Steps in planning results-oriented assistance instruments
Results-oriented assistance is based on participatory strategic planning. To plan resultsoriented assistance instruments follow these four simple steps:
STEP 1: Begin by clearly defining the problem.
STEP 2: Develop a results-oriented program
description.
STEP 3: Establish a system for monitoring and
evaluating performance and for reporting, using,
and sharing performance information.
STEP 4: Agree upon responsibilities for
performance.
STEP 1: Begin by clearly defining the problem.
Analyze the critical factors and assumptions underlying the plan. Required
analyses include:
environmental analysis (impact upon biodiversity and tropical forestry);
conflict vulnerability analysis (potential for conflict that might affect the plan and
activities); and
gender analysis (how will gender relations affect the achievement of sustainable results,
and how will proposed results affect the relative status of men and women).
Describe your customers' participation in planning, achieving, and measuring and
evaluating results. Since the intended results directly affect the condition of a customer or
the host country, it is imperative that customers participate in defining what are those
changes.
STEP 2: Develop a results-oriented program description.
Align each proposed activity (an action to help achieve a program result or
set of results, or to support the functioning of the Agency or one of its
operating units) with the Agency's Strategic Plans and performance goals.
Begin with a clear understanding of the Agency's goals and Agency Objectives,
Identify the Agency Goal(s) and Strategic Objective(s) a proposed activity will help
achieve.
Agency
Program Goal
1:
Broad-based economic growth and agricultural development
encouraged
Agency
Program Goal
2:
Democracy and good governance strengthened
Agency
Program Goal
3:
Human capacity built through education and training
Agency
Program Goal
4:
World population stabilized and human health protected
Agency
Program Goal
5:
The world's environment protected for long-term sustainability
Agency
Program Goal
6:
Lives saved, suffering associated with natural or man-made disasters
reduced, and conditions for political and/or economic development reestablished.
Identify the Strategic Objective(s) or Intermediate Result(s) (of the Mission or Operating
Unit) a proposed activity will help achieve.
Define the specific, appropriate, and realistic results (changes in the condition of a
customer or changes in the host country condition that affects a customer) to be
achieved.
Describe the different levels of results--at the output level, the outcome level, the subIntermediate Results and Intermediate Results levels, and, if appropriate, results at the
Strategic Objective level.
Describe whether each set of results works in conjunction with one or more other results
and whether any sets of results have a cause-and-effect relationship.
Describe quantitative and qualitative measures to assess whether results have been
achieved.
Explain the basis for determining that the results are within the operating unit's or
Development Partner's manageable interest or span of influence and resources. In most
cases, results at the output level will be within the direct control of a Development Partner
using resources provided. It may take many outputs from several activities over a period
of time to create measurable impact at an IR or SO level.
Describe strategies and processes believed necessary to ensure successful achievement
of results, without over-prescriptive detail that might limit a partner's ability to respond to
changing circumstances during implementation.
Describe operational processes, skills and technologies, and human, capital, information
and other resources that are necessary to achieve the level of results.
Outline the process for assigning responsibility among Strategic Objective Team
members. Identify external and uncontrollable factors that could significantly affect the
achievement of the goal and objectives.
Assess the likelihood and potential impact of key factors, such as political, economic,
demographic, social or environmental that could facilitate or constrain achievement of the
results.
Describe how external factors will be monitored, what attempts will be made to mitigate
potential negative effects and build on potential positive effects, and what types of
adjustments may be necessary.
Discuss the nature and extent of participation of customers, stakeholders, and other
Development Partners needed to ensure achievement of results. Describe customer
needs analysis, appraisals, evaluations, and other methodologies used in formulating
results to be achieved.
Identify customer/stakeholder analysis, evaluations, appraisals, and other sources used.
Describe stakeholder and customer participation in defining results.
State how coordination will be maintained among all actors.
Summarize the plan for monitoring and evaluating performance.
STEP 3: Establish a system for monitoring and evaluating
performance and for reporting, using, and sharing performance
information.
In contrast to the traditional monitoring and evaluation of "inputs and outputs"
or "project outcomes", the emphasis of performance measurement is on results
and on analyzing information to learn, re-plan, and improve performance.
DEFINITIONS: Automated Directive System (ADS)
PERFORMANCE INDICATOR: A particular characteristic or dimension used to
measure intended changes defined by a results framework. Performance indicators are
used to observe progress and to measure actual results compared to expected results.
Performance indicators help answer how or if an Operating Unit or SO Team is
progressing towards its objective, rather than why such progress is or is not being made.
