Scalingup framework

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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.

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Scalingup framework

  1. 1. Scaling Up—From Vision to Large-scale Change A Management Framework for Practitioners March 2006
  2. 2. 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
  3. 3. 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
  4. 4. 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
  5. 5. 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
  6. 6. 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
  7. 7. 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
  8. 8. 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
  9. 9. 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
  10. 10. 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
  11. 11. 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
  12. 12. 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
  13. 13. 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
  14. 14. 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
  15. 15. 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
  16. 16. 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
  17. 17. 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
  18. 18. 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
  19. 19. 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
  20. 20. 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
  21. 21. 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
  22. 22. 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
  23. 23. 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
  24. 24. 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
  25. 25. 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
  26. 26. 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

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