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1. January 2018
Theory of Change
for the
Impact and Innovation Unit

2. Transforming the design and delivery of
government policies, programs and services
for greater and more sustainable impact on
the lives of Canadians.
Our Vision

3. • The Impact and Innovation Unit (IIU) was established in November 2017 to help advance the integration of
outcomes-based policy approaches into the design and delivery Government of Canada’s policies, programs and
services.
• It builds off the work of its predecessor organization - the PCO’s Innovation Hub – leveraging the lessons learned
from projects undertaken and meetings and conferences held to explore and test new and emerging innovations
in public policy.
• The IIU fulfills this purpose by:
- Promoting policy innovation and experimentation
- Supporting public sector leadership
- Providing advice and support in the design and implementation of new outcomes-based funding approaches
- Continuously and rigorously examining and sharing its progress and insights.
• The IIU is committed to measuring its impact so that management and staff have the information needed to
support evidence-based decision making in order to achieve better policy outcomes for Canadians and positive,
social, environmental and economic return on federal investments.
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Background

4. • Addressing persistent, complex and pressing policy issues in new ways
• Conventional approaches to addressing challenging public policy issues have not always achieved the results expected.
• Growing sentiment in Canada and worldwide that governments can and should produce better and more lasting
outcomes for citizens.
• Contending with fiscal pressures that demand an improved return on public sector investments
• Government of Canada spends over $32 billion annually in grant and contribution funding to advance key priorities
with more demands and needs than resources available.
• Governments have an imperfect understanding of the full impact of its spending on achieving results.
• Changing citizen expectations of government with a desire to be more engaged and effective
• There is a growing call by stakeholders from across all sectors for government to evolve from its traditional role of
funder to that of an engaged partner and collaborator.
• Integrating new tools and technologies for public benefit
• There are new tools and technologies emerging that can improve problem analyses, more effectively support
collaboration, assess investment opportunities and spending decisions, and improve the productivity of the public
service hence improving the quality of service to Canadians. These tools have been underutilized to date.
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The Context: Challenges

5. • Global advances in public policy innovation and outcomes-based policy approaches
• A number of countries have put in place mechanisms (e.g. funds and intermediary support organizations) to support
experimentation, to collaborate with partners and to improve impact on a larger scale.
• Growing interest across all levels of government in outcomes-oriented approaches and strengthening
evidence-based decision making
• At federal level, the IIU is one of a number of players that is advancing and supporting experimentation, more rigorous
approaches to evaluation, and examining barriers to the implementation of innovation and outcomes-based policy approaches.
• In November 2017, Clerks and Cabinet Secretaries from F/P/T governments signed the Declaration of Public Sector Innovation
committing to work together to find new and inventive ways to solve the challenges that Canadians face.
• Opportunities identified in budget announcements, mandate letters, and other stated priorities in support
of innovation and experimentation
• Departments and agencies must devote a fixed percentage of program funds to experimenting with new.
• The Minister of Indigenous Services is mandated to work with the IIU and across government to co-create new and meaningful
partnership models with Indigenous communities and civil society partners.
• Infrastructure Canada, Natural Resources Canada and other departments with interest and capacity will work through the IIU’s
Impact Canada Initiative as per commitments set out in Budget 2017.
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The Context: Opportunities

6. 6
• Conceptual representation of what we know and
think needs to happen to achieve a desired impact in
a particular context
• Critical first step in measuring impact as it articulates
the desired change in a particular context
• “Testing” the Theory of Change through monitoring
and systematic and ongoing analysis are critical
activities in advancing public sector innovation
• An evergreen document/theory that over time
includes insights from a range of key stakeholders
Image credit: Sidney Harris

