Guide for the Transfer and Adaptation of Innovations …unpan1.un.org/intradoc/groups/public/documents/un-dpadm/unpan... · and Adaptation of Innovations in Governance Practical Tools

1United Nation, New York, 2007, ST/ESA/PAD/SER.E/122

Guide for the Transfer and Adaptation of Innovations in GovernancePractical Tools and Steps

UNDESAUNDESA

2Guide for the Transfer and Adaptation of Innovations in Governance: Practical Tools and Steps

The Department of Economic and Social Affairs of the

United Nations Secretariat is a vital interface between

global policies in the economic, social and environ-

mental spheres and national action. The Department

works in three main interlinked areas:

■ It compiles, generates and analyses a wide range of

economic, social and environmental data and infor-

mation on which Member States of the United Na-

tions draw to review common problems and to take

stock of policy options;

■ It facilitates the negotiations of Member States in

many intergovernmental bodies on joint courses of

action to address ongoing or emerging global chal-

lenges; and

■ It advises interested Governments on the ways and

means of translating policy frameworks developed

in United Nations conferences and summits into pro-

grammes at the country level and, through technical

assistance, helps build national capacities.

Note: The designations employed and the presentation

of the material in this publication do not imply the ex-

pression of any opinion whatsoever on the part of the

Secretariat of the United Nations concerning the legal

status of any country, territory, city or area, or of its au-

thorities, or concerning the delimitation of its frontiers

or boundaries.

The designations “developed” and “developing” econo-

mies are intended for statistical convenience and do

not necessarily imply a judgment about the stage

reached by a particular country or area in the develop-

ment process. The term “country” as used in the text of

this publication also refers, as appropriate, to territories

or areas. The term “dollar” normally refers to the United

States dollar ($).

This is a joint publication of UNDESA and UN-HABITAT.

The views expressed are those of the individual

authors and do not imply any expression of opinion on

the part of the United Nations.

DESA Mission Statement

A United Nations Publication

Publication No.: ST/ESA/PAD/SER.E/122

2007

Copyright © United Nations, 2007

All rights reserved


DESA Mission Statement 2

Contents 3

Introduction 5

Acknowledgment 8

PART ONE: Transfer of Innovations in Governance: Conceptual Tools 9

1. Definitions 10

2. Types of Transfers:

What Types of Transfers are Possible? 12

3. Rationale:

Why is the “Transfer” of an Innovation Valuable? 13

4. Transfer Process: How is an Innovation

Transferred to the Local Context? 15

5. Strategy:

How to Successfully Manage a Transfer Project? 23

6. Actors:

Who’s Involved in an Innovation Transfer? 24

7. Roles and responsibilities:

Who are the Main Actors in a Transfer Process? 27

8. Lessons Learned: What Determines

a Successful Adaptation Process? 30

PART TWO: Transfer of Innovations in Governance: Practical Tools and Steps 32

Introduction: 33

Phases and Steps of a Transfer Process

by Actor Involved 34

Phase 1: Match Demand with Supply 36

Recipient Institution: 36

1. Demand/Willingness of a Public Organization

to Adapt an Innovation to its Own Context 36

2. Identification of Good Practices with

the Potential to be Transferred 36

3. Analysis of the Practice’s Potential

to be Transferred (Pre-Transfer Assessment) 37

4: Analysis of the Recipient Govern ment’s

Capacity to Adapt the Innovation 39

5. Establishing a Working Team of the

Recipient Public Organization 39

Origin Institution: 39

1. Deciding to Become an Origin

Public Organization 39

2. Negotiating a Partnership Agreement

between Origin and Recipient of a Transfer 40

3. Documenting the Innovative Practice

by Preparing a Case Study 40

4. Establishing a Working Team of the


Transfer Facilitator: 41

1. Knowledge Sharing on Exemplary Cases

Through Forums, Meetings, Networks

of Innovators, Publications 41

2. Facilitating Contact between Recipient

and Origin Public Organization 41

Phase 2: Define Scope, Select Methodology and Design Transfer Work Plan 42


1. Define Scope and Select Methodology

2 Negotiating a Partnership Agreement

for a Transfer between Origin and

Recipient Organization 42

3. Take Part In a Peer-to-Peer Workshop to Design

a Transfer Work Plan and Conduct a Study Tour 42


1. Criteria for the Selection of Methodology 45

2. Negotiating a Formal Agreement with the


Facilitator 45

Phase 3: Adapt the Innovation to Local Context 47



Facilitator 47

Contents


Contents

Phase 4: Implement and Evaluate the Transfer Project 49



Facilitator 50

ANNEXES 51

List of Annexes

1. List of Selected Awards Programmes in the

field of governance and public administration 52

2. Innovation Viability Index 53

3. Guidelines for Documenting Innovations 54

4. Assessment of the Transfer of Good Practices 56

5. Indicators for The Evaluation of the

Transferability of Good Practices 57

6. Quality Indicators of a Good Practice 59

7. Guidelines for the Preparation of a Case Study

to Document a Good Practice 60

8. Application Form 61

List of Examples

1. Public Administration Networks for the

Dissemination of Information on Good Practices 19

2. Award Programmes to Recognize Excellence

in the Public Sector 20

3. Organizations Facilitating Peer-to-Peer Transfers 22

List of Figures

1. Initial Situation 16

2. Knowledge Management 16

3. Organizational Change 17

4. The Replication Process – The Whole Picture 18

5. Learning Processes 21

6. Innovation Transfer Chart 23

7. Mark Moore’s strategic triangle 23

8. Knowledge Management & Organizational Chart 33

List of Graphics

1. Innovation Transfer and Replication 11

2. The Setting of a Transfer 15

List of Tables

1. Criteria that Define an Innovation 10

2. Checklist for Actors Involved in the

Transfer Process 25

3. Suggested Actors and Possible Functions

of Key Roles In a Transfer Process 26

4. Role of the Intermediary in the Four Principal

Steps for Effective Transfers 29

5. Overview of the Phases of the Transfer Process 35

6. Criteria to Establish the Practice’s

Transfer Potential 38

7. Key Information about the Innovative Practice 40

8. Types of Methodologies for the Transfer of

an Innovation 43

9. Key Principles for Developing Collaborative

Relationships 44

10. Considerations for the Selection of Partners

and Innovations 44

11. Overcoming Obstacles in the Transfer Process 48

12. Strategic Process for Programme Evaluation 50


1. Seeking Solutions to Governance Challenges and Replicating Them to Achieve Greater Economic and Social Development

The quest for innovations in the public sector has been

on-going for quite sometime, but with the need for the

world to achieve the commitments made by its leaders

in the Millennium Declaration, the 2005 World Summit

and many other global and regional conferences, it has

attained a level of urgency. It has dawned on most peo-

ple concerned with the improvement of performance in

the public sector that although innovations in govern-

ment are circumscribed in scope, they have the poten-

tial to trigger a bigger process of transformation of the

State and produce general positive benefits to citizens

through improved service delivery.

The global consensus on the urgency of making the

public sector more efficient, transparent and respon-

sible to citizens’ needs is not only manifested in the

research efforts to uncover new path ways to improv-

ing the performance of governance and public admin-

istration institutions. It is also seen in the way innova-

tors are readily coming together to share information

and knowledge about their innovations and how they

can be exchanged to minimize wastage of resources

and time in re-inventing the wheel. There are networks

of innovators being formed for purposes of sharing

and adapting successful practices in innovation. One

of them is the Network of Innovators in the Mediterra-

nean region which is being spearheaded by the Pro-

gramme for Innovation in Public Administration in the

Mediterranean Region – InnovMed established by the

United Nations Department of Economic and Social Af-

fairs (UNDESA).

As shown by the United Nations Public Service Awards

and a number of other award programmes in various

regions of the world, there is great capacity in all cor-

ners of the globe to reinvent government and to launch

innovative practices in governance. Disseminating in-

formation about innovations in government, and most

importantly, transforming this information into knowl-

edge so that it may benefit countries looking for effec-

tive solutions to governance problems, is a challenge

that the United Nations has taken up very seriously. Al-

though there are no “one-size-fits-all” solutions to com-

plex issues, sharing successful experiences offers an

opportunity for innovation in governance and public

administration. We strongly believe that sharing infor-

mation and transferring knowledge on innovations are

important tools for stimulating and inspiring govern-

ments in their reform efforts toward more inclusive de-

velopment. In fact, learning from other countries’ expe-

riences in reinventing government can save time,

inspire new reforms, and in some cases help countries

to leapfrog stages of development. Moreover, focusing

on good practices rather than on failures is a way to

provide positive incentives for reform efforts and en-

courage a constructive outlook on development. It af-

Introduction


Introduction

fords the opportunity to shift our attention from what

the State should do to how it should do it, i.e., how it

should solve the many challenges it is presented with

on a daily basis.

In light of the above, the United Nations General As-

sembly reiterated, in resolution 57/277, that particular

emphasis should be given to the exchange of experi-

ences related to the role of public administration in the

implementation of internationally agreed goals, includ-

ing those contained in the Millennium Declaration. UN

General Assembly resolution 50/225 also underlines

the importance of enhancing international cooperation

in the field of public administration, including South-

South and interregional cooperation. Furthermore, in

its resolution 60/34, the UN General Assembly agreed

that the United Nations should promote innovation in

government and public administration and stressed

the importance of making more effective use of United

Nations Public Service Day and the United Nations Pub-

lic Service Awards in the process of revitalizing public

administration by building a culture of innovation, part-

nership and responsiveness. In its resolution 2005/55,

the UN Economic and Social Council further recognized

that all Member States, particularly those from the de-

veloping countries, can greatly benefit from peer learn-

ing and the sharing of experiences about innovation

and initiatives in the public sector.

Accordingly, UNDESA is dedicated to promoting the ex-

change of ideas and experiences of innovations in gov-

ernance and public administration in order to contrib-

ute to social and economic development. In this

respect, it provides support to Members States in iden-

tifying innovations in public administration; document-

ing and sharing knowledge on; as well as assessing

their potential for transfer and adaptation. Finally, it

aims to facilitate the process of transfer and adaptation

of innovations in governance from one context to an-

other (i.e., local to national and vice-versa or from one

country to another one).

2. Purpose of the Manual

This Manual has been developed within the framework of

the Programme for Innovation in Public Administration in

the Mediterranean Region – InnovMed, which is imple-

mented by UNDESA and made possible thanks to the

generous support of the Government of Italy through

funds-in-trust to the United Nations. The main objective

of the InnovMed Programme is to contribute to the im-

provement of governance systems in Northern Africa, the

Middle East and Western Balkans by sharing information

on good practices and by supporting the transfer and ad-

aptation of innovations. In particular, the InnovMed Pro-

gramme aims at reinforcing the capacity of national gov-

ernments, in the areas of public institutions, human

resources, technological adequacy and financial man-

agement, to better cope with emerging national, regional

and international challenges, as well as to respond more

effectively to citizens’ demands and needs.

This Manual provides a road map for governments or

public organizations that are interested in adapting in-

novations in public administration that have succeeded

in other countries/cities to their own administrative

systems. To support the process of adaptation, this

guide provides conceptual and practical tools for the

transfer of innovations in public administration.

Governments that adapt a successful practice from an-

other country can benefit in a relatively short time from

the achievements of others and increase the quality of

their public administration while Governments that

wish to provide support in adapting their own locally

grown successful initiative can gain greater prestige

and recognition of excellence in the public service;

contribute to improving the quality of life of citizens

worldwide and learn important lessons from the pro-

cess of adaptation in order to improve even further

their own initiative.

Successful practices and innovations can be effective-

ly transferred and there is evidence that it can be

done. The process of adapting an innovation presents,

however, a number of challenges. Knowing what to do

is one thing, knowing how to do it is a challenge in its

own right. To facilitate the replication of a good prac-

tice, it is essential that governments interested in

adapting innovations in governance be guided by a

set of tools and steps that can assist them in putting

into practice the acquired knowledge about a suc-

cessful initiative.


Introduction

3. Methodological Approach and Structure

Sharing successful practices is relevant not so much in

the sense that countries can transfer an existing model

from another country into their own administrative sys-

tem, but rather that they can adapt elements of suc-

cessful practices from other contexts to their internal

circumstances, and most importantly that this process

can serve as an incentive to jump-start other similar ini-

tiatives. In replicating good practices there are three

major concerns. First, whether the good practice select-

ed for replication is indeed “good”. Second, whether it

is transferable. Third, whether the country that intends

to adapt the innovation has the capacity to do so. The

transfer of an innovation therefore implies two main di-

mensions: one is knowledge management and the sec-

ond one is organizational change through capacity-

building. In this Manual, we will focus on the transfer

per se assuming that the practice is “good” and that it is

transferable. We will, however, focus on whether the

government that wishes to replicate an innovation has

the capacity to do so and what are the necessary steps

to assess that.

