The RBM Handbook is arranged primarily around the programme cycle. An additional section, part eight, business operations. What is Results-Based Management? Key Results-Based Management Principles Basic RBM Terminology RBM is a management strategy by which all actors, contributing directly or indirectly to achieving a set of results, ensure that their processes, products and services contribute to the achievement of desired results outputs, outcomes and higher level goals or impact.
The actors in turn use information and evidence on actual results to inform decision making on the design, resourcing and delivery of programmes and activities as well as for accountability and reporting. RBM is seen as taking a life-cycle approach of results through a programme, implementation see Figure 1. It starts with elements of planning, starts and monitoring becomes an essential task to such as setting the vision and deining the results ensure results are being achieved.
Once partners agree to pursue a set invaluable information for decision-making and lessons learned for the future. Results that occur at this level ing national development outcomes. The outcomes of United governments and donors. For the purpose of partners on the basis of the Basic Cooperation the UNDAF, mutual accountability is interpreted Agreement between the United Nations and the to mean the respective accountability of parties host country on the one hand, and to partner working together toward shared outcomes.
At the same time, each entity is delivery of speciied items. Upward Figure 2 delineates individual accountability reporting to governing bodies does not focus on within an overall low of activity leading toward national development performance. Instead, it higher-level outcomes, with accountability focuses on the contributions made by individual established at each level. At each ment objectives. The accountability for results level, there is an expectation that an accountable of UNCT members to their respective governing party has the capacity to undertake its responsi- bodies is limited to the level at which results can bilities to make its contributions to the results.
If be attributed to the UNCT. Typically, the imple- development and …the role of national policies menting partners are the key to achievement of and development strategies cannot be over- outputs and activities. UNCTs are accountable to governments for overall contribution to national development objectives, through their contribution to the achievement of speciic UNDAF-level outcomes. Each UN Agency is accountable for its contribution to selected UNDAF out- comes as per their agency mandate and its agreed country programme, including to national authorities as well as to its governing board.
For the purpose Implementing partners including local authorities of the UNDAF, and civil society organizations have mutual mutual accountability accountability for the achievement of outputs is interpreted to mean the and activities to the national authorities respective accountability and the communities themselves. Providers of inputs are accountable to imple- menting partners for the satisfactory delivery of speciied items.
To maximize national ownership and those who can make use of them. More and sovereignty, programmes and projects of detailed information on the concept of national the United Nations must be based on national ownership in relation to common country priorities, strategies and local needs.
They are programming and aid effectiveness is available envisaged to complement national efforts. Impact on the UNDG website.
However, principle. A strong RBM process aims to engage national ownership does not mean that the stakeholders including government institutions United Nations is not accountable. Engagement of all relevant agencies to focus on building partnerships and stakeholders in all stages of the programming collaboration and ensure greater coherence. Increasing evidence shows that sustainability is RBM approaches have traditionally focused more likely when rights-holders are involved in more on internal results and performance of peace-building or development processes from agencies rather than on changes in the develop- the outset — including during country analysis, ment conditions of people.
One ment systems, scorecards, metrics, reporting cannot expect rights-holders to be responsible and should be dynamic and transformative so for results and indicators they do not help deine, that results inform decision-making and lead to negotiate or agree upon.
Stakeholder analysis continuous improvement and change. When adopted across the board by United MfDR is an effort to respond to the growing Nations agencies, these deinitions can contribute demand for public accountability in both the to greater coherence and consistency and help developed and developing worlds on how when communicating RBM issues with national assistance is used, what results are achieved and governments. The basic terminology used in this how appropriate these results are in bringing handbook is taken from several sources and is about desired changes in human development.
It is based on a It is the higher order objec- products and services con- theory of change, including tive that will assure national tribute to the desired results underlying assumptions. This might evidence on actual results Outcome include changes in knowl- Outcomes represent changes to inform decision making edge, skill, behaviour, health on the design, resourcing in the institutional and or living conditions for behavioral capacities for and delivery of programmes children, adults, families or and activities as well as for development conditions that communities.
