Desktop

Manual
for Impact Policymakers

1
Contents
3 Authors and Team

4 Intro

5-20 I Chapter 1: The Building Blocks of

Impact, by Mark M. Newberg

21-28 II Chapter 2: Frameworks for Racial

Equity, by John Holdsclaw (IV), with Mark

M. Newberg and Kate Y. McCrery

29-35 III Chapter 3: Measuring Impactful

Policies, by Howard W. Buffett

36-43 IV Chapter 4: Partnerships for Impact, by

Robert T. Lalka

44 Conclusion

45 Acknowledgments

This project was developed with the support of

the Tipping Point Fund on Impact Investing.

A production of Stockbridge Advisors, LLC © 2021. All Rights Reserved. 2

Authors and Team (listed
alphabetically)

Howard W. Buffett
Adjunct Associate Professor and Research Scholar at Columbia
University’s School of International and Public Affairs

John Holdsclaw, IV
Executive Vice President of Strategic Initiatives, National
Cooperative Bank

Rob Lalka
Albert R. Lepage Professor in Business at Tulane
University’s A.B. Freeman School of Business and Read
Executive Director of the Albert Lepage Center full
for Entrepreneurship and Innovation bios
here

Kate Yoo McCrery

Editor and Contributing Author

Mark Newberg
President, Stockbridge Advisors

Jade Nikaylah Williams

Visual Architect

3
In 2009, in Washington DC, a group of young policy advisors came together around
a common, but undefined, ambition. They worked in different departments and in
different staff positions, but they discovered each other based on a shared notion:
that policy designed to “impact” societal issues at scale was poised to be something
significant. Over the next several years, they (and many, many others in government,
non-profits, and the private sector) helped to assemble some of the building blocks of
what became the Impact Economy.

Now older, and more geographically dispersed, we recently looked back at those
formative days of our impact journeys. We asked ourselves: What resources would
have made our jobs easier a decade ago? What tools would have helped us (and
others) develop more impactful policy, faster, better, and more effectively?

We all agreed on one answer: this Manual. This Manual is the desktop guide to
impact for policy makers at all levels. It will help you improve the lives of even more
people than you’re reaching now, and it will help you deliver impact more effectively,
efficiently, and with a clearer sense of the outcomes your policy efforts should
generate. Because, at the end of the day, the impact of any given policy is measured
by the outcomes it enables.

We’re giving you the nuts and bolts of what you need to know and what you ought to
consider in creating more impactful policy. Unlike your typical white paper, though,
this Manual is built around the pace and process of the positions you hold and the
multitude of challenges you face each day. In short, it’s meant to be short.

We’ve been there. We know that an easy day for you means only having to tackle a
half-dozen things at once. We know that a light schedule means being double-booked
a handful of times. And we know that your challenge isn’t accessing more information;
it’s condensing down the information you already have into actionable steps. Steps
that lead toward the reason you signed up for this job in the first place: making lives
better, and communities stronger, across the board.

This Manual is designed to help you do your job faster, better, and more effectively.
It’s the one we didn’t have (but wish we did) when we were in your shoes a decade ago.
And above all, it’s designed to help you generate measurable impact for those whom
you serve.

Ready to get started? So are we.

Mark, Rob, Howard, and Kate

4
Chapter 1 The Building Blocks of Impact
By Mark M. Newberg

What is Impact?
This is a common question. You might already
have an answer you like (if so, great). You might be
trying to define impact for the first time (if so, don’t
worry). Either way, we can guarantee you’ve already
encountered it before. In fact, you’ve probably
generated impact, just using different words.

But that’s not really an answer. So, what is “impact”?

At the broadest level is something called the Impact

Economy. This is an umbrella term and refers to
a broad collection of for-profit, non-profit, and
government entities using:

1. Rigorous management practices

Plainly Stated:
2. To address endemic social issues
If an organization is intentionally
using its resources to solve an
issue for the common good, it is
part of the Impact Economy.

To learn more about what this looks like in the

context of governmental engagement, see this
report from the District of Columbia’s Economic
Strategy.

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Impact is the beneficial outcome
or outcomes sought by an activity.
For example, “increased access to
preventative health care,” “decreased
carbon emissions,” and “improvements
in educational achievement” are all
specific, beneficial outcomes.
They are “impacts.”

The process of achieving impact should include both:

1. Measurable outcomes (goals)

2. Management practices designed to deliver those outcomes

This means it’s not enough to say, “we want to have impact.” We have to focus on
the processes that enable us to generate (and measure) those outcomes—just like
effective policymaking.

Impact frequently combines traditional private sector approaches (like business

or investing) with public and/or philanthropic sector goals (like good job creation ,
reduced air pollution, or improved student achievement). Blending approaches from
these sectors creates greater impact that can be sustained over time. Once you’re
familiar with the most common organizational approaches and methods in the
Impact Economy you’ll have a solid foundation from which to make more effective
policy.

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Here are the practices and terms
you’re most likely to encounter:

For-Profit Sector
The for-profit sector is comprised of both
businesses and investors. In the Impact
Economy, both businesses and investors are
focused on “doing good” and “doing well.”
This intersection, where making money
meets measurable benefit to society, is the
defining feature of the impact-focused for-
profit sector.

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Impact Investing:
Impact Investing involves investment funds, firms,
institutions (whether for-profit, philanthropic, or governmental), or individual investors
that invest capital with the intention of generating both 1) a measurable societal benefit
and 2) a positive rate of return.

Impact investors deploy capital with the expectation that they will receive a return on
investment (ROI). The expected rate of return will vary by investment and asset class.
Impact investors also expect that their investments will generate a measurable benefit to
society. The expected benefit, and metrics for that benefit, will also vary by investment
and asset class. But an impact investment should always have an intended impact that is
clearly stated and clearly measurable.

Environmental, Social, And Governance (ESG): ESG focuses

on a set of measurable criteria for incorporating societal benefit into investment and
corporate decision-making. The measurable criteria are organized into E, S, and G, with
additional layers of detail for each. Frameworks include the GRI Standards, the SASB
Standards, the EU Taxonomy of Sustainable Investing, BlackRock, Morgan Stanley, UBS,
and Goldman Sachs.