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Logic Model
Theory of Change
Summarises work at the strategic level; presents “big picture” Details work at the program/implementation level
Focus is on the complex social, economic, political and
institutional processes and change theories that underlie
desired results
Flexible in presentation; no standard format
Living document that is updated as evidence emerges and
context changes
Typically starts with goal/desired impact and works backward
Focused on critical thinking and conceptualization
Recommended in innovation-related initiatives
Presents intervention/program in a logical sequential way
Linear and limited flexibility given its program delivery
orientation; structured
If-then statements guide the logic
Typically starts with activities and works towards goals
Focused on presentation and comprehensiveness
Recommended for established and “proven” programs
A Theory of Change and a Logic Model are closely connected but are not the same.
We chose to develop a Theory of Change because of the innovative and complex nature of the IIU’s work.
Source: http://www.tools4dev.org/resources/theory-of-change-vs-logical-framework-whats-the-difference-in-practice/
*

9. The IIU's Theory of Change combines four major efforts to help the federal public service develop, use and learn
from outcomes-based policy approaches:
• Engaging public service leadership and supporting the development of competent, knowledgeable and motivated
public servants will help grow the design and delivery of outcomes-based policy approaches and other relevant
innovations.
• Showcasing excellence in co-creation design approaches and collaborative implementation will help grow and
direct interest in outcomes-based policy approaches as well as encourage replication and scaling of successful
initiatives.
• Using a range of evaluative approaches, setting high standards for rigorous impact measurement, and utilizing
new analytical technologies will lead to an increase the availability and use of evidence to inform decision making
related to policy, program and service development, design and delivery.
• Communicating, engaging and building relationships in an open and transparent manner within and external to
the public service is a foundational component of supporting the type of public service change desired.
Successes and shortcomings must be part of the policy narrative with a focus on continuous improvement
through experimentation and adaptive leadership.
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Our Approach to Realizing Change

10. Partnership – We believe that to solve today’s societal challenges, federal departments and agencies cannot do it alone. We are,
therefore, dedicated to working in partnership with those who are ready, willing, and open to better understand the systemic challenges
and the promising opportunities before us. The IIU’s contribution will be one of many.
Co-Creation - In support of meaningful partnerships, comes our commitment to the co-creation of solutions beginning with collectively
analyzing the issues, challenges and opportunities. Our co-creation process starts from the experience of each partner and strives to
discover new modes of interaction and governance that will improve the experience for all partners.
Citizen-Centred - Canadians are the ultimate beneficiaries of the innovations and experimentation in policy development and delivery
processes. We are, therefore, committed to putting their interests, experiences and perspectives at the centre of the co-creation process.
In this regard, we commit to culturally, contextually and historically sensitive approaches in our efforts.
Evidence-Based and Methodologically Driven - We use well-accepted, rigorous methodological approaches to inform policy design in all
stages of the policy development process from ascertaining whether a particular issue is well suited for innovation or experimentation to
monitoring the change process to measuring its impact and potential to be scaled up or out.
Openness and Transparency - Timely sharing of lessons learned and results - whether the project achieved its expected results or not -
informs other initiatives and will help to drive the diffusion and scaling of innovation initiatives system-wide. In this regard, we are
committed to be open and transparent in all that we do so that others can benefit from our successes and leverage the lessons that we
are learning along the way.
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Our Guiding Principles

11. Theory of Change
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There is stable political interest and
strong central agency support in
advancing the use of outcomes-
based policy approaches
The IIU can reach the most
influential and motivated individuals,
groups and organizations within and
external to the public service
There is sufficient motivation and
capacity in departments to participate in
ICI initiatives (e.g., interests in
co-creation, new governance structures
and new partnership models)
Collaborating departments and
agencies have access to appropriate
evaluation capacity to support or
manage impact measurement and
contribute to developmental
evaluation efforts
IIU staff has relevant expertise to
support systematic, ongoing learning
and evidence-based contributions in key
policy areas and in the application of
outcomes-based policy approaches
Assumptions
Fiscal
realities

12. Focus and Scope
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Federal government policies,
programs and services in high
priority areas (i.e., drawn from
priorities identified in the Speech
from the Throne, the Budget,
ministerial mandate letters, and by
the Prime Minister)
Priorities
Primarily grants and contributions
policies and programs and other
government initiatives that may
benefit from IIU interventions
Focus
Initiatives involving departments
and agencies interested in
co-creation efforts with other
departments and external
organizations such as other levels
of government, the private sector,
social enterprises, non-profit
organizations, and Canadian
citizens
Scope

