Transcript Results-Based Management in Thailand

Results-Based Management
in Thailand
A Formative Evaluation for
Inclusive Development
1
Team
• Jeanne-Marie Col, Ph.D.
City University of New
York
• Marc Holzer, Ph.D. Rutgers University
• Paul Posner, Ph.D. George Mason University
• Marilyn Rubin, Ph.D. City University of New York
2
Results for whom?
•
•
•
•
•
•
People of Thailand, especially those
who are under-served
who are under-resourced
who are remote from Bangkok
who are most vulnerable
whose voices are not yet loud nor heard
3
Which results?
Better education and health
More jobs and businesses
More communication and linkage
Speed and quality of service delivery
(streamlining and efficiency)
• Equal development throughout the country
by improving conditions and opportunities
for those outside Bangkok (area-based
results)
•
•
•
•
4
Reaching for Results:
Family of Key Concepts
• Area-based development requires area-based
management & coordination
• Results-based management (& budgeting)
• Performance management (& budgeting)
• Managing for results (& budgeting)
• Management “contracts” & leadership
• Motivation & incentives (monetary and nonmonetary)
5
Public Administrative Act
(#5) B.E. 2545, Section 3/1
•
•
•
•
•
•
•
•
•
•
Benefits that accrue to the Thai people
Results-oriented administration
Effective administration
Worthiness of government functions
De-layering of work processes (streamlining)
Abolishment of unnecessary agencies & functions
Decentralization of missions and resources to local administrative
units (de-concentration)
Empowerment in decision-making
Facilitation of and responsiveness to the needs of the people; and
Accountability for endorsements
6
Performance Improvement
Programming (PIP)
•
•
•
•
•
•
•
•
Facilitating Factors
Expressed needs
Sustained leadership
Stakeholders ownership
Focused planning
Small successes
People (training)
Recognition of
improvements and
results
• Hindering Factors
• Resistance to
change
• Technical
difficulties
• Resources & skills
• Negative mentality
7
The effective use of strategy
and planning for area
development
• The Administrative Plan as a tool for area
development
• Planning & budgeting as management tools
• Balanced Scorecard (themes)
• De-concentration requires area-focused
leadership & management (CEO Governor)
• All efforts focused on area-based
development (i.e., the provinces)
8
Balanced Scorecard
•
•
•
•
•
•
Adds focus to measurement
Standardizes key themes
1. Effectiveness of missions (strategy)
2. Efficiency of operations (costs)
3. Quality of service (citizen-oriented)
4. Organization development
(innovation)
9
Strategy and Planning Cases
Naga City: to excellence in 5 years
Revenue collection (resources)
Investment in people and systems
Strategic planning and operations
control
• Improvement in services and processes
• Dramatic development increases
•
•
•
•
10
Technical aspects of formulating
key performance indicators
(KPIs)
• Accountability for results (dilemmas)
• Defining logic models or “results chains” (outputs—
intermediate outcomes—final outcomes)
• Achieving balanced measures
• Defining benchmarks for targets
• Focusing on the “vital few” measures
• Developing information systems to support results
• Measuring emerging priorities and programs
• Measuring longer term results
11
Institutional requirements
• Striking balance between central leadership and
agency ownership
• Aligning performance reforms with other
management systems, including budget
• Harmonization of indicators by focusing KPIs at the
provincial level
• Strong leadership at provincial level
• Synergy among sectors at provincial level
• Information systems and decision-support systems
focused on provincial level
• Use “clustering” to promote provincial development
12
Institutional Harmony
and Tensions
• Development by
expertise led by
central departments
with specialized
staff and programs:
one-size fits all
blueprint for
professional topdown operations
• Area-based
development led by
provincial teams & CEO
Governor, listening and
sensitive to public
needs and including
public participation in
planning, operations,
evaluation and
learning: leads to
building capacity for
continuous
improvement dialogue
13
Action-Harmonization
Mechanisms: Cases of Catalysts
•
•
•
•
•
•
•
•
Economic Crisis (New Zealand)
Citizen-based benchmarks in Oregon
National performance review (US)
Next steps (UK)
Disasters leading to development (Japan)
World Bank/IMF conditionalities (Uganda)
Vision 20/20 (Malaysia)
Energize new participants for development:
more inclusive development (Thailand?)
14
Inclusive Development
Improve education and health
Add industries and jobs
NESDB: planning
BOB: resources and MOF proper financial mgt
OCSC: public service personnel: policy etc.
Departments: operations
Ministries: coordination
? leadership for results: monitoring &
evaluation ?
