RBM Handbook Working Together For Children July 2017

a
RESULTS-BASED
MANAGEMENT HANDBOOK
Working together for children
Acknowledgements
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)
Françoise Coupal (Mosaic.net International Inc.)
Natalie Zend (ZENDialogue Consulting Services)
Contributors
Country 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 Zanga
Regional office staff: Isa Achoba, Christine Muhigana, Hervé Périès, 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 Hoff
Headquarters staff: 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.
Reviewers
Kate 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 Wexler.
Editor
Lois Jensen, The Write Way, Inc.
Design
Green Communication Design, Inc. | www.greencom.ca
Results-Based 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 provided.
RESULTS-BASED
MANAGEMENT HANDBOOK
Working together for children
ii | Results-based Management Handbook : Working together for children
iii
CONTENTS
Forewordix
Abbreviations and acronyms 1
Introduction2
Background 2
Purpose 3
Intended audience 4
Structure4
Chapter 1. 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

Background22
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. Align results, strategies and funding 50
Step 6. Assess assumptions and risks 54
Tool E: Risk monitoring and response matrix 59
iv | Manual sobre la gestión basada en resultados: la labor conjunta en favor de la niñez
Step 7. Draw it all together in a results framework and theory of

change narrative60
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

Overview106
Key steps in monitoring for results 108
Step 1. 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

Overview127
Key steps in managing an evaluation 132
Step 1. Assess utility, necessity, evaluability 133
Step 2. Plan and commission the evaluation 136
v
Step 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

Overview147
Key steps in reporting results 151
Step 1. 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
Conclusion164
Glossary165
Endnotes175
Figures
Figure 1.1. Results-based management: A snapshot 7
Figure 1.2. The results-based management programme cycle 9
Figure 1.3. Applying results-based management:
Planning for, achieving and demonstrating results 11
Figure 1.4. RBM: An organizational approach that creates synergy
among management processes, tools and staff skills 12
Figure 2.1. Nine steps in strategically planning for results 24
vi | Manual sobre la gestión basada en resultados: la labor conjunta en favor de la niñez
Figure 2.2. Levels of causes 25

Figure 2.3. Tool A: Causality analysis 26
Figure 2.4. Tool C: The prioritization funnel with five filters 31
Figure 2.5. Tool D: Theory of change 37
Figure 2.6. Key principles of results-based planning 40
Figure 2.7. Building a results chain using the
‘if-then’ logic of the theory of change 41
Figure 2.8. One example of a results chain 42
Figure 2.9. Another example of a results chain 43
Figure 2.10. Formulating a results statement
that begins with a change verb 45
Figure 2.11. Formulating a results statement using a present
tense verb to indicate a desired future 46
Figure 2.12. Formulating a results statement 46
Figure 2.13. SMART criteria 47
Figure 2.14. Checklist for formulating results 48
Figure 2.15. Aligning the budget with a strategy to deliver outputs 51
Figure 2.16. Devising a strategy and outputs: An iterative process
influenced by funding 52
Figure 2.17. Types of costs to consider when budgeting 52
Figure 2.18. Ensuring value for money in the programme cycle 53
Figure 2.19. Examples of risk types and categories 57
Figure 2.20. A sample theory of change narrative 62
Figure 2.21. Examples of data collection methods 71
Figure 3.1. Key steps in results-based implementation 79
Figure 3.2. A Gantt chart showing sequencing and timing
of programme activities 87
Figure 3.3. A sample programme activity diagram 88
Figure 3.4. Tool H: A sample work plan template 89
Figure 3.5. Levels of monitoring 98
Figure 3.6. Connecting risk response with costs and results 102
Figure 3.7. Using performance information for
organizational learning 104
vii
Figure 4.1. Types of monitoring 107

Figure 4.2. Six steps in results-based management monitoring 108
Figure 5.1. Results: A product of many contributing factors 132
Figure 5.2. Seven steps in a results-based management
evaluation process 133
Figure 5.3. High and low evaluability 134
Figure 6.1. Eight steps in reporting results 151
Figure 6.2. Example of how data can be translated
into a visual format 156
Tables
Table 2.1. Tool B: Monitoring results for equity –
A 10 determinant framework 29
Table 2.2. The results chain: Definitions and examples 39
Table 2.3. Objectives versus results 44
Table 2.4. Examples of results statements 49
Table 2.5. Examples of assumptions and how to deal with them 55
Table 2.6. Risk-level matrix 57
Table 2.7. Tool E: Risk monitoring and response matrix 59
Table 2.8. Tool F: Results framework 60
Table 2.9. xample of a partial results framework
E
for one country programme component 61
Table 2.10. A sample theory of change in graphic form 63
Table 2.11. Tool G: Monitoring plan 65
Table 2.12. Quantitative and qualitative indicators 66
Table 2.13. Possible disaggregation of one indicator 67
Table 2.14. Checklist for indicator selection and validation 68
Table 2.15. Examples of indicators and related baselines
and targets 70
Table 2.16. Example of a completed measurement framework for
Table 2.17. Format for an integrated monitoring,
evaluation and research plan 73
Table 3.1. UNICEF’s role and contribution varies with
different implementation approaches 82
viii | Manual sobre la gestión basada en resultados: la labor conjunta en favor de la niñez
Table 3.2. Different implementation approaches require

different inputs from UNICEF 86
Table 3.3. A programme schedule based on milestones 88
Table 3.4. An example of inputs required to implement
activities defined in a work plan, linked to outputs
and outcomes91
Table 3.5. Checklist of key considerations for
implementation monitoring 99
Table 3.6. Risk monitoring and response matrix 102
Table 4.1. Excerpt of a detailed monitoring plan 112
Table 4.2. A selection of monitoring tools and approaches 116
Table 5.1. The multiple purposes of evaluation 129
Table 5.2. Parameters and key questions for an
evaluability assessment 135
Table 5.3. Sample management response 143
Table 6.1. Example of how data can be translated
into a visual format 155
Table 6.2. Activity-based versus results-based reporting 157
Table 6.3. Nine tips to improve results-based reporting 159
Table 6.4. Excerpt of a results-based report
on social protection 159
Table 6.5. Excerpt of results-based report on
humanitarian action 160
Table 6.6. Reporting do’s and don’ts 161
Foreword | ix
FOREWORD
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 violence.
RBM 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.
Achieving results for children starts with good planning, where focus is paramount.
We need to design programmes that are measureable and that can be implemented.
Achieving results, also implies that we strive relentless to ensure efficiencies in delivering
programmes for children, with our partners. This RBM Handbook provides practical guid-
ance on how sound plans can be implemented to deliver concrete results for children.
A well-designed programme can be monitored, so that progress can be tracked and

course corrections made. A sound programme can be readily evaluated, and these
evaluations will enable us to learn about the efficacy of the strategies we adopt. The
consistent use of RBM enables us to reach the most disadvantaged children, and report
these results readily to the public, governments, development partners, donors and to
our Executive Board.
I am confident that this RBM Handbook, along with the other elements of the UNICEF
RBM learning package, will support UNICEF staff and partners to strengthen the focus
on sustainable outcomes and impacts for children.
Shanelle Hall
Deputy Executive Director, Field Results
UNICEF
x | Manual sobre la gestión basada en resultados: la labor conjunta en favor de la niñez
1
ABBREVIATIONS AND ACRONYMS
CEDAW Convention on the Elimination of All Forms

of Discrimination against Women
CRC Convention on the Rights of the Child
CSO Civil society organization
DHS Demographic and Health Survey
HACT Harmonized Approach to Cash Transfers
IMERP Integrated monitoring, evaluation and research plan
MICS Multiple Indicator Cluster Survey
M&E Monitoring and evaluation
MoRES Monitoring Results for Equity System
NGO Non-governmental organization
RAM Results Assessment Module
RBM Results-based Management
SDGs Sustainable Development Goals
SMS Short message service (text messaging)
SMART Specific, measurable, achievable, relevant, time-bound
ToRs Terms of Reference
UNDAF United Nations Development Assessment Framework
UNEG United Nations Evaluation Group
UNDG United Nations Development Group
WASH Water, sanitation and hygiene

2 | Manual sobre la gestión basada en resultados: la labor conjunta en favor de la niñez
INTRODUCTION
BACKGROUND
Results-based management (RBM) is
a management approach that seeks to ensure that all
actors contribute directly or indirectly to a defined set of
results. In UNICEF’s case, these results aim to promote positive
change for children. Results-based management has been a feature of UNICEF
programming for several decades and relies on evidence-based decision-making.
The building blocks of RBM include the situation analysis that lays the foundation
for well-articulated theories of change, the identification of measurable results
and risk responsive strategies, and the systematic monitoring and reporting of the
programmes’ progress and evaluation.
While the RBM approach has often led to better-designed programmes, there is room
for improvement through a more holistic application in programme implementa-
tion, monitoring, evaluation, reporting and management. A 2012 publication called
Results-Based Management in the United Nations Development System: Progress
and challenges noted that:
Much of the emphasis in the implementation of results-based management has been

on developing the strategic plans, country programme documents and the results
matrices. The ‘managing’ for results aspect of results-based management in the form
of using information for programme improvement is less prominent.1
Beyond the inherent importance of the results themselves, improving management for
results is all the more crucial in the context of resource constraints and amid strong
calls from key stakeholders to better demonstrate value for value for money. The
Sustainable Development Goals (SDGs) will require even stronger RBM capabilities
from UNICEF and partners to demonstrate a contribution to national results, while
adhering to United Nations principles of coherence.
Introduction | 3
To improve the quality of programming, UNICEF is undertaking an agency-wide effort

to improve its application of RBM. This handbook is one component of a three-part
RBM learning package that also includes an e-course and face-to-face training. The
package aims to enhance individual staff skills and organizational capacity for RBM. In
turn, the learning package is part of a broader strategy to enhance the application of
RBM in UNICEF. The strategy includes strengthening the provision of adequate guid-
ance and tools, performance management mechanisms, technical support and effective
quality assurance, which will foster the optimal application of RBM and learning across
UNICEF offices.
PURPOSE
The main purpose of this handbook is to support the application of RBM
in UNICEF. It picks up where the United Nations Development Group’s Results-
Based Management Handbook leaves off, specifically addressing UNICEF’s
mandate, approaches and management processes.
The handbook is intended as a desk reference that will allow UNICEF staff to review
and deepen their RBM learning in the midst of their day-to-day work at any point in
the programming cycle. It will also support learning and collaboration within teams
and offices.
Towards this objective, the handbook is expected to contribute to:

• Improved understanding of RBM by UNICEF staff
• Strengthened application of RBM
• Improved contribution by UNICEF to development results
• Improved capacity of UNICEF staff to support government and development
partners in using RBM.
INTENDED AUDIENCE
The main audience for this handbook is UNICEF staff. Results-based
management applies to all programming areas and to all UNICEF offices, pro-
grammes and teams. In fragile and humanitarian situations, RBM is applied with
agility and flexibility in accelerated planning and monitoring cycles.
In upper-middle-income, high-capacity contexts, using RBM can help UNICEF support

governments in integrating a child rights lens into their planning and budgeting.
Senior managers have a special role in empowering staff to become successful results
managers. The handbook can also be used or adapted for work with and by partners.
Kindly note that some of the hyperlinks provided in this handbook are only accessible
to UNICEF staff.
STRUCTURE
The handbook consists of six chapters:
Chapter 1. Results-based management in a nutshell
Chapter 2. Planning for results
Chapter 3. Implementation for managing for results
Chapter 4. Monitoring for results
Chapter 5. Evaluating results
Chapter 6. Reporting results
Chapter 1. Results-based management in a nutshell | 5
Chapter
RESULTS-BASED
MANAGEMENT IN A NUTSHELL
In UNICEF, results-based management supports multiple actors in working together to create

meaningful change in children’s lives. It means planning and tracking the achievement of actual
results to support more effective programming, more efficient resource use, greater account-
ability and more compelling reporting. It requires planning for, achieving and demonstrating not
just that activities have been completed, but that results have been realized for people on the
ground. As such, it is applicable throughout the whole programming cycle and in all UNICEF
offices, programmes and teams.
When to use this chapter: Chapter overview:

• At any stage in the programme cycle • What is results-based management?
• hen you need a quick introduction or
W • hat are the principles of results-based
W
refresher on what RBM is all about management?
• hen you need to share key aspects of RBM

W • hy does UNICEF use results-based
W
with others management?
• What are the benefits of focusing on results?

Who should use this chapter: • Does results-based management apply to me?
• UNICEF staff
• hat are common pitfalls in applying
W
• UNICEF partners, as relevant results-based management?
WHAT IS RESULTS-BASED MANAGEMENT?

Let’s start by defining results:
result: |’ri’zvlt | v.
A result is a describable or measurable change in a state or
condition that derives from a cause-and-effect relationship.
And so, results-based management is:
“…a management strategy [or approach] by which all actors, contributing

directly or indirectly to achieving a set of results, ensure that their processes,
products and services contribute to the achievement of desired results (out-
puts, outcomes and higher level goals or impact). The actors in turn use
information and evidence on actual results to inform decision-making on the
design, resourcing and delivery of programmes and activities as well as for
accountability and reporting.”
− United Nations Development Group,
Results-Based Management Handbook, 2011
Let’s unpack that.
Results-based management Then we consider the medium- and

is about change short-term results we think will make
that difference, and the strategies and
The change we want to achieve sets our
activities we believe will move us in the
direction. In RBM, we don’t start our
direction of the change we want to see.
programme planning with the activity
In many circumstances, UNICEF will be
we want to carry out in mind (such as
making choices on how to contribute to
a training workshop or a multilateral
outcomes for children as one of several
conference). Instead, we begin with the
partners working together to support the
end in mind and are clear on the dif-
achievement of national priorities.
ference we want to make for children
(such as reduced mortality, increased Results-based management involves
access to clean water, improved learning a shift in focus from what we’re doing
outcomes or reduced violence against (activities) to the changes we’re making
children). This is based on a compre- or to which we’re contributing (results).
hensive understanding of the situation. In UNICEF’s case, RBM is about making
sure our work actually makes a dif- If it turns out that things are not getting
ference in the lives of children. As we better for children or are getting worse,
manage our programming, we continu- our monitoring, research and evaluation
ally track the relationship between what helps us find out why. They enable us to
we’re doing and what’s actually changing answer questions such as:
‘out there’. We get feedback on the effects • Were we wrong about what activities
of our activities and adjust them to better and strategies would bring about
achieve the change we want. the desired changes (our theory of
change)? If so, based on sound evi-
The assumptions or hypotheses about
dence and analysis we try out different
what inputs, activities, outputs and
activities and strategies, and then mon-
outcomes are both necessary and suf-
itor and evaluate whether those move
ficient to create the desired results for
us in the desired direction.
children are our theories of change. We
examine the coherence and logic of our • id our assumptions about
D
theories. Then, as we implement what preconditions for success not hold
we have planned, we monitor, make true? Or did events beyond the pro-
adjustments and evaluate to determine if gramme’s control (risks) interfere with
our intervention is making the hoped-for the desired change process? If so, we
difference (see Figure 1.1). do our best to mitigate their effects
and capitalize on the opportunities
Figure 1.1. Results-based management: A snapshot
THEORY OF CHANGE
FEEDBACK LOOPS Start here and
(through monitoring, evaluation, reporting and back to planning) work your way
backwards!
INPUT ACTIVITIES & OUTPUTS OUTCOMES IMPACT

(Resources) STRATEGIES (Changes in (Changes in (Change in
(What we do) capacities of performance conditions
individuals of individuals for children)
or institutions or institutions)
HOW WHAT WHY
IMPLEMENTATION RESULTS
(what we do) (the difference we make)
RESULTS-BASED MANAGEMENT
they present. Or is it just that we of change). You obtain the ingredients

are not carrying out our activities you need (your inputs). You mix them
well enough? If that’s the case, we all together in suitable proportions and
then determine how to improve sequence (implementation).
our implementation.
As you cook the meal, you might need
If we are making the desired difference, to adjust the temperature and duration
we ask: to the altitude in which you find your-
self (response to local context, culture
• How might our success lead to more
success? Could similar strategies and conditions). Throughout the pro-
achieve similar results elsewhere? Or cess, you try to prevent or respond to
on a bigger scale? What would it take unforeseen events like people being
for that to happen, and how could we cut or burned in the kitchen, or getting
support it? indigestion (risk management). Then you
regularly check how your meal is coming
• re we being the most efficient we
A along (monitoring).
can be?
At the end of the process, if you’ve
succeeded, the result will be positive
In short, taking a results-based
and measurable (evaluation) and you
management approach means being will be able to tell the story of the change
curious about how change hap- that’s occurred (reporting). You will have:
people who’ve improved their cooking
pens, and being strategic about how know-how (your output), a tasty meal
best to catalyse positive change in (your outcome), and a nourished, happy
family (your impact).
social systems.
Results-based management
An analogy:
is an approach for the whole
programme cycle
is like making a meal
Results-based management influences
how we approach every stage of the
can be likened to preparing
programme cycle, from harnessing
a meal. You get the relevant
evidence about existing conditions,
people involved (stakeholder
analysis and trends to strategic plan-
participation). You agree
ning, implementation, monitoring and
on what kind of meal you
reporting, and evaluation. See Figure
want to make (your vision
1.2 for a generic depiction of the RBM
of change or expected
programme cycle, which is also valid in
© UNICEF/Giacomo result). You get a recipe to
a more accelerated form in fragile and
Pirozzi/2006 work from (your theory
humanitarian contexts.
Figure 1.2. The results-based management programme cycle
EVIDENCE &
EVALUATION
ANALYSIS
PROGRAMME STRATEGIC
REPORTING
RE-DESIGN PLANNING
MONITORING IMPLEMENTATION
In short, this is what RBM, applied • You define roles and responsibilities of
each actor towards the desired change.
throughout the whole programme
• You carry out your respective activities
cycle, can look like:
based on the strategies you have opted
• You gather key actors who can help for with the end in mind.
realize children’s rights.
• You measure whether you’re moving
• Together you reach an understanding in the right direction and what
of the situation in which you want you’ve achieved.
to intervene.
• You respond to risks and take advan-
• eeping in mind available resources,
K tage of emergent opportunities.
you co-create a snapshot of the change
• And you report, learn and adjust
you want to work towards together and
throughout the whole process.
how you see this happening.
While each step does build on the other, involves defining our desired results
in practice the process is ideally dynamic and strategies to achieve them. As we
and iterative rather than static and do so, we consider the assumptions we
linear. That is why programme re-design are making, how we will mitigate risks to
figures at the centre of the cycle. It is a achieving our desired future, capitalize
process of collaborative engagement on opportunities, and build longer-term
that should promote collective reflection, resilience to shocks. And we ensure that
learning and creativity over expedient we’ll be able to measure whether we’re
‘box-ticking’. moving in the hoped-for direction.
Applying results-based Achieving results

management means Achieving results begins with
planning, achieving and implementation, as we undertake
demonstrating results our selected strategies and activities.
It means focusing on monitoring results
As shown in Figure 1.3, we can further
throughout implementation, keeping our
break the cycle into three essential
eye not just on what we’re doing, but on
stages, notably planning, achieving and
whether we are helping to bring about
demonstrating results.
the hoped-for change. It is not enough
that we planned with a view to what
Planning for results we wanted to change; now we need
In a strategic planning process, we to see whether we’re actually making
harness evidence and analysis about the a difference.
context in which we wish to intervene –
both as it is now and how it is likely to Demonstrating results
evolve. This allows us to identify critical
Demonstrating results involves
deprivations faced by children and the
evaluating the difference we’re making,
causes that underlie them. That is what
and reporting on whether and to what
we need in order to identify what we
extent we are contributing to positive
want to change about the current situa-
change. And then we use that infor-
tion and for whom. We prioritize those
mation to make adjustments to our
deprivations and the causes we will
strategies, activities, resources and even
address. Then we define pathways of
to our vision of the changes (results) we
change towards our desired future (our
want to achieve and our theories about
theories of change). Programme design
how best to move in that direction.
Figure 1.3. Applying results-based management:

Planning for, achieving and demonstrating results
PLANNING ACHIEVING DEMONSTRATING

FOR RESULTS RESULTS RESULTS
• Causality analysis Implementation: Evaluation:

• Prioritization • Monitoring implementation • Evaluating results
• Theory of change • Adjusting and taking achievement
• Defining desired results corrective action • Documenting and acting
• Assessing assumptions • Managing risks on lessons learned and
and risks • Quality assurance recommendations
• Drawing it all together in a and feedback • Preparing a
results framework & theory management response
of change narrative Monitoring:
• Assessing evaluability • Monitoring tools Reporting:
• Developing a monitoring plan and approaches • Reporting formats
• Data collection and analysis • Referring to results
• Communication and reporting frameworks and
• Decision-taking monitoring plans
and corrective action • Moving from activities
to results
• Learning, adjusting, adapting
Results-based management is a coherent, integrated and iterative process in which the

results focus applies throughout the programme cycle. Each phase and step in the cycle
builds on the previous one, and each step and phase enables the subsequent one.
WHAT ARE THE PRINCIPLES

OF RESULTS-BASED MANAGEMENT?
A number of principles can guide our RBM practice and provide
a reference for each stage in the programme cycle. These include: broad-based
application, efficiency and effectiveness, accountability, stakeholder engagement,
transparency, simplicity and learning.
Broad-based application Efficiency and effectiveness

Results-based management is used Results-based management is based on
across the organization to apply a results a commitment to achieving results, as
focus to tasks, activities, strategies, well as to converting inputs into activ-
programmes and policies. It requires an ities and then to results in the most
agency-wide effort to shift to a culture economical and efficient way possible. It
and practice of managing for results at helps us stay focused on the goal of our
all levels. As illustrated in Figure 1.4, work, especially when there are setbacks,
this involves ensuring not only that staff problems and changes in circumstances.
members have the required skills and Being precise about our expected results
capacities; it also requires the integra- also provides a reality check when
tion of results-based tools and methods it comes to estimating the time and
into UNICEF’s management culture resources required to achieve them.
and systems. And it means making the
management processes of UNICEF as
an organization results-focused.
Figure 1.4. RBM: An organizational approach that creates synergy

among management processes, tools and staff skills
A systems approach
NEW RBM
TOOLS and
SKILLS and RESULTS-BASED MANAGEMENT METHODS
QUALITIES
Change in culture IMPROVED

and practice MANAGEMENT Conditions for
implementing RBM
PROCESSES
and how to get there, RBM becomes

in and of itself a contribution to the
development process – helping to
build coordination, teamwork, syn-
ergy, partnerships and collaboration
Two friends at a child friendly space supported by UNICEF at the
for systemic change.
Markazi refugee camp for Yemenis in Obock, Djibouti.
© UNICEF/UNI191716/Rita
Transparency
Accountability Results-based management requires
Results-based management provides a openness in the presentation and com-
work environment where accountability munication of information about the
for delivering results is clear and shared work of all partners working towards
among staff and other stakeholders. shared results. It enables us to have
Success in processes to achieve results systems in place that make it easy for
demands clear identification of roles all to see how we are achieving results,
and responsibilities and the establish- and where adjustments will be needed
ment of mechanisms for review and to improve efficiency and effective-
decision-taking. ness. Establishing explicit theories of
change and defining clear, measurable
Stakeholder engagement results supports better communica-
tion with donors, governments at all
Results-based management engages
levels, children and their families, and
an array of stakeholders to work on
team members.
achieving a collective vision of desired
change. This may, when appropriate,
include government institutions at Simplicity
national, subnational and local levels, the Results-based management should be
private sector and media, civil society kept as simple as possible, so that it is
organizations, girls, boys and their easy to understand, pragmatic and easy
families, and communities. It is partic- to apply.
ularly important to engage the affected
population in humanitarian situations.
Learning
Such a process brings people together
to think openly and creatively about the Results-based management is
change they want to achieve and how implemented with a view to learning
best to organize and coordinate among how best to achieve results for children,
themselves to achieve it. and using that learning to continually
adjust and improve UNICEF programmes
Results-based management should and operations. Being clear about where
support meaningful participation of we’re trying to go helps us to adjust
stakeholders at all points in the pro- our strategies and activities as new
gramme cycle. By supporting collective information comes in.
thinking about the desired future
WHY DOES UNICEF USE

RESULTS-BASED MANAGEMENT?
The United Nations system adopted RBM as its management approach
in the late 1990s in a bid to enhance coherence, effectiveness and accountability.
A policy review of the UN in 2007 sparked renewed efforts to enhance RBM in
individual agencies and at the country level.
Beyond the United Nations, national SDGs are a global agenda, picking up
governments, public institutions and where the Millennium Development
the private sector are also focusing on Goals left off. They consider the root
results. In large part, this is because tax- causes of poverty, look to include the
payers, citizens and other stakeholders most vulnerable, and recognize the
including the target populations increas- need for integrated, holistic develop-
ingly demand accountability and want ment that balances economic, social
to see demonstrable results. In addition, and environmental dimensions of sus-
development work is becoming increas- tainable development. Moving towards
ingly professionalized in recognition of the agreed goals and targets requires
the need for improved effectiveness and evidence-based, results-focused pro-
impact. In other words, UNICEF’s adop- gramming, and that is what RBM
tion of RBM is not a response to a fad, is all about.
but part of a long-standing, internation-
UNICEF has two key motivations for
ally accepted management approach and
effectively applying RBM: making a
set of practices.
difference and demonstrating results.
The Sustainable Development Goals
(2016−2030) give further impetus for Making a difference
achieving demonstrable results. The
for children
Young girls attend math class in a UNICEF supported school in Put simply, the ‘why’ of UNICEF’s work
Jalozai camp, Khyber-Pakhtunkhwa province in Pakistan. is to achieve concrete and sustained
© UNICEF/UN018819/Zaidi
improvements in children’s lives:
Results-based management for UNICEF
is ultimately about achieving results for
children. It’s about being able to mean-
ingfully link what UNICEF does, with the
difference it makes in the lives of girls
and boys.
“UNICEF is mandated by the United Nations General Assembly to advocate for the protection
of children’s rights, to help meet their basic needs and to expand their opportunities to reach
their full potential.”
“UNICEF is guided by the Convention on the Rights of the Child and strives to establish
children’s rights as enduring ethical principles and international standards of behaviour
towards children.”
− From UNICEF’s Mission Statement
Rights and results Equity and results

If RBM helps UNICEF keep focused In keeping with a human-rights based
on the kind of change it wants to help approach to programming, in 2010
achieve, human rights norms and stan- UNICEF launched efforts to strengthen
dards define that change. Results-based its focus on equity as an overarching
management is a means and the realiza- priority. In so doing, it significantly
tion of human rights is the end. sharpened UNICEF’s attention on the
needs of the world’s most disadvantaged
The human rights-based approach to
children. This focus also helps define and
programming is a foundational program-
clarify the types of results that UNICEF
ming strategy for UNICEF. It establishes
aims to help achieve: reduced depri-
that UNICEF’s programming, both in
vations among the most marginalized
development and humanitarian con-
children and the removal of bottle-
texts, should further the realization of
necks and barriers to their accessing
child rights. It also implies that human
crucial social services and protections.
rights standards and principles, such as
UNICEF’s Monitoring Results for Equity
non-discrimination, interdependence of
Systems (MoRES) provides an approach
rights, participation and accountability,
to achieve desired outcomes for the
guide how UNICEF goes about achieving
most disadvantaged children. It offers
results. Results-based management is
opportunities to operationalize both a
a key element of human rights-based
human rights-based approach to pro-
programming since it defines the results
gramming and RBM with a sharpened
to which UNICEF will contribute, and
focus on achieving results for the most
guides the process for attaining them.
disadvantaged girls and boys.
Demonstrating results financial sustainability. In sum, with high

competition for limited resources, there
A second key motivation for UNICEF
is an increasing onus on UNICEF to give
to effectively apply RBM is that donors
evidence of a real bang for donor invest-
are demanding demonstrated results
ments and demonstrate value for money.
for their money, and the public is
demanding accountability for results on UNICEF needs to communicate its results
the ground. Providing evidence of results clearly, not only to donors but also to
is increasingly a prerequisite to UNICEF political leaders, government officials
having the funds and support it needs to and the girls, boys, women, families
carry out its vital mission for children. and communities it serves around the
world. Accountability is one of the core
Donors are increasingly including
principles of the human rights-based
transparency about results achieved
approach (‘accountability to affected
among the criteria they use to assess
populations’, or AAP, in humanitarian
potential aid recipients. Some donors
contexts). Accountability is now being
are even taking this a step further with
strengthened through UNICEF’s par-
results-based aid and results-based
ticipation in the International Aid
financing. Under these arrangements,
Transparency Initiative (IATI). Under
recipients receive funding when inde-
this initiative, UNICEF is releasing on
pendent evaluation of indicators
its Transparency Portal more and more
demonstrates that pre-agreed results
information on how and where we use
have been achieved; however, recip-
resources to achieve results for children
ients have discretion over how to
– including data on expenditures and
achieve them. Instances where UNICEF
results achieved. Putting all this infor-
has failed to show results have gar-
mation into the public domain raises the
nered media attention and threaten
bar when it comes to showing evidence
to impair UNICEF’s reputation and
of real results in the field.
DOES RESULTS-BASED
MANAGEMENT APPLY TO ME?
In one word,
yes! Results-based management

is the approach adopted
around the world by national
governments, the UN
system and the interna-
tional development and humanitarian community, among others, to strengthen
the achievement of results. It applies to all UNICEF programming areas. It is
about programming in a focused, flexible way, with awareness of the relation-
ship between what we’re doing and the difference we’re making. Results-based
management is not just for planning, monitoring and evaluation (M&E) special-
ists. Nor can it be subcontracted to consultants. Results-based management is a
management approach and philosophy that applies to all levels and types of staff,
whether in programmes, operations, or external relations and communications. It
is meant to support all UNICEF offices, programmes and teams in real-
izing the organization’s mission. This implies that expectations on individual
performance are also guided by RBM. Staff responsibilities necessary to achieve
results take into consideration RBM principles and constitute an important part of
the RBM cycle.
A special role results-based management. If you are a

for senior managers manager, you set the tone and create the
conditions (or not) for your staff to be
Regional directors, country
able to apply RBM in a meaningful and
representatives and deputy repre-
effective way – not just as a bureaucratic,
sentatives, programme managers,
desk-based, box-ticking exercise.
operations managers, cluster coordi-
nators, heads of programmes/sections You can help ensure that staff have the
and other managers have a special time and resources they need to support
role and responsibility with regard to continual inquiry into how to effectively
contribute to change for children. You feeding information to UNICEF

can encourage them to engage with and partners as well as into wider
stakeholders and partners in genuine coordination mechanisms.
participatory results-based analysis,
In fragile contexts and protracted
planning, implementation, monitoring,
humanitarian situations, more flexible
evaluation and reporting. And you can
management cycles and processes
support them in obtaining the financial,
and more locally defined solutions are
technical and logistical support, as well
required. Such situations also require
as the skills and know-how that they
political acumen and coordination. In
need to focus on results. Empowering
these contexts, integrated results-based
staff to become successful results man-
planning and management by the UN
agers means on the one hand ensuring
system and through whole-of-govern-
they have the resources and capacity
ment approaches require UNICEF to
they need and, on the other hand,
apply RBM in close coordination with
holding them accountable for applying
other key implementing actors.
RBM consistently.
In fragile and In upper-middle-income,

humanitarian situations high-capacity contexts
In these contexts, UNICEF generally
The principles and approaches of RBM
seeks to leverage its proportionally small
apply to humanitarian action in rapid- or
financial contribution into a big impact
slow-onset crises as well as in blended
for children. Outcomes usually involve
humanitarian and longer-term develop-
shifts in the performance of government
ment programming in protracted crises
at all levels – for example, in national
and fragile situations. The difference
budgeting and planning, legislation,
is that analysis, programme design,
policy and programming. Outputs
monitoring and adjustment are under-
will typically focus on strengthening
taken in more frequent cycles. In a
national institutions for child-sensitive
new or rapidly scaled-up humanitarian
action. Results-based management
response, the first rounds of analysis and
tools can be especially helpful in these
planning take place over the first days
contexts if used together with govern-
and weeks, and are repeated frequently
ment and other actors to enhance the
as the situation evolves. At the same
government’s ability to build a child
time, programmes are more focused
rights lens into its national budgeting
on life-saving and protection results,
and planning cycles. As in all contexts,
as set out in the Core Commitments
aligning UNICEF’s programming cycle
for Children in Humanitarian Action.
with government planning processes can
Because of the rapid pace of response
help UNICEF take advantage of stra-
and the shifting context, monitoring is of
tegic intervention points for influencing
higher frequency and uses simple, agile
public priority-setting, sectoral plans and
approaches to track coverage and quality
budget allocation.
of services. Monitoring data support
resource allocation and adjustments,
WHAT ARE COMMON PITFALLS IN

APPLYING RESULTS-BASED MANAGEMENT?
If well applied, RBM supports a reflective approach and improved programme
effectiveness and impact. Beware, however, of common pitfalls:
• Carrying out a situation analysis but articulate the changes we hope to work
not referring to it when it comes to towards. Laying out results that can
programme design. Analysis is essen- be observed or measured with defined
tial to identifying what we want to baselines is a fundamental building
change about the current situation block for RBM.
and how we might best do that. At
• Developing results frameworks,
the planning and design stage, we
theories of change and indicators, but
need to harness existing analysis
then not making meaningful use of
and gather further data and analysis,
them once programming has begun.
as needed, for our intervention to be
Focusing on RBM at the planning stage
grounded in evidence about what is
but paying less attention to managing
Analysis is going on and what works.
for results is common. Yet it is from
ESSENTIAL
• Carrying out a situation analysis that implementation onwards that RBM
ignores likely and significant context reveals its full value. Be sure to base
changes, like threats of disaster or your work plans on your expected
conflict or major economic shocks. results and indicators. When it comes
Without building in more agility into time to implement, monitor, eval-
our programming, we can lose ground uate and report on your programme,
on results achieved. you should continually refer to your
results frameworks, theories of change,
• Taking shortcuts at the planning stage,
and performance monitoring plans.
especially when it comes to developing
See Chapters 3, 4, 5 and 6 for details
expected results founded on realistic
on how to make meaningful use of
evidence-based theories of change. The
results-based tools for implementation,
upfront stakeholder consultations and
monitoring, evaluation and reporting.
time required for effective RBM need
to be sufficient to result in realistic and
measurable results frameworks and
more effective programming.
• Formulating results statements that Base your work

are too complex, ambitious and hard plans on your
expected results
to measure, or that denote activities
and indicators.
rather than changes. Results-based
management requires us to clearly
• Staying wedded to your initial theory approach. Take advantage of the power
of change, rather than learning and of RBM tools to support effective,
adjusting based on the evidence. As evidence-based programming and
you learn from programme implemen- meaningful stakeholder engagement.
tation, your initial results frameworks, Focus your energy and attention on the
theories of change and monitoring deeper purpose behind all the ‘boxes’:
plans need to be adjusted in accor- getting real results on the ground
dance with new realities or new for children.
understanding. Be honest about it
and, in concert with key stakeholders, This handbook is intended to support
develop updated versions. Keep you in applying RBM meaningfully to
successive iterations of those key docu- your work, avoiding typical pitfalls. We
ments to track how expectations and offer here key information, concepts and
understanding evolve over time. tools to equip you to focus on results.
• And, the most common pitfall of all:

mechanistically filling out results-
based programming templates and
ticking the boxes, seeing RBM pri-
marily as a bureaucratic requirement.
This often results in paying lip service
to RBM and needed stakeholder con-
sultation while in effect continuing to
take an activity-based management
Welcome! Read on, apply what you read

to your own work, and sharpen
YOUR contribution to the
difference UNICEF makes for children.
Chapter 2. Planning for results | 21
Chapter
PLANNING FOR RESULTS
Integrating RBM into strategic planning is essential to being able to achieve and
demonstrate results later in the life of a programme. This requires beginning with a grounded
understanding of the situation you wish to change and strategic prioritization of the issues you
will address. From there you can develop an explicit theory of change for your intervention,
define the results you hope to achieve, assess the risks which can cause delays or lead to failure
in achieving the intended results, and plan how you will measure your progress.
When to use this chapter: Chapter overview of steps