Of all the different methodological approaches to trans-

fer innovations, we have chosen to focus on the peer-

to-peer transfers since there are good examples of suc-

cess in the world*. Sharing information on innovations

*SeeUNPublicationonInnovationsinGovernanceandPublicAdministration:ReplicatingWhatWorks”,2006

in governance through forums, meetings, award pro-

grammes can be a first step in stimulating a process of

adaptation. Study tours can also be very useful in this

sense. Yet, these approaches alone will not guarantee

that an innovation is replicated and adapted. The adap-

tation of an innovation can occur with a greater margin

of success if there is a well-structured process based on

a strong, but flexible methodological approach. It is im-

portant to highlight that the replication of an innova-

tion through a peer-to-peer transfer requires serious

commitment and dedication for a specific amount of

time from both the recipient and origin public organiza-

tion. The replication of an innovation is an innovation in

itself and therefore calls for creativity and willingness to

change on the part of the recipient public organization.

The Manual is divided into two parts. The first part pro-

vides some basic conceptual tools regarding the na-

ture and scope of a transfer of innovation. The second

part offers instead a more practical guide on what nec-

essary steps each main actor involved in the process of

a peer-to-peer transfer (i.e., the facilitator; the recipient

public organization and the origin public organization)

should take.

4. Potential Users

This Manual is intended for policy-makers and practi-

tioners, civil society organizations, as well as scholars

and researchers who are interested in the concrete

transfer of innovations in governance. The tools offered

in this Manual are flexible enough so that those in-

volved in the transfer process can use it to shape the

transfer process as they most see fit.


This Manual was prepared by the United Nations’ Division

for Public Administration and Development Management,

Department of Economic and Social Affairs (DPADM)un-

der the guidance of its Director, Mr. Guido Bertucci.

Adriana Alberti, who was responsible for the Pro-

gramme for Innovation in Public Administration in the

Mediterranean Region, is the author and editor of this

Manual. This publication was designed by Eliot Sela, a

design director consultant. Administrative support was

provided by Mary-Elizabeth Danseco.

In the spirit of not re-inventing the wheel, but capitalizing

on existing knowledge, this Manual has been greatly in-

spired by the work of other organizations engaged in

sharing and adapting good practices and innovations in

public administration, including City-Net, Regional Net-

work of Local Authorities for the Management of Human

Settlements; United Nations Development Programme

(UNDP); UN-Habitat Good Practices and Local Leadership

Programme (BLP); Galing Pook Foundation, Philippines;

as well as the Fundación Hábitat Colombia. Particular

thanks go to Wandia Seaforth and Vincent Kitio who work

at UN-Habitat in Nairobi, Kenya and have contributed,

through discussions and presentations made at UNDESA

meetings, valuable ideas and inputs into this Manual. We

would like to gratefully acknowledge Lucelena Betancur

from Fundación Hábitat Colombia for coordinating the

translation of relevant documentation produced by the

same organization on the transfer of good practices in

governance and the indicators for transferability.

We also wish to thank Dato’ Lakhbir Singh Chahl of

CityNet, Regional Network of Local Authorities for the

Management of Human Settlements, as well as Nicolas

You from UN-Habitat, Austere Panadero from Galing

Pook Foundation, and Monika Jaeckel from the Nest

Foundation in The Netherlands for sharing their knowl-

edge and insights during various UNDESA meetings

and forums on innovations in governance. Special

thanks also go to Usama Shawan of Bethlehem Univer-

sity for having prepared the “Innovation Viability Index”,

which is included in this Guide as one of the Annexes.

Finally, special thanks go to Jorrit de Jong for develop-

ing a simulation game on the transfer of innovations as

a training tool for those public organizations that are

directly involved in a transfer and adaptation of a good

practice. The simulation game on the transfer of inno-

vations (which is not included in this guide, but compli-

mentary to it) is a valuable tool that can help public

managers “experience” the transfer of an innovation

before engaging in one

Acknowledgement


Part OneTransfer of Innovations in Governance: Conceptual Tools


What is an Innovation in Public Administration?

Innovation may be understood as a creative idea and its

implementation which is different from invention. It can

be referred to as the act of conceiving and implementing

a new way of achieving a result and/or performing work.

An innovation may involve the incorporation of new ele-

ments, a new combination of existing elements or a sig-

nificant change or departure from the traditional way of

doing things. It refers to new products, new policies and

programs, new approaches, and new processes.

Thus, an innovation in public administration is an effec-

tive, creative and unique answer to new problems or a

new answer to old problems. Furthermore, an innova-

tion is not a closed and complete solution, but an open

solution, transformed by those who adopt it*. Hereafter

are criteria that define an innovation according to inter-

nationally recognized Awards Programmes.

*Source:InnovationsinGovernanceandPublicAdministration:replicatingWhatWorks,UnitedNations,2007.

Table1: Criteria that Define an Innovation

Innovation in American Government Awards Program Harvard University

Impumelelo Innovations Awards Trust South Africa

Novelty: a leap of creativity Innovativeness

Effectiveness: tangible results Government Involvement

Significance: addresses a problem of public concern Effectiveness

Transferability: replicability and scalability Poverty Impact

Sustainability

Replicability

www.innovations.harvard.edu www.impumelelo.org.za

1. Definitions


1. Definitions

What is a Good Practice?

Innovations in governance are not the same as good

practices. A good practice can be defined as a success-

ful government initiative that has consolidated itself

over time whereas an innovation is a new practice. The

main difference, therefore, lies in the time frame. An in-

novation can become a good practice if it is sustainable

and produces long-term results.

Good practices are outstanding contributions to im-

proving the quality of life of citizens. They are defined

by the United Nations as successful initiatives which:

■ Have a demonstrable and tangible impact on im-

proving people’s quality of life;

■ Are the result of effective partnerships between the

public, private and civic sectors of society; and

■ Are socially, culturally, economically and environ-

mentally sustainable.

What are the Different Types of Innovation

in Public Administration?

■ Institutional innovations, which focus on the re-

newal of established institutions and/or the estab-

lishment of new institutions;

■ Organizational innovation, including the introduc-

tion of new working procedures or management

techniques in public administration;

■ Process innovation, which focuses on the improve-

ment of the quality of public service delivery; and

■ Conceptual innovation, which focuses on the intro-

duction of new forms of governance (interactive

policy-making, engaged governance, people’s bud-

get reforms, horizontal networks, etc.).

What is the “Transfer” and Adaptation

of an Innovation in Public Administration?

The “transfer” of an innovation in governance and pub-

lic administration is a structured process of learning

whereby one party learns from another party about a

practice that has proven to be an effective solution to a

problem of public concern. It is essentially an adapta-

tion of an innovation to new circumstances, thus an in-

novation in itself. Transfers can occur within a country

or between countries.

Graphic1: Innovation Transfer and Replication

Innovation Transfer

Replication


What Types of Transfers are Possible?

In assessing the feasibility of a transfer, it is important

to recognize the different types of transfers, which typi-

cally fall into three main categories:

■ Technical: the transfer of skills and

technology applications/processes;

■ Informational: the transfer and ex-

change of ideas and solutions; and

■ Managerial: a system or series of

decision-making and resource allo-

cation processes that can be trans-

ferred and adapted (CityNet, UNDP

and UNCHS, 1998*).

*GuideforEffectivelyTransferringBestPractices.APracticalManualforSouth-SouthCooperation,CityNet,RegionalNetworkofLocalAuthoritiesfortheManagementofHumanSettlements,UNDPSpecialUnitforTechnicalCooperationamongDevelopingCountries,andUNCHS(Habitat),1998

2. Types of Transfers


RECIPIENT INSTITUTION

Why is the “Transfer” of an Innovation Valuable?

Public organizations that adapt innovative practices

can reduce the time and effort it takes to conceptualize

and implement solutions to difficult governance chal-

lenges. Using approaches already tested by others may

have the following positive advantages:

■ Ample Choice of Solutions: It offers a chance to

choose from a number of possible innovative solu-

tions the most suitable one to internal cultural, orga-

nizational and administrative circumstances;

■ Cost Effective: It is a cost effective way of improving

governance and service delivery. It reduces the time

and cost of conceptualizing an innovative solution

and implementing it since others have developed an

innovative idea that has proven to work and errors

can be reduced by learning from those who imple-

mented the solution in the first place;

■ Improve the Services and Image of the Public Sector: If successful, it can improve the image and

services of the public sector;

■ Promote Policy Reform: The transfer of a good

practice provides a unique opportunity for policy

change and reform. The transfer process not only

constitutes a legitimate reason to engage in broad-

based consultations and dialogue with the origin

community, but also a chance to look at how others

have introduced participatory planning and deci-

sion-making processes and passed new legislation,

codes or by-laws;

■ Enhance Transparency and Accountability: A good

practice transfer involving multiple stakeholders and

actors in all stages of design and implementation

can help introduce new levels of citizen involvement

and help ensure transparency and accountability;

■ Empower the Local Community: Transfers also

provide an opportunity to empower local communi-

ties by recognizing and acknowledging their poten-

tial and real contribution to bettering their own liv-

ing environment;

■ Create a Snowball Effect: Although innovations are

limited governance interventions or micro-level ini-

tiatives, they can produce a domino effect in that a

successful innovation in one sector can open the

door to innovations in other areas. Each innovation

can create the opportunity for a series of innovations

leading to a favorable environment for positive

change. Innovations can lead to building a new block

of an institution, and change the relationship be-

tween levels of government and within government

departments. Thus, although an innovation per se is

a small process, it can trigger a bigger process of

transformation of the State; and

■ It can Strengthen Trust in Government: It can help

governments strengthen people’s trust in the effec-

tiveness of government.

3. Rationale


3. Rationale

ORIGIN INSTITUTION TRANSFER FACILITATOR

Without sharing, innovations and good practices will

remain islands of excellence in a sea of “business as

usual.” Yet, it is also important to know that transfer

and peer-to-peer learning are not a panacea, but a pro-

cess requiring time, commitment and an open partici-

patory system that allows for different opinions and

voices to be heard. Although the benefits to the de-

mand-side may seem obvious, the origin public organi-

zation stands to benefit as well, through developing its

capacity as a learning organization, or one that continu-

ally improves awareness of its own strengths, weak-

nesses, and challenges. A public organization can

greatly benefit from sharing its innovative experience

with other countries and help to adapt it for the follow-

ing reasons:

■ It Enhances International Prestige: It can bolster

the national and international prestige and recogni-

tion of the particular public organization and its

country. The origin public organization is recognized

for good governance;

■ It is a Learning Opportunity: It provides a learning

opportunity for the public organization that assists

another public organization transfer its innovative

practice since it can re-assess the process and in im-

plementing new initiatives avoid unnecessary steps;

■ It can Enhance the National Business Environ-ment: Prestige and reputation can enhance the ori-

gin public organization’s national business invest-

ment; and

■ It can Increase Trust in Government: It builds con-

fidence in the capacity of the origin public organiza-

tion to initiate and transfer successful initiatives and

increases the potential of receiving funding for new

innovative projects.

The Facilitator benefits from providing support in easing

the adaptation of an innovation for a number of reasons:

■ It gains deeper knowledge and understanding of selected innovations that can be shared with a wider

number of national and local government institution;

■ By documenting both the innovation and the transfer process, it can disseminate this knowl-edge to other interested institutions;

■ It can distill lessons learned on knowledge man-agement and organizational change that can also

be shared with a larger audience; and

■ It can gain practical tips on how to continuously improve the process of knowledge sharing and transfer.


How is an Innovation Transferred to the Local Context?

There are two similar organizations from different levels

of government within a country or from two different

countries. Organization X (Origin Institution) has inno-

vated, Organization Y (Recipient Institution) plans to do

so. The first strategic challenge for both parties is to ex-

change the right information in order to make an esti-

mation of the appropriateness of the innovation for the

recipient institution. The second strategic challenge is

to introduce and adapt the innovation. The transfer and

adaptation of an innovation involves three main steps:

4.1 Acknowledgement of a problem and identification of a suitable solution

4.2 Knowledge transfer

4.3 Organizational change

4. Transfer Process 4.1 Acknowledgement of a Problem and Identification of a Suitable Solution

The transfer process begins by matching DEMAND with SUPPLY. This may happen through an intermedi-

ary who is knowledgeable about successful practices

and who may be involved in their documentation and/

or dissemination.

