Richard Khol - A pro active approach to scaling up lessons for NGOs, fundacaos and government

A Pro-Active Approach to Scaling Up: Lessons for NGOs, Fundacaos and Government Dr. Richard Kohl, Center for Large Scale Social Change LLC Sao Paulo, Brazil 2 October 2013

Overview of the Presentation • Orientation of this more practice than principles, what actions are needed to increase the chances of scaling up • Concepts and Definitions • Cycle and Phases of Scaling Up • Breakdowns and How to Address them Center for Large Scale Social Change LLC

To Keep in Mind  Scaling up always includes sustainability and impact  There is no one right or correct strategy for scaling up. A scaling up strategy is almost always dependent on the: – Characteristics of the innovation itself e.g. technical vs. process – The scale to be achieved and the implied context – The institutional environment -- potential choices of organizations to fund, implement, manage and fill other roles at large scale; enabling environment

 Scaling strategy almost always requires compromises or tradeoffs between scale, impact, fidelity, adaptation, and cost  Scaling up process is as much or more about politics (small p) and implementation capacity, as it is about the intervention  There are many common breakdowns in scaling up but if addressed proactively these can be mitigated, the prospects for successful scaling up dramatically increased

CONCEPTS AND DEFINITIONS

Definitions of Scaling Up  Definition I – Scope – –

Adding new areas (breadth): complementary services and skills – coaching champions Increasing dosage (depth ): Adding more activities or in-depth for food service expertize – adding additional types of outputs (community to catering to café (the three C’s))

 Definition II – Reach – – –

–

Demographics -- types of beneficiaries Locations (Geographic) -- additional locations (locally), locations (cities, states, etc.)

Coverage -- greater percentage of a given demographic or location or both All of the Above

WORKING DEFINITION SCALING UP OR GOING TO SCALE the process of sustainably increasing the reach (and scope) of a promising or proven program with fidelity and quality, thereby retaining some or all of its demonstrated positive impact.

CYCLE AND PHASES OF SCALING UP

The Cycle of Scaling Up: Aligning Elements WHAT Innovation Budget Constraint UNIT X SCALE = BUDGET

WHERE

HOW –

Vision

Mechani sm and Pathway

SCALING UP STRATEGY Diagram

WHO Funds, Implements, Sanctions

The Seven Elements Of Scaling Up 1. Proof of Concept and Generating Evidence 2. Demonstrating Social and Institutional Generalizability 3. Strategy and Preparation: Documentation, Modification/Simplification and Alignment 4. Advocacy -- convincing stakeholders to sanction, fund, adopt, manage, implement, monitor and participate 5. Strengthening/Building Systems and Organizations: building or modifying capacity, capabilities, enabling environment 6. Monitoring, Feedback and Modification for Quality, Fidelity and Adaptation 7. Sustainability Political, Financial and Institutional

SEVEN BREAKDOWNS AND HOW TO ADDRESS THEM

Five Common Breakdowns in Scaling Up ECD 1. Missing Key Components of the Intervention 2. Assuming One-Size Fits all without assessing Social or Institutional Generalizability 3. Agreement on when the intervention is “Ready� in the face of political windows/pressures 4. Lack of Compatibility between Large Scale Delivery Culture, Capabilities and Incentives 5. Underestimating the Need for Advocacy, Sensitization and Buy-In (and Time/Resources needed) Center for Large Scale Social Change LLC

Missing Key Components of the Intervention

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Neglecting key invisible elements makes scaling up with fidelity and impact less likely

 Tendency to focus only on technical contents; drugs, curriculum,  Ignore creating buy-in and acceptance, the HOW vs. the WHAT, follow-up, supervision, and motivation

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Solution:  Identify intangible, tacit elements (the HOW) at the pilot phase and motivation/incentives of key actors  Ensure use of qualitative methods in pilot evaluation: comprehensive documentation of the model, preferably using a flow chart or process modeling  Develop evidence of cost-effectiveness of individual components and dosage, esp. process, for advocacy/simplification Center for Large Scale Social Change LLC

Assuming One-Size Fits all

 Failure to identify if program will work in diverse contexts, beneficiaries and delivery mechanisms  Variable impact at large scale and disappointing results  Fidelity to the wrong model

