Developing and Approving a Programme Strategic and Results Framework

Transcription

1 Developing and Approving a Programme Strategic and Results Framework Guideline Last updated: 30 August 2012 Overview This guideline is to support New Zealand Aid Programme staff to manage the process Develop and Approve a Programme Strategic and Results Framework. It should be read in conjunction with the Programme Management Policy and the Programme Strategic and Results Framework template. Contents About Programme Strategic and Results Frameworks... 2 Introduction... 2 Approval... 2 Content... 2 Main Steps Develop the Programme Strategic and Results Framework... 3 Programme Results Framework... 4 i. Results Diagram... 5 ii. Results Measurement Table... 6 iii. Monitoring and Evaluation (M&E) Work Plan Make a submission to the Minister outlining the approach Complete the draft Programme Strategic and Results Framework Peer review Finalise the Programme Strategic and Results Framework Endorse the Programme Strategic and Results Framework Approve the Programme Strategic and Results Framework... 9 Country Programmes Prepare a JCfD Make a submission to the Minister proposing a draft JCfD Finalise a Joint Commitment for Development Sign a Joint Commitment for Development Developing and Approving a Programme Strategic and Results Framework Guideline Page 1 of 10

2 About Programme Strategic and Results Frameworks Introduction A Programme Strategic and Results Framework conveys what assistance the New Zealand Government will contribute to a development Programme (reflecting our policies and priorities), and includes a description of how New Zealand ODA can make the most difference to Programme outcomes. The Framework enables a results-based approach to designing and implementing Programmes. It sets out the logic supporting the Programme, the intended results (including goal and short, medium and long-term outcomes), and how these will be measured, monitored and evaluated over the life of the Programme (usually five years). Note: For Country Programmes where there is an existing Joint Commitment for Development (JCfD) already under implementation, supplemented by a JCfD Results Framework, this serves as the Programme Strategic and Results Framework (but can be updated as appropriate). Approval Each Programme will usually have a Programme Strategic and Results Framework approved by the relevant Director. But if a draft or final version is submitted to the Minister of Foreign Affairs, the approved ministerial submission serves as approval. Content Each Programme Strategic and Results Framework includes: The context in which the Programme takes place; The goal the Programme is expected to contribute towards; The intended outcomes the Programme expects to achieve; New Zealand support, including the priority sectors the New Zealand Aid Programme will work in and the actions we will take to achieve intended outcomes; Contributions and actions by the partner to achieve intended outcomes; How the Programme will address international commitments to development effectiveness; How the Programme will address cross-cutting issues; Indicative budget and other resourcing for the Programme; A Programme Results Framework. Developing and Approving a Programme Strategic and Results Framework Guideline Page 2 of 10

3 Main Steps 1. Develop the Programme Strategic and Results Framework The Programme Strategic and Results Framework should be reviewed on a five-yearly basis unless there is a requirement to do so at another time. The Designated Programme Manager takes the lead for the Programme Team (Wellington and Post) and other relevant Divisions in preparing the Programme Strategic and Results Framework following endorsement of the approach to development the framework by the Deputy Director. At the outset, you may wish to prepare a brief work plan or discuss with your manager what work will be done, by whom and by when in order to produce a Programme Strategic and Results Framework. Designated Programme Managers should familiarise themselves with the minimum requirements for Programme Strategic and Results Frameworks (refer to the Programme Management Policy) and the Programme Strategic and Results Framework template (which is mandatory). Bear in mind that in order to develop the Programme and Strategic Results Framework, you should refer to and use all available information. Typically this includes: Any existing New Zealand Aid Programme strategies or strategic and results frameworks or sector strategies; Relevant partner / agency / other donor strategies or strategic plans, national development plans, sector plans and associated results measurement tables or monitoring mechanisms etc; Programme monitoring, evaluation or review information; Any Programme performance reports or partner feedback; For Country Programmes in particular, any analytical work including of cross-cutting issues, and of country systems (e.g. Public Expenditure and Financial Accountability (PEFA) assessments, AusAID national and sector assessments etc). Developing and Approving a Programme Strategic and Results Framework Guideline Page 3 of 10

4 As you prepare the different sections of the Programme Strategic and Results Framework template, for Country Programmes in particular, consider international commitments in the Busan Partnership for Effective Development Cooperation and how New Zealand might contribute to achieving these, such as improving the strength and use of: Partner financial and procurement systems; Partner national development and sector strategies; Partner results measurement and monitoring mechanisms. The Designated Programme Manager coordinates meetings or invites input from relevant stakeholders from both inside and outside of MFAT as appropriate, including some or all of: Staff at post or in Wellington familiar with the Programme, and sectoral or specialist staff; Partner country government representatives; New Zealand and partner country state sector, private sector or non-governmental organisations; Other donors. Documents for external consultation should be cleared by the Programme Director. Programme Results Framework It is important the Programme Results Framework is focused at a strategic level enabling only key information to be collated and analysed to guide active programme management. Individual activities should be aligned and contribute to the outcomes identified within the Programme Strategic and Results Framework. This alignment should be evident through individual Activity Results Frameworks. The Programme Results Framework comprises three components: i. Results Diagram: Provides a visual representation of key results and the logic supporting the Programme. It describes how short-term outcomes (the effect of Activities and outputs) will lead to intended medium-term and long-term outcomes and ultimately the goal of the Programme. Note: The Results Diagram is only mandatory for Country Programmes. ii. Results Measurement Table: Provides key information about how the results (outcomes) identified in the Results Diagram will be monitored and measured, using indicators, targets and baseline information. Note: The Results Measurement Table is included with the Joint Commitment for Development as an appendix; and Developing and Approving a Programme Strategic and Results Framework Guideline Page 4 of 10

