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Organisations often want to scale up after a while. This is a simple guide to help you when you want to do so.

Organisations often want to scale up after a while. This is a simple guide to help you when you want to do so.

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Scalingup framework Scalingup framework Document Transcript

  • Scaling Up—From Vision to Large-scale Change A Management Framework for Practitioners March 2006
  • Scaling Up—From Vision to Large-scale ChangeA Management Framework for PractitionersMarch 2006Authored by Larry Cooley and Richard KohlEdited by Rachel GlassDesign by Kris Humbert and Pamela GuandiqueManagement Systems International600 Water Street, SWWashington, DC 20024Tel. 202-484-7170Fax. 202-488-0754www.msiworldwide.comFunded in part by the John D. and Catherine T. MacArthur Foundation
  • Table of Contents EXECUTIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 SCALING UP BEGINS WITH A PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Step 1: Develop a Scaling-up Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 TASK 1: CREATE A VISION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5 TASK 2: ASSESS SCALABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19 TASK 3: FILL INFORMATION GAPS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23 TASK 4: PREPARE A SCALING-UP PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25 ESTABLISH PRECONDITIONS AND IMPLEMENT A SCALING-UP PROCESS . . . . . .27 Step 2: Establish the Preconditions for Scaling Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 TASK 5: LEGITIMIZE CHANGE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 TASK 6: BUILD A CONSTITUENCY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31 TASK 7: REALIGN AND MOBILIZE RESOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35 Step 3: Implement the Scaling-up Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 TASK 8: MODIFY AND STRENGTHEN ORGANIZATIONS . . . . . . . . . . . . . . . . . . . . . . . .38 TASK 9: COORDINATE ACTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40 TASK 10: TRACK PERFORMANCE AND MAINTAIN MOMENTUM . . . . . . . . . . . . . . . . . .43 CONCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44 ANNEX 1: SUMMARY OF FIELD TRIAL EXPERIENCE IN MEXICO AND NIGERIA . . . . . .45 MEXICO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45 NIGERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .48 ANNEX 2: STEPS, TASKS, AND QUESTIONS FOR DEVELOPING AND IMPLEMENTING A DETAILED SCALING-UP PLAN . . . . . . . . . . . . . . . . . . . .51 STEP 1: DEVELOP A SCALING-UP PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51 STEP 2: ESTABLISH THE PRECONDITIONS FOR SCALING UP . . . . . . . . . . . . . . . . . . . . .52 STEP 3: IMPLEMENTING THE SCALING-UP PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . .53 ANNEX 3: USEFUL TOOLS FOR PLANNING AND IMPLEMENTING A SCALING-UP STRATEGY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 SOURCES CITED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 i From Vision to Large-Scale Change—A Management Framework for Practitioners
  • Table of Contents Boxes Step 1: Developing a Scaling-up Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 Categories of “Best Practice” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 Step 2: Establish the Pre-Conditions for Scaling Up . . . . . . . . . . . . . . . . . . . . . . . . .29 Step 3: Implement the Scaling-up Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38 Figures Figure 1. Summary Overview of Issues for Analyzing Scaling Up . . . . . . . . . . . .10 Figure 2. Organizational Roles in Scaling Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 Figure 3. An Overview of the Scaling-up Process . . . . . . . . . . . . . . . . . . . . . . . . . . .28 Figure 4. Policy Network Map—Health Sector of Boliguay . . . . . . . . . . . . . . . . . . .33 Figure 5. Advocacy Network Training Manual Table of Contents . . . . . . . . . . . . .37 Tables Table 1. Types and Methods of Scaling Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11 Table 2. Choosing a Scaling-up Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Table 3. Scalability Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22ii From Vision to Large-scale Change—A Management Framework for Practitioners
  • Executive Summary T he concept of “scaling up” has become increasingly popular as donors have acknowledged with concern the relatively poor record of innovative pilot projects in extending This field-tested framework and set of guidelines offer practical advice on how their reach to large populations. to carry out each of ten key tasks needed Recognizing this, in October 2003, the for effective scaling up. John D. and Catherine T. MacArthur Foundation awarded a grant to Management Systems International (MSI) to develop a field-tested framework and Step 1: Develop a Scaling-up Plan set of guidelines for improved Task 1: Create a Vision management of the scaling-up process. This framework was intended to be of 1A. The Model: What Is Being direct and immediate use to those Scaled Up? planning, implementing, and funding 1B. The Methods: How Will Scaling Up pilot projects and to those hoping to take Be Accomplished? the results of such projects to scale. 1C. Organizational Roles: Who Performs the Key Functions? An earlier draft of the Scaling Up 1D. Dimensions of Scaling Up: Where Management (SUM) Framework was Does the Scaling Up Occur? used in field tests with reproductive health non-governmental organizations Task 2: Assess Scalability (NGOs) in Nigeria and Mexico and as a 2A. Determining the Viability of the basis for initial dissemination efforts. This Model for Scaling Up revised version of the framework reflects 2B. Analyzing the Organizational and that experience and incorporates the Social Context feedback from initial dissemination. Task 3: Fill Information Gaps One significant finding emerged from Task 4: Prepare a Scaling-up Plan this research: Few so-called “pilot projects” take the steps needed to Step 2: Establish the Pre-conditions for maximize their prospects for scaling up. Scaling Up The framework and guidelines presented Task 5: Legitimize Change in this document seek to improve this Task 6: Build a Constituency track record by offering practical advice on a three-step process to carry out each Task 7: Realign and Mobilize Resources of ten key tasks needed for effective scaling up. These tasks include: From Vision to Large-Scale Change—A Management Framework for Practitioners 1
  • Scaling Up Begins with a Plan Step 3: Implement the Scaling-up references tools and outside resources Process that can be of help. Annexes to the document summarize the field work Task 8: Modify Organizational Structures conducted by MSI in Mexico and Nigeria (Annex 1); present a sequenced Task 9: Coordinate Action list of questions to guide the scaling-up Task 10: Track Performance and process (Annex 2); and provide a Maintain Momentum consolidated list of some of the tools most useful for each phase of the For each Task, the document suggests scaling-up effort (Annex 3). actions that need to be taken, presents alternative tactics that can be used, and2 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Beginswith a Plan T he persistence of poverty and preventable illness in low-income countries after 30 years of development efforts has drawn attention to the relatively poor record of pilot and The persistence of poverty and preventable illness in low-income countries demonstration projects in successfully after 30 years of development efforts has stimulating systemic change and reaching drawn attention to the relatively poor record large populations. In rich and poor countries alike, service providers and of pilot and demonstration projects in funders find themselves under pressure to reduce costs, improve social outcomes, successfully stimulating systemic change and explain why it has proven so difficult and reaching large populations. to accelerate the spread of best practices. Recognizing this, in October 2003, the MacArthur Foundation awarded a grant To disseminate these findings, with to Management Systems International particular emphasis on the (MSI) to study the scaling up of small population and reproductive health pilot and demonstration projects and to communities. field test methods for improving the The initial version of the Scaling Up scaling-up process. The grant called for Management (SUM) Framework five activities: developed under this grant built on 11 To develop a framework that years of applied research carried out by synthesized the existing state of MSI under the USAID-funded knowledge on scaling up; Implementing Policy Change Program.1 To conduct field trials, using the It also drew heavily from the existing framework as a general guideline; literature on scaling up, strategic planning, and organizational To assess the experience of the field trials; development. This framework was used in field tests with reproductive health To revise the framework based on non-governmental organizations (NGOs) the experience of the field trials; and 1 See www.msiworldwide.com/ipc From Vision to Large-Scale Change—A Management Framework for Practitioners 3
  • Scaling Up Begins with a Plan in Nigeria and Mexico and as a basis for those wanting to extend these projects to initial dissemination efforts with larger audiences. As such, it focuses on academics and practitioners. The current the practical steps and concrete tasks version of the framework has been involved in managing the scaling-up revised to reflect the lessons from that process. experience and to incorporate feedback from initial dissemination.2 It is The remainder of this paper is organized deliberately operational and is directed around the 3 Steps and 10 Tasks featured primarily to those involved in funding in the SUM Framework. and implementing pilot projects and to 2 See Annex 1 for a summary of actions taken in Mexico and Nigeria. An extensive bibliography, PowerPoint presentation, and detailed case study on the CLP Project in Nigeria are available on request from Richard Kohl (rkohl@msi-inc.com).4 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanStep 1: Develop a Scaling-up Plan S uccessful scaling up begins with good planning. Ideally, that planning starts during pilot project design and should take place long before implementation is completed. This Successful scaling up begins with good planning. Ideally, that planning starts section of the Framework provides during pilot project design. guidelines for Step 1 of the scaling-up process, Develop a Scaling-up Plan. This first step includes four distinct tasks, Concrete results achieved during Step 1 namely: include a realistic assessment of the Task 1: Create a Vision; prospects and parameters for scaling up Task 2: Assess Scalability; and a road map for getting to scale. This Step also includes developing the Task 3: Fill Information Gaps; and documentation and beginning to build Task 4: Prepare a Scaling-up Plan the support that will be needed later in the scaling-up process.Task 1: Create a Vision A lack of agreement on basic definitions studies makes scaling up more difficult.3 and a shortage of well-documented case The term “scaling up,” for example, is 3 Notable exceptions include: Expand Net Scaling Up Health Interventions http://www.expandnet.net/; Simmons, Ruth and Jeremy Shiffman. Scaling-up Reproductive Health Service Innovations: A Conceptual Framework. Paper prepared for the Bellagio Conference: From Pilot Projects to Policies and Programs, March 21–April 5, 2003; November 15, 2002, and updated February 2, 2005. Shiffman, Jeremy. Generating political will for safe motherhood in Indonesia. Social Science and Medicine 56. 2003. Shiffman, Jeremy, Cynthia Stanton and Patricia Salazar. The emergence of political priority for safe motherhood in Honduras. Health Policy and Planning 19 (6). 2004. Uvin, Peter, Pankaj S. Jain, and L. David Brown. Think Large and Act Small: Towards a New Paradigm for NGO Scaling Up. World Development 28 (8). 2000. Navrongo Health Research Center. What Works, What Fails (Vols. 1 and 2). Ghana Ministry of Health (www.navrongo.org). Goff, B. Mastering the Craft of Scaling Up in Colombia. Grassroots Development 14 (1). 1990. Haaga, John G. and Rushikesh Maru. The effects of operations research on program changes in Bangladesh. Studies in Family Planning 27 (2). 1996. DeJong, Jocelyn. NGO Experiences of Scaling Up HIV/AIDS Programs. Presentation at World Bank Workshop on Orphans and Vulnerable Children. May 2003. Ford Foundation. Asset Building for Social Change: Pathways to Large Scale Impact. Levine, Ruth. Millions Saved: Proven Successes in Global Health. Washington, DC. Center for Global Development. November 2004. World Bank. Scaling-up the Impact of Good Practices in Rural Development: A Working Paper to Support Implementation of the World Bank’s Rural Development Strategy. Report Number 26031. Agriculture and Rural Development Department. June 2003. From Vision to Large-scale Change—A Management Framework for Practitioners 5
  • Scaling Up Begins with a Plan The following questions should be Task 1 focuses on creating a concrete addressed when beginning Task 1:vision of what scaling up would look like What organizational, process, and technical factors were critical to if it were successful. success on a pilot scale? Can the model be simplified without undermining its effectiveness? Is it applied to several distinct strategies absolutely necessary to replicate all including: the dissemination of a new elements of the model on a large scale? technique, prototype product, or process innovation; “growing” an organization to Does the organization that carried a new level; and translating a small-scale out the pilot project have the desire initiative into a government policy. To and organizational capacity to expand its operations and deliver organize these issues and differentiate services on a substantially larger among strategies, Task 1 of the SUM scale? Framework focuses on creating a concrete vision of what scaling up would look like If not, which organization(s) are best suited and motivated to implement if it were successful. This vision becomes the model on a scaled up basis or to the yardstick for judging scalability (Task serve as partners in implementing 2) and for deciding what more needs to the model? be done before embarking on the scaling- Should the scaling-up effort include up process. Task 1 includes the following policy change by the government or four elements: rely exclusively on voluntary Clarify the model, innovation or adoption by private and non- project to be scaled up—what is w governmental organizations (NGOs)? being scaled up; Is there a need for one or more Identify the methods of going to intermediary organizations to scale—the how of scaling up; support the scaling-up process? If so, what help is needed and which Determine the organizational roles organizations are best suited to involved in scaling up—the who of performing these roles? scaling up; Establish the expected scope of the scaling-up effort and the Step 1: Developing a Scaling-up Plan dimension(s) along which Task 1: Create a Vision scaling up will occur—loosely speaking, the where of scaling Task 2: Assess Scalability up. Task 3: Fill Information Gaps Task 4: Prepare a Scaling-up Plan6 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a Plan Along what dimension(s) should scaling up take place? What would scaling up look like if it Scaling up should begin by clarifying were successful? exactly what is to be scaled up.The following paragraphs explore thesequestions and more. They are organizedaround the elements of what, how, who purpose finding and testing newand where the scaling-up effort will take solutions to a particular problem. Byplace. definition, they include at least one technical, process, or organizational1A. THE MODEL: innovation. Examples of each would be: aWHAT IS BEING SCALED UP? new technology (technical innovation); a Task 1: Create a Vision novel service delivery approach (process 1A. The Model: WhatScaling up should begin by clarifying Is Being Scaled Up? innovation); or creative use of aexactly what is to be scaled up. In the 1B. The Methods: How Will public/private/NGO partnership Scaling Up Bediscussion that follows, we refer to this Accomplished? (organizational innovation). A pilotas the “model.” This model is normally 1C. Organizational Roles: project can also take a model that has Who Performs the Keyembedded, at least initially, in a project Functions? worked successfully in one context or for 1D. Dimensions of Scalingand can include technical, process, and one problem and apply it to a new Up: Where Does theorganizational components. We refer to Scaling Up Occur? context or problem.6untested models or individualcomponents of models as “innovations.”4 Demonstration projects take an existing model and raise awareness about itsIn thinking about scaling up, it is useful usefulness. The intention is to maketo distinguish five different types of existing solutions better known and moreprojects5—pilot (or research and widely accepted by decision makers anddevelopment [R&D]), demonstration, potential users.capacity building (or infrastructure),policy, and service delivery. Capacity-building projects are intended to create the institutions, skills, physicalPilot projects, upon which this paper infrastructure or systems needed to makemainly focuses, have as their primary4 The nascent scaling up literature borrows heavily from social science literature on the diffusion and adoption of technologicalinnovations. While in some sections of this paper we find the “innovation” to be useful, many small-scale pilot projects discussedin the literature do not contain an obvious technical, process, or organizational innovation. We therefore prefer to use the term“model” rather than “innovation” to refer to what is being scaled up.5 Taken from Cooley, Larry. Uses and Limitations of Projects as Instruments of Change. Unpublished: Management Systems International,1992.6 The case studies cited above include numerous examples of each of these types of innovation. From Vision to Large-scale Change—A Management Framework for Practitioners 7
