6. Nuevo León’s Action Plan to Implement the Recommendations of the OECD Review

Abstract

This chapter presents an action plan for the implementation of the OECD recommendations in the areas covered by the Review of the Monitoring and Evaluation System for the Strategic Plan of the State of Nuevo León 2015-2030, in particular: establishing a sound institutional system for planning, monitoring and evaluation; strengthening the Strategic Plan’s methodology and structure; developing monitoring for results; strengthening capacities for evaluation; and setting up a sound evidence-informed policy-making system. This chapter provides a list of the main activities, actions and steps to be taken for the implementation of each recommendation in the Review, and suggests which government entities are best suited to carry them out.

Chapter 1

Building a sound long-term planning system in Nuevo León

1. Proposal for action. Clarify the council and the centre of government’s respective responsibilities on strategic planning (notably the Executive Office of the Governor and the Secretariat of Finance) with a view to strengthening capacities for the design, implementation, monitoring and evaluation of policy priorities.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Change the Strategic Planning Law, the law’s regulation, the Organic Law on Public Administration of 2009 and/or the internal regulations on public administration to clarify responsibilities. Include in this new law and regulation, a definition of monitoring and a definition of evaluation. Include a definition of policy advisor. Eliminate in this law the obligation to carry out an annual evaluation of the Strategic Plan and the State Development Plan. Clarify the role and methods of the Council as a policy advisor.}	^{State public administration/ council}	^{Medium term}

2. Proposal for action. Strengthen the Nuevo León council’s role as an advisory body and strategic knowledge broker, moving it away from implementation and monitoring.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Update the internal rules of the council.}	^Council	^{Short term}
^{Address a letter of intent to the state public administration with a new vision for the council.}	^Council	^{Short term}
^{Provide the council’ with the appropriate skills and tools for evaluation and evidence synthesis.}	^Council	^{Short term}
^{Create an online public searchable to access the work of the Council.}	^Council	^{Medium term}

3. Proposal for action. Strengthen Nuevo León’s centre of government, with a specific mandate and resources to enable its function in terms of coordination and monitoring.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Update the office of the governor’s internal regulations to include competences regarding whole-of-government co-ordination, carrying out objective setting and prioritisation exercises, and promoting/coordinating monitoring of government-wide policy-priorities.}	^{State public administration}	^{Medium term}
^{Conduct strategic internal and external communication, particularly through the use of social media to outline key progress, success stories, bottlenecks and possible areas for improvement.}	^{State public administration}	^{Medium term}
^{Equip the administration with the tools, human and financial resources, and institutional structures/arrangements to disclose and share key performance information with relevant stakeholders. Gain inspiration from good practices in this regard coming from the private sector as well as other fields.}	^{State public administration}	^{Medium term}

Chapter 2

Revise the Strategic Plan 2015-2030 according to a robust methodology

1. Develop a new methodology for the revision of the Plan, which includes participatory methods for problem analysis and diagnostic.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Develop new methodological guidelines for the revision of the Plan.}	^Council	^{Short term}
^{Conduct a public consultation to identify the main policy issues to be addressed in the Plan.}	^Council	^{Short term}
^{Conduct a thorough analysis of the current state of affairs in Nuevo León, to serve as a basis for the problems to be addressed in the Plan. This phase should include a close look at state level statistics.}	^Council	^{Short term}

2. Proposal for action. Clearly communicate, in the Plan itself, the reasons behind the selection of the strategic objectives in order to ensure support within and outside the administration.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Consult stakeholders and citizens on the strategic objectives selected through the problem analysis and diagnostic phase. This could include publishing a draft version of the Plan on a publicly available platform to receive feedback on individual chapters.}	^Council	^{Short term}
^{Consult key stakeholders on the overall Plan to better understand whether the Plan addresses the key strategic issues in Nuevo León.}	^Council	^{Short term}
^{Use of a logic model or theory of change, to clarify how the different objectives are related to each other at every level and between levels. Make this logic model explicit in the Strategic Plan.}	^Council	^{Short term}

3. Proposal for action. Present the Plan to the commissions and the governor for validation.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Present the Plan to each of the commissions for feedback and final approval.}	^Council	^{Medium term}
^{Send the final draft of the Plan to the Governor for final approval.}	^Council	^{Medium term}

Simplify the Strategic Plan in order to recentre it around impact and outcome level objectives and indicators.

