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Dominique Mathiot 6 November 2007

Introduction to Results Based Management (RBM) and Results Based Planning (RBP) Let’s talk about “results”!. Dominique Mathiot 6 November 2007. Progression using Tools. SAT. EPP. Surveillance Data. What is the prevalence of HIV?. Census/UN Pop Division Estimates. How will the

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Dominique Mathiot 6 November 2007

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  1. Introduction toResults Based Management (RBM)andResults Based Planning (RBP)Let’s talk about “results”! Dominique Mathiot 6 November 2007

  2. Progression using Tools SAT EPP Surveillance Data What is the prevalence of HIV? Census/UN Pop Division Estimates How will the demography be affected? Spectrum UNAIDS model epidemic patterns What resources are required? Resource Needs Model Costing and coverage data How should we allocate resources? Existing effectiveness data GOALS /MOT How do we ensure sustainability? NASA, Country strategic plans, etc Financial Planning

  3. So far, you may have…. • Used the SAT to review your current national strategic framework • Collected the data and evidence • Analyze the evidence – EPP,SPECTRUM,MOT • Estimated your resources needs • Taken into account data from NASA • Changed the behavior of your partners – CHAT and aligned their support behind the “Three One Principles” • Agreed nationally on your priorities and targets toward UA To be continued…

  4. And you are… • Probably exhausted, brain-dead, confused may be (I am)…. And know what, we haven’t yet even talked about making plans that work for us!!!! So it is now time to talk about results-based planning and management….

  5. The Origins of RBM? 1950s – Peter Drucker's pioneering work/ 'Command and Control' of the workforce gives way to 'Management‘ 1960s and 70s - Adoption of 'Management by Objectives' to motivate staff around ‘SMART’ objectives with established timelines 1980s – Adopted vigorously by UK and New Zealand in the 80s; USAID's Logical Framework Approach (LFA) and GTZ's ZOPP and the UN shift from line item budgets to budgeting around objectives 1990s – Wholesale adoption by development and humanitarian communities of Results-based management – is now being adopted to direct and justify increased development aid 2000 + – Results-based budgeting

  6. Why RBM? Stated rationale/intended gains: • Improved focus on results instead of activities • Improved transparency • Improved accountability • Enhanced performance orientation • Improved measurement of programme achievements • Enhanced strategic focus • No choice, it is an industry standard • To get more funds!!

  7. Please try to explain… Results Based Management … and Results Based Planning … What does it mean for you? Please try to explain…

  8. Results Based Programme Planning: Sum of interventions is sufficient to achieve the expected result Results Based Programme Management: Resources focused on achieving expected results Monitoring and evaluation of SMART indicators and targeted results used to -- adjust activities and interventions -- hold duty bearers accountable !

  9. Interventions must not only be necessary, but also sufficient to achieve the expected result by three conditions Principle of RBP If a problem is caused

  10. must be addressed Principle of RBP All three conditions

  11. Want to try a definition… So, since we are now talking about ‘results’, what is a ‘result’? Want to try a definition…

  12. A result is a measurable or describablechangeresulting from acause and effect relationship.

  13. Two major elements in ‘Results’ Causality Change • Measurable transformation • In an individual • In group • In an organization • In a society • In a country • Cause and effect relationship between an action and the results achieved. • “If-then” logic.

  14. “Results” in day to day life… Output Result Immediate (short-term), Satisfied (after having eaten this sauce, main dish or meal) Inputs Water Salt, condiments Cooking oil Vegetables Meat, fish Firewood Working time, etc... Outcome Result Medium- term effect, improved physical well-being (if I can make sure I have a balance diet over time) Output The sauce, the main dish, the meal Impact Result Long-term effect, ‘quality of life’ (if I can ensure I have a balance diet for more than 5 years)

  15. Can you describe what are the three levels of results? Now it does get more complicated because there is a hierarchy of change in ‘results’…

  16. Hierarchy of Change Impact Long-term effects produced by a development intervention, directly or indirectly, intended or unintended. Outcome The likely or achieved short-term and medium-term effects of an intervention’s outputs. Output The products and services which result from the completion of activities within a development intervention.

  17. Any ideas? Let’s talk now about the different ‘types’ of change we could measure at each level of the ‘results’…

  18. Types of Change Impact Changes in the lives of people: realisation of their rights Outcomes Institutional Change: values, laws – associated with institutional performance, new institutions Behavioural change: new attitudes, practices Output Operational Change: products and services – knowledge, skills

  19. Focus of Change Timeframe Collective Account-ability Impact Human rights 5-10 yrs more Outcome Institutional/ Behavioural 5 yrs Output Operational/ skills, abilities, products & services <5 yrs Activity <1 yr less Level of Change Results Chain Strategic Result Joint Programming Result Multiple or single intervention result Processes

  20. Any idea of what S.M.A.R.T. stands for? ‘Results’ are supposed to be S. M. A. R. T.

  21. S Specific M Measurable A Achievable R Relevant T Time bound

  22. In summary….

  23. How? What do we want ? Why? RESOURCES RESULTS INPUTS ACTIVITIES OUTPUTS OUTCOMES IMPACT MEASURABLE CHANGE Effect Funds, HR, equipment, etc. Activity output Operational change Behavioral / institutional change Quality of life

  24. A Typology for RBM: HIV & AIDS

  25. Results Like… Focus Timeframe more Impact HIV incidence reduced Human! 5-10 yrs then if Outcome Response brought to scale Institutions/ Behaviours 5 yrs then Collective Accountability if Outcome Leadership empowered Institutions/ Behaviours 5 yrs then Output Skills of NAC strengthened Knowledge, skills, abilities, services <3 yrs if then less Activity Train 250 district AIDS officers <1 yr if

