1. Jueves 11 11:15-12:10 2:00-3:10pm
Procesos de adopción (incluyendo las reformas necesarias
para dicha adopción) y usos concretos de la información de
desempeño en sistemas presupuestales de algunos países de
América Latina: México y Chile

2. ALGUNAS EXPERIENCIAS DE CHILE

3. 3
2. EL SISTEMA DE M&E
― Arquitectura
 Diseñado, manejado y utilizado por el Ministerio de
Hacienda
 Desarrollado a lo largo de 13 años – Nuevo balance
 Indicadores de Desempeño (∑1,600) para todos los
programas de gobierno (1994)
 Evaluación de programs de Gobierno (∑ 185)
– son las Ejecutivas (1996)
 Evaluaciones rigurosas de impacto (∑18) (2001)
 Revisiones comprensivas del gasto (∑8) -- miran todo
un sector (2002)

4. Estrategia de institucionalizacion de GbR: estrategia,
actores, instrumentos – “modelo chileno”
ESTRATEGIA INSTRUMENTOS LOGROS
Balances Fiscales e Ideas
politicas (80’s – 90’s)
Planeacion Estrategica
(reducida a requisitos de
Hacienda). Crecen Programas
Multisectoriales
Avances en cultura de resultados y
gestion de la evidencia.
Transferencias condicionadas a
resultados
MMM – espacio fiscal y alivio
presion = PP, M&E
centralizados en Hacienda)
SIGOB: debil conexion con
presupuesto o contabilidad.
Debil relacion causal
Imposicion forzada de
procedimientos e instrumentos y de
utilizacion
Hacienda demanda objetivos,
indicadores. metas, M&E
Desarrollo formal de
indicadores, metas; control de
medios de verificacion
Medicion de pobreza, focalizacion,
metas de inclusion. Criminologia e
investigacion apoyan gestion
Debil demanda del Congreso o
de metas gobierno. Baja
utilizacion efectiva
Lenta adopcion de estandares
contables internacionales en
toda la administracion
Demanda de agencias autonomas
responsables por ejecucion y
resultados
Auditorias de resultados Marco legal y reglamentario Demanda de estandares comunes
entre niveles de gobierno

5. 5
Chile’s M&E System
― Fortalezas (i)
 Graduados en M&E
 Evaluaciones conducidas externamente:
proceso transparente; creíble
 Las conclusions y recomendaciones se
reportan al Congreso
 Sistema de M&E estrictamente ligado al
proceso presupuestario
 Información de resultados compromete
metas que cumplen los ministerios
 Hacienda monitorea milimétricamente la
información y la utilización presupuestaria

6. 6
Chile’s M&E System
― Fortalezas (ii)
 Elevada utilización de resultados de M&E
en el proceso presupuestario – impone
mejoramiento de programas a los
ministerios (ver Tabla)
Utilization of government evaluations -- 2000 to 2005
Minor
adjustment
of program,
e.g.
improved
info system
Major change
in mangement
processes e.g.
new targeting
criteria, new
mgmt info
system
Substantial
redesign of
program or
of organiz-
ational
structure
Institutional
relocation
of program
Program
termination
TOTAL
24% 38% 24% 5% 9% 100%

7. 7
Chile’s M&E System
― Debilidades
BAJA APROPIACIÓN Y BAJA
UTILIZACIÓN SECTORIAL Y
MINISTERIAL DE LAS
EVALUACIONES DEL
MINISTERIO DE HACIENDA

8. Problemas y limitaciones de instrumentos
desarrollados inicialmente (1) L.A.
ALTO RIESGO USO
POLITICO Y PERDIDA DE
VISTA DEL CIUDADANO
Baja calidad contabilidad, cuasi-contratos,
capacidad absorcion
Resistencia pasiva – baja
confiabilidad medicion
Cumplimiento formal y agendas paralelas-
Debil accountability

9. Se logró aportar IR al Presupuesto. PERO,
Cuáles Problemas persisten – Por qué?
- Balance particular/secundario – general/prioritario: la
fábrica de M&E + Cascada de prioridades y uso piramidal
- Información insuficiente o inadecuada: acumulación y
continuidad – Banco de Indicadores y Resultados
- Información financiera o física discordante
- Medios de verificación débiles – Colisión de intereses-
falta de especialidad de agencias de Censo y Estadística
- Masa crítica especializada y protectora del Good Will
- Limitado Uso – El Presupuesto Anual
- Énfasis en purismo sobre usos demandados – Débil
efecto Demostración

10. ¿Esquema institucional para utilización en
decisiones de política pública? ¿Resistencias?
ESTRATEGIA OBSTÁCULOS TÉCNICOS Y RESISTENCIAS
“Bajada en cascada de
metas presidenciales”
Excesiva centralización; movimiento pendular
hacia balance Autonomía-Control-Cohesión –
Esquemas técnicos. Ej: holding
Guías técnicas de “Policy
Reviews” exigen
utilización de
información-resultados
Subdesarrollo de la evaluación de políticas –
falta de contestability y de masa crítica
independiente – Falta de vínculo institucional
entre Política – Programas (balance inestable)
Vinculación Plan-
Políticas - Presupuesto-
Programa
Dependencia del ciclo político – Descuido de
programas no prioritarios
Técnicamente difícil
Coordinación, Redes y
focalización en territorio
Federalismo Fiscal – Autonomía política =
Gestión Individual, descoordinada y atomizada
Posicionamiento: apoyo,
sinergias, no duplicación
Credibilidad de la evaluación externa; moderna
coordinación es resistida por silos tradicionales

11. ¿Cómo lograr Producción y uso continuo de
evaluaciones cuando los funcionarios cambian?
• Instituciones, sistemas o programas de
evaluación acreditados y con demostración de
utilización en políticas y en gestión
• Invitación al nuevo gobierno a Mejorar:
propuesta estratégica, con beneficios y
medición de costos de transición
• Articulación con otras unidades de gobierno,
Congreso, sector privado y comunidades

