Managing for Results Capacity in Higher Education Institutions 27.05.2018 Managing for Results Capacity in Higher Education Institutions NORHED seminar in Addis Ababa 13 – 14 March 2014 Lill-Ann Bjaarstad Medina Department for Quality Assurance, Norad

27.05.2018 A two days mission Give input to your finalization of the Results Frameworks for NORHED Projects based on the principles in Results Based Management. Introduce basic principles in Risk Management Making an inventory of indicators that may be helpful in completing your the Project’s Results Frameworks Suggesting common indicators for the NORHED to make it possible to aggregate essential information into consolidated reports on the results of the Programme

Why should we focus on results ? 27.05.2018 Why should we focus on results ? Verification - Documentation Accountability - Reporting Legitimacy - Communication Strategic management towards results

Results Based Management (RBM) 27.05.2018 Results Based Management (RBM) A method with various uses; Strategic Planning of interventions (resources and activities) to give intended results and desired effects Monitor how resources and activities translate into deliverables and whether these have the intended effects (outcomes) Learn to be able to change interventions to achieve better results (“what works?”)

Strengthen Institutions 27.05.2018 Sustainable development Expanded and better qualified gender balanced workforce Increased, better and relevant knowledge base Increased evidence base for policies and public decision SP1 S SP2 SP3 SP SP4 S SP5 SSS SP6 SSS Strengthen Institutions 46 NORHED projects NORHED allocation

Impact Resources 1.0 Outcome ( Strengthened Institutions) Activities 27.05.2018 Impact 1.0 Outcome ( Strengthened Institutions) 1.1 Outcome 1.2 Outcome 1.3 Outcome E 1.1.1. Output 1.1.2 Output 1.1.3 Output 1.2.1 Output 1.2.2 Output 1.3.1 Output Activities Resources

NORHED Outcome Strong institutions SP2 S SP3 SP4 SP5 SP6 27.05.2018 Sustainable development Expanded and better qualified gender balanced workforce Increased, better and relevant knowledge base Increased evidence base for policies and public management NORHED Outcome Strong institutions SP2 S SP3 SP4 SP5 SP6 Education Project

for Capacity Building at Institutions 27.05.2018 Soc i e ty Sustainable development Expanded and better qualified gender balanced workforce Increased, better and relevant knowledge base Increased evidence for policies and public management Institution Project Monitoring System for Capacity Building at Institutions

27.05.2018 Strategic Management towards Results Part I “To make a strategy you need to know where you are going”

A change in mind set Managing towards results 27.05.2018 A change in mind set Managing towards results A shift of focus From what we do to what we want to achieve From how we do things to why we do it - although it is not irrelevant how we do things Towards a culture of results ……….

The results chain Impact Effects Outcomes Results Outputs Activities 27.05.2018 The results chain Impact Effects Outcomes Results Outputs Activities Interventions Input

Impact Resources 1.0 Outcome ( Strengthened Institutions) Activities 27.05.2018 Impact 1.0 Outcome ( Strengthened Institutions) 1.1 Outcome 1.2 Outcome 1.3 Outcome E 1.1.1. Output 1.1.2 Output 1.1.3 Output 1.2.1 Output 1.2.2 Output 1.3.1 Output Activities Resources

The Results Framework Some basic characteristics 27.05.2018 The Results Framework Some basic characteristics Consistency: A system for the monitoring of progress and documenting results in a consistent manner Coherence; The framework is made up of coherent and complete results chains (including three levels outputs, outcomes and impact) Results are clearly defined at each level: Results statements that define what is to be achieved are ascribed to each level in the framework Correspondence: Results statements are phrased in such a way that the different levels in the framework correspond.

Indicators are the topic of tomorrows session 27.05.2018 The results framework For the results framework to function as a monitoring system there needs to be indicators that can verify results or to what degree results have been achieved and to document outcomes (effects) that may be attributed to the intervention an instruments for strategic management towards results there should also be indicators to monitor progress towards outcomes. Indicators are the topic of tomorrows session

Changing institutions 27.05.2018 Changing institutions The purpose of the NORHED grant is to contribute to change Capacity building is a means to an end Building institutional capacity is building institutional structures that endure What is capacity? How do you know that you have reached capacity?

