Results-Based Management

UNDP Myanmar
23 October 2013
Field Implementation Unit, Pillar 1
The Paris Declaration on Aid Effectiveness
Accra Agenda for Action and 2005 Summit Outcome
5 key principles
1.Ownership: D...
How to Define Results?
Defining results begins with analysis of the country situation, review of the
comparative advantage...
Causal Analysis
• The essence of causal analysis is the examination of
the underlying causes of a condition, problem, or
e...
Role/Pattern Analysis
rights holders vs. duty bearers
- Identifies those whose rights have been affected (rights
holders) ...
Capacity Analysis
 Capacity analysis examines ‘why’ duty bearers
lack the capacities to fulfil their obligations as
well ...
Rights-based results
Consider…
– Whose rights are not being met?
– Who has an obligation to act?
– What do these people ne...
What comparative advantages?
Based on the SWOT exercise results in order to optimizing the
supports, building on strengths...
Stakeholder Analysis
Stakeholder importance and influence matrix

October 2010

Management Support Unit - MSU

9
October 2010

Management Support Unit - MSU

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Result Based Management
1. Overview of RBM
2. RBM in Planning
3. RBM in Managing
4. RBM in Monitoring
5. RBM in Evaluation...
The RBM life-cycle approach

October 2010

Management Support Unit - MSU

12
Part I: Overview of RBM

October 2010

Management Support Unit - MSU

13
Part I: Overview of RBM
What is results based management?

RBM is a management approach aimed at ensuring
that activities ...
Result = Change

UNDP Asia-Pacific Regional Centre, Management Support Unit
What is a Result ?

A describable or measurable
change resulting from
a cause and effect relationship
- UNDG agreed RBM te...
Why is it important to choose key results?

APRC, Management Support Unit - MSU

17
Results are about Change
 use “change language” rather that the customary ‘action
language’.
 Change language has three ...
Action language??

(a) expresses would-be results from the providers’
perspective – and usually starts with “to do this or...
The power of measuring results
 If you do not measure results, you can not tell success
from failure
 If you cannot see ...
Why RBM?....intended gains….


Provides crucial information – data/evidence



Provides the status of a project, program...
RBM  MfDR
Result based management

Managing for development
Results

a broad management strategy the emphasis on developm...
Typical pitfalls
Wordy (..and no change language)
To promote equitable economic development and
democratic governance in a...
Typical pitfalls
Wishy-washy, not a result (ie. Support provided to improve..)
Support to institutional capacity building ...
Part II: RBM in Planning

October 2010

Management Support Unit - MSU

25
Part II: RBM in Planning
 Results chain
 Developing result matrix
 Determining the indicators, baseline
and target
 As...
Part II: RBM in Planning
2.1 The Results Chain

The causal sequence for a development intervention that
stipulates the ne...
Results Chain in RBM
Planned Results

• Staff time
• Handouts
• Coffee
break

Activities
Activities
• Develop a
training m...
Result Matrix with outcome and output levels

National development priorities or goals
Indicators, baseline, targets
Outco...
Result Matrix
What is an indicator?

A tool / variable to measure evidence of
progress towards a result or that a result
h...
Indicators
 Indicators describe how the intended results
will be measured - accountability
 Objectively verifiable, repe...
Assumption: A Definition
 A necessary condition for the achievement of
results at different levels.
 Part of the cause-e...
Risk: A Definition


A potential event or occurrence beyond the control of the
programme/project that could adversely aff...
Assumptions and Risks
Increased
standards of living
among fishing
communities

then

Family & company
incomes increase
fro...
Part III. RBM in Managing

October 2010

Management Support Unit - MSU

35
Part III. RBM in Managing
 Managing effectively for results requires flexibility to
change your strategies and activities...
Part III. RBM in Managing
Key Challenges to RBM

Strategies to Overcome Them

Defining realistic results

Results should b...
Part IV. RBM in Monitoring

October 2010

Management Support Unit - MSU

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Part IV. RBM in Monitoring


A single, coherent Results Framework and a operational M&E Plan, embedded
within a National ...
M & E Plan in M&E Components

October 2010

Management Support Unit - MSU

40
Part V. RBM in Evaluation

October 2010

Management Support Unit - MSU

41
Part V. RBM in Evaluation
 External and Independent – free of conflict of interest
 Impartial – removing bias
 3 key fu...
Part VI. RBM in Reporting

October 2010

Management Support Unit - MSU

43
Part VI. RBM in Reporting

 results-based reporting shifts attention away from activities
to results at output and outcom...
Part VI. RBM in Reporting (contd.)

