GAUGING ORGANISATION RESILIENCE

Source: Extract from Chapter 7 in “Gauging the Resilience of City and Town Government: A manual for Strategists” Author Louis van der Merwe PhD

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  • THE DIAGNOSTIC INSTRUMENT FOR GAUGING CITY GOVERNMENT RESILIENCE

Building a city government resilience strategy may be viewed as a learning process. Such a process may be facilitated by a quality strategic conversation between city government executive leaders and executive managers. This learning may take place at an individual level, within the executive team or among the members of a forum, consisting of executive leaders and executive managers who link this strategic conversation to the entire organisation.

Gauging organisation resilience using The CIL Resilience Strategy Hierarchy™ (RSH)

Figure 7.1:
The Resilience Strategy Hierarchy (RSH)™ A process framework

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This diagnostic instrument has been designed for use by the city government organizations and organizations in general in a facilitated conversation. Its purpose is to stimulate reflection on the factors (and the items within them) and to assist in scoring these factors and items. The associated scores provide a basis for diagnosis for the purposes of improving city government resilience strategy. After instructions for scoring the instrument have been considered, a two-phase process of assessment of city government resilience may be used, facilitated by skillful conversation quality and engagement among executive leadership and executive management. Meta-factors were engaged in completion of the eight factors, followed by considering items within each factor. Greater weight may be given to factors and items where there may be agreement on scores among respondents. Prioritisation and action planning of the remedies for dealing with a lack of resilience will ensure that a process of continuous improvement takes place within a specific city.

Using the Resilience Strategy Hierarchy (RSH)™ A Process Perspective

Scoring using the Resilience Strategy Hierarchy (RSH)™ using a diagnostic process is described below starting with factors and followed by items.

2     FACTORS AND ITEMS FOR GAUGING CITY GOVERNMENT RESILIENCE

A focused strategic conversation on the current reality pertaining to the various factors and items in the instrument, accompanied by associated actions, will result in a more robust resilience strategy.

A quality strategic conversation and engagement among executive leadership and executive management may enable so-called double-loop learning to “retune the minds” of decision makers. Double-loop learning describes a type of conversation where assumptions shift as a result of them being loosely held. Then, in a second learning loop, incoming information is allowed to influence these assumptions. It is envisaged that this diagnostic instrument, when applied by executive leadership and executive management teams in municipal government, will enable the development of an effective city government resilience strategy.

The use of this instrument may be considered successful when it enables learning, including any new insights and actions regarding a city government resilience strategy. Factors and items within factors have been selected based on their leverage for enabling a robust city government resilience strategy. The Green Growth (GG) and Smart Cities (SC) factors have been added based on assumptions about predetermined forces that may have an impact on cities. Accordingly, forces such as climate change and the increased use of technology, which may initially challenge city government resilience, have been considered.

For city government, raising capability through capacity building is an essential ingredient and first step in building city government resilience. A regular biannual review of city government capability will result in the capacity to mobilise the factors in the diagnostic instrument.

3     SCORING AND USING THE DIAGNOSTIC INSTRUMENT

The city government resilience diagnostic instrument consists of two levels of assessment and scoring, namely, factors and items.

Factors provide an overarching meta-perspective for determining a resilience strategy. They include:

  • Capability (C)
  • Cross-cutting Competencies (CC)
  • Anticipation (An)
  • Adaptation (Ad)
  • Recovery (R)
  • Sustainable Development (SDev)
  • Green Growth (GG), and
  • Smart Cities (SC)

The second level of assessment and scoring can be found at item level within the factors.

Assessing and scoring factors and items in the diagnostic instrument

Respondents are invited to respond to the descriptive statements for the factors as a whole, as the descriptors contain more than one element.

Scoring factors

Score all factors by registering the level of agreement or disagreement on a descending Likert scale:

  • “Agree Completely”: Score 4
  • “Agree Somewhat”: Score 3
  • “Disagree Somewhat”: Score 2
  • “Disagree Completely”: Score 1

Scoring items within factors

All items within factors are also scored as above, except for items in Capability (C) and Cross-cutting competence (CC)

In Capability (C) and Cross-cutting Competence (CC), items are assessed and scored on a four-point ascending Likert scale to facilitate the development of competencies:

  • “None”: Score 0. None or little competence currently exists.
  • “Basic/Emergent”: Score 1. Guideline: Basic knowledge, skills and attitudes may exist, and greater proficiency may emerge over time. Comprehensive learning resources need to be identified and engaged.
  • “Intermediate/Competent”: Score 2. Guideline: An intermediate to competent range in current knowledge, skills and attitudes and overall proficiency exists. Learning resources are known, engaged and being developed.
  • “Advanced”: Score 3. Guideline: A deep and complete basis in current knowledge, skills and attitudes and commensurate proficiencies exists. Learning resources have been comprehensively mastered and applied.

