This document provides an overview of results-based management (RBM) principles and planning tools. It discusses key RBM concepts like defining results as outputs, outcomes and impacts; and establishing causal links between activities and results. Common challenges in applying RBM like attribution and measuring higher level results are also reviewed. The document introduces UN planning tools like the UNDAF, CPD and results matrix to structure programmes around achievement of development results. It emphasizes setting strategic priorities and using analysis of problems, stakeholders and causal factors to identify appropriate results.

1. Results-Based ManagementPatrick GrémilletBratislava Regional Center Management Practice2011

2. Session ScheduleResults-based Management (RBM) PrinciplesIntroduction to RBMSetting a Results Management StrategyProblem Analysis and Results MappingUNDP planning instrumentsResults Matrix Understanding the RBM TypologyDifferentiating outcomes and outputsIndicators, baseline and targetsAugust 2011Management Practice - BRC2

3. What is a Result ?August 2011Management Practice - BRC3Results are changes in a state or condition that derive from a cause-and-effect relationship. There are three types of such changes (intended or unintended, positive and/or negative) that can be set in motion by a development intervention – outputs, outcomes and impacts.- UNDG agreed RBM terminology

4. What are Result?*RESULTSare changes in a state or condition that derive from a cause-and-effect relationship.CONTROL & RESPOSIBILITYMAKING A DIFFERENCE* using UN harmonized terminology (based on OECD/DAC Glossary of Key Terms in Evaluation and Results-based Management)

5. August 2011Management Practice - BRC5What is results based management?RBM is a management strategy by which all actors ensure that their processes, products and services contribute to the achievement of desired results (outputs, outcomes and higher level goals or impact) A key component of RBM is performancemonitoring which is toobjectively measure how well resultsare being achieved, andreport on measures taken to improve them.

6. Why RBM?Stated rationale/intended gains: Improved focus on results instead of activitiesImproved transparencyImproved accountabilityImproved measurement of programme achievements (performance rather than utilization)Enhanced strategic focusIndustry standardTo get more funds!! August 2011Management Practice - BRC6

7. Results-Based Management in practice In your table groups, discuss and agree… What are the 3 main problems you have seen in trying to monitor and assess results as part of your work?one concern/problem per card/post-itAugust 2011Management Practice - BRC7

8. General problems when applying RBM?Difficult to apply Difficult to learnDifficult to integrateDifficult to revise (... or reluctance to revise? )Difficult to measureDifficult to ‘attribute’ (at outcome level, the UN is accountable but not fully responsible)August 2011Management Practice - BRC8

9. Common elements of RBMProblem analysis to understand causesStakeholder analysisStructuring of programmes around a chain of desired results - addressing causesCausality in the chain of results (if… then logic)Use of ‘change language’ (future conditional)Reliance on indicators to measure performanceCosting of results rather than isolated activity budgetingAugust 2011Management Practice - BRC9

10. The RBM life-cycle approachAugust 2011Management Practice - BRC10

11. Session ScheduleAugust 2011Management Practice - BRC11Results-based Management (RBM) PrinciplesIntroduction to RBM

12. Setting a Results Management Strategy

13. Problem Analysis and Results Mapping

14. Results Matrix

15. Understanding the RBM Typology

16. Differentiating outcomes and outputs

17. Indicators, baseline and targetsMaking Strategic ChoicesAugust 2011Management Practice - BRC12

18. Strategic Priority SettingAugust 2011Management Practice - BRC13CapacityValue1. “Just do it”/strategic priorityMajor national challengeUNDP comparative advantage2. Potential high priority, if consensus can be built3. Potential high priority, if others cannot meet demand and internal capacity development is feasible 4. Lower priority: does not meet major national challengeAlignment of key actors to support actionSupport

19. Session ScheduleAugust 2011Management Practice - BRC14Results-based Management (RBM) PrinciplesIntroduction to RBM

20. Setting a Results Management Strategy

21. Problem Analysis and Results Mapping

22. Results Matrix

23. Understanding the RBM Typology

24. Differentiating outcomes and outputs

25. Indicators, baseline and targetsWhat problem?August 2011Management Practice - BRC1533-35

26. Formulate problem in a neutral manner“Minorities and marginalized groups do not have the right to vote.” Versus“Minorities and other marginalized groups do not participate in elections.” Or “Low levels of participation by minorities in elections.”August 2011Management Practice - BRC1633-35

27. Cause-effect analysisAugust 2011Management Practice - BRC17EffectsCausesAre there capacity constraints? – policy level, institutional, individualAre there Social or Cultural Constraints?