1. Proposal for action. Redefine opportunities areas as strategic objectives. Clarify the strategic objectives areas under each commission and reduce the overall number of strategic objectives.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Remove strategic lines, initiatives and strategic projects from the Plan. Keep only priority opportunity areas, their targets (including medium-term milestones when relevant, and systematic long-term targets) and indicators. Rename priority opportunity areas as strategic objectives.}	^Council	^{Short term}
^{Include, at the end and the beginning of the Plan, a table summarising the strategic objectives areas monitored by each commission. Include, in each chapter, a table summarising the strategic objectives, as well as the indicators and targets associated to them.}	^Council	^{Short term}
^{Reduce the number of strategic objectives areas in the Plan.} ^{Organize workshops and other participatory activities to reduce and redefine the plans objectives, used tools such as theory of change and SMART models.}	^Council	^{Short term}

2. Proposal for action. Homogenise the number of strategic objectives in each chapter of the Plan.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Reorganise the chapters of the Plan, and the corresponding commissions, in order to allow for a homogenous number of strategic objectives in each thematic area.}	^Council	^{Short term}
^{Consider eliminating thematic areas are either not policy actionable (values) or strategic (sports).}	^Council	^{Short term}

3. Proposal for action. Improve the coherence and quality of indicators used to measure the results of the Strategic Plan.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Revise the Plan so that there is only one indicator and one target linked to each strategic objective. Context indicators can be kept for added information.}	^Council	^{Short term}
^{Identify the indicators and targets for each strategic objective. Consider using a collective intelligence platform to consult experts on the selection of these indicators and targets.}	^Council	^{Short term}
^{Involve INEGI in the definition of the indicators for the Plan.}	^Council	^{Short term}

Clarify and communicate the coherence between the Strategic Plan and the SDGs

^{Actionable item}	^{Entity responsible}	^Timeline
^{Identify the strategic objectives of the Plan in such a way that they are aligned to the 2030 Agenda. Each strategic objective should be linked to either a sustainable development goal or target.}	^Council	^{Short term}
^{Clarify what SDG is monitored by each commission of the Council.}	^Council	^{Short term}
^{Clarify the alignment of the SDGs with the strategic objectives by including a table at the end and beginning of the Plan showcasing this link.}	^Council	^{Short term}
^{Consider creating an interactive tool online showcasing the link between the SDGs and the strategic objectives.}	^Council	^{Short term}

Chapter 3

Clarifying the monitoring set-up to better support the delivery of the Plan

1. Proposal for action. Adopt a comprehensive definition of monitoring and clarify the roles of the key actors, including the council and the state public administration.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Change the Strategic Planning Law to include a clear and comprehensive definition of monitoring that is distinct from evaluation.}	^{State public administration/Congress}	^{Medium term}
^{Change the Strategic Planning Law’s regulation to clarify the role of the council and of the state public administration in the three main monitoring exercises.}	^{State public administration}	^{Medium term}

2. Proposal for action. Set up a performance dialogue within the state public administration at the level of line ministries and of the centre of government (CoG), regarding both the SP and the SDP simultaneously.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Establish a group at each level of the performance dialogue (line ministries, centre of government, cabinet) in charge of conducting the performance dialogue.}	^{State public administration}	^{Medium term}
^{Identification of best practices regarding monitoring tools and methods}	^{State public administration}	^{Short term}
^{Establish guidelines for dialogue between CoG and line secretariats to specify the role of each institutional actor along the monitoring value chain (coordinate and promote monitoring, collect data, analyse data, report data, use data). Within these guidelines, specify the definition of each of these roles.}	^{State public administration}	^{Medium term}
^{Identify human resources available for monitoring, as well as staff members in each line ministry and a unit/ team within the CoG in charge of the performance dialogue.}	^{State public administration}	^{Medium term}
^{Design a dashboard for the performance dialogue, which includes information concerning the Strategic Plan 2015-2030 and the State Development Plan 2016-2021 outcome/impact indicators.}	^{State public administration}	^{Short term}