In writing the results story, you will need to consider:
1.achieved & indicators of su...
Part VI. RBM in Reporting (contd.)

An effective report can also be one that highlights areas of inefficiency and poor res...
Part VI. RBM in Reporting (contd.)

Quality criteria for results reporting, when reviewed and rated,
include:
1.completene...
The Secretary-General wants everyone
to support a united UN system.

“The true measure of
success for the United
Nations i...
Thank You

UNDP

October 2010

Gov

IPs

Management Support Unit - MSU

49
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Rbm for improved dev results

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  • Key objectives of the session
  • Want to avoid the linear view of RBM.
    Starting point is two-fold:
    Where we are now (lessons learnt, evaluation findings, SWOT analysis, feedback from other units/RBx, etc)
    Where we want to be in the future (i.e., the type of organisation we want to be, the way in which we want to meet the needs of our main stakeholders, and the quality and effectiveness of our services)
    Emphasize – setting aside enough time to plan to monitor, evaluate etc
  • There are several degrees of changes – immediate, mid-term, longer-term, low level, high level, individual level, organizational level, institutional level, societal change, economic change, etc.
  • Key objectives of the session
  • many agencies now use the term ‘MfDR’
    in their policy documents, guidelines and statements.
    public accountability
    how assistance is used,
    what results are achieved, and
    how appropriate these results are in bringing about desired changes in human development
  • Results Chains is based on a basic ‘logic model’ that describes the sequence of activities thought to bring about change and how activities are linked to the results the project/program is expected to achieve.  a road map for stakeholders describing the sequence of related events
    Results Chains – a series of expected achievements, linked by causality
    Setting clear results to be achieved – the focus in on results, ensuring that the results are achieved, not towards ensuring that all activities and outputs get produced as planned
    Activities and outputs reflect the process of implementing project activities. These are not the desirable end results in themselves. Development results – sustainable, positive changes in the conditions/situations at the country, institutional, or individual levels. The ultimate goals are the positive changes in the well-being of individuals (human development).
  • prevention; Prevent the risk from materializing or prevent it from having an impact on objectives
    reduction; Reduce the likelihood of the risk developing or limiting the impact in case it materializes
    transference; Pass the impact of the risk to a third party (e.g., via an insurance policy)
    contingency plan; Prepare actions to implement should the risk occur
    Acceptance; Based on a cost/benefit analysis, accept the possibility that the risk may occur and go ahead without further measures to address the risk
  • Substantiveness - existence or function, actual; real, solid basis; firm
  • There’s a great deal more that we need to do in the wider UN System to support the pilot process.
    We have to balance the demands of donors, who want to see increased coordination, rapid changes and clear results as soon was possible, with the concerns of developing countries that coordination will take money away from programmes, or that coherence could lead to a reduction in UN operations or new aid conditionalities.
    We must also realize that there is only so much the pilots can accomplish unless we make parallel progress at the global level in overcoming fragmented UN agency governance, and operational issues such as proprietary policies, systems and tools.
    We need to work out the best ways to support the central concept of national ownership and the authority and accountability of the UN Resident Coordinator.
    We need to further delineate the UN Development Programme’s two roles as manager of the resident coordinator system and provider of development assistance in its own right.
  • Rbm for improved dev results