ESG is an investment approach (generally focused on publicly traded companies), a

management practice, and a reporting methodology. ESG was traditionally used as a
tool by institutional investors to assess risks hidden inside a company’s supply chain,
operations, and business model. Increasingly, effective implementation and management
of ESG-related practices has been linked to improvements in corporate performance and
reductions in future risk.

Impact Businesses: There isn’t a single type of impact business. And businesses
that are “impactful” don’t always self-identify as “impact businesses.” But they’re all
around. They range in size from self-employed individuals to large corporations, and
everything in between.

For those that self-identify as “impact” businesses, you may hear them refer to themselves
as “social enterprises” or “social entrepreneurs.” This means (generally) that the business
has a specific societal issue it seeks to solve, through its business. You may also hear
businesses referred to as “B-Corps” or “Benefit Corporations.” This means that the
business has chosen to pursue (and achieved) a specific impact certification (B-Corps).
Or, the business has chosen as its corporate form a structure that requires it to state a
Benefit Corporation).
specific social mission (

For more information, see here and here.

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You may also encounter a set of businesses and think to
yourself, “Isn’t what they’re doing impact?” Perhaps it is
a provider of renewable energy. Or a developer of quality
affordable housing. Or a manufacturer of recycled (and
recyclable) packaging. In these instances, ask yourself:

1. Is the product or service they provide intentionally

designed to address an identifiable social issue?

2. Are they addressing that issue directly through the

product or service they provide?

3. Can the impact of the product or service be

measured?

If the answer to each of those questions is “yes,” then it’s

likely an impact business.

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Non-Profit And
Philanthropic Sectors
Non-profits operate by Note: We discuss private foundations here, but foundations can also be

receiving donations, and public. For more information, see the Council on Foundations. Also, the

then use those donations to Council provides a comprehensive Glossary of Philanthropic Terms here.

meet specific social purposes

embedded within their Foundations
organizational missions. They Private foundations are tax-exempt organizations, established in order

may also operate revenue- to further a specifically defined charitable purpose or purposes. These

generating businesses, such foundations are most frequently operated through an endowment

as the Dog Tag Bakery, model, where the endowment funds both the charitable activities of the

Homeboy Industries, and Cafe foundation, and the foundation’s continued operations.

Reconcile. This type of non-

profit may be financeable, Foundations have many ways to fund, or generate, impact. These are

in order to further their three that you will encounter most frequently.

charitable missions.
• Grants: Grants are the primary vehicle used by charitable
Tax-exempt non-profits foundations to deliver impact. A grant involves the transfer of

are designated as 501(c) money from the foundation, to

a qualifying organization,

organizations by the Internal in exchange for that organization pursuing a designated set

Revenue Service. Most of activities. These activities must be in pursuit of the socially

non-profits are 501c(3) beneficial goals around which the foundation is organized (its

organizations, but additional charitable purpose).

nonprofit classifications
also exist within the Internal As a general rule, a foundation is required to deploy at least 5% of

Revenue Code. its endowment toward this charitable purpose each year. Grants
are generally made with no expectation (or requirement) of money
being returned to the foundation.

• Program-Related Investments (PRI): A program-related

investment is a specific tool available to foundations. A PRI allows
a foundation to make an investment in an entity or activity, using
money from its annual 5% allocation requirement, as long as the
primary purpose is the pursuit of its charitable mission. PRIs can
take many forms, including loans, equity investments, or guaranties,
but they are made with the expectation of returns well below
market-rate. PRIs can be made in either non-profits or for-profits,
provided the primary purpose test is satisfied.

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 • Mission-Related Investments (MRI): A Mission-
Related Investment (or Mission-Related Investment strategy)
is applied to the endowment side of a foundation. You may
hear this called the “corpus side.” It refers to the bulk of the
foundation’s assets (also called the “95%”). These assets need
to generate the “return on investment” that supports the
foundation’s ongoing operations.

A Mission-Related Investment is made when the foundation

seeks to align its endowment (or a portion of its endowment)
with its charitable purpose, in a way that generates “risk-
adjusted returns.” MRI approaches can include both active
investments (a foundation invests in a specific fund or
company whose purpose aligns with that of the foundation),
or active realignment (a foundation exits investments in
companies whose businesses are at odds with the purpose
of the foundation). MRIs must be “non-jeopardizing,” which
generally means that they are made with an expectation of
market-rate returns.

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Here’s a handy chart to keep track of the distinctions:

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Public Sector
The government’s This can take the form of:
primary impact tools
are policymaking • Passing new laws;
and regulatory • Implementing new (or updated) regulations;
implementation. • Providing low-cost financing to spur beneficial
outcomes in communities; or
• Forging partnerships between multiple sectors to
advance clear, beneficial goals.

If you are reading this Manual, the chances are that you have more than
a passing familiarity with each of these governmental functions. You may
work at the local, state, or federal level. You may work in the legislative
branch, or on the executive side.

But the tools of government are the tools of your trade.

However, there is one tool that is often overlooked. Especially at the

intersection of “impact” and “policymaking.” We call that tool “Existing
Authorities.”

Invariably, if you’re a policymaker, you’ve been asked to do (or create)

something new. Often, this isn’t the fastest, most logical, or most effective
way to achieve a goal. This is especially true with impact.

So, before determining that it’s necessary to draft new legislation, or form
a new department, or promulgate a new regulation, ask yourself:

• Do the authorities to achieve our impact goal(s) already exist?

• What are they?
• How can we best use them to deliver impact?

Those three questions might save you months of effort and deliver
decades of impact.

