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This RBM Handbook was developed underthe United Nations Development Group(UNDG) Working Group on ProgrammingIssues (WGPI) in the context of GeneralAssembly resolution 62/208 (and itsdirectives in paragraph 100) to facilitateconsistency and harmonization throughcommonly agreed results-based programme5management concepts and approaches inthe United Nations system.PURPOSE OF THE HANDBOOKThe main purpose of the Handbook isto provide United Nationsfunds, programmes andspecialized agencieswith common groundfor supporting nationalprogramme planning,implementation monitoring and reporting based on best practices inthe RBM field. The Handbook responds tothe evolving dynamics of RBM in line withTCPR commitments while taking note ofdevelopments within the Organisation forEconomic Co-operation and Development/Development Assistance Committee (OECD/DAC), such as the Paris Declaration and theAccra Agenda for Action.Toward this objective, the Handbook isexpected to:5 contribute to harmonizing United Nationsbusiness practices around ‘contributingto national efforts for achievingdevelopment results’; provide a common framework for interagency collaboration to support countriesin programme design, implementation andmanaging for development results, including monitoring, evaluation and reporting; Increase the quality and effectiveness ofUnited Nations-supported interventionsfor achieving sustained results.The Handbook is intended to besuccinct, user-friendly and explainconcepts and tools in ways thatwill facilitate operationalizingharmonized RBM approaches. Itprovides a common denominator forthe use of RBM by all United Nations staffmembers and stakeholders, particularlywhen developing and implementing theirUnited Nations Development AssistanceFramework (UNDAF). Key concepts, principles and terminology are presented alongwith different frameworks, such as a resultsmatrix, a risk mitigation framework and aresults-based reporting framework.It is not meant to be an exhaustive ‘howto’ manual. Web links and references areincluded to resources and tools that providegreater detail.The focus of this handbook is primarily on RBM in the programme elements. However, the concepts and definitions are alsoapplicable to management aspects. Other UNDG working groups are focusing on financial management and RBM and links withthese are provided in the document.Introductionv

INTRODUCTION (cont’d)AUDIENCE OF THE HANDBOOKThe Handbook is addressed to allUnited Nations staff at country, regionaland headquarters levels, especiallythose responsible for RBM planning, implementation, monitoringand evaluation (M&E), managingand reporting. National authorities at various levels (central, local)may also find the Handbook usefulas it introduces key RBM concepts, toolsand instruments used by the United Nationssystem in development as well as crisis,transition and post crisis situations. Othernational actors, including international andnational non-governmental organizations(NGOs), and parties responsible for variouselements of programming at country levelfor achieving developmental results wouldalso find the handbook useful.ORGANIZATION OF THE HANDBOOKThe RBM Handbook is arranged primarilyaround the programme cycle. Readersmay also refer to UNDG guidance on theCommon Budgetary Framework and otherbusiness operations.Part one provides an overview of RBM,explaining the importance of accountability, national ownership and inclusivenessas a backdrop for undertaking effectiveRBM. This is discussed in the context ofviRESULTS-BASED MANAGEMENT HANDBOOKthe rapidly changing aid environment withnationally owned and driven results, withthe United Nations viewed predominantly as a contributor to achievingnational results.Part two examines RBM in theplanning stages. It presents variousplanning tools, such as the resultsmatrix, the M&E plan, and the riskmitigation strategy framework. Part threeexplores the importance of the managementfunction of RBM, focusing on managingfor results.Part four presents monitoring as anessential component for assessing resultson an on-going basis. Part five presentsevaluation and its role in assessing overallperformance, while part six encourages thereader to more effectively report on resultsby focusing particularly on outputs andoutcomes rather than activities.Finally, part seven discusses how to useRBM for learning, adjusting and decisionmaking. An additional section, part eight,which has been included based on fieldneeds and reviews, highlights critical RBMissues in crisis and post-crisis situations aswell as underlining the need for adoption ofcommon RBM approaches and terminologyin these settings.