  26. Result Result Result Result Result Result Result Result Result Result The results chain usually takes the form of a more complexresults framework, preserving the levels… Strategic Result Impact Level Programme Result Outcome Level Activity Result Ouput Level

  27. Program inputs (resources) and activities lead tooutput level results Result Result Result Result Result Result Result Result Result Result

  28. Combined Program Results (outputs) lead to Program Resultsat theoutcome level Result Result Result Result Result Result Result Result Result Result

  29. Combined Program Resultslead to Strategic Results at theimpact level Result Result Result Result Result Result Result Result Result Result

  30. When all results have been consolidatedinto one matrix (logframe, NSP, NSF, UNDAF, AWP)go back and check the “if then” logic then Strategic Result if then Program Result if Result Result then Result Result if

  31. Results Language = Change Language Change Language describes changes in the conditions of people sets precise criteria for success focuses on results, leaving options on how to achieve them Action Language expresses results from the provider’s perspective can be interpreted in many ways focuses on completion of activities

  32. Refining Results • Action Language • To strengthen the capacity of teachers to teach life skills through training on gender sensitive, child friendly, learner directed learning approaches • The capacity of teachers to teach life skills is strengthened • By 2007, the capacity of all life skills teachers in the 10 districts with the highest adolescent HIV incidence rates is strengthened • All life skills teachers in the 10 districts with the highest adolescent HIV incidence rates have increased capacity by 2007 to teach life skills to school children • Change Language • Results language to emphasise future condition • Take out information relating to strategy or activities • All teachers everywhere? By the year 4000? Be more specific • Bring the subject of change to the front and shift from passive to active language

  33. Examples Action Language Goal: to decrease the number of children dying of AIDS and AIDS related causes Objective: to promote the use of long lasting insecticidal nets (LLINs) Activity: train 1000 teachers in participatory learning techniques Indicators: number of TV and radio jingles providing malaria education; number of LLINs distributed Change Language Impact Result: Child mortality from AIDS and related causes decreased from 100% to 40% by 2010 Outcome Result: at least 80% of people in endemic areas sleep under a long lasting Insecticidal net Output Result: 2 teachers in 500 schools are trained in how to teach other teachers in participatory learning Indicator: % of people who know that sleeping under an ITN reduces the risk of malaria; % of people who sleep under a long lasting insecticidal net

  34. Examples Suggested answers… Action Language Expand the percentage of young people, successfully practicing strong life skills, including HIV/AIDS Ensure that all pregnant women have access to PMTCT services Improve the care and support environment for orphans and vulnerable children Change Language 75% of people aged 12-24 are practicing abstinence, maintaining a monogamous relationship or consistently using condoms by 2010 The percentage of pregnant women using PMTCT services increased from 40% to 80% by 2010 90% of identified orphans and vulnerable children in model districts are accessing social safety net package by 2008

  35. In summary: Principles of Results Based Planning • Context specific causality analysis • Hierarchical logic • “If-then” causality between levels of results • Collective accountability increases as you move up the hierarchy towards outcomes and impact • Uses change language to describe a specific, measurable, achievable, relevant, time-bound result • AND… based on strategic choices that focus on realization of human rights

  36. Following GTT recommendations and the Secretary General’s letter of 12 December 2005,enhanced accountability for ‘results’ in the UN Applying ‘Results’ to UN programming – The Joint UN Program of Support on AIDS

  37. Joint UN Program – Results Matrix

  38. Universal Access Targets and Results-Based Planning Are Universal Access Targets ‘results’? Yes? / No? If Yes, what kind of ‘results’ are they?

  39. “Targets should focus on both achieving defined impactas well asovercoming critical obstacles to scaling up. The impact targets would be set for 2010 with interim ‘process’ targets (milestones) for 2008”. Scaling up towards Universal Access –Considerations for countries to set their own national targetsfor HIV prevention, treatment and careUNAIDS, April 2006

  40. What if Universal Access Targets were used as the starting point for operational planning? 60% of women, men and children with advanced HIV infection are receiving ARV combination treatment by 2010 (Impact level result) Interim process target or milestone by 2009 (higher outcome level result) Interim process target or milestone by 2008 (higher outcome level result) Outcome level result Outcome level result Outcome level result Output level result Output level result Output level result Output level result Output level result Output level result

  41. General problems in applying RBM? • Difficult to apply causal logic, especially in relation to complex, in-transparent or multi-faceted processes • Difficult to learn: RBM is not intuitive, not easily 'taught', years of usage required to achieve common understanding and practice • Difficult to integrate, e.g. integrating gender and HR concerns into the results chain and in indicators • Difficult to revise, and therefore often becomes ‘fixed’ • Difficult to measure: multitude of ‘indicator types’, difficulties in choosing a reasonable number, reliance on un-measurable indicators, seeking visibility in indicators, weak indicator tracking • Difficult to ‘attribute’, especially at Outcome level (e.g. institution xxx, partner yyy is accountable but not fully responsible)

  42. More specific problems in applying RBM? • Tautologies in the results chain • Results not logically linked • Results not sufficiently specific • Results are composites of several results • Results don’t express change (e.g. support provided to strengthen….) • Results statements are too wordy • Confusion between levels of results • Indicators not logically linked horizontally, are un-measurable or are results statements

  43. Some references… • RBM in UNDP: Overview and General Principles • Results-Based Management in CIDA: An Introductory Guide to the Concepts and Principles • Results-Based Management: An Overview, United Nations System Staff College • Understanding Results-Based Programming Planning and Management, UNICEF, May 2005 • Results-Based Strategic Planning (RSP) – PowerPoint, Work Bank Institute, ASAP Workshop, St Lucia • The use and abuse of the logical framework approach, Sida, Nov 2005

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