    1. 1. Results-Based Management UNDP Myanmar 23 October 2013 Field Implementation Unit, Pillar 1
    2. 2. The Paris Declaration on Aid Effectiveness Accra Agenda for Action and 2005 Summit Outcome 5 key principles 1.Ownership: Developing countries set their own strategies for poverty reduction, improve their institutions and tackle corruption. 2.Alignment: Donor countries align behind these objectives and use local systems. 3.Harmonization: Donor countries coordinate, simplify procedures and share information to avoid duplication. 4.Results: Developing countries and donors shift focus to development results and results get measured. 5.Mutual accountability: Donors and partners are accountable for development results. October 2010 Management Support Unit - MSU 2
    3. 3. How to Define Results? Defining results begins with analysis of the country situation, review of the comparative advantages of the UNCT, a stakeholder analysis and a vision of desired outcomes October 2010 Management Support Unit - MSU 3
    4. 4. Causal Analysis • The essence of causal analysis is the examination of the underlying causes of a condition, problem, or event. • Most social scientists accept that the concept of causal relations is essential to the understanding of social systems, even though cause and effect, invariably cannot be observed directly. October 2010 Management Support Unit - MSU 4
    5. 5. Role/Pattern Analysis rights holders vs. duty bearers - Identifies those whose rights have been affected (rights holders) and those who are responsible for ensuring the realisation of those rights (duty bearers) - Allows to define the valid claims of rights holders and the corresponding obligations of duty bearers. - Allows to understand the complex web of relations between rights holders and duty bearers at different levels of analysis October 2010 Management Support Unit - MSU 5
    6. 6. Capacity Analysis  Capacity analysis examines ‘why’ duty bearers lack the capacities to fulfil their obligations as well as ‘why’ rights holders lack the capacities to claim their rights (capacity gap).  Capacity entails different elements, all of which need to be analyzed to identify capacity development needs.
    7. 7. Rights-based results Consider… – Whose rights are not being met? – Who has an obligation to act? – What do these people need to be able to act? (knowledge, skills, resources)
    8. 8. What comparative advantages? Based on the SWOT exercise results in order to optimizing the supports, building on strengths, addressing weaknesses, capitalizing on opportunities and minimizing threats, the following comparative advantages….. focused on maximizing the efficiency and effectiveness 8
    9. 9. Stakeholder Analysis Stakeholder importance and influence matrix October 2010 Management Support Unit - MSU 9
    10. 10. October 2010 Management Support Unit - MSU 10
    11. 11. Result Based Management 1. Overview of RBM 2. RBM in Planning 3. RBM in Managing 4. RBM in Monitoring 5. RBM in Evaluation 6. RBM in Reporting 11
    12. 12. The RBM life-cycle approach October 2010 Management Support Unit - MSU 12
    13. 13. Part I: Overview of RBM October 2010 Management Support Unit - MSU 13
    14. 14. Part I: Overview of RBM What is results based management? RBM is a management approach aimed at ensuring that activities achieve desired results (outputs, outcomes and impacts) A key component of RBM is performance monitoring which is to objectively measure how well results are being achieved, and to report on measures taken to improve them. RBM rests on clearly defined accountability for results 14
    15. 15. Result = Change UNDP Asia-Pacific Regional Centre, Management Support Unit
    16. 16. What is a Result ? A describable or measurable change resulting from a cause and effect relationship - UNDG agreed RBM terminology APRC, Management Support Unit - MSU 16
    17. 17. Why is it important to choose key results? APRC, Management Support Unit - MSU 17
    18. 18. Results are about Change  use “change language” rather that the customary ‘action language’.  Change language has three characteristics: • (a) it describes changes in the conditions/quality of life of people; • (b) it sets precise criteria for success; and • (c) it focuses on results,  leaving options on how to achieve them – hence the need to avoid expressions such as “through this and that” or “by doing this and that”. October 2010 Management Support Unit - MSU 18
    19. 19. Action language?? (a) expresses would-be results from the providers’ perspective – and usually starts with “to do this or that”; (b) can be interpreted in may ways because it is not specific or measurable (e.g., “to reduce HIV transmission”); and (c) focuses only on the completion of activities (e.g., “to open 25 new youth-friendly centers”)