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Overview: • Reach public servants who have the power and influence to affect change at organizational and
institutional levels
• Targeted at individuals within the public service (executives, management and staff) and external to it
(experts, researchers, academics, private sector and non-profit/charitable sector)
Strategic Approach Key Interventions & Activities
• Engaging executive leadership
• Enhancing public services competencies, skills
and abilities
• Leveraging existing and developing new internal
capacity
• Recruiting external experts & establishing new
partnerships
• Design and delivery of FPT Clerks and Cabinet
Secretariat events, DM Taskforce & ADM
Committee on Experimentation meetings
• Test Innovative Staffing Initiative with associated
training
• Establish key partnerships: external (Nesta, OECD,
MaRS) and internal (NRC, Heads of Evaluation and
Performance Measurement)
• Provide technical assistance, Community of
Practice, peer learning, etc.
Engaging Leadership

15. Testing Outcomes-based Policy Approaches
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Overview • Testing outcomes-based approaches in a range of policy domains to demonstrate “proof of concept”
• Pursue policy priorities reflective of the Government’s current focus: Clean Tech, Smart Communities,
Indigenous issues and opioids
Strategic Approach Key Interventions & Activities
• Innovative Policy Design, Implementation, and
Evaluation
• Testing Outcomes-based Funding Models:
Impact Canada Initiative
• Co-design through horizontal program structures
and cross-sector collaboration
• Technical support and expert advice related to
designing and adopting outcomes-based funding
approaches
• Oversee and support rigorous impact
measurement
• Support scaling or replication
• Undertake behavioural insights initiatives

16. Strengthening the Evidence-base
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Overview • Improving the availability and use of evidence to inform innovative policy design, implementation and
experimentation
• Advocating and supporting rigorous impact measurement and evaluation
Strategic Approach Key Interventions & Activities
• Leverage and contribute to existing evidence
base
• Focus on root causes of policy changes and
systems change*
• Build impact measurement capacity
• Explore new technologies and approaches
• Assess readiness and capacity
• Provide technical assistance and guidance
• Support developmental evaluation practice
• Develop IIU repository of evidence (i.e., a “what
works” solution)
• Conduct research on new methods and emerging
technologies
* Area of collaboration with Results and Delivery Unit (deep dives)

17. Engagement and Communication
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Overview • Increase awareness of outcomes-based policy approaches and promote exchange of ideas in areas
of common interest among interested stakeholders
• Promote openness and transparency in all IIU efforts through partner engagement, decision-making
and communications
Strategic Approach Key Interventions & Activities
• Maintain principles of openness & transparency
• Use interactive digital media to support
collaboration
• Proactive outreach to key leaders internal and
external to the public service
• Relationship building
• IIU websites
• Impact Canada Digital Platform
• IIU social media accounts
• Conferences, publications, lessons learned

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Key Elements
• Data collected and analyzed by IIU staff with partner involvement as required
• Ongoing monitoring of IIU’s progress in meeting expected key outputs targets and institutional outcomes
• Focus is on institutional changes in the public service, generally, and adoption of outcomes-based
policy approaches in ICI collaborating departments, specifically
• Monitoring progress through meeting output targets is quarterly
• Monitoring context and key assumptions is ongoing
• Assessing progress in meeting institutional outcomes annually (November) updated as required (March)
• Various data collection tools to be developed in 2017-2018 (Q4), baseline and targets established in April 2018
• and applied in 2018-2019 onward with adjustments as required
• Auto-generated and semi-auto generated analyses where possible
• Combined with developmental evaluation efforts, information generated through ongoing monitoring will support
evidence-based decision making, organizational learning, and adaptation in support of achieving outcomes
• Data collected and reports generated will support comprehensive assessment of Impact Canada Initiative in 2021-2022
Who
What
When
How
Why

20. Impact and Innovation Unit
Privy Council Office
For more information or to send us your comments:
Ottawa, Canada
Iiu-uii@pco-bcp.gc.ca