The Public Impact Fundamentals: Helping governments progress from idea to impactTo help governments navigate their way from idea to impact, the Centre for Public Impact (CPI) has developed a framework for thinking about the elements that influence the success of government initiatives. The Public Impact Fundamentals will help governments improve their performance and achieve better results for citizens.The Public Impact Fundamentals are a systematic attempt to understand what makes a successful policy outcome and describe what can be done to maximise the chances of achieving public impact. In developing them, we have worked closely with the most senior academics from the world's leading public policy schools, as well as senior government officials from across the globe. We have sought to develop a framework underpinned by cutting-edge thinking from academia and tested by government officials so that it can be immediately usable.We have found three components to be fundamental to public impact: Legitimacy, Policy and Action. Within each are three elements, which collectively contribute to performance on each Fundamental ... Centre for Public ImpactCPI_769defca-14e8-11e7-ad18-47eb647280a4The Centre for Public Impact is a global not-for-profit foundation, funded by The Boston Consulting Group, dedicated to improving the positive impact of governments.We bring together world leaders to learn, exchange ideas and inspire each otherto strengthen the public impact of their organisations. Sharing insights from around the world, our global forums highlight what has worked and where challenges require new approaches.CPI Academic Advisory GroupThe Centre for Public Impact would like Adrian Brown to thank the distinguished members of our Academic Advisory Group ... for their advice and support in developing the Public Impact Fundamentals.Helmut AnheierCPI Academic Advisory Group MemberGary BanksCPI Academic Advisory Group MemberGwyn BevanCPI Academic Advisory Group MemberWilliam EimickeCPI Academic Advisory Group MemberFrancis FukuyamaCPI Academic Advisory Group MemberMark MooreCPI Academic Advisory Group MemberKenneth TanCPI Academic Advisory Group MemberNgaire WoodsCPI Academic Advisory Group MemberHertie School of GovernanceWe would also like to express our sincere gratitude to the team of scholars from the Hertie School of Governance who empirically tested the Public Impact Fundamentals against independent case studies.CPI FriendsA special note of thanks to those who have supported us from the very start by being critical friends, as well as promoting our work, namely the Institute for Government, The World Bank, OECD and the UNDP.Institute for GovernmentThe World BankOECDUNDPCPI Project TeamOur final thanks go to members of the Centre for Public Impact team involved in this project: Joel Tito, Danny Buerkli, Nadine Smith, Matt Mercer, Amy Noonan and Harriet Loos.Joel TitoDanny BuerkliNadine SmithMatt MercerAmy NoonanHarriet LoosSuccessful policy outcomes._fddba2d2-14ef-11e7-87a8-57a2647280a4To help governments navigate their way from idea to impact._fddbaa8e-14ef-11e7-87a8-57a2647280a4LegitimacyLegitimacy refers to the underlyingsupport for a government or publicbody. Governments and bodiesthat are legitimate tend to be moresuccessful in achieving impact. Whenit is absent, politicians are unable todraw on their mandate to push throughinitiatives. Legitimacy can also reducethe transaction costs of governing byreducing reliance on coercion andmonitoring.ConfidencePublic confidence refers to the extentto which the general public trustsinstitutions to act competently and insupport of the wider public interest.Public confidence in one’s governmentor its institutions may be the mostconsequential element of legitimacy,in the sense that if it is underminedthen more cataclysmic or large-scalechanges in a society are possible.EngagementEngaging stakeholders in the debateon policy design, development andimplementation is crucial to achievinggood outcomes. Effective stakeholderengagement starts with a clearobjective for consultation, followedby the identification of people andorganisations with a specific interest inthe initiative. This allows policymakersto understand stakeholders, their rolesand divergent interests.CommitmentThe willingness of political leadersto spend political capital in supportof the policy objective directlyinfluences legitimacy. When there isactive political opposition to a policyit affects the perceived legitimacy ofan initiative. This makes it harder toachieve impact.PolicyThe quality of the policy matters.Clear objectives, strong evidenceand an understanding of what isfeasible are crucial to good policy.Ideally, policymakers will accumulateinformation, assess alternative coursesof action, and choose among them onthe basis of their potential to achieve thedecision-makers’ goals.ClaritySetting clear objectives during theearly stage of design is crucial todeveloping good policy. They areimportant