Note: When questions of clarification arise from technical descriptions and metrics such as “Networked Readiness Index (NRI) or Sendai framework” and “The new urban agenda (Habitat3)” the scorer should indicate a low score for that item.

                

                        

                            
Factors for gauging city government resilience

                            

                        

                        
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1. Capability (C) Capability may be evidenced by leadership, strategy and service delivery. City government capability may also be summarised as the ability to formulate robust strategy, policy, plans and budgets and execute these on time, on budget and on quality. Regular biannual reviews of capability take place to enable continuous overall improvement in the city government resilience strategy.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
2. Cross-cutting Competence (CC) Cross-cutting competencies that enable capability. These include essential competencies that support intervening in high leverage points across factors that inform a resilience strategy. City government has built capacity among executive leadership, executive management and middle managers based on competency assessment in teams and individually, which is included in a personal development plan (PDP) as part of their performance contract.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
3. Anticipation (An) City government anticipates immediate short-term shocks, as well as medium- and long term discontinuities in its contextual environment on a 20- to 25-year planning time horizon. The city engages a state-of-the-art process, methodologies and technologies such as scenario-based strategy and systems dynamics (SD) modelling to shift and broaden assumptions in the minds of executive leadership, executive managers and decision makers. SD modelling may be used to understand key dynamics systemically when building scenarios beyond the ten-year planning horizon. Emergency and risk-management processes are states of the art and in place, regularly practised and ready to be activated. Scenarios are used as a set to stress-test strategies, policies, plans and budgets for robustness across future conditions described in these scenarios.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
4. Adaptation (Ad) City government absorbs short-term shocks by ensuring that emergency water, food and first aid are readily available. Effective communications and cyber infrastructure to support coordinated adaptation activities have been operationalised. The city has built capabilities and competencies for adapting to shocks that may persist in the medium- and long-term. Leadership is capable of resolving the tensions between performance, action and considered, evidence-based strategic direction along the path of the adaptation process. Leadership takes a stand for policy that will support recovery, sustainable development, green growth and smart cities.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
5. Recovery (R) City government is capable of springing back to a better position than that prevailing prior to the shock and also improve on it. Established change management infrastructure exists, such as a forum which links to the whole organisation. The forum is building shared vision, a sense of urgency and provides organisation-wide leadership by means of its powerful, inclusive coalition which regularly engages via the forum in strategic conversation. The forum enables the delivery of short-term wins within the city government resilience strategy and has built institutional capability to sustain recovery and embark on sustainable development initiatives. High organisational trust facilitated by quality strategic conversation and regular leadership engagement enables responsiveness, agility and resilience.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
6. Sustainable Development (SDev) City government complies with the Sustainable Development Goals (SDGs), Paris Agreement 2015 and the Sendai Framework for disaster risk reduction 2015–2030 and is enrolled in the global city mayoral parliament resolutions “the new urban agenda (Habitat3)”. It focuses on engagement with a national development plan and municipal mandate for economic development. Small, micro and medium enterprise (SMME) developments are being stimulated. It is invested in community engagement in rights-based sustainable community investment programme (SCIP) development initiatives, including youth in service delivery. National government is engaged in enhancing education and learning quality through teacher development support. The city human resources planning focusses on attracting and nurturing talent.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
7. Green Growth (GG) City government resilience strategy extends beyond sustainable development, enabling recycling more than 50% of waste using waste as a feedstock into other processes and sectors within the economy. Utilisation of natural resources is improved through beneficiation processes. Continuously measuring and reducing the city carbon footprint through elimination wastage, continuously innovating and identifying areas for improvement of quality of services.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
8. Smart Cities (SC) City government has invested in the cyber infrastructure to support sensors and connectedness and gauges its networked readiness using the WEF Network Readiness Index (NRI). It emphasises e-governance competencies and technology-enabled coordination and information sharing. It anticipates and leverages disruptions in transportation and energy to enable improved quality of city living. See also the IMD Smart City Index 2019.(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Items and indicators: (Drop down “Learn More” options for Factors above)

Table 7.2: Capability (C), Cross-cutting Competencies (CC)


