RESULTS-BASED MANAGEMENT HANDBOOK

1 AWorking together for children RESULTS-BASED MANAGEMENT HANDBOOKA cknowledgements The development of the RESULTS-BASED MANAGEMENT HANDBOOK : Working together for children was an organization-wide effort led by UNICEF s Field Results Group, in collaboration with the Division of Data, Research and Policy, the Office of Emergency Programmes and the Programme Division. Omar Abdi, Stephen Adkisson and Etona Ekole initiated and coordinated the prepa-ration of the HANDBOOK . The following staff members and consultants were instrumental in its development and production either through workshops or through direct inputs to the coordination team:Consultants Marcio Carvalho (independent consultant) Fran oise Coupal ( International Inc.) Natalie Zend (ZEND ialogue Consulting Services)ContributorsCountry office staff: Shandana Aurangzeb, Rajae Msefer Berrada, Nelisiwe Dlamani, Mohamed El Bechir, Patrizia di Giovanni, Ananya Goswami, Clemens Gros, Anoop Singh Gurung, Shaheen Hussain, Katarina Johansson, Peter Leth, Paolo Mefalopulos, Antero Pina, Anna Riatti, Juan Santander, Nafisa Binte Shafique, Serge ZangaRegional office staff: Isa Achoba, Christine Muhigana, Herv P ri s, Ndeye Djigal Sall, Inoussa Kabore, Paola Babos, Melva Johnson, Riccardo Polastro, Bertin Gbayoro, Edward Addai, Abheet Solomon, Geetanjali Narayan, Roumiana Gantcheva, Uzma Aftab, Fabio Sabatini, Lori Bell, Sabina Zunic, Maha Muna, Aida Oliver, Bastiaan van t HoffHeadquarters staff.

2 George Laryea-Adjei, Cairan O Toole, Maniza Zaman, Gabriele Fontana, Pia Britto, Mathieu Brossard, Gabrielle Bonnet, Daniel Kelly, Anju Malhotra, Noreen Khan, Nora Fyles, Laila Irani, Jennifer Keane, Mary Louise Eagleton, Juliette Haenni, David Anthony, Waithira Gikonyo, Ian Thorpe, Yasmin Jamshed, Hamish Young, John Lewis, Bilal Aurang Zeb Durrani, Larissa Bruun, Gian Gandhi, Regine Weber, Atieno Ojoo, AbdulKadir Musse, Francesca Lombardi, Gurpreet Singh Samrow, Tanya Belcheva, Fernando Gutierrez-Eddy, Deguene Fall. ReviewersKate Alley, Anna Boelens, Silvia Chiarucci, Christopher Davids (consultant), Etona Ekole, Wesley Furrow, Boniface Kalanda, Haleem Lone, Ada Ocampo, Roger Pearson, Ray Rist (consultant), Sarah Schouwenaar, Andrea Suley, Timothy Takona, Raquel Jensen, The Write Way, Communication Design, Inc. | MANAGEMENT HANDBOOK : Working together for Children United Nations Children s Fund (UNICEF), 2017 Any part of this publication may be freely reproduced, if appropriate acknowledgement is together for children RESULTS-BASED MANAGEMENT HANDBOOKii| RESULTS-BASED MANAGEMENT HANDBOOK : Working together for children iiiCONTENTSF oreword ix Abbreviations and acronyms 1 Introduction 2 Background 2 Purpose 3 Intended audience 4 Structure 4 Chapter 1.

3 RESULTS-BASED MANAGEMENT in a nutshell 5 What is RESULTS-BASED MANAGEMENT ? 6 What are the principles of RESULTS-BASED MANAGEMENT ? 12 Why does UNICEF use RESULTS-BASED MANAGEMENT ? 14 Does RESULTS-BASED MANAGEMENT apply to me? 17 What are common pitfalls in applying RESULTS-BASED MANAGEMENT ? 19 Chapter 2. Planning for results 21 Background 22 Guidelines for RESULTS-BASED strategic planning 22 Key steps in strategically planning for results 24 Step 1. Understand the situation 24 Tool A: Causality analysis 26 Tool B: Monitoring results for equity A 10 determinant framework 29 Step 2. Prioritize issues for action 30 Tool C: The prioritization funnel with five filters 31 Step 3. Devise a theory of change 32 Tool D: Theory of change 37 Step 4. Define desired results 38 Step 5.

4 Align results, strategies and funding 50 Step 6. Assess assumptions and risks 54 Tool E: Risk monitoring and response matrix 59| Manual sobre la gesti n basada en resultados: la labor conjunta en favor de la ni ezivStep 7. Draw it all together in a results framework and theory of change narrative 60 Tool F: Results framework 60 Step 8. Develop a monitoring plan 65 Tool G: Monitoring plan 65 Step 9. Assess the evaluability of the programme 74 Chapter 3. Implementation 75 Overview 76 Key steps in implementation 78 Step 1. Plan for implementation 79 Tool H: A sample work plan template 89 Step 2. Manage implementation & monitoring 92 Step 3. Make adjustments & take corrective action 100 Ongoing steps 101 Tool E: Risk monitoring and response matrix (Chapter 2) 59 Chapter 4. Monitoring for results 105 Overview 106 Key steps in monitoring for results 108 Step 1.

5 Consult your results framework 109 Tool G: Monitoring plan (Chapter 2) 65 Step 2. Plan for monitoring 109 Step 3. Select monitoring tools and approaches 116 Step 4. Collect and analyse data 119 Step 5. Communicate and report findings 123 Step 6. Take corrective action 124 Chapter 5. Evaluating results 126 Overview 127 Key steps in managing an evaluation 132 Step 1. Assess utility, necessity, evaluability 133 Step 2. Plan and commission the evaluation 136vStep 3. Manage the inception phase 138 Step 4. Provide ongoing support, including information collection and analysis 140 Step 5. Disseminate and use evaluation findings 142 Step 6. Prepare and track the implementation of the MANAGEMENT response 142 Step 7. Use evaluation for learning 145 Chapter 6. Reporting results 146 Overview 147 Key steps in reporting results 151 Step 1.