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The Importance Of Management

Impact Management is essential for a policymaker to

“
understand. As impact has grown from a compelling theory, to
a daily imperative, managing how that impact is implemented
has become increasingly important. The late, revered, Harvard
Business School Professor Clayton Christensen once wrote that, Management is
the most noble
of professions
With well-designed management and implementation of if it’s practiced
impact, the key to merging “doing good” and “doing well”
is unlocked. Without it, your policies, no matter how well- well. No other
intentioned, will just be words on a page. occupation offers
as many ways to
No longer is it enough for novel theories to be offered. Instead,
to bring these theories to scale, to grow from improving the lives help others learn
of hundreds to benefiting millions across the country, you need
and grow, take
simple tools that can be used at all levels.
responsibility and
The remainder of this Manual will introduce you to tools be recognized for
for good Impact Management. They are adaptable, with
specialized tools for specialized sectors of impactful
achievement, and
policymaking, so you can use the ones that make sense for what contribute to the
you—not everyone else—are trying to do. They are all crucial
success of a team.
in creating better lives at scale. They are simple, flexible, and
replicable. Most importantly, they can all be highly impactful in - Clayton Christensen
the hands of policymakers who care.

In your hands, these tools can and will improve the

communities, sectors, and institutions you serve. And they will
shape the legacy you leave for generations to come.

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Thumbnail
The Impact Economy is an umbrella term for a broad collection
of for-profit, non-profit, and governmental entities using:

1. Rigorous management practices

2. To address endemic social issues

Impact is the beneficial

outcome or outcomes sought by an activity.

The process of achieving impact should include both:

1. Measurable outcomes (goals)

2. Management practices designed to deliver those outcomes

This means it’s not enough to say, “we want to have impact.” We
have to focus on the processes that enable us to generate (and
measure) those outcomes—just like effective policymaking.

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Critical Terms:

Impact Investing
Impact Investing involves investment funds, firms, institutions
(whether for-profit, philanthropic, or governmental), or individual
investors that invest capital with the intention of generating
both:

1) a measurable societal benefit and;

2) a positive rate of return.

Environmental, Social, and Governance (ESG): ESG is an investment

approach that focuses on a set of measurable criteria for incorporating
societal benefit into investment and corporate decision-making. It is
also a management practice and a reporting methodology. Increasingly,
effective implementation and management of ESG-related practices
have been linked to improvements in corporate performance and
reductions in future risk. Frameworks include the GRI Standards, the
SASB Standards, the EU Taxonomy of Sustainable Investing, BlackRock,
Morgan Stanley, UBS, and Goldman Sachs.

Non-profits operate by receiving donations, and then use those

donations to meet specific social purposes embedded within their
organizational missions. They may also operate revenue-generating
businesses, such as the Dog Tag Bakery, Homeboy Industries, and Cafe
Reconcile. This type of non-profit may be financeable, in order to further
their charitable missions. Tax-exempt non-profits are designated as
501(c) organizations by the Internal Revenue Service.

Most non-profits are 501c(3) organizations, but additional nonprofit

classifications also exist within the Internal Revenue Code.

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Critical Terms:

Note: We discuss private foundations here, but foundations can also be public. See full section
above for links to further resources.

Private foundations are tax-exempt organizations, established in order

to further a specifically defined charitable purpose or purposes. These
foundations are most frequently operated through an endowment
model, where the endowment funds both the charitable activities of
the foundation, and the foundation’s continued operations. Private
foundations have three primary tools for funding (or generating) impact:

1. Grants: This is the first tool that private foundations use to fund
impact. It involves the “granting” of dollars, towards a defined
charitable purpose, with no expectation of a financial return. It is,
perhaps, the most well-known philanthropic function.

2. Program-Related Investments (PRIs): This is the second tool that

private foundations use to fund impact. These are investments
made from the “program” budget of the foundation. They must be
made in pursuit of a specific charitable purpose, and are generally
made with the expectation of lower rates of return.

3. Mission-Related Investments (MRIs): This is the third tool that

private foundations use to fund impact. These are investments
made from the “endowment” side of the foundation. They must be
in “non-jeopardizing” assets, and are designed to align with, and/
or not counteract, the outcomes the foundation seeks to achieve
through its charitable work.

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Public Sector:

The government’s primary impact tools are policymaking and regulatory

implementation. This can take the form of:

• Passing new laws;

• Implementing new (or updated) regulations;

• Providing low-cost financing to spur beneficial outcomes in
communities; or

• Forging partnerships between multiple sectors to advance clear,

beneficial goals; and

• Existing Authorities, or the use of powers already in existence

(without requiring new legislative or rulemaking processes). When
embarking on a new initiative intended to achieve impact, always
ask:

• Do the authorities to achieve our impact goal(s)

already exist?

• What are they?

• How can we best use them to deliver impact?

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 A favorite tool to start with:

The North Star

Here is a favorite and simple tool: it’s called the “North Star”
Exercise. We’re putting it here because it is, quite literally, where we start
when tackling a new challenge. If you currently have an issue you’re trying
to address, we encourage you to complete the exercise now. If you’re just
beginning to get familiar with impact, we encourage you to familiarize
yourself with the basic concept now, so you’re ready to go when the
moment is right.

The “North Star” is your navigational beacon for any initiative. As its
name implies, it’s the fixed point you can always reference, so you can
be sure that you’re consistently moving in the right direction—that is,
towards the impact you’re trying to create. At any crossroads or decision
point, simply return to your North Star and ask, “Does what I’m doing
now connect to the North Star I’ve defined?” If yes, keep going. If not,
you’ll know it’s time to course correct.

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Here’s how to map it out:
In NO MORE THAN three sentences (one sentence
per question), answer the following for the initiative
you’re launching or the policy you’re pursuing:

1. What are we trying to do?

This is the thing you’re trying
accomplish.

2. How are we trying to do it?

This is the manner or means
You may be able to condense these
you’re using to accomplish it.
answers into a single sentence (if so,
great). You may stick with a single
3. Why are we trying to do sentence for each. You may find that
it? This is the problem that the single sentence initially requires

you’re trying to solve. some bullet points for explanation

(that’s fine too). But before you
move forward, make sure you get
down to three sentences or less. It’s
this level of clarity up-front that
will make what comes next truly
effective and impactful.

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Chapter 2
Frameworks for Racial Equity
by John Holdsclaw (IV), with Mark M. Newberg
and Kate Y. McCrery

Now that we’ve defined what impact is, let’s explore a critical element

that has been underscored by the events of 2020: No policy can be truly

impactful if it is intentionally (or unintentionally) racially discriminatory.

