1. High Level Regional Consultation for Policy Makers to Enhance Leadership in Planning the National HIV & AIDS Response S P Dominique Mathiot 6 November 2007 Introduction to Results Based Management (RBM) and Results Based Planning (RBP) Let’s talk about “results”!

2. S P Surveillance Data EPP Census/UN Pop Division Estimates UNAIDS model epidemic patterns Spectrum Costing and coverage data Existing effectiveness data Resource Needs Model GOALS / MOT Progression using Tools What is the prevalence of HIV? How will the demography be affected? What resources are required? How should we allocate resources? How do we ensure sustainability? NASA, Country strategic plans, etc Financial Planning SAT

3. S P So far, you may have…. Used the SAT to review your current national strategic framework Collected the data and evidence Analyze the evidence – EPP, SPECTRUM, MOT Estimated your resources needs Taken into account data from NASA Changed the behavior of your partners – CHAT and aligned their support behind the “Three One Principles” Agreed nationally on your priorities and targets toward UA To be continued…

4. S P And you are… Probably exhausted, brain-dead, confused may be (I am)…. And know what, we haven’t yet even talked about making plans that work for us!!!! So it is now time to talk about results-based planning and management….

5. S P The Origins of RBM? 1950s – Peter Drucker's pioneering work/ 'Command and Control' of the workforce gives way to 'Management‘ 1960s and 70s - Adoption of 'Management by Objectives' to motivate staff around ‘SMART’ objectives with established timelines 1980s – Adopted vigorously by UK and New Zealand in the 80s; USAID's Logical Framework Approach (LFA) and GTZ's ZOPP and the UN shift from line item budgets to budgeting around objectives 1990s – Wholesale adoption by development and humanitarian communities of Results-based management – is now being adopted to direct and justify increased development aid 2000 + – Results-based budgeting

6. S P Why RBM? Stated rationale/intended gains: Improved focus on results instead of activities Improved transparency Improved accountability Enhanced performance orientation Improved measurement of programme achievements Enhanced strategic focus No choice, it is an industry standard To get more funds!!

7. S P Results Based Management … and Results Based Planning … What does it mean for you? Please try to explain…

8. S P Results Based Programme Planning: Sum of interventions is sufficient to achieve the expected result Results Based Programme Management: Resources focused on achieving expected results Monitoring and evaluation of SMART indicators and targeted results used to -- adjust activities and interventions -- hold duty bearers accountable !

9. S P Interventions must not only be necessary, but also sufficient to achieve the expected result If a problem is caused byconditionsthree Principle of RBP

10. S P All three conditions Principle of RBP mustaddressedbe

11. S P So, since we are now talking about ‘results’, what is a ‘result’? Want to try a definition…

12. S P A result is a measurable or describable change resulting from a cause and effect relationship.

13. Measurable transformation In an individual In group In an organization In a society In a country Two major elements in ‘Results’ Cause and effect relationship between an action and the results achieved. “If-then” logic. Change Causality

14. S P “Results” in day to day life… Inputs Water Salt, condiments Cooking oil Vegetables Meat, fish Firewood Working time, etc... Output The sauce, the main dish, the meal Output Result Immediate (short-term), Satisfied (after having eaten this sauce, main dish or meal) Impact Result Long-term effect, ‘quality of life’ (if I can ensure I have a balance diet for more than 5 years) Outcome Result Medium- term effect, improved physical well-being (if I can make sure I have a balance diet over time)

15. S P Now it does get more complicated because there is a hierarchy of change in ‘results’… Can you describe what are the three levels of results?

16. S P The likely or achieved short-term and medium-term effects of an intervention’s outputs. Long-term effects produced by a development intervention, directly or indirectly, intended or unintended. Impact Outcome Output Hierarchy of Change The products and services which result from the completion of activities within a development intervention.

17. S P Let’s talk now about the different ‘types’ of change we could measure at each level of the ‘results’… Any ideas?

18. S P Types of Change Impact Outcomes Output Changes in the lives of people: realisation of their rights Institutional Change: values, laws – associated with institutional performance, new institutions Behavioural change: new attitudes, practices Operational Change: products and services – knowledge, skills

19. S P Outcome Impact Output Activity Level of Change Strategic Result Joint Programming Result Multiple or single intervention result Results Chain Institutional/ Behavioural Operational/ skills, abilities, products & services Human rights Focus of Change Timeframe <1 yr <5 yrs 5 yrs 5-10 yrs Collective Account- ability more less Processes

20. S P ‘Results’ are supposed to be S. M. A. R. T. Any idea of what S.M.A.R.T. stands for?

21. S P SSpecific M A R T Measurable Achievable Relevant Time bound

22. S P In summary….

23. S P INPUTSACTIVITIE S How? What do we want ? Why? OUTPUT S RESOURCES OUTCOME S IMPACT RESULTS Funds, HR, equipment, etc. Activity output Operationa l change Behavioral / institution al change Quality of life MEASURABLE CHANGE Effect