• During the planning and design phase of a new and corresponding tools:
country programme requiring the develop-
ment of Programme Strategy Notes, a Country
Steps
Programme Document or Country Programme Step 1. Understand the situation
Management Plan. Step 2. Prioritize issues for action
Step 3. Devise a theory of change
• In participating in the design of the
Step 4. Define desired results
United Nations Development Assistance
Framework (UNDAF). Step 5. Align results, strategies and funding
Step 6. Assess assumptions and risks
• In participating in the development of an
Step 7. Draw it all together in a results frame-
inter-agency Humanitarian Response Plan.
work and a theory of change narrative
Step 8. Develop a monitoring plan
Who should use this chapter: Step 9. Assess the evaluability of the programme
• UNICEF staff, including sectoral specialists,
programme managers, and planning, Tools
M&E specialists Tool A. Causality analysis
Tool B. Monitoring results for equity –
• As appropriate, key stakeholders who will be 10 determinants framework
involved in, or affected by, the programme.
Tool C. The prioritization funnel with five filters
Tool D. Theory of change
Tool E. Risk monitoring and response matrix
Tool F. Results framework
Tool G. Monitoring plan
BACKGROUND
Strategic planning is a disciplined approach to developing a multi-year vision
of what results will be achieved and how they will be achieved. Organizations
such as UNICEF use RBM for strategic planning for the entire organization, for
country programme development or for specific programmes.
For UNICEF, strategic planning with an us in carrying out a results-based

RBM approach will generally include: strategic planning process:
• Understanding the situation,
particularly the causes of a problem, Align with and influence
such as a deprivation or a child rights
national planning processes
shortfall or violation
Aligning with the government’s planning
• Prioritizing issues to be addressed by cycle and processes allows UNICEF to
UNICEF action more effectively inform national devel-
• Establishing a theory of change for the opment priorities and targets, sectoral
problem or deprivation strategic plans and budget allocation. In
many country contexts, UNICEF’s role
• Developing a strategic plan with is to position itself to influence analytic
a results framework work on children and planning processes
• Aligning results, strategies by bringing in a child rights lens. This
and funding. may entail central or decentralized
planning with national governments
Strategic planning provides direction on on specific plans, the development
how UNICEF at any time and place will of a UNICEF-assisted programme of
organize itself to achieve its mission of cooperation, and/or the development
helping every child move forward. It is of a UN-wide programming frame-
about how that will be done, with whom work (such as the UNDAF or integrated
and how progress will be measured. strategic framework).
Ensure stakeholder
GUIDELINES FOR
buy-in and engagement
RESULTS-BASED
To achieve results it is critical to develop
STRATEGIC PLANNING among stakeholders a shared vision of
In addition to the general principles that the change desired and a mutual under-
guide the application of RBM (detailed in standing of their respective roles in
Chapter 1), four guidelines can support creating that change. These stakeholders
may range from government officials and
other development partners that are also Learn, adapt and adjust
managing activities and supplying funds your strategic plan
to work towards the same outcome,
Sometimes, the path towards desired
to technical experts and community
change can be known based on available
leaders and representatives of disad-
research (such as the promotion of bed
vantaged groups that are the subjects
net use to prevent malaria). Frequently,
of the analysis. Without involving them
however, we are responding to complex
in planning, shared accountability and
contexts with complex interventions.
‘buy-in’ will remain elusive. Engaging
Because social processes are always
these stakeholders is also important to
in flux, our strategic planning often
ensuring that programming is relevant
reflects best guesses about the future.
and grounded in evidence.
No matter how much evidence we har-
ness at the planning stage, we cannot
Take an iterative accurately predict how or when things
approach will change as a result of our actions.
The strategic planning process has a Instead, the path towards the change we
general logical flow from one step to the want is emergent. In these cases, results
The strategic other. Yet at each step, we will have new frameworks and theories of change are
planning process information and insights that may shift best seen as compasses rather than
has a general maps. That is, we have an idea of our
or refine the outcomes of the previous
logical flow desired direction, but we can’t know in
steps. Don’t be afraid to go back and
from one step
make changes to your earlier work. advance exactly how to get there. As we
to the other
take action, the way forward unfolds.
For example, when you carry out a We notice what is working, learn from
causality analysis (described in Step 1), difficulties, and take advantage of
you may see that the problem you ini- opportunities as they emerge. In sum,
tially chose to address is just a symptom we learn and adapt and change the plan
of a deeper problem. Take the opportu- throughout programme implementation,
nity to select that underlying cause as adjusting as we go.
the issue your intervention will tackle.
Similarly, your analysis may shift as you
consider how the causality analysis will In these cases
change in the event of likely shocks or results frameworks
hazards to children and women. Expect and theories of
to have several iterations (versions) change are best
of key design tools such as the results seen as compasses
framework or theory of change narrative. rather than maps
Keep in mind that the value of such tools
is as much in the process of developing
them as in the final product.
KEY STEPS IN STRATEGICALLY

PLANNING FOR RESULTS
This chapter will take you through nine steps (see Figure 2.1) towards
strategically planning for a country programme, sector programme or project.
Figure 2.1. Nine steps in strategically planning for results
1 2 3 4 5 6 7 8 9
UNDERSTAND PRIORITIZE DEVELOP DEFINE ALIGN ASSESS DRAW DEVELOP ASSESS

the situation issues a Theory desired RESULTS, assumptions it all a Evaluability
of Change results Strategies & risks together monitoring
and Funding plan
STEP 1. Identifying deprivations

UNDERSTAND and rights violations
THE SITUATION Because UNICEF’s mission is to help
The first step in strategic planning is to societies progressively realize children’s
understand the context in which we wish rights, the situation we need to under-
to intervene. A solid understanding of stand relates to what is hampering
the current situation for children and how progress. UNICEF’s equity focus calls
it is likely to evolve is essential to iden- for special emphasis on the most dis-
tifying what we want to change about advantaged or deprived groups. This
it, how and with whom. To understand requires understanding not just which
the situation and determine the child rights are not being realized, but who is
rights issue(s) we want to address, we most deprived, vulnerable or at risk. To
need to identify the deprivations and assess this, we can use data and analysis
unfulfilled rights of children, and espe- at the country level, such as Multiple
cially to explore their causes. Five lenses Indicator Cluster Surveys (MICS),
can help us develop an understanding Demographic and Health Surveys (DHS)
of causes in order to better tailor and sector-specific analyses.
effective responses.
Because national averages can mask
inequalities, it is important to look at dis-
aggregated data to better target the most
disadvantaged groups. For example, in Analysing causality

certain areas urban children may have
Once we have identified the child rights
better access to education than rural
problem UNICEF would like to address
children, or boys may have better health
and which children are most affected by,
outcomes than girls.
it is important to examine the causes
UNICEF will also want to assess of that deprivation or unfulfilled right.
overlapping deprivations in order to This involves probing beyond immediate
better address them. causes to determine the most important
underlying and structural causes, as
For example, a school-aged child depicted in Figure 2.2. Repeatedly asking
‘why’? helps us move from immediate to
suffering from malnutrition may have underlying and structural causes.
difficulty learning, be more likely to
Digging down into underlying and
drop out of school, and therefore be structural causes enables us to address
more vulnerable to child labour. the main causes of a problem and not
Figure 2.2. Levels of causes
KEY CHILD A child right not respected, protected
RIGHTS ISSUE or fulfilled
WHY?
Because...
...IMMEDIATE Most apparent and closely

CAUSES connected cause
WHY?
Because...
...UNDERLYING For example: a shortfall in social

services, lack of access, harmful
CAUSES beliefs and practices
WHY?
Because...
For example: social organization,
...STRUCTURAL policies, inequitable distribution
CAUSES of resources, governance, political

issues, culture
just its symptoms. It also allows us to key stakeholders) to gaining insight

design strategic responses that can into the multiple causes of a child rights
address the issues in a lasting and issue and the relationships among
effective way. causal factors.
Often depicted in graphic form with The causality analysis can be carried
arrows indicating a causal relationship, out as a participatory group exercise
a causality analysis identifies and clus- with key stakeholders, using cards,
ters multiple causes and issues into markers and masking tape on the wall.
patterns of relationships. It is sometimes It should harness the causal analysis
called a ‘problem tree’ (even though, included in the situation analysis as well
as in Figure 2.3, it often shows only the as additional studies and other research
roots of the tree). It provides a visual, material, where applicable.
participatory means (when involving
Figure 2.3. Tool A: Causality analysis
5,000 children from ethnic minority X in province Y

MANIFESTATION
work more than 9 hours a day in local factories
Laws and policies

Vulnerable children
that prohibit the
from ethnic minority
IMMEDIATE CAUSES employment
X in province Y
of minors are
are not reached by
incompletely
social workers Child labour is a
implemented
socially accepted
form of increasing
family income
Limited human Limited scope
resources for of centralized
UNDERLYING CAUSES
implementation of child and social
laws and policies protection system
Poverty
Low public
Ineffective tax collection and lack widespread
awareness of
ROOT CAUSES of political will to divert more among
consequences
resources to child protection ethnic
of child labour
minorities
Five lenses for The UN ‘Common Understanding’2 of a

analysing causality human rights-based approach to pro-
gramming calls for “assessment and
Five lenses can be of great support
analysis in order to identify the human
in carrying out an analysis of why a
rights claims of rights holders and the
child’s right is being deprived. These
corresponding human rights obligations
lenses include:
of duty bearers, as well as the imme-
1. human rights; diate, underlying, and structural causes
2. gender; of the non-realization of rights.” It also
calls for assessment of “the capacity
3. equity; of rights holders to claim their rights,
10 determinants of
4. and of duty bearers to fulfil their obliga-
the coverage of proven tions,” in order to develop corresponding
interventions; and strategies to build these capacities.3
5. risk-informed analysis, 2. Gender

specifically analysis of likely
threats, hazards and shocks Identifying gender gaps is essential
with an impact on children to UNICEF’s equity-focused agenda
and women. for accelerating progress towards
rights realization among the most
The quality of a causality analysis will deprived children. Are boys and girls
determine the soundness of strategic enjoying the same rights, resources,
planning and ultimately the effectiveness opportunities and protections? Are
of the intervention. These lenses can they facing different types of rights
bring greater breath, depth and rigour violations? Do girls and women have
as one explores the deeper causes that a equal agency over decisions that affect
programme aims to address. them? Sex- and age-disaggregated
data and gender-responsive data col-
1. Human rights lection methods are important tools for
Achieving results (such as the gender mainstreaming.
Sustainable Development Goals) is
essential to realizing the human rights Once key gender gaps have been
of women and children. This requires identified, applying a gender lens to the
understanding social attitudes and causality analysis means examining
behaviours as well as the governmental the influence of gender relations, roles,
frameworks, policies, programmes and status, inequalities and discrimination
resource distributions that contribute with regards to access to and control
to child rights violations. Only with an of resources at the household, commu-
understanding of those deeper causes nity and institutional levels. It implies
can UNICEF target systemic change in the examination of legislation, policies,
social and governmental arrangements behaviours and practices. A sound
so that they can work towards sustained gender analysis and systematic use of
realization of children’s rights. its findings throughout the programme
cycle should serve as a basis for • Key bottlenecks or barriers that are
improving results for girls and boys and preventing the most disadvantaged
advancing gender equality. from accessing proven interventions,
services or care practices that are
3. Equity demonstrated to reduce deprivations
Applying the equity lens to causality
analysis means seeking to understand 5. Risk-informed analysis
the underlying and root causes of ineq- Taking a risk-informed approach requires
uity. Why are certain population groups first examining risks related to disaster,
being deprived of basic resources, oppor- climate change, socio-economic or
tunities and influence over decisions political instability and conflict that could
that are available to other groups? What result in child deprivation and rights
are the sources of discrimination and violations. Specifically, this means iden-
exclusion? Applying this lens is essential tifying which hazards, threats and shocks
to fulfilling UNICEF’s aim of reducing are most likely and would have the most
disparities and improving outcomes for significant impact, where geographically
disadvantaged groups. With information they would hit and who would be most
on the causes of inequities, UNICEF is vulnerable, and what the specific impacts
better equipped to ensure that the most would be. This entails looking at the cau-
marginalized children have access to ser- sality analysis of child deprivations and
vices and protections, and the conditions rights violations and asking what would
necessary for their rights to be realized. be different in the event of a hazard,
threat or shock.
4. 10 determinants
of the coverage of Applying the risk lens to the causality
proven interventions analysis then involves seeking to estab-
In an effort to strengthen its equity lish how the shocks and stresses could
focus, UNICEF has identified 10 condi- impact or interface with underlying vul-
tions or ‘determinants’ that often create nerabilities and deprivations. It considers
bottlenecks or barriers to full coverage available capacities and those needed to
of services for children, particularly the manage possible shocks and stresses. It
most disadvantaged (see Table 2.1). The also examines the roles that individuals,
MoRES (monitoring results for equity) groups and/or institutions could play in
framework serves as a tool for designing reducing either the hazards or shocks
equity-focused programmes. It can themselves, or their negative impact, and
also be used as checklist to sharpen the what capacities they would need to do
causality analysis and ensure that all so. Applying such a lens allows UNICEF
potential causes are considered. It is to develop programmes that strengthen
effectively used to assess: institutions’ and communities’ resil-
• Key causes of deprivation or ience and response to risks, whether
non-realization of rights through disaster risk reduction, climate
change adaptation, or conflict-sensitive
programming and peacebuilding.
Table 2.1. Tool B: Monitoring results for equity –

A 10 determinant framework4
DETERMINANTS DEFINITIONS
Social norms Social rules of behaviour that are mainly driven by
social pressure
Legislation/policy Adequacy of laws and policies at national and
ENABLING subnational levels
ENVIRONMENT Budget/expenditure Allocation & disbursement of required resources at
national and subnational levels and efficiency of use
Management/coordination Clarify of roles and accountabilities and mechanism
for coordination/partnership
Availability of essential commodities/ Essential commodities/inputs required to deliver a
inputs service or adopt a practice
SUPPLY
Access to adequately staffed services, Physical access (services, facilities, information,
facilities and information human resources)
Financial access Ability to afford the direct and indirect costs of
using services and adopting practices
Social and cultural practices Individual beliefs and practices of both providers
and beliefs and populations that may be widely shared
DEMAND
but are not mainly driven by ‘social pressure’
or expectations
Timing & continuity of use Timeliness/completion/continuity in use of services
and adoption of practices
Quality Adherence to required quality standards (national
QUALITY
or international norms)
See UNICEF, The Determinant Analysis for Equity Programming, August 2014, pp. 8−10, for a more detailed
description of each of the 10 determinants.
Other key resources

UNICEF Division of Policy and Strategy, Guidance on Conducting a Situation Analysis of
Children’s and Women’s Rights, 2012, pp. 11−15.
UNICEF, Programme Policy and Procedure Manual, section 3.3, ‘Causal Relationships – Getting
the Analysis Right’.
UNICEF, Child Protection Resource Pack: How to plan, monitor and evaluate child protection pro-
grammes, 2015, pp. 74−76.
UNICEF, ‘Technical Note: Emergency risk informed situation analysis’, 2012, pp. 3−4.
UNICEF, ‘The Determinant Analysis for Equity Programming’, August 2014.
UNICEF, Guidance Note on Preparedness for Emergency Response, 2017.
STEP 2. the most appropriate responses.

Prioritization is facilitated by data on
PRIORITIZE ISSUES
key indicators for children, which enable
FOR ACTION UNICEF to determine the magnitude and
Along with understanding the situation severity of a deprivation. Key references
that we seek to change, we need to for prioritization at this level would be
strategically select the priority issues that the Convention on the Rights of the Child
UNICEF will address through its pro- (CRC), which lays out the rights that all
gramming. Resource constraints mean children should enjoy. Any shortfalls then
that UNICEF simply cannot address all could become a focus for action.
child deprivations in a given context.
In another instance, once a causality
A well-developed situation analysis, and analysis has been developed and there is
a systematic prioritization process, will an understanding of the different causes
allow for more strategic choices about of a particular problem, a programme
the results you will aim for and the strat- officer might decide to focus on one
egies you will employ to achieve them. stream of causes, as opposed to others.
Too often programmes read like a wish This could be for specific reasons, such
list with no hierarchy or strategic focus. as the availability of resources to act on
We are also sometimes tempted to select those causes, the programme officer’s
lines of action because they are what we knowledge of and track record in dealing
already do or because they fit with the with such situations, the understanding
latest development fad. of other development actors or a combi-
nation of reasons. As a stream of causes
A vital way to improve impact is to
are developed and strategies identified
clearly identify a few key strategic areas
to address them, specific interventions
for intervention that are likely to be
identified as a result might also be
game-changers. This kind of prioritization
prioritized over time.
process can take place at different levels,
such as the country programme level, the
sectoral level, or the intervention level. Funnelling priorities
through five filters
Prioritization is evidence-based,
participatory and iterative. In other words, To support a sound prioritization process,
it is best achieved through a consultative you can use the prioritization funnel
process that hinges on the best available with five key filters illustrated in Figure
information. This does not happen in one 2.4. This will help you determine which
sitting. The prioritization process occurs issues to focus on in your programming.
through several rounds as thinking is The tool asks you to consider issues
sharpened, options considered and the through five filters, to see whether
potential for success assessed. each issue ‘passes’ through the filter.
This analysis could be undertaken in a
You might use prioritization initially to participatory manner by posting a visual
determine which deprivations to focus on the wall, writing each issue on a card,
on in the development of a causality and then selecting the issues that pass
analysis, since it will help you devise through each successive filter.
Figure 2.4. Tool C: The prioritization funnel with five filters

UNICEF cannot address all deprivations. It needs
to prioritize based on its comparative advantage
using five key filters:
SHARPENING FOCUS
1
Criticality of national challenges
and inequities
2
Mandate: Strategic plan, alignment
with global/sectoral priorities
3 Position to act better than other partners
4
Capacities and resources (human, financial,
knowledge, technology, partners)
Lessons learned, knowledge of what
5
works and what does not
Priority issues to be addressed by UNICEF
FILTER 1. of the Child, the UNICEF Strategic Plan,

Criticality of problems Core Commitments for Children in
Make choices based on evidence of Humanitarian Action, Gender Action
the persistence, severity and scope Plan, the Convention on the Elimination
of the issue or deprivation and its of All Forms of Discrimination against
consequences on affected population Women (CEDAW), the Convention on
groups. Consider multiple impacts of the Rights of Persons with Disabilities,
overlapping deprivations as well as the global and sectoral priorities such as
criticality of the problem in the event the Sustainable Development Goals, the
of disasters, climate change, conflict or Global Partnership for Education, etc.
other shocks.
FILTER 3.
FILTER 2. Complementarity
Alignment with UNICEF’s mandate with what others are doing
Issues to work on should align with Consider the strengths and weaknesses
UNICEF’s mandate. These issues should of partners and key actors, their inter-
be consistent with UNICEF’s Mission ests, and their programmatic and
Statement, the Convention on the Rights geographic areas of action. A mapping
of partners, stakeholders and an analysis would like the current situation related
of strengths, weaknesses, opportunities to that child rights issue to change, and
and threats (SWOT) will help you identify how we think we can help that change
opportunities and strategic partnerships to come about. This thinking about what
and enable you to make a decision change is desired and how it might occur
about where to intervene based on the is the foundation for strategic planning.
comparative advantage of other actors.
An adequate theory of change builds
FILTER 4. on an accurate analysis of the existing
Alignment with UNICEF’s situation (see step 1) and evidence of
comparative advantage how change happens in that context. An
understanding of causalities – as viewed
Consider: through the lenses of rights, gender,
• UNICEF’s financial and human equity, the 10 determinants and risk
resources, technological and orga- – establishes a foundation for the devel-
nizational/operational capacity and opment of a sound theory of change. A
structure to act good situation analysis also recognizes
elements of context that are especially
• Value for money and efficiencies
difficult to predict because they are fluid
• Track record that positions UNICEF to and unstable. In some cases, a situa-
act more effectively than others tion analysis will be about reframing a
problem as a potential opportunity. A
• UNICEF’s capacity to consider and
address risks adequately. theory of change must reflect and explain
such contextual complexities.
FILTER 5.
Application of lessons learned What is a theory of change?
around what works A theory of change is an ongoing process
Consider the results of research and of reflection to explore why change is
evaluations for evidence of tried and needed and how it happens. For UNICEF,
tested interventions and approaches a theory of change presents the broad
that have worked in addressing vision of what results will be achieved
bottlenecks and barriers. and how they will be achieved. It articu-
lates the theories and assumptions that
STEP 3. underpin the anticipated change process
DEVISE A THEORY OF CHANGE through which inputs and activities are
converted to or lead to identified results
Having selected a priority child rights
at the output, outcome and impact levels.
issue or deprivation that we wish to
address, and having developed an under- A theory of change is a structured
standing of the manifestations of that thinking process that allows stakeholders
issue as well as its causes, we can begin to formulate more realistic goals, clarify
to develop a theory of change. In simple accountability and establish a common
terms, this involves identifying how we understanding of the strategies to be
“Every programme is packed with beliefs, assumptions and hypotheses about how
change happens – about the way humans work, or organizations, or political sys-
tems, or eco-systems. Theory of change is about articulating these many underlying
[causality-related] assumptions about how change will happen in a programme.”
– Quote by Patricia Rogers in: Isabel Vogel for the UK Department for International Development,
‘Review of the Use of “Theory of Change” in International Development’, 2012
used to achieve results. Since all infor- An encompassing theory of change

mation relevant to the success of a supports sound programme
programme is rarely known at the stra- design, including:
tegic planning stage, theories of change • Prioritization of programme areas,
allow for the formulation and testing of formulation of results, and articulation
hypotheses about how change is likely to of the interventions needed to bring
occur, and how best to catalyse it. They about the desired change
introduce a level of experimentation
• Clarification of programme boundaries,
and learning to programme design and
articulating where the programme sits,
implementation. They also draw from an
what other areas it interacts with, and
understanding of actions that are known
how it is influenced by its wider context
to have worked to produce change.
• Adequate attention to outputs and
outcomes that are beyond the direct
What purposes do
influence of the programme but that
theories of change serve?
are critical to the programme’s success
Theories of change are critical to RBM and its potential to make a difference to
since they: the main problem
• Ensure that the programme leads to
tangible results that add up to the • Definition of performance measures,
desired change indicating how progress on results will
be ascertained
• Present an easy-to-understand
vision of how the desired results will • Identification of strategies for translating
be achieved inputs into activities and then to results,
based on the understanding of their
• Clarify programme logic comparative impact, the specific
bottlenecks to be addressed, existing
• Identify appropriate participants and
partners critical to results achievement knowledge of what works, and consider-
ations of feasibility and sustainability
• Enable organizations to assess their
contribution to change • Explicit identification of assumptions
about how outputs will turn into
• Help you prepare for effective intended outcomes, considering pre-
programme monitoring and evaluation. conditions necessary for success and
the potential of alternative strategies
• Identification and involvement of disasters, conflict, epidemics or eco-

appropriate participants and partners nomic downturns, whether through
critical to the problem and to achieving mitigation measures or appropriate
the desired results monitoring of those risks beyond the
scope of the programme to address.
• Consideration of how to address risks
to children and women such as natural
Steps to creating a theory of change
Identify Conduct a Identify Bring all Write a

change backwards the pathway together narrative
mapping
STEP 1. STEP 2. STEP 3. STEP 4. STEP 5.

Identify the desired Conduct a Identify the pathway Bring it all together, Write a narrative
change. ‘backwards mapping’ or hypothesis to create a visual of the that can be used
to identify the move alongside the change and iterate. to summarize the
conditions necessary conditions to reach various moving
to achieve that the desired state. parts of your theory
desired state. of change.
The process
Theories of change may be developed “for any level of intervention – a project, a
programme, a policy, a strategy or an organization.”5 Related terminology that could be
used for such an exercise might be a conceptual framework, a programme vision or a
logic model.
An effective theory of change is country- or situation-specific, articulates a strategic

vision for reaching a desired result, and makes explicit how one level of results leads to
another. The process of developing a theory of change is richer when stakeholders are
involved, allowing them to bring to bear their experience, knowledge and insights on
how change effectively happens.
Wherever a theory of change is applied, it is important to note that its development

is not likely to happen in one sitting. However it is approached, the development of a
theory of change is an iterative exercise.
Creating a theory of change from an approach such as the one described above enables
the consideration of perspectives without the feelings of being tethered that can occur
with developing logic models or results chains.
For instance, using the ‘why? because…’ formula from the causal analysis (see Figure
2.2) and the reverse ‘if...then’ logic, one can move from the desired state and map out
the conditions necessary for that change to happen. To take an example: The causal
relationship that “child labour is a socially accepted form of increasing family income
because…there is low public awareness of the consequences of child labour…” can be
reversed into the theory of change that “if public awareness of the consequences of
child labour is heightened, then the social acceptability of child labour will decrease.”
The process
Developing a theory of change is a reflective process. It can be messy, but free of
jargon, enabling the consideration of pathways to change by knowledgeable stake-
holders. This process may be even messier when mapped out for complex contexts
where risks related to disaster, climate change, socio-economic instability or conflict
are high; it may require working out the ‘if…then’ logic in phases, first for the current
situation, and then layering over an adjusted analysis taking into consideration most
likely scenarios, then testing which results chains remain solid and which require
adjustments in sequencing or different pathways.
Once the pathway has been mapped out, it becomes easier to develop a strong results
chain with ‘SMART’ (that is, Specific, Measurable, Achievable, Relevant and Time-
bound) results and indicators. This may then warrant revisions to the initial theory of
change. Hence a theory of change may be elaborated prior to the development of a
results chain (from outputs to outcomes to impact), or used to refine one that is already
developed. When used to review an existing results chain, it allows for validation of the
‘if…then’ logic.
A technically sound theory of change relies on adequate research and acquiring the
knowledge and perspectives on how change happens in a specific country context. It
also relies on expert opinion and perspectives about what is likely to work. A sound
process implies that there are opportunities for key stakeholders to participate in the
development of the theory of change. External facilitation may help reach agreement
and manage diverse perspectives.
Selecting strategies to achieve the desired change

A key part of the theory of change are the hypotheses or assumptions about which
strategies (a combination of interventions and activities) will achieve the desired results.
Strategies should be selected based on evidence of what works:

• Look to evidence-based literature and analysis, particularly programme documents,
evaluations, peer-reviewed literature, research-based general theories of how change
happens at the individual, organizational, community and policy levels, and other
robust documented evidence of what works.
• You may find the MoRES bottlenecks and strategies database, or the corresponding
lists of bottlenecks and strategies by outcome area, to be useful resources as well.
They catalogue evidence of what works to address bottlenecks to coverage of proven
interventions for children.
• Where no robust evidence-based theory of change is available, start with a hypothesis

of ‘what works’, based on the available evidence, and then further refine and validate
it through programme implementation and ongoing research and studies. This does
require, however, solid and meaningful monitoring and evaluation of all levels of
results (output, outcome, impact).
• You can develop theories of change about a planned or existing programme by

articulating stakeholders’ mental models about how it will work (or how it is
working). To do so, you might ask questions such as: “How would life be better for
children in 5 to 10 years if this programme worked well?” and “What about the pro-
gramme will have made it effective in contributing to that change?”
Other key considerations for selecting strategies include:

• Knowledge of the national context
• UNICEF’s comparative advantage, which translates to the mandate and ability to act
• Nature of available human and financial resources
• Considerations of feasibility and sustainability.
Strategies should also be risk-informed. That is, they should consider likely disasters,
disease outbreaks, economic shocks, effects of climate change or conflict, the impact
they will have on children and women and how these shocks and their impacts might
be reduced. This includes thinking through how priority results and necessary path-
ways will shift in the event of a humanitarian crisis. Ideally, the pathways identified in
the theory of change build agility so that services and systems can shift to respond. At
the same time, in the context of humanitarian response, strategies should build in lon-
ger-term sustainability and the resilience of populations to further shocks.
The products
The products of a theory of change are often presented as a combination of:
• A graphic that demonstrates how results will be achieved through a multi-year series
of actions (see Figure 2.5)
• A short written document that describes each of the elements of the theory of change
and how they fit together.
Other key resources

Funnell, Sue C., and Patricia J. Rogers, Purposeful Program Theory: Effective use of theories of
change and logic models, Jossey-Bass, 2011.
Valters, Craig, ‘Theories of Change: Time for a radical approach to learning in development’,
Overseas Development Institute, London, 2015.
Vogel, Isabel, for the UK Department for International Development, ‘Review of the Use of
“Theory of Change” in International Development: Review report’, April 2012.
MoRES SharePoint site bottlenecks and strategies database
Figure 2.5. Tool D: Theory of change
ACTIVITIES SHORT-TERM MEDIUM-TERM LONG-TERM

(INPUTS) CHANGES CHANGES CHANGES
The joint At the community level, key steps in the Strengthened and explicit
programme process of collective social change are: community commitment
2 to ending FGM/C, as, for Changes in
contributes to • Strengthened community education,
example, evidenced in public the relevant
this process dialogue and decision-making
declarations social norms
of change • Engagement of traditional and underlying
through the religious leaders the practice
following • Engagement of the media The commitment to abandon 7
of FGM/C
types of the practice has been made by
• Engagement of reproductive
activities: a critical mass of people across
healthcare providers and other
communities and across 8
Creating, influential actors
borders
coordinating,
maintaining Across communities, collective social 3
networks and change is accelerated and sustained by: A more enabling national
partnerships • Organized diffusion of the decision to environment, which includes: Changes in
abandon the practice among intra- • The existence and individual
Advocacy,
marrying groups enforcement of a legal and
policy
• Strengthened sub-regional dialogue framework against FGM/C collective
dialogue,
and exchange • The existence and behaviours
resource
4 implementation of evidence- as regards
mobilization • Engagement of the media
based policies, strategies, FGM/C
Capacity At the national level, an enabling programmes and plans
development environment is built/strengthened by: supporting the abandonment
(e.g. training, 1 of FGM/C in relevant sectors 9
• Coordinated and systematic
technical (including education, health,
intervention strategy
support, child protection, etc.)
system • Legal and policy reform 5 • The existence of a visible,
building) • Strengthened capacities of national well-informed empowered Changes
stakeholders (capacities and resources) in FGM/C
Support
• Effective media campaigns and other national movement for the prevalence
South-South
forms of public communication abandonment of FGM/C leading to the
cooperation
• Accurate data and relevant, culturally eventual total
• A supportive public opinion
Support to sensitive knowledge of the practice abandonment
(including opinion leaders)
community of the
• Partnerships among stakeholders
education, practice
dialogue and More enabling global and
At the regional and global level, regional environments can
community- an enabling environment is build/
led initiatives support efforts towards the
strengthened by: abandonment of FGM/C at the
Data and • Increased awareness, and buy-in community and national level.
knowledge and commitment among regional This includes a strengthened
generation, and global stakeholders in favour of 6 global movement towards
management the abandonment of FGM/C (and the the abandonment of FGM/C
and circulation specific approach to it) with adequate political
(including • Strengthened knowledge production commitment, resources and
M&E) and circulation knowledge.
Context assumption: Joint programme taking place in favourable country environments for work on accelerating
change, e.g. due to some previous work on FGM/C; some public support; and government commitment
Source: United Nations Population Fund and United Nations Children’s Fund, Joint Evaluation, UNFPA-UNICEF
Joint Programme on Female Genital Mutilation/Cutting: Accelerating change, 2008–2012, Final report, volume II,
UNFPA/UNICEF, New York, 2013, annex 13, p. 192.
STEP 4. What are results?

DEFINE DESIRED RESULTS A result is a describable or measurable
Once you have developed an initial change in a state or condition that
theory of change that explains the trans- derives from a cause-and-effect relation-
formation your programme intends to ship. The changes can be intended or
achieve and the pathways to achieve it, unintended, positive and/or negative.
the next step is to define your desired
The United Nations articulates three
results. This may lead you to go back and
levels of results: outputs, outcomes and
revise your initial theory of change, since
impact. Each level of results, broadly
the results statements will make it easier
speaking, corresponds to a different level
to see and assess your assumptions
of change.
about how one level of results will lead
to the next.
What are results chains?
Formulating sound results is essential to
A development programme is often
results-based management: It requires
supported by a results chain – the
us to clearly articulate the changes we
causal sequence of how results will
envision so that we can observe or mea-
be achieved. The chain begins with the
sure whether we are moving in the right
necessary inputs. It then explains how
direction. However, often our results
these inputs will enable the realization
statements are so complex and ambi-
of certain activities and the achievement
tious that they become hard to measure.
of outputs. It culminates in a description
Alternatively, our ‘results’ statements
of outcomes and impact. These results
denote activities or objectives rather than
form a hierarchy and are logically linked
measurable changes or actual results.
through a cause-and-effect relationship.
This section will help you formulate
A logically coherent chain of sound
sound results that reflect measurable
results, based on credible theories of
change. It will also help you understand
change (see Step 3), is the foundation
the differences between the three levels
for solid programme planning, imple-
of results (output, outcome and impact)
mentation, monitoring, evaluation
and to clarify logical linkages along the
and reporting.
results chain.
The significance of each level of the
results chain is explained in Table
2.2, which also includes examples of
sequences of related results.
Table 2.2. The results chain: Definitions and examples

CHAIN OF SIGNIFICANCE
RESULTS FOR UNICEF EXAMPLE 1 EXAMPLE 2
• Long-term changes in conditions for Increased Decreased levels
identifiable population groups produced completion of child poverty
by a development intervention rates in primary
• Relate to the SDGs and international and national education in
development goals crisis-affected
IMPACT areas and for the
• Can be economic, socio-cultural, poorest quintiles
institutional, environmental
• For UNICEF, increased respect, protection
and fulfillment of the human rights of children
• Results are primarily nationally owned.
• Medium-term changes in behaviour or performance Increased Increased
of targeted institutions or individuals government provision
• Logically expected to occur once the development budget of focused
intervention has achieved one or more outputs allocation on antenatal care to
subsidies and adolescent girls
• For UNICEF, improved coverage and quality of proven bursaries for
OUTCOMES interventions for children the education
• Practices, systems and societal norms favourable to of girls in
the well-being of children rural areas
• Shared among development partners. Individual
development actors can rarely achieve these on their
own. UNICEF contributes to these results.
• Shorter-term changes in capacities of individuals or Policy on Adolescents
institutions (including skills, resources, motivation and free primary and youth have
authority to undertake a specific action) education increased
• Availability of new products, services enacted access to youth-
friendly services
OUTPUTS • Acquired knowledge or skills of service providers, access
to information
• Causes of bottlenecks addressed
• High degree of attribution to UNICEF action; high degree
of accountability.
• Actions taken or work performed through which inputs, Consultations/ Creation of
such as funds, technical assistance and other types of drafting of an youth-friendly
ACTIVITIES resources are mobilized to produce specific outputs education policy corners in
• Carried out by UNICEF, all levels of government and communities
implementing partners.
• The financial, human, material, technological Financial resources, human
and information resources used for development resources (such as technical
INPUTS
interventions (including money, time, personnel expertise)
and equipment).
Developing results chains who are developing the chain of results.