  • Scaling Up Begins with a Plan find a new and better solution to a problem on the assumption that, if successful, these innovative and novelEach of these five types of projects—pilot, features can and will be adopted bydemonstration, capacity building, policy, others. Using terminology discussed later in this chapter, most pilot projects focusand service delivery—has an internal logic on “effectiveness” with the implicit with respect to scaling up. assumption that “efficiency” and “expansion” will be addressed at some later date. Demonstration projects, permanent changes in the level or quality capacity-building projects, and policy of service delivery. These projects projects implicitly take a first step in implicitly assume that the other elements scaling up by seeking to accomplish one necessary for going to scale already exist or more of the tasks necessary to or are being provided elsewhere. operating on a larger scale: creating legitimacy and awareness, increasing Policy projects emphasize advocacy and capacity, and mobilizing resources, research and focus explicitly on bringing respectively. Service-delivery projects about changes in public policy. These normally act as an alternative to projects target policymakers as their government-provided services, dealing intended audience and do not typically directly with the issue of scale by include direct provision of services to the reaching as many people as resources affected public. allow. In none of these cases does the project design typically include a Service-delivery projects attempt to complete strategy for reaching scale on a “projectize” service delivery on the sustainable basis. assumption that the benefits or services provided are needed urgently and are not Many of the projects funded by being provided by existing programs and foundations and other donors describe institutions. National immunization themselves as pilot projects, as do most of campaigns offer an obvious case in point. the examples cited in the scaling-up These projects may or may not contain literature. It is important to note, innovations. however, that relatively few of these projects contain an obvious innovation or Each of these five types of projects—pilot, a research component, and most include demonstration, capacity building, policy, many elements that need not—or and service delivery—has an internal cannot—be reproduced on a large scale. logic with respect to scaling up. Pilot The majority of these projects are better projects approach scaling up in two seen as service-delivery projects than as stages—the initial project is intended to true pilot projects.8 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanAny serious effort to scale up a modelor pilot project should be preceded bytesting, clarifying, refining, and Any serious effort to scale up a model orsimplifying the model to emphasizethose elements essential to its pilot project should be preceded by testing,success.7 This process can take manyyears. In reviewing a number of cases clarifying, refining, and simplifying thein the field of rural development, the model to emphasize those elementsWorld Bank recently observed thatsuccessful cases “generally started essential to its success.with 10- to 15-year lead-up times,during which locally effective andappropriate technologies and objective evidence), a promisingprocesses were refined, often with practice (anecdotal reports andsubsidized donor support.”8 This testimonials); a model (positivesame evidence suggests, however, evidence in a few cases); a goodthat many social entrepreneurs are practice (clear evidence from severalreluctant to consider simplifications settings/ evaluations); best practicesto their initial models or prototypes, (evidence of impact from multipledespite the fact that evidence from a settings, meta-analyses, expertvariety of sources indicates that the reviews); or afactors relevant to the success of policy principlescaling-up efforts include determined (proven in Categories of “Best Practice”efforts at simplification.9 multiple settings; Innovation—minimal objective evidence considered widely Promising practice—anecdotal reports andWhile most models proposed for applicable ‘truism’ testimonialsscaling up are described by proponents essential for Model—positive evidence in a few casesas “best practices,” few would meet success).” 10 Good practice—clear evidence from severalthis standard. To this end, the World settings/evaluationsBank publication cited above Best practices—evidence of impact from This first element multiple settings, meta-analyses, expertintroduces a useful set of categories of Task 1 should reviewsoriginally developed by the U.S. result in a clear Policy principle—proven in multipleCenter for Drug Abuse Prevention settings; considered widely applicable specification of the “truism” essential for successand drawn from the language of rationale for, andscientific discourse. These distinguish substance of, whatbetween “an innovation (minimal is to be scaled up.7 Simplification also implies an effort to identify in an objective way those elements of an intervention that are essential and cost-effective for producing the desired results. In this regard, the randomized trials pioneered by the Poverty Action Lab areinstructive (see www.povertyactionlab.org).8 World Bank, op. cit., p. 24.9 World Bank, op. cit., p. xiv.10 World Bank; June, 2003; p. xi. From Vision to Large-scale Change—A Management Framework for Practitioners 9
  • Scaling Up Begins with a Plan 1B. THE METHODS: HOW WILL and expansion (developing a way to provide the solution on a larger scale).11Task 1: Create a Vision SCALING UP BE ACCOMPLISHED? Figure 1 illustrates this progression.121A. The Model: What Is Being Scaled Up? The second element in Task 1 involves1B. The Methods: Scaling up focuses principally on the articulating a strategy for how the model How Will Scaling third stage—expansion—and assumes Up Be can best be extended to large numbers of that workable solutions have been found Accomplished? people. A good starting point is David for the issues implied by the first and1C. Organizational Roles: Korten’s classic depiction of the scaling- Who Performs the Key second stages. However, literature and Functions? up process as three successive stages—1D. Dimensions of Scaling experience both suggest that, within this Up: Where Does the effectiveness (developing a solution that third stage, it is useful to distinguish Scaling Up Occur? works), efficiency (finding a way to between several distinct approaches or deliver the solution at an affordable cost), methods of achieving Figure 1. Summary Overview of Issues scale (see Table 1).13 for Analyzing Scaling Up Thus, the SUM Framework groups third-stage “expansion” Transfer of Experience: State of applying information in a methods into three practice: new setting Factors for categories—expansion, e evidence and Scaling Up applicability replication, and Factors for Efficiency Contextual collaboration— Factors for Internal distinguished from one Effective - Contextual ness another by the degree Internal Replicating, spreading Contextual to which the out institutionalizing for wider impact originating Internal Better use of Expansion Context for resources organization (i.e., the Efficiency innovation Local impact organization that Effectiveness source of idea, nce: managed the initial g experie Innovations Expandin arning Internal Le project) continues to Scale: control implementation numbers, area as the model goes to Source: Jim Hancock, World Bank Consultant scale.14 11 Korten, F. F. and R. Y. Siy, Jr. (eds.). “Sharing Experiences—Examples of Participatory Approaches in Philippines Communal Irrigation Projects.” In Transforming Bureaucracy: the Experience of the Philippine National Irrigation Administration. West Hartford, CT: Kumarian Press, 1988. http://www.worldbank.org/wbi/sourcebook/sb0215.htm 12 World Bank, op. cit., p. 14. 13 The following discussion parallels and integrates the distinctions outlined in a recent publication between “expansion of experience” and “transfer of experience” each of which can be pursued through either organizational growth (“horizontal”) or institutional and policy change (“vertical”) approaches, and each of which can engage the organization doing the scaling up on a “direct” or “indirect” basis. (World Bank, op. cit., p. x) 14 Among other useful frameworks for distinguishing alternative methods of scaling up is the following taxonomy: developing public policies, fostering communities of practice, influencing market forces, changing power relationships, and promoting social learning. For a full discussion of this framework, see Ford Foundation. Asset Building for Social Change: Pathways to Large-Scale Impact, 2004. 10 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a Plan Expansion here refers to taking a model to scale by increasing the scope of operations of the organization that The SUM Framework groups third-stage originally developed and piloted it. Often, expansion occurs in cases of pilot “expansion” methods into three or demonstration projects, where a project fills a vacuum in terms of categories—expansion, replication, and e delivering products or services, and collaboration—distinguished from one where the model and the organization in which it is embedded are either another by the degree to which the inextricably linked or the originating originating organization continues organization is unwilling to relinquish control. to control implementation as the model goes to scale. The most common form of expansion is growth, which normally occurs by branching out into new locations. Sometimes this growth is accompanied and spinning off aspects or parts of the by decentralization or restructuring, which originating organization to operate we regard here as a distinct method of independently. expansion because of the special demands it places on the originating Replication involves increasing the use of organization. Two other methods of a particular process, technology, or expansion are franchising the model to model of service delivery by getting organizations operating as agents or others, including the public sector, to clones of the originating organization, take up and implement the model. In these cases, an arms-length relationship Table 1. Types and Methods of Scaling Up between the originating and “adopting” organizations (defined below) exists.Type How Replication can occur betweenExpansion Growth organizations of the same type (e.g., Restructuring or Decentralization NGO to NGO) or between organizations Franchising of different types. Spin-OffReplication: Policy Adoption One of the most common types of Grafting replication is policy adoption, when a Diffusion and Spillover model is scaled up from a pilot run by an Mass Media NGO to a program or practice mandatedCollaboration Formal Partnerships, Joint and often run by the public sector. Ventures, and Strategic Alliances Another common form of replication is Networks and Coalitions grafting, where a model—or one From Vision to Large-scale Change—A Management Framework for Practitioners 11
  • Scaling Up Begins with a Plan ventures and strategic alliances are increasingly common methods for organizing collaborative efforts, as are Each of the ten scaling-up methods less formal networks and coalitions based has pros and cons, and choosing among on memoranda of understanding or merely a handshake. Typically, thesealternatives involves balancing a number arrangements include some division of of considerations. responsibility among the collaborating organizations. Some of these arrangements include the component of a model—is incorporated public sector as a key partner; many into another organization’s array of others are agreements among civil society services or methods of service delivery. groups and/or partnerships with private Policy adoption and grafting can occur firms, such as an NGO involved in together, as when a public sector agency education and awareness that partners incorporates a technique innovated by with media organizations to co-create NGOs into its services, such as a new methods of delivering products and participatory approach to HIV education. services to an expanded audience. Diffusion and spillover are other methods Recognition by private firms of of replication. They tend to be commercial opportunities among the spontaneous in nature and occur when a poor15 and a growing emphasis on model spreads by informal networking corporate social responsibility have with new or existing organizations or greatly expanded the opportunities for through the use of more deliberate these types of partnerships. dissemination efforts. Use of mass media is a special case of diffusion that bypasses Balancing the Pros and Cons organizations altogether by marketing new ideas directly to the affected public. Each of the ten methods listed in Table 1 has pros and cons, and choosing among Collaboration, the third method for alternative scaling-up methods involves scaling up, falls somewhere between the balancing a number of considerations. expansion and replication approaches. Take, for example, the case of replication Collaboration mechanisms run the gamut through policy adoption—the transfer of a from formal partnerships to informal model from an NGO to public sector networks and include a number of institutions. The clear advantages of policy innovative structures and governance adoption are mandatory compliance and arrangements. Formal partnerships, joint access to resources, as state and national 15 See, for example, the recent book: Prahalad, C. K. The Fortune at the Bottom of the Pyramid. Philadelphia: Wharton School of Publishing, 2004.12 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a Plangovernments have greater financialresources than most NGOs. Moreover,governments generally have greater public This second element of Task 1 entailslegitimacy, especially if they aredemocratic; and donors and foundations weighing these options and arriving atfrequently view operating at scale on a preliminary decisions about which scaling-sustainable basis as a more appropriaterole for government than for NGOs. Policy up methods are to be used, with a clearadoption also has the advantage that it canoccur fairly rapidly in a system where understanding of the implications.decision making is highly centralized andcan cover a large area quickly. On theother hand, organizational congruence— scale. Expansion by NGOs across sociallythe match between the skills, procedures, and political diverse regions andand values of the NGO and those of the audiences is a particular challenge.government—can be a serious problem.For example, where the model being The pros and cons of collaborationtransferred involves a highly participatory depend on the nature of theapproach, adoption by bureaucratic public organizations, governance structures,agencies may be impractical. For this and partnership model that is used.reason, policy adoption is typically more Collaboration has greatest potentialeffective when the model involved is where various organizations haveprimarily technical than when process different and complementary skills orsensitivity and community participation resources, have shared or overlappingare key factors in its success.16 objectives, and have a high level of mutual trust. For example, networksThe pros and cons of using expansion as between similar institutions, such asa scaling-up method largely mirror those between NGOs or between public sectorassociated with policy adoption. Major agencies, can be a powerful form ofchallenges for expansion are the ability of scaling up. However, because networksexisting management to undertake and are voluntary and frequently lackimplement the necessary internal external resources, the rate of adoptionchanges—and to secure sufficient and coverage of the program may befinancial resources—both to support the slower and less widespread, respectively,scaling-up exercise and to operate at than with other strategies.16 This corresponds to the distinction between the “hardware” (the technical components) and “software” (participation, quality ofservice, and other less tangible components) aspects of change. From Vision to Large-scale Change—A Management Framework for Practitioners 13
