Birmingham: University of Birmingham. Available on 21st Century Public Servant Website
R5. Dickinson, H., Needham, C., Mangan, C., and Sullivan, H. (eds) (2018) Reimagining the future public service workforce, Singapore: Springer.
R6. Needham, C., Mangan, C., Bottom, K., and Parker, S. (2020) ‘Elected Officials in an era of austerity: stewards, mediators and catalysts’ in Dickinson, H., and Sullivan, H. (eds) The Palgrave Handbook of the Public Servant, Basingstoke: Palgrave.
4. Details of the impact
Through the research, we have changed understanding within public bodies of what a good public servant is, and what qualities and aptitudes they need to effectively perform in the contemporary context, leading to clear changes to workforce planning and HR practice. We have also influenced the concept of what a good public sector leader is, and how they are developed and trained.
- Changing understanding about the qualities and aptitudes of public servants
We have transformed the blueprint of what a ‘good public servant’ is. Before our intervention there was a tendency in many public bodies to value technical and expert skills over generic, softer skills [F1]. This perception made it hard for some public servants, despite having a range of skills, to influence change or enact leadership. We have shown that this old model is ineffective and outdated, and a new model of a public servant is needed, one which values: ‘soft skills’ [F1], engagement with citizens [F2], flexibility rather than role expertise, enabling the ‘resource-weaver’ [F2], and collaborative and reflective leadership [F3, F4]. So effective has this intervention been that the Local Government Association (LGA) has become a champion for the 21st Century Public Servant, describing it as “ a blueprint — looking at skills, values, and identities of the future public service workforce” [C1a]. The Department for Culture, Media and Sport cited the research in its Enabling Social Action report, as an example of leadership and culture change [C2].
Our model is being taken up as best practice nationally. The open source website, which provides practitioners quick and easy access to our materials in an accessible and appealing way, has had 84,006 views from 41,027 visitors [C3]. With a social enterprise, we developed 21stC Public Servant playing cards which are a training tool to stimulate culture change in organisations. 422 packs have been sold to date.
That the model is changing practice is shown by the fact that, in 2018, at a 21st Century Public Servant conference run by the LGA, over 100 councils shared examples of how they used this work [C1b]. An external evaluation, commissioned by the University of Birmingham, found that local authorities describe adopting the model as a culture change, “ introducing a different way of talking about who we are and what we do”, “building it into our DNA” [C4]. One council reported, “We developed a whole new set of values and behaviours based on [the research]” [C4]. Another council reported distilling the framework into six values: “these are on our screen savers […] and on our lanyards” [C4; F1]. “Significant changes in working practices and a major investment in staff training” were reported in a council’s own appraisal of the impact [C5].
As a result of the take up of our model, workforce planning has changed in a third of English higher-tier local authorities (cities and counties), reaching a combined workforce of 407,000. For example, job descriptions have changed, to better fit the mixed roles which staff are undertaking; as one respondent said: “It has influenced our job descriptions a lot — they are now more generic and outcome-based” [C4; F2]. 35 councils are using the research to inform new roles and skills [C4; F1, F2]. One council reported “we are redesigning our HR function and [the research] is in the centre of that”. Another council said it is “us[ing] the concepts extensively to underpin our overall approach to people management and investment” [C4]. The evaluation of the impact of the 21st Century Public Servant research found that its impact overall been “ extensive” and that, for a small number of councils, the impact has been “ profound” [C4]. A quarter of councils are able to evidence specific benefits to their organisation from the research. For metropolitan boroughs, 39% report significant benefit [C4].