PART 1: OVERVIEW OF RBMPART 1OVERVIEW OF RBM1.1. What is Results-Based Management?. 21.2. Key Results-Based Management Principles. 31.3. RBM and Managing for Development Results. 61.4. Basic RBM Terminology. 6PART 1: Overview of RBM1

OVERVIEW OF RESULTS-BASED MANAGEMENT1.1 WHAT IS RESULTS-BASED MANAGEMENT?RBM is a management strategy by which all actors, contributing directly or indirectly toachieving a set of results, ensure that their processes, products and services contribute tothe achievement of desired results (outputs, outcomes and higher level goals or impact).The actors in turn use information and evidence on actual results to inform decisionmaking on the design, resourcing and delivery of programmes and activities as well asfor accountability and reporting.RBM is seen as taking a life-cycle approach(see Figure 1). It starts with elements of planning,such as setting the vision and defining the resultsframework. Once partners agree to pursue a setof results through a programme, implementationstarts and monitoring becomes an essential task toensure results are being achieved. M&E provideinvaluable information for decision-making andlessons learned for the future.PNTINManagingand and usingmonitoringMODefining theresults mapand RBMframeworkPlanning formonitoringand evaluationNITORINGSource: UNDP, Handbook on Planning, Monitoring and Evaluating for Development Results, 2009.2RESULTS-BASED MANAGEMENT HANDBOOKNGUASettingthe visionNIE VA LLAOFIGURE 1: The RBM life-cycle approach

11.2 KEY RESULTS-BASEDMANAGEMENT PRINCIPLESTHREE KEY PRINCIPLES of RBM are: Accountability National Ownership InclusivenessACCOUNTABILITYTCPR resolutions have long stressed the need forUnited Nations development entities to achieveand uphold the highest levels of accountabilitywhen supporting partner countries in pursuing national development outcomes.6 Morerecently, a high level symposium of the UnitedNations Economic and Social Council (ECOSOC)Development Cooperation Forum discussedactions to improve mutual accountability atglobal, regional and national levels, as well asits forms and processes.7 In addition, the ParisDeclaration indicators and related targets includeaccountability expectations from both nationalgovernments and donors.The concept of mutual accountability hasbecome established as criteria for developmentand aid effectiveness, although questions remainaround actual implications. For the purpose ofthe UNDAF, mutual accountability is interpretedto mean the respective accountability of partiesworking together toward shared outcomes.This notion of respective accountability reflectsthe fact that accountability is not fungible andmust, in the final analysis, be attached to aspecific actor. Many stakeholders contribute to678UNDAF outcomes and each one ofthem is accountable for its contribution.Below are accountability expectations ofthe various stakeholders at different levelsof engagement in the context of a sequenceof desired results at the national level.8Governments: Governments are the primaryowner and executing agents of cooperationprogrammes and are accountable to theirpeople, through their parliaments, for deliveringon national development objectives (sometimes referred to as national goals, prioritiesor outcomes). Results that occur at this levelare primarily attributable to the government,although this may sometimes differ dependingon the national context.United Nations Country Team (UNCT):United Nations funds, programmes andspecialized agencies as members of the UNCTcollaborate with national counterparts to determine the outcomes of the United Nations supportin a particular country. The outcomes of UnitedNations support are framed in the UNDAF or otheragreed common document and always derive fromthe country’s national development objectives.UNCT members are accountable to the nationalpartners on the basis of the Basic CooperationAgreement between the United Nations and thehost country on the one hand, and to partnergovernments funding development activities in thecountry through the United Nations, on the other.Individual United Nations funds, programmesand specialized agencies: At the nationallevel, each of these United Nations entities areSee, for instance, GA resolution 62/208, paragraph 61, which calls on “the organizations of the United Nations development system, within theirorganizational mandates, to further improve their institutional accountability mechanisms.” Paragraph 113 further calls “to continue to harmonizeand simplify their rules and procedures, wherever this can lead to a significant reduction in the administrative and procedural burden on the organizations and national partners, bearing in mind the special circumstances of programme countries, and to enhance the efficiency, accountabilityand transparency of the United Nations development system.”Enhancing Mutual Accountability and Transparency in Development Cooperation, ECOSOC. November 2009A more macro perspective of accountability is provided in the UNDG Management and Accountability System.PART 1: Overview of RBM3