The following approaches and methodologies for the dis-

semination and transfer of good practices may be used:

The following approaches and methodologies for the dis-

semination and transfer of good practices may be used:

■ Information sharing through forums, workshops,

publications, websites, and papers documenting

innovations;

■ Networks (see Box 1);

■ Capacity-building/knowledge-based training;

■ Databases and other portals on the Internet;

■ Study Tours;

■ Hiring experts;

■ Awards and recognition systems (see Box 2); and

■ Practitioner-to-practitioner (peer-to-peer) transfers

(see Boxes 3 and 4).

Graphic2: The Setting of a Transfer

ORIGINCOUNTRY

RECIPIENTCOUNTRY

ORIGININSTITUTION

RECIPIENTINSTITUTION


4. Transfer Process

Initial Situation of a Transfer of Process

As mentioned earlier, there are two similar organiza-

tions from different levels of government or from two

different cities/countries. Organization X has innovat-

ed; Organization Y plans to do so (see Figure 1). The first

strategic challenge for both parties is to exchange the

right information in order to make an estimation of the

appropriateness of the innovation for the recipient

country. The second strategic challenge is to introduce

the innovation in Organization Y.

4.2 Knowledge Management

Once a city/country has identified a suitable innovation

that it wishes to adapt to its own context, it needs to

learn from the origin public organization about the

practice to be replicated. Knowledge transfer implies

transferring ideas, as well as know-how, skills and les-

sons learned in the implementation process of an in-

novation. Knowledge management depends heavily on

the ability of both parties to recognize and communi-

cate knowledge. For example, when it comes to recog-

nition, the idea behind a specific innovation is more

important than the innovation itself. The originating or-

ganization has to articulate knowledge, while the re-

cipient organization has to explain and use knowledge

of a good practice, often in a modified or adapted form.

Figure1: Initial Situation

Organisation X Organisation Y

Figure2: Knowledge Management


KnowledgeManagement


4. Transfer Process

4.3 Organizational Change*

Transfer City (Organization Y) has concluded that there

is a big chance that the innovation of Origin City (Orga-

nization X) is the answer to their perceived problems.

The next step in examining the feasibility is to take a

closer look at the internal organization. Transfer City

may be confronted with scepticism about the innova-

tion. Although the innovation is technically easy to un-

derstand, ‘Not invented here’ is a frequently heard ob-

jection. Different interests, uncertainty and ignorance

of organizational members may prevent progress.

Challenged with the assignment to overcome resis-

tance and to create a critical mass of support, Transfer

City needs to develop a successful strategy for the

transfer of the innovation. Origin City, equipped with

experience, advises Transfer City in their assignment to

create a positive climate for the possible implementa-

tion of the innovation. When involved correctly Origin

City can be a valuable source for diminishing uncer-

tainty and ignorance. But of course the complexity is

difficult to envision.

*Source:“TrickyTransfer”,SimulationgameforthetransferofinnovationsingovernancedevelopedbyJorritDeJongandothers.

Figure3: Organizational Change

Organisation Y

Organisation Y

Org

aniz

atio

nal

Ch

ange


4. Transfer Process

Organizational change starts with strong leadership,

a clear vision and an organizational culture support-

ive of innovation. The chances that change occurs in-

crease if leaders communicate about the need for

change within the organization, as well as with other

stakeholders. The latter has to be managed carefully

resulting in a sense of direction. Social capital is vital

to the creation, implementation and dissemination of

innovation. The focus will be on dealing with resist-

ance to change and building alliances to support the

adaptation of the practice.

Factors that hinder innovation are for example adminis-

trative formalism, a change in a law or adoption of a

practice without reference to contextual variables and

structural/institutional barriers that inhibit the imple-

mentation of an innovation. The natural tendency of

people to reject a practice ‘that is not invented here’

doesn’t facilitate the innovation process either.

Figure4: The Replication Process – The Whole Picture

Organisation X

Organisation X

Organisation Y

Org

aniz

atio

nal

Ch

ange

KnowledgeManagement


4. Transfer Process

Examples1: Public Administration Networks for the Dissemination of Information on Good Practices

The United Nations Network on Public Administration (UNPAN)

UNPAN is designed to help countries, especially devel-

oping countries and countries in economic transition,

to respond to the challenges that governments face in

bridging the digital divide between the ‘haves and

have-nots’ and to achieve their development goals. The

immediate objective of UNPAN is to establish an inter-

net-based network that links regional and national in-

stitutions devoted to public administration, thereby fa-

cilitating information exchange, experience sharing,

and training in the area of public sector policy and man-

agement. The long-term objective of UNPAN is to build

the capacity of these regional and national institutions,

so that they can access, process and disseminate rele-

vant information by means of up-to-date information

and communication technologies (ICTs) for the promo-

tion of better public administration.

www.unpan.org

Network of Innovators in Governance in the Mediterranean Region

The Network of Innovators is a tool at the service of

governments that are looking for new and fresh solu-

tions to governance challenges and it aims at strength-

ening collaboration among public administration sys-

tems, academic, a and schools of public administration

in the region. It was established by the Programme for

Innovation in Public Administration in the Mediterra-

nean Region coordinated by the Division for Public Ad-

ministration and Development Management of the

United Nations Department of Economic and Social Af-

fairs (UNDESA).

www.unpan.org/innovmed

Government Innovators Network

This portal, produced by The Ash Institute for Demo-

cratic Governance and Innovation at Harvard’s John F.

Kennedy School of Government, is a marketplace of

ideas and examples of government innovation.

www.innovations.harvard.edu

Good Practices and Innovations in Public GovernanceUnited Nations Public Service Awards Winners and Finalists, 2003-2009


4. Transfer Process

Examples2: Award Programmes to Recognize Excellence in the Public Sector

The United Nations Public Service Awards (UNPSA)

UNPSA is the most prestigious international recogni-

tion of excellence in public service. It rewards the cre-

ative achievement and contributions of public service

institutions that lead to more effective and responsive

public administration in countries worldwide. Through

an annual competition, the UN Public Service Awards

promotes the role, professionalism and visibility of

public service. It also helps disseminate information

about successful practices from around the world. In-

formation about the successful practices that won the

Awards in the past 5 years can be found on the Pro-

gramme’s website.

www.unpan.org/dpepa_psaward.asp

The Dubai International Awards for Best Practices to Improve the Living Environment

The Dubai International Awards for Best Practices to Im-

prove the Living Environment was established during

the United Nations International Conference that con-

vened in Dubai in 1995.

As a result of six successive Award cycles in 1996, 1998,

2000, 2002, 2004 and 2006 currently there are over

2,700 Good and Best Practices from 140 countries fea-

tured on the Best Practices database. At each cycle, an in-

dependent committee of technical experts (Technical Ad-

visory Committee) identifies Good and Best Practices and

prepares a shortlist. An International Jury selects the award

winners from the shortlist. Starting in 2006, the Dubai In-

ternational Award consists of 12 Awards, the traditional 10

for Best Practices and 2 for Best Practices Transfers.

www.dubaiaward.ae

www.bestpractices.org

Latin-American and Caribbean Competition for the Transfer of Best Practices

The Competition, organized by the Habitat Foundation

of Colombia, the Ibero-American and Caribbean Forum

on Best Practices (The Forum), and, for 2005, Medellín

City Hall, promotes the effective transfer of Best Prac-

tices for the improvement of living conditions in urban

areas of the Latin-American and Caribbean Region. This

competition is linked with the international agenda on

Best Practices and with the Best Practices and Local

Leadership Program (BLP) of UN-HABITAT.

www.buenaspracticas.org/competition.htm


4. Transfer Process

What is a Peer-to-Peer Transfer?

There is an increasing focus on practitioner to practi-tioner transfers (peer-to-peer) because they promote

technical cooperation; better match supply and de-

mand for expertise and experience; and are not just

donor-to-recipient exchanges. They are characterized

by the following elements:

■ Exchange of knowledge, know-how, expertise and

experience between people and organizations with

similar roles and responsibilities, facing similar is-

sues and problems.

■ Decentralized cooperation that implies a demand-

driven process in which one party is willing to learn

and the other party is willing to share the lessons

derived from its own experience as well as to learn

from the process of adaptation. People who have

taken risks and conducted successful innovations

are proud of what they have achieved and are usu-

ally eager to share their knowledge.

Peer-to-Peer Learning Process

Peer-to-peer transfers may include the following

elements:

■ Establishment of regional and national networks

of innovators;

■ Documentation and dissemination of

effective practices;

■ Planning of international/national workshops;

■ Initiation of dialogue between cities and/

or transfer government;

■ Training activities;

■ Organization of study tours;

■ Cross-city/government consultation and

technical assistance; and

■ Initiation of transfers and adaptations of effective

practices between and within cities/governments.

Figure5: Learning Processes

ORIGININSTITUTION


Source of Good Practice Learns from Origin Public Organization’s Good Practice

LearningProcess


4. Transfer Process

Examples3: Organizations Facilitating Peer-to-Peer Transfers

CITYNET City-to-City Transfer of Best Practices

The Regional NETWORK of Local Authorities for the Management of Human Settlements

CITYNET, which is a Network of Local Authorities for the

Management of Human Settlements in Asia and the Pa-

cific, encourages peer-to-peer transfer by city-to-city

cooperation, that is, best practice transfers at the local

level. While previous transfers were characterized large-

ly by one-way transfers from donors to recipients, the

importance of peer-to-peer transfers is now increasing-

ly recognized. Some of the most effective transfers have

taken place between entities that are socially and eco-

nomically similar. Being socially and economically simi-

lar, they also face similar problems – meaning they are

able to form a common basis to develop cooperative

solutions. Hence, with peer-to-peer transfers, there is a

greater ability to match supply and demand for exper-

tise and experience, as well as a greater opportunity for

all the stakeholders to learn and improve.

CITYNET has helped foster progress toward peer-to-peer

transfer by connecting cities to each other, and develop-

ing the concept of city-to-city cooperation. City-to-city

cooperation focuses on a decentralized form of cooper-

ation, by developing partnerships between stakehold-

ers on the city and local levels.

An innovative part of CITYNET’s activities is its TCDC

(Technical Cooperation among Cities of Developing

Countries) Programme. Within this framework, CITYNET

enables technical exchanges between cities and NGOs

on urban issues. Members learn from each other’s suc-

cesses and failures and are able to fine-tune their own

urban development initiatives.

The unique feature of this activity is that it promotes

exchanges between local governments and NGOs,

which have deep knowledge and expertise in their own

focus area. These exchanges are facilitated by the

CITYNET Secretariat on request from members, and

therefore, have a high element of relevance to the con-

cerned cities/NGOs. Over the years, the TCDC Pro-

gramme has evolved into a flagship activity for CITYNET.

www.citynet-ap.org

Galing Pook Foundation, The Philippines

For the last decade, Galing Pook has put together a har-

vest of best and innovative practices through its awards

program. These practices have proven to be effective,

efficient and have greatly improved local systems, man-

agement and service delivery.

Every year since its inception, Galing Pook has evolved

into a coveted local governance award, with a roster of

215 local governance programs showcasing best prac-

tices as proofs that devolution works in the country de-

spite the challenges that go with the process.

Aside from the recognition of these exemplary pro-

grams, Galing Pook Foundation assists in building the

capacities of local government units by disseminating,

popularizing and replicating these practices. To accom-

plish this, the Foundation provides the venue in the

form of learning and replication circles that will serve as

a means for policy discussion, model building and

cross fertilization of lessons among Local Governments.

www.galingpook.org


How to Successfully Manage a Transfer Project?

In deciding whether and how to transfer and adapt an

innovation from another level of government or from an-

other city/country, public managers need to ask three

basic questions by applying the “strategic triangle”, de-

veloped by Mark Moore, to transfer management*:

5.1 Is the transfer of the selected practice publicly valuable?

5.2 Will it be politically and legally supported?

5.3 Is it administratively and operationally feasible?

*Source:MarkH.Moore,CreatingPublicValue.StrategicManagementinGovernment,HarvradUniversityPress,1995

5. Strategy Figure6: Innovation Transfer Chart

ORIGININSTITUTION


TRANSFERFACILITATOR

A Transfer Facilitator is a third-party organization,

such as an international or regional institution, that

serves as a facilitator in transferring knowledge

between Origin Institution and Recipient Institution.