  • Scaling Up Begins with a Plan Table 2 displays critical factors affecting This second element of Task 1 entails the choice among alternative scaling-up weighing these options and arriving at methods along with the implications of preliminary decisions about which each of these factors for preferred scaling-up methods are to be used, with a methods: clear understanding of the implications. Table 2. Choosing a Scaling-up Method 1C. ORGANIZATIONAL ROLES:Factors to Consider Method Preferred WHO PERFORMS THEType of Model KEY FUNCTIONS? Technology Intensive Any Process Intensive Expansion or Collaboration The third element of Task 1 is decidingComprehensiveness of Model who needs to do what in order for scaling Specific Practice Any up—and operating at scale—to be Complete Model Expansion successful.Capacity of Originating Organization Strong Expansion or Collaboration Drawing on a typology developed by Weak Replication Simmons and Shiffman (2003),17 at leastSource of Financing two different organizational roles are Internal Any involved in scaling up: the originating External Replication or Collaboration organization that develops and pilots theAvailability of Formal Evaluation and model, and the adopting organization Documentation of the Model Yes Any that takes up the model. Adopting No Expansion organizations may be newly created forObservability of Results the purpose of taking up the model, or High Any may be pre-existing. In the case of Low Expansion collaborative strategies, the role of theEase of Transfer to Other Organizations adopting organization is sometimes High Replication or Collaboration shared between the originating Low Expansion organization and one or more partners. InQuality of Governance cases where scaling up takes place High Replication Low Expansion or Collaboration through expansion, the originating andPresence of NGO Networks adopting organizations are one and the Strong Replication same. Nevertheless, the conceptual Weak Expansion or Collaboration distinction is useful because significantSocial Homogeneity expansion will almost certainly require High Any the originating organization to undergo Low Replication major change. 17 Simmons, Ruth and Jeremy Shiffman. Scaling-up Reproductive Health Service Innovations: A Conceptual Framework. Paper prepared for the Bellagio Conference: From Pilot Projects to Policies and Programs, March 21–April 5, 2003. November 15, 2002.14 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanSimmons and Shiffman have noted theimportance of the compatibility of amodel with the values, norms, and The third element of Task 1 is decidingsystems of potential adoptingorganizations.18 This means that, when who needs to do what in order forconsidering potential adoptingorganizations, it is important to look at scaling up—and operating at scale—tohow similar the organizational contexts, be successful.capacities, and values are; how muchadaptation and capacity building will beneeded; and what resources will be which the originating and adoptingrequired. organizations are embedded. If the visionFor example, community-based projects of scaling up involves a new population Task 1: Create a Vision or location, this requires at least a 1A. The Model: What Isfrequently owe their success to Being Scaled Up?participation by program participants preliminary assessment of the context 1B. The Methods: How Will Scaling Up Beand stakeholders, including local where scaling up will occur. The Accomplished?ownership, volunteer labor, use of local objective of this assessment is to ensure 1C. Organizational that the scaling-up strategy takes into Roles: Whoresources, and priorities determined by Performs the Keycommunity needs. Large public sector account opportunities and threats in the Functions?bureaucracies embody, almost by new environment and adjusts to social 1D. Dimensions of Scaling Up: Where Does thedefinition, exactly the opposite conditions present in the new context. Scaling Up Occur?characteristics. Supply-driven and less This should include an assessment of theresponsive to local needs, they are supply and demand for the services thatunlikely to make extensive use of local are to be provided and whether there areresources or engender a strong sense of any “competitors” present who may belocal ownership. While public threatened by the scaling-up effort.bureaucracies have compensating Most discussions of scaling up assumevirtues—legitimacy, resources, and that the originating organization is alsoinfrastructure—differences in their the organization that does the work“software” (processes) and values may needed to transfer the model or take themake transfer difficult and ultimately model to scale. Experience and theoryjeopardize the viability of scaling up in both suggest, however, that many of thecases where these components are tasks involved in successfullyfundamental to the success of the model. transferring or expanding a model canConsiderations of compatibility apply best be done by, or with the assistance of,equally to the social environment in a neutral third party or intermediary18 Simmons, Ruth and Jeremy Shiffman. Op. cit. From Vision to Large-scale Change—A Management Framework for Practitioners 15
  • Scaling Up Begins with a Plan required in originating and adopting organizations.19 This third element of Task 1 involves Figure 2 summarizes the organizationalidentifying the organizations best suited to roles involved in scaling up. The roles of the originating organization, adopting perform each of these functions and the organization, and intermediary major organizational changes that organization can each be performed by public sector agencies, NGOs, private scaling up will require of them. voluntary organizations, consulting firms, and community-based organizations. organization charged specifically with assisting the scaling-up process. The tasks This third element of Task 1 involves these organizations perform can include identifying the organizations best suited conducting visioning and planning to perform each of these functions and exercises; project evaluation and process the major organizational changes that documentation; political mapping and scaling up will require of them. stakeholder assessment; coalition building; design and conduct of advocacy 1D. DIMENSIONS OF SCALING campaigns; and fundraising. In the case UP: WHERE DOES THE of collaborative strategies for scaling up, intermediary organizations can also be SCALING UP OCCUR? essential in designing and forming So far, we have reviewed three of the innovative partnerships. In strategies that four the key elements of scaling up: the depend on expansion or replication, they model, the types and methods of scaling often play essential roles in assessing and up, and organizational roles. The fourth strengthening the internal capacity and final element needed to complete a vision of the scaling- up process is Figure 2. Organizational Roles in Scaling Up dimension—the size of the intended scaling- up effort and the Intermediary Originating Adopting vector along which the Organization Organization Organization model or project is to (Process Facilitator) be extended. Or ig i na t ing A d opt i ng S oc ia l S oc ia l 19 One of the major findings from MSI’s research and fieldwork is that there are few intermediary organizations in most developing countries with the range of skills needed to support scaling-up. Also noteworthy is the absence of funding to cover these services in most donor-assisted projects.16 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanExtension of a pilot project’s services orbenefits can be along any of thefollowing five vectors: The fourth and final element needed Geographic coverage (extending to new locations); to complete a vision of the scaling-up Breadth of coverage (extending to process is dimension—the size of the more people in the currently served categories and localities); intended scaling-up effort and Depth of services (extending the vector along which the model or additional services to current project is to be extended. clients); Client type (extending to new categories of clients); and along which of these directions the Problem definition (extending expansion will occur is the fourth and current methods to new problems). Task 1: Create a Vision final element in developing a vision and 1A. The Model: What Is Being Scaled Up?To clarify these distinctions, consider a broad strategy for scaling up. 1B. The Methods: How Willproject being piloted in a particular Scaling Up Be Accomplished?village and intended to lower infant PUTTING TASK 1 INTO ACTION 1C. Organizational Roles:mortality by educating pregnant women Who Performs the Key Functions?about infant diseases and the need for The starting point for Task 1 depends on 1D. Dimensions ofante- and post-natal care. When scaling who initiates it and at what stage of the Scaling Up: Where pilot effort. Experience clearly Does the Scalingup is discussed, frequently only the Up Occur?geographic dimension is considered— demonstrates that scaling up is highlyexpanding the project to reach more unlikely without some level of activevillages or a larger region, such as a support from the originatingdistrict or the entire country. However, a organization. However, the focus onnumber of other dimensions might also scale often begins with donor or host-be considered. These could include government interest in fashioning aextending services to more pregnant solution that can be provided to largewomen within the original village segments of the affected population. In(breadth of coverage); offering nutritional cases where the NGO responsible for theinformation and/or access to ante- and pilot project does not share this emphasispost-natal care (depth of services); on coverage, a mismatch of expectationswidening the target population to is likely. The most typical result is vagueinclude all women of childbearing age language about scaling up in the funding(client type); or applying the approach to documents for the pilot project andaddress other issues, such as maternal limited attention to scaling up duringmortality (problem definition). Deciding implementation. The best protectionon how many people will be served and against this is clear and candid From Vision to Large-scale Change—A Management Framework for Practitioners 17
  • Scaling Up Begins with a Plan In other cases, multiple candidates may be appropriate for scaling up to fill a Experience clearly demonstrates that larger need, and a selection must be made. For these, prioritization of projects scaling up is highly unlikely without for scaling up should be based on the scalability assessment criteria some level of active support from the enumerated in Task 2 below. originating organization. In the best-case scenario, scaling up is anticipated during the initial design of a pilot project. In such cases, widely communication early on about each accepted best practices suggest that the party’s vision for the future scale of the following elements be incorporated into effort, and their willingness to work the original design and implementation toward that future. of the pilot project: doing a baseline Timing is also critically important. Often, survey; documenting the model, discussion of scaling up begins only after especially processes such as working a pilot project is well underway or with local communities; building in an completed. These projects are often ongoing method for monitoring, assumed to be successful and ready for measuring, evaluating and publicizing scaling up based on anecdotal evidence results; and building in mechanisms for rather than a thorough, evidence-based gaining buy-in from policymakers and evaluation of the extent and reasons for a other representatives of potential users or model’s success; an assessment of the adopting organizations. model’s strengths, weaknesses, and cost- Regardless of entry point, scaling up effectiveness; and a comparison with depends on a shared vision incorporating alternative models or mechanisms for the elements described in Task 1 of the achieving the same goals. Taking the time SUM Framework. Much of the work to do an evaluation, assessment, and needed for ironing out these issues can be comparison with alternatives is important done in a workshop setting with officials and, ideally, should be done by someone from the originating organization, who is detached and independent. Third- potential donors, potential adopting party assessments often provide elements organizations, and selected other essential to the scaling-up process, stakeholders. Field-tested models and including documentation or credible materials have been developed to verification of impact, which can be used support this planning effort and are to publicize and market the model.20 available upon request.21 20 Ashman, Darcy. Closing the Gap between Promise and Practice: A Framework for Planning, Monitoring and Evaluating Social Development Networks. Unpublished, Mimeo. 21 For more information, contact Richard Kohl at Management Systems International (rkohl@msi-inc.com).18 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanTask 2: Assess Scalability The second part of the planning process involves reaching pragmatic judgments about the scalability of the model or While some of the factors that affect program in question. While some of the factors that affect scalability relate to the scalability relate to the model itself, many model itself, many relate to the larger relate to the larger context in which context in which scaling up would take place. As a result, the task of assessing scaling up would take place. scalability should usually be undertaken at the same time as Task 1 to ensure that the vision and plan are fully informed by need to be present for the model to the realities of the situation. be replicated successfully? Does the adopting organization have The following questions can help to the appropriate organizational and guide Task 2: implementation capacity, or the Do relevant stakeholders, potential means to develop that capacity? partners, and intended beneficiaries Does the needed funding exist for perceive a need for this kind of replicating the model on a large model? scale? Has the model been documented, Are the central mission, including the process component, organizational culture and values of and has its cost-effectiveness been the proposed adopting organization objectively assessed? Does evidence sufficiently compatible with those indicate that the model is more cost- necessary to adopt and implement effective than other approaches? the model successfully? Are there obvious economies or These issues are discussed in greater diseconomies of scale? detail below. How easily can the institutional characteristics that were key to the outcomes achieved be replicated or 2A. DETERMINING THE VIABILITY enlarged? OF THE MODEL FOR SCALING UP Is there anything special or unique In analyzing the comparative scalability Task 2: Assess Scalability about the social context, political 2A. Determining the of various pilot projects, Ruth Simmons Viability of the context, or general circumstances of the pilot project (e.g., cultural, ethnic, enumerated seven useful criteria based Model for Scaling on the characteristics of successful Up or religious values/characteristics; 2B. Analyzing the distribution of power; homogeneity; technological or economic innovations. Organizational and Social Context economic conditions) that would She summarizes them as follows: From Vision to Large-scale Change—A Management Framework for Practitioners 19