28. Causality analysis – Why?Negative outcomes, manifestations of problems, unfulfilled rightsImmediate causesAffecting individuals and householdsUnderlying causesand capacity issuesPolicies, laws, budgetsSystems for service deliveryBehaviors and practices, low household incomesRoot causesBeliefs, attitudes, culture, traditionsNatural resources, natural disastersPolitical and economic systems, ideologies, conflictAugust 2011Management Practice - BRC18

29. Problem TreeAugust 2011Management Practice - BRC19ManifestationsMalnutrition &deathImmediatecauseseffectInadequate dietaryintakeDiseaseUnderlyingcausesInsufficient food securityInadequate Maternal & Child Care servicesInsufficient health services& unhealthy environmentResource Control+Organizational structuresRootcausesPolitical, Ideological,Economic structurescause

30. Results MapAugust 2011Management Practice - BRC20Poor rural women earn meaningful wages and have improved life skillsWomen gain marketable skills in traditional and non-traditional areasWomen learn good work attitudes and workplace behaviorWomen develop self-confidencePotential employers educated and committed to programmeWomen trained in vocational skillsSome women receive traditional schoolingAdvocacy and sensitization initiativeWomen enrollLong-term OutcomeIntermediate OutcomesPartnershipsOutputsSmall stipend provided to womenChild care services providedProgramme info provided to womenTraining agency, child care agency, NGO, and National Women’s Bureau etc collaborate to design and deliver programmes

31. Session ScheduleResults-based Management (RBM)Introduction to RBMKey PrinciplesRBM Life cycleUNDP planning instrumentsResults Matrix Understanding the RBM TypologyDifferentiating outcomes and outputsIndicators, baseline and targetsAugust 2011Management Practice - BRC21

32. Planning and Monitoring instrumentsAugust 2011Management Practice - BRC22SimplificationUNDAF and CPD outcomes conflated into one

33. Results matrix streamlinedPLANNINGMONITORINGNational plans/strategies; PRSP; …Country AnalysisUN Development Assistance Framework (UNDAF)Country Programme Document (CPD)Country Program Action Plan (CPAP)Annual Work Plan (AWP)JointprogrammesProjectdocument

34. UNDAF BEFORE….Good Governance and the protection of Human RightsBy 2013, achieve effective participation of citizens, and government accountability and integrityLaws on public demonstrations and freedom of association improved in accordance with international standards.Increased participation of civil society and citizens in decision makingStrengthened community participation in the planning and implementation of local development activitiesCapacity of civil society strengthened through civic education and engagement with ParliamentAdvocacy programmes conducted for accession to the UN convention against corruption.Corruption in government management significantly reduced Advocacy programmes conducted for the adoption of a national anti-corruption law Effectiveness of decentralized government structures improved to deliver basic servicesGovernment assisted to meet its obligation under the International Covenant on Economic, Social and Cultural Rights.Capacities of communes for decentralized planning, management and delivery of public goods and services further strengthened.August 2011Management Practice - BRC23

35. UNDAF NOW…Single outcome layer, Outputs definition optional, integrated M&E data, no more separate M&E frameworkAugust 2011Management Practice - BRC24Strategic focusSingle Outcome to be strategic but specific enough to country context and UNDP programming needs

36. Approach supports cross-practice workNew UNDP Country Programme Document(CPD) Results MatrixEffective October 2010UNDP specific Indicators and Targets contributing to UNDAF OutcomeOnly one Outcome layer.

37. Verbatim from UNDAFAugust 2011Management Practice - BRC25

38. Session ScheduleResults-based Management (RBM)Introduction to RBMKey PrinciplesRBM Life cycleUNDP planning instrumentsResults Matrix Understanding the RBM TypologyDifferentiating outcomes and outputsIndicators, baseline and targetsAugust 2011Management Practice - BRC26

39. Ways how to depict the Results chainNarrativeIMPACTA. XXXXXXXXOUTCOMEA.1. XXXXXXXXA.2. XXXXXXX XXXOUTPUTSA.1.1.XXX XXX XXXXA.1.2. XXXXXXXA.2.1. XXXXXXXXLogframeResults TreeResults Pyramid

40. Principles of RBM“If-Then” causality between levels of results

41. Common results language to describe changes

42. Collective accountability increases as you move up the chain of results towards outcomes and impacts (Key message  No agency can do it alone!)

