A Conceptual Framework for the Implementation of Systems Thinking in Development Aid Programming
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How to improve systems thinking in aid: A conceptual framework for the implementation of systems thinking in development aid programming A thesis submitted in fulfilment of the requirements for the degree of Doctor of Philosophy Mihaela Balan MBA, Open University Business School MSSc (IUEM), RMIT University B.Sc. (Engineering), University Alex. I. Cuza School of Global, Urban and Social Studies College of Design and Social Context RMIT University May 2019 Declaration I certify that, except where due acknowledgement has been made, the work is that of the author alone; the work has not been submitted previously, in whole or in part, to qualify for any other academic award; the content of the thesis is the result of work which has been carried out since the official commencement date of the approved research program; any editorial work, paid or unpaid, carried out by a third party is acknowledged; and ethics procedures and guidelines have been followed. I acknowledge the support I have received for my research through the provision of an Australian Government Training Program Scholarship. Mihaela Balan May 2019 i Acknowledgements First, thanks to my dear Dan, who has provided inspiration, love, devotion, sacrifice, encouragement and support during this long endeavour for so many years. To Teodora: for foregoing times together in order for me to complete this research and for being supportive in your little way. I look forward to making up for lost time. To Mom: for instilling in me an appreciation for the value of trying new things, being innovative, and curious. To my supervisors: Professor Simon Feeny, Associate Professor Dave Mercer and Associate Professor Paul Battersby. They appropriately criticised, praised, cajoled and restrained me. To Stavroula: for always believing in me. To my colleagues and friends from the development aid community, Sarah, Arthi, Tim, Sanju, Nick, Marcus, Lucho, Mike, Farida, Hamza, Bashir, Ronke, Ben, Phitcha, Nabanita, Hans, Aly, Khodeza, Mehnaz, Hafeez, Con, David, and many, many more, who have been supportive in words, and deeds. Abstract This research is inspired by a belief that systems thinking can play a decisive role in addressing design and implementation challenges in international development aid. There is a search underway for new approaches to make aid more effective which is leading to practitioners embracing systems thinking in response to criticisms that development programmes fail to achieve beneficial impacts. There is an appetite amongst the donor community and practitioners to use systems thinking in ‘market development’ programming. However, the practice is still nascent and characterised by ambiguities and misconceptions in what systems thinking is, or does. The research ascertains the degree to which the limited application of systems thinking in development aid is due to challenges faced by practitioners in adopting it and how these challenges could be addressed for systems thinking to be successfully applied to international aid. To study this problem, I sought the views and opinions of a variety of development practitioners, especially those working in market development programmes, as these are at the forefront of promoting systems thinking in aid. Through this endeavour, a hundred challenges were identified. By sorting and rating these challenges across six domains, a ‘conceptual framework of tactics and action’ was generated. By viewing the conceptual map from the perspective of a complex adaptive system, with domains as agents, at least 30 possible solutions to move towards effective planning and implementation of systems thinking in development aid were generated. This study offers a way forward. Equipped with the results of this research and delving deeply into the solutions, one can now embark on a more comprehensive dialogue to policy makers, practitioners, donors and implementers to plan what is needed if an authentic systems orientation is to drive and thrive in development aid. The research concludes on the need for an institutional home: a place where action can be taken; where challenges, the six domains, and the 30 plus solutions can be taken forward; and where practice can demonstrate the benefits as well as the pitfalls of the use of systems thinking in development aid. Table of contents Chapter One: Introduction ………..……………………………….……………….1 1.1. Overview……………………………………………………….……….....…..2 1.2. History of delivering aid ………………………………….……………….….3 1.3. Shift towards market systems ………………………………………………...6 1.4. Getting at the core of market systems approaches……….……………………9 1.5. The change: new models.…………………………………………….