3. Proposal for action. Conduct an annual joint review of the State Development Plan and Strategic Plan objectives and indicators between the council’s thematic commissions and the secretariats.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Establish joint guidelines for the review (timeline, actors involved, methodology, etc.) in the regulation.}	^{Council and state public administration}	^{Medium term}
^{Develop shared tools for the review (e.g. canvas).}	^{Council and state public administration}	^{Medium term}
^{Amend the Strategic Planning Law regulation to reference the existence of a joint review.}	^{State public administration}	^{Medium term}

Promoting the quality of monitoring

1. Plan of action. Increase the state public administration’s capacities to monitor the Strategic Plan.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Revise the indicators of the Strategic Plan 2015-2030.}	^Council	^{Short term}
^{Develop a data governance strategy in order to better exploit public data in view of monitoring. Begin with a mapping of available data in the state public administration.}	^{State public administration}	^{Medium term}
^{Update the manual for the elaboration of the State Development Plan in order to ensure that the SDP contains a clear section on the causal link between the objectives and indicators of the Strategic Plan 2015-2030 and the SDP. An independent quality assurance process should be conducted to make sure that this alignment is sound.}	^{State public administration}	^{Medium term}

2. Plan of action. Develop quality assurance mechanisms in addition to the current quality control mechanisms in place.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Design guidelines in order to strengthen the quality of the data collection process, to be applied by every line ministry. Clarify in these guidelines the criteria for escalating issues from the line ministry level to the CoG level.}	^{State public administration}	^{Medium term}

Promoting the use of monitoring results

1. Plan of action. Update the Avanza Nuevo León platform with indicators from the Plan, at regular intervals (e.g. indicators for three opportunity areas every year), based on the theory of change and the information available. Promote the development of a performance narrative in the monitoring dashboards in order to promote the uptake of performance information by decision-makers.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Identify the resources dedicated to monitoring at the CoG. Ensure that the corresponding team includes a mix of data analysis, data visualisation and strategic communication skills.}	^{State public administration}	^{Medium term}

Chapter 4

Building a sound institutional framework for the evaluation of the Strategic Plan

1. Proposal for action. Adopt a comprehensive definition of evaluation applicable to whole-of-government.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Update the regulations of the Strategic Planning Law and the Strategic Planning law if possible.}	^{State public administration/ Congress}	^{Medium term}

2. Proposal for action. Develop a policy framework for the evaluation of the Strategic Plan that includes a description of the different types of evaluation and evidence reviews to be carried out, the timeline against which each of these should be carried out, and the resources dedicated to them.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Establish a roundtable to define the framework for the evaluation of the plan that brings together the president of commissions and the secretariats of the state public administration.}	^{State public administration/ Council}	^{Medium term}
^{Identify, through the roundtable, the evaluation to be done each year by the council, at the request of the state public administration that will require a formal follow-up of the implementation of the resulting recommendations.}	^{State public administration}	^{Medium term}

3. Proposal for action. Develop appropriate evaluation competencies in the council.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Identify staff in charge of commission and supervising evaluations in the council.}	^Council	^{Short term}
^{Appoint at least one evaluation expert in each commission.}	^Council	^{Short term}
^{Establish a dedicated unit to coordinate evaluations.}	^Council	^{Medium term}

Promoting the quality of evaluations

1. Plan of action. Develop explicit and systematic quality assurance mechanisms within the council to ensure the credibility of the evaluation process.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Develop quality standards for the evaluation process. These should build on the existing regulations for the Consolidation of a Results-Based Budget and the Performance Evaluation System and include competence requirement for evaluators. These regulations can also spell-out the specific methodologies for carrying out different types of evaluation (i.e. data collection and evaluation methods) and criteria for the evaluability of policies.}	^Council	^{Medium term}
^{Develop competencies to conduct in-house evaluations of the council by offering trainings (for example to the commissioners and technical secretariat staff) and hiring staff with the appropriate technical skills to conduct evaluations.}	^Council	^{Short term}
^{Foster a network of evaluators, and consider the provision of trainings to the state public administration on evaluation as part of this network.}	^Council	^{Medium term}
^{Leverage this network of evaluators as well as existing partnerships with universities to conduct peer reviews of the council’s evaluations.}	^Council	^{Medium term}