  • Scaling Up Begins with a Plan In addition, experience demonstrates that the easiest pilot efforts to scale up are those that involve a clear and replicable Experience demonstrates that the easiest technology and that self-generate financial pilot efforts to scale up are those that resources needed for expansion. This helps to explain why many of the mostinvolve a clear and replicable technology common examples of scaling up areand that self-generate financial resources commercial or fee-for-service products such as micro-credit, and why it has needed for expansion. generally been easier to scale up innovations, such as new seeds or cell phones, than models where process, values Innovations [Models] must be: and organizational context are critical.23 (1) credible, based on sound evidence or espoused by respected persons The checklist shown in Table 3 is a crude or institutions; test of the scalability of pilot projects based on the factors noted above. Every (2) observable to ensure that potential users can see the results in practice; check placed in Column A indicates a factor that simplifies scaling up; and (3) relevant for addressing persistent every check in Column C represents a or sharply felt problems; complicating factor. A check placed in (4) having a relative advantage over column B indicates an intermediate or existing practices [positive cost- neutral situation with regard to a benefit, including implementation particular characteristic. By counting the costs]; number of checks in Column A and (5) easy to transfer and adopt; subtracting the number of checks in (6) compatible with the existing users’ Column C one gets a rough measure of a established values, norms, and model’s scalability. The higher the facilities; and number, the easier it will normally be to (7) able to be tested or tried without scale up the model.24 committing the potential user to complete adoption when results The Scalability Checklist is intended to have not yet been seen.22 stimulate, not substitute for, serious 22 Simmons et al. (2002), p. 63. Emphasis added. 23 The World Bank paper cited above (op. cit., p. 9) uses the terms “universalist” and “contextualist” to distinguish these two broad approaches and provides the following definitions of each: “Universalist approach to scaling up. In this approach, experience provides a set of universal generalizations that can be U replicated, directly expanded, or adopted elsewhere with a simple set of rules. This does not require identifying and dealing with local variability. For that reason, it may take less time and effort than a contextualist approach to scaling up. Contextualist approach to scaling up. In this approach, practices to be scaled-up are tailor-made at the outset to address context-specific conditions” 24 Adapted from Implementing Policy Change Project Technical Note #3, Management Systems International (www.msiworldwide.com/ipc).20 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a Plandialogue and analysis. It is best used notas a scorecard to determine what can bescaled up and what can’t, but as an aid The Scalability Checklist is best used ... asfor prioritizing alternatives and a meansfor identifying some of the actions that an aid for prioritizing alternatives and acan be taken to simplify the scaling-up means for identifying some of theprocess. Every time it is possible to makea change that removes a check from actions that can be taken to simplifyColumn C (and, perhaps, changes itsufficiently to replace it with a check in the scaling-up process.Column A), the task of implementationhas probably been made easier. Forexample, any action that makes the Organizational culture andbenefits of adopting a model more values/principles,apparent almost certainly increases the Staffing skills and requirements,ease with which it can be scaled up. Management and leadership style, Financial system and resources,2B. ANALYZING THE Task 2: Assess Scalability External partnerships, andORGANIZATIONAL AND 2A. Determining the Viability of the Model Monitoring and evaluation.SOCIAL CONTEXT for Scaling Up 2B. Analyzing the The broader social and political context Organizational andIn many types of development projects, in which projects are located can also Social Contextorganizational factors are most exercise substantial impact on theresponsible for pilot-scale success. It is scaling-up process. For this reason, it isthus particularly important to identify important to assess the externalthe organizational features that need to environment in which the pilot projectbe retained, recreated, or substituted for has been operating to identify contextualscaling up the model successfully. In factors that may have been essential toidentifying potentially unique or the success of the model. Here again, thedistinguishing features of the goal of the analysis is to identify featuresorganization that implemented the pilot that need to be recreated or substitutedproject—what we call elsewhere in this for if the model is to be successfullypaper the “originating organization”—the scaled up. This analysis of the socialcategories and methodology used in the context can be particularly important, asInstitutional Development Framework these factors are often invisible to those(IDF)25 are a useful guide. These are: who—like fish unaware that they swim25 For more information, tools and guidelines, contact Mark Renzi (mrenzi@msi-inc.com) or see Renzi, Mark. “An IntegratedTOOLKIT for Institutional Development.” Public Administration and Development. Vol. 16, pp. 469-483. 1996. Also available athttp://www.msiworldwide.com/gral/nwproductsinfo/institutional_dev.htm From Vision to Large-scale Change—A Management Framework for Practitioners 21
  • Scaling Up Begins with a Plan Table 3. Scalability Checklist Characteristics A B C of the Model Simplifying Factor Neutral Complicating Factor ✓ ✓ ✓Is the model credible? Based on sound evidence Little or no solid evidence Evaluated by independent Not evaluated by independent sources sources Supported and espoused Not supported or espoused by respected individuals by respected individuals and institutions and institutionsHow observable are the Very visible to casual observation; Not very visible; not easilymodel’s results? easily communicated to public communicated to public Clearly associated with the Not clearly associated with the intervention intervention Has a clear emotional appeal Has little or no clear emotional appealHow relevant is the model? Addresses a persistent problem Addresses a temporary problem Addresses a need that is sharply Addresses a need not sharply felt by the target population felt by the target population Addresses a need that is sharply Addresses a need that is not felt by potential adopting sharply felt by potential organization(s) adopting organization(s)Does the model have relative Current solutions are Current solutions areadvantage over existing considered inadequate considered adequatepractices? Superior cost-effectiveness Little or no objective evidence of clearly established superiority to current solutionsHow easy is the model to Few decision makers are involved Many decision makers aretransfer and adopt? in adoption of model involved in adoption of model Small departure from current Large departure from current practices and behaviors for target practices and behaviors for population target population Small departure from current Large departure from current practices and culture of potential practices and culture of potential adopting organizations adopting organizations Little emphasis on values and/or Significant emphasis on values process and/or process Model has low technical Model has high technical sophistication sophistication Includes a clear and easily Does not include a clear and replicated technology easily replicated technology Low complexity; simple with few High complexity; integrated components package with many components Able to use current Requires new infrastructure infrastructure and facilities and facilitiesHow testable is the model? Able to be tested by users on Unable to be tested without a limited scale complete adoptionIs funding likely to be Much less expensive than Much more expensive thanavailable and/or will current practice current practiceresources be saved? Fully funded by revenues or a No dedicated funding source; dedicated funding source zero or low cost recoveryTotal Number of Checks22 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a Plan in the ocean—have no point of comparison.26 Among the key factors that should be considered in such analysis, The broader social and political context especially noteworthy are the quality of governance; the respective roles and in which projects are located can also fiscal capacity of national, state and local exercise substantial impact on governments; the extent and nature of NGOs and NGO networks; the prevailing the scaling-up process. cultural and religious norms; and the extent of social homogeneity. political context for scaling up. A number PUTTING TASK 2 INTO ACTION of tools are available for these purposes, including the Institutional Development As noted, Task 2 is most effective when Framework and political mapping.27 This carried out in conjunction with Task 1. In process often benefits from the its most basic form, Task 2 involves (1) involvement of neutral third-party filling out the checklist, (2) brainstorming facilitators or analysts, possibly drawn options for simplifying the scaling-up from the same intermediary organization process, and (3) carrying out special that supports other aspects of the scaling- analyses of the organizational, social, and up process.28Task 3: Fill Information Gaps In principle, the next task after will suffice, governments and donor developing a vision and completing a organizations increasingly demand solid scalability assessment is the development evidence prior to initiating a serious of a scaling-up plan. As a practical effort to scale up a model or intervention. matter, however, Tasks 1 and 2 almost The items most frequently found to be always reveal a number of information or missing include: documentation gaps that need to be filled Documentation of the model, before developing such a plan. Task 3 is including goals and distinguishing dedicated to filling those gaps. technical, organizational and/or process elements; While, in some cases, rough approximations and anecdotal evidence Analysis of need or demand for the service among the larger population; 26 For additional guidance on practical techniques for analysis of social and political context, contact Larry Cooley (lcooley@msi- inc.com) or see Brinkerhoff, Derick and Ben Crosby. Managing Policy Reform. Bloomfield, CN. Kumarian Press. 2002. 27 See Annex 4 for links to these and other methods. 28 For additional guidelines on this process and the role of neutral third parties, contact Richard Kohl (rkohl@msi-inc.com). From Vision to Large-scale Change—A Management Framework for Practitioners 23
  • Scaling Up Begins with a Plan They also depend on the information demanded by those responsible for making decisions about whether and how A number of information or scaling up is to proceed. Experience in documentation gaps need to be filled Mexico and Nigeria suggest that six months to one year is a realistic before developing a scaling-up plan ... and allowance for the time needed to perform technical findings need to be translated this Task for most pilot projects. That same experience suggests that this stage into terms that make sense to the of the scaling-up process is a particularly intended audience. vulnerable one, because neither the pilot project nor the potential adopting organization has a budget or dedicated Analysis of the changes needed to personnel to conduct the needed make the model applicable to other analyses.29 It should thus be a particular parts of the country or to other target priority for foundations and otherTask 3: Fill groups; interested agencies to find practical waysInformation Gaps (Comparative) analysis of the costs of supporting and facilitating this Task.30 associated with the model; Task 3 typically begins with a review and Evaluation of the model’s mapping of decisionmakers’ unmet (comparative) impact and success; information requirements, followed by Refinement and simplification of the the development of a schedule and model; budget for meeting these requirements. Analysis of the possibilities for At the same time, a series of issues that achieving economies of scale; affect the credibility and persuasiveness Analysis of the institutional of the information and documentation requirements for implementing the must be considered. Among the model; and considerations affecting the impact of information on decisionmakers, Identification of the main actions and resources needed to transfer the particular attention should be given to model. the need to translate technical findings into terms that make sense to the The time and resources needed to intended audience and the need for complete Task 3 obviously depend on the credible interlocutors.31 nature of the gaps that need to be filled. 29 The typical small-scale project allocates less than 5% of its resources for monitoring and evaluation. When that project is a serious candidate for scaling up, experience suggests that donors need to be prepared to allocate up to 20% of project costs for these purposes unless an alternative source of funding exists for Task 3 activities. 30 See CLP case study (op. cit.) for a detailed example. 31 A useful discussion of the factors that influence the impact of information on decisions about scaling up, policy adoption and diffusion of innovation can be found in two unpublished memoranda developed by Liza Weinstein for the MacArthur Foundation— ”Diffusion of Innovation” (October 29, 2004) and “Diffusion of Programmatic and Policy Innovation” (December 15, 2004). 24 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanTask 4: Prepare a Scaling-up Plan Step 1 culminates in a practical and workable scaling-up plan, and the consolidation of that plan is the work of Step 1 culminates in a practical and Task 4. This relatively brief document (perhaps ten pages plus annexes) should workable scaling-up plan that summarizes summarize the thinking and analysis that the thinking and analysis that took place took place throughout the previous three tasks of Step 1. In many cases, the to produce it. intermediary organization that helped with initial visioning (Task 1), Scalability Assessment (Task 2) and Filling the pilot project; one paragraph each Information Gaps (Task 3) can and on the model (“what”), methods should play a key role in pulling this (“how”), organizations (“who”), and material together during Task 4. dimensions (“where”) of the Audiences for the plan are both internal proposed scaling-up effort; and (the originating organization and its Board of Directors), and external— Evidence supporting the value and networks, adopting organizations, feasibility of scaling up the model, government agencies, and potential summarizing any data that exists on project funders—and the document the (comparative) impact and cost- should be written with these various effectiveness of the model, and Task 4: Prepare a audiences in mind. Scaling-up Plan establishing the demand for and 4A. Part I While a Scaling-up Plan can be organized applicability of the model outside 4B. Part II and presented in several ways, the the pilot area. following outline is as a useful guide: 4A. PART I Summary of the Need, including, The document should be written where possible, hard data on the size and distribution of the problem— with both internal and external one paragraph; audiences in mind. Vision, including a one- to two- paragraph history and description of From Vision to Large-scale Change—A Management Framework for Practitioners 25
