An orientation to CIDA’s approaches to programming with its development partners

An orientation to CIDA’s approaches to programming with its development partners

Many inputs – but what are the results?
Sustainable Human development Many inputs – but what are the results? Why do we talk about RBM?

Brief History of RBM Genesis of the Logical Framework (LFA, Zopp) – 1968 RBM - formally introduced in USAID and DFID 1990 CIDA introduces RBM in1994 Focus on Results – Millennium Development Goals Global focus on RBM at a string of meetings starting in 2002 (Monterrey, Rome, Marrakech etc.) Paris Declaration 2005 – strengthening aid effectiveness: Harmonizing practices Alignment Changing “ownership” of aid activities Mutual accountability Accra 2008 – reinforces the focus on development results new UNDP focus on “managing for development results”

Integrating Performance
To achieve results

Integrating Programme / Project Performance
Stakeholder Engagement Analysis & Planning Budgeting Implemen-tation Monitoring Reporting Evaluating RBM

Overall Objectives To provide partners with an opportunity to deepen their own and CIDA’s understanding of respective project proposals which it will be partnering organizations on and To provide CIDA with an opportunity to orientate partners on the approaches which CIDA takes to its development programming with its partners. To work with partners to generate the documentation required to process contribution agreements.

CIDA’s 2008 RBM Policy Update
RBM policy update needed to make performance management more (a) rigorous, (b) modern and (c) pragmatic in order to: Standardize and provide better coherence in RBM terms, definitions and methodology used in across the agency, Align RBM at CIDA with Canadian Government approach, and Harmonize RBM at CIDA with the International Donor Community CANADIAN CONTEXT Recent Canadian governments have responded to increased public pressure for government accountability and performance through new standards for stronger accountability and reporting obligations. 2006 Federal Accountability Act (FAA) Bill C293: Official Development Assistance Accountability Act INTERNATIONAL CONTEXT The last 10 years have seen the growth of a consensus and commitment to performance in development 2000 Millennium Development Goals (MDGs) 2002 Monterrey Conference on Financing for Development 2005 Paris Declaration on Aid Effectiveness Managing for Development Results (MfDR) Joint Venture at the OECD/DAC provides a world forum to share lessons and advocate CIDA CONTEXT RBM has been used in CIDA for 30 years in various forms – considered model by peers Lots of RBM info at project level, clearer PAA context Staff understand need for monitoring/reporting results BUT RBM application became overly individualized, Project info is fragmented, program-level info is fuzzy, Staff are demanding simpler monitoring/reporting formats RBM definitions had not been updated, which created confusion, misalignment with GoC and international standards

WHY is Results Based Management a preferred development planning, implementation and reporting approach? It focuses on the impact of interventions in the short, medium and long term

“Results” in Day to Day Life
Inputs Water Salt, condiments Cooking oil Vegetables Meat, fish Firewood Working time Outcome Result Immediate (short-term), Satisfied (after having eaten this sauce, main dish or meal) Outcome Result Medium- term effect, improved physical well-being (if I can make sure I have a balanced diet over time) Activities Preparing the ingredients, cooking the meal, serving the meal Outcome Result Long-term effect, ‘quality of life’ (if I can ensure I have a balanced diet for more than 5 years) Outputs The sauce, the main dish, the meal

Typically, governments, development agencies and CSOs have focused their attention on:
inputs (what they spend), activities (what they do), and outputs (what they produce).

What is Missing? The destination►When we simply focus on inputs (spend), activities (do), and outputs (goods and services produced) we are blind - we don`t know our destination so we can’t see when and where we have gone off course

Modern development management requires planners, programmers, financial officers and M&E specialists to look beyond activities and outputs to focus on: actual results (the impacts and effects of their programs)