    20. 20. The power of measuring results  If you do not measure results, you can not tell success from failure  If you cannot see success, you can not reward it  If you cannot reward success, you are probably rewarding failure  If you can not see success/failure, you can not learn from them  If you can not recognize failure, you can not correct it  If you can demonstrate results, you can win public support Adapted from Osborne & Gaebler, 1992 APRC, Management Support Unit - MSU 20
    21. 21. Why RBM?....intended gains….  Provides crucial information – data/evidence  Provides the status of a project, program, or policy – same data collected over time  Focus on results instead of activities - measurement of programme achievements  Transparency - promotes credibility and public confidence by reporting on the results of programs Management Support Unit - MSU 21
    22. 22. RBM  MfDR Result based management Managing for development Results a broad management strategy the emphasis on development aimed at achieving improved results rather than performance and demonstrable organizational results results focused more on internal results and performance of agencies keep the focus on development changes in the people
    23. 23. Typical pitfalls Wordy (..and no change language) To promote equitable economic development and democratic governance in accordance with international norms by strengthening national capacities at all levels and empowering citizens and increasing their participation in decision-making processes Too ambitious Strengthened rule of law, equal access to justice and the promotion of rights Containing multiple results The state improves its delivery of services and its protection of rights—with the involvement of civil society and in compliance with its international commitments
    24. 24. Typical pitfalls Wishy-washy, not a result (ie. Support provided to improve..) Support to institutional capacity building for improved governance So general, they could mean anything To promote sustainable development and increase capacity at municipal level Overlapping with National goals/ MDGs (impacts) Substantially reduce the level of poverty and income inequality in accordance with the MDGs Confusing means and ends Strengthen the protection of natural resources through the creation of an enabling environment that promotes sound resources management
    25. 25. Part II: RBM in Planning October 2010 Management Support Unit - MSU 25
    26. 26. Part II: RBM in Planning  Results chain  Developing result matrix  Determining the indicators, baseline and target  Assumption and Risk October 2010 Management Support Unit - MSU 26
    27. 27. Part II: RBM in Planning 2.1 The Results Chain The causal sequence for a development intervention that stipulates the necessary sequence to achieve desired objectives – beginning with inputs, moving through activities and outputs, and culminating in outcomes, impacts and feedback. In some agencies, reach is part of the results chain. It is based on a theory of change, including underlying assumptions.
    28. 28. Results Chain in RBM Planned Results • Staff time • Handouts • Coffee break Activities Activities • Develop a training module • Deliver the training • Administer the certification exam Outputs Outputs Outcomes Outcomes Impact Impact Judges have increased knowledge in basic human rights instruments Judicial process improved More people have access to justice and are able to exercise their rights If............, then……. • Setting clear results to be achieved • Cause-effect relationship throughout the results chain UNDP Asia-Pacific Regional Centre, Management Support Unit AFTER BEFORE Inputs Inputs
    29. 29. Result Matrix with outcome and output levels National development priorities or goals Indicators, baseline, targets Outcome 1 Output 1.1 Output 1.2 Outcome 2 Output 2.1 Output 2.2 MoV Risks and Assumptions Responsible persons Indicative resources
    30. 30. Result Matrix What is an indicator? A tool / variable to measure evidence of progress towards a result or that a result has been achieved
    31. 31. Indicators  Indicators describe how the intended results will be measured - accountability  Objectively verifiable, repeatable measures of a particular condition  Must be accompanied by baselines and targets
    32. 32. Assumption: A Definition  A necessary condition for the achievement of results at different levels.  Part of the cause-effect logic  Stated as though it is actually the case  Less probable at the higher level of the hierarchy Management Support Unit - MSU 32