  • Scaling Up Begins with a Plan 4B. PART II Timetable, Roles andTask 4: Prepare a Responsibilities, including a GanttScaling-up Plan Proposed Actions grouped under the4A. Part I chart and an organizational following headings: legitimizing responsibility chart for major 4B. Part II change, constituency building, activities. realigning and mobilizing resources, modifying organizational structures, Resources, identifying the budget coordinating action, tracking and other resources needed to performance and maintaining support the scaling-up effort and for momentum (see discussion below on operating at scale. each of these topics). 26 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditionsand Implement aScaling-up Process T his portion of the SUM Framework focuses on translating aspirations into reality. This usually involves action by many people—legislators, national leaders, activists, service Translating aspirations into reality involves action by many people, reaching providers, and donors, to name but a agreements, and turning those agreements few. It involves reaching agreements and into tangible results. turning those agreements into tangible results. Published case studies rarely describe in Preconditions for Scaling Up, includes any detail the steps and considerations three tasks: legitimizing action (Task 5), involved in implementing a scaling up constituency building (Task 6), and plan, and there are thus few documented realigning and mobilizing resources best practices on which to base step-by- (Task 7). Step 3, Implementing the step guidelines. The discussion in this Scaling-up Process, is comprised of three section augments the published literature additional tasks: modifying on scaling up with insights drawn from organizational structures (Task 8), the literature and practice, as well as coordinating action (Task 9), and tracking MSI’s fieldwork, on two closely related performance and maintaining topics—organizational development and momentum (Task 10). managing policy change.32 It assumes the existence of a vision and plan. These six tasks, and the links between them, are displayed in Figure 3, which This two-part section presents, illustrates that, even though the six Tasks respectively, Steps 2 and 3 of the scaling- have a logical sequence, each Task affects up process. Step 2, Establish the and is affected by each of the others. 32 See Brinkerhoff, D. & Crosby, B. Managing Policy Reform: Concepts and Tools for Decision-Makers in Developing and Transitioning Countries. Bloomfield, CT.: Kumarian Press, Inc., 2002. For additional technical notes, research notes, and case studies, see Management Systems International. Implementing Policy Change Series. Washington, DC (www.msiworldwide.com/IPC) From Vision to Large-Scale Change—A Management Framework for Practitioners 27
  • Establish Preconditions and Implement a Scaling-up Process Figure 3. An Overview of the Scaling-up Process Step 1: Develop a Scaling-up Plan (Tasks 1–4) Step 2: Establish the Preconditions for Scaling Up Task 5 Task 6 Legitimize Change Build a Constituency Task 10 Task 7 Track Performance and Realign and Maintain Momentum Mobilize Resources Task 8 Task 9 Modify Organizational Coordinate Action Structures Step 3: Implement the Scaling -up Process u Primary linkage Secondary linkage28 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up ProcessStep 2: Establish thePreconditions for Scaling Up T he intended result of Step 2 is that the decisions and resources needed for scaling up are approved and in place. This requires getting the issue onto the agenda of key decisionmakers, Translating aspirations into reality involves action by many people, reaching aligning constituencies to support the agreements, and turning those agreements needed changes, and securing the into tangible results. required resources. The following sections explore each of these tasks.Task 5: Legitimize Change Given all the issues that compete for attention and resources, scaling up a new model will most likely make progress Building legitimacy is time consuming only when decisionmakers think that change from the status quo is imperative. but essential. For this to be the case, they must see the problem needs as critical and the affected constituency as a priority. Existing Because change often represents a responses must be acknowledged as significant break from tradition and inadequate, and decisionmakers must requires shifts in attitudes and actions, it believe there are viable ways to address is important that there be “legitimizers” the need. or “champions” who enjoy widespread credibility. These individuals can come Step 2: Establish the from any of the public, non-profit or Pre-Conditions for Scaling Up private sectors. However, if policyTask 5: Legitimize Change adoption is the chosen method of scaling up, it is essential to attract high-levelTask 6: Build a Constituency government involvement and support at Task 5: LegitimizeTask 7: Realign and Mobilize Resources the earliest feasible date. Change From Vision to Large-scale Change—A Management Framework for Practitioners 29
  • Establish Preconditions and Implement a Scaling-up Process implementation by bureaucratic institutions and others. More generally, it is critical for attracting potential adopting Numerous case examples indicate, organizations; for persuading funders tohowever, that inattention to legitimation provide support; and for ensuring a warm reception of the model among new results in failed efforts or in a need to locations, client populations, and return to this Task later in the process. potentially competing organizations. Establishing or increasing legitimacy can be accomplished through a variety of Building legitimacy is time consuming methods, including: but essential. It has been termed by some “going slow to go fast.” Experience Enlisting prominent spokespersons or celebrities as advocates; suggests, and the literature on scaling up confirms, that there is a systematic Developing and popularizing tendency to underestimate the images, slogans and symbols; importance of this Task. This is in part Creating “blue ribbon” commissions; because donors are impatient or Establishing high-level advisory uncomfortable with political or boards; consciousness-raising activities and Mounting local, national and prefer to focus on capacity building and international media campaigns; service delivery. It also complicates matters that opportunities for Implementing public education legitimation are unpredictable and are programs; and frequently linked to a crisis or other Conducting policy debates. attention-focusing events.33 Numerous Information plays a critical role in case examples indicate, however, that legitimizing change, as it is vital to inattention to legitimation results in demonstrate that the proposed failed efforts or in a need to return to this innovation or model is successful, cost- Task later in the process. effective and feasible. This is normally In the case of policy change, legitimizing achieved through publicizing the model change is essential for getting policies and its effectiveness, building on the approved, budgetary priorities adopted, documentation and evaluation materials and developing the broader and deeper assembled during Step 1, and packaging base of support needed for those materials for a wider audience.34 33 For a fuller discussion of the literature on agenda setting, see Jeremy Shiffman. “Generating political will for safe motherhood in Indonesia.” Social Science and Medicine 56 (2003). pp. 1197 1207. 34 The concept of “ripeness,” as articulated by William Zartman, also plays an important role in legitimation and conveys the importance of capitalizing on the timeliness of issues.30 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up Process QUESTIONS AND ISSUES TO BE likely to have an impact on these audiences? ADDRESSED DURING TASK 5 If existing legitimation is not deemed What more needs to be done to persuade relevant decision makers, sufficient, this Task includes formulation funders and opinion leaders that and implementation of a legitimation new solutions are necessary and strategy. A variety of analytical tools desirable? (e.g., political mapping ) and processes What more needs to be done to (e.g., deliberative dialogue) have been persuade relevant decision makers, developed for this purpose.35 These funders and opinion leaders that the actions can and usually should begin proposed model is successful, cost- during Step 1, by involving key effective, and feasible? audiences in the planning process and by Which spokespersons, conveners, anticipating their questions and messages and methods are most information needs.Task 6: Build a Constituency Implementation requires active and ongoing support to overcome common tendencies toward inaction and Implementation requires active and ongoing backsliding. Likely constituencies include those who can hope to be better off as a support to overcome common tendencies result of scaling up, other organizations toward inaction and backsliding. working in the field, and/or organizations and individuals who support the change philosophically. The Task of Constituency Building are among those often reluctant to complements and amplifies the change. Because change normally affects legitimation process by going beyond budget allocations and funding priorities, passive acceptance of the need for change the strongest opposition frequently and mobilizing action in favor of specific comes from those whose budgets would changes and models. need to be reduced in order to free up the resources necessary for scaling up. If Beneficiaries of the current system and the originating organization is an NGO, Task 6: Build a existing service delivery organizations Constituency 35 See Annex 3 for links to these and other methods. From Vision to Large-scale Change—A Management Framework for Practitioners 31
  • Establish Preconditions and Implement a Scaling-up Process organizing multi-stakeholder coalitions: Among the tools that can help to guide working through one or more political parties: Task 6, stakeholder analysis, network conducting advocacy campaigns mapping, and forcefield analysis are with legislators and legislative committees: particularly useful. direct outreach to business, religious, labor, or other civil society groups: and other NGOs may feel threatened, both in mobilizing grassroots campaigns. terms of competition for funding or more generally in terms of recognition, Among the tools that can help to guide reputation and visibility. Bureaucratic Task 6, stakeholder analysis, network interests that lose old functions or that mapping, and forcefield analysis are may be asked to take on new ones may particularly useful.36 Together, these tools feel similarly threatened by the proposed help to identify the different points changes. Part of the task of constituency through which a proposed change passes building is understanding and to become approved and implemented; overcoming these sources of resistance. the actor(s) in charge of each step; how one can gain access to these actors; who Mobilizing support for scaling up a new else might be willing and able to support model or innovation is akin in many these efforts; what resources they are able ways to community organizing. to mobilize for the purpose; and what Particularly in countries with little or no arguments are likely to be persuasive to history of participatory democracy, each of these groups. Figure 4 illustrates representative governance, and public how this process works. accountability, there is a tendency to rely on one-on-one lobbying with the person For purposes of this example, assume perceived to be “in charge.” Experience that an NGO wishes to scale up through strongly suggests, however, that for the government its successful program of change to be realized and sustained— providing trained traditional birth particularly when that change primarily attendants in rural areas. Assume further benefits poor and unempowered that the NGO believes they have the groups—it is important to mobilize a enthusiastic support of the Health wider range of stakeholders. Minister for doing this. They know that the key actors in the policy and budget Potential tactics for building the needed decision-making process are the Health constituencies include: Minister, the Minister of Finance, the 36 See Annex 3 for additional references and links.32 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up Process Figure 4. Policy Network Map—Health Sector of Boliguay National Cooperative Agricultural Workers Association Union Mayors Association C ong re s s P re sid e nt of B ol ig u a y Health associations Budget committee Medical associations Finance committee M in is t er of H ea l th M in is t er of F i na nc e C a b ine t M in is t er s Lines of direct access Budget office Lines of indirect accessPresident and the Congress. But within to bear on the President. Within thethat process, there are several others who Congress, it seems that the committeescan and do influence decisions. For on budget and finance are in charge ofexample, the Minister of Finance’s approving the budget submitted by thebudget staff is charged with preparation President. Might there be someof the budget and shapes most of the mechanism to influence the committee orprocess. Who are the members of this the committee staff charged with thestaff, and might there be some way to preparation of authorization bills for thegain access and be persuasive to them? budget? Does a certain member of the committee have a keen interest in theFigure 4 suggests that important problems of rural health? Perhaps theconstituents of the President’s political Minister could bolster member interestparty include the health workers union with pertinent and timely informationand the medical association. Perhaps that could be used to defend the policy in Task 6: Build athese groups could be brought into some committee debates or hearings. Constituencykind of alliance that could bring pressure From Vision to Large-scale Change—A Management Framework for Practitioners 33