An Origin Institution is a

national or local government

institution where an innovation

has been developed and success-

fully implemented.

A Recipient Institution is a national

or local government institution

seeking to adapt from another

public institution a successfully

implemented innovation.

Figure7: Mark Moore’s strategic triangle

Public Value

Authorizing Environment

Operational Capacity


Who Initiates the Transfer of an Innovation?

■ Originator as champion

■ Recipient as initiator

■ Third party as champion and intermediary

■ Combinations of the above

Who are the Main Actors?

■ Origin Government/local government/civil society organizations: The government or public organiza-

tion whose good practice has been selected for repli-

cation and will participate in the replication process.

■ Recipient Government/public organization: The

government unit replicating the identified good

practice.

■ Intermediary: An intermediary agency may be in-

volved to facilitate collaboration between recipient

and origin government, and provide support in de-

veloping a transfer plan.

Who are the Other Potential Actors?

■ Various government agencies: National, state and

local officials representing relevant agencies, de-

partments or divisions other than the recipient pub-

lic organization;

■ City officials: Elected and appointed officials, e.g.,

city councilors or mayor;

■ Non-governmental and community-based organi-zations: Neighborhood associations, local interest

coalitions, etc.;

■ Private sector: Local businesses and industry, par-

ticularly those directly affected by the issues relating

to the transfer;

■ Professional and civic organizations: Professional

associations that play a significant role in the com-

munity;

■ Media: Local, national and international media

should be included to help raise awareness and po-

litical support and provide visibility;

■ Academic/research organizations: Academic and

research organizations can offer valuable insight

and input into development projects and initiatives,

including a mediation and/or monitoring and evalu-

ation role;

■ Foundations: Local, national and international foun-

dations are increasingly interested in providing sup-

port to local development initiatives and projects

and many of them also have inputs to provide on

various aspects of project design and implementa-

tion; and

■ Multilateral and bilateral support programmes: These represent a traditional source of funding sup-

port, but are increasingly involved in networking and

facilitating access to information, technical and man-

agerial know-how, and expertise and information.

6. Actors


Table2: Checklist for Actors Involved in the Transfer Process

Participation Does the transfer involve and/or promote participation of all possible stakeholders? Are institutions and people available to facilitate learning? Will small successes be celebrated to encourage people and to sustain their commitment?

Transparency Is the transfer process open and accessible to all stakeholders? Which tools and guidelines can be used or developed for the host and recipient country to facilitate learning and the exchange of ideas?

Accountability Are mechanisms in place to ensure accountability for actions and responsibilities of all partners involved?

Inclusion Is the participation of all potential stakeholders considered in the transfer’s design? What are considerations about the cultural, local context?

Financial feasibility

Are resources and/or funding available to realize and sustain the initiative? Are funding alternatives identified?

Sustainability Does the initiative consider economic, environmental and social needs without trading off one at the great expense of the other, now or in the future? Are monitoring and evaluation integrated into programme implementation for undertaking similar programmes in the future?

6. Actors


6. Actors

Table3: Suggested Actors and Possible Functions of Key Roles In a Transfer Process

Steps/Actions

Political Support

Financial Support

Technical Support

Admin./Mgt. Support

Facilitator/ Intermediary

GovernmentX X X

City OfficialsX X X X

NGOs/Community-Based Organizations

X X X

Private SectorX X X

Professional Associations

X X X X

MediaX X X

Academic/Research Organizations

X X X

FoundationsX X X

Multi- and Bi-lateral Support Programmes

X X X X X

Source:CityNet,UNDPandUNCHS,1998



Pre-Adaptation Phase:

■ Demand/ willingness to adapt an innovation to

its own context

■ Identify good practices with the potential

of transferability

■ Analyze the viability of the transfer

■ Build a working team

■ Negotiate a partnership agreement for a transfer

with the origin public organization

■ Select a methodology, design a transfer work plan,

and secure necessary resources

Replication Phase:

■ Implement the transfer/adaptation

■ Monitor and Evaluate the transfer

■ Draw lessons learned

ORIGIN INSTITUTION

Pre-Adaptation Phase:

■ Documenting the innovative practice

■ Negotiate a partnership agreement for a transfer

with the origin public organization

■ Building a working team of the origin public

organization to support the transfer process

■ Selection of methodology with recipient

Replication Phase:

Support to the recipient organization during the imple-

mentation phase through the following options:

■ Additional visits of experts to where the innovation

is being adapted;

■ Periodical visits of experts during key stages of the

process of adaptation

■ Visits of the recipient public organization to the

origin public organization

■ Exchange of valuable documentation, including

policy documents, reports, legal texts, etc.

■ Evaluation of transfer together with recipient public

organization and drawing lessons learned.

TRANSFER FACILITATOR

Pre-Adaptation phase

Act as a catalyst in matching demand and supply of in-

novations in governance by:

■ Disseminating effective practices through interna-

tional workshops, meetings, forums, websites,

databases, etc.;

■ Documenting effective practices with the help of

the government that initiated the practice;

■ Establish regional and national networks of innova-

tors to share ideas and exchange information, as

well as lessons learned about innovative practices;

■ Initiate dialogue between governments/public

organizations interested in the replication process.

Replication phase

■ Act as a broker in helping the recipient and origin

public organization define the scope of the transfer

process by organizing a pre-adoptation workshop

and facilitating study tours/field visits;

■ Act as a facilitator in the actual implementation of

the transfer, if needed;

■ Act as an evaluator of the transfer.

7. Roles and Responsibilities


7. Roles and responsibilities

Characteristics of the Facilitator

■ Independent: The intermediary should have no

personal interest in the transfer process nor should

it show any bias to any particular government/pub-

lic organization;

■ Knowledgeable: The facilitator should have knowl-

edge of the potential good practices to be replicat-

ed, as well as of the replication process per se;

■ Effective Planner: The facilitator should be able to pro-

vide guidance in structuring the process of replication;

■ Flexible: The facilitator should be flexible enough to

be able to adapt to the requests and needs of both

parties involved in the transfer.

The process begins by matching supply with demand

by documenting and exchanging successful solutions.

This can be done with the help of an intermediary. The

four-step process and the proposed roles of the inter-

mediary are detailed in Table 2.

The first step involves matching demand with supply,

where the intermediary plays the role of a catalyst. The

second step defines the scope of the transfer, with the

intermediary acting as a broker between the two par-

ties. The third step refers to the adaptation of the inno-

vation to local conditions. Here the intermediary’s role

is that of a facilitator. The final step covers the actual

implementation of the transfer and its evaluation. Here

the intermediary is an evaluator. Awareness-building

and media involvement are included throughout the

four-step process, along with monitoring and evalua-

tion. A checklist for actors involved in the transfer pro-

cess in Annex 2.


7. Roles and responsibilities

Table4: Role of the Intermediary in the Four Principal Steps for Effective Transfers

Steps/ Actions

Match demand with supply

Define scope

Adapt

Implementation and evaluation

Government X X X

City Officials X X X X

NGOs/Community- Based Organizations

X X X

Private Sector X X X

Professional Associations

X X X

Media X

Academic/ Research Organizations

X X

Foundations X X

Multi- and Bi-lateral Support Programmes

X X X X



What Determines a Successful Adaptation Process?

Even more than the good practice itself, the factors af-

fecting the replication process must be given careful

attention to make the intervention work. Based on the

experience of programmes that have been facilitating

the transfer of good practices, such as Gawad Galing

Pook or Fundación Hábitat Colombia, there a number of

key factors that should be taken into consideration.

According to Galing Pook, the Origin public organiza-tion (source of the good practice) must do the following:

■ Document the good practice. The good practice

that is being promoted must be documented in a

way that will facilitate learning and sharing with oth-

er organizations;

■ Have enterprising and innovative people to spear-head the transfer of learning. The Origin public or-

ganization needs people with the ability to contrib-

ute/articulate their experience; and

■ Willingness and commitment. The Origin public

organization must see the value of the replication

processes to its own development in order to gener-

ate the necessary commitment to it.

The Recipient public organization (replicator of the

good practice) must exhibit the following:

■ Presence of expressed need. Replication must be

an expressed demand of a specific government

agency. Recipient public organization should clearly

and strongly identify the need to replicate a particu-

lar practice; further, they must see this practice as a

solution to a problem or situation they are seeking

to resolve. When governments have a real and rec-

ognized need to replicate a particular project, the

Recipient public organization is more likely to show

sustained commitment and active participation and,

consequently, is more likely to succeed. Poorly se-

lected Recipient countries can lead to early dropouts

or lackluster participation;

■ Political will and commitment of the stakeholder or replicator. As noted above, the recipient public

organization’s commitment to the replication pro-

cess is crucial. This was a recurring lesson throughout

one of the programmes of Galing Pook. The lack of

sustained support from the mayor or chief executive

and the local legislative body can spell failure for a

replication project. An indication of real commitment

is the willingness to provide resources to support the

programme and its personnel. Equally important is

openness to change and new ideas. Recipient coun-

tries must be willing to provide counterparts and

share resources, such as budget and human resourc-

es that may be needed in the replication process;

■ Need for champions and advocates. In addition to

the resources described above, there must be

a champion or sponsor of the replication process

within the recipient public organization. This be-

comes very important during the implementation

phase, when resistance among the affected people

is expected to occur. Ideally, the local chief executive

plays the role of the sponsor. Having a champion or

advocate also facilitates the mobilization of addi-

tional resources if necessary;

■ Creation of a multi-sectoral implementation struc-ture and team. The Recipient public organization must

identify a core project team to oversee and monitor the

replication process. Support of other stakeholders in

the process is also important, as this strengthens the

sustainability of the replication process; these stake-

holders could include society at large, business, church,

NGOs and citizen’s organizations; and

■ Issuance of policy instruments. Experience shows

that the right policy environment is among the im-

peratives for innovation and creativity. It is therefore

necessary for a replication process to be supported

by policy directives, such as an executive order, ordi-

nance, etc., to make the effort more binding and last-

ing. The recipient organization should also:

– Review its policy context, if needed; and

– Address gaps and conflicts/contradictions in ex-

ecutive orders, etc.

8. Lessons Learned


8. Lessons Learned

It is also possible to have a simple transfer that

leads to policy reforms, harmonization and coor-

dination necessary for scaling up.

■ Availability of institutions and people to facilitate learning. Replication is a learning process that can be

maximized only if necessary elements and opportuni-

ties are provided, such as a learning facilitator. This

facilitator could come from the exchanging govern-

ments or a third party, such as an outside institution.

■ Tools and guidelines. Origin and Recipient public

organization develop or use tools that can be em-

ployed by both recipient and origin countries to fa-

cilitate learning and the exchange of ideas.

■ Adaptation rather than adoption. Tools and pro-

cesses to be used in a replication process must en-

courage adaptation, not adoption, of the exemplary

practice. Further, the replication must involve not

only the transfer of the solutions or models but also

the transfer of the processes.

■ Integration of monitoring and evaluation into pro-gramme implementation. Because a replication

programme is an innovation, monitoring and record-

ing one’s own experience as well as the experience of

replicating institutions helps an organization build its

capacity for undertaking similar programmes in the

future. It also contributes to the larger goal of dis-

seminating good governance practices and building

effective programmes for replicating these practices.

■ Cultural considerations. Local cultures are charac-

terized by considerable diversity of political and in-

stitutional arrangements, cultural conditions, social

and economic conditions, local capacities and so

on. Thus, tools and processes are more effective

when adapted to the local context. In fact, the op-

portunity to use the Recipient public organization

existing or indigenous practices in the replication

process will facilitate its implementation.

■ Celebrate small successes. It is important to cel-

ebrate incremental successes in a replication pro-

cess to encourage the replicators, sustain their

commitment and encourage leadership participa-

tion in the programme.

General Lessons Observed from Effective and Innovative Transfers

■ Don’t reinvent the wheel

■ Implement simple and organized methodologies to

replicate existing good practices

■ Seeing is believing: learning from peers is often bet-

ter than formal training!

