Getting Results in Government A Checklist for Effective Policies & Programs

Transcription

1 Getting in Government A Checklist for Effective Policies & Programs

2 Why a Checklist? It s a question many have asked: Can a simple tool be created to dramatically increase the rate of success for large government programs? Governments have achieved extraordinary outcomes in complex environments. This is no more apparent than in NASA s Apollo program. So why do so many government programs fail? William D. Eggers and John O Leary s If We Can Put a Man on the Moon investigates why some government programs fail to deliver on their intended goals while others succeed. The book profiles programs from across the world in areas as diverse as emergency management and post-war reconstruction, identifying common traps that cause some programs to fail as well as strategies that lead others to succeed. Similarly, Michael Barber s Instruction to Deliver sets forth a methodology and series of guidelines that the author developed based on his work as the head of the Prime Minister s Delivery Unit under Tony Blair. Barber s approach centers on posing challenging questions to leaders of major initiatives to ensure that their programs stay on target to achieve their intended goals. Complementing these two guides to successful government programs, Atul Gawande s Checklist Manifesto illustrates how simple, well designed checklists improve success rates in complex undertakings from confirming that sky scrapers are built to code to decreasing the chances of post-surgical infections. Gawande s book demonstrates how well-designed checklists bring structure to difficult tasks, leading to a higher standard of baseline performance, and preventing common yet avoidable errors. The Result This checklist brings together key lessons from expert sources on major challenges getting results in government, increasing success in complex programs, and delivering outstanding public value combined with the experience of our professionals in supporting government leaders overcome barriers to success. Just like the case studies in these three books, this checklist for Getting in Government can be applied to all types of initiatives at any level of government federal, state, or local. How It Works This checklist is broken into six sections, each representing a key stage in a government program s journey from idea to success: 1. : Developing the idea for a program that is both implementable and efficacious 2. : Articulating the specifics that will lead to an implementable program 3. : Securing commitment from those designing and implementing the program 4. : Executing the program in a way that meets the intended goals 5. : Achieving the program s target objectives 6. : Continuously assessing the program to be sure that it remains on track Within each section, key success factors for that stage of the program are listed. Based on those success factors, the checklist poses a series of probing questions, which program designers and managers can ask themselves and their teams in order to determine whether they are on the right track. This checklist can be used to chart the path for a new initiative, identify how to get a failing program back on track, or retrospectively diagnose why a program has succeeded or failed. If applied early and often, this checklist will be a powerful addition to your program management toolkit and will be an invaluable resource for keeping your program on the road to success. 1

3 Foundation for Success Successful programs are built on good ideas. Arriving at the right idea on which to base the design of a program requires: Clarity on what you are trying to achieve Understanding the different ways you could achieve your objectives Selecting the best idea to achieve your objectives Once you are clear on what you are really trying to achieve, it is important to draw on the diverse experiences of others who have tried to achieve similar objectives or overcome similar challenges. Engaging a wide group of stakeholders will also help you bring valuable perspectives and views to the generation and evolution of possible ideas. Finally, it is important to consider all of the available evidence on the likely impacts of the most promising ideas before selecting the idea you wish to progress. This part of the checklist seeks to help those who are responsible for generating ideas for government programs arrive at the best idea to achieve their goals. Getting Clarity on the Goal Do you really understand the goal you are trying to achieve? What are the specific goals that your idea seeks to achieve (i.e., how will the world look different because of your idea)? How will you know when you have achieved your goal? How does your idea align with government s priorities? Have you identified the greatest factors that will help you achieve your goal? What does the data tell you about how similar outcomes have been achieved in other settings? How have other municipalities, states, or countries tried to achieve the same goals? What factors have helped or hindered their ability to achieve those goals? Opening up to Alternative s Has your idea drawn on the experience of others? How did your idea evolve as you examined different ways to achieve your goal? What ideas do key stakeholders in the delivery chain (i.e., those who will be stewarding your idea from design through to final delivery) have about how you should achieve your goal? What ideas do those who will be impacted by your idea have about how you should achieve your goal? How did your idea evolve in light of feedback from experts, the delivery chain, and those who would be impacted by your idea? Has your idea benefited from a wide range of views? How do people with different ideologies think you should achieve your goal? What ideas do external experts have about how you should achieve your goal? How did your idea evolve in order to minimize any negative impacts of your idea? Selecting and Improving the Do the evidence and analysis support the selection of your final idea? How have you made sure the evidence and analysis you had gave you a complete a picture of the issue? What does the data suggest about the likely success rates of different ideas? To what extent is predicted success contingent on variable factors (e.g., economy, technology, demographical trends, global geopolitical considerations)? Why is your idea a more worthwhile investment than other options? What does independent verification say about your cost/benefit estimates? What data have you seen that might suggest that your idea may not be the best way of achieving your goal? 2 3