Such changes occur between the comple- accountability and reporting. Results are changes in a state population groups produced or condition that derive from Outputs by a development interven- a cause-and-effect relation- Outputs are changes in skills tion, directly or indirectly, ship.
There are three types or abilities and capacities intended or unintended. These of such changes - outputs, of individuals or institu- effects can be economic, outcomes and impact - that tions, or the availability of socio-cultural, institutional, can be set in motion by a new products and services environmental, technological development intervention.
They are Results chain internationally-agreed achieved with the resources The causal sequence for a development goals, national provided and within the time development intervention development goals as well period speciied. Reference point or standard, or achieves results in accor- Performance indicator including norms, against dance with stated plans. A performance indicator which progress or achieve- Performance monitoring is a unit of measurement ments can be assessed.
A A continuous process of that speciies what is to be benchmark refers to the collecting and analyzing measured along a scale or performance that has been data for performance indica- dimension but does not indi- achieved in the recent past tors, to compare how well a cate the direction or change.
What is a Result? Getting Started: How to Deine Results Formulating Results The Results Chain Developing the Results Matrix This section discusses results and the results chain and then presents some related tools. A result is a describable or measurable change their effects sustained over time. Adhering to that is derived from a cause-and-effect relation- a national development plan or strategy helps ship. There are three types of such changes orient and guide United Nations-supported inter- — outputs, outcomes and impact - which can be ventions so that these interventions respond to set in motion by a development intervention.
However, this is not always the case. The assessment must includes the following elements: consider the mandates, technical capacities available in-country, regional or global and a Gather information on the country situation resources of the UNCT or agencies. This could and capacity gap issues. For detailed information on conduct- conlict factors forms part of this analysis.
For information on how to conduct HRBA and other programming principles. Activities use action words or because it is not speciic or verbs that relect what will be measurable e.
It is important conferences, prepare curricu- e. Naturally, the situation may vary from country to country depending on the local UNDAF results should be formulated in change situation, the level of capacity and how fast language See Annex 2. There is a need to curb the given context that relects the overall situation, tendency to be too ambitious with results state- needs, issues, priorities and aspirations of key ments.
Results should be commensurate with rights-holders. A range of factors — economic, the environment, existing and potential capaci- political, social, environmental or cultural — will ties, and resources. If not, there will be a need affect the achievement of results. The general rule to adjust the result statements.
Moreover, it may is that one size does not it all and results chains raise undue expectations that cannot be met, will vary from country to country. TABLE 2. Example Example Financial Series of The National National and Reduced risks and resources, human preparatory Disaster Centre and provincial increased safety resources i. A version that includes also the output level. Both results chain should clearly represent the change options for developing the results matrix contain achieved through the cause-and-effect relation- the following six columns, including: ship between inputs and activities and the results 1.
Outcomes and outputs15 including the outputs, outcome and impact levels. While inputs, activities and outputs are 2. Indicators, baselines and targets; elements of the project or programme, outcomes 3. Means of veriication; and impacts represent elements at a higher, 4. Risks and assumptions; national level. If it is not possible to clearly show attribution, or at least contribution, between 5.
Role of partners; elements in the chain, then they are not relevant 6. Indicative resources. United Nations agencies are expected to achieve the outputs for which they are responsible and 2. The results clearly articulating the outputs and outcomes and matrix maps the collective United Nations contri- other elements of the programme.
The results matrix provides an overall snapshot of the United Nations-supported The results matrix should be developed from programme, highlighting national priorities top down — beginning with national develop- and goals to which related UNDAF outcome ment priorities and goals and moving to the and outputs contribute. The results matrix sets outcomes. UNDAF outcomes that contribute to the strategic direction and expected results of national development priorities are predomi- the United Nations system in the country.
