Managing for results in FAO
Module I.
An Introduction
to
Results-Based
Management
RBM Workplanning and Budgeting-FAO
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Objectives
An opportunity for you to:
• Configure your own draft 2 year unit workplans and
budgets which can in January be used as examples
of emerging good practice
An opportunity for us to:
• Get your feedback on process, materials and
timetable
RBM Workplanning and Budgeting-FAO
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Aid effectiveness principles
Ownership
Managing
for
Results
Harmonisation
Five
core
principles
Alignment
Mutual Accountability
RBM Workplanning and Budgeting-FAO
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Principles of results-based
management
Results
• Results form the basis for
resource allocation and
mobilization
Activities
• Actual achievements are
systematically assessed against
commitments for results, using
performance indicators.
Resources
RBM Workplanning and Budgeting-FAO
Performance measurement
• Programme and budget
formulation revolves around a
logically defined results chain
Management for results rather than by results; focus
more on looking forwards to what needs to be achieved,
how to do it and how to assess it.
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Which RBM?
From resource- to results-based management
Resource-based
management
Results-based
management
Given the resources available
- $,
- Staff etc.
First define what should be
delivered and how
Decide then
•What to deliver and how
Then decide resources needed
- $,
- Staff etc.
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Elements of RBM
Managing
for Results
Strategic
Planning
•Formulating Objectives
•Defining a Strategy
•Identifying Indicators
•Setting Targets
RBM Workplanning and Budgeting-FAO
Performance
Management
•Monitoring Results
•Reviewing and Reporting Results
•Integrating Evaluation
•Using Performance Information
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Typical
RBM cycle
Setting
the vision
Managing
and using
evaluation
Stakeholder
participation
Implementing
and using
monitoring
RBM Workplanning and Budgeting-FAO
Defining the
results map
and RBM
framework
Planning for
monitoring &
evaluation
Monitoring
Adapted from UNDP
Handbook on Planning,
Monitoring and Evaluating for
Development Results (2009)
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A key emphasis
Not just a focus on internal results
and agency performance but
on external results - improvements
in the development conditions of
people
In other words Managing for Development Results MfDR
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A logical approach to
programme management
A systematic and structured
process and way of thinking
A
•Cause and effect relationships
between actions and effects
in which the process
itself is just as
important as the
product
•Necessary conditions
•Responsibilities
•Timeframe
RBM Workplanning and Budgeting-FAO
•Results measurement
B
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So what is a ‘result’?
Results
are changes in a state or condition which
derive from a cause-and-effect relationship.
The output, outcome and impact of
a development intervention.
They may be intended or unintended,
positive and/or negative.
UNDG Approved Harmonised RBM Terminology (2003)
RBM Workplanning and Budgeting-FAO
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The results chain
Impact
Based on causality,
attribution and
contribution
Outcomes
‘Want to see’
Immediate effects on clients
Beyond team control but achievable
given necessary conditions
Outputs
Activities
‘Hope to see’
Long-term development
improvements to which
we contribute
‘Expect to see’
The end products and services; deliverables
from the activities; within team control
Actions undertaken to transform inputs into outputs
Inputs
Financial human and material resources
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The typical RBM planning process
Stakeholder analysis – identify who has an interest
A
and who needs to be involved
Problem analysis – identify key problems, causes
and opportunities; determine causes and effects
Objectives analysis – identify
possible solutions
Options analysis – identify and
apply criteria to agree strategy
Developing the plan framework –
define result chain, logic, risk and performance
management
Workplanning – set a workplan and
assign responsibilities
B
Budgeting – determine human and
material inputs needed
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THERE
Key questions - useful at any level
7. What do we need to get there?
What detailed activities and resources are needed?
6. How will we know if we’ve got there?
How will we monitor and evaluate?
5. What may stop us getting there?
And what can we do to get around these obstacles?
4. How will we get there?
3. Where do we want to be?
2. Where are we now?
What are the problems? What are the possibilities?
1. Who are ‘we’?
HERE
RBM Workplanning and Budgeting-FAO
Who has an interest? Who should be involved?
