Translating Policy into Action Tools for Policy Design and Implementation

Translating Policy into Action Tools for Policy Design and Implementation Professor liz o’sullivan – Lead instructor Dr. jafar javan – co instructor gn and Implementation

Discussion • Share your thoughts • Should writing objectives with targets improve the policy process? Why, how or why not? • Should conducting a modified environmental scan improve the policy process? Why, how or why not?

Today: 6 July • Implementing a policy – adapting SWOT & capacity assessment to • Assess policy’s compatibility with agency’s strengths & weaknesses • Assess unit ‘s capacity to implement the policy • Working with partners/strategic alliances • When partners are needed • Considering potential partners’ capacity • Characteristics of “good” & “bad” partnerships

Today’s Roadmap • Where we are: • Have covered strategies (1) to determine that policy objective is feasible and will thrive in environment and (2) to solicit stakeholder feedback and engage them in the policy process • Where we want to go next • Identify appropriate agency(ies) {UN, NGO or others} to implement the policy • Strategies • Assess organizational capacity of implementing agency(ies)

SWOT Analysis • Purpose • Assesses if objective is achievable given the policy environment • Pinpoints capacity of implementing organization(s) • The acronym • S=Strengths (implementer characteristics that will help achieve objective) • W=Weaknesses (implementer characteristics that will impede achieving objective) • O = Opportunity (supportive environment) • T = Threat (non-supportive or detrimental environment )

Assessing Strengths & Weaknesses • How well the policy will fit into the agency • Will it be an attractive component within an agency? • Does the agency have a competitive advantage to administer the policy? {Remember this doesn’t have to be a UN agency}

Policy’s attractiveness to the agency • Consistent with agency mission? • Consistent with employee skills? • Attractive to agency constituents? • How difficult will it be to abandon the policy?

Discussion What characteristics do you see as providing a competitive advantage?

Sources of competitive advantage • Logistic advantage, e.g., location or delivery system • Stakeholder loyalty • Track record in policy area or implementation strategy • Recognized for quality • Technical skills • Organizational/administrative skills • Financial resources • Local contacts

Exercise • Purpose: To clarify what “sources of competitive advantage” refers to • The group members should • Consider each source of competitive advantage separately • Indicate if it is a source of strength or weakness in implementing the MDG • Briefly explain why it is a source of strength or weakness • Based on your discussion • What factors seem important in determining competitive advantage? • What factors may undermine successful implementation?

Debriefing • Each group presents a summary of its discussion • Identify the MDG • For each source of competitive advantage describe the factors that determined if it was a source of strength or weakness • Discussion • How might an agency address its weaknesses • How might an agency take advantage of its strengths

JAFER • How does this play into competitive advantage for the UN?

Assessing Organizational Capacity • Drills down into what we learned about policy attractiveness and agency competitiveness • Focuses on capacity of administering unit • Having “wrong” unit responsible can render a policy ineffective • Considers capacity of potential partners • Do they complement the capacity of administering agency ? • Do they suggest challenges that will impede policy implementation?

Capacity Assessment • UNDP Approach involves • Points of entry • Enabling environment • Organization • Individual • Core Issues • Functional Capacity & Capacity to Evaluate • Examine interaction of core issues & functional capacity at point of entry • Formal instruments & processes exist to measure capacity but • Process can be adapted to identify clear strengths and weaknesses at the unit and individual level

Functional Capacities* • Engage stakeholders • Assess a situation & define mission • Formulate policies & strategies • Budget, management, & implement • Evaluate *Refer to UNDP Practice note p. 15

Core Issues: Institutional Arrangements • Involve policies, procedures, and practices • Formal arrangements include statutes, regulations, and contracts • Informal arrangement include practices, norms, SOP [standard operating procedures] • Relevant entry points: environment & organization • Examples where institutional arrangements impact policy implementation? • In your experience which functional capacities are most relevant?

Core Issues: Leadership • Components • Able to influence, inspire & motivate • Able to respond to change (internal & external) • Relevant entry points: environment & organization • Examples where leadership impacted policy implementation? • In your experience which functional capacities are most relevant?

Core Issue: Knowledge • Information and technical skills • Most relevant point of entry: individual • Examples where knowledge impacted policy implementation? • In your experience which functional capacities are most relevant?

Core Issue: Accountability • Ability to monitor, learn, self-regulate and adjust behavior • Relevant points of entry: organization and individual • Examples where accountability impacted policy implementation? • In your experience which functional capacities are most relevant?

What it all means • Administering unit should have institutional arrangements, leadership, and knowledge to implement policy. • Unit should be able & willing to monitor the policy’s implementation, learn from the information, and adjust its behavior. • Unit should review capacity of potential partners prior to creating a close alliance, e.g., joint project

Adopting a New Policy or Policy Direction • Considerations other than internal capacity • Are other organizations conducting similar programs? • If so, what are the implications? Partner? Leave it to them? Compete? • If not, is the need serious enough to undertake the costs? • What are the costs of entry or exit? • What will be impact on the public’s perception of the agency?

Working with Other Agencies • Partners may be sought to compensate for weakness(es), take advantage of opportunities or respond to threats in the environment • Partners may be sought to (a) take advantage of resources e.g., volunteer pool, donor base, reputation, (b) form a solid political base, (c) develop relationships • Other reasons

Partnerships/Collaborations/Strategic Alliances • A mutually beneficial and well-defined relationship entered into by • Two or more organizations to achieve common goals • Create a structure for decision making and shared responsibility

Forms of inter-organizational relations • Sharing information or resources • Joint ventures • Single, discrete project • Task forces, steering committees • Strategic alliances/partnership/collaboration • Create a body to coordinate groups working together to achieve a common goal linked to their missions

Exercise: Working with Other Organizations Purpose: To consider the value of assessing the capacity of potential partners Participants should consider their experiences in partnering with other organizations and consider • How valuable is (or would be) assessing the capacity of potential partners? • What capacities would you focus on? • Summarize your discussion to present to the classes

Debriefing & Discussion • Each group presents the summary of its discussion • General discussion: Consider if and how assessing the capacity of potential partners can contribute to effective partnerships

Three important elements to consider in creating a partnership • Trust among members [trust grows, initially calls for more detailed contracts] • Mutual benefits realized [otherwise why be involved] • Fair work allocation & reliable performance

Barriers in partnerships • Turf issues • Mixed loyalties – coalition vs home organization • Lack of consistent leadership • Fundamental incompatibility • Especially different ways of doing business

Lessons learned • We covered • Organizational capacity • SWOT • Developing partnerships • What lessons stand out?

Looking forward to tomorrow • Building logic models and defining resources, activities, and outcomes • Developing relevant indicators • From model to pilot programs • The value and limitations of pilot programs • An example of taking a program from model to pilot to widespread implementation

Readings for tomorrow • Skim Kellogg’s Logic Model Development Guide chapters 1, 2 & 4. We will use specific sections during the class • Sanderson’s observations about pilot programs will be summarized • Portions of Olds’ study on nurse-family partnership will be summarized

Translating Policy into Action Tools for Policy Design and Implementation