in defining the bordersof policy because they allow forspecific problems to be selected andprioritised. The inclusion of targetsor indicators is particularly beneficialwhen setting objectives because theyincrease the pressure on governments,bureaucracies and civil society andlead to a greater focus on continuousimprovement.EvidenceIdentifying good evidence is crucialbecause it allows policymakers toassess the nature and extent of aproblem and weigh up the particularfeatures of the policy situation, such asdemographic changes. They can thenjudge those policies that may havebeen effective in similar situations.FeasibilityFeasibility refers to the absenceof significant technical, legal oroperational challenges to the policy.A policy initiative is more likely toachieve its intended outcomes whenthe question of how the policy is tobe implemented has been an integralpart of its design. Proper planningprovides a map of how an initiativewill be implemented, addressingmatters such as timeframe, phasesof implementation, responsibilities,resourcing and compliance.ActionAction is the translation of policiesinto real-world effects. Despite itsimportance, it is often the mostneglected of our Fundamentals. It isimportant to note that Action doesnot constitute impact. A policy maybe implemented effectively but fail tohave a substantial impact because itwas ill-conceived or because of othercircumstances. Hence, successfulaction may be a necessary - but notsufficient - condition for the attainmentof public impact.ManagementManagement allows policymakers toassess whether the most appropriatesystems are in place, the rightpeople with relevant skill sets arematched to appropriate tasks, andinterventions are structured in aneffective manner. This process involvesmeasurement, analysis, feedback,evaluation, calibration and adjustment.Successful implementation relies onthe identification and management ofrisk, which promotes accurate, well-informedjudgements.MeasurementMeasurement is the main tool ofimplementation. It can dramaticallyimprove service quality in publicagencies, and it allows for feedbackloops that enable the timelyadjustment of policy to facilitatesuccessful implementation. Publicmanagers and civil servants shouldbegin by deciding on the managerialpurposes to which performancemeasurement may contribute.Only then can they select a set ofperformance measures with thecharacteristics necessary to help themachieve these purposes.AlignmentThe actors required to make changehappen need to share an alignmentof interests in relation to the policyobjective. To this end, coordination isfundamental to the development of asense of shared mission. When actorscooperate effectively, when they areequipped to execute their part of theinitiative and are highly motivated,implementation tends to be moresuccessful. It is therefore clear thatalignment is a significant contributingfactor to successful action. LegitimacyEngender legitimacy._fddbaa8f-14ef-11e7-87a8-57a2647280a41Legitimacy ordinarily involves popularapproval of a government and itsgovernors or, at least, an acceptanceof their right to rule.2 People conferlegitimacy on institutions not simplybecause of an adherence to standards ofgood behaviour but because they regardthe institutions as representing particularnormative and ethical frameworks.3Conferring legitimacy on an institution istherefore an act based on the expressionof shared values, or of "moral alignment".Institutional legitimacy flows not simplyfrom factors such as procedural fairnessbut is also based in public perceptionsthat authorities share broadly similarmoral positions.4The importance of legitimacy to publicimpact is therefore clear – whenit is absent, it can lead to tensionbetween members of both dominantand nondominant groups and lead tointergroup conflict. When combinedwith instability, a lack of legitimacybecomes a powerful incitement forattempts to change the status quo.5 Thewidespread existence of legitimatingbeliefs can also reduce the transactioncosts of governing by reducing relianceon coercion and monitoring. This leadsto an increased likelihood of compliancewith governmental rules and regulations.Accordingly, governments and bodies thatare legitimate tend to be more successfulin achieving impact.Our research demonstrates that legitimacyis influenced by three elements: Public ConfidencePromote social trust and cooperative behaviours._fddbaa90-14ef-11e7-87a8-57a2647280a41.1New ZealandAn example of the importance of publicconfidence is shown in a case studyof New Zealand's meningococcal Bimmunisation programme. In the 1990s,New Zealand suffered a major epidemicof meningococcal disease. It resulted innearly 250 deaths and left many of thesurvivors with serious disabilities. In 2004,the country’s Ministry of Health beganan immunisation programme using aspecially developed vaccine, and by 2007the epidemic had been halted and thenumber of cases significantly reduced.Public confidence in the