This might previously have gone unspoken. It has certainly been under-

recognized. But the times in which we live and work demand we make

explicit that which was long implicit.

The scars of inequity are now visible to all. The rifts and fissures inequity

forges demand repair. And the junction between racial equity and public

policy is an intersection that must be addressed.

So what do we do about it? Where do we start? Let’s start with some

baseline agreements. These will provide a starting point for the work

that follows. Because without a common baseline of agreement, it’s hard

to know where to start. But, in this case, the common agreements are the

starting blocks that launch us toward common solutions.

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Agreements:

1. We are talking about racial equity. This is both related to and distinct from
diversity, equity, and inclusion. (Similar individual definitions are often used
to help develop specific
institutional policies within organizations.) Racial
equity is both an

aspiration and an active, ongoing practice. It recognizes
that, historically, ability has been equally distributed, but opportunity has
not. It seeks to remedy that inequity, achieve just results, and enable all
communities to thrive.
2. Even well-intended policies can create discriminatory outcomes.
3. A policy that creates discriminatory outcomes can’t be truly impactful.
4. We would like to avoid those discriminatory outcomes. No single chapter
of a manual can solve all that racial equity seeks to address. This chapter is
only a start; a common point of reference as we navigate together toward a
better, just, and more equitable future.

For a deep exploration of racial equity, along with a comprehensive set of tools
and resources, the W.K. Kellogg Foundation has made its own guide available
to you here. It is free to use, heavily researched, and constantly expanding. We
encourage you to bookmark it, use it, share it, and return to it time and time
again.

So, now we have a common understanding of what we’re talking about, and
common agreement around some basic building blocks of achieving policy-
process-driven racial equity. That’s a start. It’s also not enough. We need a
framework to help embed racial equity into our policy-making approach, in a way
that accelerates the process of achieving the outcomes we want.

But what does that look like in real life? How can a “good” policy be
“unintentionally” discriminatory? Aren’t those mutually exclusive outcomes? It
turns out they’re not, and that thinking about this on the front end can help us get
to better outcomes, more quickly.

We think the easiest way to illustrate how “good” can be “unintentionally”

discriminatory, and how to avoid it (in order to generate impactful outcomes), is with
examples. So, we’ve created the following “hypothetical” case study, drawn from real-
world examples.

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First, we’ll establish the scenario. Then, we’ll circle back and apply the
framework, just as we would in a live case study. Finally, we’ll answer
a few key questions that come up most frequently at this stage in the
process. Let’s get started.

Trees: Throwing Shade

The Mayor of a well-known, mid-sized American city is an avid
outdoorsman. He grew up hunting and fishing in the mountains, spent
summers breathing the clean air on his grandparent’s farm, and winters
harvesting maple sap on his aunt’s property deep in the northeastern
woods. In short, the mayor is both a sportsman and an environmentalist.

The Mayor and the City Council (as well as the Governor and State
Legislature) have decided that air quality is an important issue and have
decided to implement (and fund) an air-quality-improvement campaign.
All acknowledge that the quickest, cheapest, most long-lasting, and
most economically efficient place to start is planting trees. Lots of trees.
100,000 trees, in the City, in five years.

Research shows that trees improve air quality, absorb carbon dioxide,
provide shade, and improve property values. All positive outcomes. The
Mayor and the Council are excited. The Mayor orders the Department
of Public works to buy the trees and start planting. The City’s Chief
Operating Officer draws up a list of impact metrics the City will track.
There is fanfare. There is ceremony. There is media attention.

There is unintentional discriminatory effect.

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How is that possible?

Let’s take an online map of this mid-sized American city. Now let’s
put a neighborhood overlay on top of this map. Let’s also code those
neighborhoods by their racial demographics, so that we can distinguish
the predominantly white neighborhoods from the majority black and
brown neighborhoods. Finally, let’s add an overlay showing where the
100,000 trees are scheduled to be planted.

Notice any gaps? If our hypothetical city is anything like the real world,
chances are that the gaps will reveal themselves in the black and brown
neighborhoods. It’s also likely that those neighborhoods have much less
green space (fewer and smaller parks, fewer existing trees, smaller or no
lawns), and much more concrete.

The planting map probably wasn’t drawn in order to keep trees out of
those neighborhoods. It might well be faster to reach the goal of 100,000
new trees by planting where the ground is easily accessible, rather than
covered by concrete and asphalt. But it’s unintentionally discriminatory.

Also, remember how the COO was compiling a list of impact metrics
associated with tree planting? That list likely would include decreases
in respiratory disease (trees clean the air), decreases in heat-related
medical incidences (trees tend to create cooler microclimates in the
summer), and decreases in airborne pollution.

By drawing a planting map that was unintentionally discriminatory, the

City has prevented these positive impacts from reaching the communities
that needed them most. That means that, while the City might meet
its overall climate goals it’s going to miss out on some of the greatest
benefits, and greatest long-term cost-savings (from reduced health-
related incidences), all because of some easily avoidable mistakes.

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How could it have been avoided?

So we have arrived here. A well-intentioned policy has been implemented in

an unintentionally discriminatory manner. To make sure this does not happen
again, here’s a simple, single-page set of questions to ask (and answer) at the
front-end of any policy design and implementation process. These questions
won’t cover every scenario you could ever encounter. They do, however, form a
basic framework that will guide you as you approach each new endeavor.

Who How
• Who is this policy designed to benefit? • How will this policy be implemented?
• Do the demographics of the group(s) to benefit • Which individual (or individuals within
reflect the demographics of my community? a department), will be responsible for
• Does the policy apply across all demographic implementation?
groups? (Race, Gender, Urban, Rural, Religion, • Does that individual have a commitment to
Orientation, Etc.) equitable implementation, the necessary
• Are there specific groups in my community that resources to equitably implement, the support of
will not benefit from the policy as it is envisioned? their superiors for equitable implementation, and
• If so, how can we include these groups, with appropriate incentives to implement equitably?
intentionality? • Have the communities to benefit from the policy
been measurably engaged in the implementation
process?
• If yes: how will the success of equitable
implementation be measured?
• If no: develop such a process, implement it, and
make sure to design a system to measure the
equitability of implementation.