12. LO QUE HA CAMBIADO EN CHILE 2010-2014
TODO CENTRADO
EN PRESUPUESTO
Y MANEJADO
POR
PRESUPUESTO
FORTALECER
APROPIACIÓN Y
GARANTÍA DE
LOGRO DE METAS
PRESIDENCIALES
MONITOREO –
EJEMPLO: METAS
DE REFORMA
TRIBUTARIA

13. ALGUNAS EXPERIENCIAS DE
MÉXICO

14. www.coneval.gob.mx
Gonzalo Hernández Licona
Septiembre, 2012
Avances y Retos en la Construcción de una
Gestión basada en Resultados en México:
Política Social

15. Retos
• Institucionales
(reglas del juego
para que exista y
se use la
evidencia)
• Técnicos
(información,
metodologías de
medición,
evaluadores de
calidad, etc.)
• Presupuestales
Decisiones de
Política Pública
sobre:
• Planeación, Cambios
normativos,
Presupuestales,
Operación
• Ejecutivo
(Presidencia
Ministros)
• Gobiernos
Subnacionales
• Congreso
Parlamento
Evidencia Sólida y
Objetiva
Resultados sobre:
• Calidad de vida,
Bienestar, Acceso
Efectivo a Derechos
(Pobreza, Ingreso,
Inflación, Desempleo,
Calidad educativa,….)
• Leyes y Normas
• Sectores
• Estrategias,
Programas y
Proyectos
• Operativos
EVALUACIÓN
MONITOREO
Rendición de Cuentas
Retos
Institucionales y
Técnicos
GESTIÓN BASADA EN RESULTADOS

16. Retos
• Institucionales
(reglas del juego
para que exista y
se use la
evidencia)
• Técnicos
(información,
metodologías de
medición,
evaluadores de
calidad, etc.)
• Presupuestales
Decisiones de
Política Pública
sobre:
• Planeación, Cambios
normativos,
Presupuestales,
Operación
• Ejecutivo
(Presidencia
Ministros)
• Gobiernos
Subnacionales
• Congreso
Parlamento
Evidencia Sólida y
Objetiva
Resultados sobre:
• Calidad de vida,
Bienestar, Acceso
Efectivo a Derechos
(Pobreza, Ingreso,
Inflación, Desempleo,
Calidad educativa,….)
• Leyes y Normas
• Sectores
• Estrategias,
Programas y
Proyectos
• Operativos
EVALUACIÓN
MONITOREO
Rendición de Cuentas
Retos
Institucionales y
Técnicos
GESTIÓN BASADA EN RESULTADOS

17.  Mejor coordinación entre las instituciones de evaluación y el PbR: Planeación vs Ppsto;
Coneval, SHCP y SFP
 Reto inminente de cambio de gobierno, partidos políticos y congreso
 Mayores capacidades en evaluación y técnicas de medición
 Mejorar indicadores de diversos programas
 Indicadores de calidad de los servicios educativos y de salud
 Registros administrativos
 Padrones de beneficiarios
 Evaluación de cambios en las legislaciones y las normas
 Evaluar y monitorear Sectores/dependencias. Objetivos estratégicos.
 Evaluación rigurosa en Estados y Municipios. Balance de poder entre Gob. y Congreso local.
 Tomar más en cuenta la información de evaluaciones en las decisiones presupuestales,
operativas, estratégicas.
 Cada año crece el número de programas, aprovechando los recursos petroleros,
con una lógica más política que de resultados: Entre secretarías, entre órdenes de
gobierno, entre ejecutivo y legislativo. La conformación del presupuesto es cada vez
más un ejercicio atomizado.
 El PbR debería ser algo más amplio que sólo cambios presupuestarios entre
programas.
Retos

18. Examples of Obama Administration High Priority Goals
Goal Statement
Exports Double U.S. exports by the end of 2014.
Entrepreneurship/Small Business Increase federal services to entrepreneurs and small businesses with an emphasis on 1) startups and growing firms and 2) underserved
markets.
Strategic Sourcing Reduce the costs of acquiring common products and services by agencies’ strategic sourcing of at least two new commodities or services in
both 2013 and 2014, that yield at least a 10 percent savings.
Broadband As part of expanding all broadband capabilities, ensure 4G wireless broadband coverage for 98 percent of Americans by 2016.
Energy Efficiency Reduce Energy Intensity (energy demand/$ real GDP) 50 percent by 2035 (2010 as base year).
Veteran Career Readiness By September 30, 2013, increase the percent of eligible servicemembers who will be served by career readiness and preparedness
programs from 50 percent to 90 percent in order to improve their competitiveness in the job market.
Job Training Ensure our country has one of the most skilled workforces in the world by preparing 2 million workers with skills training by 2015 and
improving the coordination and delivery of job training services.
Improper Payments The Federal Government will achieve a payment accuracy rate of 97 percent by the end of 2016.
Closing Skill Gaps Close critical skills gaps in the Federal workforce to improve mission performance. By September 30, 2013, close the skills gaps by 50
percent for 3 to 5 critical Federal Government occupations or competencies, and close additional agency-specific high risk occupation and
competency gaps.
Cybersecurity Executive branch departments and agencies will achieve 95% implementation of the Administration’s priority cybersecurity capabilities by
the end of FY 2014.
18

19. EJEMPLOS DE PRIORIDAD DE ALGUNOS MINISTERIOS
QUÉ ES LO VINCULANTE? CON QUÉ INCENTIVO?
Department Priority Goal
Defense Improve the care and transition of wounded, ill, and injured warriors
Education Improve students' ability to afford and complete college
Health and Human Services Reduce cigarette smoking
Homeland Security Improve the efficiency of the process to detain and remove criminal aliens from the United States
Housing and Urban Development Prevent foreclosures
Interior Reduce violent crimes in Indian communities
Justice Reduce gang violence
Labor Reduce worker fatalities
Transportation Reduce the rate of roadway fatalities
Veterans Affairs Improve accuracy and reduce the amount of time it takes to process Veterans' disability benefit claims
19