The nantly supported by United Nations interventions UNCT leshes out how it will deliver these results in the country. National development priorities through various tools such as the UNDAF Action and goals drive the development of UNDAF Plan, agency action plans and operational docu- outcomes, which represent the joint vision of ments, joint programmes and annual work plans. United Nations agencies along with other key stakeholders operating in the country.
The results matrix is used throughout the life are speciic, strategic and clearly contribute to cycle of the programme — from planning and the achievement of national priorities, they must implementation to monitoring, evaluation and be linked to and supported by programme or reporting. At the planning stage, the results matrix project outputs.
Outputs are the level of ized agency outcomes in line with national result in which the clear comparative advantages priorities or goals. Outputs are linked to those account- Outcomes describe the intended changes in able fro them giving the results chain a much development conditions resulting from UNCT stronger internal logic. Outcomes relate to changes in results should be formulated in change language. Indicators ensure that rights-based approach lens. Achievement of decision-making is informed by relevant data.
Based on 2. Apart from its normative value as a set of universally agreed values, standards and RBM, together with the other principles, a human rights-based approach four principles, constitutes a leads to better and more sustainable results. It is widely and unjust power relations that are often at agreed that all ive principles are necessary for the heart of development problems and which effective United Nations-supported country pose a serious threat to development progress if programming that balances the pursuit of interna- left unaddressed.
Broken down, a human rights-based results focus on the following three main elements: The recently issued Guidance Note on the Application of Programming Principles to the 1. While RBM is a management Furthermore, using a human - monitoring should relect tool to help reach a desired rights-based approach: how programmes have result, a human rights-based - outcomes relect improve- been guided by human approach is a framework that ment in the performance rights principles, such helps deine the results and of, or the strengthened as non-discrimination, the process by which results responsibility of, the rights- participation, and account- are achieved.
Gender equality. The expectation from stakeholders is that if the outputs have been delivered and the assumptions in the programme document still hold true, then the outcome will be achieved. Assumptions should be formulated after the results chain and before the indicators, even though in reality practitioners often identify indicators before assumptions. The sequencing is important as the identification of assumptions is crucial and can lead to a redefinition of the results chain.
This is why it is better to define assumptions before indicators. Risk corresponds to a potential future event, fully or partially beyond control.
Since potential impacts can be both positive and negative, some agencies have chosen to widen the definition of risks to include both threats that might prevent them from achieving their objectives and opportunities that would enhance the likelihood that objectives can be achieved. Such a definition has the advantage that it enables a more balanced consideration of both opportunities and threats, thereby promoting innovation and avoiding risk aversion. Risk assessments should consider a wide range of potential risks, including strategic, environmental, financial, operational, organizational, political and regulatory risks.
For example, in the context of the above-mentioned election support programme, a potential risk may be that rising ethnic tension and violence in rural areas may make people reluctant to travel to voting centers on election day. On the other hand, a potential decision by the government to double the number of voting centers would represent a significant opportunity to increase participation since travel distances may be reduced.
Using a risk matrix, as in Table 6, enables systematic identification and prioritization of identified risks. In the risk matrix, risks can be ranked according to their likelihood of happening low, medium or high and potential severity low, medium or high if they were to occur. A risk mitigation strategy should also be defined for each risk to minimize the potential impact of risks on the achievement of results. Programmes and projects are expected to manage the risks related to their programme and project.
During implementation, it is a good practice to incorporate the planned responses to risks into the regular work plan of the programme or project, assigning staff members to be responsible for the actions and resources required.
It is critical that budgeting and allocation of resources is done on the basis of requirements for achieving agreed results. In some cases, indicative resources can be itemized by activity or output. Financial resource amounts in this column should specify if these amounts are from regular or other sources i. Yet without good management it is unlikely that results will be achieved. Managing effectively for better results requires the flexibility to change strategies and activities if and when needed.
It also means using a team-based approach to ensure that all stakeholders concur with any proposed changes or actions. Good management ensures that results matrices are updated at least once a year with the agreement of all stakeholders.