immunisationprogramme was crucial to its success.There was a high level of publicacceptance of the need for theintervention and there was no widespreadpublic concern regarding the safety of thevaccine. The vaccination campaign wasrolled out in phases, with the highest-riskareas offered immunisation first and, oncethe vaccine was shown to be safe andeffective in these areas, lower risk areaswere vaccinated. This was done alongsidea public information campaign. The publicacceptance of the programme ensured aspeedy and successful resolution of theepidemic.7Public confidence refers to the extentto which the general public trusts theinstitutions involved in policymaking to actcompetently and in support of the widerpublic interest. Trustworthy governmenthelps promote social trust and thecooperative behaviours that supportdemocracy. Public confidence in one'sgovernment or its institutions may be themost consequential element of legitimacy,in the sense that if it is undermined thenmore cataclysmic or large-scale changes ina society are possible.6Political CommitmentSpend political capital in support of policy objectives._fddbaa91-14ef-11e7-87a8-57a2647280a41.2Political LeadersPolitical leadersmay leverage their influence to buildconsensus in favour of a policy objectiveand through their decision to be affiliatedwith a policy have an impact on thelikelihood of its success. When there isactive political opposition to a policy itaffects the perceived legitimacy of aninitiative. What follows is decreased trustin the need for the policy or a lack oflegitimacy for the organisations chargedwith delivering it. This makes it harder toachieve impact.Bihar, IndiaA good case study example is thesuccessful anti-corruption initiative inthe police force of Bihar, India.Nitish KumarNitishKumar was elected as chief ministerof Bihar, India's poorest state, in 2005with a mandate to reform the police andaddress the high levels of crime andunrest. He restructured the force andrecruited an able group of army veterans,senior law enforcers and administratorsto revitalise the state governmentand strengthen crime prevention. Theinitiatives were strongly backed by Kumarhimself and he was directly involved inattracting experienced administratorsand police to Bihar. Kumar also tookpains to insulate the police frompolitical interference. Buoyed by thechief minister’s support, the police forcebecame an effective law enforcementagency with the equipment, resourcesand autonomy required to carry outits duties. The result was a significantdecrease in violent crimes such ashomicide (36%), banditry (53%) andkidnapping (77%).10Reforms require both political will andanalytical acumen.8 The willingness ofpolitical leaders to spend political capitalin support of the policy objective directlyinfluences legitimacy.9Stakeholder EngagementEngage stakeholders in the debate on policy design, development and implementation._fddbb0a6-14ef-11e7-87a8-57a2647280a41.3Authoritative Decision-MakersGhanaIn Ghana, for example, stakeholderengagement ensured an orderlypresidential election in 2008.Ghanaian Electoral CommissionTheGhanaian Electoral Commissionengaged national and internationalNGOs to monitor voting, set up a taskforce to ensure safety and security atpolling stations, investigated electoralregistrations and initiated publicawareness campaigns. The outcome wasa transparent, peaceful election whoseresult was not contested.17The procedural steps taken byauthoritative decision-makers during thepolicy cycle can affect both stakeholders'and the public's perception of a policy'slegitimacy.11 Factors such as the emotiveappeals made to gain support for aninitiative and the processes of stakeholderinvolvement shape the legitimacy ofpublic policies and the governments thatpromote them.12 Fostering a relationshipbetween policymakers and stakeholderscan also improve the fit between anoriginal policy and the delivery of publicservices.13Engaging stakeholders in the debateon policy design, development andimplementation is therefore crucial toachieving good outcomes.14 Effectivestakeholder engagement starts with aclear objective for consultation, followedby the identification of people andorganisations with a clear interest in theinitiative. This allows policymakers tounderstand stakeholders, their roles anddivergent interests. Seeking cooperationbetween these interests avoids problemsof coordination and organisation inpursuing policy objectives.15 To this end, itmay be necessary to draw on people witha wide range of competencies throughoutthe engagement process, such as skilledpolitical enablers, storytellers, networkersand engineers.16PolicyDesign policies that have the greatest chance of success._fddbb268-14ef-11e7-87a8-57a2647280a42The quality of the policy matters. Clearobjectives, strong evidence and anunderstanding of what is feasible arecrucial to good policy. Any reform, willalmost certainly upset the equilibrium ofthe existing policy mix and will, dependingon