What Why
• What is the intent of this policy (specifically, what • Why is this policy, as designed, the right approach
impact does the policy attempt to achieve?) to achieving equitable impact?
• Is that impact likely to be distributed equally • Why is the problem this policy seeks to solve the
across my community, as the policy is currently right problem to address?
designed? • Do the communities effected agree that the policy
• If not, how can I change the policy design/ seeks to solve the right problem, in the right way?
implement plan to bring the benefits to the full
breadth of my community?

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If we apply these questions to our hypothetical, here’s
a quick overview of what we might expect the Mayor to
have discovered in our four categories of questions:

Who? What?
• The policy is designed to benefit everyone in the • The policy is designed to reduce air pollution
community, equally. and net carbon emissions. It’s also designed to
• But the map very clearly shows that it won’t. improve, as secondary impacts, public health.
We can, and should, fix this. • It’s not currently designed in a way that spreads
the impact equitably. We should have looked at
a demographic map at the beginning. We would
have noticed this omission.
• We can fix this by redrawing our planting

Why? map. We’ll plant trees everywhere, with a

special focus on places where there are low
current concentrations of trees (and higher
• If we fix the planting map, we can predict exactly
concentrations of airborne pollutants).
how much carbon will be absorbed by each tree.
We can match that against our Department How?
of Environmental Quality’s data on carbon
emissions/pollution by neighborhood. Trees are • The Department of Public Works is in charge of
extremely efficient at absorbing carbon, they tree-planting, and the Director of Public Works
last a long time, they’re much less expensive than is specifically tasked with accomplishing our
new infrastructure construction, and they are planting and climate-related goals (at least
generally regarded as improving quality of life when it comes to this policy). The Mayor should
in the areas where they grow. Sounds like a solid talk with the Director of Public Works about
public policy approach. the policy goals and make clear that equitable
• Not only do the communities agree with implementation is supported, incentivized, and
the initiative, they have helped us see new required.
opportunities we would not have otherwise • Community leaders should be engaged in
seen. By taking this framework into account, determining the highest priority neighborhoods/
we have multiplied the impact we can have, by locations for tree planting, with first priority
more equitably dividing the distribution of trees. given to neighborhoods with lower ratios of
That’s a win for the entire community. trees-to-residents. This won’t always be easy, but
we might also uncover hidden opportunities or
partnerships we would not previously have seen.

Desktop Manual | Chapter 2: Frameworks for Racial Equity, by John Holdsclaw (IV), with Mark M. Newberg and Kate Y. McCrery 26
Thumbnail:
Racial equity is a fundamental component of effectively impactful policy.
No policy can be truly impactful if it is intentionally (or unintentionally)
discriminatory. But simply saying we are opposed to discriminatory
effects isn’t enough. We need to do something about it. That starts
with understanding what we’re talking about: This is both related to,
and distinct from, diversity, equity, and inclusion. (Similar individual
definitions are often used to help develop specific institutional policies
within organizations.)

Racial equity is both an aspiration and an active, ongoing practice.

It recognizes that, historically, ability has been equally distributed,
but opportunity has not. It seeks to remedy that inequity, achieve just
results, and enable all communities to thrive.

Desktop Manual | Chapter 2: Frameworks for Racial Equity, by John Holdsclaw (IV), with Mark M. Newberg and Kate Y. McCrery 27
Thumbnail:
In order to effectively embed the practice of racial equity across the
full spectrum of policies a local, state, or national government (or
governmental agency) might generate, there are four core questions
to ask. Use these as a starting point, whenever a new policy is under
consideration, or an existing activity is under review. If you do, they will
help you achieve more equitable and impactful policy outcomes:

1. Who 2. What
• Who is this policy designed to benefit? • What is the intent of this policy (specifically, what
• Do the demographics of the group(s) to benefit impact does the policy attempt to achieve?)
reflect the demographics of my community? • Is that impact likely to be distributed equally
• Does the policy apply across all demographic across my community, as the policy is currently
groups? (Race, Gender, Urban, Rural, Religion, designed?
Orientation, Etc.) • If not, how can I change the policy design/
• Are there specific groups in my community that will implement plan to bring the benefits to the full
not benefit from the policy as it is envisioned? breadth of my community?
• If so, how can we include these groups, with
intentionality?

3. How 4. Why
• How will this policy be implemented? • Why is this policy, as designed, the right approach
• Which individual (or individuals within to achieving equitable impact?
a department), will be responsible for • Why is the problem this policy seeks to solve the
implementation? right problem to address?
• Does that individual have a commitment to • Do the communities affected agree that the policy
equitable implementation, the necessary resources seeks to solve the right problem, in the right way?
to equitably implement, the support of their
superiors for equitable implementation, and
appropriate incentives to implement equitably?
• Have the communities to benefit from the policy
been measurably engaged in the implementation
process?
• If yes: how will the success of equitable
implementation be measured?
• If no: develop such a process, implement it, and
make sure to design a system to measure the
equitability of implementation.

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Chapter 3
Measuring Impactful Policies
By Howard W. Buffett

As a policymaker, one of the toughest challenges you will face is how to

design policy that delivers the outcomes you desire. How do you define
those outcomes? What are the activities and outputs that will make your
policy successful? Answers to these questions rely heavily on how the
policy outcomes are monitored, measured, and evaluated. In this section,
we will help you understand why impact measurement is important, how
to design an effective measurement system to track a policy’s impact,
and we will also provide you with additional resources that can help you
get started.

What is Impactful Policy

Measurement?
Impactful Policy Measurement is the process of determining:

1. What the outcomes of a particular policy may be

2. How positive or negative those outcomes may be
3. Whether those outcomes are aligned with the intent of the
policy

In short, a system for measuring impact must be designed to capture,

quantify, and analyze how effective a policy is at accomplishing
its objectives. Without such measurement built in from the start,
you can only rely on rough estimations or gut feelings, neither of
which are good enough to solve the problems that effective policy is
designed to address.