The widespread change in practice driven by the research is now being systematically embedded in a national scheme. This ‘Partners into Practice’ scheme, which we have developed with the Local Government Association, enables local authorities to assess how far their staff are displaying the characteristics of a 21st Century Public Servant, and to develop staff against this benchmark. This work began in 2016, when a national 21st Century Public Servant steering group was convened by the LGA, with the Society of Local Authority Chief Executives (SOLACE), the Public Service People Managers Association and representatives from health, police and fire organisations. This resulted in a commissioned podcast and publication ‘Walk Tall’, explaining to public service organisations how to embed 21st Century Public Servant principles in frontline work [C6; F2]. According to the then Head of Workforce for the LGA, “The reason we commissioned the ebook Walk Tall was because we were really impressed by the fantastic research that the University of Birmingham did to develop the concept of a 21st Century Public Servant” [C1c]. The Partners into Practice scheme has been trialled by two councils (Wigan and Colchester), with a combined workforce of over 10,000 staff. The trialling period has spanned the Covid-19 pandemic. According to Naomi Cooke, current Head of Workforce Strategy for the LGA, “We have piloted it with two local authorities who have confirmed that this has been really helpful to them in encouraging staff to work differently and to engage better with communities. In particular, they found it helped the Covid-19 response by encouraging staff to take more autonomy and trust their communities. One council told us that the 21stC Public Servant approach was “spot on” when it came to dealing with Covid.” [C1b]
- The 21st Century Public Servant framework has transformed leadership development and training of public service leaders
We have changed the understanding of what a good public service leader is and how they should be developed and trained. Prior to our research, the traditional model of a charismatic hero leader was prevalent within public sector organisations [F2]. Our research has challenged that model and affirmed the importance of dispersed, collaborative and agile leadership. As one senior manager said “Our lightbulb moment from the research was that effective leaders can be anyone” [F4; C4]. Of the 59 councils who reported a “significant benefit” from the 21st Century Public Servant framework, 47 councils said the most significant benefit was leadership development [F3, F4; C4]. The framework is “help[ing] leadership teams to think about how they operate in a different world”, reported one council. Our influence has been on elected leaders as well as appointed managers. A partnership with regional workforce body North West Employers led to the co-creation of a 360-degree feedback tool for councillors. This has been used by a network of North-West councils to identify and address the skills development needs of elected council leaders [C7].
National government has welcomed our intervention, with Mangan invited to join the Expert Advisory Group for the Cabinet Office’s National Leadership Centre. Our research underpins the curriculum of two key programmes specified in the 2019/20 Memorandum of Understanding between the Ministry of Housing, Communities and Local Government and the LGA to improve the skills of the local government workforce in England [C8], and a third leadership programme commissioned by Public Health England [F4].
The Society of Local Government Chief Executive’s (SOLACE) Total Leadership programme has been redesigned using our framework. This programme develops senior public service workers’ skills to enable them to become local government chief executives [C9a; F4]. According to the SOLACE Head of Leadership, the research, “has resonated so directly with practitioners at all levels of organisations. I have noted in particular that it has had an impact on helping individuals both to see themselves as leaders in their organisations, and to see the values of collaborative leadership” [C9a]. From three cohorts of 45 each, nine participants have secured their first chief executive role, eight as council chief executives and one as chief executive of a national education organisation [C9b].
The LGA’s National Graduate Development Programme (NGDP) has been redesigned on the basis of the 21st Century Public Servant framework. This prestigious national programme, equivalent to the Fast Stream for the Civil Service, recruits up to 200 graduates joining local government each year; recruited on their potential to become senior leaders. Feedback from participants illustrates our impact; for example, one participant stated “the NGDP has given my career in Local Government a strong start and is helping me become a ‘21st Century public servant’ with greater commercial awareness, diverse experience, flexibility and strong collaboration skills” [C1d; F2].
The 21st Century Public Servant Leadership Programme for Aspiring Directors of Public Health was first commissioned by Public Health England in 2016, and was awarded to the University of Birmingham because it wanted our framework to be the basis for the programme. The programme has since been re-commissioned twice. The programme is given as a best-practice example in an NHS Improvement Report [C10]. To date, 45 people have participated in the programme across two cohorts, with the main outcome for them being the ability to apply the principles of system leadership into their work [F4]. Follow-up data on participants of this programme found that from the first cohort, six have been promoted into the Director of Public Health role, with two others securing deputy director roles, since completing the programme [confidential material, available on request].
5. Sources to corroborate the impact
C1. LGA evidence:
Local Government Association (2018) Great people for growing places, LGA [Available as PDF]
Testimonial from Head of Workforce, LGA (10th December 2020) [Available as PDF]
LGA Podcast transcript [Available as PDF]
LGA National Graduate Development Programme case study [Available as PDF]
C2. Department for Culture, Media and Sport report, Enabling Social Action, 2018 [Available as PDF]
C3. Screenshot of 21stC Public Servant website usage statistics (8th January 2021) [Available as PDF]
C4. Mckenna, D. (2018) Impact Evaluation of the 21st Century Public Servant Research on Principal Councils in the UK: Findings Report, Birmingham: University of Birmingham [Available as PDF]
C5. South Staffordshire Council Efficiency and Income Plan, 2015–2020 [Available as PDF]
C6. ‘Walk Tall’ ebook [Available as PDF]
C7. Testimonial from Chief Executive, North West Employers (17th December 2020) [Available as PDF]
C8. Memorandum of Understanding from Ministry of Housing, Communities and Local Government to LGA 2019–2020 [Available as PDF]
C9. SOLACE evidence
Testimonial from Head of Leadership and Organisational Development, SOLACE (19th October 2020) [Available as PDF]
SOLACE, Total Leadership programme overview [Available as PDF]
C10. NHS Improvement report, Developing People Improving Care Together: 1 Year On, 2018 [Available as PDF]