24. S P A Typology for RBM: HIV & AIDS

25. S P Outcome Impact Output Activity HIV incidence reduced Leadership empowered Skills of NAC strengthened Train 250 district AIDS officers ResultsLike… FocusTimeframe <1 yr <3 yrs 5 yrs 5-10 yrs more less Collective Accountability Institutions/ Behaviours Knowledge, skills, abilities, services Human! Outcome Response brought to scale Institutions / Behaviours 5 yrs then if then

26. S P Result Strategic Result Programme Result Activity Result Impact Level Outcome Level Ouput Level The results chain usually takes the form of a more complex results framework, preserving the levels…

27. S P Result Program inputs (resources) and activities lead to output level results

28. S P Result Combined Program Results (outputs) lead to Program Results at the outcome level

29. S P Combined Program Results lead to Strategic Results at the impact level Result

30. S P When all results have been consolidated into one matrix (logframe, NSP, NSF, UNDAF, AWP) go back and check the “if then” logic Strategic Result Program Result Result if then

31. S P Action Language  expresses results from the provider’s perspective  can be interpreted in many ways  focuses on completion of activities Change Language  describes changes in the conditions of people  sets precise criteria for success  focuses on results, leaving options on how to achieve them Results Language = Change Language

32. S P Action Language 1.To strengthen the capacity of teachers to teach life skills through training on gender sensitive, child friendly, learner directed learning approaches 2.The capacity of teachers to teach life skills is strengthened 3.By 2007, the capacity of all life skills teachers in the 10 districts with the highest adolescent HIV incidence rates is strengthened 4.All life skills teachers in the 10 districts with the highest adolescent HIV incidence rates have increased capacity by 2007 to teach life skills to school children Change Language 1.Results language to emphasise future condition 2.Take out information relating to strategy or activities 3.All teachers everywhere? By the year 4000? Be more specific 4.Bring the subject of change to the front and shift from passive to active language Refining Results

33. S P Action Language Goal: to decrease the number of children dying of AIDS and AIDS related causes Objective: to promote the use of long lasting insecticidal nets (LLINs) Activity: train 1000 teachers in participatory learning techniques Indicators: number of TV and radio jingles providing malaria education; number of LLINs distributed Change Language Impact Result: Child mortality from AIDS and related causes decreased from 100% to 40% by 2010 Outcome Result: at least 80% of people in endemic areas sleep under a long lasting Insecticidal net Output Result: 2 teachers in 500 schools are trained in how to teach other teachers in participatory learning Indicator: % of people who know that sleeping under an ITN reduces the risk of malaria; % of people who sleep under a long lasting insecticidal net Examples

34. S P Let’s look at another example of results based language…

35. S P Action Language Expand the percentage of young people, successfully practicing strong life skills, including HIV/AIDS Ensure that all pregnant women have access to PMTCT services Improve the care and support environment for orphans and vulnerable children Change Language 75% of people aged 12-24 are practicing abstinence, maintaining a monogamous relationship or consistently using condoms by 2010 The percentage of pregnant women using PMTCT services increased from 40% to 80% by 2010 90% of identified orphans and vulnerable children in model districts are accessing social safety net package by 2008 Suggested answers… Examples

36. S P Action Language Increase the percentage of under 1 year olds fully immunized Strengthen community capacity for water management in 180 sites Increased commitment of communities to send girls to school and increased motivation of girls as well as empowerment of women Change Language The percentage of under one year olds fully immunized in increased to 80% by 2006 in all regions 180 Community Water Committees have successfully maintained and managed their boreholes with no external assistance for one year Female gross enrolment rate in primary school increased from 55% to 95% in 1200 primary schools by 2012. 95% of girls in catchment areas of 1200 primary schools report strong, favorable attitudes towards girls completing primary school Suggested answers….

37. S P HRBA contributes to results at all levels Human Rights Based Approach & RBM HRBA enhances ownership of results Increases sustainability of results HRBA process and values have an intrinsic value apart from the results

38. S P In summary: Principles of Results Based Planning Context specific causality analysis Hierarchical logic “If-then” causality between levels of results Collective accountability increases as you move up the hierarchy towards outcomes and impact Uses change language to describe a specific, measurable, achievable, relevant, time-bound result AND… based on strategic choices that focus on realization of human rights

39. S P Applying ‘Results’ to UN programming – The Joint UN Program of Support on AIDS Following GTT recommendations and the Secretary General’s letter of 12 December 2005, enhanced accountability for ‘results’ in the UN

40. S P SUPPORT TO NAC IN ACHIEVING THE "THREE ONES" National Goal: UNDAF Outcome 1: UNDAF Country Programme Outcome 1.1: Convernor: UN Agency XXX UNDAF Country Programme Outputs Milestones to 2011Key Results for 2007Main Activities for 2007 Main Implementing Partner Funding Source Budget (in USD) Joint UN Program – Results Matrix