6 Understand the information needs of your audience 152 Step 2. Prepare your RESULTS-BASED reporting format 152 Step 3. Refer to your results framework and monitoring plan 154 Step 4. Collect the data 154 Step 5. Be visual: Use charts, graphs, photos, testimonials 155 Step 6. Tell your performance story, moving from activities to results 156 Step 7. Manage the reporting function 161 Step 8. Learn, adjust and adapt 162 Conclusion 164 Glossary 165 Endnotes 175 FiguresFigure RESULTS-BASED MANAGEMENT : A snapshot 7 Figure The RESULTS-BASED MANAGEMENT programme cycle 9 Figure Applying RESULTS-BASED MANAGEMENT : Planning for, achieving and demonstrating results 11 Figure RBM: An organizational approach that creates synergy among MANAGEMENT processes, tools and staff skills 12 Figure Nine steps in strategically planning for results 24 | Manual sobre la gesti n basada en resultados: la labor conjunta en favor de la ni ezviFigure Levels of causes 25 Figure Tool A.

7 Causality analysis 26 Figure Tool C: The prioritization funnel with five filters 31 Figure Tool D: Theory of change 37 Figure Key principles of RESULTS-BASED planning 40 Figure Building a results chain using the if-then logic of the theory of change 41 Figure One example of a results chain 42 Figure Another example of a results chain 43 Figure Formulating a results statement that begins with a change verb 45 Figure Formulating a results statement using a present tense verb to indicate a desired future 46 Figure Formulating a results statement 46 Figure SMART criteria 47 Figure Checklist for formulating results 48 Figure Aligning the budget with a strategy to deliver outputs 51 Figure Devising a strategy and outputs: An iterative process influenced by funding 52 Figure Types of costs to consider when budgeting 52 Figure Ensuring value for money in the programme cycle 53 Figure Examples of risk types and categories 57 Figure A sample theory of change narrative 62 Figure Examples of data collection methods 71 Figure Key steps in RESULTS-BASED implementation 79 Figure A Gantt chart showing sequencing and timing of programme activities 87 Figure A sample programme activity diagram 88 Figure Tool H: A sample work plan template 89 Figure Levels of monitoring 98 Figure Connecting risk response with costs and results 102 Figure Using performance information for organizational learning 104viiFigure Types of monitoring 107 Figure Six steps in RESULTS-BASED MANAGEMENT monitoring 108 Figure Results.

8 A product of many contributing factors 132 Figure Seven steps in a RESULTS-BASED MANAGEMENT evaluation process 133 Figure High and low evaluability 134 Figure Eight steps in reporting results 151 Figure Example of how data can be translated into a visual format 156 TablesTable Tool B: Monitoring results for equity A 10 determinant framework 29 Table The results chain: Definitions and examples 39 Table Objectives versus results 44 Table Examples of results statements 49 Table Examples of assumptions and how to deal with them 55 Table Risk-level matrix 57 Table Tool E: Risk monitoring and response matrix 59 Table Tool F: Results framework 60 Table Example of a partial results framework for one country programme component 61 Table A sample theory of change in graphic form 63 Table Tool G: Monitoring plan 65 Table Quantitative and qualitative indicators 66 Table Possible disaggregation of one indicator 67 Table Checklist for indicator selection and validation 68 Table Examples of indicators and related baselines and targets 70 Table Example of a completed measurement framework for Table Format for an integrated monitoring, evaluation and research plan 73 Table UNICEF s role and contribution varies with different implementation approaches 82| Manual sobre la gesti n basada en resultados.

9 La labor conjunta en favor de la ni ezviiiTable Different implementation approaches require different inputs from UNICEF 86 Table A programme schedule based on milestones 88 Table An example of inputs required to implement activities defined in a work plan, linked to outputs and outcomes 91 Table Checklist of key considerations for implementation monitoring 99 Table Risk monitoring and response matrix 102 Table Excerpt of a detailed monitoring plan 112 Table A selection of monitoring tools and approaches 116 Table The multiple purposes of evaluation 129 Table Parameters and key questions for an evaluability assessment 135 Table Sample MANAGEMENT response 143 Table Example of how data can be translated into a visual format 155 Table Activity-based versus RESULTS-BASED reporting 157 Table Nine tips to improve RESULTS-BASED reporting 159 Table Excerpt of a RESULTS-BASED report on social protection 159 Table Excerpt of RESULTS-BASED report on humanitarian action 160 Table Reporting do s and don ts

10 161ixForeword |ixFOREWORD RESULTS-BASED MANAGEMENT HANDBOOK Achieving results for every child is at the heart of UNICEF s work. Results are how we demonstrate change in the lives of children, especially the most disadvantaged. The focus on results is evident in the development of UNICEF s Strategic Plan and how this will support achievement of the Sustainable Development Goals (SDGs). RESULTS-BASED MANAGEMENT , or RBM, is a widely adopted approach among the international development and humanitarian community to strengthen the achieve-ment of results. Practical results in the countries where UNICEF works: A boy receiving vaccinations and adequate nutrition so he can grow up healthily. A girl learning, and full of ambition for the future. Children protected from is not a new concept for UNICEF, as many staff are already applying this approach in their everyday work. This RBM HANDBOOK is part of a broader RBM learning package (which comprises an e-course and a face-to-face training) that aims to strengthen the application of RBM in all UNICEF offices, programmes, and teams to enable them contribute effectively and efficiently in realising the rights of children, everywhere.