TABLE 7. Underline the difference between outputs and outcomes and reward performance that manages for outcomes. Be realistic with the definition of results so that outputs and outcomes can be realistically achieved. This requires that managers manage better, ensuring that their resources are commensurate with the results they hope to achieve. Results-based decision making is a key dimension of RBM that should not be overlooked.
Identifying, developing and managing the capabilities people, systems, resources, structures, culture, leadership and relationships are essential for managers to plan for, deliver and assess results. While the planning phase with government stakeholders and United Nations agencies serves to prepare a framework for joint collaboration, more attention needs to be placed on managing and monitoring UNDAF outcome results.
Discussion on aspects of developing and managing capabilities is beyond the scope of this handbook. It is often the case that too many programme officers and unit heads engage only in managing a portfolio of projects. Making the logical link to the country programme and UNDAF outcomes at the time of reporting is often difficult and coherence and synergy between projects is frequently lost. Effectively utilizing RBM, therefore, requires a proper management structure. It needs attention in each UNCT meeting.
It involves:. September It involves regular and systematic assessment based on participation, reflection, feedback, data collection, analysis of actual performance using indicators and regular reporting.
Monitoring makes it possible to gauge where programmes stand in terms of international norms and standards. It helps the UNCT understand where programmes are in relationship to results planned, to track progress on the basis of intended results and agreed indicators , and to identify issues and analyze relevant information and reports that become available as implementation occurs.
The UNCT also monitors to fulfill accountability requirements; communicate, review and report results to stakeholders; adjust approaches to implementation if necessary; and inform decision-making.
Monitoring feeds into evaluation and real-time learning. Monitoring at the outcome level requires a good understanding of how outputs and related efforts in, for instance, advocacy, come together. The United Nations system - as one partner - is directly accountable for making its own agreed contribution toward the achievement of nationally-owned outcomes to which United Nations support is associated. It is responsible, together with other partners, for monitoring the gradual achievement of the overall outcome.
For high level results, such as national goals or sector outcomes, key stakeholders should typically form sector-wide or inter-agency coordination mechanisms around each major outcome or sector for monitoring and coordination. Whenever national structures for this already exist, the United Nations system should engage and participate in them. The United Nations should avoid parallel mechanisms or groups for such purposes.
This support can extend to developing national monitoring systems. The results matrix will help the UNCT to stay focused on the expected achievements of programmes or projects. It serves as: 1. Although the results framework is prepared at the planning stages of the results, it can be improved upon by the partners collectively at later stages.
For example, newer and more effective indicators may be identified during the implementation phase, for example, during an UNDAF annual review. An important element of monitoring effectively is ensuring that data systems are developed and information is collected on a regular basis.
Data may come from a combination of national systems and the programme or project specifically. For example, if a programme aim is to increase literacy in country x, it should collect data that shows literacy levels for the country at the beginning of the programme. This data will then be compared with subsequent data in the future to measure change. Where baseline data does not exist, there may be need to derive baseline information through use of qualitative methods such as testimonials, focus groups.
In some countries, DevInfo has been used to not only monitor MDG progress but also to monitor performance of other national development frameworks. An analysis of the data revealed that the government and partners need to urgently scale up multi-sector interventions to achieve a reduction in child mortality and improve maternal health. An important element of any database is using the information not only for reporting but also to inform decision-making, resource allocation and possible changes in activities to better meet expected results.
Another tool used by many organizations to monitor different parts of their results framework is scoring. This is a useful tool for organizations with limited experience in practicing RBM. Other approaches allocate scores such as A to D against criteria at different agreed stages throughout the project cycle.
This can significantly help analysis and aggregation of results information. However, the effectiveness could be weak. The common theme of these approaches is the full participation of people in the processes of learning about their needs and opportunities and in the action required to address them.