  • Establish Preconditions and Implement a Scaling-up Process CRITICAL QUESTIONS AND ISSUES DURING TASK 6 Task 6 normally includes a determined Which organizations, organizational effort to mobilize new constituencies units or individuals are responsible for key decisions regarding the and implement a systematic funding and implementation of scaling up? Who has authority to advocacy strategy. make the decisions within these organizations? What arguments, appeals or Finally, the pressure of rather diverse advocacy strategies are likely to have groups such as the Mayors’ Association, access and be persuasive to these the National Cooperative Association, decision makers? and the Agricultural Workers Union What are the most effective networks might also be brought to bear. While and alliances for carrying out this these groups are not direct players in the advocacy, and how can they be most policy process, in contrast to the efficiently mobilized and organized? members of Congress or the Minister, How can buy-in from the leadership they are the eventual stakeholders and and staff of potential implementing can be important sources of influence on organizations best be achieved? elected officials such as the President or Task 6 normally includes a determined the members of the Congress. effort to mobilize new constituencies and While all of these points of access are implement a systematic advocacy possible, their usefulness depends on strategy. It often includes efforts to secure mobilizing them. This will require formal adoption of new policies and initiative, time, and energy on the part of funding by the government or by some credible convener. potential adopting organizations. Like legitimation, work on this Task can begin in conjunction with the planning process detailed in Step 1.34 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up ProcessTask 7: Realign and Mobilize Resources For scaling up to be successful, resources team or agency is charged with need to be mobilized for operating the managing the scaling-up process and new model on an expanded scale. coordinating the introduction of the new Equally important, resources are needed programs, policies, or approaches to support the scaling-up process. Task 7 is concerned with securing both types of resources. Each poses distinct challenges. The resources for scaling up and for The resources for scaling up and for operating at scale are rarely in place at the operating at scale are rarely in place at the outset, and old priorities do not outset, and old priorities do not disappear disappear simply because new priorities simply because new priorities arise. arise. Funding for operating a new model at scale imply a redirection of current budget and operational priorities within a sector, or somehow securing additional necessary to implement it; likewise, the resources for that sector. Almost always, adopting organizations often lack the this entails overcoming substantial inertia needed organizational skills and systems. or active resistance, particularly when Like the first two tasks—legitimizing budgets are stretched; when the new change and constituency building—those model is additional to or more costly managing the task of realigning and than the current alternative; and when mobilizing resources must often reach the new model does not self-generate the beyond the boundaries of individual resources it requires. organizations to find the needed capabilities. Donors can be particularly Funding the transition period (i.e., the useful in supporting internal advocates scaling-up process) is a particular concern, during this part of the change effort. given the absence of resources earmarked for such purposes and the inability to Organizations that implement pilot redistribute human and financial resources projects usually lack the resources and to new priorities on short notice. In capacity to take a model to scale, even if addition to complicating the scaling-up “all” that is involved is transferring it to a process, this raises the potential for gaps larger organization. A particularly weak or shutdowns once donor resources for point for many scaling-up projects has the pilot project are exhausted. been the burden on staff of the originating organization, who are Moreover, the resource problem is not expected to provide training, mentoring, Task 7: Realign and simply financial. Often, no individual, Mobilize Resources and other support for the adopting From Vision to Large-scale Change—A Management Framework for Practitioners 35
  • Establish Preconditions and Implement a Scaling-up Process lacks political legitimacy and large-scale organizational capacity. Local communities and community-based Partnerships between institutions with organizations are often overlooked ascomplementary resources and strengths can potential sources for in-kind resources, and can also help create legitimacy.be a synergistic way to provide the resources Partnerships that bring together the best needed for the scaling-up process. of each partner can be a powerful and efficient way to mobilize the resources needed for the scaling-up process and are increasingly fashionable in development organization, while continuing to run circles. For all these reasons, the work of their own programs. assembling and establishing the Among the common approaches and guidelines for such partnerships often mechanisms used during Task 7 are the plays a central role during Task 7. following: donor roundtables; CRITICAL QUESTIONS AND budget hearings and budget ISSUES DURING TASK 7 transparency campaigns; What additional human, institutional fiscal decentralization; and financial resources will be needed to support the process of bridge financing; and “going to scale,” and what needs to expanded use of market be done to ensure that these mechanisms. resources are available? What human, institutional and Partnerships between institutions with financial resources will be needed for complementary resources and strengths “operating at scale,” and what needs can be a synergistic way to provide the to be done to ensure that these resources needed for the scaling-up resources are available? process. For example, the public sector What, if any, new partnerships need frequently has political legitimacy, but to be established? lacks technical expertise, financial resources, or the ability to operate Among the most important skills flexibly at the local level. The private for- required for realigning and mobilizing profit sector often has financial resources resources are budget analysis and the set and technical expertise, but lacks political of skills commonly called “advocacy.” legitimacy. The non-profit sector has Where the groups involved lack this technical expertise and the capacity for expertise, donors can be of assistance in flexible local implementation, but usually providing access to others with such36 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up Processexpertise and/or providing relevanttraining. The table of contents shown in Figure 5. Advocacy Network Training ManualFigure 5, drawn from an existing Table of Contentsadvocacy training manual, is typical ofthe skills taught in such programs.37 Section 1: The Power of Numbers—Networking forThe culmination of Tasks 5, 6, and 7—if Impactsuccessful—is a set of decisions by Unit 1: What are Advocacy Networks?adopting organizations to scale up the Unit 2: Effective Communication—Understanding Onemodel; a set of commitments to Anotherprovide the resources needed for the Unit 3: Cooperation Not Competition—Building ascaling-up effort and for operating at Teamscale; and a foundation of legitimacy Unit 4: Decision Making—Reaching Group Consensusand support that can help sustain the Unit 5: Mission Statements—Creating a Common Purposescaling-up effort through the difficult Unit 6: Putting It All Together—Managing theimplementation stage that lies ahead. Network Section 2: Actors, Issues, and Opportunities: Assessing the Policy Environment Unit 1: The Policy Process—Government in Action Unit 2: Decision Making for Reproductive Health— Analyzing the Policy Climate Unit 3: Prioritizing Policy Issues—Making the Best Matches Section 3: The Advocacy Strategy—Mobilizing for Action Unit 1: What is Advocacy? Unit 2: Issues, Goals, and Objectives: Building the Foundation Unit 3: Target Audiences—Identifying Support and Opposition Unit 4: Messages—Informing, Persuading, and Moving to Action Unit 5: Data Collection—Bridging the Gap Unit 6: Fundraising—Mobilizing Resources Unit 7: Implementation—Developing an Action Plan Unit 8: Monitoring and Evaluation37 Developed by the USAID-financed Policy Project managed by The Futures Group in Washington, DC(www.futuresgroup.com). From Vision to Large-scale Change—A Management Framework for Practitioners 37
  • Establish Preconditions and Implement a Scaling-up Process Step 3: Implement the Scaling-up Process transfer, adoption, and adaptation of the T asks 8, 9, and 10 are devoted to implementing the scaling-up effort. First and foremost, these tasks involve creating organizational capacity to transfer and receive the model, or, in model and clearly assigning roles, responsibilities. and accountability for each action and for overall coordination. Task 10 covers monitoring and evaluating progress and feeding that the case of expansion, growing the information back into public oversight organization. Once this capacity is and modification of the model. created, Task 9 involves the actual Task 8: Modify and Strengthen Organizations Implementing meaningful large- scale change almost always calls for There is greater need for sharing information the creation of new organizational structures or for major changes to and resources and for more concerted existing ones. Some organizations coordination, particularly during the are affected directly in what they do and how they do it. Even when this transition period. is not the case, there is greater need for sharing information and resources and for more concerted The need for change is most apparent in coordination, particularly during the the organization expected to implement transition period. the model on a scaled-up basis—the adopting organization. Yet, changes areStep 3: Implement the Scaling-up Process also needed in other organizations. This includes changes in attitudes and Task 8: Modify and Strengthen Organizations behavior within the organization that Task 9: Coordinate Action originated the model and now faces the prospect of either expanding itself or Task 10: Track Performance and Maintain handing off responsibility to others. If Momentum38 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up Processthis organization is responsible for thescaling-up effort, it must also figure outwhat actions this requires and how to Transfer of knowledge and know-howintegrate these actions with its ongoingprogrammatic responsibilities. is one of the most neglected aspectsTransfer of knowledge and know-how38 of scaling up.is one of the most neglected aspects ofscaling up. In addition to proceduressuch as process engineering, developing government agency, given the naturalmanuals, and training of trainers, this differences between these types ofoften requires a substantial simplification organizations and the history of distrustof the model because resources necessary between governments and NGOs in Task 8: Modify andfor intensive mentoring and capacity many countries. Strengthenbuilding are often not available. Even Organizationswhen the originating and the adopting Fortunately, the field of organizationalorganization are the same, major development has a wealth of experienceorganizational obstacles to change are and a wide range of useful tools to aid inlikely, especially when expansion occurs this process. W. Warner Burke provides aby creating new branches. useful overview of organizational development options and issues,39 andIn replication, transferring the model’s the Institutional Developmenttechnology, process and know-how can Framework, referenced above,40 offers abe particularly difficult if the originating particularly useful toolkit with which toand adopting organizations have begin. In addition to changes in systems,differing organizational cultures, values, structures, and procedures, leadershipinternal structures, and incentives. In and management face special challengescases where the values and norms of the during scaling up. Coaching and otheradopting and originating organizations leadership development programs can beare dissimilar, part of the scaling-up especially helpful during this stressfuleffort requires transforming the model or period.41aligning theses values so that transfer canoccur. This is especially the case when Some of the most effective mechanismsthe originating organization is an NGO and approaches used for this Taskand the adopting organization is a include:38 Regarding technical transfer and change, “knowledge” is used to describe information, processes and procedures, which areeasily formalized and written down. “Know how” describes the informal, tacit knowledge needed to make formal knowledgework in actual application.39 Burke, W. Warner. Organizational Change: Theory and Practice. Chicago, IL. Sage Publications. 2002.40 Renzi, op. cit.41 Useful discussion of leadership and management development and the relationship between leadership and organizationalchange can be found in: Kotter, John P. Leading Change. Boston, MA. Harvard Business School Press. 1996; Bryson, John M. BrysonStrategic Planning Set. San Francisco, CA. Joussey-Bass. 2004; and Bennis, Warren. On Becoming a Leader. New York. Perseus Press.2003. From Vision to Large-scale Change—A Management Framework for Practitioners 39
  • Establish Preconditions and Implement a Scaling-up Process Apex organizations; control and make the other changes necessary for successful transfer and Future Search conferences and scaling up of the model? retreats; What changes need to be made in the Business process reengineering; “adopting organization”? Leadership development and Which organizations are responsible coaching; and for the transfer process and what Comprehensive staff retraining. changes do they need to make to their own capacity—structure, Each of these processes benefits from the staffing or operations—to do this use of independent, third-party facilitators. successfully? Task 8 includes developing and executing CRITICAL QUESTIONS AND institutional capacity building and ISSUES DURING TASK 8 organizational development plans for all What, if anything, needs to be done of the organizations with major roles to to encourage and assist the play in either the scaling-up process or in originating organization to relinquish subsequent efforts to operate at scale. Task 9: Coordinate Action Task 9 focuses on establishing and deconstruction of the term “coordination” applying the multi-organization is particularly relevant to the situation management processes, coordination faced by many scaling-up efforts. They mechanisms, and accountability distinguish between four aspects or procedures needed to ensure that approaches to coordination—sharing decisions are translated into concrete information, sharing resources, joint action. planning, and joint action—and argue that (1) coordination is by its nature very The development management literature time consuming, and (2) each of the four provides useful guidance on the subject approaches is successively more of multi-party programming and inter- difficult.42 The operational implications organizational coordination. George for those implementing scaling-up Honadle and Lauren Cooper’s programs are to limit, where possible, the 42 Honadle, George and Lauren Cooper. “Beyond Coordination and Control: An Interorganizational Approach to Structural Adjustment, Service Delivery and Natural Resource Management.” World Development. 1989: No. 10. pp. 1531 1541.40 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up Processextent of coordination that is necessary;favor less complex forms of coordination;and ensure that responsibilities and Task 9 focuses on establishing andresources for coordination are clearlyestablished. applying the multi-organizationSince coordination and cooperation take management processes, coordinationtime, cost money, and entail loss of mechanisms and accountability proceduresautonomy by each of the participatingorganizations, these efforts only succeed needed to ensure that decisions arewhen perceived benefits outweigh the translated into concrete action.costs for each of the organizationsinvolved. As a practical matter, this putsa premium on designing mechanismsthat incorporate tangible incentives for Interim secretariats;working together or penalties for the Formal joint ventures andfailure to do so. partnerships;Central to this task is the establishment of Performance-based reimbursement Task 9: Coordinate plans, grants and contracts; and Actiontransparent and efficient governancestructures for networks and coalitions, Virtual networks.and here too there is a growing body of Particularly when a coalition, network orpublished literature and experience upon working group forms to support orwhich to draw. The emerging field of oversee the scaling-up process, the use ofpublic-private alliances has, for example, Organizational Responsibility Charts isdeveloped a wide range of options for helpful for disentangling the respectivemanaging pooled and parallel resources roles of the individuals and groups.in ways that are directly applicable to Preparing the chart offers a systematicscaling up.43 way of brokering agreements about theSome of the approaches commonly used major activities to be done and, for eachto achieve the coordination necessary for activity, clarifies who must approve it,effective scaling up are: who is responsible for executing it, who should be providing tangible support, Multi-party action plans and and who needs to be kept informed.44 memoranda of understanding; While the matrix can be completed by43 USAID Global Development Alliance. Tools for Alliance Builders. Available at:http://www.usaid.gov/our_work/global_partnerships/gda/tab.html44 See Annex 3 for links to additional information about Organizational Responsibility Charts and other tools. From Vision to Large-scale Change—A Management Framework for Practitioners 41