If there are gaps in the chain, they should
To develop a chain of results, build on
be filled, either by UNICEF or by other
the initial theory of change you devel-
actors with whom UNICEF can coordi-
oped in Step 3. Developing a results
nate, advocate and work synergistically
chain is an iterative process of checking
(see Figure 2.6).
the ‘if, then’ logic, reviewing and
improving on the results statements at It is important to understand the ‘cause
the various levels of the chain. and effect’, ‘if, then’ reasoning behind
the results chain. The chain includes
Each level in the chain of results should
an impact statement as a response to
consider all the results that are both
the development issue, challenge or
sufficient and necessary to achieve
problem. It shows that if such an impact
the next level of results, and take into
is to be achieved, then certain previous
consideration underlying causality
results are needed, and if results at this
assumptions and risks (based on the
level are to be attained, then another
causality analysis in Step 1). The way to
set of previous-level results is neces-
determine if the necessary and sufficient
sary. This type of reasoning is useful to
results have been identified is to refer to
uncover a continuum of results from
evidence of what works. Such evidence
the highest to the lowest order; all are
is available in research and evaluation
required to achieve the desired impact,
or from the experience of stakeholders
as shown in Figure 2.7.
Figure 2.6. Key principles of results-based planning
IF A PROBLEM is caused
by 3 CONDITIONS...
UNICEF may address ...while other actors
just one of them... address the others
1 2 3
...all 3 CONDITIONS must be addressed
Figure 2.7. Building a results chain

using the ‘if-then’ logic of the theory of change
then
IMPACT
if
OUTCOME
then
if
OUTPUT
then
ACTIVITIES
INPUTS if
The reverse logic can also be applied to A results chain should include all the
verify whether a programme is on the expected outputs of a programme that
right track. If certain inputs are provided lead to all the expected outcomes of that
and activities implemented, will they lead programme that contribute to the desired
to the expected results? Will the first level impact. Two examples are provided in
of expected results together contribute to Figures 2.8 and 2.9.
the second level of expected results? Will
all these results together eventually have
the desired impact?
The reverseesrever
logic can also be applied to
verify whether
a programme is on the right track.
Figure 2.8. One example of a results chain6
More children complete quality primary education, meeting grade standards

IMPACT
in crisis-affected areas and for the poorest quintiles in country X
1. 2. 3.
Primary schools for the poorest More children are participating in Children receive
children benefit from increased primary education two meals at school
OUTCOMES
government budget allocation in districts most
or subsidies affected by the
food crisis
1.1 1.2 2.1 2.2 3.1

Re-allocation Improved Improved Primary school Increased funding
of public government mechanisms children for expansion
education policy on to monitor and their of existing food
spending free primary and apply families and programmes
OUTPUTS towards education sanctions communities run by non-
primary (including to primary have increased governmental
education subsidies, schools that awareness organizations
(subsidies and bursaries and charge fees of their right (NGOs)
bursaries) sanctions) to fee-free
education
1.1 1.2 2.1 2.2 3.1

Advocacy for Technical Technical Public Management of grant
the government assistance for assistance with awareness to local NGOs to
to re-focus the development establishment campaign expand their school
public education of improved of roles, (through posters feeding programmes
spending policy (for responsibilities in the schools,
ACTIVITIES
(for example, example, models and timelines for communications
evidence on from other monitoring and to parents or via
efficacy of countries of sanctions radio and SMS
subsidies and what works, [text messaging])
bursaries) budget planning
support)
Figure 2.9. Another example of a results chain
Reduced maternal and newborn mortality and complications

IMPACT
(target population: rural adolescent mothers)
1. 2.
Increased provision of focused antenatal Increased provision of quality care during labour
care (including prevention of mother-to- and delivery
OUTCOMES
child transmission of HIV, intermittent
preventive treatment of malaria in
pregnancy, and supplementation)
1.1 1.2 1.3 2.1 2.2 2.3

Increased More Easier Nurses and Increased numbers Improved
access to patient- and more medical of primary competency
youth-friendly oriented discreet assistants care facility of health
services service access to have networks in rural personnel in
condoms increased areasprogrammes emergency
OUTPUTS authorization run by non- obstetric and
to perform governmental newborn care
certain organizations
obstetric (NGOs)
services
(such as
Caesareans)
1.1 1.2 1.3 2.1 2.2 2.3

Support for Support Technical Technical Financial Support for
creation of for training assistance assistance assistance to innovative
youth-friendly in patient- to change to change create primary care competency-
corners in oriented policy so policy and job facility networks based training
schools care condoms are descriptions programme
ACTIVITIES distributed in so that nurses for health
washrooms, and medical personnel
not only assistants
pharmacies can perform
certain
obstetric
services
Framing results in framework is often revised as more

rapid-onset or scaled-up details are known about the situation and
as humanitarian priorities and strategies
humanitarian response
evolve. In protracted humanitarian situa-
In a rapid-onset or escalation of a crisis, tions, there is an opportunity to integrate
response planning and the framing of a humanitarian and development con-
results chain takes place within the first cerns, with both immediate life-saving
days and is developed more fully within results and longer-term results that work
the first weeks. In developing strategies towards recovery and greater resilience.
and results chains, you may draw heavily
from: global experience and evidence on
deprivations and rights violations and
Formulating sound results
known effective strategies for immediate Formulating clear results is essential
response, UNICEF Core Commitments to effective RBM.
for Children in Humanitarian Action,
Results-based management invites
and advance analysis of likely scenarios
you to move from objectives, which
feeding into response plans, which are
express a good intention, to results,
ideally developed in a collaborative pro-
which articulate a measurable change.
cess at the national and inter-agency level.
An objective emphasizes the provider’s
In the actual response, this draft plan perspective and reflects an intent and
(including its results framework) is possible course of action (for example,
adapted based on the information avail- to promote birth registration).
able from the initial needs assessment.
In contrast, a result emphasizes the
The output-level results statements
perspective of the people/institutions the
are most often a simple adaptation
programme intends to serve and con-
of the commitments statements in
cretely articulates the direction of change,
the Core Commitments for Children,
or what will have been achieved by a cer-
based on context analysis and a needs
tain point in time (for example, increased
assessment. Full information about the
birth registration or more children have
situation and the needs of the affected
been registered).7 See Table 2.3 for
population and the scale of response
examples of objectives and results.
required may be limited. The results
Table 2.3. Objectives versus results

EXAMPLES OF OBJECTIVES (GOOD INTENTIONS) EXAMPLES OF RESULTS (MEASURABLE CHANGE)
To strengthen national capacities for preparedness Improved capacity of the Ministry of Social Services to
and response to emergencies prepare and respond to emergencies
To establish Teacher Resource Centres and set up Increased implementation of relevant, quality pedagogical
teacher upgrading programmes practices by teachers in seven municipalities
To support country X to adopt a child rights By 2015, improved monitoring, reporting and response for the
monitoring system realization of the rights of boys and girls in line with CRC and
CEDAW by the government of country X
There are two main ways to formulate Example: Increased prac-

sound results:
1. Place your change verb up front (see
tice of non-violent discipline
Figure 2.10). Do not include target among caregivers.
or expected date, which relate to the
2. Use the present tense to indicate the
indicators and would appear in your
change as if it has already happened
monitoring plan. This has the advan-
(see Figure 2.11). Include target date.
tage of allowing you to measure and
express the result at any point in time,
even if the direction of change is not Example: By 2018, ministries
what you expected (for example, there at the national level implement
was a decrease instead of an increase).
the juvenile justice system in a
Measuring this type of result does not
elicit a ‘yes’ or ‘no’ answer. manner that is more in line with
international standards.

that begins with a change verb
Additional
Verb What Who
indicating + changes + changes + specificity,
when
change
feasible
Examples: Examples: Examples: Examples:

• Increased • Knowledge • Individuals • Where
• Decreased • Skills • Communities (include geography)
• Improved • Motivation • Populations • By when
• Reduced • Coverage • Governments (include date)
• Adopted • Behaviour • Institutions
• Established • Models
• Used • Policies
• Integrated • Conditions
Source: Adapted from Bill and Melinda Gates Foundation, Quality Outcomes and Results
Frameworks, Guidance Note for External Partners, 2014.

using a present tense verb to indicate a desired future
Present Change in
Year by tense verb capacity, per-
Who Direction
which change
is expected
+ changes + indicating + of change + formance,
desired future conditions
state
Examples: Examples: Examples: Examples: Examples:
• By 2020 • Individuals • Experience • Increased • Knowledge
• By 2018 • Communities • Have • Improved • Skills
• Populations • Benefit from • Reduced • Motivation
• Governments • Are • Adopted • Coverage
• Institutions • Established • Behaviour
• Used • Models
• Integrated • Policies
• Conditions
Figure 2.12. provides a step-by-step illustration of how to formulate a results statement that is clear,
specific and focused on the desired change.
To strengthen The capacity of The capacity of The capacity of Civil servants

the capacity of civil servants civil servants in civil servants in in the four
civil servants to do X by the four poorest the four poorest poorest districts
to do X by undertaking Y is districts to do X districts to do X have increased
undertaking Y strengthened is strengthened is strengthened capacity to do X
by undertaking Y
All
Let’s use civil servants, We can take Now, let’s try
results language to everywhere? Can out information bringing the subject
emphasize the future you be more specific? that relates to either of change to the front,
condition we want Are there particularly strategy or activities. The and shifting from passive
to achieve. weak or under-resourced ‘how’ is not important to active language.
civil servants we to include in a result
should emphasize? statement.
Well-stated results satisfy the ‘SMART’ criteria laid out in Figure 2.13.
Figure 2.13. SMART criteria

The result is clearly stated and described in
S SPECIFIC
change language, with as much detail as possible,
leaving little room for confusion among different
programme partners.
An assessment is possible to decide whether the
M MEASURABLE
result has been achieved, if possible in a quantifiable
way. Qualitative assessments of results may
also occur.
The result can feasibly be attained by programme

partners through complementary efforts. All
A ACHIEVABLE necessary resources are budgeted for and allocated.

There are no major external factors, assumptions or
risks that threaten the achievement of the result.
The expected result represents a milestone, or
R RELEVANT intermediate result in the chain, leading to strategic

results for children and women.
The achievement of the result does not require an
T TIME-BOUND open-ended period. There is and expected date of

accomplisment. For multi-year results, suitable
indicators of progress should be defined.
Pitfalls to avoid in Wishy-washy, not a result

formulating results (for example: support provided
A number of pitfalls in formulating results
to improve….)
can get in the way of applying RBM:
Support to institutional capacity
Wordy, no change language, and building for improved governance
stated as an objective
To promote equitable economic
So general it could mean anything
development and democratic gover- (mixes an objective with an output)
nance in accordance with international
To promote sustainable development
norms by strengthening national
and increase capacity at the
capacities at all levels and empowering
municipal level
citizens by increasing their participation
in decision-making processes
Confusing means and ends
Too ambitious Strengthen the protection of natural
resources through the creation of an
Strengthened rule of law, equal access
enabling environment that promotes
to justice and the promotion of rights
sound resources management
Containing multiple results (for The checklist shown in Figure 2.14 will
example: delivery of services and support you in formulating or refining
results. Table 2.4 provides examples of
protection of rights) results statements at the output, outcome
The State improves its delivery and impact level.
of services and its protection of
rights – with the involvement of civil
society and in compliance with its
international commitments
Figure 2.14. Checklist for formulating results
Clarity on the level (output, outcome or impact) and accountability

SMART results, supplemented by indicators
Coherent results chains, applying ‘if-then’ logic
Uses change language that places emphasis on the subject of change
Considers equity, human rights and gender
as a clear relationsip with issues identified in Step 1
H
(Understand the situation)
Avoids known pitfalls in results formulation
Table 2.4. Examples of results statements

Note that each of the results below should also specify the target population
and the geographic district/region reached.
OUTPUT OUTCOME IMPACT

Health: Decreased measles vaccine Increase in number of children Decrease in under-five
stockouts lasting more than one month under 1 year receiving mortality rate
measles vaccine
HIV/AIDS: Increased number of girls, Increase in number of girls, boys, Decrease in new HIV infections
boys, men and women in humanitarian men and women in humanitarian among girls and boys under
situations are informed about situations who use HIV prevention 15 years
where to access basic health and and treatment services
support services (including access
to condoms and continuation of
antiretroviral treatment)
Water, sanitation and hygiene Increase in proportion of girls, Reduced incidence of
(WASH): Increase in number of primary boys, men and women using an water-borne illnesses
and secondary schools with safe improved source of drinking water
drinking water
Nutrition: Improved provision of infant Increase in exclusive breastfeeding Decrease in number of girls
and young child feeding counseling among children 0 to 5 months old and boys under age 5 who are
services moderately and severely stunted
Education: Improved inclusion of an Increase in number of children in Decrease in primary school-aged
emergency component in education humanitarian situations attending girls and boys out of school
sector plans and budgets formal or non-formal basic
education
Child protection: Increased availability Increase in percentage of children Improved education

of free birth registration under age 5 whose births are and health status
registered
Social inclusion: More explicit Increased social spending per child Decrease in number and
attention to child poverty and percentage of children living
disparities in government budget in extreme poverty
frameworks
Other key resources

Funnell, Sue C., and Patricia J. Rogers, Purposeful Program Theory: Effective use of theories of
change and logic models, Jossey-Bass, 2011.
UNICEF, ‘Guidance on the Development of Programme Strategy Notes’, 2016.
UNICEF, Core Commitments for Children in Humanitarian Action, 2010.
STEP 5. Essential budgeting-related elements

of strategic planning include:
ALIGN RESULTS,
• Considerations in budgeting for
STRATEGIES AND FUNDING child-focused outcomes at the
Once the results chain is elaborated, national level
and strategies identified, it becomes
important to consider the funding avail- • Crafting value-for-money strategies
able or likely to be mobilized to enable to be applied to deliver outputs
the achievement of the identified results. • Paying attention to value-for-money
Applying results-based budgeting princi- considerations, notably the effec-
ples to the programme’s design sets the tiveness, efficiency and economy of
course for achieving results with a view resource allocation and use.
to ensuring value for money.
Results-based budgeting is an important Budgeting for UNICEF-

facet of results-based management. For assisted programmes
UNICEF, results-based budgeting is the
Budgeting can be undertaken at
evidence-based process of allocating and
outcome, output and activity levels.
managing resources to achieve results.
Activity budgeting considers the costs
This kind of budgeting encourages
of inputs necessary to realize an activity,
efficiencies in resource allocation
such as the training of community health
and use by considering the costs of
workers. This may include a supply
achieving results and whether the same
component (such as training facilities,
(or greater) results could be achieved
catering, reproduction of the training
at lower costs through alternative
manual), technical expertise (develop-
implementation approaches.
ment of curriculum and training manual,
Applying results-based budgeting facilitation), logistics (transportation)
principles enables a programme and the participants (out-of-station
specialist to determine the resource allowance, etc.). Knowing the nature of
requirements for implementing an activities that are likely to be undertaken
intervention or strategies that will serve will facilitate the development of budgets
to achieve output results. Sound bud- at outcome and output levels.
getary application links specific results,
and their corresponding strategies Outcome budgeting
and activities, to actual expenditures
Estimating resources (technical,
through correct use of programme and
financial and human) to achieve
accounting codes.
impact- and outcome-level results are
often lengthy and complicated exer-
cises. Estimating resources to achieve
results at the outcome level will entail
working with government and other
partners to analyse current total resource of strategic plans (UNDAFs, Programme

allocations needed to realize a right, or Strategy Notes, Country Programme
a set of rights, for children. UNICEF’s Documents, etc.), there should be a
best role is to participate in exercises general understanding of the inputs
that advocate for attention to children required to achieve expected outputs
in national budgets. It requires encour- and outcomes. A budget and time
aging dialogue around the resources line required to deliver these results
needed to accelerate the realization of should be developed at this stage (see
children’s rights. Figure 2.15). Assumptions about future
costs can be based on historical informa-
Output budgeting tion on how results have been achieved
in the past, with an understanding of the
Once the initial level of ambition is
specific costs of undertaking activities in
agreed upon with government and
a given context.
other partners during the preparation
Figure 2.15. Aligning the budget with a strategy to deliver outputs
Country programme document

allocation at outcome level
Define out-
comes, outputs
and indicators
Identify
Reorganize strategies &
modalities
if over budget to achieve
outputs
Assess afford-
ability against Detail activities
budget envelope
Identify &
cost inputs:
staff, supplies,
Be mindful of value-for-money; consultants,
travel, cash
be prepared to defend choices
The alignment of results, strategies confident it can secure the necessary

and resource requirements is iterative. resources), will support the achievement
Adjustments can be made to any or all of results. This might require revising the
three of these elements until there is a outputs and strategies from what was
strong probability that identified strat- initially envisaged to a more affordable
egies (for which UNICEF is reasonably set (see Figures 2.16 and 2.17).
Figure 2.16. Devising a strategy and outputs:

An iterative process influenced by funding
• Outcomes to be achieved (national ambition)

OUTPUTS TO
Influenced by • UNICEF ambition and strategy
BE ACHIEVED
• What other partners are contributing
• Programming environment
• Attention to value for money
STRATEGY Influenced by • Expected funding
• Past experience
• Risks and assumptions
• Resources available
EXPECTED FUNDING Generally known • Resources to be mobilized
• Assumptions
Figure 2.17. Types of costs to consider when budgeting
UNIT COST X QUANTITIES
STAFF COSTS Salaries and entitlements
Travel and logistics Total

PROGRAMME
Technical and administrative assistance
(including long-term arrangements) Activities
cost of
COSTS
Supplies, including equipment achieving
Cash
output
OPERATIONS Rent, information technology services,
COSTS vehicles, security, etc.
Value for money Effectiveness

Influence of outputs on achieving
Value for money is the relationship
outcomes/impact
between the resources spent and the
results they buy, whether outputs, out- • Establishing a high-quality
comes or lasting impact. UNICEF tries programme strategy
to maximize the impact of the resources
spent to accelerate the realization of Figure 2.18 illustrates how the three
children’s rights. Greater requirements elements relate to each other in the
for transparency are driving the need for programme cycle.
more explicit documentation of actions
being taken to ensure value for money. Why be explicit about value for
money in strategic planning?
Value for money is traditionally broken
down into three elements: economy, UNICEF needs to pay attention to value
efficiency and effectiveness: for money to achieve the best results
possible for the resources invested.
Economy
Best price for inputs (staff, services,
• Documenting value for money is a key
element of the evidence needed to
supplies, etc.)
advocate for scale-up.
• Programme strategy choices – establish
needed inputs • With value for money in mind,
• Business processes to assure best price UNICEF’s working culture aims to
for procured inputs contribute as much as possible to the
realization of children’s rights with the
Efficiency
resources entrusted to it.
Achieving defined output through good
value inputs • When resources are tight, good value for
• Define realistic output results money will help deliver more for less.
• A high-quality programme strategy to • Increasingly, donors require statements

achieve output results on value for money from UNICEF in
proposals and donor reports.
Figure 2.18. Ensuring value for money in the programme cycle

Economy Efficiency Effectiveness
Money Inputs Process Output Outcome Impact
Cost-efficiency
Cost-effectiveness
Context is key in determining STEP 6.

value for money ASSESS ASSUMPTIONS
Value-for-money considerations must AND RISKS
always be context-specific and grounded
Once you have defined desired results
in the short-, medium- and long-term
(Step 4) based on your initial theory of
strategic objectives of a programme. For
change, it is important to assess internal
example, putting in place a pilot pro-
and external assumptions that would
gramme in a remote rural area may be
have to hold true for your results to
expensive. At face value, it may appear
be attained, as well as the internal and
to be a poor investment. Yet if it proves
external risks to achieving your results.
successful and can influence scale-up of
While the risk-informed theory of change
a national programme to remote areas,
is based on understanding risks that have
it may be a good value. Though it may
an impact on children and women, Step 6
be high risk, it has potentially excellent
scans a wider range of risks from the per-
value for money in the long-term. Even
spective of programme implementation.
within the narrower confines of the
day-to-day work in that remote location
pilot, value-for-money considerations Assessing internal and
should be explicit. Programme managers external assumptions
are encouraged to put value-for-money Internal and external assumptions are
discussions on the agenda for annual the variables or factors that need to
reviews and document any actions they be in place for results to be achieved.
have taken to improve value for money in They should be stated in positive lan-
the course of the annual work plan year. guage. If the assumptions hold true,
the expectation is that results will be
In sum, context is key when determining
achieved. A key assumption is that
value for money; comparing benchmarks
others will do and undertake actions to
across different programmes should
complement what UNICEF is doing if
be avoided.
output and outcome results are to be
achieved. This understanding informs
DISTINGUISHING INTERNAL VERSUS EXTERNAL ASSUMPTIONS

• Internal assumptions are related to programme implementation – for example, outreach workers
will go to the most remote villages.
• External assumptions are related to contextual factors that influence the programme – for
example, security conditions in programme areas will be stable.
Note that these differ from the causality-related assumptions/hypotheses in your theory of change.
Causality-related assumptions are about what leads to what and how – for example, peer counseling
will reduce risky sexual behaviour. Critically reflecting on those assumptions is a key part of the
theory of change process.
our prioritization, strategy development, Table 2.5 provides examples of possible

results formulation and management assumptions related to a programme.
of risks. Beside each assumption you will find
strategies to ensure that they hold
Assessing internal and external assump-
true so that your desired results can
tions serves as an important reality check
be achieved.
once you have defined your desired
results. If you examine those assump-
Assessing risks
tions and, based on your analysis, find
that they are unlikely to hold true, you Risks are potential events or occurrences
will need to redefine the results chain that could adversely – or positively –
accordingly. Identifying assumptions affect the achievement of results. Risk
may lead to the sharpening of strategies can mean both threats to and unex-
and reformulation of outputs to guar- pected opportunities for achieving
antee greater programme success. results. For example, the destruction
of a settlement in a natural disaster
Table 2.5. Examples of assumptions and how to deal with them8
EXAMPLES RESPONSE STRATEGIES

Assumptions internal to the government or UNICEF management performance
• Training materials developed on time • Improve internal management:
UNICEF supplies arrive on time Adjust plan to allow sufficient time for developing training
materials
Order supplies early
Assumptions to be researched before finalizing the programme design
• Private sector will cooperate • Conduct the necessary research and consultations before
Politicians are committed to gender equality proceeding
Assumptions that can be tested early in the programme
• Children will use latrines once constructed • Conduct a pilot before going to scale
Activities to encourage use are built into programme strategies
Assumptions that can be addressed by modifying activities or budgets
• Monitoring system in place • Put the monitoring system in place
Use of guidelines enforced Train supervisors in enforcing the guidelines
Good coordination among partners Facilitate good coordination
Expertise available Set aside budget for procurement of expertise
Major assumptions that can be influenced by modifying work plans and adding a clear advocacy agenda
• Favourable policy environment exists • Add initiatives and build a persistent and persuasive advocacy
Political commitment exists agenda to influence policies and political commitment
Funding available Approach donors before finalizing programme design
‘Killer’ assumptions assume too much or imply that a programme is likely to fail
• Achievement of a result where community • Re-think or abandon the programme. In such instances,
level buy-in is required, yet all evidence advocacy might be required to ensure buy-in prior to
indicates widespread hostility towards proceeding with the intervention
intervention within the community
could provide an opportunity to not serve the achievement of your

rebuild healthier, more sustainable expected programme results. Greater
infrastructure. reward often requires greater risk.
Risks can be of varying nature, • Anticipate and manage risk by

including internal risks, asso- planning: When developing strategies
ciated with weaknesses in and office work plans, designing or
organizational structures, reviewing programmes, or preparing
and others related more to for emergencies, identify possible risks
events or conditions of the to the achievement of expected results.
broader external environment Risks are more easily mitigated when
and context. they are identified during planning.
Managing risk means mitigating the • Recognize opportunities: Explore

threats – or capitalizing on the oppor- opportunities that may arise in support
RISK Perception •
tunities – that uncertainty presents to of expected results and assess the risks
RISK Assessment •
expected results. It also involves deter- related to such new interventions.
RISK Management •
mining when risks are acceptable and
should be monitored – for example, in Planning with risk in mind involves:
fragile contexts. 1. Identifying key risks for achieving your
desired results
Planning with internal and external risks
in mind can significantly improve your 2. Assessing their likelihood and the
programme design, grounding it in the impact they would have on your
realities of your context, and making programme results
it more likely that you will achieve
3. Accepting risks where warranted;
expected results. While risk assessment
developing strategies and contin-
is often applied to an office as a whole,
gency plans to respond to the risks
it can also be useful for programme- or
where needed
intervention-level analysis and planning.
This requires linking the risk assessment 4. Reviewing your strategic plan
to specific expected programme results. accordingly.
During your strategic planning, keep These steps are detailed below.
in mind the following UNICEF risk
management principles:9
1. Risk identification
• Accept risk when benefits outweigh
Begin by gathering stakeholders around
costs: The aim is not always to elimi-
your results framework and theory of
nate risk. Total risk elimination would
change and brainstorm the risks for
involve extensive controls and is costly.
achieving your expected results. As you
Walking away from risky situations
identify risks, be sure to explicitly link
would often be impractical and may
each risk to one or more expected result.
Figure 2.19. Examples of risk types and categories
INSTITUTIONAL CONTEXTUAL
• F raud and misuse of resources •S

ocio-economic, political
• F unding and external instability/crisis
stakeholder relations • atural disasters and epidemics
N
• G overnance and accountability • onflict
C
• U nethical behaviour/corruption • limate change
C
• Information and communication
technology systems and
information security
Figure 2.19 provides a starting point and Ask them to assess the:
a checklist for identifying the risks that • Level of likelihood that the risk
might affect achievement of the expected will occur.
results you have set down in your
• Level of impact that the risk would
results framework.
have on the programme results if
it did occur.
2. Risk-level assessment
Once you have identified key risks Use the matrix in Table 2.6 to assess the
related to your programme, invite stake- overall level of response required.
holders to rank those risks by assessing
their level.
Table 2.6. Risk-level matrix10

5 – CRITICAL Low Medium High Very high Extreme
4 – MAJOR Low Medium High High Very high
3 – MODERATE Very low Low Medium High High
2 – MINOR Very low Low Low Medium Medium
IMPACT
1 – NEGLIGIBLE Very low Very low Very low Low Low
1- UNLIKELY 2 – POSSIBLE 3 – LIKELY 4 – ALMOST 5 – CERTAIN/

CERTAIN IMMINENT
LIKELIHOOD
3. Risk response 4. Review of programme design

Based on your collective assessment of Once you have identified and assessed
their likelihood and impact, select your risks to your results achievement and
top risks to achieving your expected planned your response, reconsider your
results (that is, those rated high, very results chain:
high or extreme). Then develop risk • Do you need to remove or revise some
response strategies. Consider: of your results to make your pro-
• Can you prevent the risk from gramme design more realistic?
materializing or prevent it from having
• Do you need to adjust, add or change
an impact on the results?
activities, strategies, partners,
• How can you reduce the impact target populations or geographic
of the risk? locations, in accordance with your
response strategies?
• How can you reduce the likelihood that
the risk will occur? Use the risk monitoring and response
matrix shown in Table 2.7 to record the
• How could you maximize the risks you’ve identified and assessed,
opportunity presented by the risk? and the response strategies you have
developed. This enables systematic
• Can you create contingency funds and
flexible schedules to help you cope identification and prioritization of iden-
with risks? tified risks. It supports the integration of
response strategies into the programme
• Can you share exposure or mitigation design and work plans. And it facilitates
strategies with other organizations? ongoing tracking of risks and adjustment
of responses.
• Can you transfer the impact of the risk
to a third party (for example, via an
insurance policy)?
• Would it be all right to accept the

possibility that the risk may occur and
go ahead without further measures to
address the risk?
Other key resources

INFORM, Index for Risk Management
UNICEF, UNICEF Enterprise Risk Management: Instruction 1: Risk assessment and reporting, 2015.
UNICEF, Risk Management Policy, 2009.
UNICEF’s Programme, Policy and Procedure Manual, section 3.5.7, ‘Risks and Assumptions’.
Table 2.7. Tool E: Risk monitoring and response matrix

RESIDUAL RISK LEVEL
(Assuming response
is implemented)
RISKS
(Top 7 to 12 risks Likelihood* (L);
for programme or Impact** (I)
RELATED RESULT programme area/ Date Date Date
STATEMENT(S) component) 1 2 3 RISK RESPONSE STRATEGY
All results, Lack of coordination • Implement a communication strategy
especially among donors, to secure dissemination of programme
those related to agencies, NGOs and activities, lessons learned and achieved
outcomes 1 and 2 public sector policies outcomes among other donors and
and programmes agencies as well as the broader public.
generates duplication of • Identify and participate in the most
efforts and resources L=3 L=2 L=
relevant coordination forums to identify
I=3 I=3 I= areas of overlap; agree on ways to
maximize complementarity and promote
these forums where and when needed.
• Link with civil servants and programmes
of local government that track and
coordinate development assistance.
All results Heightened risk of • Stay in constant communication with
car-jacking. local communities prior to and during
L=4 L=5 field visits.
I=3 I=4 • Train staff in security measures in
cooperation with the UN Department of
Safety & Security.
* Likelihood: ** Impact:
1 – Unlikely 1 – Negligible
2 – Possible 2 – Minor
3 – Likely 3 – Moderate
4 – Almost certain 4 – Major
5 – Certain/imminent 5 – Critical
STEP 7. These can be powerful ways to test your

programme logic and assumptions, and
DRAW IT ALL TOGETHER
also to communicate your programme
IN A RESULTS FRAMEWORK design. You can summarize your pro-
AND THEORY OF gramme results and theory of change
CHANGE NARRATIVE in ways that serve the purposes of your
Once you have developed your theory different stakeholders.
of change and its assumptions and risks,
defined sound results, assessed internal Completing a results framework
and external assumptions and risks, and
At this point you will have most of the
developed a measurement framework,
elements you need to complete a results
you can draw your programme design
framework for the programme you have
together into:
planned. Your task is simply to pull the
• A results framework, a table that information together using the appro-
captures key elements of your
priate template. While the format of the
programme design, reflecting
results framework may vary somewhat
a culmination in the design of
depending on the document you are
your programme.
preparing (for example, a programme
• A theory of change narrative that strategy note, country programme
summarizes the reasoning why your document or proposal), you might
programme or organization exists and expect the main rubrics to be like those
how the desired change is expected to outlined in Table 2.8.
come about.
Table 2.9 is an example of a partially
completed results framework at the level
of a thematic programme component.
Table 2.8. Tool F: Results framework
KEY PROGRESS MEANS OF FREQUENCY OF MAJOR

INDICATORS BASELINE TARGET VERIFICATION REPORTING PARTNERS
Outcome UNICEF will contribute to:
Country programme outputs:

Table 2.9. E
xample of a partial results framework
for one country programme component
EQUITABLE SOCIAL POLICIES
AND PROTECTIVE SYSTEMS BASELINE TARGET MEANS OF
Key progress indicators (2016) (2021) VERIFICATION FREQUENCY MAJOR PARTNERS
Outcome 1: By 2021, child-related national policies, budgets and systems, including

the child protection system, are inclusive and equity-focused
Public spending on child protection $2.8 25% Ministry Yearly Ministry
million increase of Social of Finance, Ministry
Protection of Social Protection,
Monthly social assistance spending $10 $15 Yearly
records National Authority
per child (child money)
for Children,
UN agencies, donors,
NGOs, ING Bank
Output 1.1: National authorities have increased capacity and evidence to enhance
the equity and child focus of the national social protection system
1.1.1 The number of policies and 0 5 Ministry Bi-annual Ministry of
programmes influenced to address of Social Social Protection,
child deprivations Protection Ministry
1.1.2 Evidence of the use of analysis 0 pts 4 pts document Bi-annual of Finance,
of exclusion errors in social policy review; Cabinet Secretariat,
interventions (Child Grant) for improved semi- National Council for
programme design/targeting. structured Children
Scale from 0 to 4: (a) exclusion errors are interviews
identified for 30%−60% of departments, 1 by UNICEF
point; (b) errors identified for 60%−100% of
districts, 2 points; (c) analysis of exclusion
errors explicitly considered in programme
design, 3 points; (d) most excluded groups
explicitly targeted in implementation,
4 points.
Output 1.2: Government’s capacity to legislate, plan, budget and to provide child protection services has
increased to protect children from violence, abuse and exploitation at the central level and in targeted areas
1.2.1 Child protection costed 0 pts 3 pts Document Bi-annual Ministry of
strategic plan exists. analysis Social Protection,
Scale from 1 to 3: (a) child protection Ministry
strategic plan exists, 1 point; (b) plan is of Finance,
adequately costed, 1 point; (c) plan ranks National Authority
at least 60% on quality assessment scale for Children, National
developed by international experts, 1 point. Council for Children
1.2.1 Existence of national routine 0 pts 5 pts National Bi-annual
administrative data collection system Authority
on violence, exploitation and abuse for Children
of children, including violent deaths data
and injuries.
Scale from 1 to 5: (a) system designed, 1
point; (b) system operational, 1 point; (c)
system used in at least 70% of districts, 2
points; (d) quality of system rated adequate
by international monitors, 1 point.
Writing your theory of change narrative
Here are 6 steps What else are you assuming is in place

so that you can achieve your desired
results? There may be causes you are
to preparing your theory of change not addressing, and you may assume
write-up: that someone else is addressing
them, or that they do not need to be
addressed for you to effect meaningful
1. Referring to your results chain, identify
change through your programme.
your desired impact.
4. Also identify assumptions and risks

2. Map backwards how your outputs and
related to internal and external factors
outcomes are contributing to the next
that influence the programme and
level of results.
residual risks to be monitored.
3. Make your causality assumptions
5. Identify the key strategic interventions
and risks explicit. Make explicit your
that your initiative will undertake
hypotheses about how change at one
and the pathways of change they
level will lead to change at the next (for
will enable.
example, training will lead to increased
skills in policy-making, which, in 6. Write a narrative to explain your theory
turn, will lead to improved policies of change (see Figure 2.20). Your narra-
and programmes that will foster tive may also take a more graphic form
improvements in children’s lives). as shown in Table 2.10.
Figure 2.20. A sample theory of change narrative
UNICEF’s theory of change for the country programme component of equitable social policies and protective
systems starts at the impact level, with the understanding that:
If children’s rights are met as defined in the Convention on the Rights of the Child, then it means that the
government has successfully adapted the overarching child-related national policies, budgets and protective
systems, including the child protection system, to be inclusive and equity-focused.
If social policies and protective systems are increasingly child-focused, equitable and
functional, then the capacities of national stakeholders that bear the duty of planning, budgeting, regulating,
coordinating, delivering and monitoring social services must be sufficient to manage them.
A theory of change outlines the logic behind UNICEF’s programme, explaining how the organization’s strategic
interventions will lead to specific results (at the output level) and contribute to changes in national policies,
budgets and systems (outcome level). It also provides key assumptions, risks and mitigating measures required
to reinforce causal links at various levels.
Table 2.10. A sample theory of change in graphic form

Outcome 3: By 2021, child-related national policies, budgets and systems,
OUTCOME
including the child protection system, are inclusive and equity-focused
• Contributions of major development partners address bottlenecks/barriers not covered by UNICEF’s

country programme (related to other elements of the social protection and poverty reduction programmes
and/or child protection, local governance and corporate social responsibility and/or geographic regions
beyond its scope) are secured in timely and effective manner, reinforcing synergies with these and
other sectors.
ASSUMPTIONS
• There is no major crisis that could affect capacities for country programme implementation or coping
capacities of communities.
• Policy makers, parliamentarians, local governments and members of the private sector are receptive to
evidence-based advocacy and adapt policies and strategies based on evidence.
National capacity, resources and political commitment National capacity, resources and political
are sufficient to maintain and enhance social commitment are sufficient to implement the new
protection mechanisms and enhance the equity focus child protection law and to develop a functional child
of existing socio-economic development plans at protection system at various levels, with adequate
various levels. technical capacity for prevention and response.
• Economic, political and climate-related shocks could shrink the fiscal space, change priorities of local
authorities and stretch the coping capacities of households affecting access/utilization of social services,
thus underlining the need to ensure gender-sensitive and risk informed programming.
• Economic transition processes are changing international aid modalities and leading to shrinking/shifting
levels of official development assistance, underlining the need for effective policy advocacy and leveraging
RISKS
for social sectors and for coordination with development partners to ensure complementarity
of programming.
• Election cycles and political volatility often result in excessive turnover of staff, underlining the need to
forge positive relationships with new ministerial counterparts and institutionalize capacity development
interventions. Election cycles have also been associated with promises from political parties for cash
handouts, universal transfers, untargeted social welfare programmes, which underlines need for
strategic frameworks.
Output 3.1: National authorities have increased Output 3.2: Government’s capacity to legislate, plan,
capacity and evidence to enhance the equity and child budget and to provide child protection services
OUTPUT
focus of the national social protection system. has increased to protect children from violence,
abuse and exploitation at the central level and in
targeted areas.
• Central- and local-level authorities are receptive and supportive of the equity approach, human rights-
based approaches to programming, gender-sensitive programming and the need to prioritize climate
resilience and risk management.
• Availability of disaggregated data that can support targeting of the most vulnerable as well as monitoring,
reporting and evaluation in these sectors.
• Existence of minimum level of capacity among local authorities and a willingness to adapt local
ASSUMPTIONS
development plans and budgets.