Also, the potential sustainability of the same intervention could be very poor score D if financial resources will not be available afterward to maintain benefits or if key cross-cutting issues such as gender, etc.
The cover. Inclusion based decision making. The methods used depend on beneficiaries. UNCTs are also required to submit at least one progress report per cycle to government based on the annual reviews.
United Nations inter-agency groups coordinating at the outcome level are expected to monitor and report regularly to the UNCT on outcome-level performance. It describes agency and partner accountabilities, the uses and users of information, the UNDAF evaluation milestones, and complementary partner activities see Table 8, page Investigate a problem or assess the conditions of a specified population group.
In particular, it includes UNCT support for national reporting to human rights treaty bodies and assures participatory monitoring that involves representatives of rights-holders. An evaluation attempts to determine objectively the worth or significance of a development activity, policy or programme.
For example, national or international conferences, MDG reporting, reporting to human rights bodies, preparation of the national development framework, the prioritization exercise, and preparation of the UNDAF.
Capturing this social change does not necessarily occur in a linear way. It helps to identify specific outcome areas that describe the types of change in individuals or within systems that are likely to occur as a result of advocacy and policy efforts. This should make it easier to know what to measure.
For example, social change outcomes might include: public awareness, political will, policy adoption, and physical and social changes in lives and communities. Key stakeholders should be involved in determining the direction and level of change expected. The United Nations Evaluation Group UNEG standards and norms seek to facilitate system-wide collaboration on evaluation by ensuring that evaluation entities within the United Nations follow agreed basic principles.
They provide a reference for strengthening, professionalizing and improving the quality of evaluation in all entities of the United Nations system.
It focuses on expected and achieved accomplishments, examining the results chain, processes, contextual. It aims at determining the relevance, impact, effectiveness and sustainability of the interventions and contributions of the organizations of the UN system.
An evaluation should provide evidence-based information that is credible,. It is important to distinguish the role of evaluation in RBM in the following two aspects: as a critical management tool for achieving better results; and as a quality assurance tool during RBM processes. Evaluation has three key functions: 1.
Evaluation provides decision-makers with evidence and objective information about performance and good practices that can help them to improve programmes. The ability of organizations to carry out credible evaluations and use them to make informed decisions is critical when managing for results with a goal of improving development effectiveness.
The focus is on what works, why and in. Decision makers use evaluations to make necessary improvements, adjustments to the implementation approach or strategies, and to decide on alternatives. Accountability: Objective and independent evaluations help United Nations organizations to be held accountable to their governing boards, donors, governments, national partners, the general public and beneficiaries.
An evaluation determines the merit and quality of an initiative or programme. An effective accountability framework requires credible and objective information; evaluations can deliver such information. Information on or about: - the relevance of intended outputs or outcomes and validity of the results framework and results map - the status of an outcome and factors affecting it - the effectiveness of the UNDP partnership strategy - the status of project implementation - cost of an initiative relative to the observed benefits - lessons learned Who will use the information?
The intended users of an evaluation are those individuals or groups who have a vested interest in the results and who are in a position to. How will the information be used? Organizational Learning: Evaluations build knowledge for institutional learning, policy making, development effectiveness and organizational effectiveness. Evaluations are not an event, but part of an ongoing exercise in which different stakeholders participate in the continuous process of generating and applying evaluative knowledge.
An evaluation framework that generates knowledge, promotes learning and guides action is an important means of capacity development and sustainability of results. The intended use of an evaluation determines the timing, its methodological framework, and the level and nature of stakeholder participation.
Therefore, the use has to be determined in the planning stage of the process. Box 5 above provides a set of questions to guide practitioners in assessing the potential of evaluations. However, these uses are not mutually exclusive and evaluation in general has multiple uses. Discussion on different types of evaluations is not in the scope of this handbook.
When an evaluation is aimed at developing knowledge for global use and for generalization to other contexts and situations, generally more rigorous methodology is applied to ensure a higher level of accuracy to allow for wider application beyond a particular context. The matrix allows users to easily review results achieved, determine progress against the baseline and targets, and assess how risks are mitigated or if assumptions still hold true.