Various Terminology Used Around the World
USAID NORAD DFID OECD TBS and CIDA (2008) CIDA ( ) Impact Ultimate Outcome Strategic Objective Goal Impact Goal (Impact) Outcomes Intermediate Outcomes Intermediate Result Purpose Outcomes (short and Medium term) Purpose (Outcome) Immediate Outcomes Project level Intermediate Result Outputs Points à souligner : Yvetta (suite) La terminologie de la gestion axée sur les résultats (GAR) varie d’un organisme à l’autre. IL arrive parfois qu’un même terme ait des sens différents. Par exemple, la Banque mondiale appelle objectif ce que l’ACDI considère comme un effet – énoncé au passé. Pourquoi voir cette notion maintenant? Nous voulons que vous vous concentriez sur les concepts plutôt que sur la terminologie. CONSEIL(S): Lorsque l’on collabore avec d’autres organisations, il faut d’abord déterminer si elles utilisent une méthode de GR et, le cas échéant, leur demander comment elles définissent certains termes et quels outils elles utilisent. Grâce à ces renseignements, il sera plus facile d’établir un parallèle entre leur chaîne de résultats et leurs indicateurs et les outils de GR de l’ACDI. Lorsque vous comprenez les concepts qui se cachent derrière la terminologie de l’ACDI en matière de GR, ne vous vous accrochez pas aux définitions. Dégagez-vous-en, concentrez-vous sur les concepts. Imaginez-vous en situation réelle. Les mots exprimés dans différentes langues ont la même signification parce qu’ils représentent un seul et même concept. Une fois que vous saisissez les principaux principes et concepts, vous serez en mesure de naviguer à travers les différents outils et la terminologie de GR utilisés par différents organismes. Les concepts sont les mêmes, peu importe la langue. Par exemple, le mot chien en français, dog en anglais et pes en slovaque désigne tous un animal à quatre pattes qui aime les humains. Documents à remettre : Le CAD a publié un dictionnaire de la GR en français, en espagnol, en anglais et dans une autre langue (je crois) Ouputs Outputs Outputs Outputs Activities Activities Activities Activities Activities Activities (Process)

Results-Based Management
Theory Practice PERFORMANCE

What is a Result? A result is a describable or measurable change in state that is derived from a cause and effect relationship. Source : RBM in CIDA - Policy Statement (2008) This definition comprises two important elements: Importance of measuring change Importance of cause and effect Results are not stagnant – they exist in an organic, cause and effect relationship

Two Major Elements in “Results”
CHANGE CAUSALITY Measurable transformation In a group In an organization In a society In a country Cause and effect relationship between an action and the results achieved – this can be described as the“If-then” logic.

Results-Based Management
Defining realistic expected results, based on appropriate analyses; Clearly identifying program beneficiaries and designing programs to meet their needs; Monitoring progress towards results and resources consumed, with the use of appropriate indicators; Identifying and managing risks, while bearing in mind expected results and the necessary resources; Increasing knowledge by learning lessons and integrating them into decisions; and Reporting on results achieved and the resources involved This slide outlines the principles of the RBM management philosophy. RBM is….. 1.Analysis – You need proper analysis (political, socio-economic, gender, cultural, ethnic etc..)to choose activities, beneficiaries and intermediaries. Refer to examples used later in the results chains to point out the problems when analysis isn’t conducted (I.e. targeting training at men when it is really women who look after water in the community, or putting in wells but not realizing that the responsible party – the Regional Water Authority – doesn’t have the capacity to maintain them) Often it is useful to start with the Problem Statement – the problem tree analysis. 2. Identify beneficiaries (and stakeholders, and intermediaries) 3.Monitor – choose sound indicators to measure progress towards results achieved and made adjustments when and where required during the life of the investment (when you realize that the RWA doesn’t have the capacity, add an activity to address that) 4.Identify and Manage Risk – Figure out what could impact your investment and either change activities to avoid or deal with or develop risk-response strategies to cope if the event occurs. 5. Incorporate lessons learned into your ongoing investment and into future programming 6.Report on results achieved – compare expected results to actual results and talk about any variance between the two. Risk Management

Development results Immediate outcome Inter-mediate outcome
Knowledge People Materials resources Organise SRH workshops for women and men in Community X SRH workshops for women and men held in Community X Enhanced awareness of sexual and reproductive health rights in Community X Increased decision-making capacity of women and girls to negotiate safer sex practices in intimate relationships Women and girls in Community X have enhanced sexual and reproductive autonomy Immediate outcome Inter-mediate outcome Ultimate outcome Development results

The Importance of Analysis
The results chain should be informed by analysis (gender, environment, social, political etc…) Ensure that gender equality results are identified at outcome levels as required by policy Ensure that there is a logical connection through activities, outputs and outcomes to support the integration of cross-cutting themes (I.e., don`t just stick them in the results)

Problem Tree Analysis

The Result Statement A result statement outlines what a policy, program or investment is expected to achieve. At CIDA, result statement = Outcome. A result statement or Outcome describes the change stemming from CIDA’s contribution to a development activity in cooperation with others. Different types of change (and each type has its own place in the LM): Change in system, state Change in circumstances Change in behaviour or practices Change in functioning or performance Change in knowledge or awareness Change in skills or abilities

Language of Change Results are about change ► for the better
Change is signified by words such as: Improved (health conditions) Increased (income of local farmers) Strengthened (capacity of local NGOs) Reduced (vulnerability) Enhanced (ability to apply RBM) Promoted (engagement with stakeholders) Result statement is always phrased in the past tense to demonstrate expected change Use an adjective drawn from a verb in the past tense that will demonstrate the direction of expected change

LM Example LMs usually contain more than one results chain and address a number of different elements in the context (in relation to the problem statement), all of which lead, logically to the ultimate outcome.