its characteristics, set in motion anumber of different responses. Some willoccur in the public arena, others will belargely played out in a bureaucratic context.Some responses will have only aminor impact on effective implementation,while others will bring the pursuit of thenew policy into question or may eventhreaten the government's very existence.The extent to which the costs and benefitsof a reform are dispersed or concentrated,its technical and administrative content,and the length of time taken for its resultsto become apparent - these are significantcharacteristics of policy and organisationalreform that determine the nature ofthe conflicts that will emerge duringimplementation. They also signal the kindof resources needed by reform advocatesto sustain the policy or organisationalinitiative.18There are various models that offer theoriesabout the impact of policy on the changeprocess. The political sciences literaturehas focused on analysing decision-makingwithin the organisational context of thestate. As such, it takes as a principal unitof analysis the individual or organisationresponsible for making decisions.19 Muchof the discussion of policy has thusrevolved around the following question:to what extent can policymakers beconsidered rational actors who accumulateinformation, assess alternative coursesof action and choose among them onthe basis of their potential to achieve thedecision-makers' preferences?20Picking the policy that will have thegreatest impact is undoubtedly a complexproblem. In our work, we found that therewere three elements that increased thelikelihood of designing a policy that hadthe greatest chance of success ...ObjectivesSetting clear objectives._fddbb269-14ef-11e7-87a8-57a2647280a42.1Mexico CityOne example of the importance of clearobjectives can be seen in the case ofMexico City's ProAire programme. Ofthe 20 megacities whose air qualitywas measured by the World HealthOrganization (WHO) and the UN in 1992,Mexico City had the highest levels ofpollution. The city administration and theMexican government responded to theselevels by initiating ProAire, a programmeto address pollution on several fronts,including reducing industrial andautomobile emissions, raising publicawareness, and promoting cleantech andgreen methods of transport.The objectives of ProAire were clearand measurable and were maintainedthroughout its implementation. Withinfour years Mexico City had surpassed itscarbon emissions target reduction of 7million tonnes, and in 2013 it won theSiemens Climate Leadership Award for AirQuality.25Setting clear objectives in the early stageof design is crucial to developing goodpolicy. They are important in definingthe borders of policy because they allowfor specific problems to be selected andprioritised by local actors.21 To this end,the objectives of a policy should revealwhy the change is being proposed, who itwill affect, what needs to be done about it,and where one actor stands in relation toothers who are also trying to bring aboutchange.22The inclusion of targets or indicatorsis particularly important when settingobjectives. Targets increase the pressureon governments, bureaucracies and civilsociety23 and lead to a greater focus oncontinuous improvement.24EvidenceGather evidence on what works._fddbb4de-14ef-11e7-87a8-57a2647280a42.2New ZealandIn New Zealand, for example, theincidence of Sudden Infant DeathSyndrome (SIDS), or cot death, washigher in the 1980s than in any otherdeveloped country. A case-control studywas conducted from 1987 to 1990 whichdemonstrated that there were threemain risk factors for SIDS: the sleepingposition of the infant, maternal smoking,and a lack of breastfeeding. In 1991,the Department of Health initiated aprevention programme which focusedon these three areas and had an almostimmediate impact, with a halving of theSIDS mortality rate within two years.30By gathering evidence on what works,governments can design policies that bestfit the circumstances in which they areto be implemented.26 This requires thecollection of information, data, examplesand frameworks that allow policymakersto tackle a problem on the basis of thebest evidence and to devise optimalsolutions.27Naturally, the policy process is not thatsimple: studies of the use of evidencein policymaking show that contextis a central factor in determiningappropriateness.28 "Evidence" is unlikelyto be neutral and unproblematic: itsdefinition is part of the policy process anddepends heavily on context. What is clear,however, is that identifying good evidenceis crucial to good policy because it allowspolicymakers to:ProblemsAssess the nature and extent of problems._fddbb556-14ef-11e7-87a8-57a2647280a42.2.1SituationsAssess the particular features of policy situations, for example, demographic changes._fddbb682-14ef-11e7-87a8-57a2647280a42.2.2EffectivenessAssess policies that may have proved effective in similar situations._fddbb683-14ef-11e7-87a8-57a2647280a42.2.3FeasibilityPlan