41. S P COUNTRY XXX NAC SUPPORT SERVICES National Goal: Reduce the spread of HIV, improve the quality of life of those infected and affected and mitigate the socio-economic impact of the epidemic UNDAF Outcome 3Reduce the incidence and socio-economic impact of HIV/AIDS, malaria and TB Joint Program of Support on AIDS Outcome 4: One coordination body, action framework and M&E system strengthened to function as the core of all programming and resource allocation in support of the national HIV response Convernor: UNAIDS Secretariat Joint Programme OutputsMilestones to 2012Key Results for 2008Main Activities for 2008 Main Impleme- ting Partner Funding Source Budget (in USD) 4.1. Improved coordination capacity of the National AIDS Control Council in terms of planning, resource mobilization, strategic partnerships and leadership structures of the national HIV response 1) By mid-2008, a clear framework for civil society and private sector engagement in the national HIV response and collaboration with NAC is in place 2) By end-2008, a High Level, multisectoral public sector HIV accountability structure is established and functioning 3) By end-2009, all funding partners to the national HIV response have undergone minimum one peer review 4) By end-2009, all major stakeholders in the national HIV response base their contribution on formal agreement with NAC (MoU/Code of Conduct) 5) By end-2010, information on all resource allocation, programming and monitoring data is channelled through/available to NAC 6) By end-2010, an effective mechanism is in place for sustainable long-term funding of the national HIV response 1) The NAC Partnership Forum is fully operational 2) The High-level Public Sector Committee on HIV is established as part of the government accountability structure for HIV mainstreaming 2) By mid-2008, the High-level committee on national HIV response oversight is meeting on a regular basis (at least bi-annually) and provides feedback reports 3) By mid-2008, the consolidated resource mobilization plan for the national HIV response is in place 4) By end-2008, six largest development partners (USG, DFID, WB, SIDA, etc.) and key public sectors (Health, Education, Transport, Agriculture, Law and Order and Security) in the HIV response have completed a peer review process 1. Facilitate participatory process for development of clear structure and documentation of NAC Partnership Forum NAC 2. Source technical support to development of civil society and private sector engagement frameworks NAC, ASOs 3. Provide financial and technical inputs to implementation of civil society engagement plan of action, capacity development and grant making processes NAC, ASOs 4. Advocate for, and participate in negotiations of establishment of Public Sector HIV Committee NAC, Xxxx 5. Advocate for institutionalization of periodic high-level national HIV response accountability reviews NAC, Xxxx

42. S P Universal Access Targets and Results-Based Planning Are Universal Access Targets ‘results’? Yes? / No? If Yes, what kind of ‘results’ are they?

43. S P “Targets should focus on both achieving defined impact as well as overcoming critical obstacles to scaling up. The impact targets would be set for 2010 with interim ‘process’ targets (milestones) for 2008”. Scaling up towards Universal Access – Considerations for countries to set their own national targets for HIV prevention, treatment and care UNAIDS, April 2006

44. S P 60% of women, men and children with advanced HIV infection are receiving ARV combination treatment by 2010 (Impact level result) Interim process target or milestone by 2009 (higher outcome level result) Outcome level result What if Universal Access Targets were used as the starting point for operational planning? Interim process target or milestone by 2008 (higher outcome level result) Outcome level result Output level result Output level result Output level result Output level result Output level result Output level result

45. S P General problems in applying RBM? Difficult to apply causal logic, especially in relation to complex, in-transparent or multi-faceted processes Difficult to learn: RBM is not intuitive, not easily 'taught', years of usage required to achieve common understanding and practice Difficult to integrate, e.g. integrating gender and HR concerns into the results chain and in indicators Difficult to revise, and therefore often becomes ‘fixed’ Difficult to measure: multitude of ‘indicator types’, difficulties in choosing a reasonable number, reliance on un-measurable indicators, seeking visibility in indicators, weak indicator tracking Difficult to ‘attribute’, especially at Outcome level (e.g. institution xxx, partner yyy is accountable but not fully responsible)

46. S P More specific problems in applying RBM? Tautologies in the results chain Results not logically linked Results not sufficiently specific Results are composites of several results Results don’t express change (e.g. support provided to strengthen….) Results statements are too wordy Confusion between levels of results Indicators not logically linked horizontally, are un- measurable or are results statements

47. S P Some references… RBM in UNDP: Overview and General Principles Results-Based Management in CIDA: An Introductory Guide to the Concepts and Principles Results-Based Management: An Overview, United Nations System Staff College Understanding Results-Based Programming Planning and Management, UNICEF, May 2005 Results-Based Strategic Planning (RSP) – PowerPoint, Work Bank Institute, ASAP Workshop, St Lucia The use and abuse of the logical framework approach, Sida, Nov 2005