accountable for their specific agreed contributionto the selected UNDAF outcomes as per theiragency mandate and comparative advantagein the country. At the same time, each entity isaccountable to its own governing body. Upwardreporting to governing bodies does not focus onnational development performance. Instead, itfocuses on the contributions made by individualUnited Nations agencies to UNDAF results andthe influence of these on the national development objectives. The accountability for resultsof UNCT members to their respective governingbodies is limited to the level at which results canbe attributed to the UNCT.Implementation partners: Various partnersincluding local authorities and civil societyorganizations have an implementation role andthus have mutual accountability for the deliveryof goods and services to the national authoritiesand the local communities. Typically, the implementing partners are the key to achievement ofoutputs and activities.Providers of inputs: Finally, providers of inputs,such as vendors and contractors, are accountable to implementing partners for the satisfactorydelivery of specified items.Figure 2 delineates individual accountabilitywithin an overall flow of activity leading towardhigher-level outcomes, with accountabilityestablished at each level. UNCTs may wish toconsider using the figure as a way to clarifyaccountabilities within their UNDAFs. At eachlevel, there is an expectation that an accountableparty has the capacity to undertake its responsibilities to make its contributions to the results. Ifthis capacity is not in place, then either capacity needs to be developed or, where applicable,alternative arrangements sought.NATIONAL OWNERSHIP OF RESULTSAs stated in the TCPR 62/208, “each countrymust take primary responsibility for its owndevelopment and the role of national policiesand development strategies cannot be overemphasized in the achievement of sustainableFIGURE 2: AccountabilityNational Governments are accountable to their people, through their parliaments,for delivering on national development objectives.UNCTs are accountable to governments for overall contribution tonational development objectives, through their contribution to theachievement of specific UNDAF-level outcomes.Each UN Agency is accountable for its contribution to selected UNDAF outcomes as per their agency mandate and its agreed country programme,including to national authorities as well as to its governing board.For the purposeof the UNDAF,mutual accountabilityis interpreted to mean therespective accountabilityof parties working togethertoward shared outcomes.4Implementing partners including local authoritiesand civil society organizations have mutualaccountability for the achievement of outputsand activities to the national authoritiesand the communities themselves.Providers of inputs areaccountable to implementing partners for thesatisfactory deliveryof specifieditems.RESULTS-BASED MANAGEMENT HANDBOOK

1BOX1SIX PRINCIPLES FOR UNITED NATIONS ORGANIZATIONS TOCONTRIBUTE EFFECTIVELY TO RESULTS-BASED MANAGEMENT1) Foster senior-levelleadership in RBM inall organizations, withnational actors playinga major lead;2) Promote and supporta results culture byall actors, includingnational, sub-nationaland local governments,civil society organizations, communities,United Nations agenciesand partner governments.In particular support:- an informed demand forresults information;- supportive country/national systems,procedures andincentives;- a results-orientedaccountability regime;- fostering learningand adjusting;- clear roles and responsibilities for RBM.3) Build results frameworkswith clearly defined ownership on the part of nationalactors at all levels, andwith the contribution androles of the United Nationsclearly agreed upon;development”. To maximize national ownershipand sovereignty, programmes and projects ofthe United Nations must be based on nationalpriorities, strategies and local needs. They areenvisaged to complement national efforts. Impactand higher level results are then predominantlyowned by national actors with the UnitedNations contributing to these results. However,national ownership does not mean that theUnited Nations is not accountable.A key aim of RBM is to ensure that nationalownership goes beyond a few select persons toinclude as many diverse stakeholders as possible.For this reason, M&E activities and the findings,recommendations and lessons learned should befully owned by those responsible for the results4) Measure sensibly anddevelop user-friendlyRBM information systems;5) Use results informationfor learning and managing,as well as for reportingand accountability;6) Build an adaptive RBMregime through regularreview and updating offrameworks.Source: John Mayne, Best Practices inResults Based Management: A Reviewof Experience, July 2007, p.4.and those who can make use of them. Moredetailed information on the concept of nationalownership in relation to common countryprogramming and aid effectiveness is availableon the UNDG website.INCLUSIVENESS (or stakeholder engagement)Finally, inclusiveness is another important RBMprinciple. A strong RBM process aims to engagestakeholders (including government institutionsat national, sub-national and local levels, as wellas civil society organizations and communitiesthemselves) in thinking as openly and creativelyas possible about what they want to achievewhile encouraging them to organize themselves to achieve what they have agreed upon,including establishing a process to monitor andPART 1: Overview of RBM5