• No major crisis that could affect capacities of UNICEF and partners to deliver/account for results
(considering donors’ reduced presence in upper-middle-income countries).
• Continuity of national mechanisms.
National capacity, resources and political commitment The Ministry of Population Development and Social
are sufficient to maintain social protection Protection will be able to clarify (and reinforce)
mechanisms (including the universality of the child roles and responsibilities of various national actors
grant system) and enhance the child and equity focus in different sectors, thus enabling UNICEF to target
of existing socio-economic development plans at partnerships for expansion of protective services.
various levels.
Table 2.10. A sample theory of change in graphic form (cont.)

• Economic, political and climate-related shocks can affect the continuity of UNICEF operations and the
capacities of counterparts and partners to achieve and account for results, thus underlining the need for
strong enterprise risk management, including a harmonized approach to cash management and emergency
RISKS
preparedness and response.

• Changing aid environment can affect UNICEF’s capacity for resource mobilization, underlining the need for
an updated strategy and action plan.
UNICEF strategic interventions: UNICEF strategic interventions:
• Policy advocacy to prioritize children in • Capacity development to support national
development, poverty reduction and social authorities to strengthen the legal and policy
protection plans and policies and create national framework and to better budget, monitor and track
monitoring systems for child equity. expenditures for child protection services.
ENABLING ENVIRONMENT
• Strengthening the link between planning • Capacity development and technical

and budgeting processes at national and assistance to support implementation of
subnational levels. the new Child Protection Law – including by
• Evidence-generation on multiple deprivations costing implementation.
of children and the risks they face in relation to • Technical assistance to support the Ministry of
disasters, environmental degradation, pollution and Population Development and Social Protection to
the impacts of climate change. develop a robust capacity development framework
• Capacity development and cooperation to improve for national actors involved in child protection.
the child focus of public finance management. • Technical assistance to integrate child protection
• Policy evaluation to improve the current child focus interventions in national and subnational plans for
in national social protection. disaster risk reduction/disaster risk management
and climate change.
• Technical assistance and capacity development to • Partnerships to support the new child online
undertake public expenditure reviews, costing and protection programme.
investment cases. • Capacity and skills strengthening of professionals
SUPPPLY/QUALITY
• Capacity development of the government’s central across social welfare, health, education and
agency responsible for development planning, justice sectors to enable the translation of the law
monitoring and evaluation of children’s issues, and into the actual delivery of protective services.
the strengthening of national mechanisms for data • Capacity development of human and service
collection, use, analysis and evaluation, including in structures for child protection at national,
relation to the impact of disasters on children. subnational and community levels.
• Support routine administrative data collection
and analysis to prevent and protect children from
neglect, abuse, exploitation and violence.
STEP 8. Selecting
DEVELOP A performance indicators
MONITORING PLAN
What is an indicator?
Once you have defined the results you
Indicators are ‘signals’ of achievement
expect to achieve through your pro-
or change related to an expected result.
gramme and assessed assumptions and
They provide a simple and reliable
risks related to reaching them, the next
means to measure achievement of
step is to think about how you will track
outputs, outcomes and impacts with the
your achievement of those results. To
intention of gauging the performance of
do this, develop a measurement frame-
a programme or investment.
work for results, otherwise known as a
monitoring plan (see Table 2.11). Indicators should be neutral: They
specify what is to be measured along a
Developing indicators for each result and
scale or dimension but do not indicate
planning how you will measure them
the direction of change.
will help you test whether your results
are measurable. Again working in an iter-
ative way, revise your results if needed Types of indicators
at this stage, to ensure your results An indicator can be a qualitative or
statements and indicators will actually quantitative measure of performance:
allow you to manage for results.
Quantitative indicators are represented
by a number, percentage or share, rate
or ratio. In contrast, qualitative indicators
seek to measure quality and are often
based on perception, opinion or levels
of satisfaction.
Table 2.11. Tool G: Monitoring plan (see Table 2.16 for a completed example)
RESULTS PERFORMANCE INDICATORS BASELINE TARGET MEANS OF VERIFICATION
IMPACT
OUTCOMES
OUTPUTS
Note that there can be overlap between may be used as a proxy indicator for the
quantitative and qualitative indicators. quality of reproductive health services in
Some statistical data or information order to measure progress over a shorter
stated with numbers can provide qual- period of time.
itative meaning. For example, a survey
Process indicators measure the
might measure quality on a scale of
performance of key processes that affect
1−10. Another example is a ‘yes/no’
expectations of countries, donors or
indicator (such as whether or not laws
communities. Process indicators that can
or policies are in place, or whether data
measure national coordination efforts
or services are available). These can be
or stakeholder participation and buy-in
made more objective and more sensitive
(including meaningful child and youth
to change over time by using a weighted
participation in decisions that affect
scale or checklist. See examples in
them) are important to measure. These
Table 2.12.
might include indicators such as the
Proxy indicators are used when application of programming principles
results cannot be measured directly. or the use of national systems for
For example, the percentage of births monitoring and evaluation.
attended by trained health personnel
Table 2.12. Quantitative and qualitative indicators11

QUANTITATIVE INDICATORS QUALITATIVE INDICATORS
• Measures of quantity • Perception
• Number • Opinion
• Percentage • Judgements
• Ratio
EXAMPLES
• Percentage of boys/girls under 1 year receiving • Level of satisfaction (along a scale of 1-3)
measles-containing vaccine at national level with school curricula
• Number of new HIV infections among boys/girls • Perceptions of quality of national of education systems
under 15 years • M&E system for social protection programmes for
• Percentage of women/men in humanitarian situations vulnerable boys and girls
who access and use safe drinking water • Extent (along a scale) of policy coordination on HIV/
• Attendance rate in early childhood education AIDS prevention
• Percentage of Convention on the Rights of the Child • Quality (on a weighted scale) of costed strategies for
Concluding Observations implemented child protection
• Percentage of boys/girls in contact with police • Development, adoption and use (on a weighted scale)
who are dealt with in child-friendly police stations of a policy for home visits of newborns
• Number of schools that have included life skills and • Extent (on a weighted scale) to which menstrual
citizenship education in their school plans, thanks to hygiene management is implemented in school water,
UNICEF support sanitation and hygiene programmes
MEANS OF VERIFICATION
Formal surveys Public hearings, testimonials, focus groups, attitude
surveys, participant observation, document analysis
Disaggregating indicators Where to get your indicators

To support equity, monitoring systems Ideally, the indicator:
should allow all indicators to be disag- • Is nationally owned or part of the
gregated along different dimensions, government’s own M&E framework
such as age, sex, ethnicity, rural/urban/
• Is part of UNICEF’s standard indicators
intra-urban spaces, and wealth quin-
(at both outcome and output levels).
tiles, as well as geographic location,
A global set of standard outcome
among others.
and output indicators was introduced
in 2016 for use through RAM. The
For example, an initiative that aims
standard indicators are reducing the
to increase the use of safe water in a burden on country office to develop
city might need to monitor disaggre- indictors, as they provide a basis from
which all offices can derive and adjust
gation for one indicator, as shown in their indicators to track progress ensure
Table 2.13. quality reporting on results. Standard
indicators allow for easier global aggre-
Indicator selection/ gation of results and clearer depiction
validation checklist of UNICEF’s contribution to key areas
of work.
As you define and negotiate your
indicators with key stakeholders, • Is also part of the country’s UNDAF
you might find the checklist in Table
• Is aligned with the UNICEF Strategic
2.14 helpful.
Plan and its impact as well as outcome
Limit your indicators to 2−4 per result. indicators (which may be considered
Using a combination of quantitative and impact indicators at the country level)
qualitative indicators allows you to cross-
• Can be linked to the Sustainable
check and triangulate your findings and Development Goals
generate a richer understanding of what
has been achieved. Remember, though, • Is realistic and reflects country
that you’re aiming to create a dashboard, measurements of achievement.
not a monster of indicators you won’t
have the time or resources to monitor.
Table 2.13. Possible disaggregation of one indicator

INDICATOR GEOGRAPHIC AREA SOCIO-ECONOMIC STATUS GENDER FAMILY COMPOSITION
Percentage of Country 1st quintile Sex of Households with
people living in Region 2 nd quintile household children below age 5
households using head: Households with
improved sources City 3 rd quintile
Female adolescents
of drinking water Rural areas 4 th quintile
Male Households without
Urban areas 5 th quintile children
Table 2.14. Checklist for indicator selection and validation

1. Describes how achievement of the result will be measured
2. Clear and easy to understand, even to a layperson
3. Shows trends over time (progressive realization, non-retrogression)
4. Can be appropriately disaggregated
5. To the extent possible uses available information
6. Is cost effective and feasible to collect and analyse
7. Measures positive as well as potential negative directions
(that is, it is neutral)
8. Was developed in a participatory fashion (including with those whose
performance will be measured) and is relevant to the needs of the user
9. Two to four indicators per result
10. One of the indicators per result measures sex-disaggregated

data and/or advances in gender equality.
UNICEF has introduced a set of standard Standard and other model indicators.
outcome and output indicators available UNICEF guidance on indicators for
in inSight’s Results Assessment Module performance monitoring in human-
(RAM). To the extent possible, use these itarian response is aligned with the
indicators and avoid formulating your Core Commitments for Children in
own. At the same time, make sure that Humanitarian Action and their inter-
the indicator you select actually mea- agency references.
sures your result accurately.
You will also find indicator selection

Establishing baselines
and targets
guidance for certain outcome areas and
themes in the MoRES toolkit, under Indicators require a baseline and
‘monitoring tools’. a target. This is what allows you to
measure whether your programme is
In humanitarian response, it is also achieving or contributing to change.
important to consider proxy high-
frequency output-level indicators that
should be aligned with agreed indi-
cators inter-agency level by sectors/ Baseline
clusters. Ideally, these should be national A baseline is the situation prior to a
adaptations of The Sphere Project/ development intervention, against which
Inter-Agency Network of Education in progress on results can be assessed
Emergencies, the Core Humanitarian or comparisons made. Baseline values
offer a snapshot of your organization, TIPS FOR SELECTING

programme or project at the inception INDICATORS AND SETTING
or beginning phase. The baseline is the BASELINES AND TARGETS
value of the indicator at the outset.
• The indicator should be neutral
- No direction of change in the indi-
cator - No increase or decrease in
Target the indicator
A target is what one hopes to achieve. • The target is what signals how much
It is the desired value of the indicator change and in what direction
at a determined time in the future. It is • The baseline and target should use
what the project would like to achieve the same unit of measurement as
within a certain period of time, in rela- the indicator!
tion to one of the expected results.
Identification of targets draws from 1)
an understanding of trends, 2) an esti-
mation of costs and financial feasibility,
3) understanding of the programming Benchmark
environment and 4) human resource A benchmark is a reference point or
implications. Targets may sometimes be standard against which performance
referred to as milestones, since they help or achievements can be assessed. A
assess whether you are progressing as benchmark refers to the performance
expected at set intervals over the lifetime that has been achieved in the recent
of the programme. past by other comparable organizations,
or what can be reasonably inferred
Sometimes targets can be drawn from
to have been achieved in the circum-
international agreements or conven-
stances. Benchmarks can support you in
tions, or national planning documents
defining targets.
or strategies. In other cases, no obvious
targets are readily available for a given Keep in mind that, in some cases, the
indicator. Experts who understand the value or status of an indicator is not
programme area and country context expected to change in a linear manner
should provide their best estimate as to (such as a 10 per cent increase a year).
the threshold that would allow a pro- For example, an indicator tracking social
gramme to be considered a success. norms might show no change for sev-
Target setting should also be done with eral years, but may move quickly once a
partners to build a broad consensus as to tipping point has been reached. Or, the
what success looks like. value of an indicator such as the ‘number
of reported cases of violence against
children’ might rise initially due to
increased awareness of reporting mech-
anisms, but eventually fall as a result
of violence prevention programmes. This should be considered when a results

In these cases, the annual targets can framework is being developed. Choosing
be set accordingly (see Table 2.15 for a data collection method depends on
other examples). the type of indicator and the purpose of
the information being gathered. It also
depends on how often this information
Defining methods of data
will be gathered. The means of verifica-
collection and means
tion will indicate where to look to obtain
of verification data to support assessment of the result,
Data on indicators need to be collected such as a survey report or publication of
to determine progress towards results. school examination results.
Table 2.15. Examples of indicators and related baselines and targets12
INDICATOR BASELINE TARGET (BY END OF PROGRAMME) ANNUAL TARGET

Quantitative
Percentage of children 6−59 months 40% 80% 20% increase
with severe acute malnutrition who (2016) (2018) per year
are admitted into treatment in X
humanitarian situation
Percentage of total children covered by 50% 90% 60% (2017)
government cash transfer programmes in (2016) (2020) 70% (2018)
X country/region
80% (2019)
90% (2020)
Qualitative
Existence of costed strategies for child 0 points 3 points 1 point (2017)
protection. (2016) (2020) 2 points (2018)
Scale from 0 to 3: (a) government has a
costed strategy for child protection: 1 3 points (2020)
point; (b) strategy is considered explicitly
during the budget process: 1 point; (c)
strategy matches child protection priorities
to resource allocation: 1 point.
Extent of policy coordination for 2 points 10 points 7 points (2019)
child protection. (2016) (2021) 10 points (2021)
Scale from 0 to 10: (a) parliamentary
oversight body exists: 2 points; (b) inter-
ministerial mechanism in place that
coordinates child protection activities and
that meets at least three times per year:
5 points; (c) international development
agencies have a coordination mechanism
for child protection that meets at least
10 times per year: 3 points.
Your data collection methods Your situation analysis (Step 1) may

can vary widely (see Figure 2.21). have identified gaps in data that
Examples include: contribute to inequity. Programme
• Document analysis monitoring, therefore, will not only
• Observation enable you to track your achievement of
results. It may also contribute to mean-
• Case studies
ingful change for children, particularly
• Semi-structured interviews if you work with government officials to
• Focus groups improve their capacity for data collection
• Surveys and analysis. As you are developing your
• Testimonials measurement framework for results (see
Table 2.16 for an example), think stra-
• Tests
tegically with stakeholders about what
• Photographs, slides, videos indicators and means of verification will
• Appreciative inquiry or most significant best help to build local capacity and fill in
change testimonials knowledge and data gaps.
• Transect walks
• Participatory Rural Appraisal (PRA)/
Participatory Learning and Action
(PLA) methods.13
Figure 2.21. Examples of data collection methods

Panel surveys
Key
informant One-time
interviews survey
Conversation
with
concerned Review of
individuals official records Direct
(management observation
information
Census
system and
Community administrative Focus group Field
interviews data) interviews experiments
Participant
observation
Field visits Questionnaires
Informal and less-structured methods Formal and more-structured methods
Source: Kusek, Jody Zall and Roy C. Rist, Ten Steps to a Results-Based Monitoring and Evaluation System: A
handbook for development practitioners, World Bank Publications, Washington, D.C., 2004.
Table 2.16. Example of a completed measurement framework for results

PERFORMANCE MEANS OF
RESULTS INDICATORS BASELINE (2016) TARGET (2020) VERIFICATION
Impact Percentage of schools 11th grade: 5% over baseline Database
Increased life in the certified school Dept. X 42% on state
opportunities for districts achieving at Dept. Y 79% examination
conflict-affected least average level in Dept. Z 22% results
and vulnerable girls, state tests for 9 th and 9 th grade not
boys and youth in X 11th grades released for 2016
region of country Y
Self-perception by To be completed 10% increase Study of
children and young with qualitative from baseline perception of
people of their skills to baseline report children on
improve their quality of opportunities
life and the development in the
of their community communities
Outcomes Net enrolment rates in All figures Rates for all Secretariat
1. Increased and the central municipalities presented in municipalities for of Education
more equitable of nodal regions, broken percentages. primary level remain at monitoring
educational down by gender and by Municipality A: the same percentage. database
enrolment for age Primary: F – 92, Rates for all
out-of-school, M – 90, Total – 91. municipalities for
vulnerable and secondary level reach
conflict-affected Secondary: F – 72,
M – 67, Total – 70. 50% or do not drop if
girls, boys and baseline is above 50%.
youth in target Vocational: F – 34,
municipalities in M – 28, Total – 31. Rates for all
departments X and Y municipalities for
Total: F – 72; M – 69. vocational education
Grand total – 71. reach 30%.
Municipality B, etc.
Gender parity index in Municipality A: At the primary level, Secretariat
central municipalities of Primary: 1.03 increase or reduce by at of Education
nodal region least 0.01. monitoring
Secondary: 1.07 database
In secondary level for
Vocational: 1.21 all municipalities reduce
Total: 1.05 by 0.05.
Municipality B, etc. In vocational education
for all municipalities
reduce by 0.1.
Outputs Number of out-of-school 0 70,000 children, Database from
1.1 Increased children, adolescents and adolescents and the census of
capacities of young people identified young people out-of-school
schools, civil society by the programme children
organizations and Number of schools To be conducted 42 schools School
education partners and community-based in 2016 documents
to target and enrol organizations involved in
out-of-school girls, activities/strategies for
boys and youth active research system
Developing integrated plans), IMERPs represent a final stage in

monitoring, evaluation the programme planning process. This
and research plans stage ensures that research, monitoring
and evaluation activities are:
An integrated monitoring, evaluation
and research plan (IMERP) builds on • Prioritized to focus on the most critical
information needs of decision-makers,
the results chain and monitoring plan
especially given scarce resources
and identifies the major research, moni-
toring and evaluation activities that will • Integrated across programmes and sec-
be needed to support the monitoring of tors wherever feasible, to reduce costs
progress and assessment of results. At
this point, you will also begin to consid- • Planned realistically in terms of the
timing of activities given end use,
ering how findings will be used.
practical implementation requirements
An IMERP guides the development of and the capacity of country offices
work and monitoring plans during the and partners.
implementation of programmes. As
such, whether developed during strategic Table 2.17 provides an indication of the
planning (that is, during processes to fields that would likely be included in the
develop country programme documents, development of integrated monitoring,
UNDAFs or humanitarian response research and evaluation plans.
plans) or at the operational stage (work
Table 2.17. Format for an integrated monitoring, evaluation and research plan
ACTIVITY YEAR 1 YEAR 2 YEAR 3 YEAR 4 YEAR 5
Surveys, studies
Evaluations
Support to national monitoring systems
and data collection activities
Monitoring and evaluation capacity
development (UNICEF and partners)
Major events where research and M&E
data will be used
STEP 9. specific pending issues with the theory

of change before implementation begins.
ASSESS THE EVALUABILITY
It will highlight data needs and gaps to
OF THE PROGRAMME be addressed. And it can save time and
An excellent practice implemented by avoid costly mistakes at later stages in
some UNICEF programmes is to commis- the programme cycle.
sion an evaluability assessment of your
programme by a qualified institution or (Note that an evaluability assessment at
professional before finalizing the design the planning stage is not synonymous
and beginning implementation. An with, nor does it necessarily replace, an
evaluability assessment can contribute evaluability exercise prior to undertaking
to improving the programme’s design a major evaluation. See Chapter
and potential to be evaluated. Such an 5 for details.)
assessment can help to consolidate the
programme’s design and address any
Congratulations! You have completed your

strategic planning and are
now ready to begin implementation.
Chapter 3. Implementation | 75
Chapter
IMPLEMENTATION
Once a programme has been designed and approved, it is ready for

implementation. Careful management of all aspects of programme delivery is crucial for the
efficient and effective achievement of results. Effective implementation depends on a thorough
selection of implementation strategies, modalities and partners. It also entails tracking progress
against time, budget and scope. Managing and mitigating risks is another important element
of implementation.
When to use this chapter: Chapter overview of

• Prior to implementing your programme implementation steps
or project, such as in the development of and corresponding tools:
work plans
Steps
• While implementing your programme or Step 1. Plan for implementation
project, or managing the implementation of
Step 2. Manage implementation and monitoring
work plans and overseeing the work of imple-
Step 3. Make adjustments and take
menting partners, either through work plans or
corrective action
programme documents used by civil society
organization (CSO) partners. Ongoing steps:
• Identify and mitigate risk
Who should use this chapter: • Ensure knowledge transfer and

continuous learning
• Programme staff responsible for managing
for results
• Support and operations staff responsible for Tools
backstopping a UNICEF operation Tool E. Risk monitoring and response matrix
• UNICEF partners involved in programme/ (in Chapter 2)
project implementation. Tool H. A sample work plan template
OVERVIEW
For actual change to take place, the results planned in the previous
section have to be translated into action. All the work done in Chapter 2 around
planning your programme continues to be relevant during the implementation
period. The results framework and theory of change are carried forward into the
implementation phase of programmes. Monitoring risks and progress towards
results will shape and define the scope and nature of implementation.
implementation: | ˌɪmpləmɛnˈteɪʃən | n.
Implementation is the management of inputs to
The pace of implementation can change
undertake activities in order to achieve outputs,
rapidly when UNICEF is responding to
which contribute to outcomes – as articulated in the an emergency. Flexibility is therefore
results framework and documented in work plans. required to move from regular program-
ming to humanitarian response, where
the speed and frequency of processes
The development, implementation and and practices increase; as well as con-
monitoring of work plans is undertaken nectedness, to ensure bridging the
with existing policies, procedures and humanitarian and development divide.
guidance in mind and with the support of
Effective implementation cannot be
management tools and systems.
reduced to one prescription that can
During implementation, managers bring be applied universally across all pro-
together the relevant expertise within gramming contexts. However, there
offices to achieve results articulated in are practices and skills that are needed
strategic plans (Country Programme for effective implementation gener-
Documents, Strategy Notes, UNDAFs, ally – whether you are managing a
Humanitarian Response Plans) and WASH programme in an emergency
management plans (Country Programme or a child protection programme in a
Management Plans). Given UNICEF’s high-income country.
broad range of programming and opera-
Effective implementation is fundamen-
tional contexts, effective implementation
tally about creating the planned change
requires the ability to dynamically
in pursuit of outputs and ultimately
draw on specific technical tools and
outcomes. Implementation is where
management and social skills while
programme planning comes to life and
demonstrating a deep understanding of
engages with different functional areas
issues relevant to the specific context.
within UNICEF and with partners to
achieve results.
Important key ingredient throughout the RBM
questions
related to implementation:
cycle and builds ownership of the
programme or project design and
implementation. Ensuring strong
stakeholder participation in all imple-
mentation deliberations is fundamental
• How can I focus my work plan on to sustainability.
results rather than activities?
• Being iterative and adjusting along
• How should we organize ourselves to the way. Results-based management
achieve results established in our initial means being flexible with your strate-
plans (in the Programme Strategy gies. If your activities are not yielding
Note, Country Programme Document, expected results at the output and out-
UNDAF or Country Programme come level, then modify your strategies
Management Plan, for example)? and activities.
• How can we ensure a focus on • Transparency. UNICEF should ensure

equity, gender equality and inclusion that its processes and management of
throughout implementation, in devel- programmes and projects are under-
opment and humanitarian contexts? taken transparently.
• How will I manage resources • Efficiency. Value for money is

effectively and efficiently so that fundamental to ensuring both the
we achieve results as planned? efficiency and the effectiveness of your
intervention. Maximizing impact to
• What adjustments need to take place to
improve children’s and women’s lives
better achieve expected results?
at reasonable cost is the goal.
• What does risk monitoring tell me? Do I
need to adjust risk mitigation, including • Evidence-based: Data should be used
to steer choices of implementation
preparedness measures, to achieve and
modality vis-à-vis key considerations
protect expected results?
such as cost, speed, quality, national
• How can I ensure continuous ownership, governance and dependen-
learning and feedback based on the cies on other entities for the modality.
extent to which we are achieving
development results?
The importance of
establishing results-based
Principles to guide management systems
implementation
For results-based implementation and
A number of key principles guide management to take hold, it is important
implementation: that RBM systems are in place and
• Stakeholder participation. The existing systems and procedures are
engagement of stakeholders is a aligned to yield results. This means that
roles and responsibilities are defined When your programme is going off
and work processes are established, the rails, do you adjust strategies and
supported by clear RBM procedures and activities so that you are more likely to
support mechanisms such as training achieve expected results? If so, you are
and coaching in RBM and performance being ‘iterative’ – adjusting, learning and
measurement. Critical to this process self-correcting as you go along. All these
are managers, who are increasingly qualities are important for an effective
expected to manage for results. RBM manager that seeks to achieve
results by always keeping value for
money in mind.
Required skills of
an RBM manager
Managing for results requires a skills KEY STEPS IN
set that values team work, participation, IMPLEMENTATION
flexibility and the ability to continu-
ally revise and refine. Why is this so Work plans are the means through which
important? Results-based management strategic multi-year planning docu-
is the opposite of a blueprint approach. ments are made operational. Strategy
Would you want to be responsible for notes, country programme documents
results and indicators that you did not and UNDAFs provide a reference for
define? Of course not. Working with all the development of annual, rolling or
key stakeholders and listening to their multi-year work plans. Through such
priorities and needs in planning pro- plans, operational strategies are fleshed
gramme implementation requires out to achieve the results set out in the
good listening and facilitation strategic planning phase. For this to
skills, and working in a collabo- happen, UNICEF programme managers
rative and team-based manner work with partners to develop work
versus a top-down approach. plans that define essential activities and
Doing so will help to ensure their estimated costs and budgets, roles
buy-in and stakeholder engagement. and responsibilities, and timelines. The
work plans are then implemented (often
As a manager, working in a horizontal in conjunction with partners), and their
relationship with colleagues can lead progress is monitored.
As a manager,
working in a horizontal to greater teamwork and empowering
partnerships among stakeholders. Figure 3.1 illustrates key steps in
relationship with
colleagues can lead to Stakeholders feel empowered when their results-based implementation.
greater teamwork ideas, efforts and results are valued.
Figure 3.1. Key steps in results-based implementation
1. PLAN FOR 2. MANAGE

PLANNING FOR RESULTS IMPLEMENTATION IMPLEMENTATION
& MONITORING
ONGOING
STEPS
3. MAKE
ADJUSTMENTS &
TAKE CORRECTIVE
ACTION
STEP 1. PLAN FOR IMPLEMENTATION

Implementation planning involves FIVE main activities:
• Identify strategies and activities needed to achieve planned outputs
• Determine implementation modalities
• Estimate the costs of carrying out activities, based on input requirements
• Determine the time required to carry out activities
• Document the work plan
The overall process of implementation Applying programme

is iterative (that is, it involves continual strategies during implementation
adjustment and refinement). To decide on
•D
uring implementation, the agreed
the best implementation approach, input strategies determine the nature
requirements and the time needed to of the activities that are planned
undertake activities may have to be esti- and executed.
mated for more than one implementation
strategy (such as advocacy and commu- • E xperience during implementation
informs the programme design with
nication for development). Strategies
regards to the effectiveness of the
refer to a course of action needed to
programme strategies.
achieve planned results. Strategies bring
coherence and interconnectedness to
activities to reach intended outputs,
against agreed standards, and reduce
the likelihood of fragmented action.
Core UNICEF strategies that guide the • Historical and technical information.
formulation of activities include: What activities were actually required
• Capacity development to achieve previous similar outputs?
• Evidence-generation, policy dialogue What have been the best practices
and advocacy identified in previous programmes?
• Partnerships • Constraints. What factors will limit

• South-South and triangular cooperation options for activities (such as financial
resources, time, geography, access
• Identification and promotion
of innovation or security)?
• Support to integration and • Assumptions, such as those identified

cross-sectoral linkages during the development of the theory
• Service delivery. of change and other operational
assumptions, such as when resources
In order to make well-informed decisions will likely become available.
during planning, managers must bring
• Expertise and action required from
together relevant colleagues (such as
within UNICEF offices and with imple-
programme, communications, moni-
mentation partners to carry out activities.
toring and evaluation, operations and
supply specialists) throughout the imple- • Expert judgement possessed by the
mentation process to seek their expertise programme manager or available from
and collaboration. Such an integrated many other sources, such as other
approach ensures that the work plan is units in the organization, consultants
informed and acted upon by the right and stakeholders.
resource persons.
• Environmental sustainability, meaning
any possible unintended positive and/or
Identify strategies and negative impacts on the environment.
activities needed to
• Capacity development approach: Are
achieve planned outputs the proposed activities contributing to
Implementation strategies and broad fostering resilience, the humanitarian
activities may have been discussed development continuum, the gender
with stakeholders during strategic pro- and equity divide?
gramme planning – more specifically,
In addition to activities directly related
during the development of the theory
to achieving outputs through work
of change. At the time of implementa-
plans, managers also include activity
tion, the manager takes into account the
requirements in plans to monitor and
discussions held during the programme
support programme implementation.
planning and design process and
One example could be the requirement
further considers:
to consult collaboratively with colleagues
• Organizational policies and guidance. Do
in offices to ensure a solid foundation
policies exist that prohibit or encourage
for implementation. It could also mean
specific activities? Is there guidance for
planning for activities and their resource
undertaking specific activities?
requirements related to:
• Human resources management, • Sustainability: Is the approach

procurement, contracting, logistics, financially and environmentally viable
warehousing, financial management, etc. over the long-term? Is the approach
acceptable to local communities and
• Programmatic assurance that
stakeholders and will it support the
resources are being used for their
achievement of sustainable outcomes?
intended purposes
• Speed of Implementation: Which
• Identification of bottlenecks as well as
implementation modalities have the
feedback from stakeholders
potential to achieve the intended
• Learning and knowledge transfer, such results within the specified timeframe?
as best practice documentation.
This decision is driven by the overall
Determine programme strategy, as well as:
implementation modalities • Organizational mandate and policies
UNICEF generally supports one or • Human resource capacity
more of four implementation modali-
ties to achieve a result. These include
• Office infrastructure and process
efficiencies and effectiveness
implementation by:
• One or several government • Opportunity cost of implementing the
departments or entity activity versus outsourcing or partnering
• Civil society organizations • Operating context, including
• Other UN agencies the capacity of partners and
• UNICEF itself (direct implementation). cultural considerations
The UNICEF manager decides which of

• Volume of expected transactions and
the potential impact on office capacity
the four identified modalities will be best
suited to achieving the desired results. • Parties that are best placed to mobilize
In making the decision, the manager quickly when a timely response
considers the following factors: is required
• Economy: Is UNICEF or a potential
partner best placed to obtain inputs of
• Organizational alignment with key pro-
gramme issues (e.g., gender, inclusion)
appropriate quality at the right price?
• Availability of funding (budgetary
• Efficiency: How well does UNICEF
constraints or conditionality linked to
versus a potential partner or vendor
sources of funding may influence the
undertake activities to convert inputs
choice of implementation approach)
into quality outputs?
• Value-for-money principles.
• Effectiveness: Is it more likely that
desired outcomes, including an
UNICEF’s role in implementation varies
equity-based approach to programme
depending on who is implementing
delivery, will be achieved if one
the programme (see Table 3.1 on the
implementation approach is chosen
next page).
over another?
Table 3.1. U
NICEF’s role and contribution varies with
different implementation approaches
ACTIVITY
IMPLEMENTING Support a selected number of schools to improve retention and quality in learning in line
ENTITY with national child-friendly school standards
UNICEF’S CONTRIBUTION UNICEF’S ROLE PARTNER’S ROLE
UNICEF provides technical • Jointly plans with partner • Coordinates with
assistance, cash and • Provides cash for contract for other ministries &
supplies to government. construction of WASH facilities stakeholders
Relevant strategies: • Procures and provides • Leads implementation of
furniture and supplies activities as per jointly
• Capacity development
GOVERNMENT developed plan
DEPARTMENT • Evidence-generation, • Provides cash for
policy dialogue regular monitoring • Jointly reviews progress
with UNICEF and
and advocacy • Provide technical assistance reports on utilization
• Identification and throughout the process of resources provided
promotion of innovation. • Jointly monitors progress and by UNICEF.
verifies utilization of resources.
UNICEF provides technical • Jointly plans with partner • Implements activities
assistance, transfers cash* • Provides cash for institutional as per jointly
and supplies to CSOs contract, monitoring and developed plan
* Part of the cash being training • Reports on progress of
provided will be used by the activities and utilization
• Procures and provides supplies
CSO partner to purchase of resources provided
furniture for the project, since • Provides technical assistance by UNICEF.
it was decided by UNICEF • Jointly monitors progress and
(Supply and Programme verifies utilization of resources.
Divisions) that the furniture
CIVIL SOCIETY was best purchased locally
ORGANIZATION and the CSO had good
procurement procedures
and practices to undertake
the procurement of furniture
themselves.
UNICEF and partner decide • Jointly plans with partner • Same as UNICEF’s.
to work together using their • Undertakes activities using
own resources. own resources
• Jointly monitors progress and
utilization of resources against
work plan.
UNICEF transfers cash • Jointly plans with partner • Implements activities
and supplies to another • Provides cash for construction as per jointly
UN agency to carry out a developed plan
OTHER UN component of the activity • Monitors progress and
AGENCIES utilization of resources against • Reports on progress of
– construction of separate activities and utilization
WASH facilities. work plan.
of resources provided
by UNICEF.
Table 3.1. U
NICEF’s role and contribution varies with
different implementation approaches (cont.)
ACTIVITY
IMPLEMENTING Support a selected number of schools to improve retention
ENTITY and quality in learning in line with national child-friendly school standards
UNICEF’S CONTRIBUTION UNICEF’S ROLE PARTNER’S ROLE
UNICEF hires staff (or uses • UNICEF engages consultant • Jointly reviews progress
existing staff) or contracts • UNICEF procures furniture with UNICEF and any
consultants to undertake and supplies adjustment required.
all activities.
• UNICEF procures and enters
into an institutional contract
for WASH facility construction
• UNICEF undertakes supervision
of installation of furniture and
supplies
UNICEF DIRECT
IMPLEMENTATION • UNICEF develops and
undertakes training of teachers
and provides mentoring in
active learning methodology
• UNICEF undertakes regular
monitoring of schools
• UNICEF assumes overall
management responsibility and
accountability for undertaking
specific activities.
Estimate the cost of • By consultants (recruited and funded

activities, based on by UNICEF) working with UNICEF or
with the government.
input requirements
Input planning involves determining Identifying the skills and competencies
what resources (people, cash and sup- needed to execute activities is a critical
plies) and what quantity of each resource component of input planning. This pro-
should be used and when it is needed to cess starts during the development of the
implement activities. country programme management plan.
When specific skills sets do not exist (or
In UNICEF, there are three primary
the number is not sufficient) in a UNICEF
types of inputs: technical assistance,
office, then the skills need to be obtained
cash and supplies.
through staff training or through con-
Technical assistance sultancies, temporary appointments,
Technical assistance can be made institutional contracts or partnering.
available in two ways. It can be provided: The types of human resources required
• Directly by UNICEF staff to partners will also depend on the type of imple-
mentation strategies and approaches
chosen. For instance, when activities are • More often used for strategic
completely outsourced to a vendor or or higher-level planning and
undertaken by a partner, project man- associated monitoring.
agement, contract management and
oversight skills become more important Budget estimate: An approximation
for UNICEF staff. based on well-defined (but preliminary)
cost data and established procedures.
Cash • More often used for implementation
planning and activity-level monitoring.
Cash can be used in two ways. It can be:
• Transferred to implementing partners Firm estimate (and not-to-exceed/not
to carry out activities
less than estimates): A figure based on
• Utilized by UNICEF offices to carry out cost data sound enough for entering into
activities directly. a binding contract.
• More often used when entering into
Managers sometimes think of cash institutional contracts with vendors.
requirements as the amount of cash to
be transferred to implementing partners. Typically, cash requirements include
However, the cash requirement of an consideration of both the direct and
intervention is an estimate of all costs indirect costs. Examples of direct
required to implement the planned activi- costs include:
ties. Cost estimation leads to the creation • Salaries and benefits for staff members
of funding proposals and budgets. working exclusively on one programme
A cost estimate is an approximation of • Travel expenses and personal

the probable cost of completing activities equipment costs attributable to these
on the basis of available information. staff members
There are three common types of cost • Supplies and materials for
estimates, each of which requires an particular programmes
increasing level of effort to prepare:
• Rent, where the programme uses
Planning estimate: A rough approxima- a particular facility exclusively
tion of costs within a reasonable range of (such as a warehouse dedicated to
activities prepared for information pur- education supplies)
poses only (that is, a ‘ballpark’ estimate).
Reality may dictate that cost estimates are undertaken after budgets
are approved. However, estimates should be undertaken prior to
funding or a budget request. Results-based budgeting requires activity-based
budgets that allow for better-informed resource allocation decisions as well as
identification of areas for possible cost reductions.
• Contract fees for vendors for services stages in the programme design,
and goods budgeting, implementation, moni-
toring and evaluation processes. The
• Cash required to be transferred
active and early involvement of supply
to partners.
and logistics staff is an integral part of
programme planning.
Indirect costs are costs shared across
several programmes and include any Where a programme includes a major
expenses that are not directly tied to supply component, a review of the
the operation of a specific programme. supply needs and early planning will
Examples of indirect costs include: help determine:
• General administration and • The outputs and activities that require
management expenses (such as man- supply items
agement staff salaries and benefits)
• The type and quantity of
• Infrastructure costs (such as rent supplies required
and utilities, transportation and
technical licenses) • When supplies are needed at the
project sites
• Other costs that are incurred for
the benefit of all the programmes • The achievability of planned results and
within the organization (such as timelines given the available resources
communication costs). and time
• Whether Procurement Services is