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 29

 Why is Measurement Important?

One of your main goals is to more effectively improve the social,

environmental, or economic conditions of a given population or place. To
achieve improvement, you must first define the change that you desire,
then analyze how conditions evolve over time towards achieving that
desired change. This requires a rigorously designed, and operationally
implementable, system of measurement. Simply put, if it cannot be
implemented, then the theory will fall short.

How Does Measurement Affect Policy Outcomes?

Generally, activities that are tracked and evaluated will receive more
attention and resources from program implementers. Therefore, a
well-designed system of measurement can allow for more robust policy
creation, program development, and resource deployment. Better
measurement systems also enable more in-depth program management,
potentially bolstering the overall effectiveness of a policy over time. For
the sake of your constituents, you have a duty to consider how the design
of policy itself may hamper or improve the delivery of policy outcomes.
Impact measurement makes that task simpler, and more efficient,
objective, and effective from the start.

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 30

What is an Effective
Measurement System?
Measurement systems must be designed from the beginning in order to
enable and enhance the effectiveness of the policies they evaluate. Capturing
data around change over the lifecycle of a policy is easier and more accurate
if implemented from the start, rather than attempting to rediscover or
recreate data retroactively. To help enable the overall effectiveness of a
policy, such a measurement system must take into account the following
principles and address the corresponding guiding questions:

Intentionality: the approach must reflect the intentions of policymakers

and their understanding of what change is desired.

Ask: What are the objectives and why are we pursuing them?

Specificity: the approach must integrate discrete goal-setting that defines

the policymaker’s intended change over time.

Ask: What results will deliver our objectives and when?

Inclusivity: the approach must incorporate the preferences and priorities

of the organizations and communities directly affected by the change.

Ask: Who is involved in defining our objectives and how those

objectives are delivered?

Materiality: the approach must capture measures that are significant and
necessary for thorough impact assessment and analysis.

Ask: What data is required to understand how well the objectives

are delivered?

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 31

How Do You Measure for Impact?
In order to know how effective your policy is and if the policy is helping
people in the ways you intended, you should consider at least the following:

1. Type Of Impact: this is a measure

of how impact is delivered. For example, a
homelessness policy may seek to increase
affordable housing units, an unemployment
policy may seek to increase the number of
available jobs, or an education policy may Calculating each of these aspects is
seek to increase student graduation rates. generally straightforward and will
provide you with insights on how
2. Magnitude: this is a measure of how effective a particular policy may be—
much of a given type of impact is delivered or was—at delivering a defined set
by a policy. For example, this could be the of objectives. In other words, it will
total number of affordable housing units let you know if your policy did what
developed, the number of jobs created, or you wanted it to do, and at the scale
how many students have graduated. you wanted to do it. These measures
can also be used by partners you are
3. Quality: this is a measure of how well working with to implement your policy,
a policy delivers its impact and may be which may streamline operations and
comprised of a subset of key performance coordination.
indicators. For example, an affordable
housing policy may seek to reduce housing
density and cost burden, in addition to
increasing access to public transportation
and early childhood education.

4. Time: this is a measure of how long it 5. Cost: this is a measure of the financial
will take the policy to deliver its intended resources required to deliver a policy’s

outcomes. For example, it may take three objectives. For example, a new policy to

years to enact and effectuate a policy increase the number of high school graduates

resulting in new job growth. may cost a state government $30 million in

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 32

Where to look for more?
As you consider options for building an effective approach to impact
measurement, there are a number of systems, standards, and models
available to guide you. Those that have undergone extensive peer review
include:

• IRIS: The Impact Reporting and Investment Standards is a catalog

of generally accepted metrics for quantifying many types of impact; its
successor, IRIS+, categorizes metrics based on impact categories and
objectives. More can be found at iris.thegiin.org.

• iRR®: Impact Rate of Return®, developed by this author, is a method for

calculating the impact value of assets used to bring about positive impact.
It analyzes the aforementioned attributes of impact measurement through
a customizable algorithm. More can be found at www.impactrateofreturn.
com.

• IMP: The Impact Management Project was developed by practitioners

seeking a common management framework for impact projects,
and is organized around specific dimensions of impact performance
(What, Who, How Much, Contribution, and Risk). More can be found at
impactmanagementproject.com.

For a more detailed discussion of impact measurement approaches, see:

The Global Impact Investing Network: “Getting Started with Impact
Measurement & Management”.

© Howard W. Buffett and All Rights Reserved

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 33

Thumbnail:
Sound impact measurement systems are
a bedrock component of impactful policy
design, implementation, and management.
By understanding, from the outset, both the
outcomes a policy seeks to achieve, and how
you will measure progress towards those
outcomes, you can maximize the potential of
any policy to generate positive impact.

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 34

Impactful policy 1. What the outcomes of a particular
policy may be,
measurement is 2. How positive or negative the
the process of outcomes may be, and

determining: 3. Whether those outcomes are

aligned with the intent of the policy.

Effective impact measurement requires

both an established baseline against which
to measure, and attention to the following
principles, as well as associated guiding
questions:
A number of peer-reviewed systems,
standards, and models of impact
• Intentionality: The approach to measurement are available to guide
you. These include:
measurement must reflect the intent of the
policy and an understanding of the problem
it seeks to solve. IRIS: The Impact Reporting and
Investment Standards, and the
• Specificity: Discrete goals must be set, recently released IRIS+
and correspond to the intended change over
time. iRR ®: Impact Rate of Return ®,
developed by this author
• Inclusivity: The preferences and
priorities of the organizations, communities, IMP: The Impact Management Project
and stakeholders directly affected by the
change must be incorporated. © Howard W. Buffett and All Rights Reserved

• Materiality: What is measured must

be thorough, and must include measures that
are significant and necessary to evaluate the
positive (or negative) outcomes of the policy.

At minimum, your impact measurement framework should

include the policy’s type of impact, magnitude of impact,
quality of impact, cost of impact, and time of impact.