Capacity to do what? Measuring capacity by its effects. 27.05.2018 Capacity to do what? Measuring capacity by its effects. In NORHED the effects of capacity are identified as, more and better research produced more and better qualified graduates In addition: The NORHED shall contribute to more relevant knowledge, which can also influence policies and management. And: Gender as a cross-cuttings issue How do we know that we have increased institutional capacity to secure these effect in the long term?

What is Institutional Capacity at Universities? A Working Hypothesis: 27.05.2018 What is Institutional Capacity at Universities? A Working Hypothesis: Sustainable environment for high quality graduate teaching and graduation Sustainable environment for high quality research production Improved and retained human capital at Universities Accumulative knowledge base in relevant/identified areas Access to the international knowledge base, global and regional networks Reflecting and being adaptable societal demands and needs

Different Knowledge Base - the six sub-programmes 27.05.2018 Different Knowledge Base - the six sub-programmes The research agenda of the six sub-programmes varies: Disciplinary Muliti-disiplinery research agenda Knowledge agenda defined by global, local and/or trans-border research agendas Building institutions in HE as such (South- Sudan) Does this have implications for how you formulate capacity as an Outcome? What is similar and what is unique?

Strategic Management towards Results Part II 27.05.2018 Strategic Management towards Results Part II “If you want to make a good strategy you need to know where you are - and what it takes to get where you are going”.

Problem analysis Why and where do we lack capacity? 27.05.2018 Problem analysis Why and where do we lack capacity? A problem analysis is used to assesse our current capacity, narrow down our objectives, focus and prioritize within your Project Use the problem analysis to phrase realistic Outcomes Decide how (scarce) resources can be used and translated into critical Outputs that most effectively will help you reach these Outcomes.

A problem analysis may include many aspects 27.05.2018 A problem analysis may include many aspects A problem analysis may be; A situation analysis, including contextual analysis Identify the problems to be addressed What are their causes? Where are the obstacles? What are the capacity gaps? Baseline Justification - “A theory of change” Strategic considerations, readiness assessment

27.05.2018 Baseline The situation prior to implementation in areas that are relevant for your intervention – the current situation The starting point against which progress, achievements and the effects of institutional capacity can be measured Baseline values are linked to selected indicators (topic of tomorrows session)

Justification Not only what, but why. 27.05.2018 Justification Not only what, but why. Building a rational for the intervention (“theory of change”) Clarify your assumptions and identify the risks of these assumptions being weak or not building on sufficient evidence or experience Make the logic (or causalities) in the results chains explicit Explaining Outputs; Why do we believe certain Outputs lead to a particular Outcome. “What works” Justifying Outputs; Why do you select and combine a particular set of Outputs;

Strategic considerations 27.05.2018 Strategic considerations What are your ambitions? Do you need a strategy? Strategic considerations and priority setting requires leadership Readiness assessment; What is our asset; resources, power and knowledge? «Leaders tend to overestimate what can be done on short terms and underestimate what can be done in the long run».

Today’s mission Phrasing results statements 27.05.2018 Today’s mission Phrasing results statements How do we phase strengthened capacity as clear Outcomes ? Based on a Problem analysis, how do we identify essential Outputs that are needed to get there? How do we select essential Outputs to be included in our framework and reported upon?

Outputs may lead to more than one outcome 27.05.2018 Impact 1.0 Outcome ( Strengthened Institutions) 1.1 Outcome 1.2 Outcome 1.3 Outcome E 1.1.1 Output 1.1.2 Output 1.1 3. Output 1.1.4 Output 1.1.1.1 Output Outputs may lead to more than one outcome 1.1.1.2 Output

Identifying Outputs to enter into a results framework 27.05.2018 Identifying Outputs to enter into a results framework How to decide on essential Outputs to enter into a results framework? Select; chose outputs that are critical to reach the outcomes Combine; Put together a set of outputs that illustrates the range of interventions that are necessary to reach outcomes Sequence; Order the outputs in series to shows which steps (other outputs) that are necessary to reach outcomes Outputs are deliverables; products and services generated by the resources (inputs) available

Strengthen Institutions 27.05.2018 Sustainable development Expanded and better qualified, gender balanced workforce Increased, better and relevant knowledge base Increased evidence base for policies and public decisions SP1 SP2 SP3 SP4 SP5 SP6 Strengthen Institutions Research Environment /Infrastructure Networks Graduate education Management / administration Partnerships