Acronyms and Abbreviations
ACABQ Advisory Committee on Administrative and Budgetary Questions BPP Biennial Programme Plan CBO Community Based Organizations CPC Committee for Programmes and Coordination CPR Committee of Permanent Representatives DAC Development Assistance Committee DM Department of Management EA Expected Accomplishments ECOSOC United Nations Economic and Social Council ESCAP Economic and Social Commission for Asia and the Pacific GC Governing Council HRBA Human Rights-Based Approach IMDIS Integrated Monitoring and Documentation Information System IP Implementing Partner ISBN International Standard Book Number LM Logical Model M&E Monitoring and Evaluation MDG Millennium Development Goals NGO Non-Governmental Organization OECO Organization for Economic Co-operation and Development's OIOS Office of Internal Oversight Services PAAS Project Accrual and Accountability System PMF Performance Measurement Framework POW Programme of Work PPA Preliminary performance Assessment PPBD Programme Planning and Budget Division PPR Programme performance report QAU Quality Assurance Unit RBM Results-Based Management SMART Specific, Measurable, Attainable, Realistic and Time-bound SWOT Strengths, Weaknesses, Opportunities, and Threats TCPR Triennial Comprehensive Policy Review TOR Terms of Reference UN United Nations UNCT United Nations Country Team UNDAF United Nations Development Assistance Framework UNDG United Nations Development Group UNDP United Nations Development Programme UNEG United Nations Evaluation Group UNFPA United Nations Population Fund UN-Habitat United Nations Human Settlements Programme UNICEF United Nations Children's Fund WATSAN Water and Sanitation WP&B Work Programme and Budget
UN-Habitat has been implementing Results-Based Management (RBM) since 2000. Preparation of this Handbook was made possible through the generous support of the Swedish International Development Agency (SIDA) during the period 2012-2015, for which UN-Habitat is very grateful. SIDA's critical support enabled the organization to institutionalize RBM, including through training and development of systems and tools, as well as support to planning, monitoring, evaluation and implementation of projects and programmes.
The Handbook is intended to further strengthen and support UN-Habitat staff, management and partners' understanding of what RBM is, and how its key pillars comprising planning, monitoring & reporting, evaluation and learning are implemented at strategic, programme and project levels.
Development of this Hand book was led by the Quality Assurance Unit, in the Management and Operations Division that is responsible for Programme Planning; Monitoring and Reporting; and Audit and Inspection. The Evaluation Unit contributed the section on evaluation and the Programme Division wrote the section on project planning and monitoring. All the contributions to this Handbook are greatly appreciated. Special thanks to Pacome Kossy who also coordinated the process. The core team comprised:
Asenath Omwega - Results-Based Monitoring and Reporting at strategic and programme levels. Martin Barugahare and Susanne Bech - Results-Based Evaluation. Pacome Kossy - Results-Based Planning at strategic and programme levels, Project Coordinator. Rosa Muraguri-Mwololo - Project formulation, monitoring and management. Stephen Macharia -Administrative Assistance. Dorothy Mutizwa-Mangiza - Head, Quality Assurance Unit and RBM Coordinator in UN-Habitat and overall Project leader.
This Handbook on Results-Based Management (RBM) is the first manual and guide on strategic, programme and project planning, monitoring, reporting and evaluation in UN-Habitat. This document should be used in conjunction with the RBM Policy, the ProjectBased Management Policy', the Eva lu ation Policy and the evaluation guidelines which together guide the implementation of RBM in UN-Habitat.
UN-Habitat has been implementing the results-based budgeting (RBB) approach in its programme planning, monitoring, reporting and evaluation since 2000, in line with Regulations and Rules G011erning Methods of Evaluation, ST/SGB/2000/8 of April 2000, which were updated in May 2016 with the Regulations and Rules Governing Methods of Evaluation, S T/SGB/2016/6. The organization adopted Results-Based Management as the management approach for Implementing and achieving the results of its six-year Medium-term Strategic and Institutional Plan (MTSIP) of 2008-2013, and more recently, its strategic plan for 2014-2019. Implementing Results-Based Management is in line with current international development expectations and practices, including the 2030 Agenda for Sustainable Development with its Sustainable Development Goals and the New Urban Agenda.
Purpose and audience of the Handbook
The main purpose of this Handbook is to provide UN-Habitat staff at all levels with common ground for programme and project planning, monitoring, reporting and evaluation using RBM principles and tools. The Handbook responds to the need to institutionalize RBM in all UN-Habitat processes, activities, projects and programmes; and strengthen the culture of results, with the aim of enhancing the organization's relevance, efficiency, effectiveness, accountability, visibility and value for money. Effective implementation of RBM in UN-Habitat will greatly enhance the achievement of desired results and demonstrate real change in the lives of the people for whom its interventions are desired.
This user friendly Handbook will clarify key concepts, principles, terminology and tools to enhance RBM knowledge, skills and application by UN-Habitat management, staff and partners. The reader of the Handbook will understand:
- What RBM is and why it is used; its key elements and history; and how it is applied in UN-Habitat;
- The value of strategic programme and project planning for effective implementation, monitoring and evaluation;
- The critical role of monitoring in demonstrating the performance of programmes and projects, and In steering the implementation process towards the intended results;
- How monitoring lays the groundwork for evaluation;
- Different types of evaluation in UN-Habitat and their contribution to learning and accountability;
- The role of monitoring and evaluation in strengthening UN-Habitat's humanitarian and development effectiveness and managing for development results;
- Principles, norms, standards, policy, processes and responsibilities for planning, monitoring and evaluation in UN-Habitat;
- Where to look for references and materials for additional information and guidance.
[su_spoiler title=Structure of the Handbook
The Handbook is divided into the following five parts:
- Part 1 consists of an overview of RBM, Including its origins and international context, as well as its place in the United Nations reform agenda, in general, and in UN-Habitat in particular.
- Part 2 deals with RBM in planning. It presents the general approach to planning using RBM principles and tools before presenting how planning for results in UN-Habitat is undertaken at strategic, programme and project levels.
- Part 3 presents RBM in monitoring and reporting. It also presents the general concepts of monitoring and reporting, before dealing with monitoring and reporting for results in UN-Habitat at strategic, programme and project levels.
- Part 4 deals with RBM in evaluation. It presents the basic principles of evaluation in the UN system in general, and in UN-Habitat in particular. It provides guidance on how to plan and conduct evaluations in UN-Habitat.
- Part 5 is about capacity building, knowledge management and innovations in RBM.
The five sections are mutually reinforcing and make up a coherent whole. At the same time, each section is designed to stand alone by reiterating the key introductory concepts, and can be read by itself.