43. A results matrix is a mean not an end

44. A results matrix is contextual August 2011Management Practice - BRC28

45. August 2011Management Practice - BRC29Our counterparts may use different language (i.e. logframe), but the basis is the same…

46. CPAP TemplateAugust 2011Management Practice - BRC30UNDAF/CPD outcome #1:Extracted verbatim from the UNDAF/CPDRelevant UNDP Strategic Plan result: Extracted verbatim from the UNDAF/CPDIndicative Resources by outcome (per year, US$)Outcome-level indicators, baselines and Implementation modality(ies) and targets for UNDP contribution to Country programme outputsimplementing partner(s)UNDAF/CPD outcomesYearYearYearYearYearTotalOutput 1:State the implementing modalityRegular Resources(i.e. NIM, UN Agency, NGO, IGO or Annual Targets(recommended for multi-DIM);Andyear outputs)Government and/or UN ·Gender Marker Rating and [2]Implementing Partner[1]MotivationOutput 2:State the implementing modalityOther Resources(i.e. NIM, UN Agency, NGO, IGO or Annual Targets (recommended for multi-DIM);Andyear outputs)Government and/or UN ·Gender Marker Rating and Implementing PartnerMotivationUNDAF/CPD outcome #1:Extracted verbatim from the UNDAF/CPDRelevant UNDP Strategic Plan result: Extracted verbatim from the UNDAF/CPDRegular ResourcesOther Resources[1]Gender Rating:3-Gender equality is a principal objective of the output; 2-Gender equality is a significant objective of the output; 1-Outputs that will contribute in some way to gender equality but not significantly; 0-Outputs that are not expected to contribute noticeably to gender equality.Include a one sentence motivation as to the reason for the chosen rating.[2]State also IGO Implementing Partners who have already signed SBEAA with UNDP. Other IGOs and NGOs will not be mentioned here in CPAP. They would be selected through a competitive process later.

47. August 2011Management Practice - BRC31UNDP ProjectsResults & Resources Framework

48. A few caveatsThe results matrix is a storylineIt is a description of a programme or project strategy Shows the intended paths we think are required to achieve desired resultsThe storyline comprises results, indicators & targets and assumptions & risksAugust 2011Management Practice - BRC32

49. Results chain problemsResults not logically linkedResults not sufficiently specificResults are composites of several results Results don’t express change (e.g. support provided to strengthen….)Results statements are too wordyConfusion between levels of results Indicators Not logically linked to the result

50. Not measurable

51. Are new resultsAugust 2011Management Practice - BRC33

52. Results ChainAugust 2011Management Practice - BRC34InputsOutputsoutcomesImpact>Experts; equipment; fundsPeople capacities improved; Laws/policies draftedPolicies adopted; Laws enacted;Conditions improved health/ longevityPartnerships and other interventions

53. Results ChainAugust 2011Management Practice - BRC35

54. Results ChainAugust 2011Management Practice - BRC36Positive and negative, primary and secondarylong-term effects produced by adevelopment intervention, directly or indirectly,intended or unintended.Impact:Human ChangeOutcome: The likely or achieved short-term andmedium-term effects of an intervention’soutputs. Institutional & Behavioural ChangeOutputs:Tangible products and services which result from the completion of activities within a development intervention. Products & ServicesSkills & Abilities

55. Results ChainAugust 2011Management Practice - BRC37Positive and negative, primary and secondarylong-term effects produced by adevelopment intervention, directly or indirectly,intended or unintended.Changes in the lives of peopleImpact:Human ChangeInstitutional Change: values, ethic, rules, laws – associated with/to institutional performance, access..Behavioural change: knowledge, skills acquisition, practices (individual level)Outcome: The likely or achieved short-term andmedium-term effects of an intervention’soutputs. Institutional & Behavioural ChangeOutputs:Tangible products and services which result from the completion of activities within a development intervention. Products & ServicesSkills & Abilities

56. Results ChainAugust 2011Management Practice - BRC38Positive and negative, primary and secondarylong-term effects produced by adevelopment intervention, directly or indirectly,intended or unintended.Changes in the lives of peopleReduced infant and maternal mortality by 2018Impact:Human ChangeInstitutional Change: values, ethic, rules, laws – associated with/to institutional performance, access..Behavioural change: knowledge, skills acquisition, practices (individual level)Outcome: Improved provision of public sanitary services to rural communities by 2015The likely or achieved short-term andmedium-term effects of an intervention’soutputs. Institutional & Behavioural ChangeOutputs:Tangible products and services which result from the completion of activities within a development intervention. National Public Works Agency has the management systems, equipment, and skills to provide sanitation services to rural communitiesProducts & ServicesSkills & Abilities

