Joint Workshop on Results-based Management

2. Joint Workshop onResults-based Management UN-HABITAT RBM FRAMEWORK Meeting with Norway, Spain, Sweden UN-Habitat HQ, Nairobi, Kenya 28-29 September 2011

3. STRUCTURE OF PRESENTATION • Introduction • Definition and Key Elements and Principles of RBM • Planning; Monitoring & Reporting; and Evaluation • Lessons Learnt, Opportunities Identified • Challenges Encountered; The Way Forward & • Resource Requirements

4. Evolution of RBM IN UN-HABITAT • UN-Habitat a Programme & member of the UN Secretariat – Dual Governance • Implementation of Results-based budgeting since 2000 (Regulations and Rules Governing Programme Planning, the Programme Aspects of the Budget, the Monitoring of Implementation and the Methods of Evaluation (ST/SGB/2000/8) • General Assembly resolutions, including 55/231. RBM to be implemented gradually and incrementally • RBM a paradigm shift from focusing on resources, outputs and processes, rules and regulations

5. UN-Habitat Reforms & RBM are in line with International Realities Sustainable Urbanization GREATER ACCOUNTABILITY UN-Habitat Expectations Programme Management Policy DEMONSTRATE RESULTS UN Reforms • Monterrey Consensus • Paris Declaration GREATER FOCUS Competition for available resources

6. What is RBM? • A broad management approach aimed at achieving improvedperformance, effectiveness, accountabilityand demonstrable results” • Also referred to as managing for development results • Results are the changes that we want to make and see in lives of the urban poor • In RBM all actors, processes, products and servicesfocus on achievement of planned results. • RBM refers to both institutional and development results

7. What are the Key elements of RBM? • Informs internal management & • New planning processes • - Facilitates accountability Setting the vision PLANNING EVALUATION Managing and using evaluation results Defining the results map and RBM framework Stakeholder Participation & Gender mainstreaming • Informs resource allocation • Sets the foundation for • monitoring, evaluation and • reporting Implementing and using Monitoring information Planning for monitoring and evaluation • Informs implementation modifications • Enhances organizational learning • Facilitates accountability & • Management decision making • Contributes to evaluation MONITORING & REPORTING

8. 6) Stages of An RBM Framework 1. Identifying clear and measurable objectives 2. Selecting indicators 3. Setting explicit targets Strategic Planning Performance Measurement 4. Developing performance monitoring systems 5. Reviewing, analyzing, reporting actual performance Results-Based Management/ Performance Management 6. Using evaluation findings to generate lessons and increase the understanding of strengths, weaknesses and comparative advantages 7. Using performance information for internal management accountability, learning, resource allocation decisions, including human resources management, and reporting to stakeholders and partners

9. Inter-linkages Between Planning, Monitoring & Evaluation • Without proper planning and clear results, monitoring cannot be done well. • Without effective planning, the basis for evaluation is weak, evaluation cannot be done well. • Without careful monitoring, the necessary data is not collected and evaluation cannot be done well

10. RBM Key Principles

11. Institutional Effectiveness/Enabling Environment Focus on Results with Leadership Driving Change HR policies& Business Systems, Processes & Tools Organizational Alignment Effectiveness Information, Communication& Knowledge Management Systems Adequate Resources & transparent allocation

12. Translating UN-Mandates into Results Through Planning UN-Habitat Mandates, MDGs, Habitat Agenda, GA & GC Resolutions MTSIP - 6 Years Strategic Framework & WP & Budget - 2 yrs UN-Habitat Programmes & Projects

13. Planning Tools • Tools • MTSIP Results Framework • Focus area strategy papers • Biennial strategic frameworks • Work programmes and budgets • Results-based budgeting tool • Annual Work plans • HCPDS • PRCs, tools & processes - QA EVALUATION PLANNING MONITORING & REPORTING

14. Strategic Planning in UN-Habitat • Planning at programme and and project levels • Preparation of 6-year Strategic Plan • Inclusive, Experiential Learning • 6 Focus areas, 5 substantive, 6th - excellence management • Results Framework – Results Chain • Goal, Strategic result, Expected accomplishment, Sub-Expected Accomplishment & Indicators of achievement • Performance Measurement Plans • Focus area Strategy Papers – Pathways to EAs