■ Innovation champions play a critical role in the trans-

fer process

■ Partnerships are crucial — a participatory, integrated

and flexible approach is best suited for a transfer

■ The origin public organization is a partner in the rep-

lication process until process has been completed

■ Commitment of recipients should be ensured at the

very outset

■ Transfer is not only a product, but also a process

■ Open-ended learning works best

■ Failures teach as much as success

■ It is important to celebrate the replicator

■ Replicating is innovating

■ Commitment is keySource:CityNet,UNDPandUNCHS,1998


PART TWOTransfer of Innovations in Governance: Conceptual Tools


Phases and Steps of a Transfer Process by Actor Involved

Hereafter, we will provide a step-by-step guide for the

process of transfer of an innovation highlighting what

each main actor can do. A peer-to-peer transfer is com-

posed of two phases, namely the pre-adoptation phase

and the adaptation phase. We will describe for each

phase what steps can be taken by the three main ac-

tors: recipient public organization; origin public organi-

zation and intermediary.

Introduction Figure8: Knowledge Management and Organizational Chart


KnowledgeManagement

Organisation Y

Org

anis

atio

nal

Ch

ange


Introduction

ORIGIN INSTITUTION

Pre-adaptationphaseKnowledge Management

■ Document the innovative practice;

■ Build a working team;

■ Negotiate a partnership agreement for a transfer;

■ Select a methodology with the recipient; and

■ Organize a peer-to-peer workshop in origin city.

AdaptationphaseOrganizational Change

■ Visits of the recipient organization to the

origin country;

■ Visits of innovator to where the innovation

is being adapted; and

■ Draw lessons learned.


Pre-adaptationphaseKnowledge Management

■ Disseminate effective practices

(forums, meetings, publications);

■ Help establish regional and national network;

■ Initiate dialogue between governments/organiza-

tions interested in a transfer of innovation; and

■ Organize a peer-to-peer workshop with study tour

together with the host.

AdaptationphaseOrganizational Change

■ Provide advice to the recipient public organization,

if needed and requested;

■ Provide assistance in facilitating communication be-

tween the two parties, if requested; and

■ Provide support in evaluating the implementation

process.


Pre-AdaptationPhase

Part I: Knowledge Management

■ Match demand with supply;

■ Analyze the viability of the transfer;

■ Build a working team;

■ Negotiate a partnership agreement with the origin

public organization; and

■ Select a methodology to transfer; design a work

plan; and secure necessary resources.

Adaptationphase

Part II – Organizational Change

■ Adapt to local circumstances; and

■ Implement and evaluate.


Introduction

Table5:Overview of the Phases of the Transfer Process

Build Capacities for Replication (mainly for Recipient Organization) Build Relations between Origin and Recipient Organization

Actions Document the exemplary practice

Conduct the workshop

Implement the workplan

Actors By origin organization and/or support institution — facilitator

To be organized by origin organization and participated in by recipient organization

Validate and finalize the workplan

Formulate a replication workplan

Implement the workplan

Timeline 2 weeks – 1 month

2-3 days 6 months – 18 months



Pre-Adaptation Phase

During Phase I of the transfer of an innovation, there

are six steps that public organizations should take:

■ Demand/willingness of a public organization to adapt

an innovation to its own context;

■ Identification of good practices with the potential to

be transferred;

■ Negotiating a Partnership Agreement between Ori-

gin and Recipient of a Transfer

■ Analysis of the Practice’s potential to be transferred

(pre-transfer assessment);

■ Analysis of the recipient government’s capacity to

adapt the innovation; and

■ Establishing a Working Team of the recipient public

organization.

Step1:

Demand/Willingness of a Public Organization

to Adapt an Innovation to its own Context

A transfer can be effective when a government or any

other public organizations who intends to adapt an in-

novation, responds yes to the following questions:

■ Does the public organization have a propensity to

learn?

■ Does it acknowledge that there are good practices

that are innovative and that can represent a solution

to their own problems if they are adapted to local

conditions?

■ Does it have a propensity to change organizational

behaviors and specific cultural patterns?

■ Does it recognize that an innovation implies the in-

volvement of various strategic stakeholders, includ-

ing the private sector and civil society?

■ Does it recognize that a good practice should have a

positive impact on the quality of life of all citizens

and that it must be sustained in time?

■ If some of these features are not present in the organi-

zation, how can champions of change rally for support?

Phase1: Match Demand with Supply

GOOD PRACTICE

Step2:

Identification of Good Practices with the

Potential to be Transferred

Once a government/public organization has answered

positively to the above-mentioned questions, the next

step is the identification of good practices in the areas of

interest to that public organization (see Table __ for crite-

ria on identifying a good practice; also see Table __ “In-

novation Viability Index”). Good practices can be identi-

fied through regional and national networks of

innovators, forums, workshops, meetings on innovations

in governance, through existing databases containing

good practices such as the UNPAN (http:www.unpan.

org) or the UN-HABITAT Good practices Database (http://

www.bestpractices.org). It is also possible that govern-

ment officials conduct preliminary visits to countries

where successful initiatives have been implemented.

Once the public organization selects the good practice

it is interested in adapting, it either relies on an inter-

mediary to facilitate the process of gathering additional

information on the selected innovation or it contacts

directly the public organization/government that has

implemented such an initiative to establish a dialogue

with the origin public organization. Where an interme-



diary is available, the public organization can also ob-

tain their support in facilitating the initial dialogue be-

tween the two public entities. As much information as

possible should be collected at this point, including in-

formation regarding socio-cultural, political, economic

and environmental aspects that are relevant to the in-

novation. Information about the technical aspects, the

strategic alliances, resources concerning the innova-

tion should also be sought. Documenting the practice

is a very important step in the transfer process and, if

possible, it should be done in collaboration with the

origin public organization (see Annex VIII on “Guide-

lines for the preparation of a Case Study to document a

good practice”).

In managing a transfer project, public managers should

pay particular attention to aligning public value, autho-

rizing environment and operational capacity. Therefore

the following questions should be addressed:

■ Public Value

– What problem are we trying to address?

– What public value would the transfer create and

for whom?

– How do we know we are doing the right thing?

■ Authorising Environment

– Who are the stakeholders?

– What kind of political and legal support do I need

to implement the transfer?

■ Operational Capacity

– How would the transfer affect the organization?

– What capacities and resources from inside and

outside do we need?

– How can we align the various operations?

Other issues to be addressed during the pre-adaptation

phase, include the following:

■ Does the transfer involve and/or promote participa-

tion of all possible stakeholders?

■ Is the transfer process open and accessible to all

stakeholders?

Are mechanisms in place to ensure accountability for

actions and responsibilities of all partners involved?

■ Is the participation of all potential stake holders con-

sidered in the transfer’s design?

■ Are resources and/or funding available to realize

and sustain the initiative? Are funding alternatives

identified?

■ Does the initiative consider the economic, environ-

mental and social needs without trading off one at

the great expense of the other, now or in the future?

Step3:

Analysis of the Practice’s Potential

to be Transferred(pre-transferassessment)

■ Once the documentation about the innovation is

gathered, the recipient public organization must as-

sess the potential of buy-in that the transfer would

encounter at the national level among the various

stakeholders who would be involved in or affected

by the process of adaptation of the innovation (civil

servants, NGOs, private sector, etc.); and

■ This early socialization, that can be implemented

through formal and informal meetings, is crucial in

order to respond to the questions related to the vi-

ability of the transfer (see Annex VI on “Key Ques-

tions When Considering a Transfer) and identify the

potential strengths and weaknesses of the transfer

team. The questions cover technical, socio-politi-

cal, economic and cultural criteria. It should be re-

viewed and answered by participants interested in

and/or involved in a transfer, since it helps in set-

ting the overall framework within which a transfer

can take place. Fundación Hábitat Colombia has

developed a table with key elements regarding the

selection of a good practice to be replicated (see

Annex IV). Also see Annex V which contains an In-

novation Viability Index.



Table6: Criteria to Establish the Practice’s Transfer Potential

Locally grown The exemplary practice should have been initiated by the public organization itself. The initiative should be socially accepted by its targeted beneficiaries.

Simple and imple-mentable in one year

The initiative is easily replicable and can progress to the “application stage” in a relatively short timeframe.

Proven and effective solutions to common or similar problems

The exemplary practice has operationally demonstrated and proven over a reasonable period to be an effective response to the identified needs of its target beneficiaries. It also means that the initiative has significantly contributed to improve the social and material conditions of the beneficiaries.

Documented exemplary practice

Conceding other features of the exemplary practices to be equal, preference should be given to initiatives that have existing documentation of the benefits, key milestone, success and hindering factors, results, key stakeholders, processes and mechanisms.

Demonstrated level of sustainability

Including: it has been in place for a considerable amount of time; it survived the arrival of a new administration; it has become a permanent programme or structure; the community as well as executive/legislative bodies are involved in/supportive of it; related legislation is in place;

Least possible cost and effort to replicate

The exemplary practice will not require huge amounts of resources or funding to replicate and is easy to implement. It is a “common sense idea” as opposed to a capital intensive project.

Potential for multiplier effect or further replication

The exemplary practice has the potential to address other needs or deliver services beyond those originally targeted or intended (CityNet, UNDP and UNCHS, 1998).

In deciding if a recipient government can benefit from

replicating a practice and if they have the capacity and

prevailing conditions for replication, they should gather

the following information about the successful practice:

■ What issue/problem (or condition) did the origin

government want to address when they implement-

ed this replicable practice in the first place?

■ What were the key results or benefits resulting from

that practice?

■ What are the objectives of the replicable practice?

■ What are the key implementation steps?

■ Who are the main stakeholders who need to

be involved?

■ What is the timeframe needed to replicate

the innovation?

The origin public organization together with the facilita-

tor should facilitate the process of documenting an ex-

emplary practice through a Case Study, which requires

time and a series of interactions with the individuals

having implemented the project in the first place. Sev-

eral meetings may be required to properly document an

exemplary practice.



Step4:

Analysis of the Recipient Govern ment’s

Capacity to Adapt the Innovation

At this stage, a number of questions should be asked to

assess whether the recipient public organization has

the capacity to adapt the selected innovation. The

questions are not exhaustive, but rather should be

used as guidelines for recipient and origin public orga-

nizations in the evaluation phase prior to the transfer

and adaptation of a good practice. Participants of a

specific project should broaden the list by developing

other questions suited to their particular case. By pur-

suing a detailed review prior to the transfer, recipient

and origin public organizations can take a proactive

rather than reactive position. Specific questions can be

added by the intermediary together with the national

team of Innovators.

Step5:

Establishing a Working Team of the Recipient

Public Organization

It is very important to select a good team since the suc-

cess of the adaptation will depend in great part on the

work done by the team. Key elements to take into con-

sideration include the following:

■ The group must be, as much as possible, representa-

tive of those who will be involved in the adaptation

of the innovation;

■ The people selected must be able to work together

well, communicate positively, and solve any conflicts

through negotiations; and

■ Among the members of the team, it is very important

to have an expert in the area of the innovation to be

adapted.

The working team must be committed to work through

the implementation of the transfer of the innovation

(see Annex II, Checklist for actors involved in the trans-

fer process).

ORIGIN INSTITUTION

Match demand with supply

Step1:Deciding to Become an Origin public Organization

The public organization that has implemented the ex-

emplary practice, and has been approached to provide

support in the replication of its own practice should de-

cide whether it wants to engage in the transfer process

according to the following criteria:

■ The will and interest to take part in an institutional

sharing process;

■ The presence of resource people with the ability to

contribute/ articulate their experience;

■ Readiness to start in the short term and commitment

to provide support throughout the transfer process

for a specific time framework (6 months to 18

months); and

■ Existing documentation of the exemplary practice

preferred.

Recognizing that providing support in the replication

process could be arduous, an international or regional

organization can facilitate the process in order to mini-

mize the level of effort required from the origin public



organization. As the initiator of the exemplary practice,

the origin organization will have the opportunity to

“showcase” its good work and success, which may

prove to be an effective promotional vehicle. The shar-

ing process will increase the organization’s local and

national visibility and can serve as a learning opportu-

nity for staff to develop their skill and capacities (teach-

ing to others offers the opportunity to take a different

look at what is already known).

Step2:Negotiating a Partnership Agreement between

Origin and Recipient of a Transfer

It is very important that before a transfer is initiated,

there is a clear commitment and understanding on the

part of both the recipient and origin public organization

as to what their respective objectives, roles, responsi-

bilities, and available resources are. Negotiation by two

parties for a transfer commitment starts by recognizing

that the origin has been successful in implementing a

solution from which the participant is willing to learn.

Plans of the transfer should be widely publicized so that

potential stakeholders are aware of the proposed plan,

and encourage “ownership” by the community at large.