Supplies
an option.
Supplies are used in three ways. They are:
• Transferred to implementing partners Supply planning is undertaken in
to carry out activities conjunction with programme work plans.
It is important to coordinate the supply
• Purchased for/on behalf of governments
planning process internally and with
• Utilized internally by UNICEF offices. external partners to clarify to what extent
supply inputs are needed and how many.
Early supply planning, undertaken in It is also necessary to define how, when,
a collaborative manner with relevant where and who will run operations
stakeholders (programme and supply related to procurement and logistics.
functions in the UNICEF office, including
government counterparts and CSO part- For some essential strategic commod-
ners) is one of the most important ways ities – such as vaccines, immunization
to leverage successful supply operations. devices, cold chain products, mosquito
nets and insecticides – there is a for-
To achieve effective and timely malized annual forecasting process
programme implementation, UNICEF coordinated by the Supply Division. The
offices incorporate the planning and forecasts form the basis of agreements
review of supply components at key established with suppliers.
Managers undertake planning for supply Needed inputs (cash, technical assistance
and end-user monitoring to ensure that provided by staff, and supplies) differ for
supplies are safeguarded and received the same activity based on the imple-
and used by the (intended) beneficiaries. mentation approach that is used (see
Table 3.2).
Table 3.2. D
ifferent implementation approaches require different inputs from UNICEF
ACTIVITY
IMPLEMENTATION 1. S
upport for the development and roll-out of national child-friendly school
ENTITY standards and evaluation sheets
Examples of inputs
UNICEF’S DIRECT INPUTS UNICEF’S INDIRECT INPUTS
• Cash • Staff time to document activity with partner
• Technical assistance provided by staff • Staff time to review and approve cash
• Supplies. requests and progress reports
• Staff time for the procurement & distribution
of supplies
GOVERNMENT
• Staff time to carry out programme monitoring
activities, including assurance activities
• Staff time to manage relationships with
government & other development partners
(management time).
• Cash • Staff time to document activity with partner
• Technical assistance provided by staff • Staff time for the review of the partnership
• Supplies. proposal with CSO
CIVIL SOCIETY
ORGANIZATION • Staff time to review and approve cash
requests and progress reports
• Staff time for monitoring activities, including
assurance activities.
OTHER UN AGENCIES • Cash • Staff time to document activity with partner
(as implementing • Technical assistance provided by staff. • Staff time to review and approve cash
partners) requests and progress reports.
• Cash • Staff time to manage and issue payments
• Staff time to procure consultancy to consultants.
services
UNICEF DIRECT
• Staff time to procure supplies
IMPLEMENTATION • Staff time to develop training materials
• Staff time to deliver training
• Staff time of staff to provide technical
content.
Determine the time required • The dependencies among activities

to carry out activities • Logical end points such as milestones
Activity duration estimation is the or deliverable items.
process of taking information on pro-
gramme activities and inputs and then Activities must be sequenced accurately
estimating the time required for the pur- to support a realistic and achievable
poses of scheduling. The level of effort schedule. When determining activity
the manager puts into understanding sequencing it is essential to consider
and documenting time requirements will external factors that will affect imple-
vary by the size, complexity and criti- mentation timing (such as seasonal
cality of the intervention. considerations, key events and timelines
of stakeholders).
Activity sequencing is an important
component of implementation planning Many different tools are used to under-
and necessitates an understanding of: stand time requirements and to schedule
• All activities required to complete team members accordingly. For a simple
the intervention intervention, a calendar may suffice. A
Gantt chart is probably the most widely
• The time (duration) that each activity used way to show a project schedule. It
will take to complete can easily be created using Word or Excel
(see Figure 3.2).
Figure 3.2. A Gantt chart showing sequencing and timing of programme activities
Jan Feb Mar Apr May Jun Jul Aug Sep Oct
1 31 1 15 16 30 1 15 31 15 2 8 16 22
Milestone event
Polio campaign plan
finalised at national level 30 days
Round table with donors
for resource mobilisation 14 days
Polio campaign micro plans Figure 3.2. A Gantt chart showing sequencing and tim
developed at district level
gramme
134 daysactivities
Jan Feb Mar Apr
Communication tools produced
and distributed/aired
nationwide and in focus districts 30 days1 31 1 15 16
All supervisor and outreach health Milestone event

workers trained at national and
decentralised level 62 days
30 days
National polio week organised
6 days
Post-campaign coverage survey
134 days
Critical to understanding the time required to complete activities is factoring in
any lead time needed to have inputs in place.
For example, time required to recruit staff, procure supplies, gain approvals and put
funding agreements in place need to be taken into account in the overall schedule.
Table 3.3. A programme schedule based on milestones

MILESTONE EVENT TIMELINE FOR COMPLETION
• Polio campaign plan finalized at national level • By end January
• Round table with donors for resource mobilization • By mid-February
• Polio campaign micro plans developed at district level • By end June
• Communication tools produced and distributed/aired • By end July & onwards
nationwide and in focus districts
• All supervisor and outreach health workers trained at • By mid-September
national and decentralized level
• National polio week organized • 2−8 October
• Post-campaign coverage survey • 16−22 October
Additionally, a milestone schedule is Document the

sometimes used to highlight significant work plan
events/steps towards realization of com-
Work plans help you
plex activities or results. The milestone
operationalize your results
schedule indicates timelines by which
framework on an annual, multi-year
important events are expected to be
or rolling basis. It is critical that work
completed. It can easily be created using
plans do not turn into a shopping list of
Word or Excel. An example of a mile-
activities but are closely aligned to your
stone schedule for a specific intervention
outputs and outcomes as defined in
is shown in Table 3.3.
your results framework and documented
When interdependencies among in the country programme document
activities are more complex, activity UNDAF and strategy note. As can be
or work flow diagrams can also assist seen in the work plan template in Figure
in sequencing. Activity or work flow 3.4, each key outcome and output is sub-
diagrams can be created using Word, sequently outlined and corresponding
PowerPoint or Visio. However, it can activities are articulated. These activities
also be helpful to diagram activities on should closely respond to the pro-
a white board to increase the team’s gramme’s priorities and results as laid
understanding of linkages. An example out in the country programme document,
of an activity diagram is shown in UNDAF and programme strategy notes.
Figure 3.3. In humanitarian contexts, the reference
Figure 3.3. A sample programme activity diagram

ACTIVITY 2
5 days
START ACTIVITY 1
3 days
ACTIVITY 5
7 days FINISH
ACTIVITY 3 ACTIVITY 4
1 days 2 days
Figure 3.4. Tool H: A sample work plan template

IMPLEMENTING TIME FRAME PLANNED BUDGET
RESULTS ACTIVITY LOCATION
PARTNER(S) Q1 Q2 Q3 Q4 Funded Unfunded Total
1. Outcome:
1.1 Output 1.1.1
&indicator(s)
(baseline;
target):
1.1.2
1.1.3
1.1.4
1.1.5
1.2 Output 1.2.1
&indicator(s)
(baseline;
target):
1.2.2
1.2.3
1.2.4
1.2.5
will be the inter-agency Humanitarian also increases the likelihood of waste

Response Plan and/or Refugee Response and mistakes. Nor does it provide a
Plan and UNICEF’s Humanitarian Action baseline to monitor performance of the
for Children appeal. programme. In addition, a documented
work plan is a component of being
Work plans are not created in a vacuum,
‘evaluation ready’.
but should involve implementing part-
ners and other key stakeholders. Working The documented plan (whether it is a
together to determine the most relevant work plan or a more detailed micro plan to
strategies and activities is an essential support the implementation of activities)
part of implementation. Ensuring that all provides the basis for implementation and
parties have a keen understanding of and monitoring and should include:
buy-in to the expected results is critical • Scope of effort
to building strong RBM systems. (outcome/output/indicator)
Often, the pressure to get fast results

• Activities to be implemented during the
implementation period
encourages people to skip documenting
plans and get right to implementation • Partner responsible for implementation
of the tasks. Although this strategy can • Required timelines
create a burst of immediate activity, it • Planned budget.
Other components of programme the increased amount of uncertainty.

implementation to document within High-level activities that were vague
the plan are monitoring, quality assur- initially will need to be defined in more
ance and feedback points. This will help detail as their time frame moves closer.
ensure that results are being achieved
as planned, resources are being utilized
Formats for documenting
for their intended purpose, and perspec-
the work plan
tives from programme stakeholders
and communities are being fed back UNICEF has templates for work plans
for timely decision-taking. Monitoring, as well as annual management plans.
quality assurance and feedback are For some activities, the level of detail in
often addressed in meetings and regular a UNICEF work plan will be sufficient.
reviews that may be scheduled quarterly However, other activities will require
or every six months. more detailed plans (sometimes called
micro plans, implementation plans or
The draft documented plan is then circu- project plans).
lated to team members for further inputs
and refinements and to ensure common There are many different ways to
understanding. The final product is one document a plan, which should reflect
that is owned by the entire programme the needs of the programme and the
team, including with those who are team members. For large complex pro-
directly responsible for carrying out grammes, the plan can be a combination
activities – the implementing partners. of many sub-plans (such as a staffing
plan, budget, schedule, etc.).
Items to consider regarding Ultimately, each manager decides the

the work plan’s length and level of detail required to plan and
level of detail monitor scope, time, resources, risk and
• Create a ‘planning horizon’, which stakeholder management (see Table 3.4
includes a detailed work plan that for an example).
estimates the time required for activ-
A sample work plan template is also
ities as far into the future as you
available (Tool H). (See UNICEF’s
feel comfortable.
Programme Policy and Procedure
• The planning horizon will move Manual for more details.)
forward as the programme progresses.
Consider the following when finalizing
• Past the horizon, lay out the work plans:
programme at a higher level, reflecting
Plans can be documented simply or elaborately in Word or Excel. Microsoft

Project is a software that allows dependencies and relationships for
costs and schedules to be documented and easily updated for changes
during implementation.
• Ensure activities will be sufficient structure? And can they be readily

to achieve the desired outputs uploaded to the VISION programme
(vertical logic). management system?
• Review horizontal logic of outputs and • What quality assurance processes exist
indicators in light of the activities (Will to ensure the quality and coherence of
they move the indicator?) and meet work plans?
identified appropriate targets, such as
the annual target.
Remember that your M&E plan is
not always adequate for annual mea-
• Will activities be financed from regular
resources or other resources? Are there surement. You may need to establish
any funding gaps? annual targets to be reflected in work
• Once plans have been developed plans that are context-specific. Make
outside the management system,
do annual work plans/rolling work
sure to refer to your monitoring plan
plans align with the initial results for these indicators.
Table 3.4. An example of inputs required to implement activities

defined in a work plan, linked to outputs and outcomes
OUTCOME OUTPUT ACTIVITIES INPUTS
Gender-sensitive Gender-sensitive Development and • Technical support via consultant to review
quality standards national school roll-out of national existing child-friendly school standards and
adopted at standards and school standards and to develop school evaluation sheet
national level and evaluation evaluation sheets that • Cash for the national validation workshop
implemented in sheets produced. are gender-sensitive. and initial testing
model schools,
promoting • Procurement of evaluation sheets for
the inclusion distribution nationwide
of vulnerable • Cash to support national supervision & data
children. analysis of school evaluation.
Provision of (hardware • Procurement of school furniture & supplies
and software) support for vulnerable children
to selected number of • Institutional contract for construction of
schools (55) to improve separate WASH facilities
their systems.
• Partnership with NGO for training of
teachers and mentoring in active
• learning methodology
• Cash for regular monitoring of selected
schools in national database.
Other key resources

UNICEF’s Programme Policy and Procedure Manual, section 4.02, ‘Programme Implementation
and Management’ (on work planning)
STEP 2. MANAGE IMPLEMENTATION & MONITORING

• Manage resources and efforts
• Track progress, constraints and opportunities
Once implementation planning is out for opportunities to pick up the pace

complete, the manager works to obtain of progress. Hence, when implementing
inputs so that activities can be imple- the work plan, a number of areas should
mented and monitored according to the be closely monitored. These include:
work plan. • Human resources, including
staff performance
Obtaining and managing inputs should
be carried out in compliance with • Grant compliance
UNICEF’s policies, procedures, processes
• Managing relationships with stake-
and systems. The manager’s level of
holders and implementing partners
understanding of organizational policies,
procedures and processes as well as his/ • Communication, media and
her ability to utilize required systems information
will directly impact the effectiveness of
• Financial resources or budget.
the programme.
Managing implementation and Human resources,

monitoring involves two main activities: including staff performance
• Manage resources and effort
• To manage the implementation of
• Track progress, constraints programmes, managers must ensure
and opportunities. that the right personnel are in place.
Knowledge and experience with RBM
is increasingly in demand, and staff
Manage resources and effort engaged by a programme should
Managing for results involves bringing possess basic RBM skills, such as famil-
together all human, financial, technical iarity with results frameworks, theory
and other resources to achieve desired of change, monitoring plans, collection
development results. It focuses on of data and results-based reporting.
providing sound information to improve Staff should also be continuously
decision-making. This entails tracking supported to strengthen their ability to
progress and managing in a way that will apply RBM principles and tools.
maximize results.
• Additionally, managers need to review
Key to this process is being able to staffing and skills sets identified as a
identify the constraints that may impede part of the implementation planning
implementation, while keeping an eye step to determine whether there are
any gaps that will require short-term
resourcing (such as consultancies and and emerging needs it is important

temporary appointments). Related to create learning maps and training
human resources considerations: activities appropriate for the team.
• Recruitment and ‘onboarding’.
Sourcing, screening and selecting Grant compliance
new personnel takes time and effort. • Compliance with funding agreements
Candidates selected should have the is key to sustaining trust and credibility
right knowledge, skills and behaviour with donor partners. A problem in one
to perform the job. Recruits need to country office can have a trickle effect
be brought quickly on board so as across UNICEF-donor relationships
to reduce time needed to work at globally. Throughout implementation,
full proficiency. managers must ensure that pro-
gramme and financial data required
• Deployment and redeployment
for donor reporting is being captured.
strategies. Once the right people
Additionally, managers must see to
are on board, they need to be effec-
it that implementation of activities is
tively deployed. In other words, their
occurring in accordance to the speci-
strengths and interests should be
fied work plan (which should align with
matched with the needs of the pro-
the funding agreement and is directly
grammes they will be supporting. This
linked to the results structure).
requires getting to know staff and
matching resources to activities that • Typically, donor reporting focuses on
are identified within the work plan. whether funds are used before grants
Results-based management princi- expire and for the use specified in the
ples dictate that all work undertaken funding agreement. These are basic
should relate to a specific output/ components of ensuring compliance.
outcome/result. By aligning human However, managers must also deter-
resources to the work plan (which is mine whether there are any other
aligned to the results structure), this conditions that must be complied with.
will be achieved. Certain ‘visibility requirements’ may be
• Performance management. The per- specified, for example, or reporting to
formance goals of human resources the donor when certain types of issues
need to be discussed, documented are encountered.
and aligned with the overall require-
• The information on grant conditionality
ments and results of programmes. and requirements is contained in
Effective performance management grant agreements available in UNICEF
is about continuous communication, offices. Managers seek advice from
planning, monitoring and objective donor relations specialists in the
performance evaluation. When done country office, regional office or head-
right, it elevates employee perfor- quarters to ensure they understand
mance and overall results. how to fully comply with funding
• Learning and training. To ensure that agreements during implementa-
staff have the skills to meet current tion. This is especially true when a
manager is new to a programme and • If resources are being transferred

funding agreements are already in to a government entity, the work
place. In such cases, managers must plan constitutes the basis for the
acquaint themselves with the condi- collaboration, and no additional
tionality of existing agreements and documentation is required. Detailed
manage accordingly. activity planning is undertaken bilat-
erally with the implementing partner
Managing relationships at the time of implementation. Where
with stakeholders and no resources are being transferred
implementing partners to the CSO or UN partner, managers
• Partners also need to be knowledge- determine whether there is a need
able about RBM practices, including to enter into a Memorandum of
the development and use of the Understanding. Such an agreement
results framework, monitoring plan, is important where there are specific
indicators, data collection and results- roles and responsibilities assigned to
based reporting. The goal is coherence each partner.
between government management • If resources are being transferred to
systems and the results-based man- a CSO partner, then a Programme
agement used by UNICEF so that there Cooperation Agreement and
is no duplication of effort or working Programme Document or a Small-
at cross purposes. This is also why it Scale Funding Agreement needs to be
is important to involve partners from put in place prior to resources being
the beginning. Working collaboratively transferred. Since such agreements
from the start helps promote owner- take time (for joint development and
ship of various frameworks used by internal review), managers need to
the government and UNICEF. With core factor in sufficient lead time.
government and CSO implementing
• If resources are being transferred to
partners, an emphasis on results can
a UN partner to implement program-
ensure buy-in and follow through. With
matic activities, then the manager
contractors, on the other hand, man-
puts in place a UN-UN Contribution
aging relationships is more about strict
Agreement or a joint programme
compliance and quality assurance.
depending on the scope of the work
• If the office has chosen to implement to be undertaken.
through partners, then partnership
agreements are put in place. The type • Managers must also consider whether
of agreement used depends on the partners require any training or ori-
type of partner (government, CSO or entation in working with UNICEF.
UN agency), whether resources are Implementation can be significantly
being transferred, and the value of delayed when partners are not familiar
resources – in cases where there is a with UNICEF’s expectations in carrying
resource transfer. out and reporting on activities.
• Ensuring adequate technical support • The performance of the third party

and oversight at all stages of pro- must be monitored to ensure that
gramming is critical to the quality of the progress of work is proceeding
programme implementation with part- in accordance with the requirements
ners. This includes managing inputs of the contract. Monitoring is also
(cash and supplies) transferred to needed to ensure timely detection of
partners to ensure timely reporting and potential problems and/or the need for
intended use. amendments to deal with changes in
deliverables (scope, time and budget).
• Managing third-party service vendors
and consultants is essentially man- • The performance of third parties
aging the relationship as outlined in needs to be documented. Payment of
a contract between UNICEF and the fees is subject to satisfactory comple-
third party. Tasks assigned to third-party tion of services as approved by the
vendors and consultants should be in Contracting Office. If deliverables are
alignment with those set forth in the evaluated as less than fully satisfactory,
work plan. no further contracts can be granted to
the consultant, and payments may be
• The principles related to managing
reduced or withheld entirely.
third-party vendors and consultants
are very similar. That said, UNICEF • However, efforts to resolve perfor-
requirements for each vary slightly mance problems should always aim
and managers need to be aware of for the successful execution of the
the differences. contract. The manager strives to reach
a just and practical solution that will
• Contract management involves
allow work to proceed and, at the same
planning, budgeting, scheduling and
time, safeguard the interests of UNICEF.
monitoring the progress of work and
taking corrective actions to safeguard Communication,
the interests of UNICEF and the con- media and information
tractor. Ineffective administration of a
contract leads to increased costs and
• Communication in this context means
telling the performance story: high-
delays in delivery and may expose
lighting evidence seen in the indicators,
UNICEF to legal complications with
the achievement of targets or current
unpredictable results.
versus baseline data. Quotes, graphs
• Third parties have to be onboarded to and testimonials are useful in clarifying
the project in question. The onboarding the data and providing a human dimen-
process is often more detailed for con- sion. The performance story may be
sultants, who require ground passes communicated in reports that are more
and access to UNICEF networks and results-based than activity-based and
venues required for their work. may be supplemented with a variety of
media, such as videos, and interviews.
• Throughout implementation, managers a management tool used to help all

must be mindful of managing com- project stakeholders understand their
munication with stakeholders – both roles and responsibilities and those of
internal and external. Sometimes other project members. A RACI anal-
requests are explicit – such as audit ysis can be helpful in not only charting
requests or information requests responsibilities but also in determining
from donors, governments or the cross function/sectional communica-
general public – and the manager tion during implementation:
must respond. • Responsible: person who performs an
activity or does the work.
• Some external stakeholder
communication is routine and forms ccountable: person who is ultimately
•A
part of a manager’s every day func- answerable for decisions taken
tions. Other requests, however, such as • Consulted: person who needs to
media inquiries, may require consulta- provide feedback and contribute to
tion with communications officers. the activity
• Internal stakeholder communication • Informed: person who needs to know
could be in response to an ad hoc of the decision or action.
request from senior management or a
headquarters division or may form part • It is a manager’s responsibility to
of regular reporting requirements. ensure that office-based senior staff are
aware of communication requests and
• All of these forms of communication have the opportunity to review drafts
require a certain level of effort. It is before they are issued to stakeholders.
important to remember that the quality In addition, communication should be
of communication with stakeholders coordinated throughout the office (and
not only affects the success of a relevant headquarters divisions, such
project, but may positively or nega- as those concerned with donor rela-
tively impact on the reputation of the tions) to ensure that all relevant parties
office and/or UNICEF. are provided with adequate and consis-
tent responses, as the need arises.
• During implementation, man-
agers must be mindful of the need
Financial resources
to communicate the status of the
or budget
programme, especially any adjust-
ments required. This communication • Financial resources have a direct
extends throughout the team as well bearing on the reach and results of a
as to senior managers and partners. programme. The programme manager
Communication with various types of must ensure that financial resources
stakeholders serve different purposes. are adequate to achieve expected
‘RACI’ (which stands for Responsible, results and that value for money is
Accountable, Consulted, Informed) is being achieved. Value for money is
about maximizing the impact of each planned activities, which enables

dollar spent to improve children’s lives. managers to monitor the utilization
Value for money doesn’t mean we of resources.
always pay the lowest price. Rather, it • The rate at which budgets are uti-
means we strive to understand what is lized needs to be tracked against the
driving our costs and make sure that planned cost of activities; the rate
we are getting the desired quality at at which activities are implemented
the lowest price. UNICEF partners also also needs to be tracked. Grants must
need to understand value for money. be tracked as well and used before
• The overall financial performance of their expiration dates. Grants must
the programme needs to be moni- be managed so that timely funding
tored: Do we have funding in place to source decisions can be made;
resource the programme as planned? problems with financial utilization
Are we utilizing existing resources need to be flagged for discussion
as planned? with donors.
• Funding. If funding has not already • Managers keep track of the approx-
been secured for the programme, imate amount of cash required per
managers seek additional funding to quarter (for example, the expected
carry out programme activities. Often size of a cash transfer to imple-
this means submitting a proposal to menting partners or payments to local
donors or accessing funds whose vendors). This information is pro-
allocation is managed internally by vided to financial managers to ensure
UNICEF (such as thematic funds). that adequate cash is maintained in
local bank accounts, enabling timely
• Often plans are based on assump-
payments and transfers and avoiding
tions related to funding availability.
implementation delays.
Managers review whether funding
is being made available as planned
in order to determine whether fund-
Track progress, constraints
raising efforts are required and/ and opportunities
or adjustments to the programme Managing for results focuses on pro-
need to be made before funding viding sound information to improve
becomes available. decision-making. This entails tracking
• Utilization. Cash is made available to progress and managing in a way that
programmes by issuing budgets in will maximize the achievement of results.
financial systems (VISION in UNICEF). Monitoring the work plan and imple-
Upon the allocation of budgets, mentation progress is an important part
managers allocate funds for planned of the day-to-day management of your
activities. Input procurement actions programme (the topic is developed fur-
(purchase orders, service contracts, ther in Chapter 4). Monitoring includes
etc.) and staffing are coded to the identifying constraints and opportunities
that may require a reconsideration of of implementation and whether

programme strategies, and may even adjustments are required.
lead to changes in programme design.
What managers track will vary in
Monitoring takes place at different levels,
response to the chosen implementation
as show in Figure 3.5.
strategy and modality. For example, end-
While measuring results achieved is user monitoring and supply monitoring
important, so is tracking how the pro- of equipment and materials delivered
gramme is being implemented. This may not be applicable to programmes
information can build an understanding with a focus on evidence-generation,
of why certain results are or are not policy and advocacy.
being attained.
In addition to tracking the availability and
UNICEF managers should continuously use of inputs and the implementation of
track the use of inputs and resources, the activities, programme monitoring at this
progress of activities and the delivery stage is also required for a number of
of outputs. This is what is referred to as other components, such as:
implementation monitoring. Tracking • Grant compliance
involves examining how activities are • Budget
delivered and their efficiency in terms
• Scope
of time and resource allocation and
use. It also links implementation to
• Time
a particular unit of responsibility. By • Staff performance
undertaking regular reviews of actual • Partnership management
progress against the work plan, the • Contract management
manager is able to assess the status
• Supply chain management.
Figure 3.5. Levels of monitoring
• Long-term, widespread improvement

IMPACT
in society
Results OUTCOMES • Immediate effects of outputs on clients

monitoring
OUTPUTS • Products and services produced
ACTIVITIES • Tasks personnel to transform inputs to outputs

Implementation
monitoring
INPUTS • Financial, human and material resources
Table 3.5 provides a checklist of key considerations and questions you might ask when tracking
resources and monitoring implementation.
Table 3.5. Checklist of key considerations for implementation monitoring

Note: Some components may not be applicable to all country programmes
GRANT • Is the execution of the project in compliance with donor requirements?
COMPLIANCE • Is the required data and documentation being captured and maintained for donor reporting?
• Is cash (grant) or budget being utilized by the project as expected (for the intended purpose
BUDGET and as per expected time frame)?
• Have donors made contributions as anticipated?
• Are the activities that need to be accomplished to deliver an output taking place
and being measured?
• Are indicators identified in the programme plan appropriate to measure progress?
SPECIFICATION • How do you guard against ‘scope creep’ to include additional activities?
(SCOPE) • Are activities producing the required output?
• Are there unexpected obstacles to achieving the desired output?
• Are the outputs achieved contributing to address disparities and risks faced by the most
vulnerable children?
• Are activities taking place within planned time frames?
• Have key milestones been met or are they on track to being delivered?
TIME • Are problems anticipated in completing critical path activities?
• Are scheduled tasks taking additional hours to complete on time, requiring team members to
work overtime to meet schedules?
• Are staff performing as per performance plans and the new results-based staff
performance system?
STAFF • Are performance evaluations taking place as planned?
PERFORMANCE • Are problem areas identified – knowledge, skills, attitude, enabling environment, etc.?
• Is additional training/coaching/mentoring required?
• Is team morale declining?
• Are partners requesting resources as planned?
• Are assurance activities taking place to ensure partner reports are accurate, results-based
and that funds are being used as intended?
PARTNERSHIP • Are partners reporting results as required?
MANAGEMENT
• Are partnership reviews taking place as required?
• Are partners respecting their accountability to affected populations?
• Are cash transfers being reported in a timely manner?
CONTRACT • Are contractors delivering agreed-on results on time and within quality specifications?
MANAGEMENT
• Are services and goods being delivered to the target population as planned?
END-USER
• Are services and goods delivered having any unintended effects in the community?
MONITORING
• Is the quality of services and goods in line with required standards?
• Are supplies being ordered in the quantity and according to the specification required?
SUPPLY
• Are logistics and warehousing in place to transport and store supplies?
MANAGEMENT
• Are supplies in place and on time for project implementation?
STEP 3. M
AKE ADJUSTMENTS &
TAKE CORRECTIVE ACTION
• Refine the work plan
• Adjust implementation
Monitoring work plan

In managing implementation, implementation
it may become apparent that certain
• T rack inputs
roadblocks are impeding progress
and that adjustments need to be •M onitor progress towards milestones
made to work plans, activities and • Identify adjustments required
implementation strategies. •D ocument adjustments to report
and share
Continuing to adjust and take corrective
action is key to good programme • T rack and report implications of
adjustments and change
management. This may entail:
• Refining the work plan •A
nalyse impact on resources, quality
and time requirements
• Adjusting implementation strategies
• Initiate discussions with partners
and modalities.
on adjustments and impact on
funding agreements.
Refine the work plan
Corrective adjustments are documented
by updating the work plan and, where corresponding theories of change and
required, updating the programme monitoring plan remain relevant and
strategy note. This includes updates to up to date.
assumptions used to develop the plan,
if those assumptions change, but may Adjust implementation
also include adjustments in strategies
Managers should make sure that
and activities to better achieve results.
identified adjustments are com-
Keeping the work plan updated lends
municated to project staff, UNICEF
itself to continuous learning and being
management and other stakeholders, as
‘evaluation ready’.
appropriate. It is particularly important
Your main tools may also need to be to identify whether planned adjustments
adjusted during the course of a year so will affect UNICEF’s ability to comply
that they remain relevant and useful to with funding agreements from donors.
all parties. This may require an annual Where compliance may be at risk or
meeting of key stakeholders or pro- project implementation may run past
gramme reviews (quarterly and every grant expiry date, challenges and oppor-
six months) to help to ensure that tunities should be discussed as early as
implementation is occurring as planned possible with donors.
and that the results framework and
ONGOING STEPS
• Identify and mitigate risks
• Ensure knowledge transfer and continuous learning
Throughout implementation, During implementation, managers

managers monitor performance and should continually monitor, respond to
identify and mitigate risks that may and report on risks. It is also important
impede the achievement of results. to periodically assess whether any new
Managers also put in place mechanisms risks have emerged. However, managers
to promote learning from experience and must seek to balance risks with the costs
the exchange of knowledge. of responding to them and the value that
taking risks may bring. Figure 3.6 (next
Identify and mitigate risks page) provides some basic questions
with regard to risk, costs and results.
Managers are continuously seeking
to identify and mitigate risks that may Meeting periodically with implementing
impede the achievement of results. At partners to discuss risks and measures to
the same time, they must seek to balance mitigate them is an essential aspect of a
risks with the costs related to mitigating programme manager’s job. Take out your
them and the value that taking risks risk monitoring and response matrix (see
may bring. Chapter 2, Tool E) during programme
reviews and review the risks and
Risk management involves periodic
response strategies you had anticipated.
monitoring and re-assessment of risks
Assess the current risk level and record
that can impact the achievement of
it in your risk matrix under the current
results, taking measures to mitigate
date (as shown in Table 3.6, next page).
negative risks (including preparedness
Have risks you identified earlier dimin-
measures) and to maximize opportuni-
ished in likelihood to the point where
ties. Risk management in this context
you no longer need to track them? If so,
applies to both re-assessment and
revise your risk matrix to reflect this. Or,
adjustment in relation to risks to children
possibly, the impact is less or more than
and women, and in relation to a wider
expected. Perhaps new risks that you did
range of risks to programme imple-
not initially foresee are apparent to you
mentation. In the planning phase (see
now. Add them to the matrix and revise
Chapter 2), you will have identified the
your mitigation strategies or develop
risks to the achievement of your results,
new ones accordingly. Make sure these
assessed their likelihood and impact,
changes are reflected in your matrix.
defined risk response measures, and
Use your matrix to review your risks and
recorded it all in a risk monitoring and
determine what adjustments are needed
response matrix.
in strategies and work plans.
Figure 3.6. Connecting risk response with costs and results
RISK RESULTS RISK RESULTS

RISK RESULTS
COST COST COST
• Do we understand the risks • Are we focused on the risks • Are the risks we take
that our programme faces? that matter? aligned to our strategies
• Do we know the risks facing • Do we have duplicative or and objectives?
girls, boys and women? overlapping risk mitigation • Are risks impacting expected
• Do we know our key risks? measures? results for girls, boys and
• Are we accepting the right • Do we have the right mix of women?
level of risk? skills at the right cost? • Are we monitoring risks to get
• Do we know if our risks are • Have we optimized the use of process improvement ideas?
being properly managed? technology to manage risk? • Are we taking the right risks
• Can we use alternative to leverage comparative
strategies to reduce costs? advantage?
• Is risk management slowing
me down or helping me
go faster?
Table 3.6. Risk monitoring and response matrix
RISKS RESIDUAL RISK LEVEL