15. SMART RESULTS (Qualitative/Quantitative) Measurable Achievable Realistic 15

16. Biennial Strategic Framework • MTSIP delivered through strategic framework/work programme & budget • Logframederived from MTSIP results Framework • Programme Overview • Objective • Expected Accomplishment & Indicator of achievement • Strategy

17. Biennial Work Programme & Budget • Programme Overview • Objective • Expected Accomplishment & Indicator of achievement • Performance measures • Strategy • External Factors (Assumptionsand Risks) • Outputs • Resources

18. Results-Based Budgeting • Budgeting a critical aspect of RBM • Planned results cannot be achieved without requisite resources • Budget based on financial, human and other resources required to deliver results (expected accomplishments) • UN-Habitat developed special tools to facilitate transparent and participatory budgeting • Results-based budgeting challenging due to complex web of UN Secretariat rules and regulations • Resources unpredictable and large proportion is earmarked, not necessarily against priorities

19. Budgeting under Results-based Management Resource-based management Results-based management • Start with available resources: • $ • Staff • Start with:: • Defining what should be achieved and how (based on alternatives and options) • Then decide: • What to deliver and how • Then decide resources required: • $ • Staff

20. Annual Work Plans & HCPDs • Annual work plans derived from biennial work programme • Strengthen programme alignment and chain results and guide implementation, monitoring and reporting • Provides details where, when, how many and by whom • Habitat Country Programme Documents strengthens alignment of country priorities to MTSIP results • Serve as work plans for Habitat Programme Managers at National levels • Serves to inform the UNDAF and One UN processes at country level

21. RBM Embedment: Quality Assurance at Entry • Approved work programme delivered through projects • Quality assurance and RBM embedment through PRCs • Comprised of HQ: Programme Review Committee and 3 regional PRCs • Ensure results focus, programmatic alignment, coherence & internal collaboration across org units • Mainstream core values of gender, partnerships, youth & capacity building • Continuous learning and knowledge exchange • RBM embeded in tools • Logframe and risk assessment important elements

22. Why Performance Monitoring? • Monitoring provides indications of quality, quantity and timeliness of progress towards planned results. • Monitoring for accountability, transparency, communication to stakeholders, performance improvement, decision-making, learning and for informing evaluation • Programmatic monitoring guided both by best practices and the UN-Secretariat • Monitoring at both programme and project level

23. Measuring Performance Performance Commitment Baseline Target Measurement at the end of the period

24. Performance Monitoring & Reporting Tools • Tools • MTSIP Results Framework/ • Biennial Work programme Budget • Annual Work Plans • Monitor Financial Performance against Budget • Monitor Projects • IMDIS • IMIS • GMIS EVALUATION PLANNING MONITORING & REPORTING

25. 21. Performance Monitoring • Monitors MTSIP against Results Framework at strategic result & EAs - 6 monthly • Mandatory Monitoring of Work Programme -through the Integrated Monitoring Documentation Information System (IMDIS) - 6 monthly • Monitor and report progress on Work Programme Outputs, Indicators & Expected Accomplishments • Network of focal points for monitoring and reporting • Financial monitoring - Integrated Management Information System (IMIS) • Projects monitored against the logframe by staff and partners • Project monitored in Grant Management Information System (GMIS)

26. Performance Reporting • MTSIP progress reports to CPR - six monthly • Annual Programme Performance Report -12 months • Programme Performance Report - 18 months • Programme Performance Report - 24 months • Periodic financial performance reports to UNHQ

27. Performance Reporting • Quarterly Financial reports – CPR • Monthly Human Resource Reports –UNHQ • ED’s Annual Compact to the SG (on Org performance) • Reports to Donors as required, etc.

28. Why Evaluation? • Important for assessing performance, what is being done well and what is not being done so well Evaluation findings : • Performance improvement • Accountability • Evidence based decision-making, • Organizational learning • Adaptation and informing planning.