    33. 33. Risk: A Definition  A potential event or occurrence beyond the control of the programme/project that could adversely affect the achievement of the desired results  A threat to success not just the negative of an assumption; a trigger for reconsideration of strategic direction  Risk assessments should consider a wide range of potential risks, including strategic, environmental, financial, operational, organizational, political and regulatory risks  Risk mitigation strategies: prevention; reduction; transference; contingency plan; acceptance Management Support Unit - MSU 33
    34. 34. Assumptions and Risks Increased standards of living among fishing communities then Family & company incomes increase from previous year if Rate of fishing is sustainable Inflation reduces value of income and if then There is good distribution system and if if Unable to comply with international food regulations 65 tons of fish caught each day APRC, Management Support Unit - MSU 34
    35. 35. Part III. RBM in Managing October 2010 Management Support Unit - MSU 35
    36. 36. Part III. RBM in Managing  Managing effectively for results requires flexibility to change your strategies and activities to better achieve the results better  using a team-based approach to ensure that all stakeholders agree with any proposed changes or actions  Results matrices can be updated once a year with agreement of all stakeholders October 2010 Management Support Unit - MSU 36
    37. 37. Part III. RBM in Managing Key Challenges to RBM Strategies to Overcome Them Defining realistic results Results should be commensurate with your resources and reach Ensuring a cause and effect relationship and coherence between output, outcome and the goal Be realistic with the definition of results so that outputs and outcomes can be realistically achieved. October 2010 Management Support Unit - MSU 37
    38. 38. Part IV. RBM in Monitoring October 2010 Management Support Unit - MSU 38
    39. 39. Part IV. RBM in Monitoring  A single, coherent Results Framework and a operational M&E Plan, embedded within a National System for M&E are ideal for promoting coherence and national ownership  Key Monitoring Tools  The Results Matrix (discussed in previous section)  The M&E plan   Provides opportunity to: - Track progress in the achievement of results; - Know whether the original strategies are still appropriate - Make necessary adjustments to resources, both human and/or financial October 2010 Management Support Unit - MSU 39
    40. 40. M & E Plan in M&E Components October 2010 Management Support Unit - MSU 40
    41. 41. Part V. RBM in Evaluation October 2010 Management Support Unit - MSU 41
    42. 42. Part V. RBM in Evaluation  External and Independent – free of conflict of interest  Impartial – removing bias  3 key functions: • Utilization – as an input to provide decision-makers with knowledge and evidence about performance and good practices; • Accountability – to donors, stakeholders and general public • Contribution – to institutional policymaking, development effectiveness and organizational effectiveness  A key tool used in planning an evaluation is • to review results achieved to data, • five other variables: relevance, efficiency effectiveness, impact and sustainability Management Support Unit - MSU 42
    43. 43. Part VI. RBM in Reporting October 2010 Management Support Unit - MSU 43
    44. 44. Part VI. RBM in Reporting  results-based reporting shifts attention away from activities to results at output and outcome levels  results matrix (important aid) articulates the results at the output and outcome level and the indicators, baselines and targets - along with the review of indicators, assumptions and risks October 2010 Management Support Unit - MSU 44
    45. 45. Part VI. RBM in Reporting (contd.) In writing the results story, you will need to consider: 1.achieved & indicators of success 2.actual results compare to expected results 3.illuminating findings with quotes, testimonials, photos, etc. 4.reasons for over or under achievement 5.involvement of others (partners, stakeholders, beneficiaries) and degree of attribution, if possible.. October 2010 Management Support Unit - MSU 45
    46. 46. Part VI. RBM in Reporting (contd.) An effective report can also be one that highlights areas of inefficiency and poor results, etc. October 2010 Management Support Unit - MSU 46
    47. 47. Part VI. RBM in Reporting (contd.) Quality criteria for results reporting, when reviewed and rated, include: 1.completeness; 2.balance (good and bad); 3.consistency(between sections); 4.substantiveness and reliability; 5.clarity. (include ‘source’) October 2010 Management Support Unit - MSU 47
    48. 48. The Secretary-General wants everyone to support a united UN system. “The true measure of success for the United Nations is not how much we promise but how much we deliver for those who need us most”.
    49. 49. Thank You UNDP October 2010 Gov IPs Management Support Unit - MSU 49

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