Desktop Manual | Measuring Impactful Policies, by Howard W. Buffett 35

Chapter 4
Partnerships for Impact
by Robert T. Lalka

Understanding government is only one part of charting a path to impactful policymaking. A

policymaker must frequently understand and engage with leaders from business, philanthropy, and
civil society. Often government can act alone to address people’s problems in meaningful ways, just as
business innovation and the markets frequently can, and the same goes for philanthropy, civic dialogue,
as community leadership. But increasingly, policy leaders are finding ways to bring all of these sectors
together, in order to enhance the impact of their policy initiatives and to better serve and empower people.

Partnerships are a response to a world that began to move faster than the institutions that governed
it. In the pre-Internet era, power (and the ability to execute initiatives), tended to reside in centralized
structures. This frequently resulted in top-down, and one-size-fits-all, policy design and implementation. It
also encouraged the development of institutional silos and single-sector problem-solving.

But we now live in a networked world. Our lives are connected by global supply chains that link anywhere to
everywhere. Whether we’re solving problems in business, government, or civil society, we will often have to
work together, nimbly and effectively moving across the public, private, and civic sectors. The good news is
there’s already a plan in place for policymakers. They can rely on existing, helpful guidance that also serves
as a strategic, useful playbook.

In the early 2010’s, the U.S. Department of State developed its first-ever codified partnerships

guidebook for diplomats , on which I contributed to and edited. This was certainly not the first time the
State Department had taken a partnerships-focused approach. In fact, diplomacy is often built on cross-
sector partnerships. The strength of American corporations and entrepreneurs, the generosity of our
philanthropies and charities, and the hard work and genius of “ordinary” people working together – these
great American qualities give us an edge around the world. The lives and values of the American people are,
in that sense, the most fundamental components of the Department’s work.

This is why, for any partnership-powered policy initiative, it makes sense to understand (and incorporate)
the building blocks outlined by the State Department. Again, these principles were finalized and
distributed at the first-ever Global Chiefs of Mission Conference on February 2, 2011, but the foundations
of this guidance came from expertise and initiatives by the U.S. Agency for International Development’s
Global Development Alliance Office, which was launched in 2001, as well as experiences and insights that go
back much further, from a long history of cross-sector efforts in American diplomacy and international

development.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 36

 The following steps and definitions are informed by the original guidance, but they
have evolved over the years as many have put the original principles into practice
(including myself and my former colleagues in the Office of Global Partnerships,
on the State Department Policy Planning Staff, and at American Embassies
and Consulates around the globe). They are designed to help you, in whatever
policymaking role you hold, to quickly and efficiently design, develop, and implement
your partnerships in the most impactful ways possible.

What is a partnership?
A partnership is a collaborative working relationship between entities in different
sectors, where the goals, roles, and responsibilities are clearly defined, mutually
agreed upon, and designed to deliver mutual benefit.

Why establish a partnership?

As a goal, a partnership should aim to align the mutual interests of the public and
private sectors in order to achieve a specific goal. The path toward achieving that
goal, via a partnership, should be drawn to incorporate what each partner does
best. This approach will maximize the effectiveness of the resources, relationships,
and experience each brings to the endeavor.

The State Department established four basic types of partnerships with specific
objectives, which we have adapted for a focus on domestic policy areas.

1. Common Policy Goal: to address a shared, specific, and defined policy issue
within a designated geographic area (regardless of geographic scale).

2. Enhanced Reputation/Visibility: to enhance the visibility of the partners

on a certain issue, to clarify the purposes and motivations of partners’ activities, or to
inform the public about factual information in ways that benefits them.

3. Resource Sharing: to expand or enhance a governmental entity’s ability to

deliver its objective by utilizing resources available from private sector partners.

4. Programmatic: to enable the achievement of policy goals more effectively and

efficiently reached through public-private partnership than alone.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 37

 Guiding Principles
Having first established what a partnership is, then having discussed why
you might want to develop one (or more), and now having covered the
basic types of partnerships, let’s address perhaps the most important
question: how? Fortunately, there’s a roadmap we can work from.

The White House Office of Social Innovation and Civic Participation, which
served as the center of coordination for impact-related policy in the Obama
Administration, developed five guiding principles for partnership development.
I co-authored this document along with one of the other authors of this manual,
Howard W. Buffett. We have adjusted these principles to apply across all levels
of government, but their fundamental underpinnings remain the same. By
incorporating these principles into your partnership design, you’ll be well on
your way to achieving the impactful policy outcomes you have set as your goal.

1. Do More With Less: Partnerships should enhance governmental

resources in a targeted manner, which is increasingly important as
governments confront large budget deficits and spending constraints.

2. Build Upon Others’ Expertise: Partnerships should take

advantage of the core competencies of external stakeholders based on their
unique capabilities and skills.

3. Leverage Collective Action: Partnerships should bring

together new coalitions of public and private actors in order to solve
problems that cannot be addressed by any single organization or sector
alone.

4. Improve Performance: Partnerships should increase efficiencies

and rely on external stakeholders to improve the speed and agility of
accomplishing a shared policy objective.

5. Involve a Broad Spectrum of Actors: Partnerships

should create opportunities for individuals and small and medium-sized
organizations across the nation to participate actively in solving national
challenges.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 38

And One Specific Best Practice
(To Get Started)
Before we go any further, we should pause for a word of warning. There’s almost always
a tendency to get excited about the possibilities of any new potential partnership.
This sometimes causes a “rush forward” phenomenon, where “action” precedes
“documentation.” In other words: The parties in the partnership start running before
clearly defining roles, responsibilities, and other key aspects of the partnership itself.
This can cause you to stumble (unintentionally, even unknowingly) as you propel off
the starting blocks or soon thereafter.

Create a Memorandum of Understanding (MOU)

or Letter of Intent (LOI)

Designed to mutually define, clarify, and reduce to written agreement

• Common definition of success

• Any special administrative requirements of the partnership

• Decision-making and conflict-resolution structure

• Internal and external communications, as well as use of

trademarked or copyrighted materials (such as logos)

• Specific metrics to be used in measuring progress towards goals

• Agreement extension, sunset, modification, and termination

provisions

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 39

 This guidance offers you, the policymaker, with the tools and structure in your
efforts to address many pressing problems of our time.