• Area-based development: villages, tambons,15
districts, provinces: capacity & responsibility
•
•
•
•
•
•
•
•
Action-Harmonization
mechanisms:
Managing change processes
• Pacing the change process
• Maintaining parallel systems (new and old) during
the transition process
• Encouraging inspired and committed
implementation
• Recognizing and rewarding synergistic efforts:
competition to show competence and attract
development partners and investment
• Sharing accountability and responsibility
• Maximizing IT: strategic management tool
• Agenda, targets, reports: management tools
• Transparency as a management tool
16
The role of the CEO
Governor in performance
contracting
• Setting area priorities
• Managing area operations
• Coordinating ministerial and
departmental activities, inputs
• Measuring provincial results
• Reflecting national priorities at
provincial level
17
The role of the CEO Minister
in performance contracting
Contributing to area (provincial) priorities
Sharing responsibility for area development
Contributing to provincial results
Supporting other ministries/departments in
the province
• R&D for priority provincial issues
• Accountability for contributing to provinces
•
•
•
•
18
CEO Leadership & Training
•
•
•
•
•
•
•
Uganda: Governor (CEO-style)
Managerial Grid: people and task
Coordination: “shared future”
Reaching cooperation
Supporting each other
Transparency of issues (no secrets)
Asking the people
19
CEO Leadership Cases
•
•
•
•
•
•
•
Bangladesh Power Authority
Results needed; wastage high
Negotiated with union
Set targets for each area office
Set incentives and discipline
Measure after three months
Dealing with laggards
20
Capacity and Learning
• Working with performance indicators (KPIs) –
expertise in-house
• Using information technology systems
• Aggregating and Disaggregating data at appropriate
levels (especially provincial)
• Conceptualizing cross-cutting issues
• Linking strategies, results and intermediate
outcomes (results chains)
• Learning from feedback from performance systems
• Benchmarking for using best practices
21
Capacity and Learning Cases
•
•
•
•
•
•
•
Decentralization (as close as possible to the people)
For strategic planning
For accountability
For feedback and continuous learning
Need systems and trained personnel
Close citizen-government relationship
e.g., local level innovation creates diffusion
of innovations among area governments
22
Risks and Dysfunctional Behavior
Patterns and their mitigation
•
•
•
•
•
•
•
•
Over-simplification (reductionism)
Too many measures (over-elaboration)
Confusing outputs and outcomes
Measurement by convenience
Losing the “big picture”
Bureaucratic routines distort results
Hiding behind bureaucratic intricacies
Resistance to change; stalling tactics
23
Risks and Dysfunctional
Behavior Cases
• Buffalo garbage fiasco
24
Role of the People:
Voice and Governance
• Strengthening Citizens’ Charters
• Improving Citizen Surveys
• Popular participation in advising, priority-setting
and decision-making
• Community-based knowledge & wisdom
• Community-based initiatives
• Role of the Tambons
• Putting the “balance” in the balanced scorecard
25
Role of the People: Cases in
Voice and Governance
• Benchmarking in communities
• Benchmarking among provinces
• Benchmarking among departments and
ministries
• Benchmarking studies and application
• Seeking to be “the model” for
effective and efficient strategy and
operations: competitive spirit
26
Sustainability
• Enabling environment mechanisms,
resources, capacity, data
• Recognition and positive reinforcement
(awards and distinctions)
• Enhancing both supply and demand
• Credible supply of KPIs and data
• Dynamic institutionalization of demand from
the people, decision-makers and
stakeholders
27
Sustainability Cases
Surprise: Many nations have
sustained RBM more than 10 years
Community-based benchmarks
Long-term perspective
Integration with budget
Broad-based stakeholder support
Managers appreciate tools and adapt tools
for their use
• Citizens appreciate results
•
•
•
•
•
28
Dialogue for Sustainability
• Do we know what & how we are doing?
• Where to we discuss these issues?
• Mechanism for researching benchmark
cases and for dialogue on government
operations
• (legislative staff unit to evaluate and report
on government operations: parliamentary or
separations of powers system)
29
NEXT STEPS
• Increase focus on provinces for results identification
and measurement
• Invigorate CEO-style management at provincial level
• Align ministry/department resources to provinces
(HQ=R&D & Policy; Province=Operations)
• Strengthen incentives for cooperation (awards)
• Align performance systems with other management
systems, including budget
• Improve KPI measurement and data (use IT)
• Facilitate dynamic people participation
• Increase transparency of reporting and awards
30