……....12 1.6. The newest pressure: complexity crisis………………………………………21 1.7. Where to from here? Thesis contribution to answering the question…...…...26 1.8. The objectives of this thesis…………….……………………………………29 1.9. Overview of chapters ………………………………………………………...29 Chapter Two: Systems Thinking: A Literature Review…………..……...………32 2.1. The approach…………………………………………………………...…… 33 2.2. Defining systems, a paradox? …………………………...…………………...34 2.3. Defining boundaries, another paradox? ……………….……………………..38 2.4. Defining systems thinking: systems thinking as……………...…….………..39 2.5. Sociological barriers to adoption…………………………..…….…..………44 2.6. Presenting systems thinking: another challenge…………………………...…45 2.7. Three waves of systems thinking? ……………………………..…………….54 2.8. The fourth wave of systems thinking ………………………………………..55 2.9. Why DSRP theory………………………………………….………………...58 2.10. Summary……………………………………………………………………..63 Chapter Three: Discussion on Systems Thinking Practice in MDP……………..65 3.1. The call…………………………………………...…………….……….……66 3.2. The commitment…….….................................................……….…………...67 3.3. Common themes and agreements………...…………………………………...73 3.4. Summary……………………………………………………………………..92 Chapter Four: Methodology-Identification of Challenges….…..……….……….94 4.1.The approach…..……………………………………………………………..…..95 4.2.Research design………………………………………..........................................96 4.3.The method: concept mapping…………………………………………….……..97 4.4.The software……………………………………………………………….….….98 4.5.The process………………………………………………………………...……..99 4.6. Steps in developing concept maps…………………………………………..…100 4.7. Generation of concept maps……………………………………………...…107 4.8. Limitations of the methodology…………………………………………….109 Chapter Five: Concept Mapping-Results and Interpretation…………..…...….111 5.1. The conceptualisation framework…………………………....……………..112 5.2. Setting up priorities…………………………………………………………132 5.3. Go-zone analysis……………………………………………………………142 5.4. Reliability of the concept map…………………………..…………………..146 5.5. Summary……………………………………………………………………155 Chapter Six: Recommendations……………………………..……….…………..157 6.1. Summary of key findings…………………………………………………...158 6.2. What does this mean? ……………………………………………..………..158 6.3. Solution seeking……………………………………………………….……163 6.4. Summary……………………………………………………………………178 Chapter Seven: Conclusion……………………………………………………….182 7.1. The journey…………………………………………………………………183 7.2. How to go about addressing mental models………………………………...188 7.3. DSRP – the way forward in addressing mental models………………….…188 7.4. Potential contribution of the research to MDP……….……………….….…193 7.5. Conclusion…………………………………………………………………..194 7.6 Directions for future research……………………………………………….196 Appendices Appendix 2A Sample of popular systems thinking literature …….………….....197 Appendix 3A Analysis of Systems Thinking Publications …………………......202 Appendix 4A Text for Email Sent to Participants Phase 1…………….…….….217 Appendix 4B Text for Brainstorming Web page……………………….….…....218 Appendix 4C Phase 2 Email to Participants…………………………..………....219 Appendix 4D Web Pages Seen by Participants…………………………...……..221 Appendix 4E Original Brainstormed Statements…………………………...…...223 Appendix 5A Statements by Average Ratings…………………………….…….231 Appendix 5B Statements by Average Ratings and Bridging Values …………...237 Appendix 5C Statements by Cluster and Average Ratings………………..…….243 Appendix 5D Statements by Cluster and Average Bridging Values………….....251 References……………………………………………………………………….…259 List of figures Figure 1.1. Achieving scale in market systems……………………….….………..8 Figure 1.2. Market interactions………………………………………..…….…....10 Figure 1.3. When markets do not work for the poor……………………………..11 Figure 1.4. An example of a market systems…………………………………….13 Figure 1.5. Poultry market system……………………………………………….14 Figure 1.6. Complexity gap………………………………………………….……27 Figure 2.1. Focus of the literature review ……………..………………….……...34 Figure 2.2. Focus of the discussion on market systems approaches….…………..34 Figure 2.3. An example of a system………………………………….…………..36 Figure 2.4. Schwarz’s ‘Some streams of systemic thought’…...…………………48 Figure 2.5. Number of books concerned with systems thinking ……………...…53 Figure 2.6. Four waves of systems thinking …………..………………….……...56 Figure 2.7. Version 1.0 vs. Version 2.0…………………………………………..57 Figure 3.1. Advertisement to promote training….……………………..…………81 Figure 3.2. Results of the methodology used to select literature ………….…..…83 Figure 3.3. Results of the methodology used to select literature (by method)..….83 Figure 3.4. Results of the methodology used to select literature (by sector)……..84 Figure 3.5. An example of a theory of change……………………………..……..89 Figure 4.1. An overview of the concept mapping process……………….……...100 Figure 4.2. Analysis process…………………..………….………………...…...107 Figure 5.1. Two-dimensional point map for the study…..………………...……114 Figure