 Solution, pilot for external validity/generalizability:  Make explicit theory of change of the program; logframe  Identify external factors (social, cultural, economic) that affect the causality of the model: activities > outputs > outcomes  Pilot (second stage) in multiple contexts that reflect diversity that will exist at large scale  Adapt to local circumstances, focusing on principles/outputs rather than activities, and non-negotiable components Center for Large Scale Social Change LLC

Political Pressure to Scale before “Ready”  Policy makers face different incentives and constraints than foundations and NGOs  Evidence-based policy only one consideration versus need to do something  Pressure to address key constituencies and campaign promises  Policy is trendy, window may only be open for 5-10 years, yet evidence, documentation, generalizability not proven  For policymakers, doing nothing is not an option  For NGOs and Foundations relying on “experts” and “evidence” reluctant to support unproven Center for Large Scale Social Change LLC

Small scale, 2 of 3, large scale, often only 1

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Political Pressure to Scale before “Ready”  Solution is to get on the train/bus before it leaves the station  Have to address the policy window and needs  Propose phased implementation and testing evaluation at each stage  Modify and improve and scaling simultaneously  Foundations/NGOs provide monitoring, feedback, learning, and improvement  Forum/dialogue with public sector to anticipate needs, get ahead of the curve Center for Large Scale Social Change LLC

Lack of compatibility with large scale systems • Models tested in NGO systems may not be deliverable as is through the public sector:

– NGOs better at empowerment, child-centered pedagogy, community mobilization, supervision and other HOW elements (tacit knowledge and intangibles) – no attempt to ensure compatibility with large scale systems

• Solutions: – Activities > SS Capabilities > GAP < LS Capabilities – Design the model to be compatible with the implementer’s capabilities and culture; test generalizability in LS system OR – Identify capabilities and culture needed for the intervention based on activities, develop a capabilities assessment matrix – Modify or simplify the model to “fit” OR do Capability building – Consider public funding and private/NGO delivery with standards Center for Large Scale Social Change LLC

Activities and Components

Capability Building

Capabilities & Culture of Pilot System

Capabili ty Gap Adaptation or Simplificati on

Capabilities & Culture of Large Scale System

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Underestimating Advocacy and Resources needed • Advocacy often limited to integration into Policy and/or Program • Believe impact results necessary and sufficient • Ignore political considerations of policy makers • Exclusive focus on policy champions (patrons) • Ignores the need for buy-in at the state, municipal level and by service providers AND • Participation by beneficiaries (children) and gatekeepers (parents, referring experts) themselves Center for Large Scale Social Change LLC

Underestimating Advocacy and Resources needed • Identify decision makers, stakeholders, their interests through a stakeholder analysis and policy mapping • Separate out functions of sanction, funding, management/oversight, delivery and monitoring • Develop messaging & evidence to address interests, not just evidence • Build advocacy information needs into evaluation design from the beginning: cost, impact on relevant indicators, sources of objection • Identify organization with the resources (financial and human), credibility and skills to do this (external, internal or both) Center for Large Scale Social Change LLC

Skills needed for advocacy • Convening Power • Boundary Spanning and Policy Entrepreneurship • Organizational Change & Development • Evaluation and Operations Research

• Documentation • Strategic Planning • Communications, Media and Marketing • Knowledge of Political and Institutional Landscape

Dropping the Baton: Missing Link?

1.

2.

3.

Developing a Promising Innovation Generating Evidence of Efficacy (Internal Validity) Generating Evidence of Effectiveness and Generalizability (External Validity) 4. Dissemination 5. Adoption into Strategies < Policies < Programs < Funding 6. Buy-In by State, Municipal and Front-Line Service Providers 7. Creating the Pre-Conditions for Large Scale Implementation: Training, Capability Building, Incentives, Org. Culture, Coordination etc.

8. Implementation at Large Scale 9. Ensuring Impact on Key Outcomes (monitoring) 10. Sustainability Center for Large Scale Social Change LLC

Summary (1) 1. Build scaling up into discovery, design and pilot testing from the very beginning – Identify processes and intangibles as part of model – Test for generalizability and robustness (social and organizational) – Disaggregated evidence on cost and effectiveness by component, able to simplify – Identify capabilities needed and cost – Identify large scale delivery system with capabilities and cost constraints up front and ensure alignment – Generate evidence for advocacy in pilot design Center for Large Scale Social Change LLC

Summary (2) 2. Advocacy for multiple stakeholders, multiple roles and multiple levels with Needed Resources 3. Capability building beyond training to aligning entire system (health, education, etc) 4. Responsibility and resources for going to scale

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