Partners should discuss the key principles and approach-

es for developing collaborative relationships as follows:

■ Collaborate in documenting their exemplary practice

following the mentioned guidelines;

■ Cooperate in the preparation of the peer-to-peer learn-

ing workshop (mobilize champions, partners, benefi-

ciaries; prepare presentations and field visits, etc.);

■ Undertake the peer-to-peer learning workshop;

■ Establish modes of coordination and communica-

tion with the replicating country; and

■ Participate in the monitoring and evaluation activities.

Step3:Documenting the Innovative Practice

by Preparing a Case Study

Documenting the innovative practice is one of the most

important steps in the transfer and adaptation process

of an innovative practice in government. The following

information should be provided at the preliminary stage.

Table7: Key Information about the Innovative Practice

1. Name of the innovation in public administration

2. Where it was implemented (city, country/region)

3. Contact information (focal point or person responsible for the implementation of the innovation; address, telephone, etc.);

4. Type of organization (central or local government, public-private partnership; non-governmental organization, etc.)

5. Classification of the innovation by area and sub-theme



The Origin public organization should prepare a Case Study that will describe the good practice. The Refer-

ence Document will serve as the main project descrip-

tion to help the recipient public organization under-

stand the various aspects of the Exemplary Practice

and how it was implemented. At the same time, the Ref-

erence Document should contribute to the production,

dissemination and promotion of information about ex-

emplary practices in local and national governance. It

should be written so it can be used again and again as

a reference and an information source. If possible, it

should be accompanied by professional photographs,

videos cassettes, CD-Rom, video CD, DVD and printing

material depicting the situation before, during and after

the initiative was implemented. The Case Study will

contain the following information (see Annex IV for

more detailed information):

■ Objectives of origin public organization in imple-

menting the practice;

■ Conditions in the origin public organization prior to

implementing the practice (Rationale);

■ Key Steps in implementing the practice;

■ Resources used in implementing the practice;

■ Results/Impact to the government/community of

implementing the practice;

■ Analysis: Lessons learned and insights gained in

implementing the practice; and

■ Samples of the specific forms, plans, tools, etc.,

used by the origin public organization in imple-

menting its project.

Step4:

Establishing a Working Team of the Origin

Public Organization

The team should be composed of members who know

the practice well and that have been part of its imple-

mentation from the beginning. It should also include, if

possible, someone who has benefited from the practice

who was part of the implementation process. The team

should have the following basic characteristics:

■ Real interest in sharing knowledge acquired in im-

plementing the good practice;

■ Motivation to share its own lessons learned as well as

to learn from the recipient public organization; and

■ Capacity to transmit knowledge.


Match Demand with Supply

Step1:

Knowledge Sharing on Exemplary Cases

through Forums, Meetings, Networks of

Innovators, Publications

Provide information to the recipient public organization

about possible innovations in governance of interest

and offer a first preliminary description of the various

cases through forums, meetings, network of innovators,

publications and databases of exemplary cases.

Step2:

Facilitating Contact between Recipient and

Origin Public Organization

Building relations/arrangements between origin orga-

nization and replicating organization includes initial

communication and coordination between the two en-

tities through email, telephone, fax, or letter. Initial

communication would involve introducing the origin

and replicating team to each other, arranging for the

conduct of the Peer-to-Peer Learning Workshop and

clarifying questions and expectations. This can be fa-

cilitated through a third party.



In preparing for replication, the Recipient public organi-

zation needs to take the following steps:

■ Ensure institutional support for the replication of

their exemplary practice;

■ Start considering the level of effort needed for repli-

cation (in terms of financial, human and other re-

sources, time needed, etc.) so that these can be

planned and appropriated by passing an executive

order or a similar document declaring the intention

to start the replication;

■ Allocate initial funds if required;

■ Prepare presentation materials or ask origin coun-

try/city for material;

■ Organize a team to assist in the project implementation;

■ Become familiar with the replication tools and pro-

cesses; and

Step3:

Take Part in a Peer-to-Peer Workshop to Design

a Transfer Work Plan and Conduct a Study Tour

Objectives of the Peer-to-Peer Workshop — The ob-

jectives of conducting the Peer-to-Peer Workshop are:

■ Exchange of knowledge, know-how, expertise and

experience between people and organisations with

similar roles and responsibilities, facing similar is-

sues and problems;

■ Decentralised cooperation that implies a demand-

driven process in which one party is willing to learn

and the other party is willing to share the lessons

derived from its own experience; and

■ Examples: training, coaching, expert inputs and ad-

visory services, site visits, study tours, staff exchang-

es and joint ventures.

The Recipient Organization will Have an Opportunity:

■ To deepen its understanding of the practice through presentations and field visits. Deepen

the understanding and appreciation the exemplary

practice through the origin organization’s presenta-

tions and seeing the practice for themselves;

■ To Draft the Transfer Work Plan. Provide a venue

for the recipient organization to formulate a first

draft of their Transfer work plan with the inputs from

the origin public organization; and

Phase2: Define Scope, Select Methodology and Design a Transfer Work Plan

■ Plan the replication activities and the conduct of the

peer-to-peer workshop.

Step1:

Define Scope and Select Methodology

The recipient public organization should familiarize it-

self with the various methodologies to learn about in-

novations in governance. If the recipient public organi-

zation decides that it wants to adopt a peer-to-peer

approach, it should prepare for the peer-to-peer work-

shop which can also be accompanied by a study tour.

Step2:

Negotiating a Partnership Agreement

for a Transfer between Origin and

Recipient Organization

It is very important that before a transfer is initiated,

there is a clear commitment and understanding on the

part of both the recipient and origin public organization

as to what their respective objectives, roles, responsi-

bilities, and available resources are. Negotiation by two

parties for a transfer commitment starts by recognizing

that the organization has been successful in imple-

menting a solution from which the recipient organiza-

tion is willing to learn. Plans of the transfer should be

widely publicized so that potential stakeholders are

aware of the proposed plan, and encourage “owner-

ship” by the community at large. The recipient and ori-

gin organizations should discuss key principles and ap-

proaches for developing relationships.



Table8: Types of Methodologies for the Transfer of an Innovation

Selection of the methodology

There are a number of steps that must be taken before actually starting the implementation process. Selection of the methodology to be adopted in the implementation of the transfer process. It is important to be aware of the different types of peer-to-peer learning and exchanges that are possible, as well as their implications for both recipient and origin organization. Some of these types are briefly listed below.

Study tours These are relatively common and easy to organize. They necessitate a formal exchange of letters regarding the object and purpose of the visit by the participant and a setting of dates and number of people involved. Advantages include ease of organization and a low level of expectations for both parties. The effectiveness of a study tour can be greatly enhanced by prior exchange and sharing of information on key indicators, by focusing on specific issues for learning and exchange and by well-matched counterparts. A study tour, however, is usually one of out of many activities of a transfer of innovations. In fact, if only a study tour is undertaken, it will have a low impact on the likelihood of the transfer taking place.

Study tour with action planning

A more elaborate transfer process which involves formal and prior exchange of information regarding the intent of the partner to learn from the origin within the framework of an ongoing or about-to-be implemented action plan. This will require the origins to reflect on their lessons learned and to share their knowledge and know-how on various aspects of design, implementation, decision-making and impact assessment. The main advantage is a more detailed mutual understanding of the needs, contexts and priorities of the origin and participant situations. This process demands much more preparation on behalf of both parties and a serious commitment to mutual learning and exchange. Expectations for both parties should be clearly stipulated in terms of reference for the study tour and any follow-up activities.

Staff exchange Similar to above and recommended as a follow-up to a study tour whereby staff, usually from the participants’ side, stays with the origin for the purpose of on-site, on-the-job learning and coaching. It can also involve the origin sending staff to the participant for follow-up cooperation during critical phases of implementation. This form of exchange can be very effective. In terms of preparation, at a minimum, terms of reference should be agreed to. In cases of prolonged exchanges, other administrative arrangements should be clearly settled.

Technical cooperation agreement

An agreement which may encompass all of the above plus the use of or secondment of technical staff and/or experts from the origin to the participant. Such an agreement usually involves some costs, such as travel and accommodation, and may also include contractual arrangements. Clear terms of reference should be used to ensure that all aspects of the co-operation agreement are fully discussed, agreed to and approved by both parties.

Twinning arrangements or peer-to-peer exchanges

A long-term commitment on behalf of both parties to systematically engage in peer-to-peer learning, exchanges and study tours. Twinning arrangements usually involve sharing and exchange at all levels, including the political, social-cultural and technical dimensions (Source: UN-Habitat, 1998).



Table9: Key Principles for Developing Collaborative Relationships

1. Collaborate in documenting the exemplary practice following specific guidelines

2. Cooperate in the preparation of the peer-to-peer learning workshop (mobilize champions, partners, beneficiaries; prepare presentations and field visits, etc.)

3. Undertake the peer-to-peer learning workshop

4. Establish modes of coordination and communication with the replicating country

5. Participate in the monitoring and evaluation activities

Table10: Considerations for the Selection of Partners and Innovations

1. A common or shared set of problems and issues

2. Similarities in social, economic and demographic contexts

3. National support for such partnerships and co-operative exchanges

4. A mutual commitment to share and to learn

5. Documented evidence of a proven solution in the form of a good practice

6. An understanding of the similarities and differences in administrative and political contexts and procedures

■ To draft a memorandum of agreement or other for-mal agreement between origin and recipient pub-lic organization. Further consolidate partnership

and commitment of origin and recipient organization

to the replication project through the signing of a for-

mal agreement, personal interaction, agreeing on

modes/mechanisms for communication and coordi-

nation, and leveling off on roles and expectations.

Memoranda of Agreement should be formulated and

executed among the organizations involved in order

to clarify each other’s roles, responsibilities as well as

contributions to the program.

During the Workshop, the recipient together with the ori-

gin organization can identify the specific steps and actions

they will undertake to replicate the exemplary practice.

The Work Plan Should Have the Following Key Components:

■ Context for replication;

■ Objectives and expected results;

■ Implementation plan, Implementation steps;

■ Coordination mechanisms between origin organiza-

tion and recipient organization;

■ Monitoring and evaluation; and

■ Budgetary considerations.

Checklist for Formal Agreement between Recipient and Origin Public Organization:

■ Develop clear and achievable mission and goals;

■ Identify type of partnership agreement;

■ Develop estimated timeline;

■ Secure required resources;

■ Set clear expectations; and

■ Provide necessary staffing and training.



ORIGIN INSTITUTION

Step1: Criteria for the Selection of Methodology

It is very important to agree on the methodology to be

used (study tour, staff Exchange, twinning agreement,

technical cooperation, etc.). The host country needs to

evaluate, together with the recipient country, what ap-

proach is best suited to its own needs. In addressing

this question, the host country must take into consider-

ation the following:

■ Available time

■ Available human resources

■ Available equipment

■ Available material

■ Costs


The facilitator can provide help in organizing and facili-

tating the peer-to-peer workshop, as well as field visit.

In addition, it can assist in preparing a Memorandum of

Understanding for collaboration.

Step2: Negotiating a formal agreement with the

recipient country

After having assessed what resources are available, the

host country can negotiate an agreement with the re-

cipient country. It is very important that the dialogue

between the two parties focuses on expectations and

needs and results that can be obtained with the trans-

fer in order to avoid false expectations.



Table12: Peer-to-Peer Workshop Design

Introduction

Opening ceremony

Introduce participants and set expectations

Overview of the workshop and the exemplary practice

Fellowship activity

Appreciation of the exemplary practice

Seeing is Believing Comprehensive presentation of the exemplary practice

See the practice in operation (visit to see the practice in action)

Participants’ reflection on the exemplary practice

Analyzing the exemplary practice Rationale and purpose of the exemplary practice

Key implementation steps and related resources

Implementing the exemplary practice in the replicating organization

Managing the project in your country

Formulating the work plan

Working as partners – memorandum of agreement

Next steps

Source:Panadero,20066



Phase three is about preparing for replication, which

means that the recipient public organization needs to

have the transfer work plan finalized, the human re-

sources assigned and a financial plan well established.

It also means that authorization from relevant authori-

ties for replication must have already been secured.

Key steps in adapting the innovation:

■ Once the Working Team has finalized its work plan

(based on the draft prepared during the peer-to-peer

workshop), it should present it to all stakeholders in-

volved through seminars, power-point presentations,

videos, in order to receive feed-back from other

members of government and/or civil society/private

sector who will be affected by the innovation; and

■ Once the working team has included the inputs from

different stakeholders, it should then finalize the Ac-tion Plan including strategies for the implementa-

tion of the innovation.