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FAO’s Planning Framework 2010-2011
Results chain
Planning Framework
Global Goals
Strategic Framework
(10-15 Years)
Impact Focus Areas
‘Thematic Groupings’
Medium Term Plan
(4-Years)
Strategic and Functional
Objectives
Core Functions ‘Means’
Programme of Work and Budget
(2-Year)
Organizational Results
Primary Tools
‘Approaches’
Unit results (Budgets)
Strategic Planning
Regional
Sub-Regional
Office UR
Office UR
Country Office UR
Operational Planning
Workplans
RBM Workplanning and Budgeting-FAO
Headquarters
Division UR
Products
/services
(Budgeted)
Products
/services
(Budgeted)
Products
/services
(Budgeted)
Products
/services
(Budgeted)
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Operational Planning
7 steps in the workplanning process
7. Final approval of workplans
6. Quality assurance
5. Review of financial feasibility of URs
4. Adjustment of estimated planned costs for URs
3. Development of products and services and related
activities for each UR and preparation of workplans
2. Validation of unit results
1. Distribution of staff costs across organizational results
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Partnership?
Who’s driving the
bus?
Who owns the bus?
Who paid for the
vehicle? Who’s
maintaining it?
Who decides where
it goes? When?
How? Via?
Who’s a
passenger? inside?
on the roof?
hanging on?
walking?
Who’s paying?
Who’s getting a
free-ride?
Who built the road?
Who are the police?
Who are you?
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Analysing the problem
Addressing the effects
identifies possible
indicators
EFFECTS
Turning the problem
into a positive
statement gives the
outcome or impact
Focal Problem
CAUSES
RBM Workplanning and Budgeting-FAO
Addressing the
causes identifies
possible outputs and
activities
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Types of results defined
Outcome
Output
The products and
services which
result from a
development
intervention and
which are
relevant to the
achievement of
an outcome.
The likely or
achieved shortterm and
medium-term
effects of an
intervention’s
outputs.
UNDG Approved Harmonised RBM Terminology (2003)
RBM Workplanning and Budgeting-FAO
Impact
Positive and
negative, longterm effects on
identifiable
population
groups produced
by a development
intervention,
directly or
indirectly,
intended or
unintended.
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Types of results explained
Outcome
Output
 Promises
 Deliverables
 Products and
services
 Largely in the
team’s control
 The ToRs of the
team
 Must be
necessary and
sufficient.
 Why the team
is delivering
the outputs.
 What they want
to achieve
 Not fully within
their control
 Because it
requires others
to the use,
uptake,
implement the
outputs.
Impact
 The ‘greater
why’
 To which the
team hopes to
measurably
contribute
within the
timeframe
 Positive
impacts are
Goals.
 Should refer to
people, not
only, e.g., to
ecosystems.
The size of the gaps represents your ambition in the prevailing circumstances!
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Examples of results
Outcome
Output
International
standards
developed and
agreed
Inputs supply
system
operational
Chair and
Secretariat for
coordination
RBM Workplanning and Budgeting-FAO
Standards
applied by
trading farmers
Farmers adopted
improved inputs
and
technologies
Coordinated
development
partner support
to agriculture
sector
Impact
Livelihoods of
farmers improved
Improved
household food
security
Strengthened
contribution of
agriculture sector
to eradication of
poverty and
hunger
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Results in FAO
Outcomes
Outputs
FAO’s products
and services
derived from the
activities of FAO
units. Since FAO
itself does not
generally ‘do’
development,
outputs need to
be used by
others before
they can bring
about
development
progress.
RBM Workplanning and Budgeting-FAO
The
Organizational
Results represent
FAO’s outcomes
in a 4 year
timeframe; the
first results level
beyond FAO’s
products and
services. ORs
normally need
contribution from
multiple units,
HQ and
decentralized.
Impacts
FAO’s Strategic
Objectives are in
effect the intended
impacts or goals
of the organization
in a 10 year time
frame.
The Global Goals
are at a higher
level again, in
effect
‘Supergoals’.
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Sequence
Impact
Plan
DOWN
Outcome
Check
the
logic
UP
Output
Activities
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Impact
Then will we contribute
to this Impact?
If we achieve this
Outcome
Then will we
Check the
logic using
if… then
achieve this Outcome?
If we deliver these
Outputs
Then will we deliver
these Outputs?
If we carry out these
Activities
Start here
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Testing Cause and Effect
Link with “IF” and “THEN”
Survey of livestock marketing infrastructure
Increased livestock production and marketing by producers from
amongst the most vulnerable populations
Improved food security of targeted rural populations affected by the
volatile food prices
Strengthened capacity of livestock producers to access markets
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Testing Cause and Effect
Link with “IF” …… “THEN”
4
Improved food security of targeted rural populations affected by
the volatile food prices
3
Increased livestock production and marketing by producers
from amongst the most vulnerable populations
2
Strengthened capacity of livestock producers to access markets
1
Survey of livestock marketing infrastructure
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Use ‘results’ rather than
‘action’ language
Action language
expresses from the
provider’s perspective at
the start: e.g.