20. CGR – lista de políticas y programas de alto riesgo (2013)
 Strengthening the Foundation for Efficiency and Effectiveness
 Limiting the Federal Government’s Fiscal Exposure by Better Managing Climate
Change Risks (new)
 Management of Federal Oil and Gas Resources
 Modernizing the U.S. Financial Regulatory System and Federal Role in Housing
Finance
 Restructuring the U.S. Postal Service to Achieve Sustainable Financial Viability
 Funding the Nation’s Surface Transportation System
 Strategic Human Capital Management
 Managing Federal Real Property
20

21. POLÍTICAS Y PROGRAMAS DE ESPECIAL ATENCIÓN PARA GAO
 Transforming DOD Program Management
 DOD Approach to Business Transformation
 DOD Business Systems Modernization
 DOD Support Infrastructure Management
 DOD Financial Management
 DOD Supply Chain Management
 DOD Weapon Systems Acquisition
21

22. CGR (cont)
 Ensuring Public Safety and Security
 Mitigating Gaps in Weather Satellite Data (new)
 Strengthening Department of Homeland Security Management Functions
 Establishing Effective Mechanisms for Sharing and Managing Terrorism-
Related Information to Protect the Homeland
 Protecting the Federal Government’s Information Systems and the Nation’s
Cyber Critical Infrastructures
 Ensuring the Effective Protection of Technologies Critical to U.S. National
Security Interests
 Revamping Federal Oversight of Food Safety
 Protecting Public Health through Enhanced Oversight of Medical Products
 Transforming EPA’s Processes for Assessing and Controlling Toxic Chemicals
22

23. POLÍTICAS Y PROGRAMAS MONITOREADOS POR CGR
 Managing Federal Contracting More Effectively
 DOD Contract Management
 DOE’s Contract Management for the National Nuclear Security
Administration and Office of Environmental Management
 NASA Acquisition Management
23

24. MIR, MML y su seguimiento = valor marginal
decreciente (y hasta estorbo) – NO cambia si
se cubren más MIR o se intensifica el control
Hoy el desafío # 1 es la baja
utilización de la IR disponible y la
falta de IR susceptible de ser
monitoreada en programas de
gobierno y los demás
intersectoriales
UED no le pega a
desafíos
primordiales
actuales

25. Factores de Cambio = nuevas líneas de servicios UED
Internos:
Dependencias aprendieron MIR y
MML; quieren hacerlas más
pertinentes a su mandato – enfrentan
fragmentación interna
Cumplen formalmente con UED
mientras negocian presupuestos según
sus propias necesidades, en armonía
con respaldo central
Externos:
PRIORIDADES PRESIDENCIALES
COMPROMETEN EXPLÍCITAMENTE
RESULTADOS, LOS PROGRAMAS
TRANSVERSALES O INTERSECTORIALES Y
LA ESPECIFICACIÓN DE POBLACIÓN
OBJETO EN TERRITORIOS ESPECÍFICOS
DEMANDA
UED: MISMO MANDATO,
líneas de servicios
actualizadas, relevantes,
de impacto cotidiano
visible (factor de
fortalecimiento de
confianza ciudadana en los
compromisos de servicio
del Estado)

26. El desafío importante del gobierno
(y prioridad de la UED):
resultados en grupos de población y territorios específicos
(programas transversales, territoriales, especiales) = mayor
confianza en las instituciones
El desafío actual por dependencia:
cohesión coordinación interna
Las dependencias individuales aprendieron lo
básico. Algunas no aprendieron a trabajarlo
en equipo, menos aún intersectorialmente

27. Construir sobre logros pasados e iniciativas actuales,
ROBUSTECIENDO LA UED COMO PALANCA DE GESTIÓN
PRESUPUESTO-RESULTADO
Elevar impacto de vigilancia y
capacitación MIR y MML
mediante apoyo a la cohesión
interna en torno a las MIR
Elevar eficacia de identificación
y control de vínculos entre
programas y metas prioritarias
de Presidencia/Gobierno
Llenar el vacío de
coordinación intersectorial
gestión-presupuesto para
otros resultados prioritarios
Demostrar en los hechos la
especialización de la UED en
las trayectorias de
implementación para la toma
oportuna de decisiones
presupuestarias. Trabajo
colectivo con SFP y CONEVAL
basado en especialidad
demostrada en los hechos

28. ACTUALIZAR TIPO Y FINES DE INTERVENCIÓN UED PARA
ELEVAR IMPACTO EN RESULTADOS
COMPLEMENTANDO LAS
DEPENDENCIAS
PRIORIZAR MIRs QUE
REQUIEREN TRABAJO EN
PROFUNDIDAD
EL RESTO DE LAS MIR,
REGISTROS
AUTOMATIZADOS
MÁS ANÁLISIS (POR
SECTOR, POR
TERRITORIO, POR
GRUPO DE POBLACIÓN)
LIBERANDO
CAPACIDAD PARA
NUEVOS DESAFÍOS
MESAS DE TRABAJO CON
PRINCIPALES ACTORES Y
COMPROMISOS EXPLÍCITOS
DE COHESIÓN INTERNA

29. RECOGIENDO DE TERESA (US, UK)
• El cambio de PART a grandes metas prioritarias
• Ejemplos de reportes sectoriales de resultados
• USA tiene sólo 9 grandes metas prioritarias; UK tuvo 4
• Evolución Blair/Brown – Cameron
• El énfasis en el ciudadano
• Australia, mayor / menor peso de Presupuesto

30. PRIORIZACIÓN DE METAS DE GOBIERNO
• Criterios de priorización se emplean para seleccionar evaluaciones
• Son aún más útiles para seleccionar programas que serán seguidos en
profundidad , con documentación sobre la calidad de las metas y con
seguimiento conjunto a los resultados intermedios entre Presupuesto y los
ministerios sectoriales.
• Conexión con decisiones a lo largo del ciclo presupuestario: los programas
que están siendo monitoreados en profundidad se trabajan conjuntamente
entre Presupuesto, ministerios.
• También se anuncian a los expertos sectoriales de la DGPP para que ellos
anticipen que recibirán oportunamente información adicional de resultados
sobre estos programas, lo cual redundará en mejores decisiones de
aprobación inicial o de adecuaciones presupuestarias.