29. 23. Evaluation Tools • Tools • MTSIP Results Framework • Biennial work programme & Budget • Projects • Biennial Evaluation Plan • UNEG Norms, Standards • Monitoring & Evaluation Policy & Guidelines PLANNING EVALUATION MONITORING & REPORTING

30. Evaluation • Takes place at programme and project level • Programme evaluation decided at planning stage –biennial evaluation plan, in cooperation agreement or ad hoc by donors, etc. • Project evaluation depends on budget threshold, time span of project or • Mid-term evaluation or end of project evaluation

31. Uses of Performance Information + Performance Monitoring Evaluation “Performance Information” Management: Improvement Performance` Accountability: Reporting Learning Decision- making Information sharing External Internal Informed decisions on Intervention Strategy / Partnerships Experience Transparency and consensus SM + donors Partners Benef. Units Staff

32. How is UN-Habitat Building a Culture Results? • Building a critical mass of staff with RBM skills • Capacity building tailored for different groups of staff • Capacity building of all staff & senior management • Capacity building of staff in regional offices & in the field who deliver results at country level • Development of champions to support focus areas • Continuous training, mentoring& coaching • Development of tools • Quality Assurance process

33. Capacity Building for Results

34. Chain of Results and Area of Control Implementation Area of Control to the Organization Area of Influence External to the Organization Outputs Inputs (Resources) Activities Expected Accomplishments Impacts

35. Lessons Learnt • Increasing demand for UN-Habitat to demonstrate results of its interventions. Attribution vs Contribution. UN-Habitat, one of many stakeholders and also results are beyond our control. Efficient and strategic use of resources at every stage during implementation and demonstrate value for money • Embedding a culture of results takes time and effort because it is about attitude and behavior change

36. Lessons Learnt • We have learnt that it is important to select indicators that are easy to measure and cost effective to make RBM more realistic • The organization is not communicating the great work it is doing and the results it is achieving • UN-Habitat’s impact in the field can only be noted 10 or more years after project closure and the organization is not investing in this area.

37. Opportunities Identified • The six-year strategic plan for 2014-2019 presents an opportunity for improving our results framework, including indicators - staff more RBM focused and knowledgeable • The planning documents for 2014-2015 will be derived from the new strategic plan for 2014-2019, thus reducing the burden of monitoring and reporting on different sets of results • Restructuring of organization presents an opportunity for getting new RBM policies, improved systems and tools rolled out. • RBM training of many senior managers and CPR members in RBM is important for strengthening results focus as the drivers of change.

38. What are the main Challenges? • Utilization of information from feedback loops between planning, monitoring and evaluation not yet systematic and comprehensive • There are still capacity gaps in knowledge, skills and application of RBM in the organization, which impacts on the application of RBM in the organization’s substantive work • There are challenges of reporting results every six months, socio-economic interventions take much longer to emerge • There is limited provision of resources for performance measurement, both for establishing baselines and for providing evidence – making performance measurement problematic • .

39. What is the Way Forward? • Considerable progress has been made, but there more work needs to be done. • More effort will be put into strengthening the key elements of RBM and the feed back between them, between evaluation and plannings. • The planned electronic system intended to support the new Project Accrual Accounting System (PAAS) will facilitate integrated planning, monitoring and reporting at both programme and project levels. • There will be more sustained and continuous capacity building in RBM all levels, including the establishment of champions, and development of audio and visual training materials • UN-Habitat is working on innovative ways for communicating its results

40. What are the Resource Requirement? • Resources for establishment of baselines and for tracking indicators • Resource requirements for more reviews and evaluations, including for closed projects • Resources for sustained staff capacity development, including audio and visual support materials • Resources to support quality assurance processes • Development of manuals and tools

41. Future State Current State Conclusion: RBM Implementation is not an event. It is a continuous learning and improvement process – a journey How will we know we are successful? Why do we need to begin our journey? Drivers What are expected accomplishments? “Achievable Objectives” How do we get there? INCREASING RESULTS BASED MANAGEMENT CAPABILITIES What elements need to be put in place? Constraints Where are we now? What are the obstacles along the way?

42. THANK YOU FOR YOU ATTENTION Joint Annual Consultations, 15-17 June 2011UN-Habitat Headquarters, Nairobi, Kenya