(Top 7−12 for (Assuming response is implemented)
programme or LIKELIHOOD (L); IMPACT (I) RISK
RELATED RESULT programme area/ RESPONSE
STATEMENT(S) component) Date 1 Date 2 Date 3 STRATEGY
L=3 L=2 L=
I=3 I=3 I=
L=4 L=5
I=3 I=4
With regard to risks related to children • Equipping UNICEF staff with the
and women, there are many specialized knowledge and guidance they
sources for risk monitoring information need to be effective advocates on
(such as those that are hazard specific children’s issues
or multi-hazard risks related to disas-
• Leveraging South-South knowledge
ters and conflicts); the challenge is to
exchange for programmes
periodically check on any change in
risk analysis. • Operational effectiveness from
a culture of continuous learning
At the implementation stage, having this
from experience.
matrix in hand allows for:
• Quick activation of any As illustrated in Figure 3.7 (next page),
response measures numerous entry points for organiza-
• A better understanding of risks for tional learning may reveal themselves
programme adjustments as new activ- as programme implementation takes
ities might need to be added to the place. Internal audit and management
work plan to mitigate risks reviews are an opportunity to ensure
that controls and management prac-
• A better understanding of tices, processes and tools are in place.
implementation for purposes Performance monitoring is ongoing and
of knowledge exchange. will track the performance of activities,
outputs, outcomes and impact (see
Chapter 4 for more details on moni-
Ensure knowledge transfer
toring). Mid-term and end-of-programme
and continuous learning
reviews and evaluations focus specif-
The benefits of knowledge exchange are ically on results, among other things.
vast and include: They are an important forum for learning
• Improved efficiency and reduced and corrective action (see Chapter 5
costs through strengthened ability to for more details on evaluation). During
respond quickly to emerging issues implementation, managers should take
• Rapid mobilization of expertise and steps to ensure that programmes are
experience, avoidance of previous evaluation ready by checking that:
mistakes and duplication of efforts • Plans and adjustments are documented
• Adoption of integrated approaches to • Key indicators are selected and data

programming by establishing com- are regularly collected to assess
munities and networks that cut across whether targets are being met
sectors and geographic locations • Analysis and reporting of results is
carried out.
Figure 3.7. Using performance information for organizational learning
Managing for results

• Planning for results • Performance management
• Implementation • L earning and action
Internal End-of-
audit and Performance monitoring Mid-term evaluation project
management evaluation
reviews
Intermediate Final
Inputs Activities Outputs
outcomes outcome
Iterative programme implementation
Other key resources

Mayne, John, ‘Best Practices in Results-Based Management: A review of experience. A report for
the United Nations Secretariat, Volume 1: Main Report, July 2007, pp. 35−40.
Knowledge Exchange
Supply Manual
E-Human Resources Handbook
Division of Financial and Administrative Management policies and procedures
UNICEF Procedure for Country and Regional Office Transfer of Resources to Civil Society
Organizations, 2015.
HACT Policy and Procedure:
1. UNICEF HACT Policy, 2015.
2. UNICEF HACT Procedure, 2015.
Programme Policy and Procedure Manual, Chapter 4, Programme Implementation
& Management.
Chapter 4. Monitoring for results | 105
Chapter
MONITORING FOR RESULTS
How do you know whether you are achieving what you set out to do in your programme?
Monitoring allows managers to find out how well their interventions are progressing. It is a key
component of results-based management, providing an opportunity to track both the implemen-
tation and the results of an initiative, project or programme. Armed with a results framework, a
detailed monitoring plan can help managers track their indicators and targets, collect evidence
of change (or lack thereof), and report on progress to date.
When to use this chapter: Chapter overview of steps

• When monitoring the results framework and corresponding tools:
• When developing your monitoring plan Steps
• Prior to undertaking monitoring Step 1. Consult your results framework
• When you need to know what to monitor. Step 2. Plan for monitoring
Step 3. Select monitoring tools and approaches
Who should use this chapter: Step 4. Collect and analyse data
• All UNICEF staff, particularly programme Step 5. Communicate and report findings
specialists/officers Step 6. Take corrective action
• Planning and M&E specialists

• Implementing partners. Tools
Tool G. Monitoring plan (Chapter 2)
OVERVIEW
In Chapter 2, we learned how to build a results framework and a subsequent
monitoring plan for your programme. The plan is a key reference tool for managers
to monitor, report on and evaluate interventions. In this chapter, we examine more
closely how to use the monitoring plan and other tools to operationalize the moni-
toring of UNICEF-funded interventions.
What is monitoring?
monitoring: | ˈmɒnətərɪŋ | v.
Monitoring is the ongoing, regular observation and recording
of activities taking place in a project or programme.
It is a process of routinely gathering approach to programming and also fos-

information on critical aspects as well as ters social accountability. Such feedback
unforeseen negative effects on a project should provide early indicators of prog-
or programme during implementation. ress or lack thereof in the achievement
of results. The information generated
To monitor is to check on how activi-
from various monitoring approaches
ties and results are progressing. “It is
should be used by managers to improve
observation – systematic and purposeful
programme management, to strengthen
observation.”14 It is also dialogue with
national systems, and to increase pos-
key stakeholders to understand how
itive impact on populations being served.
activities are progressing: the challenges,
obstacles and strategies that stake- Results-based management requires a
holders identify to ensure continued culture of looking beyond inputs and
progress towards expected results. activities and what we did, to a culture
of monitoring what is changing (in
This dialogue includes feedback to and
terms of capacities, performance and,
from primary stakeholders. For UNICEF,
ultimately, conditions for children). In
primary stakeholders are women and
monitoring terminology, this is a move
children (as appropriate to their evolving
from ‘inputs’ and ‘activity’ monitoring to
capacities), who are then provided
results monitoring.
information on how their feedback has
been addressed. This process is consis-
tent with UNICEF’s human rights-based
What is the purpose of 2. Whether we are achieving the

programme monitoring? expected results (based on the theory
of change and planned outputs, out-
Monitoring draws on the key RBM
comes and impact)
tools developed in the planning stage,
including the results framework and 3. Whether adjustments need to be made
the monitoring plan, which are the core to the programme activities and strat-
building blocks of a monitoring system. egies in order to ensure that expected
Results monitoring focuses specifically results are achieved.
on results at the output, outcome and
impact level and enables you to track
Types of monitoring
progress towards your ultimate des-
tination (impact) and all the points in There are several common types of
between (your outputs and outcomes). monitoring, as shown in Figure 4.1.
Monitoring enables you to manage for
results, especially if you are falling short Implementation monitoring
of targets or require additional resources In implementation monitoring,
or different strategies to better reach continuous or periodic oversight of the
your desired outcomes. implementation of an activity is under-
taken to establish the extent to which
Programme monitoring is a process that
inputs, work schedules, other required
provides us with data needed to deter-
actions and targeted processes are
mine three things:
proceeding according to plan. The cen-
1. Whether we are implementing the pro-
tral question is: Are we implementing
gramme as planned (implementation)
as planned?
Figure 4.1. Types of monitoring

Key management questions TYPES OF MONITORING Monitoring focus
• MoRES Level 2 Inputs

Are we implementing IMPLEMENTATION • Programmatic
as planned? MONITORING Visit (HACT) Activities
• Field monitoring
Outputs
Are we RESULTS MoRES Level 3
achieving results? MONITORING (development
and humanitarian) Outcomes
How is the situation of children SITUATION Impact

MoRES Level 4
or the wider context changing? MONITORING
Results monitoring Situation monitoring

In results monitoring, results (outputs In impact or situation monitoring, a
and outcomes) are measured and condition or set of conditions, such as
reported on at periodic intervals. In the situation of children and women, is
monitoring programmes in humani- monitored. Situation monitoring mea-
tarian situations, this will be of higher sures change or lack of change in such
frequency. The resulting data are conditions. Monitoring the situation
subsequently used in programme man- of children and women and develop-
agement and decision-making. In an ment goals such as the Sustainable
equity-focused approach (carried out Development Goals is necessary when
through the Monitoring for Results in trying to draw conclusions about the
Equity System, or MoRES), results mon- impact of programmes or policies.
itoring provides information to assess
progress in reducing bottlenecks that
impede coverage of proven interventions KEY STEPS
(at the output level) and increase cov- IN MONITORING
erage of evidence-based interventions (at FOR RESULTS
the outcome level). In a human rights-
based approach, results monitoring Figure 4.2 illustrates the six steps in
focuses on changes in the capacities of results-based management monitoring.
duty bearers and rights holders (at the
output level) and changes in their perfor-
mance (at the outcome level). The central
question here is: Are we achieving the
expected results?
Figure 4.2. Six steps in results-based management monitoring
1 2 3 4 5 6
CONSULT PLAN SELECT COLLECT COMMUNICATE TAKE

your results for monitoring and and corrective
framework monitoring tools and analyse report action
approaches data findings
Other key resources

UNICEF’s Programme Policy and Procedure Manual, chapter 5 on Monitoring.
STEP 1. STEP 2.
CONSULT YOUR PLAN FOR MONITORING
RESULTS FRAMEWORK
Essential elements
Monitoring begins with sound stra-
of monitoring
tegic planning. This includes the
development of a theory of change Planning for monitoring
and its results framework, with a hier-
Planning for monitoring begins with
archy of results from a multi-year
strategic planning and runs through
perspective (see Chapter 2). Strategic
planning for implementation, evalua-
planning documents such as Programme
tion reporting and time spent revisiting
Strategy Notes, Country Programme
strategies and plans. Monitoring should
Document, Humanitarian Action for
draw on existing monitoring systems
Children Appeals and related response
wherever possible. Planning for moni-
plans in humanitarian crises, the
toring entails working out an effective
UN Development Assistance Framework,
and efficient set of data collection sys-
the Country Programme Management
tems and activities at different levels: 1)
Plan and associated results frameworks
planning for results monitoring usually
and monitoring and evaluation plans
involves the contributions of a wide
should be the starting point for oper-
range of stakeholders, 2) planning for
ational monitoring as implementation
implementation monitoring aims to
kicks in.
clearly track the contribution of a single
Results monitoring usually involves partner agency, such as UNICEF.
major data collection activities requiring
Monitoring activities can be incorpo-
significant resources and strategic
rated into work plans, but often a more
timing to feed into key decision-making
detailed monitoring plan is necessary.
events. Data collection needs to be
Methods of data collection are not likely
planned in parallel with evaluation
to be included in work plans, nor will
and research activities, mapping out
such plans likely convey how monitoring
end use, sequencing and budgeting,
information will be used by programme
especially given that monitoring feeds
management. In order to ensure greater
into both evaluation and research. In
clarity and visibility of monitoring activ-
UNICEF, this is accomplished through the
ities, a separate plan may be developed
integrated monitoring, evaluation and
to detail what information will need to be
research plan.
collected, how and when data collection
will occur, and how that information will
be used.
A detailed monitoring plan for your Preparing and using your

project or programme often takes the detailed monitoring plan
form of a matrix that outlines for each
From the beginning and throughout
result the following items: indicators,
implementation, it is important to have
baseline, targets, data collection
a working monitoring plan that includes
methods, sites, responsible persons,
all the essential elements and ensures
frequency and utilization (see Table
that the necessary human resources,
4.1). PRIME15 is a tool that can facilitate
tools and budget are available and
quality assurance in the implementation
coordinated. This will allow you to track
of M&E activities identified in plans.
progress, make adjustments along the
way to increase effectiveness and effi-
Identification of responsibility
ciency, inform decision-making, and
Monitoring is considered a core report on the status of your programme.
responsibility of staff – from the UNICEF A cross-sectoral perspective allows for
representative to programme and oper- efficiencies, such as the planning of a
ations staff. Programme managers lead national survey (such as MICS) in an
programme monitoring planning and integrated monitoring, evaluation and
implementation from their programme research plan. A cross-sectoral perspec-
perspective. Monitoring and evaluation tive feeds into sector-specific and more
specialists in country offices or at the detailed monitoring plans.
regional level provide technical support
to programme staff.
Sites (geographic locations/areas
where data will be collected)
Time and financial resources
In planning how to monitor your indi-
All too often, time and resources are not cators, consider where data collection
sufficient to allow for meaningful moni- will physically take place for different
toring of development interventions and types of monitoring. This will sup-
humanitarian response. It is essential port you in planning and costing your
that time be allocated in advance so that monitoring activities.
monitoring activities are undertaken. A
budget for monitoring and evaluation
Responsible persons
should be part of the M&E plan.
Plan who (which people, agencies,
partners) will be responsible for
collecting, analysing and reporting on
the data. Ensure a role for local In humanitarian crises, monitoring for
stakeholders in programme short-term life-saving and protection
management so that they can results requires much higher frequency
participate in data collection and (monthly, for example) and this in and
make appropriate decisions for of itself narrows the choices of meth-
programming and implementa- odologies. At the same time, even in
tion. Data should be analysed at humanitarian crises, very soon after a
all levels – not just the central level. sudden onset disaster and over time in
Plan who (which
Consider also how primary stakeholders slow-onset crises (such as drought and
people, agencies,
at the community level can be engaged conflict), longer-term recovery and devel-
partners) will
be responsible at the local level, and how their feedback opment results should be included when
for collecting, can be channelled back to central man- possible, requiring a different and slower
analysing and agement. Be sure to assign a specific pace of monitoring.
reporting UNICEF team member who will follow
on the data. up, and include that in their work plan. Utilization
Consider ahead of time the purpose of
Frequency of data collection the data you have collected. This is also a
Frequency of data collection may be useful check on the value of your indi-
quarterly, bi-annually, annually or even cators and whether it makes sense to
at the end of a project. Monitoring will invest in monitoring them.
vary along the results chain. For
Table 4.1 (next page) is an excerpt of
example, you may only be able to
a detailed monitoring plan. In the sce-
monitor the outcome after year
nario presented, an education specialist
one or two of programme imple-
monitors two outputs.
mentation. Outputs will typically
be monitored on a more fre- Readers may refer to the ‘Field
quent basis, such as every six Monitoring Guidance’ in UNICEF’s
months to a year. Programme Policy and Procedure Manual,
which covers planning and managing
Consider collecting data on a more
systematic approaches to field mon-
regular basis (monthly, quarterly, every
Data should itoring, including references to data
be collected six months) depending on how often the
collection and analysis tools.
often enough to data will be analysed and used to inform
adjust activities programming, and how feasible it is to
and strategies collect data more frequently. Data should
as needed and be collected often enough to adjust
to make course activities and strategies as needed and
corrections. to make course corrections.
Table 4.1. Excerpt of a detailed monitoring plan
COUNTRY PROGRAMME ANNUAL

RESULTS AND INDICATORS BASELINE DOCUMENT TARGET TARGET
Outcome 1: Children increasingly access primary schools
Output 1.1: Improved mechanisms to monitor and apply sanctions to primary schools that charge fees
Quality of mechanisms to encourage the implementation 0 3 2017: 1
of the policy to eliminate school fees. Scale from 0 to 2018: 2
3: (a) government has a policy on sanctions: 1 point; (b)
school district officials’ job descriptions and performance 2020: 3
contracts include implementing sanctions: 2 points; (c)
schools are systematically monitored and sanctioned if they
charge fees: 3 points.
Output 2: Increased awareness on the part of primary schoolchildren and

their families and communities of their right to fee-free education
Percentage of girls, boys, families and community leaders 0% 95% 2017:
surveyed who report being aware 1) of their right to fee-free 40%
education, and 2) of mechanisms to report primary schools 2018:
that charge fees to school district authorities. 80%
2020:
95%
Monitoring in management level, monitoring systems

humanitarian situations should at least be able to answer the
following questions:
The approach to monitoring a
• Are we making progress against
sudden-onset or rapid scale-up human-
targets? That is, what is the coverage
itarian response must be adapted due
on key results?
to the urgency and demand for fre-
quent information and the contextual
• What is the quality of the response
on the ground?
limitations on data collection systems.
In such situations, implementation and • Do we have the resources to
results monitoring are usually more achieve results?
tightly managed together to sup-
port effective decision-making. At the
• Where we are cluster lead agency,
are we accountable in that role?
COLLECTING DATA FOR PERFORMANCE MONITORING

RESPONSIBLE FREQUENCY OF DATA
SITES PERSONS COLLECTION AND
METHODS (Geographic (Who will collect, REPORTING PERIOD
(Methods of data locations/areas analyse, report (When will data
collection and data where data will and ensure collection and analysis UTILIZATION
sources, as relevant) be collected) utilization of data) be undertaken) OF DATA
• Review and Schools Ministry of Every six months Bi-annually: in time for
analysis of data supported Education & mid-year and annual
collected by by UNICEF & UNICEF staff reviews, to make any
education field Ministry of necessary programme
officers Education adjustments, including
• Meetings with resource re-allocation.
Ministry of To identify districts
Education and schools that need
• Reports by more support
Ministry of
Education
• District-level Districts Ministry of Every six months Bi-annually: in time for

surveys supported Education & mid-year and annual
• Reports by by UNICEF & UNICEF staff reviews, to make any
Ministry of Ministry of necessary programme
Education Education adjustments, including
resource re-allocation.
To identify
districts that need
more support.
Four data collection

and analysis streams 1 High-frequency monitoring data
that allow coverage estimates on an
Based on data collection approaches that
agreed limited set of priority indicators
are most often feasible in rapid onset or
(for example, monthly reporting on two
scale-up humanitarian crises, four data
to three indicators per sector). How to
collection and analysis streams are rec-
do this depends on the primary imple-
ommended to cover information needs,
menting partners for the humanitarian
spanning both implementation and
response (that is, civil society organi-
results monitoring:
zation partners or the government) and
what systems are already in place. With
CSO partners, the key will be to get
agreement on the frequency of reporting response, scaled-up field monitoring

on two to three common indicators and requires dedicated capacity. Where
have this information integrated into country offices or national partners have
the new or revised programme docu- strong field-based real-time monitoring
ment. Where government is the primary mechanisms established in-country
partner, UNICEF needs strong input that allow for two-way communications
tracking; in some cases, UNICEF can with affected people and communi-
advocate for and provide technical inputs ties, these may be re-purposed and
to national fast-track reporting systems, re-oriented geographically.
such as SMS reporting from nutrition
centres. Where clusters or sector coordi-
nation is in place, this same agreement
3 Tracking effectiveness of cluster
coordination where UNICEF is cluster
on frequency, indicators and formats
lead agency or co-lead or where
should be tabled and leveraged at the
monitoring is UNICEF’s area of respon-
cluster/sector level. UNICEF prioritization
sibility. UNICEF uses a simple Cluster
of indicators should be harmonized with
Coordination Milestone Monitoring tool
indicators agreed upon at the cluster
as a process monitoring checklist of prog-
level. In all cases, early agreement on
ress when cluster/sector/working groups
indicators with partners is key and
are initially being set up. Once clusters
preparedness plans or the inter-agency
are functioning, it is recommended that
appeal and Humanitarian Response
cluster coordinators initiate a more par-
Plans are the first critical opportunities to
ticipatory feedback process, monitoring
establish this agreement. The frequency
against agreed core cluster functions
of reporting can be adjusted depending
and supported by the established Cluster
on the evolution of the humanitarian
Coordination Performance Monitoring.
crisis. As the frequency lessens,
4
reporting can and should expand to a
wider range of indicators and analysis. Tracking data on key operations
support indicators – such as funding,
2 Systematic field monitoring to
supplies, human resources – that are
available through UNICEF’s internal per-
provide feedback on quality. This refers
formance management system - inSight.
to good practice in community-level
field monitoring, including systematic
inSight is UNICEF’s flagship
feedback from affected people and
communities, and especially those performance management system
most vulnerable, including women and and it provides staff with programme
adolescents, where this can be done
safely and appropriately. While the and operations performance informa-
high-frequency monitoring of coverage tion through dashboards, scorecards,
focuses on a few prioritized results, field
management reports, data cubes
monitoring can explore the situation
more broadly, including connections to and assessment modules such as the
recovery. In a large-scale humanitarian Results Assessment Module (RAM).
While these four data streams are are well established in terms of both the
most likely to provide the best means technology platform and the network
of answering key management ques- of users/participants, the data collec-
tions in an acute humanitarian crisis, tion focus can shift to address different
data collection approaches should be issues as the situation evolves. Similarly,
pushed beyond this wherever possible. for field monitoring systems, once
Moreover, the selection of monitoring the data collectors are trained on core
approaches should be adapted to pro- methods (observation, measurement,
gramming. In acute situations, the focus key informant interviews, focus group
is on narrow data collection on priority discussions), we can adjust the tools
life-saving and protection results. As the and explore new questions using the
situation allows, programming expands same method. Ideally, in risk-informed
to longer-term issues and so should programme planning, the adaptability of
monitoring approaches. The challenge monitoring systems has been anticipated,
is to use the best mix of approaches for including capacity-building and national
monitoring at different levels of results, systems building, to support this.
and shift with agility as needed, so that
Over time, even in humanitarian crises,
different results can be measured at
it becomes important to collect out-
different frequencies in accordance with
come-level data, whether as part of
programming priorities.
a multisector survey, if possible, or
Some methods shift frequency and using adapted methodologies (the
focus more easily than others: For latter are still areas of innovation and
example, national management infor- experimentation). As with stable con-
mation systems cover a wide range texts, outcome-level data collection is
of indicators, but usually cannot be ideally carried out with a wide range
changed very easily. By contrast, once of stakeholders, and agreement on
real-time technology-assisted systems ‘good enough’ methods in challenging
(such as RapidPro, including uReport) scenarios is key.
Other key resources

UNICEF, ‘Revised Guidance on Field Monitoring Visits’, July 2015.
UNICEF, Humanitarian Performance Monitoring Toolkit, 2011.
United Nations Office for the Coordination of Humanitarian Affairs,
‘Humanitarian Response Monitoring’.
STEP 3.
SELECT MONITORING TOOLS AND APPROACHES
Certain tools and approaches have special traction in monitoring development interventions in
UNICEF-supported programmes (see Table 4.2).
Table 4.2. A selection of monitoring tools and approaches

Routine data systems continuously National record systems
collect information at different time They commonly operate in education and health settings, such as
periods (daily, weekly, monthly) and Education Management Information Systems (EMIS) and Health
across different levels – individual Management Information Systems (HMIS), but they are increasingly being
(student, patient), administrative utilized in other areas, such as water supply and child protection
units (school, health centre), and Strengths: They offer full coverage of service points, breadth of
administrative levels (district, information and systematic data over time.
municipality).
Weaknesses: They are expensive to set up, require continued investment
to ensure quality of data entry, often hold lots of information that is not
processed and analysed and cannot be changed easily.
Sentinel surveillance
It involves repeat data collection from a sample of service delivery units
or communities in selected areas or groups of people. Common examples
include demographic sentinel site surveillance systems, antenatal care
clinics as sentinel sites for HIV surveillance, nutritional surveillance and
food security surveillance sentinel sites. Monitoring data from sentinel
sites offer an indication of what is happening more broadly. Sentinel
surveillance may be useful when indicators of interest cannot be integrated
into routine systems
Field monitoring systems
Structured community-level field monitoring can provide information on
implementation on the ground based on a sample of sites/communities
selected, and provide a lens on likely progress towards results. Field
monitoring can be conducted directly by programme personnel or by third
parties. Third-party monitoring systems can be used for shorter periods
or in contexts of weak government capacity to scale up monitoring. Field
monitoring allows both immediate site-specific feedback loops and follow
up as well as aggregate analysis of trends across multiple sites.
All of the above can be accelerated, at least for a narrow set of data,
through the use of new technologies. Strong field monitoring systems
enable quick corrective action and support the efficiency and effectiveness
of programme delivery.
Table 4.2. A selection of monitoring tools and approaches (cont.)

Surveys have been widely used in Random surveys
assessing access to, demand for and Surveys such as MICS and DHS, which are based on random sampling,
quality of service provision as well can offer robust data for statistical analysis (with confidence intervals
as higher-level outcomes. Surveys depending on the sample size). Surveys typically use a questionnaire
typically use a questionnaire, administered by trained enumerators to collect data on variables
administered by trained enumerators of interest.
to collect data on variables Purposive sample surveys
of interest. Approaches with purposive sampling or combinations of purposive and
then semi-random sampling can be undertaken where time and access
constraints or gaps in sample frames do not allow for random surveys – for
example, sentinel site surveys.
SMS-based surveys
Allow random sampling but within a defined group of cell phone users
or using cell phone users as intermediaries to reach others. The sample
frame is biased, but the technology allows for a high volume of data to be
collected very quickly.
Qualitative methods include Observation
observation, focus groups and key It is a basic method that can include non-participant observation
informant interviews. (observing participant(s) without actively participating) as well as
participant observation (identifying the attitudes and practices of a
community by living in the community). It is often blended with other
methods, such as field monitoring systems.
Key informant interview
It is an interview with a person (or group of persons) with unique skills or
professional background related to the issue/intervention being evaluated,
who is knowledgeable about the project participants or has access to other
information of interest.
Focus group interviews
They involve small discussions with 6 to 12 people who share certain
characteristics; this makes participants relatively more relaxed and more
likely to discuss sensitive issues because of their common experience.
If focus groups are repeated often enough, they can be considered to
represent the perspective of a certain group. Focus groups are useful
for analysis of specific complex problems and to identify attitudes and
priorities in smaller groups.
Feedback and complaint mechanisms This refers to a wide range of processes that actively seek the views of
primary stakeholders or affected populations to strengthen their voice
and to improve policy and practice in programming, an element of broader
social accountability mechanisms. Feedback and complaint mechanisms
require communication and community engagement as a base as well
as accessible, safe and responsive channels for people to provide their
feedback. They also require specific channels and standard operating
procedures for complaints to ensure that sensitive issues, including sexual
exploitation and abuse, are handled with the necessary attention to safety
and confidentiality. Most often a range of coordinated and complementary
channels must be developed and managed with other stakeholders,
ensuring feedback and follow-up at local as well as central levels.
The concept of feedback and complaint mechanisms can include field
monitoring if so designed, as well as new real-time monitoring mechanisms.
Table 4.2. A selection of monitoring tools and approaches (cont.)

Participatory methods: These Community score cards
approaches are particularly They include a range of approaches where community members define
well suited for higher-frequency what is being measured in relation to specific concerns and engage in data
data collection on changes in collection. This can be done and aggregated across communities.
vulnerabilities and understanding Participatory Rural Appraisal (PRA), Visualization in Participatory
access to, demand for, and quality Planning (VIPP) and other variations.
of services at the local level. A key characteristic of these methods is combining a variety of processes
Participatory methods are used to and techniques to collect, analyse and disseminate information in ways
strengthen accountability through that are accessible to citizens and that can influence donor and/or local
community participation. and national policies. PRA, Rapid Rural Appraisal and Rapid Assessment
Procedures often draw on the same methods as qualitative data collection
and can also draw on surveys, but add techniques to help visualize
collective analysis, such as seasonal calendars, community ranking,
community mapping and transect walks. VIPP tends to focus more on group
analysis for planning, with a range of participatory workshop techniques
for drawing in participants’ perspectives, which is useful in stakeholders’
self-assessments.
Real-time monitoring (RTM). Real-time monitoring is frequent (over short periods, depending on
Technology-based innovations need) data collection and reporting. It is used to strengthen programme
are accelerating the pace of data performance or to inform policy and necessary adjustments in service
collection and enabling quick delivery, such as the interruption of the cold chain in vaccine management.
corrective action as well as longer- Real-time monitoring uses different methodological approaches, such as:
term decisions on achieving results. • Routine data systems
They are enabling more adaptive and
responsive programming for results. • Sentinel site surveillance systems
• Rapid surveys and assessments
• Community-based monitoring: citizen-based monitoring to gather a
constant flow of data and analyse it to allow decision makers to monitor
what is happening for timely corrective action.
Other key resources

UNICEF, ‘Note on Tools and Activities Supporting MoRES in the Education Sector’.
UNICEF, ‘The Determinant Analysis for Equity Programming’, August 2014.
STEP 4. observation or other means) might be

appropriate for the ‘best’ indicator, costs
COLLECT AND ANALYSE DATA
associated with primary data collection
The choice of data collection approaches and analysis can be very high. Existing
hinges on a number of interrelated data systems might be lower in cost, but
considerations. These include: may not provide or be able to provide
• Indicators the indicator that would best measure
• Contextual constraints and the intended result.
opportunities
The decision to develop new monitoring
• Cost
systems/activities will be based on
• Social accountability. whether they will provide a better indi-
cator than existing data systems (that
The choice of indicators must balance
is, an indicator that is more reliable,
costs, contextual considerations and the
relevant or specific to what is being
purposes of monitoring. While primary
monitored, or is more sensitive in
data collection (which may include
detecting change).
conducting a survey, focus groups, direct
? Asking the following questions can help you assess

the quality of data being used in monitoring your initiative:
• How reputable is the organization, agency or government department that collected
the data?
• Are the results generally accepted by others in the country and are these results
consistent with the findings of others?
• Is there a description of measures used during the study to supervise the quality of
the data collected as well as validation tools (triangulation, supervision of fieldwork,
data cleaning)?
• Is the questionnaire/checklist available to assist in reviewing the data and are clear
definitions provided for terms with variable meanings (such as households, family
size, etc.)?
• Was the sample large enough to be representative of the overall population?
• Is the statistical method used to collect and analyse the data available?
• Is the raw data (pre-analysis data) available and, if so, is the analysis reproducible
with the same or similar result (assess by testing a few variables/indicators)?
• Are the questions or topics in the questionnaire/discussion checklist consistent with
the variables present in the analysis?
Different methods support different types specific contribution to these; frequent

of indicators. The question is whether monitoring at the disaggregated and
available data or new, lower-cost data decentralized levels of progress in
collection will provide data that are good removing bottlenecks and barriers; and
enough for decision-making. longer-term evaluations of final outcomes
and impacts.16
Options must be weighed against
contextual limitations and opportunities MoRES conceptualizes the analysis,
to data collection. In humanitarian crises, programming, monitoring and evalua-
for example, certain methodologies are tion process as four interconnected and
just too slow; some are not feasible given interdependent levels:
the mobility of the population, quickly • Level 1 involves identifying the most
rendering sample frames out of date. disadvantaged children and, using
By contrast, in high-income countries, the 10 Determinant Framework, helps
existing capacities and systems might identify bottlenecks and barriers to
make longer-term investments in devel- their access to services. It then looks
oping monitoring approaches worthwhile. at the alignment of government and
UNICEF policies, strategies, plans
Finally, some monitoring approaches and
and programmes.
methods bring added value in terms of
strengthening social accountability. For • Level 2 involves the monitoring of
example, participatory approaches and UNICEF activities and related inputs,
methods can contribute to building up which constitutes a significant part of
local-level engagement. implementation monitoring.
• Level 3 refers to frequent monitoring

Monitoring of Results for (at decentralized levels with partners)
Equity System (MoRES) of outputs and of key barriers and
bottlenecks to achieving results; this
As we read in Chapter 1, MoRES is an
is used to signal the need for pos-
approach to enhance analysis, program-
sible programme adjustments and the
ming, and monitoring and evaluation
activation of feedback loops.
to achieve better results for the most
disadvantaged children. MoRES aims • Level 4 refers to longer-term
to strengthen results monitoring and monitoring of final outcomes to
the difference that UNICEF’s and other determine whether the intended results
programmes/systems can make in were achieved; thus they are closely
addressing bottlenecks to achieving related to impact-level changes.
equitable results. MoRES is heavily
linked to UNICEF’s equity focus and thus The frequency of monitoring
seeks to identify and address inequi- is determined by:
ties. MoRES encompasses monitoring • Reasonable expectation of change as a
efforts at different levels – analysis and consequence of programme activities
programming with an equity perspective;
monitoring of progress on government
• Availability and affordability of data/
information for monitoring
priorities and sector plans and UNICEF’s
• Possibility of corrective actions taking Partnerships are also seen as an

place at that frequency important aspect of MoRES, since long-
term sustainability requires partnerships
• Agreed timelines with partners.
that include national governments, UN
country teams, other multilateral part-
Thus, the frequency of monitoring
ners, bilateral agencies, civil society
varies depending on the nature of the
organizations and communities.
interventions and the bottlenecks being
monitored. For example, in humani- Collaboration can help reduce inefficien-
tarian situations, monitoring will focus cies where several partners are working
on those determinants that are changing on the same issue and accelerating
most quickly (for example, supply deter- scale-up.
minants, coordination mechanisms) as
well as those that experience has shown An example of MoRES monitoring is
are most critical and challenging in provided in the box below:
humanitarian response.
MoRES-guided inclusive education monitoring framework
The issue
In Serbia, an upper-middle-income country, national educational enrolment and
completion rates are high. However, they mask deep disparities throughout the
country. Those particularly disadvantaged are Roma children, children with disabilities
and children living in poverty. At the same time, education reform has been extensive
and legislation exists that provides strategic orientation for an inclusive education
system. However, putting these measures into action is only just beginning.
Why MoRES was applied

The MoRES system was applied to inform the design and implementation of
education policy and programming, in accordance with a 2009 Law on the
Foundations of the Education System that provides the legal framework and stra-
tegic orientation for inclusive education. Use of the MoRES approach identified and
prioritized bottlenecks preventing progress in this area. It showed that monitoring of
inclusive education was the least defined and understood area of education reform.
In particular, inclusive education was without a defined framework of goals, tar-
gets, baselines, expected results and indicators, making it difficult to strategically
and effectively manage, coordinate, develop capacity, assess progress and identify
areas needing programmatic correction. MoRES-based analyses now guide the
government’s response to these shortcomings.
The value added by MoRES

Using the MoRES determinant analysis and framework (see Chapter 2, Tool B)
allowed stakeholders to better understand inclusive education. It revealed the
bottlenecks and strategic solutions needed to achieve equitable results, including
the need to develop a strategy and institutional capacity to monitor and document
progress. As a result, a MoRES-guided inclusive education monitoring frame-
work was developed and implemented, which has made and continues to make
several contributions:
• Increased understanding of the concept of inclusive education among stakeholders
and forged a common vision on main goals and next steps to further strengthen the
integration of inclusive education at all levels of the education system
• Expanded awareness of the need for a robust monitoring system to support

relevant, evidence-based inclusive education policy and programming, as well as
the capacity to implement it
• Improved awareness among administrators and teachers of the importance of

self-evaluation processes in support of school planning and the development of
inclusive education
• Established baselines on inclusive education (baseline data and information were

collected in a sample of 13 per cent of the country’s municipalities)
• Used data to support the development of improved inclusive education plans by the
government (covering the years 2015−2017) and UNICEF (related to the new country
programme 2015−2020) that identify and address the removal of priority bottlenecks
preventing progress in realizing inclusive education goals and objectives
• Mainstreamed MoRES-inspired instruments into regular education monitoring

mechanisms, resulting in an enhanced national school quality framework.
Source: Serbia: Integrating the MoRES approach in the education system to improve putting
into practice and sustaining inclusive education. In: UNICEF, Pursuing Equity in Practice. A
Compendium of Country Case Studies on the application of the Monitoring for Results Equity
System, second edition, 2016.
Other key resources

UNICEF, ‘Revised Guidance on Field Monitoring Visits’, July 2015.
United Nations Development Group, ‘UNDG Guidance – Frequent Monitoring for Equitable
Results’, 2014.
UNICEF, ‘A Fair Chance for Every Child’, UNICEF Executive Board Special Session on Equity,
Conference Room Paper, June 2015.
World Bank, ‘Social Accountability: Strengthening the Demand Side of Governance and Service
Delivery’, Social Accountability Sourcebook, 2005.
STEP 5. review and annual review, which are

carried out collaboratively with key
COMMUNICATE
partners. Each report will include for
AND REPORT FINDINGS each output:
Communicating and reporting on • A narrative analysis of progress
monitoring is telling the performance towards the output
story of your programme. Making ref-
erence to your monitoring plan with its • A rating of progress (on track,
results, indicators, baselines and targets constrained, no progress, met,
is critical in presenting the evidence of discontinued)
actual versus expected change. Bringing • An update of the indicator status
together and triangulating the analysis of
information from different data collection • Documentary evidence for the analysis,
the rating and the indicator status.
methods and systems provides a critical
input to results-based management.
In contexts where monitoring plans have
The frequency of reporting will vary included consideration of social account-
depending on the information to be com- ability and any context where feedback
municated. Weekly, monthly, quarterly from primary stakeholders has been
and even bi-annual reporting implies a sought, communication of conclusions
focus primarily on the inputs, activities and follow-up actions has to be planned
and some outputs, as work plans are for and undertaken in coordination
implemented. Once reporting on output, with other programme stakeholders. In
outcome and impact is the focus, longer humanitarian response, this is a critical
cycles of annual, mid-cycle and aspect of the interconnections among
end-of-cycle reports of monitoring communications, community engage-
activities are expected to pro- ment and accountability to affected
vide broader details on progress people and communities.
towards results.
Sound reporting on monitoring results is
Reporting constitutes a critical contingent upon:
element in conducting field mon- • Good timing. It is important to com-
itoring visits and activating feedback municate the outcome of monitoring
loops, since it enables analysis and activities to key stakeholders in a
dissemination of collected information timely and predictable manner. Hence,
Communicating to relevant stakeholders for follow-up a sound trip report should conclude
and reporting action, as necessary.17 a monitoring mission, outlining the
on monitoring findings, recommendations and
is telling the The UNICEF Results Assessment Module
responsibilities for follow-up actions.
performance (RAM) in inSight18 enables you to report
Quarterly, mid-term or annual reviews
story of your on the delivery of planned outputs
are important elements of a pro-
programme. every six months following the mid-year
gramme monitoring mechanism.
• Easy access to resulting data. Available People use monitoring data for a variety
data storage and management mech- of purposes, both internal and external.
anisms and platforms should be used Such data provide feedback for the
to facilitate easy access to data from manager, but also play an important role
field monitoring visits by other staff in making sure that other stakeholders
and partners, and to permit analysis of understand whether the objectives of the
trends over time. initiative are being achieved. Possible
uses include support in:
• Sharing of data. Monitoring findings
should be discussed with imple-
• Preparing for programme reviews
(mid-year, annual)
menting partners and shared with
relevant stakeholders. • Making adjustments to programme
strategies, design and inputs after
• An analysis of progress against plans.
periodic or ad hoc reviews
Established mechanisms (such as
completing sections of the Results • Providing data for continuous review
Assessment Module in inSight or of barriers and bottlenecks, which
preparing situation reports) should can lead to making programme
be used to analyse progress against adjustments as appropriate
plans. This analysis will help determine
• Providing baseline information during
future actions, both internally and
programme planning
with partners.
• Identifying best practices
STEP 6.
• Making resource allocation decisions
TAKE CORRECTIVE ACTION
Before making adjustments to a • Initiating open and sustained
communication between an
programme, it is important to under-
organization and the public
stand who will actually use the data,
and for what purpose. Potential users • Encouraging transparency
may include: and accountability.
1. Government ministries
2. Implementing partners The whole point about monitoring data
3. Communities is that it should be used as evidence
4. Stakeholders for action or decision-taking. Reliable
5. Sectoral coordination structures and monitoring information will enable
national-level coordinating authorities programme managers to:
(such as parliament) 1. Consider changes to what we are
6. UNICEF, other agencies and donors. doing and how we are doing it.
Questions that could be asked are:

• What needs to be scaled up or down?
• What should be stopped? What needs 3. Allocate resources more appropriately.

to be changed? Monitoring data can be used to:
• What new activities or strategies •R eallocate financial resources
should be introduced? •M
ake sure equipment is
• Do we need to change the results allocated correctly
framework and corresponding theo- •E
nsure that supplies are
ries of change, or just the strategies distributed correctly.
and activities, and thus costing?
4. Re-prioritize. Certain aspects of the
2. Build capacity. Monitoring data may programme may need to change,
be used to justify additional human based on monitoring data. We may
resources or better-skilled human need to change implementing part-
resources, getting more funding, ners, change strategies, and/or make
building better systems or improving other adjustments
the governance and management of
a programme.
All four of these actions can help improve the effectiveness and
efficiency of your intervention by applying lessons learned and
taking corrective action.
Here’s an example from education.
1. Change what we are doing. If we have been supplying school materials but
learning outcomes are still poor, we may need to shift to other strategies, such as
training teachers and involving parents in school management.
2. Build capacity. If children are not learning as expected, we may have to re-train
teachers in more effective teaching methods.
3. Re-allocate resources. If there are enough school materials in one district, we may
need to re-allocate resources so that disadvantaged districts get more resources.
4. Re-prioritize. Should we notice lack of improvements, we need to make changes.