31. OPERACIONALIZACIÓN METAS PRIORITARIAS EN
PROGRAMAS GOBIERNO
• Factor esencial para la toma de decisiones importantes por parte de
la presidencia, en el gabinete de gobierno.
• Imprime concreción y eficacia al acompañamiento que Presupuesto
presta a los ministerios
• Conexión con decisiones a lo largo del ciclo presupuestario: los
aportes de los ministerios a los programas transversales suelen tener
prioridad para la Presidencia o para el Gabinete de Gobierno. Como
tales, suelen recibir prioridad en las decisiones sobre apropiaciones
iniciales o en las adecuaciones durante la ejecución del presupuesto.

32. CONTRIBUYE A GARANTIZAR VÍNCULO ENTRE PROGRAMAS
PRESUPUESTARIOS Y METAS PRIORITARIAS DE GOBIERNO
COMPROMISOS PRIORITARIOS
DEL GOBIERNO CON EL
CIUDADANO (GENERALMENTE
TRANSVERSALES, DE RESULTADO
FINAL EN CIUDADANOS)
• DGPP AYUDA A
ESPECIFICAR LA CADENA
DE PRODUCCIÓN A
PARTIR DE LA META DE
POLÍTICA PÚBLICA
CONTRIBUCIÓN DGPP: ASEGURAR
PUENTE ENTRE PRIORIDADES DEL
GOBIERNO, DISPOSICIÓN DE
RECURSOS PRESUPUESTARIOS Y
RESULTADOS ESPERADOS POR
CIUDADANO
• DGPP REVISA CON DGPs
MINISTERIALES LAS
IMPLICACIONES
PRESUPUESTARIAS DE LA
CONTRIBUCIÓN DE CADA
ENTIDAD A PRIORIDADES
PRESIDENCIALES
DGPP VIGILA AQUELLOS
PROGRAMAS QUE
OPERACIONALIZAN
METAS PRIORITARIAS DEL
GOBIERNO
• DGPP REGISTRA
AVANCES Y
OBSTÁCULOS EN
CUMPLIMIENTO METAS
PRESIDENCIALES

33. DGPP asegura coordinación intersectorial gestión-
presupuesto para elevar impacto de servicios transversales
DGPP ASEGURA
IMPACTO
SERVICIOS INTER-
SECTORIALES EN
CIUDADANOS
DGPP vigila y propone
correcciones a las
Trayectorias de
implementación
Planes sectoriales
estratégicos dan
pautas de
intervención
focalizada del sector DGPP propone cadenas
de producción del
servicio, con
responsabilidad precisa
de cada sector

34. LAS TRAYECTORIAS DE IMPLEMENTACIÓN:PARA MONITOREO
Y CORRECCIÓN OPORTUNA DURANTE CICLO PRESUPUESTARIO.
• Las trayectorias de implementación se aplican solamente a los programas
prioritarios, con el fin de demostrar los beneficios del instrumento y de
aprender su manejo más eficiente. Son ejercicios dispendiosos, que
consumirán tiempo importante de personas con elevado talento, en el
presupuesto y en las dependencias.
• Conexión con decisiones a lo largo del ciclo presupuestario: el seguimiento y
la corrección de las trayectorias de implementación proveen la información
más fundamentada para los convenios de desempeño y la toma de decisiones
presupuestarias en la fase de preparación y aprobación, en la de ejecución y en
la de evaluación y rendición de cuentas del gasto.
PERMITEN HACER VINCULANTE EL COMPROMISO DE RESULTADO

35. MAPAS O CAMINOS DE ACCESO CIUDADANO AL SERVICIO
• La herramienta más poderosa para asegurar la unión REAL de las
expectativas ciudadanas con la oferta del gobierno de producir un
resultado.
• Se emplean en el análisis en profundidad de MIR prioritarias,
comenzando con unos pocos piloto por servicio y por comunidad
• Conexión con decisiones a lo largo del ciclo presupuestario: la detección
de problemas de acceso debe llevar a reformular la cadena de producción
del servicio hasta el impacto final, con obvias implicaciones para la
asignación en el presupuesto aprobado y en las adecuaciones
presupuestarias y aspectos susceptibles de mejora.
NO HACE FALTA QUE CADA GASTO TENGA RELACIÓN DIRECTA CON
RESULTADO

36. TABLERO DE CONTROL DE RIESGOS Y RESPONSABILIDADES
INDIVIDUALES
• COMPLEMENTA O COINCIDE CON TABLEROS CENTRALES LLEVADOS
FRECUENTEMENTE EN PRESIDENCIA
• SEGUIMIENTO, VIGILANCIA, CONTROL Y REPORTE DE IMPLEMENTACIÓN
TRAYECTORIAS DE IMPLEMENTACIÓN
• provee la información más certera y oportuna para la toma de decisiones por
parte de la presidencia, el gabinete o los ministros.
• Conexión con decisiones a lo largo del ciclo presupuestario: el tablero de
control se construye, se monitorea y se corrige con participación, entre otras
unidades, de las direcciones de presupuesto de los ministerios o
departamentos administrativos. Las derivarán del tablero propuestas de
variación en las asignaciones para llevar a DGPP.