4 ing Programs that Work When public programs fail significantly, that failure is often rooted in poor program design. Too often, legislators focus on what is necessary to secure an idea s passage through the legislature, and program designers develop programs that work more easily in concept than in practice. This is not enough to ensure success. They also need to view drafting legislation or designing programs as creating the blueprint for an effective and workable program that will deliver its goals. Key to successful program design is: Being clear about what success looks like and how it will be measured Considering the system within which the program will need to deliver Understanding the role that key stakeholders will play in program success Anticipating the different ways in which the program might fail Getting the core building blocks of how the program will operate right Once there is clarity on the definition of success, a detailed program design needs to be developed. This design needs to be informed by an appreciation of the system within which it operates and the different ways in which the program might fail. also needs to take into account the role that key stakeholders will play in its approval, delivery, and evaluation. This part of the checklist has been designed to help those tasked with turning an idea into draft legislation or a blueprint for a government program. Defining the Goal Are you clear about what success looks like? What metrics will you use to measure progress and success? How does your view of the program s goals coincide with or deviate from the view of those who formulated the original idea on which your program is based? Aligning the Program with the System Do you have a full picture of what else is going on in the same policy space? What are the major programs that currently operate in this policy space (i.e., in the same broad area of policy)? What are the existing programs that seek to achieve similar goals? What are the major planned initiatives that will operate in this policy space? What programs/initiatives are already in place that impact the same set of end recipients (e.g., the individuals, communities, businesses, organizations targeted by your program)? Do you understand how your program will work with other programs? What are the potential synergies with other programs? How may other programs hinder the achievement of your goals? What existing programs could be both directly and indirectly impacted by your proposed program? Understanding Stakeholder Impact Do you have a full picture of how external stakeholders impact program success? Who is responsible for leading the program from beginning to end? Who are the champions that will be dedicated to the long-term success of the program? Who are your champions in all of the key parties (e.g., Congress, agencies) involved in the project? Who are your program s chief critics? What are your critics main concerns about your program? Do you have a clear understanding of the role of key stakeholders in delivering your program? Who are the stakeholders in your delivery chain (e.g., government agencies, state and local governments, industries, businesses, NGOs or individuals that will be part of program implementation)? What are the competing priorities of the stakeholders who will deliver your program? What do stakeholders in your delivery chain have to say about your draft program design? How will the different key stakeholders be incentivized to cooperate in program delivery? How might key stakeholders try to game the system? Pressure Testing Do you understand the ways in which your program could fail? What were the results of scenario planning to identify the various ways in which the program could unfold? Can your program still succeed if circumstances change? To what extent is your program s success contingent on unpredictable factors (e.g., economy, technology, societal trends, political environment)? How might technological changes or advancements impact your program? How will your program evolve if circumstances change? Working out the Details Do you have a detailed understanding of how your program will work? What is the view of your program s delivery model top down and bottom-up? Who is accountable for the program as a whole? Who is accountable for the role played by each element of the delivery chain? What new processes, rules, capabilities, and infrastructure will need to be developed in order to deliver your program? What does your anticipated trajectory for progress and success look like? What evidence do you have that your anticipated trajectory is realistic? What is your anticipated spend look like over the course of the program? What are your processes to manage change? 4 5

5 Getting Successful navigation of the approval process is integral to eventual program success. Stakeholders in the approval process may try to redirect the program toward alternate goals or seek changes that compromise the original goals of the idea. Getting a draft program design through the approval process with its integrity intact and original goals in place requires: Arriving at reasonable compromise on details without compromising program goals Preparing the program for transition to those who will be executing it This phase covers the democratic commitment point that separates the political universe of program development from the bureaucratic universe of implementation. Arriving at Smart Compromise Do you need to negotiate on idea or design principles to win approval? What are the nice-to-have program features that can be cut to increase the likelihood of approval? What aspects of the program are considered deal breakers, and can you articulate them to opponents of the program? Can you walk away from your program if negotiations fail? Preparing for Transition Are those affected able to articulate the intended goals or outcomes of the program? What messaging have you put together to communicate the program s goals to those who would be affected? What communications channels have you leveraged to get your message across? Can those affected by the program understand what operational and day-to-day changes are going to take place as a result of the implementation? Are the people implementing the program confident that it will work? What resources will the people implementing the program need in order to achieve the stated goals? What expertise does the agency or group responsible for the program have? Is that expertise enough to successfully carry out the program? This part of the checklist has been designed to help those charged with taking a draft program through the approval process arrive at the best possible mandate for delivery. 6 7