  • Establish Preconditions and Implement a Scaling-up Process one or more analysts, it is most effective CRITICAL QUESTIONS AND when used interactively by the parties directly affected as a way to clarify and ISSUES DURING TASK 9 streamline their working relationships. Are action plans and budgets in place for implementing the scaling- up effort and, if not, what more needs to be done? Task 9 includes the instituting of action Have responsibilities been clearly allocated and efficient mechanisms plans, coordinating mechanisms and established for coordinating the scaling-up effort?governance procedures for the scaling-up If more than one organization is activity and for operating at scale. involved, who will be responsible for monitoring these efforts and for resolving any conflicts? Task 9 includes the instituting of action In scaling up pilot activities, Task 9 plans, coordinating mechanisms and includes those implementation actions governance procedures for the scaling-up necessary to transfer the model activity and for operating at scale. successfully to others, as well as those needed for ongoing operations at a scaled-up level.42 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Establish Preconditions and Implement a Scaling-up ProcessTask 10: Track Performance andMaintain MomentumIt is important to track the effects ofintroducing the new model and to makeadjustments if the results differ from It is important to track the effects ofwhat was intended. Such monitoring andevaluation ideally begins early in the introducing the new model and to makeprocess with assessments during Step 1 adjustments if the results differ fromof the effectiveness of the pilot project. Inaddition to the usual requirements for what was intended.sound project management and donorreporting, such studies need to anticipatethe questions and concerns of the Such monitoring begins by defining abroader audience involved in approving, descriptive list of stages or milestonefunding and implementing the scaling- events in the scaling-up process and aup process. This puts a particular Task 10: Track limited number of expected outcomes.premium on any such monitoring and Performance and This disaggregates the change process Maintain Momentumevaluation being done in a credible, into “units” that are more easilypublic and transparent manner, and there understood and tracked, and helpsis considerable value to involving managers better analyze the monitoringindependent third parties in this effort. and evaluation information collected.Also of critical importance is the creationof avenues for feeding this information Some of the approaches and techniquesback to the public and to decision used for this Task include:makers, and for ensuring that it is widelydiscussed. The press, academia, and non- Citizen oversight panels;partisan monitoring organizations can Public hearings;play important roles in this process. Blue-ribbon panels;In addition to assessing outcomes, it is International monitoring groups;important to monitor progress in Listservs and other Web-based,implementing the scaling-up process. open-access dissemination;Among other things, this monitoring is a Third-party monitoring andcatalyst for maintaining momentum and evaluation contracts;accountability, and for keeping the Comparative scorecards; andscaling-up process on track, following theadage “what gets monitored gets done.” Sustained media coverage. From Vision to Large-scale Change—A Management Framework for Practitioners 43
  • Establish Preconditions and Implement a Scaling-up Process CRITICAL QUESTIONS AND The link between monitoring and evaluation, on the one hand, and scaling ISSUES DURING TASK 10 up on the other, is attracting increased Are there adequate procedures for attention. Among Foundations, the documenting the progress, lessons MacArthur Foundation has shown learned and impact of the scaling-up particular interest in this connection; effort? several papers on the topic have been What mechanisms most effectively presented at the American Evaluation ensure that this information is fed Association, and a variety of tools are back to key stakeholders and to the under development.45 broader public and that the information is used to make necessary course corrections? Conclusion Scaling up is drawing the attention of an Selecting projects with the potential ever-increasing circle of donors, to go to scale; philanthropists, governments, NGOs, Designing projects to maximize their activists, and researchers. As interest scalability; and grows, so do their concerns regarding the Managing the scaling-up process. replicability of successful innovations and the challenges of reaching large numbers The SUM Framework presented in this of those in need. Despite this growing publication is organized as a series of Steps interest and an expanding array of and Tasks. This approach is based on the documented cases, relatively little conviction that scaling up can be evidence-based advice exists about successfully managed and that this maximizing the prospects for new and process can be carried out most innovative service-delivery models to effectively by breaking it down into achieve scale. concrete strategies and actions. Written primarily for officials charged It is our hope that the development and with making funding decisions and humanitarian communities will be filled implementing programs, this paper seeks in future years with a growing number of to provide concrete advice derived from entrepreneurial idealists bringing ever- theory and practice. It is intended to increasing professionalism to the scaling- inform decisions about: up process. 45 For additional information, contact Larry Cooley (lcooley@msi-inc.com) or Richard Kohl (rkohl@msi-inc.com).44 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Annex 1:Summary of Field TrialExperience in Mexico andNigeria Mexico 3. Scaling Up Improvements in Sexual F ollowing initial consultations and workshops with a range of reproductive health NGOs in which needs and objectives were defined, a short-list was prepared of projects showing promise Education Curriculum for Indian Populations: Collaborating with grantees, the Mexican Government and Indian Universities on scaling up improved sexual education content in teacher for, and interest in, scaling up their pilot training programs directed to Mexican Indians. efforts. Beginning in July 2004, MSI assigned a Mexico-based associate to work with the In addition to its role helping grantees designated local organizations to assist them determine strategies and plans for scaling up with their scaling- up efforts, to document their efforts, MSI served as a facilitator those efforts, and to draw observational helping the parties to establish, broker, and lessons that could inform revisions to the sustain effective collaborative arrangements SUM Framework. The projects and with one another. organizations selected for initial attention included: ORGANIZATIONAL SCALING UP 1. Organizational Scaling Up of MexFam: OF MEXFAM Expansion of MexFam’s ability to provide community-based maternal and childcare MexFam is a well-established, country-wide, services. and highly professional NGO that has 2. Government Adoption of an Improved received substantial support from outside Sexual Education Curriculum: donors for a number of years. The need for Supporting a coalition of grantees in and success of its model of community-based securing Government adoption and service provision were well-documented and implementation of improved sexual well-established. Faced with a growing education curricula in selected States. demand for its services, coupled with From Vision to Large-Scale Change—A Management Framework for Practitioners 45
  • Annex 1: Summary of Field Trial Experience in Mexico and Nigeria significant reduction in core funding from GOVERNMENT ADOPTION major donors, MexFam had begun to explore OF AN IMPROVED SEXUAL ways to change its business model and become more financially self-reliant. Its goal was to EDUCATION CURRICULUM expand the breadth and depth of its services or, Under the Fox Administration, the Mexican at a minimum, continue to provide those Ministry of Education initiated several major community-based maternal and childcare reforms, including making teacher training an services it was already providing. important element of education policy reform. A special commission headed by the Ministry It was determined at the beginning of the of Education was charged with identifying intervention that the first two steps of the training gaps, reviewing and updating training scaling-up process (develop a plan and establish materials, and designing a career plan for the preconditions for scaling up) had already professional development for teachers. been initiated by MexFam and that emphasis should be placed on organizational redesign and MSI’s initial review identified a window of transformation of MexFam’s business model opportunity for reproductive health NGOs, (Tasks 7 and 8 in the SUM Framework). including DEMYSEX, THAIS, MexFam, and Beginning with an initial assessment of AFLUENTES, to participate in this policy organizational structure and objectives— reform process and to scale up content and followed by a rough scalability assessment—the delivery by providing teacher training and new intervention focused on facilitating internal curriculum material based on their existing decisions about organizational structures better materials and capabilities in the area of sexual suited to large-scale operations, given current education and reproductive health. Results to realities. To do this, MSI was asked to conduct a date include a signed memorandum of classic organization-development process. As a understanding at the national level between the result of that process, it became clear that the consortium of grantees and the Government of organization’s growth and sustainability Mexico establishing the legal framework and depended on its being more responsive to its overall objectives of the effort; establishment of clientele and more diversified in its revenue networks of trainers at the State level; sources. This, in turn, resulted in decisions by agreement between the government and the the organization to move towards a training network on plans and procedures for decentralized, fee-for-service, model of service implementing and funding teacher training; provision. MexFam is implementing this new agreement on training materials; and the model through coordinated action (Task 9 of the initiation of teacher training in selected states. SUM Framework), and considering the most effective and efficient ways to incorporate the This effort began with a strategic planning necessary performance monitoring (Task 10). process (Tasks 1–4 of the SUM Framework). This resulted in the development of a cohesive vision and strategy in which partners identified common goals for the scaling-up effort and key roles to be played. A strategy of geographic46 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Annex 1: Summary of Field Trial Experience in Mexico and Nigeriaexpansion at the state level was selected, and materials and a database for use by federalthe group focused on the initial tasks of government institutions.legitimizing change (Task 6) and constituency Agreement from the Ministry of Educationbuilding (Task 7). COESPOS (Mexico’s State- that the network of grantees would reviewlevel population council) was invited to their programs and materials inparticipate as a linking institution to reproductive health and sexual educationgovernment entities in the states and to and suggest new content.guarantee grantees’ representation in Formalization of an MOU with thepopulation activities and promotion of training government to obtain their support forteams to disseminate materials. After reviewing printing grantees’ materials.factors such as the political environment Development by the network of grantees of(including the election calendar and new a common proposal for the revision ofgovernment transitions); the targeted training materials, including proposedpopulation; and grantee resources within all improvements in both content and format.states of the Mexican Republic, five states wereinitially selected to start the collaboration Training of trainers:strategy. Nine more were subsequently added Creation of a national team of sexual andto the project. reproductive health specialists to review the current training program and developMSI helped coordinate efforts to identify the a training program for teachers.financial resources needed to implement this Creation of training cells in each of theprogram (Task 7). The grantee network States to train teachers, based on thedeveloped a budget, and one member above-mentioned materials.volunteered to function as the network’sadministrative and financial coordinator. SCALING UP IMPROVEMENTS INEfforts were then undertaken to establish clearand efficient mechanisms for coordination of SEXUAL EDUCATION CURRICULUM FORthe formal network of grantees with the INDIAN POPULATIONSMinistries of Interior and Education and The Mexican Federal Government considers theCOESPOS (Task 9). This extended network Indian population to be at high risk for sexualfocuses mainly on deepening the legitimation and reproductive health problems and has(Task 5) and constituency building (Task 6) that targeted this population with specific healthare seen as key elements of going to scale. policy and educational projects. MSI’s initialSignificant outputs from this network include, review identified an opportunity to scale upin addition to those noted above: such efforts through collaboration between MacArthur grantees and the MexicanDeveloping, identifying, redesigning government on educational programs andtraining materials: materials development. Development by the network of grantees of As with the broader network discussed above, a comprehensive inventory of shared this activity began with a visioning and From Vision to Large-scale Change—A Management Framework for Practitioners 47