57. August 2011Management Practice - BRC39ResultsLike… Focus @Timeframe more 5-10 yrs ImpactImpactImpactthenCollective Accountabilityif 5 yrs UNOutcomeUNOutcomeUNOutcomethen <3 yrs OutputOutputOutputifthenless <1 yr ActivityActivityActivityifA Typology for RBMHIV incidence reduced Human! AssumptionsLeadership empoweredInstitutional/ BehaviouralSkills of Nat’l Aids Comm. strengthenedOperational/ skills, abilities, products & servicesTrain 250 district AIDS officers

58. August 2011Management Practice - BRC40moreCollective AccountabilitylessA Typology for RBM: GovernanceResultsLike…Focus@TimeframethenImpactMore transparent governance5-10 yrs Human! ifthenOutcomeNational capacity to implement governance reforms increased5 yrs Institutional/ BehaviouralifthenOutputLegislative code for local self-governance developed <5 yrs Operational/ skills, abilities, products & servicesifActivity- Training legislators - National consultation- Assessment of laws.. <1 yr

59. August 2011Management Practice - BRC41moreCollective AccountabilitylessA Typology for RBM: Poverty Reduction ResultsLike…Focus@TimeframethenImpactPoverty reduced5-10 yrs Human! ifthenOutcomeEmployment and income generation increasedInstitutional/ Behavioural5 yrsifRegulatory environ. proposed to drive small enterprise development thenOutput <5 yrs Operational/ skills, abilities, products & servicesif Economic assessment

60. Training for chambers of commerce - National consultationActivity <1 yr

61. August 2011Management Practice - BRC42moreCollective AccountabilitylessA Typology for RBM: EnvironmentResultsLike…Focus@TimeframethenImpactLoss of environmental resources reversed5-10 yrs Human! ifthenOutcomeProtected areas are designatedInstitutional/ Behavioural5 yrsifCBOs better abled to engage and mobilise communtiesthenOutput <5 yrs Operational/ skills, abilities, products & servicesifActivity CBO trained

62. Community orientation conducted

63. Small grants provided <1 yr

64. OutcomesLet’s look at some examples…

65. How to articulate OutcomesAugust 2011Management Practice - BRC44Outcomes:Outcomes are actual or intended changes in development conditions that interventions are seeking to support. Some guides: Avoid action verbs – ”Strengthening”, “enhancing”, etc Avoid intentions – “To assist the government…”, Use completed verbs: “…reduced”, “improved”, “have greater access to”, etcMust signal that something has changed The something which has changed must be important to the country/region/community, not just UNDP.Avoid UN speak: gender mainstreamed

66. Typical pitfallsWordy (..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 processesToo ambitious Strengthened rule of law, equal access to justice and the promotion of rightsContaining 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 commitmentsAugust 2011Management Practice - BRC45

67. Typical pitfallsWishy-washy (ie. Support provided to improve..)Support to institutional capacity building for improved governanceSo general, they could mean anything To promote sustainable development and increase capacity at municipal levelOverlapping with National goals/ MDGs (impacts) Substantially reduce the level of poverty and income inequality in accordance with the MDGs and PRSPConfusing means and ends Strengthen the protection of natural resources through the creation of an enabling environment that promotes sound resources managementAugust 2011Management Practice - BRC46

68. ExamplesLegal and regulatory framework reformed to provide people with better access to information and communication technologies. The poor in x region have better access to capital and other financial services.Reduction in the level of domestic violence against women by 2016Increased regional and sub-regional trade Higher and more sustainable employment and income for urban slum dwellers.August 2011Management Practice - BRC47

69. ExamplesBy the end of 2010, user-friendly and sustainable health care and nutrition services are provided in compliance with international standards at national and sub-national levels.Increased access to and completion of basic education, especially for girls.By 2012, increased and more equitable access to and utilization of quality, integrated and sustainable basic services by the poor and vulnerable.August 2011Management Practice - BRC48

70. OutputsTangible, deliverable, promises

71. Outputs: Definition & key featuresOutputs are deliverables/end-project resultsOperational changes: new skills or abilities, the availability of new products and services

72. Must be achieved within the project period

73. Managers have a high degree of control If the result is mostly beyond the control or influence of the programme or project, it cannot be an outputFailure to deliver is failure of the project

74. 3 to 6 outputs per agency outcome