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

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Many inputs – but

what are the results?

Why do we talk about RBM?

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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 2009 - new UNDP focus on “managing for development results”

Brief History of RBM

Integrating Performance

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Integrating Programme / Project Performance

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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

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RBM@CIDAWHY 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

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InputsWaterSalt, condimentsCooking oilVegetablesMeat, fishFirewoodWorking time

OutputsThe sauce, the main dish, the meal

Outcome ResultImmediate (short-term),Satisfied (after having eaten this sauce, main dish or meal)

Outcome ResultLong-term effect,‘quality of life’ (if I can ensure I have a balanced diet for more than 5 years)

Outcome ResultMedium- term effect,improved physical well-being (if I can make sure I have a balanced diet over time)

“Results” in Day to Day Life

ActivitiesPreparing the ingredients, cooking the meal, serving the meal

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Typically, governments, development agencies and CSOs have focused their attention on:

•inputs (what they spend), •activities (what they do), and •outputs (what they produce).

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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

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Modern development management requires planners, programmers,

financial officers and M&E specialists to look beyond activities

and outputs to focus on:

actual results

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StrategicObjective

Activities

Project levelIntermediate

Result

IntermediateResult

Goal

Purpose

Ouputs

Activities

Goal(Impact)

Activities(Process)

Outputs

Purpose(Outcome)

Various TerminologyVarious TerminologyUsed Around the World Used Around the World

Impact

Activities

Outputs

Outcomes(short and

Medium term)

UltimateOutcome

IntermediateOutcomes

Outputs

Activities

ImmediateOutcomes

USAID NORAD DFIDOECDTBS and

CIDA (2008)CIDA

(1996-2008)

Impact

Outcomes

Outputs

Activities

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Results-Based Management

RE

SU

LT

S

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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)

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Measurable transformation

• In a group• In an

organization• In a society• In a country

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.

Cause and effect relationship between an action and the results achieved – this can be described as the“If-then” logic.

Two Major Elements in “Results”

CHANGE CAUSALITY

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Results-Based Results-Based ManagementManagement

• 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

Communities build new wellsin region X.

Communities have better accessto clean drinking water in region X.

Communities make better use of clean drinking waterin region X.

People are healthier inregion X.

Resources in the region are trainedto maintain wells.

Immediate

Outcomes

Intermediate Outcomes

Ultimate Outcome

Activities

Financial resources, human resources, technical resources Inputs

Communities build their capacityto maintain wells.

Wells built Resources trainedOutputs

LOGIC MODEL

PMFPMFResponsibilityFrequencyCollection

MethodsData

SourcesTargetBaselineIndicatorsResult

Statements from Logic

Model

Outputs

Immediate Outcomes

Intermediate Outcomes

Ultimate Outcome

Risk Management

Title No. Team Leader

Country/Region/

Institution Budget Duration

Risk Definition Risk Level (Add columns as

needed)

From Program

Risk Profile? (Y/N)

Indicate Investment LM Result Leveli

Mitigation needed Risk owner

Operational Risks (Date1)

(Date2) (Date3)

Op1 Implementation is delayed due to …..

Y PR Renegotiate with governmnet…… Project Manager

Op2 Add rows as needed …… Program Manager

Financial Risks

Fin1 Funding may not be harmonized with …

Fin2 Add rows as needed

Development Risks

Dev1

Natural disaster may threaten CIDA development results …

Dev2

Add rows as needed

Reputation Risks

Reputation

Canadian stakeholders may publicly not support program

Add rows as needed

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Development results

Immediate outcome

Inter-mediate outcome

Ultimate outcome

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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

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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)

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LM Example

ULTIMATE OUTCOME

Improved health for women, men and children living in community X

INTERMEDIATE OUTCOMES

Increased proper usage of safe drinking water by women, men and children in community X.

Improved management of water, waste and sanitation infrastructure in community X

IMMEDIATE OUTCOMES

Increased equitable access to safe drinking water for women, men, girls and boys living in community X

Increased knowledge and awareness of the importance and proper usage of safe drinking water among women, men, girls and boys in community X

Increased ability of women in community X to maintain wells

Increased knowledge and skills in waste management and sanitation among female and male workers of Regional Water Authority

OUTPUTS

Public consultations on well location conducted in community X with male and female village decision makers, including representatives from vulnerable and marginalized groups. Wells built in community X Existing wells rehabilitated in community X

Awareness material, including material appropriate for a non-literate audience, developed in consultation with male and female community members Awareness campaigns conducted on the importance and proper usage of safe drinking water for women, men, girls and boys in community X

Needs assessment conducted in consultation with women and girls in community X. Training provided to women in community X on maintenance of wells

Needs assessment conducted in consultation with the Regional Water Authority officials and employees, both male and female. TA in waste management and sanitation provided to Regional Water Authority employees, both women and men.