To promote child
survival, physical and
psychological
development
RBM Workplanning and Budgeting-FAO
Results language
describes changes in the
development conditions
on completion: e.g.
Young children are
alive, healthy, well
nourished and active
learners.
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Unit Results* must
be SMART
 Specific
 Measurable
 Achievable
 Relevant
 Time-bound
RBM Workplanning and Budgeting-FAO
• clear in terms of the nature and scope of achievements
and changes sought, the target groups and region etc.;
detailed but not wordy; disaggregated appropriately
• measurable quantitatively and/or qualitatively; data will
be available at the time planned within the biennium
• realistic in the time and with the resources available;
targets not just ‘made up’ without baseline or
stakeholder ownership
• within and relate to the mandate and current planning
framework of FAO; they are substantial, necessary and
sufficient
• can be achieved within the biennium.
* Including their Indicators, Baselines
and Targets
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Typical Output Categories products and services
 Human Capacity – e.g. to research, develop policy
 Systems – e.g. to manage, gather and use data, do M&E, warn early
 Knowledge, Information, Policy, Standards – e.g. findings, lessons
 Infrastructure – e.g. roads, research facilities
 Materials, Documents, Websites – e.g. publications, databases
 Awareness, Engagement – e.g. coordination, consensus, participation
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Risks and assumptions
Risk
A potential event or occurrence beyond the control
of the programme that could adversely affect
achievement of the desired results.*
Assumption
A necessary condition for the achievement of
results at different levels.
UNDG Technical Brief: Risks and Assumptions (2008)
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Risk and assumptions–
some key messages
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Key questions in risk analysis
IMPACT? depends mainly on:
• What is the HAZARD itself? Scale? Seriousness?
• What is the VULNERABILITY to the hazard? of the
poor? of the project?
PROBABILITY? The likelihood of it happening.
Data? Reliability of data?
COSTS? What are the costs of taking the risk? Social? Financial?
Political? Who bears them? The already vulnerable?
GAINS? What are the gains from going ahead?
MITIGATION? What can be done to improve any or all the above?
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Risk analysis – an example
“I’ve had your results back
and I’m concerned about
your cholesterol level.”
Think through how you
would analyse this
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Risk analysis – an example
The Hazard is the high cholesterol level.
I’m male, over 55, with a family history of strokes, so my Vulnerability is
medium to high.
Put these two together and the Impact is (no denying it) high
“Continue at these levels, and you’ve a 30%
chance of a major heart problem by 70.”
So that’s the Probability. I’d better cut out the cheese,
and cream and butter; and eat loads of oats and fish. I
reckon that’s a Cost worth bearing.
“Get these levels down and you can
assume halving the probability. ”
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Responses to Risk
Transfer
Identification
Tolerate Planning
Estimation
Treat
Evaluation
RISK ANALYSIS
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Resourcing
Monitoring
Terminate
RISK MANAGEMENT
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Risks and assumptions
An assumption is not the mirror
image of a risk.
It is not a risk, written positively;
e.g. risk - inflation; assumption no inflation
Best to think of it as the residual
condition left after mitigatory
measures have been put in
place;
i.e. do a risk analysis table
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Risk analysis table
Risks
Highjacking of
aircraft
Deterioration of
security situation
disrupts project
results
Elite capture of
benefits within
community
RBM Workplanning and Budgeting-FAO
Impact
Probability
Very
High
Medium
Medium
Low
Medium
Medium
Mitigation
Airport security
screening of all
passengers.
Assumptions
Screening is sufficiently
effective to reduce the
risk of highjacking to an
acceptable level.
Develop and
implement security
plan. Liaison
with UN security
office.
Effective preparedness
for any deterioration in
security; disruption to
project results
minimised.
Ensure institutional
representation of
disadvantaged
groups. Monitoring of
decision-making
processes.
Transparency such that
benefits visibly accrue
to disadvantaged at
community and
household levels.
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Re-check the logic using if…and … then
Impact
If
we achieve this
If
we deliver these
If
THEN we will contribute to this
Assumptions
Outcome
THEN we will achieve this
Assumptions
Outputs
THEN we will deliver these
Assumptions
THEN we will do these
Assumptions
we carry out these Activities
If
these pre-conditions prevail
Start here
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Testing Cause and Effect
Link with “IF” …. “AND”…. “THEN”
Results + activity
Assumptions
A. Key immediate constraints to food
production addressed
W. Contracted input traders reach
remoter areas as per contracts.