For example, if advocacy efforts to encourage girls to finish secondary school are
not yielding results, we may have to move from advocacy to ensuring that there
are sanitation facilities and special mentoring programmes for girls, for example.
Chapter
EVALUATING RESULTS
Evaluations provide credible, evidence-based information to help UNICEF

continually improve its performance and results, contributing to both organizational
learning and accountability.
When to use this chapter: Who should use this chapter (cont):
• UNICEF partners who have a stake in
• During the programme design phase to ensure
the evaluation
that the programme meets the demands of an
eventual evaluation (evaluability) • Decision makers who are looking at new ways
to redesign their own interventions to make
• Prior to developing an evaluation plan
them more participatory and responsive to
and strategy
local needs and those of stakeholders.
• While planning and managing an evaluation
for a UNICEF-supported programme or Chapter overview of key steps
joint initiative in evaluating results:
• Prior to undertaking an evaluation. There are seven steps in the evaluation cycle
where RBM should be mainstreamed:
Who should use this chapter: Steps

• Programme staff and M&E personnel Step 1. Assess utility, necessity, evaluability
responsible for planning or Step 2. Plan and commission the evaluation
managing evaluations
Step 3. Manage the inception phase
• Monitoring and evaluation specialists in Step 4. Provide ongoing support, including
country offices in their capacity to provide information collection and analysis
technical support Step 5. Disseminate and use evaluation findings
• Regional M&E specialists in their capacity to Step 6. Prepare and track the implementation
provide oversight and quality assurance to of the management response
country offices Step 7. Use evaluation for learning
and accountability.
Chapter 5. Evaluating results | 127
OVERVIEW
One of the purposes of results-based management is to understand and
sharpen an organization’s contribution to results. Evaluation is a core component
of the RBM cycle.
It helps determine the extent to which What is evaluation?
evaluation:
planned or unexpected results have
been achieved; it also provides credible
evidence-based information, recommen-
dations and lessons to improve future
programming and decision-making. | ɪˌvæljuˈeɪʃən | n.
Solid RBM systems are the foundation
for useful evaluations. Evaluation aims to deter-
Evaluation also plays a key role in mine the relevance, impact,
demonstrating how and to what effectiveness, efficiency and
degree the goals of the 2030 Agenda
for Sustainable Development are being
sustainability of interventions,
achieved for the benefit of children and the contributions of the
worldwide. The follow-up and review
organization to results.
processes for the implementation of the
Agenda will be informed by country-led
Evaluations are carried out at all levels
evaluations and data. The Agenda calls
of UNICEF, and are applicable in all
for strengthening national evaluation
country contexts.
systems as part of efforts to enhance
capacity-development support for devel- It should be noted that the UNEG’s
oping countries. General Assembly evaluation norms and standards have
resolution 69/237, ‘Capacity building for been updated to better reflect the stra-
the evaluation of development activi- tegic changes that have happened over
ties at country level’, approved in 2014, the last 10 years, notably the launch of
invites United Nations entities “to sup- the Sustainable Development Goals
port, upon request, efforts to further and the 2030 Sustainable Development
strengthen the capacity of Member Agenda. The updated norms and stan-
States for evaluation in accordance with dards include four new norms on 1)
their national policies and priorities.” internationally agreed principles, goals
This resolution provides the normative and targets, 2) human rights and gender
framework for supporting countries in equality, 3) national evaluation capaci-
reporting on their progress and results ties, and 4) professionalism, in addition
with regards to the 2030 Agenda for to stronger emphasis on the utility and
Sustainable Development. use of evaluation.
The United Nations Evaluation Group (UNEG) has defined evaluation as:
“An assessment, conducted as systematically and impartially as possible, of an

activity, project, programme, strategy, policy, topic, theme, sector, operational
area or institutional performance. It analyses the level of achievement of both
expected and unexpected results by examining the results chain, processes,
contextual factors and causality using appropriate criteria such as relevance,
effectiveness, efficiency, impact and sustainability.
“An evaluation should provide credible, useful evidence-based information that

enables the timely incorporation of its findings, recommendations and lessons
into the decision-making processes of organizations and stakeholders.”
− United Nations Evaluation Group, Updated Norms and Standards for Evaluation,
June 2016, p. 10
Other key resources

United Nations, Transforming our World: The 2030 Agenda for Sustainable Development, Final
outcome document adopted by UN Member States in September 2015.
‘Building Capacity for the Evaluation of Development Activities at the Country Level’, General
Assembly resolution A/RES/69/237, 2014.
UN Evaluation Group, Norms and Standards for Evaluation (2016).
‘Revised Evaluation Policy of UNICEF’, UNICEF Executive Board document E/ICEF/2013/14,
18 April 2013.
Organisation for Economic Co-operation and Development, ‘DAC Criteria for Evaluating
Development Assistance’.
The purpose of evaluation

Evaluation serves multiple purposes, as shown in Table 5.1.
Table 5.1. The multiple purposes of evaluation
Empowerment
Accountability Knowledge-
of vulnerable
for results generation
groups
National
Organizational evaluation
Policy advocacy
learning capacity
development
Accountability for results Organizational learning

Evaluation constitutes an important Evaluation is an important contributor
element of accountability for an orga- to building knowledge and to organiza-
nization. Evaluations are a source of tional learning. Knowledge generated
evidence for the achievement of results through evaluations provides input for
and institutional performance and serve future decision-making. In addition, eval-
as a major means of decision-making uations inform key country programme
and verification for reporting on outputs milestones such as mid-term reviews,
and outcomes. Evaluations help UNICEF new country programme development,
and its partners better understand if and strategic moments of reflection.
investments are being used effectively They can assist in the re-orientation of a
and efficiently to improve results with programme when facing changes in the
equity. Evaluations are usually conducted national context. They can also be useful
by external experts; evaluation findings, when assessing pilots to determine
recommendations and lessons should be if an initiative should go to scale. By
widely shared in accessible formats, and supporting organizational learning and
be available in the public domain. accountability, evaluation fosters con-
tinual improvement in the achievement
of results.
Evaluation assesses the relevance,
impact, effectiveness, efficiency
Knowledge-generation
and sustainability of interventions
Understanding what works and what
as well as gender, equity and human does not work and ensuring that lessons
rights dimensions. learned and emerging good practice
are well disseminated helps accelerate
learning. This learning, in turn, can
be introduced into the intervention
being evaluated as well as future equity and gender considerations in

interventions – an important aspect of the terms of reference; formulating
organizational learning. equity and gender-sensitive evaluation
questions and indicators; identifying
issues to be examined in the evalua-
Policy advocacy tion scope, and selecting appropriate
Knowledge generated through evaluation methods and tools for data collection,
can be used to influence policy decisions analysis and reporting. Data-gathering
to enhance equity and improve the well- and analysis methods will usually vary
being of people, with special attention according to gender. For example, in
to children in vulnerable and margin- some societies, women and girls will
alized situations. Evaluations provide often remain silent in large groups with
evidence-based information that can be men or boys. Women or girls may not
used to leverage partner resources and be able to express themselves freely
political commitment for pro-equity and in all situations. As women and men
child-oriented programmes and policies. often communicate differently, different
strategies will need to be employed. In
Empowerment of analysing data, it will be important to
vulnerable groups see if there are any patterns or trends
Evaluations should include the views and that indicate changes (or the absence of
perceptions of all stakeholders, including change) in women’s and girls’ status and
children, especially the most marginal- in boys’ and men’s status and relations
ized groups. By involving stakeholders as a result of an initiative.
in evaluation, evaluation processes can
be empowering. Evaluation processes National evaluation
should have a clear intent to impart capacity
development
skills, information and to build self-con- UNICEF supports the creation of national
fidence to enhance the ‘evaluative enabling environments for evaluation. This
thinking’ of all. Evaluation processes entails contributions to M&E systems and
have also the potential to strengthen country-led evaluations as well as evalua-
the capacity of stakeholders to become tive studies. In compliance with resolution
evidence-based advocates. It is important A/RES/69/237 (previously cited), UNICEF
to remember that, in all evaluations, it should support countries, specifically
is paramount to mainstream equity and national and local authorities, in strength-
gender. This can be done by including ening their national M&E systems.
Other key resources

United Nations Evaluation Group website, ‘Integrating Human Rights and Gender Equality in
Evaluation – Towards UNEG Guidance’, 2011.
UNICEF, UNICEF Gender Action Plan 2014–2017 for regional gender advisers.
UNICEF, ‘Principles and Guidelines for Ethical Reporting’.
UNICEF, How to Design and Manage Equity-Focused Evaluations, 2012
UN Women, Independent Evaluation Office, How to Manage Gender-Responsive Evaluation:
Evaluation handbook, 2015.
Evaluating • The possibility of diverting attention

humanitarian action from life-saving interventions to sup-
port implementation of an evaluation.
Accountability for results does not
diminish in fragile and humanitarian It should be remembered that in
situations. Given that human lives are “humanitarian settings objectives are
at stake and the significant increase in fast-changing, as the situations on the
resources spent by UNICEF in emer- ground are fluid and rapidly evolve (e.g.,
gency response, it is critical to assess continuous civilian population displace-
what is working well, what is working ments, epidemic outbreaks), planning
less well and why, and what might be tends to be poorly documented, and
done differently. baseline data are often absent. When
In rapid-onset emergencies, conflicts prevail, security and access tend
preparedness for evaluation activi- to be highly deteriorated. As a result,
ties should ideally occur prior to the despite multiple efforts, performance
onset of the emergency to ensure and learning can stall and poor account-
that adequate systems are in place ability to national stakeholders and aid
to provide data and information in recipients prevails.”19 In emergency and
line with evaluations. humanitarian action, different types of
Polio vaccination evaluations may be used, including: real-
team in Evaluations in emergencies pose time evaluations, impact evaluations, or
Jiddari Local
Government particular challenges: system-wide evaluation.
Area, Borno • The need to quickly deploy
State, Nigeria. When deciding on evaluation priorities
© UNICEF/ evaluation teams
UN036154/Page in emergencies, country offices should
• Difficulty in sampling and accessing consider undertaking joint evaluation
stakeholders exercises with other humanitarian
agencies (both within and outside
• The need for evaluators to
have an understanding of the the UN system) to support improved
humanitarian landscape coordination of emergency response,
lessen the burden of evaluative activity
• The rapidly changing environment and on stakeholder populations, and pool
operational objective scarce resources.20
Other key resources

Office for the Coordination of Humanitarian Affairs website on humanitarian response,
‘Operational Peer Review’.
UNICEF website, ‘Humanitarian Evaluations’
UNICEF’s Evaluation and Research Database.
UNICEF, Programme Policy and Procedure Manual, section 6.6 on evaluation in
humanitarian situations.
ALNAP, Evaluation of Humanitarian Action Guide, 2016.
Office for the Coordination of Humanitarian Affairs website on humanitarian response.
Inter-Agency Standing Committee (IASC) on Inter-Agency Humanitarian Evaluations.
contribution VS attribution
Evaluations help UNICEF determine its KEY STEPS IN
contribution to results. That said, lon-
ger-term outcome or impact results can
MANAGING AN
rarely be attributed solely to UNICEF EVALUATION
efforts. As UNICEF works in partnership
The Paris Declaration on Aid
with governments and other stake-
Effectiveness, General Assembly resolu-
holders, UNICEF mainly seeks to assess
tion A/RES/69/237 and the new Agenda
its contribution to results. As illus-
2030, with the Sustainable Development
trated in Figure 5.1, a result may have
Goals at its core, provide strong entry
a number of contributing factors, such
points for strengthened attention to
as interventions by non-governmental
evaluation. Indeed, evaluations provide
organizations/UN country teams, the
critical information to decision makers
government, UNICEF or external factors.
and stakeholders that enable them to
In all UNICEF interventions, including assess achievements and limitations and
complex and complicated humanitarian chart out practical strategic and pro-
interventions, it is rarely possible to grammatic recommendations that can
attribute a result to one specific cause improve future programmes and organi-
or actor. A food agency may attribute zational learning.
reduced malnutrition to food distribution,
Based on decisions made during the
but it may also be due to improved water
planning process in preparing the results
quality, child-care practices, hygiene,
framework and monitoring plan, one
health care, sanitation and vector con-
typically goes through seven steps in
trol, or even normal seasonal changes. It
managing an evaluation (see Figure 5.2).
is usually easier and appropriate in eval-
uation of humanitarian action to assess
contribution than attribution.21
Figure 5.1. Results: A product of many contributing factors
RESULTS
UNICEF GOVERNMENT
INTERVENTIONS INTERVENTIONS
NGO/UNCT EXTERNAL
INTERVENTIONS FACTORS
Figure 5.2. Seven steps in a results-based management evaluation process
1 2 3 4 5 6 7
ASSESS PLAN MANAGE PROVIDE DISSEMINATE PREPARE USE

utility, and the ongoing and use and track evaluation
necessity, commission inception support, evaluation implementation for
evaluability the phase including findings of the learning
evaluation information management
collection response
and analysis
STEP 1. An evaluability assessment generally

looks at four areas:
ASSESS UTILITY,
1. Design of the programme
NECESSITY, EVALUABILITY
2. Availability of information for an
Assessing utility, necessity and evalua-
evaluation
bility is an exercise undertaken prior to
3. Conduciveness of the context.
an evaluation that helps identify whether
an intervention can be evaluated, and 4. Accountability framework
whether an evaluation is justified and
Not all interventions may need an
likely to provide useful information. It
evaluability assessment. Figure 5.3 and
can also serve to ensure that necessary
Table 5.2 (next page) can help analyse,
conditions for an evaluation are in place.
and serve as checklists for, the need for
evaluability assessments.
Figure 5.3. High and low evaluability
HIGH EVALUABILITY LOW EVALUABILITY

• Theory of change/results frameworks • Implicit (rather than explicit)
have clear goals and objectives theory of change
• Baseline data and indicators available • Limited or no baseline data
• Includes a clear plan of • Poor-quality indicators
execution/implementation • Lack of detailed implementation plan
• Has a clear target population • Limited or poor-quality monitoring
• Monitoring frameworks and system exist frameworks and/or system
• Is well timed; that is, a sufficient • Resources and capacities are inadequate
implementation period has passed • Limited or poor understanding of the
• A relevant conducive context and programme among stakeholders and
adequate resources and capacities no management structure
• A clear management structure • Lack of access, security risks.
and responsibilities
• Key stakeholders available and
willing to participate
• Good access to intervention areas.
Source: UN Women, How to Manage Gender-Responsive Evaluation: Evaluation handbook, Tool 5, 2015.
Table 5.2. Parameters and key questions for an evaluability assessment22

EVALUABILITY
PARAMETERS KEY QUESTIONS TO CONDUCT AN EVALUABILITY ASSESSMENT
Theory of change/results framework
(examine programme relevance, appropriateness and coherence)
• Does the programme clearly identify the problem and stakeholders (context analysis)?
• Are gender inequality factors and women’s and girls’ needs clearly
PROGRAMME and explicitly identified?
DESIGN • Are equity issues and human rights-based approach to programming clearly addressed?
• Does the programme have a clear strategic intent and an explicit theory of change?
• Does the programme have clear expected results at various levels of the results chain?
• Does the programme articulate levels of activities, financial resources, results and
strategies?
Existence and availability of relevant information
(examine programme accessibility and adequacy)
• Does the programme have sufficient data and information on the intervention
and the context?
• Does the programme have baseline information?
AVAILABILITY OF
• Does the programme have a monitoring system to gather and systematize information
INFORMATION
with defined responsibilities, resources and periodicity?
• Does the programme have solid indicators?
• What kind of information on women’s and girls’ rights is accessible and how is it or will it
be collected?
• What kind of information is available on marginalized groups and how will it be collected?
Conduciveness of the context
(examine stakeholder involvement, resources and capacity, and socio-political context)
• What is the level of stakeholder involvement and their perspectives on the programme?
CONDUCIVENESS OF • Does the programme have resources and capacities to undertake the evaluation (such as
THE CONTEXT an adequate budget, time, technical knowledge)?
• How conducive is the institutional and socio-political context (for example, is there
an evaluation culture, groups of interest that could influence the independence of the
evaluation, etc.)?
Accountability
(management structure, monitoring and reporting, ownership and leadership)
ACCOUNTABILITY
• Does the programme have a clear management structure?
• Do partners have responsibilities, accountability and ownership of the programme?
Other key resources

UN Women, Independent Evaluation Office, How to Manage Gender-Responsive Evaluation:
Evaluation handbook, Tool 5: How to Conduct an Evaluability Assessment.
UNICEF, How to Design and Manage Equity-Focused Evaluations, 2012.
STEP 2. The ToR also includes: evaluation

questions clustered against pre-
PLAN AND COMMISSION
established evaluation criteria; the scope
THE EVALUATION of the evaluation, which includes the
Planning an evaluation implies, programmatic, geographic and time
among other things, identifying the horizons of the evaluation; products,
activity, theme, strategy, project time-frame and budget; and methodolog-
TERMS OF or programme to be evaluated, ical principles and evaluation design.
REFERENCE and defining the scope of the
evaluation, in close consultation The ToR provides:
with clients and stakeholders. It • All stakeholders with information on
also means determining who will be what is expected from the evaluation
responsible for managing the evaluation in terms of process and use. It also clar-
and defining the evaluation’s purpose. ifies the role of the evaluation manager
Clearly and accurately articulating the vis-à-vis the role of the reference group
purpose will help in developing a sound and of the evaluation team.
terms of reference (ToR). It is important
• The evaluation team with the
to know why the evaluation is being parameters of the assign-
undertaken, why it is being undertaken ment, clear expectations and
at a particular point in time, and how and expected deliverables.
by whom the evaluation will be used.
A ToR for a UNICEF evaluation
The next step in the planning stage is
should include:
the preparation, by the evaluation man-
ager, of the ToR. The ToR is a reference
• Context for the evaluation
document to guide the management, • Purpose of the evaluation
implementation and use of the evalu- • Scope (outlining what is covered and
ation. It lays out the purpose, scope, what is not covered by the evaluation)
process and products of an evaluation, • Evaluation criteria (see below)
including management arrangements.
• Key evaluation questions
The management arrangements indicate
who will manage the evaluation and
• Methodology – approach for
data collection and analysis and
what the role of the evaluation man-
involvement of stakeholders
ager will be. UNICEF encourages the
establishment of a reference group for • Work plan, organization and budget
all evaluations conducted at the global, • Products and reporting
regional or country office level. The • Management arrangements
reference group is composed of repre-
• Standards and ethical considerations,
sentatives of key stakeholders, who serve use of evaluation results, including
as a sounding board to the evaluation responsibilities for such use.
process. The reference group provides
inputs to key milestones, including
the ToR, the inception report and the
draft report.
Evaluation criteria • Sustainability. The continuation of

benefits from a development inter-
Internationally agreed criteria vention after major development
developed by OECD/DAC assistance has been completed.
Evaluation criteria drawn up by the Sustainability looks to the proba-
Development Assistance Committee bility of continued long-term benefits.
of the Organisation for Economic Interventions should be environmen-
Co-operation and Development, which tally and financially sustainable.
have been generally adopted in develop-
Complementary
ment undertakings, focus on a number of
UNICEF-specific criteria
key areas:
Evaluation criteria specific to
• Relevance. The extent to which the
objectives of policies, programmes or UNICEF include:
projects are consistent with the needs • Equity. The extent to which
of target populations and country and interventions contribute to the
with global priorities. In changing reduction of disparities.
circumstances, are the objectives • Gender. The extent to which the inter-
of an intervention and its design vention is aligned with and contributes
still relevant? to national policies and strategies on
gender equality; and the extent to
• Effectiveness. The extent to which the
development intervention’s objec- which intervention results contribute to
tives and results were achieved, or reducing gender inequalities.
are expected to be achieved, taking • Human rights. A human rights-based
into account their relative importance. approach to programming is a concep-
A measure of the extent to which tual framework for development that
an aid activity attains its objectives is based on international human rights
and results. standards. This dimension may explore
how well this approach has been inte-
• Efficiency. A measure of how economi-
cally resources/inputs (including funds, grated into the intervention and how
expertise, time, etc.) are converted to the intervention has involved rights
results. This may require comparing holders, especially the most vulnerable,
alternative approaches to achieving the and duty bearers.
same outputs, to see whether the most
efficient processes have been adopted. Additional criteria used in
• Impact. The long-term effects produced humanitarian situations
by a development intervention, directly The above criteria are also included
or indirectly, intended or unintended. in humanitarian evaluations, with the
possible exception of sustainability.
However, additional criteria are often
used, as appropriate:
• Coverage. Which groups have been skills and relevant experience in leading
reached by a programme and what or conducting similar evaluations. In
are the effects on those groups? many cases, experience in conducting
In humanitarian situations, there sectoral evaluations related to key
is a pressing need to reach cer- outcome areas of UNICEF (WASH, child
tain population groups facing protection, health education, etc.) will
life-threatening suffering, who are be important. Equally important will
often marginalized geographically, be to ensure that the evaluator or the
socio-economically, or by virtue of their team have relevant technical, mana-
Coverage social standing. gerial and personal competencies as
Coherence defined by the UN Evaluation Group’s
• Coherence. Is there coherence across
Sustainability Norms and Standards for Evaluation in
policies guiding different actors in
Protection the UN System. The evaluator or eval-
security, developmental, trade, mili-
Coordination uation team should also have expertise
tary and humanitarian spheres? Are
in human rights-based approaches to
humanitarian considerations explicitly
programming and experience in leading
taken into account by these policies?
or conducting equity-focused and gen-
• Sustainability/connectedness. Do der-responsive evaluations. The latter
activities of a short-term emergency will help ensure that the evaluation
nature take into account longer-term analysis and recommendations will
and connected problems, in particular, lead to the correction of any imbalances
the need to ‘build back better’ in a way and put forward strategies that ‘do no
that serves to redress rather than to harm’ and help to advance gender and
reinforce or worsen inequity, and to equity relations.
address the equity-rooted sources of
conflict and natural disasters?
STEP 3.
• Protection. Is the response adequate in MANAGE THE
terms of protecting different groups? INCEPTION PHASE
• Coordination. What are the effects of The inception phase kicks off the
coordination or lack of coordination on evaluation. It starts after the evaluation
humanitarian action? team has been contracted and may last
between 15 to 30 days, depending on the
complexity of the evaluation. The evalua-
Commissioning tion manager implements the evaluation
the evaluation through the evaluation team. The evalua-
Another important aspect of evaluation tion manager is thus responsible for the
planning is preparing for the selection overall evaluation process and products.
of an experienced and knowledgeable The evaluation manager is accountable
evaluator or evaluation team. Evaluators for a good selection of evaluators. He
are expected to have RBM technical or she oversees the evaluation team
throughout the process and provides the scope of the evaluation exercise.
overall support while respecting the The inception report contains and delin-
independence of the team. Support eates all elements of the ToR, including
to the evaluation team may take eventual evaluability concerns.
various forms:
The evaluation team is responsible for
• Providing the evaluation team
developing a full methodology in the
with all the relevant documentation,
inception report. Data should come from
reports and strategies
a variety of sources to strengthen their
• Extensively briefing the team on the accuracy, validity and reliability, and
HELPFUL TIPS! scope and purpose of the evaluation to that ensure that all affected people/
and key expectations stakeholders are considered.23
• Offering a preliminary list of stake- The methodology for the evaluation

holders who should be interviewed should explicitly address issues of
gender and underrepresented groups
• Providing valuable input into
field visits, given time and and illustrate how stakeholders will par-
logistical limitations ticipate in the evaluation, particularly in
the implementation and follow-up.
• Connecting the evaluation team with
the evaluation reference group and
ensuring that the role of the reference
Using tools from the
group is respected planning phase
Three key tools are required in the
• Providing support to the evaluation
inception and subsequent phases of the
team in organizing meetings and
evaluation, namely, the results frame-
field visits
work, the theory of change narrative and
• Scheduling briefing updates the monitoring plan.
• Ensuring security briefings for The results framework is often attached

the evaluators. as a visual one-page diagram or snap-
shot that presents the key activities
The inception phase will typically involve and causal-related outputs, outcomes
the review of all relevant programme and impact. Second, the corresponding
documentation, national policies, stra- theory of change narrative may
tegic documents and sectoral reports, need to be verified. Often, however,
and may include some interviews to staff and evaluators encounter the
clarify expectations. This is the time following situations:
when the evaluation team elaborates • Explicit theories of change are absent
the methodology and determines sam-
pling if needed. The inception report will • A theory of change narrative or visual
indicate how well the evaluator or the depiction exists but benefited from little
evaluation team understand the ToR and consultation with key stakeholders and
was not used
• An explicit articulation of the theories reporting phases and follow-up to

of change (when more than one are the evaluation. The nature of support
available) may exist, but is outdated provided by the evaluation manager
or incomplete may include:
• Setting up meetings for the
• Theories of change need to be recon-
evaluation team
structed since they were not laid out at
the outset • Organizing the information
requirements of the team
• Equity and/or gender issues are not
addressed in the results framework or • Sharing previous outstanding
theory of change narrative. evaluation reports with the team
The third tool is the monitoring plan

• Providing logistical support
developed in the planning phase. Since • Joining the team in key meetings,
this plan outlines the indicators and such as debriefings, meetings with the
corresponding baseline and targets, reference group, etc.
it constitutes an important input for
triangulation and analysis.
• Asking for periodic updates and
providing feedback
A key constraint often highlighted in
• Ensuring that the evaluation team
evaluations is the limited availability of
respect the roles of all parties involved
data. Indeed, special measures may need
to be taken by the evaluation manager • Ensuring key stakeholders are
to collect up-to-date data in time for adequately consulted
the evaluation. Real World Evaluation
• Highlighting challenges, pitfalls,
Methods is an approach currently used to
obstacles or trouble spots
undertake quality evaluation under data,
political and time constraints. • Reviewing the inception and evalua-
tion reports and providing comments
and suggestions
STEP 4.
PROVIDE ONGOING SUPPORT, • Approving and signing off on the
INCLUDING INFORMATION evaluation.
COLLECTION AND ANALYSIS Balancing oversight and support to the
evaluation team while allowing their
The evaluation manager is responsible
independence should be a standard
for the overall evaluation process. Key
principle for the evaluation manager. This
roles include oversight, provision of
is done by letting the evaluation team
technical support, quality assurance and
meet independently with government
risk management. This typically begins
staff, the reference group or stake-
with the inception phase and continues
holders so as not to unduly influence the
with the data, collection, analysis and
independence of the findings.
In terms of quality assurance, the a stakeholder workshop that seeks to

evaluation manager plays a key role. elicit stakeholder feedback on issues
He or she should ensure that senior such as lessons learned, strengths and
managers, the reference group and even- weaknesses of the programme, good
tually other stakeholders provide inputs practices, degree of sustainability, and
and feedback on the inception report, recommendations for the future.
the evaluation report and other prod-
The evaluation manager should ensure
ucts, such as briefings and PowerPoints
that the evaluation report meets the
presentations. Evaluation findings can
expected standards.
be enriched and triangulated through
Highly satisfactory UNICEF evaluations

UNICEF uses the Global Evaluation Reports Oversight System to assess the
quality of all evaluations. Evaluators and managers might find it useful to take
a look at some of the highest quality evaluations in 2015:
• State of Palestine, Water, Sanitation & Hygiene in Schools Programme
• Tajikistan, Evaluation of UNICEF Tajikistan’s Work in Priority Districts

• Chad, Evaluation de la composante survie et développement de l’enfant du
programme de coopération Tchad-UNICEF
• Evaluability Assessment of the Peacebuilding, Education and Advocacy

Programme (PBEA)
• Joint Evaluation of the UNFPA-UNICEF Joint Programme on Female Genital

Mutilation/Cutting (FGM/C): Accelerating change
• Philippines, Evaluation of the Intervention and Rehabilitation Programme in

Residential Facilities and Diversion Programmes for Children in Conflict with
the Law.
Source: UNICEF`s Evaluation and Research Database.
Other key resources

UNICEF’s Programme Policy and Procedure Manual, section 6 on Evaluation.
UNICEF, Adapted UNEG Quality Checklist for Evaluation Terms of Reference, July 2010.
UNICEF, Adapted UNEG Evaluation Report Standards, July 2010.
World Bank website, Conducting Quality Impact Evaluations Under Budget, Time and
Data Constraints.
STEP 5. • Promote coordination and

harmonization among partners
DISSEMINATE AND USE
and UNICEF
EVALUATION FINDINGS
Once the evaluation is complete, there • Influence policy-making.
is still important work to be done in
Evaluation results can also be packaged
disseminating and using evaluation find-
and made accessible in a number of ways:
ings, recommendations and lessons.24
The active use of knowledge generated,
• Have the report translated into
local languages
for accountability and learning, should
be the ultimate aim of an evaluation. • Summarize key findings and
Time and resources for effective fol- recommendations
low-up and learning should be allocated
at the planning stage of an evaluation.
• Produce a child-friendly version
Having open forums to discuss findings • Develop a brief with a concise
among all key stakeholders is critical summary that is user-friendly and
to improving future programming and simple to read and understand
evidence- based decision making.
• Share findings and recommendations
Evaluation findings can be used for in an academic journal
different purposes, including to:
• Write a press release and/or give
• Support evidence-based media interviews
decision-making
• Organize meetings with government
• Improve the quality and effectiveness policy makers and programmers so
of an intervention
that findings are used
• Compilations and dissemination • Present findings as a video, drama,
of good practices
plays or photography.
• Make strategic choices on
resource allocations
STEP 6.
• Determine the potential for scaling up PREPARE AND TRACK THE
• Revise the results framework and IMPLEMENTATION OF THE
corresponding theories of change MANAGEMENT RESPONSE
• Improve management systems After an evaluation report has been
approved, the UNICEF office that com-
• Promote stakeholder participation missioned the report must meet with
and ownership relevant stakeholders to prepare a man-
• Develop staff and stakeholder capacities agement response under the guidance
of the evaluation manager. The purpose
of the response is to ensure that the While the management response is a

evaluation’s recommendations will be formal reaction to the evaluation by
implemented and its findings will be management, additional sessions might
used by UNICEF and its partners. UNICEF be held with stakeholders and imple-
uses the management response template menting partners to define how they will
to consolidate its response and actions. use the evaluation findings and to follow
As can be seen in Table 5.3, an overall up on relevant recommendations.
response to the evaluation is the first
All UNICEF-supported evaluations should
part of the management response. A sub-
make use of the written management
sequent section describes the planned
response mechanism. The manage-
use of the evaluation followed by a
ment response must be uploaded to the
description of actions to be taken, who
Tracking System within four weeks of the
will be responsible, the expected com-
completion of the evaluation report. For
pletion date, the implementation stage
more information, refer to the Guidance
and actions taken.
on Management Response.
Table 5.3. Sample management response

EVALUATION TITLE: UNICEF UPSTREAM WORK IN BASIC EDUCATION AND GENDER EQUALITY 2003–2012
Year: 2014
Office and person in charge for management response: Programme Division, person X, position
Overall response to the evaluation: The evaluation examined how and how well UNICEF engaged in upstream
work in basic education and gender equality, which is defined as “activities which were intended to have or had
a system-wide, sustainable effect on the national capacities of public sector duty bearers in the basic education
sector for fulfilling children’s rights, directly or indirectly.” The evaluation was conducted in a proficient and
methodical manner. Evidence was gathered from a review of documentation, a survey, four case studies and
interviews with selected staff members. While some of the case studies could not fully reflect the context, overall
the evaluation provides a balanced and properly justified analysis together with a sound set of recommendations
that will help to improve the effectiveness of the organization’s work. The evaluation confirms that UNICEF can and
does play a critical role at global, regional and national levels in upstream work, and that this complements and
adds value to the organization’s downstream work on the ground. While UNICEF engagement in upstream work had
strengthened over the course of the evaluation, there is evidence that further work is required to improve skill sets,
financial instruments and ability to monitor results from upstream work. UNICEF management recognizes that a
robust response to all of the recommendations in this evaluation offers the opportunity to play a more substantive
role in global, regional and national policy formation and financing mechanisms to the benefit of children.
Planned use of evaluation: The findings and recommendations from the evaluation will be used to steer ongoing
efforts to integrate upstream and downstream work to support action in countries. The evaluation will also be used
to strengthen UNICEF systems for monitoring the scale and impact of upstream work in the education sector and
beyond, enabling the organization to make evidence-based decisions on the allocation of resources to this work.
In the education sector, the evaluation will also be used to guide efforts to build the capacity of country offices to
engage more effectively in upstream work, while at the same time continuing to improve downstream results and
overall programming.
Recommendation 1: UNICEF Strategic Policy and Strategy Division needs to develop an organization-wide
framework for defining, targeting, measuring and reporting on the results of upstream work.
Table 5.3. Sample management response (cont)

EVALUATION TITLE: UNICEF UPSTREAM WORK IN BASIC EDUCATION AND GENDER EQUALITY 2003–2012
Management response: (Agree, Partially Agree, Disagree): PARTIALLY AGREE
If recommendation is rejected or partially accepted, report reasons: Management believes its Strategic Plan
2014–2017 already provides the appropriate framework for supporting the achievement of upstream results.
UNICEF has developed a toolkit as part of the Monitoring Results for Equity System (MoRES) rollout, which
provides a framework for defining, targeting, measuring and reporting on activities related to enhancing the
enabling environment to support the achievement of results for children, especially the most disadvantaged. The
foundations of the Global and Regional Programme have been described in the Strategic Plan and theory of change,
and have been consolidated in a reference document for the UNICEF Global Management Team (June 2014).
RESPONSIBLE EXPECTED IMPLEMENTATION
ACTIONS PLANNED OFFICE/PERSON COMPLETION DATE STAGE ACTIONS TAKEN
A technical resource Division of June 2015 Under way Consultations with
package (that includes Data, Research various parts of the
tools) on defining, targeting, and Policy organization have
achieving, measuring and commenced.
reporting on upstream
results will be included in
several Strategic Plan-
related tools and products.
Who is accountable for development of relevant and high-quality

managing the response? management responses. High-quality
responses should be realistic, strategic
According to UNICEF’s Evaluation Policy,
and programmatic in ways that incorpo-
the UNICEF representative or head of
rate lessons learned and best practices
office is ultimately accountable for the
and that lead to improvements in pro-
evaluation function. Accordingly, he or
gramme design and implementation.
she approves the management response
and is accountable for ensuring its timely At UNICEF headquarters, the Evaluation
preparation and subsequent implemen- Office provides organization-wide guid-
tation and monitoring. ance on the management response
mechanism, administers the tracking
The M&E specialist supports the relevant
system, monitors key trends and
programme chief in developing a high-
reports annually on the functioning of
quality management response, for
the system. The Office of Internal Audit
endorsement by senior management.
and Investigation verifies the existence
Regional M&E chiefs provide quality and implementation of management
assurance and oversight for ensuring the responses during scheduled audits.
Other key resources

UNICEF, Programme Policy and Procedure Manual, section 6.12 ‘Management Response
to Evaluations’.
UNICEF, Management Response Guidelines, 2012.