Capability (C) Definition: Strategy, Leadership and Delivery


Capable executive leadership and executive management formulate robust city strategy, policy, plans and budgets and execute these on time, on budget and on quality(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Leadership by executive leaders and executive managers is exercised by taking a stand, setting direction, motivating people and developing people(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Scenario-based strategy enables robust, outcomes-focused strategy, evidence-based choices, collaboration and building common purpose(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Managing performance reviews, shared commitment and sound delivery models, competitive resourcing and innovative delivery structures including continuous improvement processes(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Organisational routines consisting of regular goal setting and review of service delivery performance and engagement over time to embed a service delivery culture(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Rule of Law
Executive leaders and executive managers and policymakers are knowledgeable and conversant with, and take a stand for, the supremacy of the constitution in city strategies and policies(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Legislation on local government is known and used as the mandate for local government policy and services(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Strategy making and execution
Goal setting and regular review within a performance management system (PMS) is an embedded skill across all levels of executive leadership, executive management and middle management, including front line supervisory levels(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Strategic conversation and engagement skills are the foundation for performance management, learning and building organisational trust(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Scenario-based strategy and stress-testing strategy in the scenarios enables double-loop learning(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Personal development planning (PDP) for executive leadership, executive managers, senior and middle managers is embedded in performance contracts(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Strategy making and execution
Systems thinking is used for understanding the contextual environment as well as internal city government dynamics, enabling effective execution of strategy and policy while minimising unintended consequences(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Systems dynamics (SD) modelling and urban dynamics modelling is used to support scenario-based strategic planning, leadership, decision making and policy making(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Service delivery quality
Service delivery as a process is citizen centric, structured and innovative, and delivers value-for-money services(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Service delivery quality is based on elimination of wastage, continuous improvement (Kaizen) and focusses on citizens’ quality requirements for services – fit for purpose (water, sanitation, health, housing, transportation and nutrition)(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Leadership
Competent, servant leadership enables followership and is known for taking a stand for building shared vision, focusing on strategic priorities and shared values. Servant leadership is widespread among executive leadership, executive management middle management and supervisors(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Revenue management and development
Revenue management processes are structured and effective and ensure that 100% of revenues are billed and 95% or more are collected on time and on budget(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Investment in a developmental city takes place in communities through, amongst others, rights-based sustainable community investment programmes (SCIP), joint ventures (JVs) and public-private partnerships (PPPs)(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Successful change management
Change management infrastructure has been built in the form of a forum which engages through organisational links to the whole organisation and includes a powerful coalition of leadership which forms critical mass for sustaining and ensuring successful change management(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Good governance systems
Good governance practice eliminates corruption and wastage and is moving towards 100% clean audits(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Financial and economic literacy is established and is supported by useful management accounts and management information systems(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Trust building
Trust building results in greater organisational trust levels which facilitates organisational responsiveness, agility and resilience(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Stewardship of the commons such as roads, air quality, the physical environment and green spaces is harnessing scientific knowledge, and these are maintained and protected in the service of current citizens and future generations which is seen as a moral responsibility to next generations(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Recovering from disruptions and improving
Technology-enabled revolutions and disruptions are being actively shaped to enable recovery, improvement and sustainable development(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Energy disruption knowledge is evidence-based and leveraged in the service of sustainable development(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Transport disruption knowledge is evidence-based and leveraged in the service of sustainable development(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Investment in technology infrastructure for enabling smart cities is in progress and is prioritised and gauged using the WEF Networked Readiness Index (NRI)(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Note: These competencies may be present in the portfolio of executive leadership and executive management or within a forum that builds a resilience strategy. Individuals among these ranks may have personal development plans (PDPs) in place as part of their performance management contracts. 
Table 7.3: Anticipation (An)
Anticipation (An) of future shocks and discontinuities in the contextual environment
Emergency reserves are in place such as water, food, energy, medicine, sanitation, law enforcement and communications in sufficient quantities to support affected citizens and communities over initial shocks(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Emergency preparedness routines and embedded behaviour are in place by regularly practising and rehearsing responses to shocks(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
All gatherings of more than 30 people are recorded and tracked in case these data may be required for enabling emergency evacuation(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
The time focus for strategic planning and policy (future planning time horizons) for executive leadership and executive management levels is 20–25 years into the future(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Systems dynamics (SD) modelling anticipates key urban dynamics in the future environment in a 20- to 25-year future planning time frame(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Scenario narratives describing the contextual environment over the next 20–25 years have been developed and are based on concerns among executive leadership, executive management and key stakeholders(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Scenario narratives are based on deep systemic research into the plausible range of future behaviour of key driving forces (KDFs) described in two-, three- or four relevant, challenging, plausible, internally consistent storylines(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
External remarkable people (RPs) have been engaged to stretch the scenario narratives so that they challenge existing thinking and broaden assumptions in the minds of executive leaders and executive managers(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Scenarios are used to stress-test strategic planning, proposed policy, draft legislation, business plans and budgets, to ensure robustness in future scenario narratives and to limit unintended consequences(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Clear policy positions enable economic development, job creation and social transformation based upon national development planning and economic freedom as defined by the Fraser Institute and The Heritage Foundation(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Table 7.4: Adaptation (Ad)