5 iii. Monitoring and Evaluation (M&E) Work Plan: Provides information on key monitoring and evaluation tasks required to implement the Results Measurement Table. We should be looking to use measures from country results frameworks wherever possible to avoid imposing additional burdens on developing countries. This includes use of indicators and targets from national development strategies, sector plans and other relevant frameworks; use of national statistics and data from sector information systems; and use of country monitoring and evaluation systems at the country and/or sector level. i. Results Diagram 1. For Country Programmes (and optionally, Other Programmes) the Results Diagram should be developed as early in the process as possible. The Results Diagram provides a simple way to identify key results and help ensure the intended logic of the Programme is clear and agreed by stakeholders, in particular by the partner country. 2. Working with stakeholders, discuss and identify key components and intended results of the Programme (including those existing and those planned). Consider results relevant to the New Zealand Aid Programme (i.e. MFAT Strategic Outcomes) and those identified by the partner where appropriate (i.e. National Development Plans, agency strategic plans). Consider those sectors and Activities already included in an existing Programme. If still relevant, ensure sector and key Activity results are considered for use in the Results Diagram. Consider cross-cutting issues of gender equality and women s empowerment, environment and climate change adaptation/mitigation, and human rights, as well as development effectiveness issues. 3. As an early step, identify the goal of the Programme. Then based on the key results discussed, develop them into concise outcomes statements. They should be aligned to an outcome hierarchy of short-term, medium-term and long-term (STO, MTO, LTO) outcomes (i.e. the sequence that will lead to outcomes above in the hierarchy). Where analysis indicates the need to specifically target one or more cross-cutting issue(s) or development effectiveness indicator within the Programme, this should be reflected in one or more outcome statement(s). 4. At this stage, based on the strength of partner country systems and/or existing programmes for strengthening that are in place, consider likely delivery mechanisms (project versus higher order modalities). Developing and Approving a Programme Strategic and Results Framework Guideline Page 5 of 10

6 5. Using the key results (outcomes) identified, start developing / testing the logic between each of the levels of results (i.e. causal relationships what will lead to what?). Arrows should be used to describe the linkages between outcomes. Starting from the STO, use arrows to link to the relevant MTO (i.e. if STO is achieved then MTO occurs). Once relevant outcomes are linked, do a backwards check from the LTOs that they are likely to be achieved from MTO and STO results. Where the logic between various levels of results is weak, it might be necessary to rethink the results identified or consider some of the assumptions being made. Remember there is not often a single correct logic supporting a Programme; what is important is that the logic is clear and agreed by stakeholders. 6. Remember to focus on only the key results required to achieve the goal and those results, particularly at the STO and MTO that we are directly contributing to. Note that at the higher levels of the outcome hierarchy, results are likely to be influenced and contributed to by many other actors and not solely the Programme. Also, identifying too many results may make the Programme Results Framework difficult to implement, particularly from a data collection and reporting perspective. Once the Results Diagram is agreed, key results are then transferred to the Results Measurement Table. ii. Results Measurement Table 1. The Results Measurement Table (RMT) should be developed early in the process and once key results for the Programme have been identified (i.e. usually following development of the Results Diagram). 2. Working with key stakeholders and making use of indicators and targets that are used elsewhere, preferably the partner/country s own indicators where applicable, both internally (e.g. MFAT IDG Strategic Framework indicators and agreed thematic and sector indicators) and externally (e.g. MDG reporting, National Development Plans, agency strategic frameworks and those used by other donors), identify 1-2 indicators per outcome. 3. Identify realistic targets for each indicator and where possible detail available baseline data for each indicator and also methodology and source information. All indicators and targets are to be sexdisaggregated where possible. 4. It is important to work closely with partner country officials, or partner agency staff where appropriate, to agree indicators, targets and baseline information to ensure information will be available for monitoring and reporting purposes. Where monitoring and data systems are identified as lacking, it may be necessary to provide support to strengthen these. Developing and Approving a Programme Strategic and Results Framework Guideline Page 6 of 10