37. IDENTIFICACIÓN DE FACTORES DE DESVIACIÓN DE
TRAYECTORIA Y CORRECCIÓN OPORTUNA DE PROGRAMAS
• Equivale a la información que espera un presidente, un gabinete, un ministro
o, en la empresa privada, una junta o consejo directivo o un CEO, para tomar
decisiones tan fundamentadas cuanto es posible y cuanto justifica la
envergadura de la decisión (
• Es una práctica que, liderada por Presupuesto, multiplica exponencialmente
su incidencia en algunas de las más importantes decisiones públicas.
• Conexión con decisiones a lo largo del ciclo presupuestario: las propuestas
de correcciones deben ser costeadas contra los costos de oportunidad y los
beneficios que arrojaría el logro del resultado esperado. El cálculo de los
costos y los beneficios ha de ser realizado por funcionarios de DGPP junto
con Direcciones Presupuesto de los Ministerios, sometido a las cabezas de la
dependencia y traído a consideración de Dirección de Presupuesto.
G.

38. LAS NUEVAS MESAS DE TRABAJO
• CREACIÓN DE CONSENSOS ENTRE UNIDADES DE PRESUPUESTO, JUNTO
CON PLANEACIÓN E INFORMACIÓN DE LOS MINISTERIOS
• Eleva apropiación por parte de los ejecutores del gasto
• Asegura que el monitoreo y la evaluación incidan en el logro del resultado
y en las concomitantes decisiones presupuestarias.
• Conexión con decisiones presupuestarias: las decisiones de las mesas
que tienen consecuencias presupuestarias son analizadas por
presupuesto, planeación, evaluación, control interno de los ministerios,
junto con el consiguiente cálculo de costo.
• Cuando se trata de programas prioritarios que demandaran recursos
adicionales para llegar al resultado, la dependencia buscará, primero,
abrir el espacio fiscal suficiente dentro de su propio presupuesto y, si no
lo consiguiere, solicitará incremento en las asignaciones a la DGPP

39. • How you will achieve the governments ambition.
• How the money follows the critical path.
• The nature of the relationships (accountability, common
purpose, etc.) between the various organisations involved.
• The synergies and conflicts which help or hinder their
ability to work together.
• How the system interacts with the citizen.
• Opportunities for improving efficiency and effectiveness
A Delivery System Map

40. Moving from a Ministry silo….
40
Ministry
Regional Government
Local Government
Service provider
Citizen

41. … to ‘citizen centric’
Local
Authority
Primary
Care Trust
SchoolSchool Doctors
CitizenFamily
EDUCATION HEALTHSPORT
Youth Sport
Trust
Government
Office
Health
Authority
School Sport
Partnerships

42. Crime Reduction
Community
Safety
Partnerships
(340)
MoJ
Home Office
CLG
DfE
DoH
BIS
NPIA
National Policing
Improvement
Agency
ACPO
Professional
association of
chief police
officers
HM Court
Service
NOMS
10 Govt
Offices
Regional
representation of
Government
Audit
Commission
Audit local
authorities
(including police)
NHS
10 SHA
Enacting
directives and
implementing
policy
43 Police
Authorities
Hold the police to
account on
behalf of
communities
5 CJS
Inspectorates
Regulate and
inspect CJS in
England and
Wales
10 DOMS
Directors of
Offender
Management
152 Local Authority
152 Primary Care Trusts
63 Fire Brigades
22,728 Schools
1,121 Hospitals
Health Providers
Landlords
(Also includes police forces, probation
areas and Youth Offending Teams)
152 YOT
As probation, for
under 18s.
43 Probation
Areas
Ensuring provision
of interventions to
reduce offending
43 Police
forces
Responsible for
front-line policing
Voluntary Sector
Providers
Provision of
services in many
CJS areas
Manufacturers
Production of
crime-proof
products
Neighbourhood
Watch
Witnesses
Victims
Offenders
Family/Peers
Local
Criminal
Justice
Boards (42)
42 CPS
140 Prisons
626 Courts
(Also includes police forces, probation
areas and Youth Offending Teams)
National Regional Local

43. 43
Delivery System for PSA 18 – Better Health For All – DH strand
National Regional Agencies
Strategic
Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Performance
Management
Performance
Management
of delivery
agreements
Influence
GPs & Practices
Patients,
People who
need
and use
social care,
Citizens,
Socially
Excluded /
Disadvantaged
Groups,
Carers….
Equitableoutcomes
LAAs,LSPs
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and
FTs
Specialist Units /
Trusts
jointcommissioning
= Department / Agency = national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including
‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Choice&Voiceinfluencingprovisionandcommissioninge.g.LINks
Footnote 1, 07/8 programme to co-locate public health and social care presence
in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing,
vfm
DH
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
Public Health
Observatories
provides support
Primary Care
Trusts (inc PBC)
JSNA
Better Health For All

44. 44
Delivery System for PSA 18 – Better Health For All – DH/CLG strand
National
DCLG
Regional Agencies
Strategic
Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Government
Offices (incs
PH1)
Performance
Management
Performance
Management
of delivery
agreements
Influence
GPs & Practices
Patients,
People who
need
and use
social care,
Citizens,
Socially
Excluded /
Disadvantaged
Groups,
Carers….
Equitableoutcomes
Performance
Management,
funding
LAAs,LSPs
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and
FTs
LA Teams and
Specialist LA Units
Specialist Units /
Trusts
Social Care providers
Independent providers e.g.
ISTCs
Voluntary providers
Commissioningincsjointcommissioning
= Department / Agency
Regulators &
Inspectorates2
= national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including
‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Choice&Voiceinfluencingprovisionandcommissioninge.g.LINks
Inspect, Reviews & Reports
Footnote 1, 07/8 programme to co-locate public health and social care presence
in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing,
vfm
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
Public Health
Observatories
provides support
environment, housing, roads,
schools, benefits, etc
Primary Care
Trusts (inc PBC)
Local
Authorities inc
OSCs
JSNA
DH
Better Health For All