ACTIVITIES

Conduct well building and rehabilitation activities in community X

Conduct awareness campaigns

Provide training to women in community X on maintenance of wells

Provide TA in waste management and sanitation to Regional Water Authority

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.

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?

?

?

?

Integrating Rights into RBM

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GenderEnvironment

LabourDisabilityChildren

Older PeopleLand

Food SecurityDevelopmentBuilt into

the Results Framework

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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

RBM@CIDA

THE PERFORMANCE MEASUREMENT FRAMEWORK

Title No. Team Leader Program analyst

Country/Region Budget $65 million (2009) Duration 2009 to 2014

EXPECTED RESULTS

INDICATORS BASELINE DATA

TARGETS DATA SOURCES

DATA COLLECTION METHODS

FREQUENCY RESPONSIBILITY

ULTIMATE OUTCOME Improved quality of life for Canadian women, men, girls and boys

Programs are to aim for three indicators per outcome, with a mixture of quantitative and qualitative information. Level of health and nutrition (by sex, age groups, district) Level of poverty and income (by sex, age groups, district) Level of education and literacy (by sex, age groups, district)

Children under five mortality rate per 1,000=27.4% (1993)

Population below US$1 (PPP)day=30% (1992)

What change is the programming aiming for and by when?

Programs are to aim for multiple sources per indicator People (e.g. Government representatives, non-state actors) Statistics (e.g. Demographic and Health Survey Report)

How is this information collected and analyzed by CIDA or CIDA investment?

Annual Periodic (e.g. program evaluation)

Who is responsible on behalf of CIDA to bring this information together and analyze it?

INTERMEDIATE OUTCOMES Improved delivery of quality services for children and youth

IMMEDIATE OUTCOMES

OUTPUTS

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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.

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Examples of Performance Indicators

Quantitative (discrete measures):

number of, frequency of, ratio of, variance with, % of, etc.:

• Qualitative(experiential or perception): attitudes, skills, perceptions of, quality of level of (understanding), beneficiary opinion, extent of, congruence with presence of etc.:

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

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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

Results Based BudgetingRBB is an integral part of the RBM cycle

BU

DG

ET

ING

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•Performance & Sustainability Results

•Human and Organisational Results

•Finance and resourcing results through RBB

•Project and Programme Results

Operations Planning

Programming and Implemen-

tation

Costing & Budgeting

IT systems

Performance Management

Monitoring & Evaluation

Capacity and Organisational Development

Knowledge Management

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

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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.”

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OutcomesOutcomesResults directly linked

to the budgeting approach

What we doWhat we invest

Traditional Budgeting Framework

Budgeting approach focuses on costing activities / deliverables

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Outcomes Outputs

Can we cost for long-term, widespread improvement in society?

Can we cost for the effects or behavior changes resulting from program outputs?

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 Implementation

Costed Results

Long-term Goal (Impact) Activities Inputs

Traditional BudgetsResults-based

budgets

Costing Results

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Results Based Budgeting Approach

Old Budgeting Focus

New Budgeting Focus

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Risk Management Process

5. Evaluation•Improving the process•Organizational learning•Performance reporting

4. Monitoring•Decision-making•Adjusting•Performance reporting 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

•Communications strategy•Gender considerations•Stakeholder consultation•Accountabilities

Feedback

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CIDA’s Key Risk AreasCIDA’s Key Risk Areas

Operational Risks

Financial Risks

DevelopmentRisks

• 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

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Typical Risk Matrix

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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.

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Elements of a Risk Register

• Risk definition

• Initial level of risk

• Risk levels through the project life cycle

• Risk response strategies

• Risk owner

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Example

Risk definition Start Date 2 Date 3 Risk response Owner

Operational 2010-03 2010-06 2011-01

1. There is a risk that …

2. … performance mgt.. Very Low Improve data collection …

Introduce new UN indicatorsDO

High

Financial

-Risk 3

-Risk 4Very High Extended use of FRAU …

None needed at the moment.D.Dir

Very Low

External factors

-Risk 5

-Risk 6Low

Very High

Other outcome risks

-Risk 7 High

For Program level only

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1