how to overcome technical, legal and operational challenges._fddbb684-14ef-11e7-87a8-57a2647280a42.3WHOThe WHO's response to the 2014 Ebolaepidemic in West Africa demonstratesthe importance of feasibility studies.West African NationsThe WHO, with 11 West African nations,developed an Outbreak Response Planto control the transmission and spread ofEbola.NGOsThe financial feasibility of the proposals,as well as the economic recovery plansfor the three countries most affected,were addressed by the relevant NGOs.World BankThe plan also identified a preciseamount of finance required, and theWorld Bank mobilised funding from theInternational Development Alliance andthe International Finance Corporation.The health-based response was based onprevious initiatives and the knowledge andexperience of the national ministries ofhealth and the health NGOs. In January2016, the WHO was able to declare theend of the outbreakFeasibility refers to absence of significanttechnical, legal or operational challengesto the policy. A policy initiative is morelikely to achieve its intended outcomeswhen the question of how the policy is tobe implemented has been an integral partof its design.31 To ensure the feasibilityof a proposed policy, broad sets of actorsshould be engaged to ensure that thepolicy is viable and implementable.32Proper planning provides a map ofhow an initiative will be implemented,addressing matters such as timeframe,phases of implementation, responsibilities,resourcing and compliance.33ActionTake good action._fddbb685-14ef-11e7-87a8-57a2647280a43Despite its importance, action is often themost neglected of our Fundamentals. Thisneglect is due in part to the assumptionthat "once a policy has been 'made'by a government, the policy will beimplemented and the desired results ofthe policy will be near those expected bythe policymakers".34 The implementationprocess is assumed to be a series ofmundane decisions and interactionsunworthy of the attention of those seekingthe heady stuff of politics. Most of thecrucial policy issues are often seen to havebeen resolved in the prior decisions ofexecutives, legislators, and judges.35This leads to different definitions of theconcept. Some see it as the actions ofpublic and private individuals (or groups)that are directed at the achievementof objectives set out in previous policydecisions.36 Others focus on whetheran organisation can bring togetherpeople and material in a cohesive unitand motivate them to carry out statedobjectives.37Although action is fundamental to publicimpact, it is important to draw a cleardistinction between the two. Action doesnot constitute impact. The study ofimpact searches for the consequencesof a policy decision.38 For example, dodisadvantaged children improve theirreading or maths skills as a consequenceof an innovative education programme?In this way, those investigating impacttypically ask: "what happened?"By contrast, those studying action willfocus on activities that affect the renderingof public services,39 and they will beasking: "why did it happen this way?"40 Apolicy may be implemented effectively butfail to have a substantial impact becauseit was ill-conceived – or because of othercircumstances. Hence, successful actionmay be a necessary - but not sufficient- condition for the attainment of publicimpact.We have found that three elements tendto contribute to good action ...ManagementImplement mechanisms to ensure that progress is made._fddbb686-14ef-11e7-87a8-57a2647280a43.1MadagascarMadagascar's 2005 primary educationprogramme demonstrates the importanceof management. Primary school educationin Madagascar had been plagued byunderachievement and low levels ofliteracy and numeracy.Madagascar Ministry of EducationTo address theproblem, in 2005 the Madagascar Ministryof Education partnered with J-PAL, ananti-poverty NGO, in a new programme,Improving Education Management inMadagascar (AGEMAD).The function of AGEMAD was to trialinterventions at different levels ofeducational management, from districtadministration to individual primaryschools. The programme's objectives wereto improve the educational performanceof primary school pupils, increase schoolattendance, reduce the number of pupilswho repeated school years, and raise pupiltest scores.There was a well-defined, hierarchicalmanagement structure. Each districtadministrator managed an average of 14sub-district administrators, and each subdistrictadministrator was responsible forabout 10 school directors who managedthree teachers and 177 students onaverage. A separate team was hired andtrained to implement the AGEMADinterventions in order to adhere to thestrict requirements for implementationand data collection. As a result ofAGEMAD, school attendance increasedby 87%, the number of pupils repeatingschool years was reduced and their testscores were significantly higher.46J-PALManagement refers to the extent towhich mechanisms are implemented toensure that progress is made. It