45. 45
Delivery System for PSA 18 – Better Health For All – Complete system
National
DCLG
Regional Agencies
Strategic
Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Government
Offices (incs
PH1)
Performance
Management
Performance
Management
of delivery
agreements
Influence
GPs & Practices
Patients,
People who
need
and use
social care,
Citizens,
Socially
Excluded /
Disadvantaged
Groups,
Carers, etc
Equitableoutcomes
DCSF
DWP
Performance
Management,
funding
LAAs,LSPs
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and
FTs
LA Teams and
Specialist LA Units
Specialist Units /
Trusts
Social Care providers
Independent providers e.g.
ISTCs
Voluntary providers
Commissioningincsjointcommissioning
= Department / Agency
Regulators &
Inspectorates2
= national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including
‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Choice&Voiceinfluencingprovisionandcommissioninge.g.LINks
HO
Inspect, Reviews & Reports
DCMS
Footnote 1, 07/8 programme to co-locate public health and social care presence
in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing,
vfm
DH
Defra
DIUS
DfT
Cross-governmentworking
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
influence
RDAs, Regional
Assemblies, etc
OGD
influence
Public Health
Observatories
provides support
environment, housing, roads,
schools, benefits, etc
OGD influence
regeneration
influence
Primary Care
Trusts (inc PBC)
Local
Authorities inc
OSCs
Business
community
JSNA
Better Health For All

46. 46
Citizen Journeys
Citizen Journey
Mapping
Improves Performance
By showing that different groups have
different requirements
By revealing pressure points using
journey maps
By identifying key issues in current
delivery
By prioritising next steps for action