Key recommendations in devising an Action

Plan include:

■ To be flexible in designing the activities (the local cir-

cumstances will never be the same as those of the

origin public organization);

■ If there are other similar practices, it would be a

good idea to also analyze them to compare various

experiences;

■ Elaborate clear indicators to monitor and evaluate

the adaptation of the innovation; and

■ Take into account the “Lessons Learned” as de-

scribed in one of the following sections.

Phase3: Adapt the Innovation to Local Context

ORIGIN INSTITUTION

The working team of the host country can provide infor-

mation to the recipient country regarding the final ac-

tion plan and provide advice as needed and requested.

A continuous flow of information would be beneficial to

facilitate the adaptation of the innovation.


The facilitator can facilitate by providing advice to the

recipient country, if needed and requested.


Phase3: Adapt the innovation to local context

Table11: Overcoming Obstacles in the Transfer Process

Obstacles Responses

Political Resistance to Change

Face-to-face meetings and discussions between elected officials can help overcome reluctance to engage in institutional change.

Staff Resistance to Change

Peer-to-peer learning and on-the-job training can help empower staff and allay fears that new ways of doing things may affect one’s power base or cause major disruption in standard operating procedure.

Inappropriate Rules and Regulations

“Seeing is believing” – peer-to-peer learning and study tours can often be more convincing than textbook solutions, and help create the awareness and understanding of the need to modify outdated rules, regulations and norms.

Corruption Good practices have, in many cases, forged a “win-win” situation, thus overcoming the traditional “win-lose” options that underlie corrupt practices. The involvement of multiple stakeholders and partners also contributes directly to more transparent and accountable processes.

Inability to Work Across Departmental or Divisional Boundaries

Study tours and staff exchanges involving a team of decision-makers and stakeholders can help forge a team spirit and break down fiefdoms. They can also provide an opportunity to re-examine the respective roles and responsibilities of different work units.

Little or No Local Involvement in Policy Formulation and Decision-making

Through good practice transfers, the effectiveness of partnerships with grassroots and community-based organizations can be effectively demonstrated.




The implementation should first be started in a pilot

Project. It should also include as much as possible all

stakeholders in every phase of the process. It is also

necessary though the pre-adaptation capacity-building

phase to train local staff so that they do not depend in

the long run on the skills of the origin public organiza-

tion in order to ensure sustainability of the project in

terms of human resources.

In case the origin public organization cannot be present

during the implementation phase, it is advisable to com-

municate on a regular basis with the origin public orga-

nization by e-mail, fax, telephone in order to receive

feed-back on the process and provide advice if any un-

expected problems emerge. It is very important to docu-

ment the process of implementation in order to draw

useful lessons for the future transfers of innovations. As

with any process of change in the public sector, the im-

plementation of an innovation will inevitably cause fric-

tion among various parties and challenges. Being able

to cope with resistance and create alliances across orga-

nizational boundaries to ensure the effective implemen-

tation of the good practice is crucial to its success (see

Annex VII on “Overcoming Obstacles and Challenges”).

The sustainability of a transfer and the implementation of

an innovative practice rely upon the follow-through pro-

cess and an honest evaluation of both the innovation and

the transfer. Prior to the transfer, a clear monitoring plan

should be devised to provide a framework by which prog-

ress can be assessed, impacts measured in accordance

with initial objectives or anticipated results, and the im-

plementation process analyzed for lessons learned.

Assessments of the process, successes and failures

should be scheduled both on a short-term and long-term

basis, with all key players represented. Feedback meet-

ings should be public and widely advertised so that all

stakeholders have an opportunity to get involved in the

ongoing evaluation and follow-up processes.

A key aspect of monitoring is to identify the obstacles

faced, keeping track of how they were overcome. This

will provide others with valuable information on how to

avoid some of the obstacles and also how to overcome

them when encountered. It is important to remember

that every project runs into obstacles at some point in

the implementation process, and in the euphoria of

success, these obstacles are often forgotten.

The effective transfer of a practice is not simply replica-

tion but rather an innovative adaptation using lessons

derived from successes as well as failures. Developing a

solution applicable to a community’s specific problem is

itself a good practice and should be evaluated and doc-

umented for the benefit of others (see Annex IX on “As-

sessment of the Transfer of Good practices”). Box also

outlines a strategic process for programme evaluation.

Phase4: Implement and Evaluate the Transfer Project


Phase4: Implement and Evaluate the Transfer Project

Table12: Strategic Process for Programme Evaluation

Step Process

Impact Evaluation

Gather key participants together as a group to evaluate the results of the transfer.

Constructive Critique

Develop a list of criteria from the previous stages of the transfer process that best represents the critical factors of the project.

Survey Using the criteria developed by the participants, develop a survey-feedback instrument to be distributed to and completed by community stakeholders, e.g., residents, NGOs, businesses, government.

Document Collect, compile and document survey results.

Identify Identify key success and problem areas.

Long-term Schedule ongoing evaluation processes to highlight successes and discuss remedies/alternatives for problems.

Source:You,1998inCityNet,UNDPandUNCHS,1998

ORIGIN INSTITUTION

During the implementation of the innovations, the ori-

gin public organization can provide support in different

ways:

■ Visit of experts to where the innovation is being

adapted;

■ Periodical visits of experts during key stages of the

process of adaptation; and

■ Visits of the recipient public organization to the ori-

gin public organization. The choice of one or more of

these visits depends on the type of project to be

adapted and of the available resources.


The intermediary can provide assistance in facilitating

communication between the two parties, if requested,

in documenting the transfer process and in evaluating

the implementation process.

In the short term, evaluation results should be docu-

mented and discussed to determine whether modifica-

tions are necessary to the initial plan. Should modifica-

tions be deemed necessary, the same processes used

in developing the initial plan can be repeated, focusing

on the areas identified for change.

In the medium to long term, the transfer process, includ-

ing its impact and its process, should be documented

and disseminated widely to enrich the body of good

practice knowledge. This expertise and experience can

be used by other people, communities and organiza-

tions, thus continually enhancing the potential for match-

ing supply with demand for South-South and decentral-

ized forms of cooperation. Fundación Hábitat Colombia

has developed a questionnaire that it administers to the

public organizations that have adapted a good practice

to assess whether the transfer was successful.


ANNExES


Annexes

Annex1:List of Selected Awards Programmes in the field of governance and public administration

International

■ United Nations Public Service Awards

unpan.org/Events/PublicServiceDayAwards

■ Dubai International Award for Best Practices

in Living Environment

www.bestpractices.org

■ Local Government Initiatives:

Awards of Excellence for Local Officials – TI

Africa

■ Impulelelo Innovation Awards, South Africa

www.impumelelo.org.za

■ E-Mtiaz Award, Morocco

Asia and the Pacific

■ Innovations and Excellence in Local Chinese

Governance in China (in Chinese)

■ The Galing Pook Awards in the Philippines

Europe and North America

■ Honoring Contributions in the Governance of

American Indian Nations in the United States

■ Innovations in American Government Program,

Harvard University

■ ASPA’s Awards Programs

(United States)

■ International Innovation Awards

CAPAM (Canada)

■ Gordon Draper Award

CAPAM (Canada)

■ Award for Innovative Management

IPAC (Canada)

■ The eEurope Awards

■ European Public Sector Award

Latin America

■ The Local Government and Management

Award in Mexico (in Spanish)

■ The Participation and Local Management Program

in Peru (in Spanish)

■ The Public Management and Citizenship Program

in Brazil (in Portuguese)

■ Latin-American and Caribbean Competition for

the Transfer of Best Practices

■ The Citizenship and Local Management Program

in Chile (in Spanish)

Western Asia

■ Dubai Government Excellence Programme

Dubai (UAE)


Annexes

Annex2: Innovation Viability Index

Scale: 100 points

Criterion Weight Scoring

Source / Origin

8 0 – 8 Indigenous (7) Transferal (4)

Administra-tive Level

7 0 – 7 Macro / System (6) Micro / organizational (4

Main Objective

10 0 – 10 Quality of Service Improvement (9) Promote accountability or transparency (8) Simplification of Procedures (6) Speed up of Service delivery (9)

Time- orientation

9 0 – 9 Long-term (8) Medium-term (7) Short-term (5)

Legitimacy Degree of Acceptance

14 0 – 14 Political leadership support (12) Senior administration support (12) Both (14)

Main Obstacle

12 0 – 12 Political (2) Cultural (4) Financial (5) Legal (3) Technical (6)

Criterion Weight Scoring

Ease of Implementa-tion

10 0 – 10 Very easy (9) Moderately easy (6) Difficult (3)

Availability of Technical and Financial Resources

16 0 – 16 Technical (7) Financial (7) Both (14)

Possibility of Monitoring and Follow up

6 0 – 6 High (5) Medium (4) Low (3)

Possibility of Transfer or replication

8 0 – 8 High (7) Medium (5) Low (3)

Results: Scoring

80 – above

Highly viable – go for it

– 60 Moderately viable – can be done

– 50 Precarious – approach with care

49 – below

Not recommended

Source:Prof.UsamaShawan,UniversityofBethlehem,NationalPalestinianAuthority


Annexes

Annex3: Guidelines for Documenting Innovations

In 2000 words or less, use the following headings and

suggestions to describe your work.

1. Situation Before the Initiative Began

[approximately50words]

Describe the situation before the initiative began. What

major problems and issues needed to be addressed in

the area? What approximate population size within

what approximate geographic area? What social

groups, e.g., women, youth, ethnic minorities, were af-

fected and in what ways?

2. Establishment of Priorities


List the priorities of the initiative. How was prioritization

done and what groups were involved? Please specify

leadership and gender specific roles where appropriate.

3. Formulation of Objectives and Strategies


Provide a summary of the main objectives and strate-

gies of the initiative, how they were established and by

whom. Please specify any gender specific objectives

and strategies. Describe policies and strategies adopt-

ed for city-wide development, where applicable.

4. Mobilisation of Resources


Describe how financial, technical and human resources

were mobilized and where they came from including

any form of bilateral and/or multilateral assistance.

Specify key actors (including community/women’s

groups), organisations or institutions that were/are re-

sponsible and accountable for managing the resources.

5. Key Dates

Provide no more than five dates that are significant to

the initiative and for each date describe in no more

than five or six words its significance.

6. Process


Describe the problems faced in implementing the initia-

tive, how were they overcome, and the problems that

remain to be solved. Describe also how people (men

and women), communities, organisations and institu-

tions participated in the initiative. Describe how peo-

ple, communities and organisations participated in de-

cision making processes and what their inputs were,

with regard to basic needs, civil rights and/or policies.

Provide a summary of tools, methods, and/or bench-

marks that were used for assessing performance, who

is using them and how often. For example: report cards,

joint assessments, etc., Weekly, monthly, etc.

7. Results Achieved


Describe to what extent the objectives listed above

were realised, how the impact was measured, quantita-

tively and qualitatively and who benefited and how.

Describe how the initiative has resulted in, for example:

■ Actual improvement achieved in people’s living

conditions including women and children;

■ Better co-ordination and integration between

various actors, organisations or institutions;

■ Changes in local, national or regional

social, economic and environmental policies

and strategies;

■ Improved institutional capacity at the national,

sub-national or local levels;

■ Changes to local or national decision-making,

including the institutionalisation of partnerships;

■ Recognising and addressing specific opportunities

and constraints;

■ Changes in the use and allocation of human,

technical and financial resources at the local/

national level; and

■ Changes in people’s attitudes, behaviour and

in the respective roles of women and men.


Annexes

8. Sustainability


Describe how the integration of the social, econom-

ic, environmental, institutional and cultural elements

of sustainability was achieved, particularly with re-

gards to:

■ Financial: The use and leveraging of resources, in-

cluding cost recovery, indicating how loans, if any,

are being paid back and their terms and conditions;

■ Social and Economic: Gender equity, equality and

social inclusion, economic and social mobility;

■ Cultural: Respect for and consideration of attitudes,

behaviour patterns and heritage;

■ Environmental: Reducing dependence on non-re-

newable resources (air, water, land, energy, etc.), and

changing production and consumption patterns and

technology, e.g., composting, recycling, etc.; and

■ Institutional: Legislation, regulatory frameworks,

by-laws or standards formally addressing the issues

and problems that have been dealt with by a prac-

tice; Social policies and/or sectoral strategies at the

(sub) national level that have a potential for replica-

tion elsewhere; Institutional frameworks and deci-

sion-making processes that assign clear roles and

responsibilities to various levels and groups of ac-

tors, such as central and local governmental organi-

sations and community-based organisations; Effi-

cient, transparent and accountable management

systems that make more effective use of human,

technical, financial and natural resources.