Using the Logic Chain Ultimate Outcome: Change in State for target population Intermediate Outcomes: Change in practice and/or behaviour of target population Immediate Outcomes: Change in knowledge, awareness or access (etc) Outputs: Complete activities (good and services) Activities: What CIDA/partners do to mobilize inputs and create outputs. ? ? ? This slide provides a reminder of the LM structure and the kinds of change seen at each level. Put it up for reference during Debrief. ? ?

Integrating Rights into RBM
HUMAN RIGHTS POLITICAL SOCIAL CULTURAL ECONOMIC Gender Environment Labour Disability Children Older People Land Food Security Development Built into the Results Framework

Performance Measurement Framework (PMF)
Used to systemically plan the collection of relevant data to assess and demonstrate progress made in achieving expected results Ensures performance information is collected on a regular basis Allows for real-time, evidence-based management decision making Developed and monitored through consultation with partners, other donors, local stakeholders and sometimes beneficiaries A performance measurement framework (PMF) is used to systematically plan the collection of relevant data over the lifetime of an investment to assess and demonstrate progress made in achieving expected results. Best defined through multi-stakeholder workshops. It is critical to include the direct beneficiaries/target population A Performance Measurement Framework will help structure the answers to who will do what, when and how. It will document the major elements of the monitoring system and ensure that comparable performance information is collected on a regular and timely basis

THE PERFORMANCE MEASUREMENT FRAMEWORK
A Performance Measurement Framework (PMF) is used to systematically plan the collection of relevant data over the lifetime of an investment to assess and demonstrate the progress toward achieving expected results. A PMF: Is best defined through multi-stakeholder participatory workshops; Will help structure the answers to who will do what, when and how; Will document the major elements of the monitoring system and ensure that comparable performance information is collected on a regular and timely basis; Allows for real-time, evidence-based management decision making; and Should be developed and monitored through consultation with partners, other donors, local stakeholders and beneficiaries. Each outcome should aim for three indicators Mixture of qualitative and quantitative; and Mixture of country-based and project-based.

Performance Indicators
A performance indicator is a unit of measure-ment that specifies what is to be measured along a scale or dimension but does not indicate the direction or change. Performance indicators are a qualitative or quantitative means of measuring an output or outcome, with the intention of gauging the performance of a program or investment. Performance indicators are neutral & do not indicate directionality & do not embed a target. Quantitative performance indicators are discrete measures such as number, frequency, percentile, ratios, variance, etc. In other words, they can be identified as measures of quantity. Based on information gathered from census, surveys, enumerations and administrative records and are often referred to as hard, objective indicators. Qualitative performance indicators can be defined as people’s judgment and perception about a subject. Where quantitative measures are not possible, objective measurement of qualitative changes is possible by defining indicator in behavioral terms. Example: Quantitative performance indicators Number of: Number of women that gain employment – Reported as: 300 women gain employment by June 2001. Frequency of: Frequency of feeding programs carried out in three schools - Reported as: Weekly feeding programs carried out in September 2000. % of: % of counseled persons - Reported as: 35% increase in persons being counseled by July 2001. Ratios: Ratio of adults that can read and write - Reported as: 8 out every 10 adults can read and write by December 2001. Qualitative performance indicators can be expressed as: Extent to: Extent of involvement of religious leaders - Degree of: Degree of client satisfaction as defined by the speed of laboratory testing processes- Level of: Level of participation of women in decision-making -

Examples of Performance Indicators
Qualitative(experiential or perception): attitudes, skills, perceptions of, quality of level of (understanding), beneficiary opinion, extent of, congruence with presence of etc.: Quantitative (discrete measures): number of, frequency of, ratio of, variance with, % of, etc.: Examples: Quantitative Number of women in the decision-making positions Number of women and men capable of reading basic material. Ratio of men and women in decision-making positions in the Government Number of human rights violations Qualitative Level of satisfaction of the beneficiaries (as defined by…). Quality of the service provided. Perception of men on women’s participation in the local Committee. Coherence between the management tools developed and the absorptive capacity of the beneficiaries. Perception of staff about their skills in revenue generation

Gender Sensitive Indicators
Measure the gender gaps and inequalities you are seeking to address Points to changes is the status and roles of women and men over time Requires the collection of data disaggregated by sex, age Women and men should be actively involved in the planning process and selection of indicators that make sense

Performance Indicator vs. Target vs. Result
Often there is confusion between results, performance indicators, and targets Results: are precise statements of what is to be accomplished: Increased literacy among groups X and Y. Performance indicators: specify exactly what is to be measured along a scale or dimension, but do not indicate the direction of change Literacy rate, level of knowledge Targets: specify a particular value for an indicator to be accomplished by a specific date in the future Total literacy rate to reach 85% among groups X and Y by the year 2010 Often there is confusion between results, indicators, and targets