47. Action to prevent repossessions – Customer Journeys 2 – ‘Facing repossession / court’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘Chris and Natalie’ brought their ex-council home in Leeds in 2006, and have a young son. Chris has been out of work for 10 months since injuring his arm on a building site, Natalie works part time in a supermarket
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement Review Decision Response Progression
Deliverypartnersandactorsonthejourney
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Version: 1.1
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
Experience Summary
Awareness building for vulnerable groups Consistency of lender advice Advisor congestion LA / RSL Handoff
Key pressure points:
Key support experiences:
(a) Moment of truth when made
aware of support potential
(a) Lack of early awareness,
particularly amongst those highly
vulnerable delays intervention
(b) The most eligible groups ‘bury
their heads’ such that agencies,
lenders receive at the last minute
(c) Lender response at point of
need varies from highly supportive
to aggressively dismissive
(b) Case worker support and
guidance throughout the process
(c) For MRS – level of
tenancy support from RSLs
ll
e
(d) Advisor congestion, even for
those prepared to wait can delay
delivery considerably
(e) For MRS cases, the L/A – RSL
handoff features assessment
rework and some friction
Weight of lender messaging
b
l
d
lt
f
t
g
h
c
ll
i
j
l
k
l
m
n
o
p
l lll
q r
s
t
l l l
u
v
30
w
x
The RSL
approaches
the lender to
confirm
financial status
but does not
have written
approval –
they have to
revert to the
local authority,
who call
Natalie back to
sign the form
A valuation is
arranged, but an
appointment
takes 2 weeks to
agree – “it was a
little frustrating,
but they came
soon enough” A
second visit
secures a survey
so that the RSL
can move to offer
Having agreed a
provisional position
with the RSL board,
the lender is
approached to
confirm the
redemption
statement –
however Natalie
and Chris’ arrears
have mounted, and
an agreement is
delayed – Chris
begins to worry that
the deal might fall
through – “every
delay makes you
worry you will be
back in court”
The RSL case worker
calls Natalie to tell her that
they are prepared to make
an offer – “it was such a
weight off my shoulders –
I was in tears” – they
commence the cooling off
period and approach an
IFA for advice; and they
accept the offer. “We were
surprised by the 3%
reduction, but at the end
of the day, staying in your
home means everything”
Both their RSL and LA case
workers reassure them that
they are pursuing a solution –
“I can’t thank them enough
for their help”
Natalie is asked to
appoint a solicitor to
handle the
conveyencing by her
RSL – “I was worried
because we didn’t
have the money” –
however she is
reassured that the
scheme will cover the
cost
Finally, the deal is
done – “on the day we
exchanged contracts, it
was a new beginning
for us; Dylan has
started nursery, and he
can stay with his
friends”
Conveyencing proves
a drawn out process
– “I found myself
receiving calls from
my solicitor asking
me what to do!”,
meanwhile letters
from their lender
continue to arrive – “I
wish we could have
frozen everything
with the bank – it was
so worrying” – the
tenancy contract also
proves a concern – “I
just wanted to know
what would happen
to us when it expires”
Jobcentre Plus continue to
support Chris; and with the
worry of mortgage payments
gone, he can focus on the
future – “before I couldn’t see
how we could get out, it
consumed all my time, now I
have a chance again”
The family receive a visit on
the day of exchange from
their tenancy officer – “he
was very friendly, and
promised to come back
regularly”
Panicking, she goes returns to the
council the day before the hearing,
asking for help – “The authority
was my only hope – I went to see
them about getting a flat to protect
my kids”
Recognising the urgency
of her case, she begins a
diagnostic to understand
Natalie and Chris’
circumstances – “It was
the most incredible relief –
to hear someone say ‘I
can help you’”
The following day a Local Authority
representative accompanies Natalie
to court – despite her fears, the
judge requests time to allow her to
explore options, and asks her lender
to apply the pre-action protocol “I
was frightened, but having someone
to support you really helped”
Their lender agrees to the court’s
request, and litigation letters are
suspended, but demands for
repayment continue from automated
systems – “We knew that they were
supporting the process, but the
letters still came – it’s like being on
the edge of a cliff”
Natalie’s case worker at
the local authority thinks
that she and Chris may
be eligible for the
mortgage rescue
scheme. There is a delay
of 10 days to see a
money advisor, but
Natalie is happy to wait –
“I didn’t want to go back
to renting, ideally, but it’s
the second best thing to
owning your home, and
you don’t have to leave
everything behind”
The Financial
advice
confirms that
the couple are
eligible, and
agrees to pass
their case to
the local
registered
social landlord
On receiving the file, the RSL
assigns a case worker, who calls
Chris to tell him what is happening –
“They were really helpful too then,
telling us that they were looking at
our case”
Chris and Natalie are a low
income family – Natalie works
part time to care for their son,
Dylan, while Chris is unemployed
following an accident at work.
They brought their ex council
house in 2006 before Chris lost
his job, toward the height of the
market, on an interest only basis
With Natalie’s income not enough
to cover their mortgage, bills and
loan repayments, they examine
advertised websites “We felt
forced into a corner – we didn’t
know where to go”
Natalie visits local
community
centres regularly
with Dylan, and
the council drop in
centre to make
monthly payments
– however
available
mortgage support
doesn’t register -
“I’m used to going
there, but don’t
recall seeing any
publicity”
They have
borrowed several
times in the past
few years, to do
work on the house,
and cover shortfall
in bills when Chris
was first injured.
Chris claims
incapacity benefit,
but a struggle for
monthly payments
are a way of life –
“we’re always
juggling – trading
one bill off against
another”
When a secondary loan is called in, they miss
a monthly payment. It isn’t the first time; they
have been in and out of arrears for several
months – “our mortgage terms changed and
we didn’t know how to keep up; letters keep
arriving but you hope they will go away”
Their lender runs out of
patience and seeks a court
order; “we approached
them, but had no support;
no advice”
Natalie is at her wits end as the
court approaches “We thought it
was the end – that we would lose
our home, and have to move –
imagine having to leave your
friends like that, and move your
children”
1
6
2
4
5
3
v
v
7
8
9 10
12
11
13
15
14 16
15
16
17
18 20
18
21
19
23
25
22 24
28
26
27
29
Customer experience
monitor:
Homeowners ‘burying their head in the sand’
Conveyencing delays
(e) For MRS cases, the L/A – RSL
handoff features assessment
rework and some friction
Detailed Journey Maps
Action to prevent repossessions – Customer Journeys 1 - ‘Newly Indebted’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘David and Lucy’ - Newly indebted. David was a security supervisor until being made redundant in January. Lucy works full time as a classroom assistant, but on reduced income they have fallen into mortgage arrears
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement Review Decision Response Progression
Deliverypartnersandactorsonthejourney
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Version: 1.1
Customer experience
monitor:
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
c
h
Experience Summary
Variable online scheme information Reliance on walk in
Weight of lender messaging
Key pressure points:
Key support experiences:
(a) Provision of informed advice by
front line groups – e.g. CAB
(a) Lack of early awareness and
acceptance on the part of the
homeowner
(b) Conflicting advice on initial
search, particularly online and
through television media
(c) Constraint on money advisors
leading to delivery delays and
increased risk of lender action
(b) Single person case support at
local authority and advisory level
(c) Relief at point of rescue;
availability of options
b
d
l l l
David and Lucy were both in
full time employment, with little
secondary debt, but they
borrowed heavily in 2006 to
buy their first home
Shortly after, David’s employer
loses a contract and he is made
redundant; Lucy’s wage and
savings cover the monthly
payment, but finances are tight. “It
was difficult, but I thought that we
could get by”
David remembers seeing
press reports in January
talking about government
mortgage support – “It
seemed like a good idea,
but I didn’t know what it
really meant at the time”
The savings don’t last however,
and David can’t find the job he was
hoping for – the couple miss two
monthly payments; letters start
arriving from their bank requesting
payment – “I felt so anxious, I
could hardly sleep for worry”
Remembering the press
report, David searches the
web for mortgage support
but can only find
independent debt advice –
he doesn’t know the
names of the schemes
and is confused – “There
are lots of independents
out there offering to buy
your home and lease it
back – but at a big cost”
l l l
t
j
e
David is looking for work,
and reluctantly visits his
local jobcentre, but he
doesn’t want to sign on –
“benefits felt like the
option of last resort”
e
David accepts a
telephone call from his
bank – they agree to
suspend action for
one month, but the
“lender suggested that
we seek support”
Meanwhile the bank
notices are building up.
They are now three
months in arrears and the
letters start to arrive from
the litigation team – “it felt
excruciating; sheer panic”
f
g
l l l
t
t
i
k
l
m
n
o
p
q
r
s
David attends a meeting
with a case advisor at the
local authority – he advises
a combined package of
benefits support, to include
Support for Mortgage
Interest and Married
Couples Allowance. The
Homeowner Mortgage
Support is considered, but
the advisor prefers to follow
“tried and tested options”
Accepting benefits is a tough decision –
“I felt ashamed to admit that I couldn’t
do this for myself”; but the package is
enough, combined with Lucy’s income
to enable a repayment plan with the
bank – “you are so relieved that
someone is there to support you, after
so much heartache and worry” – David
agrees to sign on
DWP sent an MI12 form to David’s lender
informing them of SMI support – the volume
inbound is high however, and the lender takes
time to acknowledge acceptance – “any delay
can feel like a lifetime, though you accept that
process must be followed”; lenders highlight
that early warning and involvement can help
improve speed of response
The couple’s case worker in the housing team
is following the situation closely, and keeps in
touch with the bank to ensure the agree
package of repayments and move to an
interest only mortgage is progressed –
“having just one person, who you could
always call with a problem, and who was
looking out for you, was a godsend”
A package agreed, the lender calls off court
action, and provides advisory support over the
following months. David continues to work
with his Jobcentre Plus and employment
agency teams to find new work
t
19 20
21 20
20
David doesn’t feel
comfortable going to
an office, so calls
several agencies –
“I received
conflicting
messages, but
people were helpful,
eventually CAB
particularly told me
to come in”
After more searching, he finds a
link to HMS on the treasury
website – “I thought that I was
eligible, but I couldn’t tell where to
go next”. Finally on a forum he
sees advice telling him to speak to
a money advisor. Meanwhile, his
bank call and writing ever more
often – “ there were letters every
day, I didn’t want to open them”
David and Lucy
make an
appointment to see
a Money Advisor,
but the wait at their
local centre is 3
weeks. In the
meantime, they can
only make a part
payment, and the
bank is losing
patience – “it had
only been a couple
of months, but we
received a final
notice”
Panicked Lucy approaches a
loan provider she finds online
– the deal has high interest
rates attached, but “at that
stage, when you face losing
your home, you are prepared
to do anything to stay”
They decide to hold the
appointment before
opting for the loan, and
meet a CAB advisor.
“He was brilliant –
explained our options,
and gave us materials”.
The advisor calls their
lender, and agrees a
further delay of
proceedings while the
couple are assessed
Completing a financial
statement takes two
more visits, but their
advisor makes time for
them and once
complete, is able to
assess their case and
refer them to the local
authority housing team
While the couple wait to
speak to their local authority,
letters from their lender still
arrive, despite agreeing to
forestall proceedings –
“Phone calls stopped, but
letters piled up”
11
12
l l t
16
l l
14 15
171
10
8
2
4
3
9
5
76
(d) Misalignment of communications
such that actions (e.g. lender
forbearance) and messages conflict
(e) Reliance on face to face
engagement; telephone queries
meeting mixed response
Advisor congestion
v 13
v 18
Limited customer and delivery partner feedback on Homeowner Mortgage Support (HMSS) means it has not been possible at this stage to qualify the delivery journey fully.
The example shown here reflects local authority feedback of similar cases, but requires qualification through further engagement.