These frameworks are predicated on the concept that we are often stronger
together than apart, and they are built on the knowledge that common goals
can be easier to achieve than uncoordinated initiatives in isolation.

Partnerships between organizations, like any relationships, can become

complicated and they often take considerable work. But they are almost
always worth it.

We hope this guidance will be helpful, but here is perhaps the most important
lesson of all: You are not alone as you endeavor to solve problems in creative
and lasting ways, and to serve and empower your constituencies as well as
people all across America.

As you pursue the greater good, you’ll

find willing partners from all walks of life
to support your endeavors. They work at
corporations, non-profits, universities, civil
sector organizations, and all manner of others.
They live in big cities and small towns, and they
care about their communities in both urban
and rural areas, as well as America’s greatness,
a global leader, and its good name around the
world.

As you seek impact through your public service,

there are private citizens and public leaders,
all across American and all potential partners,
who are just waiting to be asked to support
your efforts.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 40

Thumbnail:
Understanding government is only one part of charting a path to
impactful policymaking. A policymaker must frequently understand and
engage with leaders from business, philanthropy, and civil society.

Partnerships are a response to a world that began to move faster than

the institutions that governed it. As old, institutional barriers recede,
opportunities to work together in new, impactful ways have emerged.
Public-Private-Partnerships (PPP’s) are one of the most powerful of these
new tools. When used correctly, following a defined framework, PPP’s
can help policymakers at all levels achieve beneficial outcomes for the
communities they serve.

Fortunately, these frameworks are readily accessible. Thanks, in part, to

work in the early 2010’s by the U.S. Department of State and the White
House Office of Social Innovation, policymakers have a set of concise
steps to guide them along the path to successful partnerships.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 41

Basic Types of Partnerships

1. Common Policy Goal: 2. Enhanced Reputation/

Visibility:
To address a shared, specific,
and defined policy issue within To enhance the visibility of the
a designated geographic area partners on a certain issue, to clarify
(regardless of geographic scale). the purposes and motivations of
partners’ activities, or to inform the
public about factual information in
ways that benefits them.

3. Resource Sharing: 4. Programmatic:

Expand or enhance a governmental To enable the achievement of policy

entity’s ability to deliver its objective goals more effectively and efficiently
by utilizing resources available from reached through public-private
partnership than alone.
private sector partners.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 42

Guiding Principles for
Effective Partnerships

1. Do More With Less: 2. Build Upon Others’ Expertise:

Partnerships should enhance Partnerships should take advantage

governmental resources in a targeted of the core competencies of external
manner, which is increasingly stakeholders based on their unique
capabilities and skills.
important as governments confront
large budget deficits and spending
constraints.

3. Leverage Collective Action: 4. Improve Performance:

Partnerships should bring together Partnerships should increase

new coalitions of public and private efficiencies and rely on external
actors in order to solve problems that stakeholders to improve the speed
cannot be addressed by any single and agility of accomplishing a shared
organization or sector alone. policy objective.

5. Involve a Broad Spectrum of

Actors:

Partnerships should create

opportunities for individuals
and small and medium-sized
organizations across the nation
to participate actively in solving
national challenges.

Desktop Manual | Partnerships for Impact, by Robert T. Lalka 43

Thank you for reading the Desktop Manual for Impact Policymaking.

We hope that it was both interesting and helpful, and that you’ll return to it as
you pursue a multitude of impactful initiatives.

The Manual was designed to be a living document. Because the Impact Economy
will continue to evolve, so will the Manual. It will be updated over time, with new
examples, new sections, and new information.

One of the best ways to make sure that each update is relevant (and helpful) is
to hear from you. So please, let us know what additional information you’d like to
see, what questions you’d like answered, or which sectors you’d like to hear more
about.

[email protected] is where you can always reach us. We look forward to

your feedback, and to stories of the impactful outcomes you help achieve!

Thank you again,

Mark, Rob, Howard, and Kate

We would like to thank the many people, organizations, and institutions who have
made this Manual possible. It would be impossible (in fact, it is impossible) to list
everyone involved in building the Impact Economy. Just as it’s impossible to list
everyone, across the country, who is using their professional lives in pursuit of
solving common problems.

But we can thank those without whom the Manual could never have taken shape.

Thank you to Lexi, Lili, and Lynn, for listening to our never-ending re-wording of our
chapters. Thank you to Julian, Thomas, Tice, and Taylor, for being (or pretending to
be) so interested in what we’ve been up to for the past six months or so.

Thank you to the Tipping Point Fund on Impact Investing, and each organization that
contributed to its formation. Without your questions, we would not have been able to
generate these answers.

Thank you to John, for offering your words and wisdom.

Thank you to the W.K. Kellogg Foundation for its ongoing leadership in the field of
racial equity.

Thank you to Fran and John, for helping us push through to conclusion.

Thank you to Jade, for giving life and vibrancy to our words, with your art and artistry.

Thank you to Sonal, for giving us a start. Thank you to Ron, Dave, Jackie, and Wayne.
To Cathy, Ginger, Pam, Victor, Steve, and so many, many others for always taking calls,
lending thoughts, and offering advice and guidance, whenever it’s needed.

Thank you to Christine and Clayton, for the perpetual generosity of time and spirit, for
always encouraging the pursuit of new ideas, and for helping sharpen ideas already
formed.

Thank you to Anne-Marie for your many years of public service and leadership, to
Jim for your mentorship and friendship, and to both of you for the many small and
uncelebrated acts of patriotism that made our work together so great.

Thank you to Lowell and Bill for your early and ongoing guidance and direction on this
work.

And above all, thank you to you, the reader. For the work you do, and for the work you
will do. And for your interest in doing the work to make impact a standard practice
rather than a theory, and an expectation rather than exception. It is through your
work, and your efforts, that the greatest outcomes of this project will be realized.

Mark, Rob, Howard, and Kate

45