Results Based Budgeting
RBB is an integral part of the RBM cycle REPORTING BUDGETING

Results-based implementation
Results based monitoring, evaluation and reporting Results-based costing and budgeting Results-based planning

Project and Programme Results
Finance and resourcing results through RBB Operations Planning Programming and Implemen-tation Costing & Budgeting IT systems Capacity and Organisational Development Knowledge Management Performance Management Monitoring & Evaluation Human and Organisational Results Performance & Sustainability Results

Results Based Budgeting (RBB)
A results-driven budgeting process in which: Programme formulation and resources justification involve a set of predefined objectives, expected results, outputs, inputs and performance indicators which constitute a ‘logical framework’; Expected results justify resource requirements, which are derived from — and linked to - outputs to be delivered, with a view to achieving such results; and Actual performance in achieving results is measured by predefined performance indicators

Results Based Budgeting
“Results-based budgeting (RBB) is about formulating budgets that are driven by a number of desired results which are articulated at the outset of the budgetary process, and against which actual performance is measured at the end of the period.”

Traditional Budgeting Framework
Results directly linked to the budgeting approach Outcomes Inputs Activities Outputs What we invest What we do Budgeting approach focuses on costing activities / deliverables

Costing Results Costed Results Costed Implementation
PLANING FOR RESULTS Attribution Gap Long-term Goal (Impact) Outcomes Outputs Activities Inputs Can we cost for the effects or behavior changes resulting from program outputs? Can we cost for long-term, widespread improvement in society? Costing the products and services used to simulate the achievement of results Costing the utilization of resources to generate products and services Costing resources committed to program activities Costed Results Costed Implementation Traditional Budgets Results-based budgets

Intermediate Outcomes
Results Based Budgeting Approach Inputs Outputs Activities Intermediate Outcomes Change in behaviour Performance indicators Changes in practice Ultimate Outcomes Changes in state Old Budgeting Focus New Budgeting Focus

Risk Management Process
5. Evaluation Improving the process Organizational learning Performance reporting 4. Monitoring Decision-making Adjusting 3. Risk Response Determining options Mitigation options Implementing 2. Risk Assessment Impact and likelihood Risk ranking Risk tolerance 1. Risk Identification Environment scanning Partner collaboration Selecting key risk areas Understanding Context Communications strategy Gender considerations Stakeholder consultation Accountabilities Feedback This chart highlights the risk management process at CIDA. Now we only really begin to have risk management once we finish the 3rd step. Only after this is completed can we say we are effectively managing risks and managing for risks. Major criticisms of CIDA risk management practices are cleverly embedded in the model. They can be found at EDRMS #309640

Reputation / Public Confidence
CIDA’s Key Risk Areas Operational Risks Financial Development Op1: Human resources Op2: Performance mgt Op3: Information systems Dev1: Strategic Dev2: Socio-political Dev3: Inst capacity Dev4: Modality Dev5: Disasters, Environment, disease Reputation / Public Confidence Fin1: Funding Fin2: Fiduciary Fin3: Instrument This model similar to several other international organizations. The 12 key risks were developed by process including document searches, focus groups, rating sessions, management consultations, etc. In a study of 640 risks found in recent RRMAFs, all risk fitted the model except two. It is important that this model evolve continuously to reflect the changing risk environment. Operational : events that could impact on CIDA’s ability to operate effectively and efficiently Financial/Legal/Contract : events that could impact on CIDA’s ability to properly protect public funds Development : events that could impact on CIDA’s ability to meet expected results Reputation :reduction in stakeholder confidence or reputation

Typical Risk Matrix When risks are too high, use additional risk response strategies to reduce the overall risk level. Inherent risk: Risk level considered with current risk response. Residual risk: Risk level after additional risk response.

Risk Register Purpose of the Risk Register:
A risk register lists all the identified risks, the results of their analysis and a summary of risk response strategies. The risk register should be continuously updated and reviewed over a regular reporting schedule for the length of the project.

Elements of a Risk Register
Risk definition Initial level of risk Risk levels through the project life cycle Risk response strategies Risk owner

Example Risk definition Start Date 2 Date 3 Risk response Owner
For Program level only Risk definition Start Date 2 Date 3 Risk response Owner Operational 1. There is a risk that … 2. … performance mgt.. Very Low Improve data collection … Introduce new UN indicators DO High Financial -Risk 3 -Risk 4 Very High Extended use of FRAU … None needed at the moment. D.Dir External factors -Risk 5 -Risk 6 Low Other outcome risks -Risk 7

RBM Questions? Concerns? Thank You! 1

An orientation to CIDA’s approaches to programming with its development partners

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An orientation to CIDA’s approaches to programming with its development partners

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