48. Action to prevent repossessions – Customer Journeys 1 - ‘Newly Indebted’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘David and Lucy’ - Newly indebted. David was a secu
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement
Deliverypartnersandactorsonthejourney
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Customer experience
monitor:
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
c
h
Variable online scheme information Reliance on walk in
b
d
l l l
David and Lucy were both in
full time employment, with little
secondary debt, but they
borrowed heavily in 2006 to
buy their first home
Shortly after, David’s employer
loses a contract and he is made
redundant; Lucy’s wage and
savings cover the monthly
payment, but finances are tight. “It
was difficult, but I thought that we
could get by”
David remembers seeing
press reports in January
talking about government
mortgage support – “It
seemed like a good idea,
but I didn’t know what it
really meant at the time”
The savings don’t last however,
and David can’t find the job he was
hoping for – the couple miss two
monthly payments; letters start
arriving from their bank requesting
payment – “I felt so anxious, I
could hardly sleep for worry”
Remembering the press
report, David searches the
web for mortgage support
but can only find
independent debt advice –
he doesn’t know the
names of the schemes
and is confused – “There
are lots of independents
out there offering to buy
your home and lease it
back – but at a big cost”
l l l
t
j
e
David is looking for work,
and reluctantly visits his
local jobcentre, but he
doesn’t want to sign on –
“benefits felt like the
option of last resort”
e
David accepts a
telephone call from his
bank – they agree to
suspend action for
one month, but the
“lender suggested that
we seek support”
Meanwhile the bank
notices are building up.
They are now three
months in arrears and the
letters start to arrive from
the litigation team – “it felt
excruciating; sheer panic”
f
g
l l l
t
t
i
k
l
m
n
David doesn’t feel
comfortable going to
an office, so calls
several agencies –
“I received
conflicting
messages, but
people were helpful,
eventually CAB
particularly told me
to come in”
After more searching, he finds a
link to HMS on the treasury
website – “I thought that I was
eligible, but I couldn’t tell where to
go next”. Finally on a forum he
sees advice telling him to speak to
a money advisor. Meanwhile, his
bank call and writing ever more
often – “ there were letters every
day, I didn’t want to open them”
David and Lucy
make an
appointment to see
a Money Advisor,
but the wait at their
local centre is 3
weeks. In the
meantime, they can
only make a part
payment, and the
bank is losing
patience – “it had
only been a couple
of months, but we
received a final
notice”
Panicked Lucy approaches a
loan provider she finds online
– the deal has high interest
rates attached, but “at that
stage, when you face losing
your home, you are prepared
to do anything to stay”
They decide to hold the
appointment before
opting for the loan, and
meet a CAB advisor.
“He was brilliant –
explained our options,
and gave us materials”.
The advisor calls their
lender, and agrees a
further delay of
proceedings while the
couple are assessed
Comple
statem
more v
advisor
them
compl
assess
refer th
authority
While
speak t
letters
arrive,
fores
“Phon
l
11
12
l l t
1614 15
11
10
8
2
4
3
9
5
76
Advisor congestion
v 13

49. What do we mean by ‘deep dive’?
• Step 1: Agree which performance measure that is off track
• Step 2: Identify the team to work on improving performance and Plan
• Step 3: Agree the tools, techniques and the sequence
– Forming Hypotheses
• Pinpoint
• Issue Tree
• Brainstorm
• Forcefield
• Diagnostic
– Gathering Evidence - Research
• Delivery Diagnostic
• Delivery System Mapping
• Customer Journey Mapping
• Funding Flows
– Analysis
• Step 4: Implement each tool and adjust as the work progresses
• Step 5: Form Recommendations for Action from Findings
• Step 6: Take Action
• Step 7: Review Performance Improvement and adjust actions
You will know of
these – or other
techniques and
tools you use?
You will have
other tools?