Results-Based Management and field-level capacity building in the context of programming the TC cycle 2012-2013 Informal Briefing on the occasion of the 53rd General Conference September.
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Results-Based Management and field-level capacity building in the context of programming the TC cycle 2012-2013 Informal Briefing on the occasion of the 53rd General Conference September 14, 2009 Plan of the presentation • • • • • Expectations for Technical Cooperation Improving results-based management at country level Critical role and responsibilities of Member States counterparts Conclusion The Way Forward Expectations for Technical Cooperation • TC Strategy • Resolution of the General Conference [GC (52)/Res/11] 2008 • Audit findings and recommendations • Lessons from previous and on-going Technical Cooperation programming cycles Technical Cooperation Strategy I. The strategic goal for the technical co-operation is as follows: “Technical cooperation with the Member States shall increasingly promote tangible socio-economic impact by contributing directly in a cost-effective manner to the achievement of the major sustainable development priorities of each country”. II. The intents of this strategic goal are to ‒ respond to a real need of the country; ‒ produce significant socioeconomic impacts; ‒ reflect the distinct advantages of nuclear technology over other approaches; ‒ attract strong government commitment, ‒ Look beyond the immediate recipient institute at the final end user i.e. citizens. III.The importance of the engagement and full involvement of the Member States and the development community. Extracts of GC Resolution 11 General Conference stresses the need • To enhance the effectiveness and efficiency of the TC programme in accordance with the requests and needs of Member States, • To promote key areas identified in the Johannesburg Plan of Implementation and the attainment of the Millennium Development Goals, • To strengthen the TC activities through the development of effective programmes with well defined outcomes. Extracts of GC Resolution 11 (2) General Conference stresses the need • To support self-reliance, sustainability and further relevance of national nuclear and other entities in Member States, including regional and interregional cooperation on this issue, • To interact with interested States, the UN system, multilateral financial institutions, regional development bodies and other relevant intergovernmental and non-governmental bodies to ensure the coordination and optimization of complementary activities, • To continue implementing the Programme Cycle Management Framework (PCMF) in phases and to make it user-friendly so that Member States may use the tools effectively. Results-based management at country level Results based programming and budgeting Definition: “Involves formulating programmes and budgets that are driven by specified desired results that are articulated at the outset of the process and against which performance is measured at the end of the programme and budget cycle and is evaluated over time.” (GOV/INF/2005/5 25 April 2002) Results based programming and budgeting (2) Criteria for appraising results: • rationale (i.e. the justification for the programme); • objectives (i.e. the overall effect to be brought about to satisfy identified needs); • outcomes (i.e. the direct changes generated by the work of the Agency); • performance indicators (i.e. the information to be used to assess or measure the achievement of outcomes); • outputs (i.e. the products or services to be delivered); • inputs (i.e. the resources required). Results-based Management (RBM) Based on experience, state-of-the-art RBM now includes these main features: 1. Country-driven (i.e. The need to respond to real needs of high development priority) 2. Learning by doing (i.e. The need to improve using best practices, monitoring and evaluation) 3. Five levels of management (i.e. A comprehensive management framework linking policies to strategies, to programmes, to projects and to activities) Results-based Management (RBM) (Cont’d) Based on experience, state-of-the-art RBM now includes these main features: 4. SMART results (i.e. The clear and measurable enunciation of the results or changes generated by the support of the Agency) 5. Working in partnership (i.e. A comprehensive approach to management is required, involving all the partners in the achievement of the strategic results of the plan and priorities of the Member State) Country driven Alignment of external support to Government’s Plan MDGs UNDAF National Plan CPF Lessons learned about RBM Lesson #1 Make sure that the key factors influencing the success of the intervention are taken care of Principle: Interventions must not only be necessary, but also sufficient to achieve the expected result If a problem is caused by three conditions Principle: Interventions must not only be necessary, but also sufficient to achieve the expected result All 3 conditions must be addressed Lesson #2 Results are achieved in partnerships Country Program Results Framework Country Programme Results Framework Programme Vision Intermediate Outcome Strategic Strategic Strategic Outcome Outcome Outcome Intermediate Intermediate Outcome Intermediate Outcome Outcome Outputs Outputs Outputs Partner 3 ($) Outputs Partner1 ($) Outputs