6 Executing the Program A significant amount of planning and coordination is necessary to deploy and operate a large-scale program on time, within budget, while achieving intended results. Successful program execution requires: Establishing a transparent project management structure that tracks program performance Analyzing cultural structures and norms for those involved across the delivery chain Testing the critical components and structures supporting your program Simulating the go-live conditions and being flexible to make changes Once programs have gotten to this point in the process, they have gained momentum and political support, but they are not necessarily guaranteed to succeed. From this point forward, success is dependent on how well the program is executed, if it is able to address failures in the system, and if it can make quick modifications. This part of the checklist is intended to be used by those responsible for launching and implementing government programs so that unknown but foreseeable failures can be addressed before they threaten program success. Establishing the Project Management Plan Do you have a project plan that outlines all critical activities, specifying owners and time lines? How will you manage the possibility of unexpected issues that could derail progress? What are the parameters for permissible change in scope? How will the change in scope be managed? How easy will it be to change processes if there are inefficiencies that detract from results? Have you validated your performance management frameworks to ensure that your measurement process will accurately reflect program effectiveness? What are your SMART targets for program effectiveness? How you will implement a balanced scorecard or other performance management reporting system to track program effectiveness? Assessing Culture and Communication Have you identified cultural signals or potential roadblocks that could decrease employee investment or prevent employees from working together? How will you ensure that everyone involved in implementing the program is emotionally invested in its success? What messaging and communication around the implementation can increase emotional investment in the program? How will you address cultural differences that could hinder the success of this project? If multiple parties need to be involved, how will you manage stakeholders to ensure they effectively communicate and share information? Testing before Should modifications be made to the plan as a result of pre-launch testing? What are the failure points? Have the necessary concepts or technologies supporting the program been prototyped or tested on a small scale? What are the resource constraints (e.g., financial, technological, human) that could impact the implementation? What stress tests have you employed to test the program resources? Planning for Go-Live Do you have a plan for the program launch day? Will your program be released in phases; should there be multiple launch days? Have you run simulations for the launch day and planned for any intangible factors that could negatively impact your launch day? Are you able to delay launch if the proper processes are not in place? What processes must (or need not) be in place for launch? Have you identified the different groups affected by your program? How will you need to adjust your implementation plan to meet diverse needs or preferences of external groups? How will you need to adjust your implementation plan to meet diverse needs or preferences of internal groups? Has Day One messaging been developed? What are the internal and external communications that inform the right people about the changes? Have messages been delivered via multiple media and tailored to different audience segments? Is there a method to rapidly analyze the effectiveness of the program s launch? How can you account for and communicate quick wins? 8 9

7 Achieving The constraints of the public sector, with unique incentives, politics, and culture can make achievement of results especially challenging for program managers. Program performance will not always be obvious and evidence may not be readily available. Program managers must undertake the following measures to make sure program impacts (results and shortfalls) are understood: Establishing metrics that relate to program goals and satisfy reviewer requirements Developing an action plan for addressing program performance With a robust performance monitoring system in place, the outcomes of a program will be easier to determine and the connection between public value and money will be more transparent. This part of the checklist intends to better equip program managers to track program performance, communicate outcomes and make adjustments to the program to keep it on track. Establishing Metrics Have you identified the program s performance metrics? What performance data can be available in real time? What proxy data measures can be captured in real-time? How do the performance metrics tie directly to overarching program goals? How will the performance of the program be monitored? Will there be an independent program reviewer? How will you ensure that performance data is being collected and interpreted objectively? Is your program designed to impact or change human behavior? What are the mechanisms in place to monitor changes? How will you control for confounding variables or other biases that may skew the data? What proxy data measures can be used to track change in behavior? Acting on Will the program change if key performance measures are not met? What will happen if key performance indicators are not met? How much failure, and what kind of failure, will be tolerated? How and when will the results be discussed with senior leadership in the organization? How and when will results be disclosed to external stakeholders? 10 11

8 Evaluating the Program and Planning for the Future Conditions change fast, but government changes slowly. Programs need reevaluation. In some cases what is being done no longer makes sense. In other cases, how it is being done no longer makes sense. In order to keep programs aware of their own relevancy, program administrators should focus on: Developing a strategy for program evaluation that takes a big-picture look at the trajectory and long-term need for program Evaluating the Program Do you know what program success looks like? What does success look like? If the program is not operating at this level, how can you get it there? What barriers are hindering program success? How can the program be modified to increase its overall success? Is your program designed to adapt over time? Based on the trajectory of results, where is your program headed in the next 1, 3, 5 years? If government or agency priorities change what will happen to this program? The way things are should not be a barrier to needed changes, particularly in regards to important public sector programs. This part of the checklist assists program administrators in evaluating the program throughout its lifecycle to ensure that the program is focusing on achieving desired outcomes. Do you have a plan for eliminating initiatives that will no longer be needed and for sun setting aspects of this program that may not be essential in the long-term? What future events would cause your program to fail? What is your plan to deal with those potential events? 12 13

9 Contact Information Shrupti Shah Specialist Leader Deloitte Consulting, LLP Tiffany Dovey SV Research & Analysis Deloitte Consulting, LLP William D. Eggers Global Director Deloitte Research-Public Sector Deloitte Services LP About Deloitte Deloitte refers to one or more of Deloitte Touche Tohmatsu Limited, a UK private company limited by guarantee, and its network of member firms, each of which is a legally separate and independent entity. Please see about for a detailed description of the legal structure of Deloitte Touche Tohmatsu Limited and its member firms. Please see for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. Copyright 2010 Deloitte Development LLC. All rights reserved. Member of Deloitte Touche Tohmatsu Limited