  • Annex 1: Summary of Field Trial Experience in Mexico and Nigeria planning exercise (Tasks 1 4) that involved MSI worked with grantees to identify and careful identification of goals and objectives for define program and content, using materials a network that included the Ministry of Public already developed for this purpose. Grantees Education and grantees. As the group moved also participated in the design, content forward to identify additional partners and allies definition and production of 20 radio programs (Task 6), three recently founded Indian in Indian dialect. MSI also worked with universities were identified for further grantees on Task 3: Realign and Mobilize collaboration: Universidad Aut noma Ind gena Resources, by helping with a budgeting de México “Mochicahui” at Sinaloa, Universidad exercise to assess the need for, and availability de Totonacapan at Veracruz, and Universidad of, additional resources, and to determine the Comunitaria Intercultural at San Luis Potos . possible need for a fundraising strategy. Nigeria government-sponsored maternal health A s in Mexico, work in Nigeria began with a review of pilot projects implemented by reproductive health NGOs. Two projects were selected as the focus for intensified scaling-up efforts based on a care program at the state and local level. Interventions with each of the two organizations began with an in-depth strategic visioning process and scalability assessment preliminary analysis of their scalability and the (Tasks 1 and 2) to collaboratively assess the organizations’ interest in working with MSI potential and future direction for scaling up and the SUM Framework. There was a existing pilot programs. Through a series of deliberate decision to select one grantee in the workshops facilitated by MSI, the organizations North and one in the South of the country, and identified a scaling-up vision, as well as those to select one pilot project that was well challenges and opportunities that might further established and another that was just or detract from this vision. The workshops beginning. The projects and organizations included establishing criteria for identifying selected were: potential partners and supporters; estimating what resources and training materials would be 1. Scaling Up of the Community Life Project required; and developing action plans for (CLP): Local expansion of CLP’s holistic model of community-based health moving forward. education, and national replication of the MSI subsequently facilitated a second round of model through the Federal MOH, the Catholic Church, and beyond. workshops with both CLP and Pathfinder to create concrete strategies and implementation 2. Scaling Up of the Pathfinder Maternal plans for putting in place the necessary Mortality and Morbidity (MMM) Program: Integration of the MMM model into a free, preconditions for effective scaling up (Task 4).48 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Annex 1: Summary of Field Trial Experience in Mexico and NigeriaIn the course of this planning effort, a variety of with two existing partners: a sexualitygaps were identified in existing documentation education curriculum for the Catholic Church,and analysis, and these became the focus for for use in Catholic schools, and assistance toadditional work (Task 3). Federal Community Development Officers in six states to integrate CLP’s holistic, grass rootsThe following provides more detailed model into their work.discussion on each of the two Nigeria cases: The second track involved an 18-24 monthSCALING UP OF THE COMMUNITY LIFE series of activities designed to find additional scaling-up partners with whom to work oncePROJECT (CLP) the first track was completed. A planningFounded as a reproductive health education workshops led by MSI laid out severalproject with the vision of reaching traditionally strategies for finding partners and resources formarginalized populations through a demand- scaling up, including outreach to internationaldriven, participatory model, the Community reproductive health NGOs; organization of aLife Project (CLP) focuses on addressing health national summit on grassroots, participatoryholistically through education by working in community development; and soliciting thepartnerships with community-based Nigerian private sector for funding.organizations. From the outset, CLP’s goal wasto serve as a pilot project leading to replication Participants in the planning workshop alsoelsewhere, and nascent scaling-up efforts were agreed that several steps were needed for CLPmade through expansion into neighboring to do the marketing, outreach and publicitycommunities, development of a broader range necessary to build support for their efforts andof health topics, and by growing its network of attract these new scaling-up partners (Tasks 3,organizational partners. 6 and 7). Among these steps, the most important were to produce betterIn 2001 CLP moved to another stage of scaling documentation of CLP’s model and itsup, when it began to transfer its model to components, and to conduct a formalFederal Community Development officers in evaluation of CLP’s impact.six states, and to design a sexuality curriculumfor the Catholic school system. MSI’s MSI employed a Nigerian consultant tointervention with CLP began with the produce a detailed document describing CLP’sorganization already in the early stages of this model of working with partner organizations innext phase of scaling- up; with an existing the community. This document provided amodel regarded by many as successful; and step-by-step delineation of the process CLP haswith Government officials and representatives used and is intended to serve as the basis forof both the private and NGO sectors interested both explaining and transferring the model toin adopting all or parts of the CLP model. potential adopting organizations.The plan developed with CLP included a two- The planning process also indicated that CLPtrack approach to scaling up. On the first track, needed a formal evaluation of its impact toCLP decided to focus its attention on scaling up convince potential adopting organizations, From Vision to Large-scale Change—A Management Framework for Practitioners 49
  • Annex 1: Summary of Field Trial Experience in Mexico and Nigeria especially in the government, of its in the State’s efforts to expand and improve effectiveness. MSI helped CLP design and maternal health services. The workshop conduct the evaluation, with financial support resulted in a strategy to integrate the obtained from the Ford Foundation. At MSI’s Pathfinder education and outreach model into suggestion, CLP has also commissioned a the government’s efforts to scale up free written history of the organization. maternal health care and for establishing a committee to implement this collaborative A detailed analysis of MSI’s efforts to support effort. A representative from the Ministry of scaling up at CLP and the lessons learned from that Health emerged as a policy champion to lead experience are available as a stand-alone case study. that effort. SCALING UP OF THE PATHFINDER Unfortunately, shortly after the planning workshop took place, Pathfinder put the project MATERNAL MORTALITY AND temporarily on hold. Pathfinder management MORBIDITY (MMM) PROGRAM recognized—partially as a result of the The Pathfinder Maternal Mortality and workshop and scalability assessment conducted Morbidity (MMM) Program, which focuses on by MSI in preparation for the workshop—that reducing maternal mortality through an several problems with the existing model education and outreach-based model, began as needed to be addressed before scaling up could a pilot project in three states in Nigeria in 2004. proceed. One problem was a lack of local MSI entered at the beginning of a three-year ownership: Operating the project’s three field project to help put in place a pre-scaling-up sites with staff flown in from Lagos was foundation so that, once the project proved resulting in activity only occurring when successful, scaling up could proceed rapidly. Pathfinder staff planned a visit. Another problem was that the poor quality of public In November 2004, MSI conducted a scaling-up health facilities undermined the effectiveness of planning workshop (Tasks 1 and 4) for the awareness-raising and educational activities. Minjibir, Kano State project. Initial discussions Accordingly, Pathfinder decided to address had made it clear that Pathfinder was not these issues by partnering more closely with interested in scaling up these projects as local public health officials; moving the locus of “Pathfinder projects” but instead wanted to Pathfinder staff closer to the three locations; transfer the model to appropriate government hiring local staff; and partnering with a CEDPA institutions at the local and state levels. With project engaged in a similar exercise, allowing this in mind, the workshop was strategically for greater leveraging of funds. A new model timed to coincide with an effort by Kano State uses local staff seconded by the State MOH. Ministry of Health officials to expand free maternal care in Kano. Participants in the MSI is in contact with the Pathfinder workshop included representatives of both the management about resuming the scaling-up state Ministry of Health and Ministry of Local work once the new approach to managing the Government, identified as the two key players project is in place.50 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Annex 2:Steps, Tasks, and Questionsfor Developing and Implementinga Detailed Scaling-up Plan Step 1: Develop a Scaling-up Plan What organizational, process, and technical factors were critical to success on a pilot scale? Task 1: Can the model be simplified without undermining its effectiveness? Is it absolutely Create a Vision necessary to replicate all elements of the model on a large scale? Does the organization that carried out the pilot project have the desire and organizational capacity to expand its operations and deliver services on a substantially larger scale? If not, which organization(s) are best suited and motivated to implement the model on a scaled up basis or to serve as partners in implementing the model? Should the scaling-up effort include policy change by the government or rely exclusively on voluntary adoption by private and non-governmental organizations? Is there need for one or more intermediary organizations to support the scaling-up process? If so, what help is needed and which organizations are best suited to performing these roles? Along what dimension(s) should scaling up take place? What would scaling up look like if it were successful? Do relevant stakeholders, potential partners, and intended beneficiaries perceive a need forTask 2: this kind of model?Assess Has the model been documented, including the process component, and has its cost-Scalability effectiveness been objectively assessed? Is there any evidence that the model is more cost- effective than other approaches? Are there obvious economies or diseconomies of scale? How easily can the institutional characteristics that were key to the outcomes achieved be replicated or enlarged? Is there anything special or unique about the social context, political context, or general circumstances of the pilot project (e.g., cultural, ethnic, or religious values/characteristics; distribution of power; homogeneity; economic conditions), and that would need to be present for the model to be replicated successfully? Does the adopting organization have the appropriate organizational and implementation capacity, or the means to develop that capacity? Does needed funding exist for replicating the model on a large scale? Are the central mission, organizational culture, and values of the proposed adopting organization sufficiently compatible with those necessary to adopt and implement the model successfully? From Vision to Large-Scale Change—A Management Framework for Practitioners 51
  • Annex 2: Steps, Tasks, and Questions for Developing and Implementing a Detailed Scaling-up Plan Task 3: Fill What additional information or documentation is needed as basis for planning and to Information address stakeholder concerns? Gaps Task 4: Prepare Does the plan summarize the need, the vision, and the evidence for scaling up the a Scaling-up model? Plan Does the plan include a clear description of proposed actions, timetable, roles and responsibilities, and resources? Step 2: Establish the Preconditions for Scaling Up Task 5: What more needs to be done to persuade relevant decision makers, funders, and Legitimize opinion leaders that new solutions are necessary and desirable? Change What more needs to be done to persuade relevant decision makers, funders, and opinion leaders that the proposed model is successful, cost-effective, and feasible? Which spokespersons, conveners, messages, and methods are most likely to have an impact on these audiences? Which organizations, organizational units, or individuals are responsible for key Task 6: Build a decisions regarding the funding and implementation of scaling up? Who has authority Constituency to make the decisions within these organizations? What arguments, appeals, or advocacy strategies are likely to have access and be persuasive to these decision makers? What are the most effective networks and alliances for carrying out this advocacy, and how can they be most efficiently mobilized and organized? How can buy-in from the leadership and staff of potential implementing organizations best be achieved? Task 7: Realign What additional human, institutional, and financial resources will be needed to and Mobilize support the process of “going to scale,” and what needs to be done to ensure that these Resources resources are available? What human, institutional, and financial resources will be needed for “operating at scale,” and what needs to be done to ensure that these resources are available? What, if any, new partnerships need to be established?52 From Vision to Large-scale Change—A Management Framework for Practitioners
  • Annex 2: Steps, Tasks, and Questions for Developing and Implementing a Detailed Scaling-up PlanStep 3: Implementing the Scaling-up ProcessTask 8: Modify What, if anything, needs to be done to encourage and assist the originating organization toand Strengthen relinquish control and make the other changes necessary for successful transfer and scalingOrganizations up of the model? What changes need to be made in the “adopting organization”? Which organizations are responsible for the transfer process and what changes do they need to make to their own capacity—structure, staffing, or operations—to do this successfully?Task 9: Are action plans and budgets in place for implementing the scaling-up effort and, if not,Coordinate what more needs to be done?Action Have responsibilities been clearly allocated and efficient mechanisms established for coordinating the scaling-up effort? If more than one organization is involved, who will be responsible for monitoring these efforts and for resolving any conflicts?Task 10: Track Are there adequate procedures for documenting the progress, lessons learned, and impactPerformance of the scaling-up effort?and Maintain What are the most effective mechanisms for ensuring that this information is fed back toMomentum key stakeholders and to the broader public and that the information is used to make necessary course corrections? From Vision to Large-scale Change—A Management Framework for Practitioners 53
  • Annex 3: Useful Tools for Planning and Implementing a Scaling-up Strategy Step 1: Develop a Scaling-up Plan Future Search A systematic and highly participatory Weisbord, Marvin R. and Sandra Janoff. Future process for developing a shared Search: An Action Guide to Finding Common vision of future directions for Ground in Organizations and Communities. San programs, organizations, and Francisco: Berrett-Koehler, 1995. communities Force-Field A technique for identifying forces Hall, C. S. and Lindzey, G., 1978. Theories of Analysis supporting and restraining specific Personality, 3rd Ed. New York: John Wiley & Sons changes Deliberative A technique for organizing and McCoy, Martha L. and Patrick L. Sully. “Deliberative Dialogue channeling widespread debate of Dialogue to Expand Civic Engagement.” Civic public policy issues Review. Vol. 91, no. 2. Summer 2002. Step 2: Establish the Preconditions for Scaling Up Political and A graphic technique for identifying Crosby, Benjamin L. "Management and the Policy power dynamics and points of Environment for Implementation of Policy Mapping political access to foster policy or Change: Part Two." Implementing Policy Change systemic change Technical Note 5. Washington DC: Management Systems International. 1992. Stakeholder A technique for systematically Crosby, Benjamin L. “Stakeholder Analysis: A Vital Analysis identifying and analyzing the role Tool for Strategic Managers.” Implementing Policy various actors are able and willing to Change Technical Note 2. Washington, DC: play with respect to a given policy Management Systems International and USAID, issue or intended change March 1991. www.msiworldwide.com/ipc54 From Vision to Large-Scale Change—A Management Framework for Practitioners
  • Scaling Up Begins with a PlanStep 3: Implementing the Scaling-up ProcessInstitutional A set of tools for collaboratively Renzi, Mark. “An Integrated TOOLKIT for InstitutionalDevelopment identifying and tracking key elements Development.” Public Administration andFramework of organizational maturation or Development. Vol. 16, pp. 469–483. 1996. changeOrganizational A graphic technique for identifying Management Systems International. “OrganizationalResponsibility and assigning roles and responsibilities Responsibility Charts.” MSI Technical Note. Prems.Charting within multi-organization teams, Unpublished, 1990. networks, and coalitionsLogical A widely used project-planning Cooley, Larry. “The Logical Framework: ProgramFramework framework summarizing intended Design for Program Results.” The Entrepreneurial objectives, performance measures, Economy. July/August 1989. pp. 8-15. and key assumptions From Vision to Large-scale Change A Management Framework for Practitioners 55
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  • Founded in 1981, MSI is a woman-owned consulting firm located in Washington, DC, and serving clientsworldwide. MSI provides management consulting services to local organizations, foundations andinternational donor agencies in a number of areas including Managing Policy Change; Planning,Measurement and Evaluation; Institutional Development; and Training.This publication may be found electronically at http://www.msiworldwide.com/documents/ScalingUp.pdf
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