Partner 2 ($) Partner 4 ($) Partner 5 ($) Lesson #3 Align and prioritize your scarce resources to achieve your intended strategic results 20 Results $ $ $ $ $ $ Resources Results $ $ $$ $ $ Resources Results $ $ $ $ Resources $ Results $ $$ Resources $ Results $ $ $ Resources 11/7/2015 Results? Results? Results? Results? Results? Results? Results? $ $ Resources 11/7/2015 Results Based Management Evolution of Management Styles Budgeting for value for money Budgeting by objective Management by Objective Control and command 1950s 2000+ RBM 1990s 1980s 1960s-1970s Results Management Paradigm Matrix of Accountability Results Plan Program PL PR Implement IM Control CO Leadership & Entrepreneuria l Innovation $ Material People Info Evaluate EV • • • • • Policies Strategies Programmes Projects Activities Five levels of Management Results Management levels Policy Cabinet/Board Strategy Senior Managers Program Department Office Project Management Unit Task Employee Management of activities Levels of Management Policy Strategy Programme At this level of management , the procedures define the quality of the products being delivered. Emphasis is on process not results. Project Activity Pre Determined Results 33 11/7/2015 IAEA Reporting on activities 11/7/2015 Project management 11/7/2015 Levels of Management Policy Strategy Programme Project Activity The project paradigm was designed to be an exception to bureaucracy. The end results determine the administrative scenario, in light of the risks. Results Led Pre Determined Results 36 Examples of Indicators Objectives Impact indicators Infant mortality rate, under 5 mortality rate Results Outcomes Outcome indicators Results monitoring Number & % of child diarrhea cases treated with ORT Number & % of mothers knowing about & having access to ORT services Outputs Output indicators Number of health personnel trained in ORT, number of media ads produced, etc Activities Process indicators Means Inputs Input indicators Implementation monitoring Funding amounts ($), trainers (person-months), ORT supplies (numbers), etc Logical Framework is the Project conceptual tool IAEA Example of an LFA Maximizing the Use of Legumes for Increased and Sustainable Production in a Rain-Fed Production System Programme management Levels of Management Policy Strategy Programme Project Activity 40 Programmes are not mega-projects. They are collaborative ventures between partners achieving results. Results in Partnerships Results Led Pre Determined Results Conceptual tools for Programmes are Logical Models Policy Strategy Program Project 41 Research Outputs Generic C&I Template and Local Modifiers Methodologies Decision Support Systems Intergovernmental Processes National PolicyMakers Intermediaries Development / Technical Assistance Agencies Trade Organisations Trainers and researchers National Standards Bodies Principal Targets Managers of Forests (Stakeholders) Regional Land Use Planners Accreditation and Certification Agencies Planned Outcomes Accreditation Standards DSS Usage Policy Changes Use of C&I-based Management Standards Revisions to Land Use Plans Certification Standards 'Certified' Forests Intended Impacts Improved Management of Forests National Regional Forest Management Unit Management of Strategies Levels of Management Policy Strategy Programme Project Activity 44 Impact Partnerships Results Led Predetermined Results achieved by managing strategies are not done by oneself alone but mostly by others 45 Conceptual tool for institutional assessment Environment •Administrative •Political •Social / Cultural •Economic •Stakeholder Strategy Organizational Motivation • History • Mission • Culture • Incentives / Rewards Organizational Performance • Effectiveness • Efficiency • Relevance • Economic / Financial viability 46 Organizational Capacity • Strategic leadership • Structure • Human resources • Financial management • Infrastructure • Project management • Process management • Inter-organizational linkages Management of Policies Levels of Management Policy Consensus for Results Strategy Impact Programme Partnerships Project Activity 48 Results Led Predetermined A First Time in Humanity The Challenge of Working Together All countries and major international organizations agree to achieve the Millennium Global Goals Factors of a results based policy Bold but measurable vision Inspiring intermediate targets indispensable Balance ambition with realism Targets must be well known Constant monitoring and learning essential Strong leadership matters Nothing speaks louder than money 50 SMART Results SMART results • Specific: Result is clearly stated and described in change language • Measurable: An assessment is possible. • Achievable: Attainable target, sufficiently resourced, risks managed • Relevant: Milestone in the results chain, related to MDGs etc • Time bound: Achievable within a specified period The Main Challenges of RBM • To enunciate clear and measurable results is the hardest step of RBM • It implies that there is a systemic understanding of the root causes of the problem/need • To achieve the results the key factors influencing the desired change from one situation to another must be identified and addressed • Ultimately there must be a balanced judgement as to what is best to achieve and what is realistic in light of the risks and opportunities. The Main Challenges of RBM (2) Results must • Not only be articulated clearly • But also be agreed upon • With commitments made to achieve the desired results This has to be done collectively and in a participatory manner with the stakeholders Partnerships Partnership • A partner is not a contractor • Partnership implies an equal working relationship • Partners share a vision, values, commitment, talents & resources • Partnership rests on trust & conviction • Partners work collectively and in a participatory & transparent manner Critical roles of Member States counterparts TC Strategy “It is important to emphasize that capabilities, needs and priorities of Member States vary, and it will remain the prerogative of Member States to identify their priorities and types of assistance they wish the Agency to provide in their efforts to build up their capacities and infrastructures.” (GOV/INF/2002/8/Mod.1) Technical Cooperation Strategy Technical Cooperation Strategy 1997 Medium Term Strategy The 2002 Review Central Criterion: Objective Outcomes Performance Indicators To produce sustainable ‒ A TC programme that is linked At least 80% of recipient States benefits within the to national development plans. have Country Programme framework of national ‒ Strong government commitment Frameworks by 2007. development plans. for the TC programme in Member States. ‒ Increased capacity in Member States through continued provision of the support needed to ensure the transfer of safe and secure applications of nuclear technologies. 11/7/2015 Strengthening the Upstream Work: Country Programme Framework The CPF defines mutually agreed priority development needs and interests that are to be addressed and supported through technical cooperation activities. A prerequisite of the CPF process is a dialogue between the Agency and all national stakeholders. And should reflect agreement between all parties on where nuclear science and technology could contribute directly and cost-effectively to national development. Critical national contribution in formulating Country Programmes • • • • • Articulate clear programme results Forge effective country-level partnerships Align the programme with national priorities Design sustainable programme Improve reporting of programme results Conclusion Why RBM? Focus on results, not activities Strategic focus as the main driver Performance oriented Improved measurement of achievements Better transparency Greater accountability Funding requirement State-of-the-art standard More explicit rationalisation of alignment is required Member State Development Priorities X. 1 X. 2 Y. 1 Y. 2 Z. 1 Z. 2 X. 3 X. 4 Y. 3 Y. 4 Z. 3 Z. 4 Vehicles of Alignment Country Programme Document (presently a missing link) Project X Project’s Logical Framework Project Y Project Z Objectives/ Goals Objectives/ Goals Objectives/ Goals Outcomes Outcomes Outcomes Outputs Outputs Outputs Activities Activities Activities Inputs Inputs Inputs Challenges of RBM with full involvement of national counterparts • Make realistic statement of expected results • Identify the stakeholders and respond to their needs and • • • • get them involved Obtain commitment from the stakeholders, and ensure counterpart resources from the Member State (including both in-kind and funding) Use SMART performance indicators Identify and manage risks Learn by doing and integrate into decision-making RBM is a different mindset Country level management implies a commitment to strategic intents and Alignment of activities Be clear on what you want to do and Be committed to achieving it The Way Forward The Way Forward Strengthen TC Programme and project planning Engage in direct dialogue with stakeholders at the country-level in order to respond to national needs and priorities Focus more on results and value for money with the systemic application of results-based management (RBM) TC Programme Cycle Management Framework (Special emphasis given to Programme Planning) PROGRAMME PLANNING & APPROVAL (PCMF Phases I & II) Planning/Consultations 2. Concept Prioritization and Budgeting 3. Project design & formulation 4.Approval 1. PROGRAMME REVIEW PROGRAMME IMPLEMENTATION (PCMF Phase IV not yet defined) Reviewing Results 1. Plan & conduct review 2. Assess impact 3. Follow-up adjustments and implementation of recommendations (PCMF Phase III) Monitoring, Assessing & Reporting Performance 1. Operational execution 2. 3. 4. 5. Monitor progress Assess performance Make adjustments Report performance 11/7/2015 Key improvement measures being considered • Unit of management migrates from the activity level to the country programme level • Increased TC involvement in country needs assessment, programming phase of the cycle • Systematisation and streamlining of concept screening • Focus on setting realistic and credible objectives and cascading them down to outcomes, outputs, inputs, activities and work plans On-Going Actions Preparation of a guidance note for the forthcoming programming cycle Focus on RBM training at Headquarters and in the field Next Steps for RBM Training • Informal presentation on RBM during the • • • • General Conference (14 Sept) Two RBM pilot workshops: PMO/TO and PMA/PA ( 28-29 Sept and 30 Sept-1 Oct) Presentations on RBM during Regional meetings RBM presentation for TACC Members (week of 23 Nov) Regional RBM training workshops (2010) End Presentation by Jean Serge Quesnel 11/7/2015