evaluate progress and use the information toimprove performance. Engagement of all relevantstakeholders in all stages of the programmingprocess maximizes the contribution that theUnited Nations system can make, through theUNDAF, to the national development process.An MfDR approach encourages developmentagencies to focus on building partnerships andcollaboration and ensure greater coherence.Similarly, it promotes stronger focus on sustainability through measures that enhance nationalownership and capacity development.Increasing evidence shows that sustainability ismore likely when rights-holders are involved inpeace-building or development processes fromthe outset – including during country analysis,defining results and indicators, implementation,and M&E of programmes and projects. Onecannot expect rights-holders to be responsiblefor results and indicators they do not help define,negotiate or agree upon. Stakeholder analysisshould consider the mandate and interest ofvarious partners.RBM approaches have traditionally focusedmore on internal results and performance ofagencies rather than on changes in the development conditions of people. In RBM, like MfDR,‘results’ are understood to go beyond management (systems, scorecards, metrics, reporting)and should be dynamic and transformative sothat results inform decision-making and lead tocontinuous improvement and change. In thisHandbook, the term ‘results-based management’is used to cover both: (i) the results from development assistance; and (ii) an agency’s internalperformance and results.91.3 RESULTS-BASED MANAGEMENTAND MANAGING FORDEVELOPMENT RESULTSManaging for development results (MfDR)applies the same basic concepts as RBM (planning, monitoring, evaluating and learning) butseeks to keep the focus on development assistance demonstrating real and meaningful results.MfDR is oriented more toward the externalenvironment and results that are important toprogramme countries and less toward an agency’sinternal performance.MfDR is an effort to respond to the growingdemand for public accountability in both thedeveloped and developing worlds on howassistance is used, what results are achieved andhow appropriate these results are in bringingabout desired changes in human development.91061.4 BASIC RESULTS-BASEDMANAGEMENT TERMINOLOGYIt is recognized that many United Nationsagencies are using different RBM definitions andterminologies, even though the concepts are,in many cases, analogous. The use of commonterminology will help United Nations agenciesmove toward a common ground for supportingnational programming (see Box 2).When adopted across the board by UnitedNations agencies, these definitions can contributeto greater coherence and consistency and helpwhen communicating RBM issues with nationalgovernments. The basic terminology used in thishandbook is taken from several sources and isstrengthened by best practices in the RBM field.10More detailed information and resources on MfDR are available on the MfDR website.OECD/DAC Glossary of Key Terms in Evaluation and Results-based Management; UNDG Results-based Management Terminology 2003.www.undg.org/rbmRESULTS-BASED MANAGEMENT HANDBOOK

1BOX2DEFINITION OF KEY UNITED NATIONS PROGRAMMING TERMSResults basedmanagement (RBM)Results-based managementis a management strategyby which all actors, contributing directly or indirectlyto achieving a set of results,ensure that their processes,products and services contribute to the desired results(outputs, outcomes andhigher level goals or impact)and use information andevidence on actual resultsto inform decision makingon the design, resourcingand delivery of programmesand activities as well as foraccountability and reporting.ResultsResults are changes in a stateor condition that derive froma cause-and-effect relationship. There are three typesof such changes - outputs,outcomes and impact - thatcan be set in motion by adevelopment intervention.The changes can be intendedor unintended, positive and/or negative.Results chainThe causal sequence for adevelopment interventionthat stipulates the necessary sequence to achievedesired results – beginningwith inputs, moving throughactivities and outputs, andculminating in individualoutcomes and those thatinfluence outcomes for thecommunity, goal/impacts andfeedback. It is based on atheory of change, includingunderlying assumptions.ImpactImpact implies changes inpeople’s lives. This mightinclude changes in knowledge, skill, behaviour, healthor living conditions forchildren, adults, families orcommunities. Such changesare positive or negative longterm effects on identifiablepopulation groups producedby a development intervention, directly or indirectly,intended or unintended. Theseeff

he focus of this handbook is primarily on RBM in the programme elements. However, the concepts and definitions are also T applicable to management aspects. Other UNDG working groups are focusing on financial management and RBM and links with these are provided in the document. This RBM Handbook