7 iii. Monitoring and Evaluation (M&E) Work Plan 1. Working with key stakeholders, identify key tasks to implement the Results Measurement Table jointly with the partner/country and harmonised with other donors where applicable. These may include capturing baseline data, producing monitoring reports (collating and analysing data), preparing for high level reviews of progress and identifying a possible Programme evaluation. 3. Once agreed, the M&E Work Plan should be integrated into the Annual Cycle for Programme Management. Where appropriate, it is important that Designated Programme Managers engage closely with partners to ensure full implementation of the Results Framework. 2. Make a submission to the Minister outlining the framework The Director is responsible for deciding whether it is necessary to include this step in the process. It is expected that a submission would be made on the proposed outline of the Programme Strategic and Results Framework for country programmes but may not be necessary for other programmes. A submission would also clarify whether the Minister wishes to have engagement from the International Development Advisory and Selection Panel. The Designated Programme Manager should consult their line manager (the relevant Deputy Director) on the draft Programme Strategic and Results Framework and obtain agreement on the outline of the framework. The Designated Programme Manager takes the lead in preparing a submission to the Minister of Foreign Affairs outlining the approach. The submission is based on the context, indicative goal and outcomes, and New Zealand Aid Programme support outlined in the draft Programme Strategic and Results Framework. Where appropriate, highlight priority sectors and actions we will take to achieve the intended outcomes. For Country Programmes, it is also important at this stage to include proposed contributions and actions the partner will take to achieve intended outcomes, as this will appear later in the JCfD (or other high level formal document). Use of the MFAT Submission template is mandatory. Reference to the MFAT Submissions Style and Practice Guide will also help. In accordance with normal practice, the Submission should be reviewed and approved by the relevant Deputy Director, then Director, and then approved and signed by DS-IDG. Developing and Approving a Programme Strategic and Results Framework Guideline Page 7 of 10

8 3. Complete the draft Programme Strategic and Results Framework The Designated Programme Manager takes the lead in completing the draft Programme Strategic and Results Framework, ensuring any feedback from the Minister is incorporated and including engagement with relevant stakeholders on the final draft. 4. Peer review Once the Designated Programme Manager and Deputy Director are satisfied the Programme Strategic and Results Framework addresses the requirements and is of adequate quality, a peer review process should be undertaken. Firstly, a person or people with appropriate skills and experience from within IDG should be invited to peer review the Programme Strategic and Results Framework. For example, if there are particular issues or challenges associated with one of the cross-cutting issues, a specialist on that issue could be invited to peer review. Other Programme team members, Development Managers or (sector) specialists may also be commonly required. The peer reviewer(s) should focus on whether: The Programme Strategic and Results Framework reflects relevant New Zealand Government, New Zealand Aid Programme and partner policies and priorities; Intended results are clearly stated, are well linked (i.e. clear logic supporting the Programme) and are measurable; Robust monitoring processes will measure progress effectively; Cross-cutting and development effectiveness issues have been adequately addressed. The peer reviewer(s) should provide clear guidance on any changes that should be made to meet content and quality requirements. Differences of opinion should be resolved in accordance with normal principles of team work. Secondly, the Designated Programme Manager should then share the document with the Aid Effectiveness Team in DSE for final peer review. This will focus on the completeness, quality and consistency of the Programme Results Framework. 5. Finalise the Programme Strategic and Results Framework The Designated Programme Manager finalises the Programme Strategic and Results Framework, ensuring any peer review recommendations are incorporated into the final document. Developing and Approving a Programme Strategic and Results Framework Guideline Page 8 of 10

9 6. Endorse the Programme Strategic and Results Framework The relevant Deputy Director makes an assessment as to whether the Programme Strategic and Results Framework is of adequate quality for approval. They should also consider consistency across and between Divisions. The Deputy Director decides to revise the Framework or endorses it to proceed to approval. Where appropriate, the final document should also be endorsed by the partner prior to approval. 7. Approve the Programme Strategic and Results Framework Country Programmes The relevant Director approves the Programme Strategic and Results Framework. In deciding to approve the document the relevant Director should consider consistency across and between Divisions. Note: While the relevant Director is the usual approval point, if a Programme Strategic and Results Framework is submitted to the Minister of Foreign Affairs, the approved ministerial submission serves as approval. 8. Prepare a JCfD For Country Programmes, a Programme Strategic and Results Framework should be prepared in advance of a Joint Commitment for Development (JCfD). A JCfD articulates and summarises key elements of the Programme Strategic and Results Framework at a political level. The Designated Programme Manager prepares the draft JCfD. Use of the MFAT Joint Commitment for Development template is mandatory. The JCfD should be succinct. 9. Make a submission to the Minister proposing a draft JCfD The Designated Programme Manager takes the lead in preparing a Submission to the Minister of Foreign Affairs proposing the draft JCfD. In accordance with normal practice, the Submission should be reviewed and approved by the relevant Deputy Director, then Director, and then approved and signed by DS-IDG. Developing and Approving a Programme Strategic and Results Framework Guideline Page 9 of 10

10 10. Finalise a Joint Commitment for Development The final JCfD should be endorsed by the partner prior to the Designated Programme Manager coordinating signing by the signatories. 11. Sign a Joint Commitment for Development JCfDs are signed by the Minister of Foreign Affairs and relevant counterpart. Developing and Approving a Programme Strategic and Results Framework Guideline Page 10 of 10