allowspolicymakers to assess whether the mostappropriate systems are in place, the rightpeople with relevant skill sets matched toappropriate tasks, and the interventionsstructured in an effective manner.41 Thisprocess involves measurement, analysis,feedback, evaluation, calibration andadjustment.42 Successful implementationrelies on the identification andmanagement of risk, which promotesaccurate, well-informed judgements.43Active leadership is essential to goodmanagement,44 and a leadershipteam's initial objective is to develop anappropriate performance strategy. Thiswill involve employees, collaborators andcitizens in achieving a specific publicpurpose or, alternatively, in eliminatingor mitigating an important performancedeficit that is preventing them fromachieving their purpose.45MeasurementSelect a set of performance measures._fddbb687-14ef-11e7-87a8-57a2647280a43.2Public ManagersPublic managers and civil servantsshould not go looking for their onemagic performance measure. Instead,they should begin by deciding onthe managerial purposes to whichperformance measurement maycontribute. Only then can they select aset of performance measures with thecharacteristics necessary to help themachieve these purposes.50Civil ServantsBrazilBrazil's Programa Bolsa Família (PBF)is a government programme that wasintroduced in 2003 by President Lula andserves to demonstrate the importanceof measurement. The PBF makes cashtransfers to low-income families oncondition, for example, that they send theirchildren to school and ensure that they areproperly vaccinated. Several indicators wereused to measure the impact of the PBF,such as: the types of beneficiary; the levelsof family and individual income; schoolenrolments and children’s educationalachievements; and health indicators suchas vaccine rates and height/weight relativeto age. Effective monitoring tools andagencies were also dedicated to improvingthe PBF's performance.It is estimated that "the level of extremepoverty would be between 33% and 50%higher without the PBF. The programmehas also contributed to reducing incomeinequality, accounting for 12%-21% of therecent sharp decline."New York CityAs a result of itssuccess in Brazil, this form of "investmentin human capital" has since been adoptedby administrations from New York City tothe Philippines.51PhilippinesMeasurement is the main tool ofimplementation.47 It can dramaticallyimprove service quality in public agencies48and allows for feedback loops thatenable the timely adjustment of policy tofacilitate successful implementation.49 Itis accordingly fundamental to ensuringsuccessful action.AlignmentShare alignment of interests in relation to policy objectives._fddbb772-14ef-11e7-87a8-57a2647280a43.3Cape TownThe municipal turnaround in Cape Townunderlines why alignment is so important.Cape Town's renaissance from 2007onwards has taken it from being a citywith a crumbling infrastructure and severelevels of poverty, unemployment andcrime to a well-run, solvent and stablemunicipality, with growing racial andgender equality. At the heart of this revivalwas its five-year development plan, ablueprint for socioeconomic reform, whichwas executed in a gradual and pragmaticfashion.The gradual process of political integrationmerged the 35 municipalities that madeup the greater Cape Town area into 7 localauthorities, which became in 2010 a singlelocal authority with a population of almost3.5 million residents. This meant that thedifferent areas of the wider city cooperatedmore efficiently with each other.By March 2009, Cape Town had stabilisedthe bureaucracy in the city and increasedthe number of employers from 19,000to 23,000. Data showed a steep increasein staff morale. The city also increasedannual spending on new capitalinfrastructure projects from US$161million to US$806 million and doubledits annual expenditure on maintenanceand repairs. Additionally, the city's budgetwas well monitored and managed andprovided stability to the city’s strategicplanning and operations. This newmanagement meant that money could beinvested in critical areas to help improvethe quality of life of citizens.All this resulted in Cape Town beingrated in 2010 as having the best localgovernment in South Africa. Furthermore,in the same year it successfully co-hostedthe World Cup, while 100% of houses hadaccess to basic sanitation and 92% hadaccess to electricity.54The actors required to make changehappen need to share an alignment ofinterests in relation to the policy objective.To this end, coordination is fundamentalto the development of a sense of sharedmission.52 When actors cooperateeffectively, when they are equipped toexecute their part of the initiative and arehighly motivated, implementation tends tobe more successful.53 It is therefore clearthat alignment is a significant contributingfactor to successful action.2017-03-29https://publicimpact.blob.core.windows.net/production/2016/09/CPI-fundamentals-web.pdfOwenAmburOwen.Ambur@verizon.net