Adaptation (Ad) to shocks and discontinuities 
An inclusive forum has been built as organisational infrastructure to lead, manage and sustain adaptation and organisational change successfully, as a parallel leadership engagement structure without executive authority(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Inclusive, regular, quality, scheduled strategic conversations among executive leaders and executive managers takes place as the basis of successful change management execution and resistance management(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
A shared vision is being built with a sense of urgency led by a powerful, dominant coalition, which forms critical mass for delivering short-term wins as well as setting and achieving medium- and long-term goals within a city government resilience strategy(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Identifying and adapting to both future risks as well as opportunities in the environment forms the basis for successful adaptation(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
A high level of trust across the organisation enables responsiveness and agility(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
The rule of law underpins the execution of all policies, planning and engagement with citizens and stakeholders(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Accountability and authority provide support for decisions and execution across all levels of executive leadership, executive management and supervisors(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Table 7.5: Recovery (R) 

Recovery (R) from shocks and discontinuities
Back-to-basics, smart government initiatives build sustainable foundations for economic recovery and a financial platform for recovery and sustainable development(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Good governance practice is rigorously enforced, and executive leadership and executive management set the example(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Annual financial audits are moving towards 100% clean audits(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Community-owned government injects competition into a results-based enterprising government(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Joint ventures (JVs) and public-private partnerships (PPPs) add capability and are effectively supervised to provide value-for-money service delivery to citizens(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Table 7.6: Sustainable development (SDev)
Sustainable development (SDev)
A national development plan – based on principles of economic freedom as defined by the Fraser Institute and The Heritage Foundation including the rule of law, small efficient government, regulatory efficiency and open markets – forms the basis of the city government resilience strategy and unambiguous policy leadership(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Rights-based sustainable community investment programmes (SCIP) in informal and formal development communities provide processes for the creation of responsibility, dignity, jobs and wealth(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
The UN Sustainable Development Goals for 2030 (SDGs) and the Paris agreement are integrated into city strategic priorities, goal setting and policy and are regularly reviewed and monitored on a quarterly basis(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Foreign direct investment (FDI) is attracted from city governments and industrialists, nationally and internationally(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
The national government is engaged in enabling teacher-focused development to raise the quality of learning among selected schools which provide examples to other schools(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Investment in human capital development and value formation among youth is structured, regulated and effective(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
A human resources strategy attracts top performers from the best schools, enabling investment in talent which is fast-tracked into strategic city government roles(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Specific communities such as the informal or “invisible” economy and youth are targeted for sustainable community investment programmes (SCIPs)(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Small, micro and medium enterprises (SMMEs) and entrepreneurs receive institutional support and investment(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Retention of existing city government talent and attraction of new talent is based on key competencies that enable a resilience strategy and capability(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Provision of value-for-money delivery of quality services is continuously improved through structured innovation and workforce engagement processes such as Kaizen and total quality management (TQM)(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Table 7.7: Green growth (GG)

Green growth (GG)
Recycling of waste streams is moving towards 50% or higher levels of recycling(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Building of a circular economy where waste becomes feedstock for the next process or industry informs policy and legislation(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Understanding, appreciation and support for a green city economy is mobilised and actively promoted(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Carbon emissions are measured, monitored, minimised and declining(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Table 7.8: Smart Cities (SC)

Smart cities (SC)
The WEF Networked Readiness Index (NRI) is used to assess and gauge the level of enabling infrastructure to support technology-based interconnectedness(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
The Internet of Things (IoT) is pervasive, is used to monitor, coordinate and reduce pollution, promote recycling and is leveraged to raise service delivery quality. IoT powers multiple feedback loops which in turn facilitate city government resilience and self-correction(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
E-governance competence using a competence framework such as the Van der Waldt framework, enables individuals to take responsibility for building of e-governance capacity which in turn enables smart city government(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Pre-emptive education and retraining mitigates the consequences of transforming work and offsets potentially redundant jobs(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Energy and transport disruptions are leveraged to accelerate green economics(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Solar photovoltaic energy powers household energy needs and community needs and is penetrating industrial applications(Required)

			

					
					
			

			

					
					
			

			

					
					
			

			

					
					
			
Autonomous electric vehicles on demand reduces the need for vehicle ownership, roads and parking, reduces emissions and road accidents and frees up highways, also rendering parking space in the city available for alternate use(Required)