B. Sustainable resilience to the impact
of high food prices of vulnerable,
farming households
X. Selection of targeted households is
not a source of conflict
C. Implement work-for-voucher scheme
with targeted households
Y. Extra home-produced food is not sold
but is used to meet household nutrition
needs
D. Improved quality and quantity of
food supply, in the short- and mid-term,
of selected vulnerable households
Z. The strategy to increase domestic
food production is not undermined by
major falls in food prices
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Testing Cause and Effect
Link with “IF” …. “AND”…. “THEN”
Results + activity
Assumptions
B. Sustainable resilience to the impact
of high food prices of vulnerable,
farming households
Z. The strategy to increase domestic
food production is not undermined by
major falls in food prices
D. Improved quality and quantity of
food supply, in the short- and mid-term,
of selected vulnerable households
Y. Extra home-produced food is not sold
but is used to meet household nutrition
needs
A. Key immediate constraints to food
production addressed
W. Contracted input traders reach
remoter areas as per contracts.
C. Implement work-for-voucher scheme
with targeted households
X. Selection of targeted households is
not a source of conflict
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Terms in performance
measurement
Indicator
a quantitative and/or qualitative variable that allows
the verification of changes produced by a development
intervention relative to what was planned.
Target
a specific level of performance that an intervention is
projected to accomplish in a given time period.
Milestone an indicator used during the lifetime of a plan by which
progress, usually of output delivery, can be measured.
Baseline
RBM Workplanning and Budgeting-FAO
the situation prior to a development intervention
against which progress can be assessed or
comparisons made.
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Baseline, targets and achievement
Commitment
RBM Workplanning and Budgeting-FAO
Achievement
Target
Current level of
achievement
Baseline
Performance
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Are the right
stakeholders involved
in this process?
What is the intended
result? – output,
outcome, impact
Planning
performance
measurement
– the process
in brief
How will change
be measured?
Set indicators
Is the baseline
data available?
No
Yes
Is it possible
to collect it?
No
Yes
Collect it
Choose different
indicators
RBM Workplanning and Budgeting-FAO
Set milestones and
targets to be achieved
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Some key
points
 Who sets the indicators and targets is fundamental
 Disaggregate indicators and targets for example by
gender, ethnic group, age, or geographic area - averages
can hide disparities
 Some indicators in every framework should relate to
standard or higher level indicators
 A variety of indicator target types is more likely to be
effective
 The fewer the indicators the better - collect the minimum
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Baselines
• a clear picture of the pre-existing situation needed
• e.g. without knowing the baseline, how can one assess
a ‘25% improvement in crop production’
• baseline studies needed before targets can be set and
before Approval can generally be given
• in some circumstances, an Inception Phase including
some baseline data collection, may be appropriate
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Indicators, targets and
milestones
• Indicators are means; ‘the
proportion of population below $1
per day’
• Targets are ends; ‘halve, between
1990 and 2015, the proportion of
people whose income is less than
$1 a day’
• Milestones are progress checks;
‘reduction by 40% between 1990
and 2010, ……..’
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Types of
Indicators





Qualitative and Quantitative
Combined – both Qualitative and Quantitative
Binary – yes/no
Direct and Indirect (Proxy)
Product and Process
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Essential Qualities of
Indicators
Validity
It measures what it is intended to measure without bias.
Reliability
It measures accurately the real change, consistently
over time and place.
Sensitivity
It measures small change or progress and reflects
differences in key aspects such as gender.
Simple
It is easy to interpret and understood by all.
Practical
Data is available when needed at reasonable cost.
Useful
It is useful for decision-making, planning and learning.
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Data Sources
• What evidence do we need?
• How do we get it?
 Available from existing sources?
 Is special data gathering required?
• Who will pay for data collection?
• How much data gathering is worthwhile?
• Who will collect the evidence? How often and when?
• Where will it be located?
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Examples of Data Sources
• records e.g. of secretariat; minutes, attendance
lists, resolutions, budgets, accounts, etc.
• stakeholder feedback, results of focus groups
• documents, film, audio
• surveys and commissioned research reports
• annual reviews; harmonised partner reviews
• external evaluation reports
• local, national and global statistics and data
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Performance measurement matrix
Unit
Result
Indicator
RBM Workplanning and Budgeting-FAO
Data
Description
Data
sources
Collection
Methods
Frequency
Responsible
unit / person
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