Strategy Survival Guide

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Strategy Survival Guide Version 2.1 Prime Minister’s Strategy Unit home | strategy development | strategy skills | site index Strategy Skills > Planning Delivery Institutional change > in practice The implementation of new policies often calls for changes to existing institutions, or the creation of new organisations. Institutional change is therefore an important part of detailed policy design, involving structures, processes and cultures. It can be harder to create institutional change within an existing organisation than to create a new body, whose culture and approach can be specifically designed around required activities. Conversely, structural change can be time-consuming and divert scarce resources and energy. Further guidance on planning for organisational change can be found under organisational analysis and change management. The extent of the institutional change required will depend on the degree to which the new policy differs from current policies. At the simplest level, a new policy can be incorporated within the work of an existing department, while at the most complex level a whole new organisation may need to replace one or more existing departments. In all instances, however, there are a number of common criteria that should be assessed, whether designing a new institution or changing an existing institution to deliver a new policy: • What is the role and remit of the new institution? How should it meet the needs of its consumers and users? • How is the new institution distinct from other institutions? Will it replace existing structures or is it entirely new? How should it work with related bodies? • To whom is the new institution accountable? What performance measures need to be introduced? What are the Ministerial reporting arrangements? • How should the new institution be organised? What internal governance structures are required? • What capabilities are required within the new institution? How are suitable employees to be identified, recruited and trained? • What capacity does the new institution need (in terms of caseload, number of users etc.)? • How will employees of the new institution be incentivised to deliver its objectives? • What infrastructure will the new institution need (IT systems, premises, vehicles etc.)? Can these be adapted from existing organisations or must they be built from scratch? • What funding does the new institution need? What are the possible sources of funding? Will existing funds be redirected or are new funds needed? There may well be options under each of these criteria, so it is important to make explicit trade-offs between different approaches. One way to do this is to generate a number of alternative structures for the new institution, which can then be discussed with key stakeholders to select the final organisational design. It is also important to consider the degree of difficulty involved in creating the new organisation – this should be one of the criteria that is taken into account when deciding on the final organisational design. A key part of this is ensuring clear communication with all staff who are involved, particularly if an existing institution is being changed. Strengths • Ensures that the organisation which will be responsible for implementing a new policy has the right skills and resources to do so. • Makes explicit the trade-offs between various approaches. Strategy Survival Guide – Strategy Skills Page 186
• Ensures that the accountability, governance and incentive structures of the new institution are focused on delivering its objectives. • Demonstrates commitment to delivering the objectives of the new policy. Weaknesses • While it is relatively straightforward to design an organisation on paper, creating a new culture and working style is extremely challenging. It is important to allow the managers of the new institution the chance to take part in the design of the final structure, and to adapt it if necessary once it becomes operational. • Institutional change can have serious implications for individual’s careers. Correct HR procedures should always be followed to ensure that all employees are treated in an appropriate manner. • New institutions will create new boundaries and new interfaces, which need to be mapped, understood and managed. Pitfalls • Not "sizing" the new institution correctly, so it ends up over or under resourced. • Not taking into account the possible reaction of existing stakeholders to a new body. Institutional change In Practice: SU Childcare Project The SU Childcare project envisaged a new role for local authorities in the provision of childcare: A detailed audit of existing delivery structures was carried out by the Childcare team: the team mapped out existing policies, funding mechanisms, and delivery mechanisms from the perspective of the different organisations – including those who directly consumed or provided the services. As part of that audit work, the team mapped out the accountability arrangements: it was important to establish who was accountable for what, and how responsibilities were reinforced or undermined by the governance structures and reporting requirements. The analysis was bottom up: the team started with delivery structures on the ground, and then looked at how they related to structures within central government. The team agreed their findings with key stakeholders: it was useful to discuss and agree the diagnosis of the problem(s) before developing policy options and recommendations. This also allowed key stakeholders to agree the relative priority of the problem areas. The team considered and discussed a wide range of options: it was important to discuss a number of options, including more radical structures. Each was assessed against the key objectives, wider policy developments, and ease of implementation. We deliberately held back from defining options until other elements of the policy package had been agreed so that we were clear about the objectives of institutional change. The team were all clear about implications: as it became clearer which options related to which elements of the diagnosis, it was important to be clear about what this would mean: opportunity costs and ease of implementation, resource implications, performance management and use of incentives to drive performance, monitoring and evaluation. The team then sought a steer from Ministers: Ministers were then invited to agree the relative priority of problem areas and where this led in terms of policy responses. Strategy Survival Guide – Strategy Skills Page 187
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