PERFORMANCE TARGETS: Specific, planned level of result to be achieved within
an explicit timeframe.
Establish Performance Indicators (measures).
Identify a performance indicator, expressed as a tangible, measurable objective against
which actual achievement can be compared for each result.
Identify a baseline and then define a performance target (variously referred to as
performance goal, performance standard, performance measure) for each indicator.
Plan to measure performance against targets or goals at various levels of results -output, outcome, sub-IR, IR, and SO.
Link each indicator and corresponding data requirements to the applicable Strategic Plan.
Establish Performance monitoring and evaluation plan for gathering and
analyzing data.
Define the unit of measure for each result. Provide enough detail to ensure that different
people at different times, given the task of collecting data for a given indicator, would
collect identical types of data.
Identify the data source for each performance indicator. Data sources may include
government departments, international organizations, other donors, NGOs, USAID
offices, or activity implementing agencies. Be as specific about the source as possible, so
the same source can be used routinely.
Specify the method or approach to data collection for each indicator.
Gather comparable data periodically to measure progress.
Assign responsibility to a particular office, team or individual for the timely acquisition of
data from data sources.
Plan the analysis of performance data for individual indicators or groups of related
indicators. Identify data analysis techniques and data presentation formats to be used.
Plan any complementary evaluation efforts.
Estimate roughly the costs to the operating unit of collecting, analyzing, and reporting
performance data for a set of performance measures.
Identify the source of funds.
Establish a plan for reporting, using, and sharing performance information.
Plan to use performance information to adapt and improve the performance,
effectiveness, and design of existing development assistance activities. · Revise Agency
or operating unit strategies where necessary.
Plan new Strategic Objectives, Intermediate Results and activities.
Inform decisions whether to alter or abandon Agency program strategies, Strategic
Objectives or activities that are not achieving intended results.
Document findings on the impact of development assistance.
Plan what evaluation efforts, if any, will be needed to complement information from the
performance monitoring system.
Plan, schedule, and assign responsibilities for internal and external reviews, briefings,
and reports.
Clarify what, how and when management decisions will consider performance
information.
Share performance information with partners and customers, in order to mobilize the
knowledge and experience of key stakeholders to identify ways to improve results.
STEP 4: Agree upon responsibilities for performance.
Empowered individuals/teams/offices/organizations meet or exceed performance
goals when they have authority to make decisions and solve problems related to
the results for which they are accountable. NPR Best-in-Class Practice
Plan roles and responsibilities for achieving results
A partnership involves mutual consultation and dialogue on major aspects of the
program. A basic aspect of program planning, which requires careful thought at the
outset, is determining appropriate roles and responsibilities for both the Granting Agency
and Development Partners.
Negotiate accountability for performance
How far up the hierarchy of results a Development Partner is held accountable for
performance depends on a variety of factors: amount of resources, timetable, their span of
influence over other Development Partners and the Host Country Government, and the
gap between where things are and where things ought to be. Allocating responsibility to a
Development Partner for achievement of results at the Intermediate Result or Strategic
Objective level raises important issues about whether such results are within the partner's
manageable interest. Although SO/IR level responsibility might be negotiated in an
individual case (e.g., in a very small Mission or non-presence country), this is not
currently common practice.
The following table shows the different levels of results and the need for a baseline and
performance target for each result, as well as the locus of accountability for performance.
Note that entries in the third column depend upon the dialogue that has occurred between
the Granting Agency and the Development Partner regarding the appropriate level of
responsibility each has for achieving results.
Performance
Measure or
Indicator
Level of Result
Accountability for
performance?
Agency Goal
Baseline
Agency
Performance Target
Agency Objectives
Baseline
Agency
Performance Target
Mission/Operating Unit
Strategic Objective
Mission and/or NationalPerformance Target based Operating Unit - SO
Teams
Intermediate Result(s)
Development Partner(s)and/or
Baseline
Granting Agency, as
Performance Target
appropriate
Outcome(s)
Development Partner(s)and/or
Baseline
Granting Agency, as
Performance Target
appropriate
Output(s)
Baseline
Development Partner(s)
Performance Target
Activities, strategies,
processes
Baseline
Development Partner(s)
Performance Target
Plan for flexible adjustments
Keep in mind that a wide variety of external factors can affect achievement of specific
results and performance targets. For example, changes in political, social, economic, or
other circumstances or types of external events, may occur. These events may render
previous assumptions invalid, or performance as originally intended impossible or
impracticable.