9. Lessons Learned


Describe the three or four most important lessons

learned and how these lessons have been or are being

incorporated in your initiative and/or other initiatives.

Describe any lessons learned from other initiatives that

were incorporated into your initiative. Describe how

these lessons learned have been or are being taken

into consideration in determining ongoing or future

policies, strategies and action plans for example, what

would you do differently or avoid doing in scaling up or

transferring your experience?)

10. Transfers


■ Transferability: In this section, please describe how

your initiative has benefited from the experience or

expertise of other practices. Describe how your initia-

tive could be replicated. If the process of replication

has commenced, please indicate when and by whom.

■ Transferred Best Practice: Thissectionappliesonly

to those who are submitting their practice specifi-

cally foroneof the twoawardsearmarkedforbest

practicetransfers.

To Sum Up:

Present the main Implementation Stages/Milestones in

chronological order.

Each key implementation stage should be detailed with

related sub steps and activities.

For each main step and/or sub step, the following

should be presented:

■ Main output: committee created; training acti vity;

small infrastructure/equipment put in place educa-

tion campaign to the citizens, etc.;

■ What procedures, tools, techniques, systems or

structures need to be in place: examples: an Execu-

tive order; committee TOR or procedures; specific

forms to collect information about citizens; a specific

computer program; training modules material; the

reconfiguration of office space, etc.;

■ Who needs to be involved and why (public organi-

zations’ staff; volunteers, institutional partners, or-

ganizations and the community, institutional part-

ners); and

■ What budget is required and when: estimate or pro-

vide actual costs for component, which requires a

specific budget allocation; and

■ Other resources required

(facilities, equipment, meeting halls, etc.).


Annexes

Annex4:Assessment of the Transfer of Good Practices

Questions for Reporting and Evaluating

Transfer Processes Addressed to Communities

and to Recipient Countries:

1. What was the initial intention of transferring

the practice?

2. What type of linkages were established between

recipient organisation and origin organisation?

3. Was the practice totally transferred or were only

certain elements incorporated?

4. How were priorities for transfer established?

5. Who was involved in priority definition?

6. What specific social groups did you consider

would be the most benefited with the transfer-

ence process?

7. Did the transfer contributed to impel other

processes or projects under development inside

the benefited community?

8. For the transfer, were significant changes

required within the recipient institution?

9. Were the initial objectives achieved through the

incorporation of the practice or, on the contrary,

is there evidence of limited results?

10. What were the main problems during the

adaptation process? Were they overcome?

Which of them continues to be a problem?

11. Did the practice transferred have the support

of the benefited community?

12. What indirect benefits did the practice produced

for the community?

13. Did they count with formal and direct support

by the central government?

14. How was the financial administration of resourc-

es provided for the practices´ transfer?

How were the funds managed?

15. Was the proposed administrative or technologi-

cal system appropriate for the local context?

16. Was the participation of the benefited commu-

nity in practices´ process of adoption direct

or indirect?

17. Could one consider the practice sustainable,

regarding social, economic and cultural factors

intervening in the process of transfer?

18. What were the lessons learned?

19. Has the replicated practice been considered for

application to other urban areas in the city?Source:FundaciónHábitatColombia–RegionalprogrammeforBPExchangesandTransfers


Annexes

Annex5:Indicators for The Evaluation of the Transferability of Good Practices

Evaluation can be undertaken in three stages, with its

respective indicators on quality, potential of transfer

and viability of the practice.

Stage1ofEvaluation:

Quality of the Practice

Criteria on impact, association, sustainability, leader-

ship and community empowerment, gender and social

inclusion as well as the degree of innovation of practice

would be considered in qualifying the quality of prac-

tice. Mainly, the responses to the following questions

will be revised:

■ Summary of the purpose and accomplishments of

the initiative

■ Key dates during the development of the practice

(possibly, depending on the responses)

■ Narrative: initial situation (ex-ante), priorities, objec-

tives and strategies, mobilization of resources, pro-

cess, results, sustainability, lessons learned, and

policies and legislation.

The responses to the following questions of the addi-

tional questionnaire on transfer of practices will also be

considered:

■ Competence or projects with similar characteristics

■ Differentiation

■ External financing

■ Changes during the implementation of the practice

Stage2ofEvaluation:

Potential of Transfer of the Practice

The pertinence of practice is the basis for establishing

its potential for transference. Furthermore, criteria for

sustainability, innovation and potential are considered,

mainly in relation to the responses to the following

questions of the basic questionnaire:

■ Categories and sub-themes of good practice;

■ Ecosystem in which the practice operates;

■ Summary of the purpose and accomplishments of

the initiative; and

■ Narrative: specially the themes of initial situation

(ex-ante), objectives and strategies, results, and pol-

icies and legislation.


tional questionnaire on potential of transfer are consid-

ered clue responses:

■ Environmental conditionings and determinants;

■ Infrastructure determinants;

■ Characteristics of demanding population

or beneficiaries;

■ Competences and costs of human resources;

■ Required technology;

■ Required contributions;


Annexes

■ Risks;

■ Costs of ending/dismounting the practice; and

■ Changes during the implementation of the practice;

Stage3ofEvaluation:

Viability of the Practice(potentialoftransfer)

On evaluating viability of the practice, concrete experi-

ences of transfer, examining how they have worked in

terms of resources and results, would be considered:

■ Narrative: results, resources mobilized

and transferred.


tional questionnaire on potential for transfer are also

important:

■ Environmental conditionings and determinants;

■ Infrastructure determinants;

■ Characteristics of demanding population

or beneficiaries;

■ Competences and costs of human resources

■ Required technology;

■ Required contributions;

■ Risks;

■ Costs of ending the practice;

■ Transfer and reinforcement of the original practice;

■ Follow-up to the implementation of the practice;

■ Participants in the practice;

■ Incorporation of new actors to the transference;

■ Time of transfer;

■ Budget of transfer;

■ Financing of transfer; and

■ Experiences of partial transferences.

Based on this scheme, pertinent indicators should be

elaborated; levels of qualification should be deter-

mined beforehand so as to avoid subjective and un-

clearly founded qualifications.

It is possible that some questions might not be conve-

niently used for the design of indicators. Source:FUNDACIÓNHÁBITATCOLOMBIA.June2006


Annexes

Annex6:Quality Indicators of a Good Practice

Years of Application of the Practice

The more time, the higher the consolidation and con-

sistency of the practice.

Sphere of Application of the Practice

Whether a practice can be adapted is evaluated in rela-

tion to its context and beneficiaries.

Improvement of Basic Living Conditions

in a Community

In general, the improvement of the living conditions

and community life are direct or indirect manifestations

of a good practice.

Original Practice is the Generator

of New Ideas and Projects

The practice favors spin-offs in different directions, both

inside the organization or the group implementing the

practice, or externally by those using or benefiting by

the practice. Spin-offs can translate into new practices

complementing or nourishing the original practice (the

possibility of continuous feedback and renewal of the

practice) in subsidiary or complementary projects (for

example, constitution of networks of new products or

the offering of other services). Qualification is 10 when

spin-off is there. No intermediate qualifications apply.

The Origin and Recreation of the Practice

is Through Virtuous Articulations

In the design of the practice, and later in its improve-

ment – as a model of virtuous, positive, inter-sector

and interdisciplinary articulation – the presence of mul-

tiple effects favors sustainability and diffusion of the

practice. All forms of partnerships should be consid-

ered as well as the possible local, national or global

partners. This includes communities, public sector, pri-

vate enterprises, NGOs, universities, media, etc.

Sustainability of the Practice

This indicator is not directly or indirectly associated with

exhaustion of natural resources, contamination above

standards, exposition to dangerous emissions or resi-

dues, exhaustion ozone mantle, harm to human health,

habitat deterioration or other negative impacts. There

are no intermediate qualifications for this indicator.

Vulnerability Reduction

Groups of population under poverty line, children,

women heads of family, handicapped, communities ex-

posed to flooding, earthquakes or landslides, refugees,

displaced population, persecuted ethnical groups, ad-

dicts to alcohol and drugs, the sick are the ones consid-

ered most vulnerable. If the practice does not generate

negative impacts, directly or indirectly, on any of these

groups, then it is a good practice.

Increase of Beneficiaries of the Practice

If there is an increase of beneficiaries and/or if the ap-

plication sphere of the practice has enlarged, the quali-

fication is 10. If there is evidence of drawback or stag-

nancy, the indicator is qualified with 5. There are no

intermediate qualifications.

Singularity of the Practice

An innovative practice or if there are clearly identifiable

intellectual property rights have more values, such as:

one that develops its own management and operation

methods, that develop own hardware and software, and

documents its own progress. The higher the innovation,

the larger differentiation and competitiveness potential

of the practice. If one of these elements is present, the

indicator is qualified with 10. The questionnaire does

not offer the possibility of intermediate qualifications.

Certification of the Practice

Reliability of practice is gained through certification by

external auditors or by government authorities. Certifi-

cation refers to either national or international manage-

ment standards. If the practice has obtained a certifica-

tion of achievement of national regulations, it is

qualified with 8. If the certification refers to internation-

al norms, the qualification is 10.©FUNDACIÓNHÁBITATCOLOMBIA.June2006.


Annexes

Annex7:Guidelines for the Preparation of a Case Study to Document a Good Practice

1. Objectives of the Case Study

The Case Study should:

■ Provide simple information about each step of im-

plementing the good practice to facilitate the repli-

cating public organization to develop a work plan;

■ Provide a common reference/outline for the various

stakeholders involved in the project;

■ Contribute to promoting innovative approaches of

governance and service delivery among peers and

stakeholders; and

■ The writer must develop the Case Study in consulta-

tion with those involved in the actual project imple-

mentation.

The document should be short, to the point and simply

written. Ideally, it will be 8 to 10 pages. Additional mate-

rials relevant to the project, including training material;

technical specifications, etc. can be included as appen-

dixes. It is always helpful to add photographs, audio-

visuals, power-points, charts and graphs that can better

help the replicating country understand better the proj-

ect’s implementation.

2. Proposed Parts and Content

of the Case study

The title of the Good Practice should reflect the major

theme of the project and be short and to the point.


Annexes

Annex8:Application Form

1. Best Practice’s Name

Name of the Best Practice:

City/Town:

Country:

Region (choose one):

■ Africa

■ Asia and the Pacific

■ Europe and North America

■ Latin America and the Caribbean

■ Western Asia

2. Organization’s Address

Name of the Organization:

Address:

Street or PO Box:

City/Town:

Postal Code:

Country:

Phone:

Fax:

Website:

3. Contact person:

Name:

email:

Phone:

Fax:

4. Type of organisation:

Choose from the following:

■ Central Government

■ Professional Association

■ Local Authority

■ Academic/Research

■ Para-statal

■ Media

■ Private Sector

■ Philanthropist

■ Non-Governmental Organisation

■ Technical Experts/Consultants

■ Community-Based Organisation

■ Network

■ International Agency

■ Foundation

■ Other, please specify


5. Financial Profile

Provide a financial overview of the annual budget of the best practice for the past 3 to 5 years.

2005:

2006:

2007:

2008:

2009:

Total Partner 1 budget (US$):

2005:

2006:

2007:

2008:

2009:


2005:

2006:

2007:

2008:

2009:


2005:

2006:

2007:

2008:

2009:


2005:

2006:

2007:

2008:

2009:


Combine all partners budges into a total budget:

2005:

2006:

2007:

2008:

2009:

Total budget (US$):

6. Level of Activity

Select one of the following that best describes the usual level of activity:

■ Global

■ Regional (international)

■ National

■ Provincial/State

■ Metropolitan

■ City/Town

■ Neighbourhood

■ Village

■ International

7. Eco-System (optional)

Select the eco-system in which your initiative usually operates:

■ Arid/Semi-Arid

■ Coastal

■ Continental

■ High Plateau

■ Island

■ Mountain

■ River Basin

■ Tropical/Sub-Tropical

Documents

Guide for the Transfer and Adaptation of Innovations …unpan1.un.org/intradoc/groups/public/documents/un-dpadm/unpan... · and Adaptation of Innovations in Governance Practical Tools