2. Plan of action. Develop explicit and systematic quality control mechanisms to ensure that the evaluation design, planning, delivery and report are properly conducted to meet pre-determined quality criteria.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Submit evaluations produced by the council to peer reviews by experts (e.g. academics) before they are published.}	^Council	^{Short term}
^{Design a self-evaluation checklist for evaluators to check their work.}	^Council	^{Medium term}

Promoting the use of evaluations

1. Plan of action. Design a communication strategy to adapt the way in which research findings are presented to their potential users.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Design a communication plan tailored to civil servants and decision makers in the state public administration to ensure greater uptake of its evaluations within the administration.}	^Council	^{Short term}
^{As part of the communication plan, design communication materials such as case studies, infographics, tailored synthesis of research evidence, dissemination of ‘information nuggets’ through social media and seminars to present research findings.}	^Council	^{Medium term}

2. Plan of action. Incorporate the use of evaluations in the policy-making cycle.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Incorporate evaluation results into the budgetary cycle through the establishment of impact and performance evaluations to inform budget decisions.}	^{State public administration}	^{Medium term}
^{Discuss evaluation results at the highest political level by systematically holding discussions within the state public administration after reception of the evaluation report.}	^{State public administration}	^{Medium term}
^{Discuss evaluation results within the commissions after reception of the evaluation report. Consider discussing these results with key stakeholders such as chambers of commerce, universities and civil society organisations.}	^Council	^{Medium term}

Chapter 5

Setting up an advisory system that meets the needs of government

1. Proposal for action. Strengthen the leadership role of the council as part of Nuevo León policy advisory system, with a broader whole of government perspective.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Map think tanks, research institutes, etc., working on policy advice to determine technical gaps in the advisory system and increase representativeness in the evidence supply.}	^Council	^{Short term}
^{Facilitate a networked approach with other knowledge providers.}	^Council	^{Medium term}
^{Update the Strategic Planning Law to include the new role of the council in the advisory system.}	^{State Public Administration}	^{Medium term}

2. Proposal for action. Foster inclusiveness and expertise in the council’s decision-making process.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Ensure commissioners are able to provide a neutral view, have a sufficient credible level of expertise, and that they represent the sociodemographic and economic diversity of the community (for example through working with minorities, vulnerable communities and municipalities to balance powers across different types of actors).}	^Council	^{Medium term}
^{Provide trainings for the members of the council.}	^Council	^{Medium term}
^{Clarify the decision-making process within the council in order to ensure that any advice that is produced is based on clear evidence and transparent procedures.}	^Council	^{Medium term}
^{Develop a declaration against conflict of interest for each commissioner to sign before taking office.}	^Council	^{Medium term}

Developing innovative knowledge brokering methods to promote the use of evidence

1. Proposal for action. Implement knowledge brokering methods in the council, to promote the impact and use of evidence.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Consider adopting systematic research processes as part of the commissions’ activities to base advice on the best available research evidence and evaluations.}	^Council	^{Long term}
^{Use data visualisation tools to translate the evidence gathered through evidence synthesis methodologies to a wider audience. Make these tools available on a public platform.}	^Council	^{Long term}
^{Strengthen the role of the Knowledge Network by defining its principles, vision, and role in the decision-making process of the council; and by defining the network as a space/opportunity for decision makers and researchers to cooperate.}	^Council	^{Medium term}

Developing capacities in the state public administration to support evidence-informed policy-making in Nuevo León

1. Proposal for action. Develop individual, organisational and institutional approaches for evidence-informed policy-making in the state public administration.

^{Actionable item}	^{Entity responsible}	^Timeline
^{Organise more capacity building initiatives to develop skills for use of evidence within the state public administration.}	^Council	^{Short term}
^{Establish strategic units to champion an evidence-informed approach in the centre of government.}	^{State public administration}	^{Long term}

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