An evaluation will report on these aspects of the results matrix along with five other variables: relevance, efficiency, effectiveness, impact and sustainability. Individual agency evaluations focus on their country programme and could contribute to the overall UNDAF evaluation. Although the results of the UNDAF evaluation are meant to contribute to managing for results, it is an external function, which should be separated from programme management.
Good planning helps to focus on results that. This may mean further changing or modifying data collection for monitoring purposes. All too often reports do not adequately tell the story of the effects that interventions are having.
Results-based reporting seeks to shift attention away from activities to communicating important results that the programme has achieved at the level of international norms and standards in relation to national commitments to international treaties and human rights instruments, UNDAF output and outcome levels. An important aid is the results matrix, which clearly articulates the results at the output and outcome level and the indicators, baselines and targets.
These items, along with the review of indicators, assumptions and risks, should serve as guides for reporting on results. Through RBM, United Nations agencies seek concise reports that systematically provide actual results using the indicators designed in the planning phase. Changes in baselines or in the achievement of targets should be documented in the results-based report. An effective resultsbased report communicates and demonstrates the effectiveness of the intervention.
It makes the case to stakeholders and donors for continued support and resources. A results-based report can also be used to demonstrate accountability to governing bodies of United Nations agencies, government and donors. The reporting matrix, as shown in Table 9, is a tool UNCTs can use to summarize and track results during annual reviews.
The matrix helps keep the reporting focused on results at the outcome level and the United Nations contribution to these outcomes. In writing the results story, the UNCT should: describe what was achieved and list the indicators of success; compare actual results with expected results; quantify achievement whenever possible against a baseline; illuminate findings with quotes, testimonials, photos, etc; explain the reasons for over or under achievement;.
By presenting credible, reliable and balanced information, the UNCT will be able to produce an effective results-based report. An effective report can also be one that highlights challenges and areas of inefficiency and poor results. Quality criteria for results reporting include the following five areas: 1.
Overall progress on UNDAF outcome including assessment of key strategies, their effectiveness and lessons learned : Greater access and equity in health services for adolescent and vulnerable groups. While the programme is in its initial phases, preliminary results look promising. Special efforts have also been made to ensure that marginalized groups - like indigenous women and men and adolescent boys and girls - have greater access to health services.
The special programme targeting adolescent youth and reproductive health with outreach and theater has been very successful in promoting the importance of reproductive health. Output 1: Strengthened national capacity to develop and implement a human resource development plan for safe motherhood, within the national human resource development plan. An implementation plan for the National Human Resource Development Plan was also developed with the participation of various stakeholders which has led to increased commitments from civil society and government ministries.
Implementation of the Human Resource Development Plan is progressing well and there is beginning to be an increase in use of adolescent sexual and reproductive health services. Output 2: Strengthened reproductive health information and services for young people within the context of the national adolescent health strategy.
Similarly, two models for adolescent sex and reproductive health information dissemination have been developed, which are currently functioning and operational. Youth made recommendations to increase the extension services available to them.
This continual process of feedback and adjustment, as seen in Figure 5, seeks to make programmes more responsive to the environment within which they operate. United Nations agencies need to ensure that they have adequate mechanisms for flexibility, revision, adjustment and learning. UNCTs need to work in tandem with government to operationalize the review process so that learning and adjustment can take place.
Optimizing performance between and among United Nations agencies and key stakeholders is the key to ensuring accountability, national ownership, buy-in and sustainability of development interventions and long-term change.
A handbook for development practitioners. Results-based management RBM is defined as orienting all action and use of resources towards achieving clearly defined and demonstrable results.
RBM increases Results-Based Management is a systematic approach to organizing planning, implementation and results reporting. Rist] on Amazon. Harmonizing RBM concepts. Pazvakavambwa A.
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