STEP 7. • Programme managers who

supervise and coordinate the
USE EVALUATION
implementation process
FOR LEARNING
Evaluations provide an independent • Individuals/households, especially
view of the programme’s strengths children, who are supposed to ben-
and weaknesses and offer suggestions efit from the services provided by
for improving performance and future the programme
programming. Evaluation serves a • The evaluators themselves
current and immediate purpose as a
management instrument. “In addition, • Other organizations and groups that
compete for available resources
[evaluations] are also seen as a major
source of knowledge about whether • Organizations, groups or individuals
an organization is doing the right thing in the context surrounding
in the right place and at the right cost. the intervention.
These experiences are believed to
be fed into the organization learning Evaluations can be opportunities for
system and ‘memory’ thus contributing learning. Lessons that result from eval-
to position UNICEF as a knowledge uations can be disseminated widely.
and learning organization. Thus, the Workshops to reflect on lessons learned
organization is expected to learn from and to exchange good practices can be
its practices, correct them and develop organized. Regional offices can pro-
new and better ways of doing what it is mote events for horizontal knowledge
supposed to do.”25 exchange. As mentioned previously,
forums for disseminating findings are
Who are the stakeholders that can learn
important for sharing information and
from an evaluation? Here are some core
experiences among stakeholders. The
categories of stakeholders:
management response outlines general
• UNICEF senior management and staff follow-up to an evaluation’s recom-
• Those who finance the programme mendations. Structured meetings with
programme staff at all levels can also
• Implementing partners responsible for help translate key recommendations
planning and monitoring functions
into actionable interventions that can
• Members of local organizations who improve operations and thus the impact
have a stake in the programme of the intervention on stakeholders.
Other key resources

UNICEF Office of Research – Innocenti, Best of UNICEF`s Research.
United Nations Evaluation Group website, UNEG Good Practice Guidelines for Follow-up to
Evaluations, June 2010.
UNICEF`s Global Evaluation Database.
Chapter
REPORTING RESULTS
Reports help us demonstrate the effectiveness of an intervention by explaining how

UNICEF has used resources to achieve results. Reporting is part of UNICEF’s accountability
to stakeholders, including the UNICEF Executive Board, governments, partners and donors.
Demands on UNICEF by stakeholders to show the link between resources and results are
growing. At the same time, there are increased requirements for transparency at all levels on
what UNICEF does, and where and how it undertakes its work. All of these factors combined
are creating a heavy demand for reporting on results.
When to use this chapter: Chapter overview

reporting steps:
• In the early stages of programming, so you
know what type of information is required There are eight steps in the reporting cycle
for reporting where RBM should be mainstreamed:
• With partners early on so they can align their Steps

reporting with UNICEF reporting
Step 1. Understand the information needs
• Prior to writing reports to ensure you are of your audience
reporting on results and not activities Step 2. Prepare your results-based
reporting format
• During and after the implementation of
a programme. Step 3. Refer to your results framework
and monitoring plan
Who should use this chapter: Step 4. Collect the data
Step 5. Be visual: Use charts, graphs,
• All UNICEF staff engaged in reporting.
photos, testimonials
Step 6. Tell your performance story,
moving from activities to results
Step 7. Manage the reporting function
Step 8. Learn, adjust and adapt.
147
OVERVIEW
Reporting is the opportunity for UNICEF to demonstrate results that
have been achieved for children and the specific contribution that UNICEF has
made to the achievement of those results. It is both an opportunity and an act of
accountability to report to those who have entrusted UNICEF with funds and the
mandate to work on behalf of children worldwide.
A well-run UNICEF office can easily • Effective management of its

report on the contributions it makes to reporting responsibilities.
results for children if it has:
• Results-based reporting systems If results and indicators are poorly
from implementing partners that are designed in the planning phase, then you
clearly aligned with UNICEF’s expected will have difficulty reporting clearly on
outputs and outcomes results. If monitoring data are missing
or implementing partners’ reporting
• Explicit theories of change about how requirements are not aligned with those
results are to be achieved
of UNICEF, there will be significant
• Clearly defined results and indicators, gaps not only in implementation, but in
which have been updated as needed reporting as well. It is also important that
agreements with civil society organiza-
• Sound programme implementation tion include monitoring and reporting
• Regular monitoring of requirements that support UNICEF’s
programme actions own requirements. This will streamline
the work and should lighten UNICEF’s
• Periodic evaluations of the workload. Thus, all elements of results-
most important elements of the
based management – from planning to
country programme
implementation and monitoring – need
to be in place for reporting to be carried
A girl writes on a white board at a make-shift school in rural Dar’a out effectively.
in the Syrian Arab Republic.
© UNICEF/UN041529/anonymous
There are many forms of reporting
in UNICEF. A country office writes an
annual report to the regional director and
executive director, and will also typically
write several (and often many) reports
to donors, as well as an annual report to
the UN Country Team. UNICEF also issues
corporate reports on UNICEF performance
to the Executive Board and to donors and
“From a governmental perspective, reporting on results remains the area where UNICEF
has the greatest potential to influence softly earmarked contributions in a positive direction.
Getting reporting for governments right ought to have highest priority within UNICEF”.26
the public. In addition, UNICEF provides Purpose of reporting

information to the public as a member
Reports help us demonstrate the
of the International Aid Transparency
effectiveness of an intervention. It is
Initiative (IATI), which commits the
one of our obligations to stakeholders,
organization to publicly disclose its finan-
including the girls, boys and commu-
cial and programme information using
nities targeted by the intervention, the
a common, open international standard
UNICEF Executive Board, governments,
that is easy to understand, to compare
partners and donors. Reports show how
and to use among stakeholders in a
we used resources to achieve results and
timely manner.
are a means of holding us accountable.
The focus of this chapter is to support
Reporting should also:
country office staff in the fulfilment of
• Outline quantitative information on
their reporting responsibilities.
the status of achievement towards
defined results
What is reporting?
• Highlight challenges and areas
A report is typically a document
for improvement
containing information organized in a
narrative, graphic and/or tabular form, • Describe definable activities and their
prepared on an ad hoc, periodic, recur- effects on reaching a result.
ring or regular basis, or as required.
Reports may be presented or communi- Good reporting demonstrates the
cated in oral or written form. Reporting effectiveness of an intervention, but
is an essential element of results-based also highlights challenges and areas for
management, and it is becoming increas- improvement. This helps us learn and
ingly important as the organization apply lessons within the programme and
moves towards a more evidence- and to other programmes.
results-based focus.
Other key resources

‘Improving Quality Donor Reporting’, Public Sector Resource Development Webinar Series,
UNICEF, 9 July 2013.
UNICEF Programme Policy and Procedure Manual, section 4.10, ‘Programme Review
and Reporting’.
Chapter 6. Reporting results | 149
Transparency Key elements of

UNICEF is committed to transparency. effective reporting
It is essential that its story be told well,
since UNICEF’s story is in the public Draw lessons
domain. UNICEF now has a transparency from successful reports
portal at open.unicef.org that provides A review of UNICEF’s best reports26
up-to-date information (by region, highlighted the following characteristics.
country or programme, among other They:
things) on what UNICEF does, where • Consistently demonstrated the
it works, the funds it receives and how integration of results-based manage-
those funds are spent. ment principles
On the portal, stakeholders can view • Presented results and analysis in

different perspectives, including: clearly-defined sections
• Programme countries: What UNICEF • Presented a strong analysis and
does and who funds its programmes in
compared baseline and target figures
a particular country
• Were transparent about shortfalls
• Donors: Which countries and and challenges
programmes donors are funding
and how those funds are used. • Used charts and graphs to underscore
progress achieved
UNICEF releases all country office
• Openly discussed constraints
annual reports (COAR), donor reports,
and challenges
the executive director’s annual report
(EDAR), regional results reports and • Strengthened links between
thematic reports publicly, and in 2017 donor-funded programmes and
began to post all UNICEF donor reports national results
to open.unicef.org. Thus, the portal
reflects key drivers of results-based
management – particularly transparency
and funding.
Use charts and
graphs to underscore
progress achieved.
• Fully acknowledged the funder and programming and evidence-based

how the contribution was used policy advocacy.
• Made the case for future funding. • Advocacy to address inequity and
disparities, realize children’s rights and
promote child participation.
Capture the change process
Reporting presents evidence that • Global policy agenda issues such as
social transfers and protection from
an initiative has contributed to
violence against children, including
the achievement of planned
school bullying, and various forms of
results – and demonstrates how
inequality and exclusion.
the results were achieved. For
effective reporting:
• Use active ‘change language’ Emphasize partnering
• Look at the effects of and ‘One UN’
completed activities Remember that reports should describe
Capture • Focus on what has changed as a result joint efforts with government and imple-
the change of your intervention menting partners. For projects involving
process... more than one UN agency, seek to draw
• Present evidence of change by using
attention to the strength of the entire UN
your indicators, baselines and targets
system working together. Be honest and
• Incorporate lessons learned and acknowledge the contribution of others.
best practices It is important to emphasize the benefits
• Highlight how you will overcome gaps of joint efforts or ‘Delivering as One’.
and bottlenecks
• Keep it concise, brief and to the point. Types of reporting
UNICEF offices typically produce a
Speak to UNICEF’s
number of different reports, including:
comparative advantage
• Country office annual reports
Donor reports should highlight UNICEF’s
unique comparative advantage vis-à-vis • Analytic progress statements in the
other organizations. This includes: Results Assessment Module (RAM)
• Programme sectors where UNICEF • Annual report to the UN Country Team
interventions are acknowledged world-
wide for their effectiveness, such as its • Donor reports
low-cost high-impact health services, • Reporting on various types of funds
community-led sanitation, etc. that have their own specific reporting
requirements (such as reporting on
• Upstream areas, including technical
thematic funds and consolidated
support and capacity-building, the
emergency reporting, Situations Report
human rights-based approach to
(SitRep) in humanitarian situation).
KEY STEPS IN REPORTING RESULTS

Typically there are eight steps to writing your results-based report (see Figure 6.1).
Figure 6.1. Eight steps in reporting results
1 2 3 4 5 6 7 8
UNDERSTAND PREPARE REFER COLLECT BE TELL MANAGE LEARN,

the information your results- to your the data VISUAL: your the adjust
needs of your based results Use charts, performance reporting and adapt
audience reporting framework graphs, story, function
format and photos, moving from
monitoring testimonials activities
plan to results
Other key resources

United Nations Development Group, One UN Country Results Report, 2015.
UNICEF, Country Office Annual Reports.
UNICEF, Public Private Partnership Division Donor Reporting.
Results Assessment Module: inSight > RAM > Guidance and Support
UNICEF Donor Reporting: Checklist and guidance.
STEP 1. information that helps UNICEF ‘tell

a story’ about the intervention and
UNDERSTAND THE
its implementation.
INFORMATION NEEDS
OF YOUR AUDIENCE A proper report contains three
main parts: results, analysis and
For every report type, there are
UNICEF’s contribution.
instructions on what is to be reported.
It is essential to read and understand
any reporting instructions before you Results
start writing. Following the instructions State the expected results that UNICEF
from the outset will not only save time is committed to (defined in the country
and energy, it will ensure that you are programme document, donor agree-
providing information that is useful ment, results framework, monitoring
for the specific audience for whom plan, etc.) and their current status (if
you are writing. possible). Report the current status
of the indicators and how they have
Reports are most effective when
changed from the baseline (or since
they are written with a particular
the last report) and whether or not you
audience in mind. For example,
have met your targets. Remember the
if you are writing a report to head-
report is results-oriented with a focus
quarters, your intended audience is
on the expected outputs and outcomes.
Report back in probably people with whom you work.
The clear causal sequence between key
ways that can be If you are writing a report for a funder,
activities (if any are reported), outputs,
understood by the intended audience may be a profes-
outcome and impact should be recon-
your audience. sional, but not someone with whom you
structed in the narrative of the report.
are acquainted. Just as what you say to
your parents and friends might be dif-
ferent than what you say to the funder, Analysis
what and how you report information Describe how the results and
will vary depending on the audience. improvements in the indicators were
achieved – with a focus on the work of
the main implementing partners, which
STEP 2.
will typically be government but may
PREPARE YOUR RESULTS- also be civil society organizations or
BASED REPORTING FORMAT other groups. In some cases, the key
actor is UNICEF itself.
Contents of a report
Results-based reporting combines The report should focus more on what
elements of quantitative and qualitative has changed than describe everything
analysis, with narratives and other that has been done. The analysis should
also provide a clear indication of • Progress on baseline, targets

actual versus expected results and an and indicators
explanation of any challenges, lessons • Who has benefitted
learned as well as future direction.
• With whom we achieved results
• Constraints and challenges
UNICEF’s contribution
• Opportunities
Report the UNICEF actions that
contributed to the result/improvement in
• Lessons learned
the indicators. Summarize the technical • Recommendations.
assistance, advocacy and convening
In crisis and post-crisis countries,
actions, evidence-generation, capacity
options should be explored for consol-
development and other actions (such as
idated reporting with a wider range of
cash and supply assistance) that UNICEF
UN system actors (humanitarian and/
catalysed, why these are important and
or political/peacekeeping), when pos-
the subsequent effects of these actions.
sible and appropriate. Consolidated
reporting will generally have its own
Other important elements
reporting requirements that the writer
of your report
should follow.
• Results and strategies used to
achieve them
Suggested
wording
to highlight UNICEF’s
“ UNICEF’s life-saving interventions substantially contributed
to mitigating an otherwise catastrophic impact on the life
of children.”
comparative advantage
“ UNICEF’s humanitarian assistance remained vital for those
newly displaced and those continuing to be displaced.”
“ UNICEF’s in-depth sector knowledge and expertise in

emergency programming and as a cluster lead agency
has been instrumental in determining the necessary
interventions at various phases of the response.”
Other key resources

United Nations Development Group, One UN Country Results Report, 2015.
Office for the Coordination of Humanitarian Affairs website: Response Monitoring: Overview.
STEP 3. indicators, or they have no baseline. To

test whether your expected results are
REFER TO YOUR RESULTS
truly measurable, write a report at the
FRAMEWORK AND beginning of your project! This thought
MONITORING PLAN experiment is a great reality check,
To guide your results-based report, and will help you develop a measur-
use both your results framework and able results framework and a workable
corresponding theory of change narra- monitoring plan from the outset.
tive, the country programme document
results matrix and the monitoring plan
STEP 4.
as key inputs. Your results framework
will highlight the expected results at the
COLLECT THE DATA
output, outcome and impact level. Copy Before reporting, you will need to collect
and paste the exact wording into your data on your chosen indicators and
results-based report. Now refer to your targets. If your implementing partner’s
monitoring plan and copy and paste reporting is aligned with UNICEF, there
your indicators, baseline and target. should be consistency in your reporting
Your report should articulate progress and much time will be saved. If your
towards the achievement of results partner has not aligned reporting to
by giving the reader the status of the UNICEF or donor requirements, much
indicators, baseline and targets. time will be wasted requesting addi-
tional information, filling in the gaps
Your monitoring plan will be your and providing additional analysis. Thus,
key aid in reporting: It tells you including clear reporting requirements in
PROJECT how to track the indicators you your contracts with implementing part-
Beginning End have selected to measure how ners is essential. All too often, UNICEF
well you are achieving results. staff prepare reports that do not speak
Be sure to report on unexpected to the effects of completed activities and
results as well. While you will refer the results of UNICEF-supported inter-
to any relevant activities, it is important ventions at the output, outcome and
to highlight the effects of completed impact level.
To test whether activities – that is, their outputs and
your expected outcomes. You might also refer to UNICEF
results are truly guidelines on agreements with civil
measurable, Too often organizations find they are society organizations and to humani-
write a report at unable to report against their expected tarian performance monitoring, which
the beginning of results: The results were too ambitious, promotes common indicators and agree-
your project! they cannot obtain data on their chosen ments to report on common indicators.
56
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AFFECTED target CLUSTER TOTAL CLUSTER YTOTAL
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PROGRESS BYPROGRESS BY
visual format...
...help bring results
TO LIFE
STEP 5.
BE VISUAL: USE CHARTS, GRAPHS, PHOTOS, TESTIMONIALS
Use charts and graphs to illuminate Testimonials record a person’s thoughts,
and provide evidence of your findings. feelings and experiences and are told
Visual examples such as photos, videos, in first-person narrative. Testimonials
graphs and charts (see Table 6.1 and can help convey the degree of empow-
Figure 6.2 for examples) help to tell erment, the impact of results, how
the results story. Data in visual format decisions are made or issues tackled.
help bring results to life. As they say, Testimonials can help corroborate other
a photo is worth a thousand words. sources of data and information and
Testimonials are another way of learning provide a more personal insight into a
about a project or its impact through the project’s achievements.
voices of participants and stakeholders.
Table 6.1. Example of how data can be translated into a visual format
CLUSTER TOTAL UNICEF TOTAL
WASH CLUSTER PROGRESS BY UNICEF PROGRESS BY
INDICATORS TARGET 31 DECEMBER TARGET 31 DECEMBER
Number of people provided with 223,000 >223,000 Met target 116,591
5 litres of safe drinking water per day (400,000 affected)
Number of people provided 75,000 75,000 Met target 19,733
with sanitation
Number of people reached with 30,000 >30,000 Exceeded 97,848
hygiene promotion messages target
UNICEF, as cluster lead agency, is responsible for information management of cluster partner
results and sharing overall results achieved by cluster members collectively.
Figure 6.2. Example of how data can be translated into a visual format
Baseline Target 2011
100 91
90 87
90 85 83
80 77
72
68 65
70 63
60 54 50
50 41 45
40
40 35 37
30 26 25 25 22 26 23
20
20 13 15 12
13 11
10 5
0
3 ANC Birth Skilled Wiping Delayed Early PNC < ORS Zinc Care-
planning birth & bathing breastfeeding 2 days seeking
attendence wrapping for acute
respiratory
infections
STEP 6. While you will refer to any relevant

activities during the period, it is
TELL YOUR PERFORMANCE
important to highlight the effects of
STORY, MOVING FROM those completed activities – that is, their
ACTIVITIES TO RESULTS outputs and outcomes.
If your results are too ambitious, review
Remember,
your results framework and propose
changes during the annual programme
review and work planning. Indeed,
writing reports you may need to review your results
frameworks – especially activities and
is about reporting strategies and corresponding theories of
on results. change – to make sure they are realistic.
Examine the two reports presented in

Table 6.2. Are they activity-based or
results-based?
Table 6.2. Activity-based versus results-based reporting

ACTIVITY- OR ACTIVITY- OR
REPORT NO. 1 RESULTS-BASED REPORT? REPORT NO. 2 RESULTS-BASED REPORT?
Outcome: As part of the programme to Outcome: As part of the programme to enhance
Enhanced enhance teacher quality and Enhanced teacher quality and accountability in
teacher accountability in Pasmania, teacher Pasmania, UNICEF provided technical
quality and UNICEF provided technical quality and advice and financial resources to
accountability advice and financial resources accountability develop a new in-service teacher
in Pasmania to develop a new in-service in Pasmania training curriculum with the Ministry
teacher training curriculum with of Education.
the Ministry of Education. Baseline collected at the beginning
In 2015, over 24,000 teachers of the programme showed that only
completed this curriculum 57% of teachers were using modern
through the existing continuous teaching methods; the target was 75%
professional development using the techniques encouraged in the
network. In the 12 target curriculum. Teacher attendance was
districts, UNICEF directly 70% of the attendance in the classroom.
supported the training of 2,500 Before and after the training,
teachers through the training in-classroom interactions of the
of trainers and provision of teachers with their students were
course materials. observed. Approximately 80% of
all teachers were using techniques
encouraged in the curriculum against
57% before the training, surpassing the
target of 75%. As one student noted,
“Now, I really enjoy going to class. I
find the teachers more engaged and the
teaching methods more participatory
and engaging.”
In addition, 500 Parent-Teacher
Associations (PTAs) received training
on monitoring teacher attendance
and learning outcomes, and 86% of
trained parent PTA members were
actively involved in monitoring teacher
attendance in their schools. Teacher
attendance had improved from the
previous year in 75% of the schools.
Approximately 120,000 children reported
having interactions demonstrating
more skilful use of better pedagogical
practices by their teachers.
The evaluation also demonstrated that
the complementary interventions of
improving teachers’ capacities and
increasing their accountability to local
communities had a significant and
positive impact on learning outcomes.
of UNICEF and stakeholder intervention

and support. The example in Table 6.2
includes quotes from students about the
new learning methods used by teachers,
which can be very effective.
See Table 6.3 for additional pointers on

how to improve your reporting.
Using change language when

describing actual results
Results are about change, so it is
important to use ‘change language’ when
describing them.
Change language describes results by

Boy plays with some of the toys donated by the explaining a concrete, visible, mea-
UNICEF supported NGO Terre des Hommes in
Juba, South Sudan.
surable change in state or situation.
© UNICEF/UN027620/Gonzalez Farran Change language should focus on what
is different rather than what was done.
Ultimately, reporting should tell the Think about it this way: Change language
UNICEF story about the results that describes a specific condition or change
were achieved. But there are different that has happened, not the actions taken
ways to tell the story: to get there. Examples:
• A 30 per cent increase in children under
Quantitative and qualitative analysis. 5 in endemic areas that sleep under
Reporting combines elements of quan- insecticide-treated bed nets (2015−2020).
titative and qualitative analysis to give
examples of the impact, outcome and • By 2022, primary school enrolment
of girls increased from 55 per cent to
outputs of the programme on the people
95 per cent in 1,200 primary schools.
it is designed to assist.
Visual examples such as photos, videos,

• Child mortality from AIDS and related
causes decreased from 80 per cent in
graphs and charts help tell the results
2010 to 60 per cent in 2015.
story. Data in visual format help to bring
the results to life.
Tables 6.4 and 6.5 provide examples of
Narrative examples give readers a how reporting can be successfully used
practical sense of what the programme to provide evidence of positive change.
is achieving and paint a picture of how Table 6.6 provides additional tips on how
people’s lives can be different as a result to write compelling reports.
Table 6.3. Nine tips to improve results-based reporting
1. Ensure you plan for, schedule and anticipate reporting

2. Be clear and concise
3. Use the language of change
4. Report on results, not processes and only activities
5. Contextualize progress achieved
6. Analyse progress
7. Be careful with results attribution
8. Highlight partnerships
9. Illustrate results achieved.
Table 6.4. Excerpt of a results-based report on social protection

Expected output: Increased knowledge/awareness among parents/caregivers/community members of social
protection schemes for children aged 0 to 3 years (on track)
Indicator: Baseline: Target:
Percentage of target population 10% 80%
understanding social protection schemes
Actual output (mid-term report):
After 1.5 years of implementation, a mid-term review indicates that 85% of targeted parents/caregivers and
community members understood social protection schemes well. This showed an increase from a baseline of 10%
and surpassed the target of 80%. Parents could not only explain all entitlements, but also provide their children
with the opportunity to access social protection services when needed. This impressive result achieved was due
to good communication for development (C4D) activities, including the development of a culturally and language-
appropriate communication package for awareness-raising, capacity development of community authorities, and
information, education and communication (IEC) motivators, parents or caregivers. For the remaining time, another
15% of the targeted group, whose awareness needs further strengthening, will be the main focus of communication
interventions.
Adapted from: UNICEF East Asia and Pacific Regional Office in cooperation with Mosaic.net International, UNICEF Training on
Results-Based Management and Theory of Change, Hanoi, Viet Nam, 20–24 April 2015
Table 6.5. Excerpt of results-based report on humanitarian action

Expected output: By end-2014, the Government of (name of country) and other partners have improved the capacity
to monitor, report on and respond to the realization of the rights of boys and girls in line with the Convention on
the Rights of the Child (CRC) and the Convention on the Elimination of All Forms of Discrimination against Women
(CEDAW) (on track)
Indicator: Baseline: Target: Progress to date:
Number of reporters who are able to 500 1,500 1,548
monitor, report on and respond to the
realization of rights of boys and girls in
line with the CRC and CEDAW.
Actual output (mid-term report): The escalation of the conflict in the country in 2015 resulted in a spike in child
rights violations. More than 50 per cent of internally displaced persons (2.1 million) and population in need
of humanitarian assistance (5.2 million) are children. UNICEF, in close collaboration with (names of other UN
agencies), supported the strengthening of the medical Monitoring and Reporting Mechanism (MRM)* system by
expanding and developing the capacities of the MRM facilitator network across all of (country). By the end of 2015,
UNICEF strengthened 1,548 MRM facilitators in monitoring, reporting and responding to the rights of boys and girls
in line with the CRC and CEDAW. This produced an increase from a baseline of 500 reporters of child violations to
1,548 reporters of child violations: 188 NGO staff members, 1,320 MRM focal points from NGOs and volunteers,
as well as 40 UNICEF facilitators, with a 55% women and 45% male reporters ratio. Actually, UNICEF surpassed
its target of 1,500 reporters to 1,548 by the end of the year. Through a new partnership with the US Agency for
International Development, the number of NGO partners could be substantially expanded.
Expected outcome: By end-2015, improved monitoring, reporting and response for the realization of the rights
of boys and girls in line with the CRC and CEDAW (in progress)
Indicator: Baseline: Target: Progress to date:
Number of reported cases, 1,500 reported 5,000 reported 825 reported
documented and verified 1,200 documented 3,000 documented 1,500 documented
1,000 verified 900 verified 700 verified
Actual outcome: As a result of the functional MRM system in all governorates of the country, UNICEF has
strengthened its capacity to monitor, document and verify grave child rights violations and to inform interventions
and advocacy. As a result of increased MRM network and reporting capacities, 825 incidents of grave violations
were reported, affecting 2,399 children. The majority of cases concerned killings of children, abductions,
recruitment by armed groups and sexual violence. Almost 700 cases could be verified.
However, given the scale and dynamic of the crisis, UNICEF and partners recognize that the number of reported
cases remained low overall, since only 1,500 out of the 3,000 reported cases could be documented (representing
only 50%). The main constraints were the security concerns and limited access to geographic areas controlled by
armed groups, where the highest number of violations is taking place.
*Monitoring and Reporting Mechanism on Grave Violations against Children in Situations of Armed Conflict.
Other key resources

‘Improving Quality Donor Reporting’, Public Sector Resource Development Webinar Series,
UNICEF, 9 July 2013.
UNICEF National Committees are a good source of narratives and performance stories:
• UK National Committee.
• Canada National Committee websiteNatcom.
UN Secretariat Editorial Manual; UNDP Editorial Style Manual; UNICEF Style Manual.
Table 6.6. Reporting do’s and don’ts

DO DON’T
• Provide contextual information so the reader can • Don’t use UNICEF internal jargon (such MoRES, IR,
understand why the progress reported is important. C4D, SSA, PCA, etc.).
• Focus on the result (progress and/or constraints). • Don’t refer to UNICEF internal processes (MENARO
• Clarify UNICEF’s contribution. Use specific verbs: or HQ reviews)
For example, instead of ‘supported’, use ‘trained’, • Don’t focus too much on reporting on activities and
‘advocated’, ‘mobilized’, ‘consulted’. processes (the result get lost).
• Make the link between the result reported and the • Don’t give isolated small-scale results that are
positive change the intervention is expected to bring to not connected to larger efforts linked to the
the lives of boys and girls. results chain.
• Provide evidence and disaggregated data so the impact • Don’t use passive construction in sentences.
on the most disadvantaged children and on gender can • Don’t begin describing a result with a
be made visible. negative statement.
• Acknowledge partners’ contributions and role. • Don’t overrepresent or underrepresent UNICEF’s
• Clarify contribution to removal of barriers role and contribution. “Thanks to UNICEF…,”
and bottlenecks. for example, sounds inflated and implausible.
• Share lessons learned/constraints. Conversely, UNICEF’s role may not be mentioned
at all or just vaguely or is described as limited to
inputs rather than technical support. Both are to
be avoided.
• Don’t treat a partnership as a result instead of
reporting on the achievements attained through
the partnership.
• Don’t report just on the existence of a policy, survey
or evaluation. Rather, clarify their relevance to the
context, referring to findings or recommendations
and/or agreements resulting from these efforts.
• Don’t be verbose or repetitive.
STEP 7. An effective UNICEF office will have

clearly defined reporting roles within
MANAGE THE
the office and ensure that staff are well
REPORTING FUNCTION trained in effective results-based man-
Even with good monitoring tools, proper agement reporting.
reporting requires preparation time.
Offices should establish a reporting plan How do you manage the reporting
that covers all of the following areas: function in your office? Are reporting
• Reporting roles roles clearly delineated? Do you have
a reporting plan that lays out the types
• The types of reports needed
of reports needed, who should pro-
• How frequently they are produced duce them and who the recipients will
• Who should produce them be? Have staff been trained in effective
• Who the recipients will be. report writing?
Other key elements of the reporting STEP 8.

function include the following:
LEARN, ADJUST AND ADAPT
• Information: Ensure that the other
elements of results-based management What do you do with the information
are applied so that the information you compiled? There may be a number
needed to write a quality report of possible destinations for your report:
is available. regional office, headquarters, imple-
menting partner or funder. This will
• Formats: Ensure staff are aware of the depend on whether the report is being
formats and requirements of reports produced internally, for UNICEF pur-
they are working on. poses, or for the outside world. While
being accountable is important, it is also
• Schedule: Have a reporting plan with
a schedule of reports and who is important to continually learn, adjust
responsible to develop and approve and adapt. Reporting should generate
each report. lessons learned, best practices and solu-
tions to problems and obstacles in order
• Donor reporting: Ensure that reports to improve decision-making.
are linked to the original proposal.
Reports should address what is con- Reporting is an opportunity to learn and
tained in donor proposals and country adjust that can take many forms, such as:
programme strategy notes. • Revisiting your strategies, resource
allocations or activities to better meet
UNICEF’s financial reports distinguish expected results
between expenditures and commit-
• Reviewing your results frameworks
ments, so it is important that the
and monitoring plan so that they are
narrative text in a donor report is con-
realistic and practical
sistent with the financial report. Offices
should ensure that the narrative text • Revising your methods and
distinguishes between funds actually approaches to make them children- and
expended and instances where funds gender- sensitive
have been committed (that is,
• Ensuring participatory processes
purchase orders placed or funds
that encourage everyone’s voices to
provided to partners), but not
be heard
yet spent.
• Building on what works, strengths
In summary, reports should be and resources.
viewed as tools to communicate an
initiative’s achievements, contributions Think about your own programme and/
towards results, challenges and lessons or project and your own learning. Are
...reports should learned. They strengthen transparency you doing what is proposed here? Do
be viewed as tools and accountability and assist us in taking you revisit your strategies, resource
to communicate... corrective action if necessary. allocations or activities when you
receive information indicating that your
programme or project is not unfolding Staff skills and capacities can be

as planned? Are you revisiting your enhanced through the exchange of
results frameworks or monitoring plans knowledge. It is important to look for
on a regular basis to make adjustments? opportunities to do so; being part of
Do you involve key stakeholders in knowledge exchange forums is one way
this process? to build capacity in any given area.
Performance information can be used Indeed, learning can take place

for organizational learning throughout through periodic monitoring, bi-annual
programme and project implementation. and annual reviews, mid-term eval-
In addition, ongoing implementation uations or end-of-programme or
and monitoring may generate opportu- project evaluations.
nities to revisit and review performance.
Internal audits, management reviews,
In summary
mid-term or end-of-project evalua-
tions are other opportunities to take Quality reporting always
stock of operations, results and lessons includes three elements:
learned that can be used for organi- • Current status of results and indicators
zational learning and programme and compared to the baseline and what
project redirection. was planned
Reporting should also lead to best • Analysis of how movement towards

practice examples and innovations, results has been achieved
knowledge exchange and increased staff
• UNICEF’s specific contribution to the
skills and capacities.
achievement of results.
Best practice examples and innovations
can be used to scale up operations Effective reporting
when combined with culturally sensitive always requires:
practices that encourage participation
• Clear understanding of reporting
and inclusiveness.
instructions from stakeholders
Knowledge exchange within the country
• Good results-based management
and region is also important in refining
planning and implementation so data
approaches or building on established
to report is available
practice. This knowledge exchange
can occur in many ways, including • Clearly defined reporting processes in
through round tables, conferences, the UNICEF office.
videos, the Internet, study tours and
capacity-building workshops.
Other key resources

Best of UNICEF`s Research.
Global Evaluation Database.
CONCLUSION
You have now

completed the Results-Based
Management Handbook.
Managing for results takes persistence and endurance. The more you
practice using the various tools and frameworks, the more comfortable you
will be using them in your work. Managing for results also requires being
iterative, participatory and learning from experience. These are the building
blocks for making a difference in the lives of children and women.
Glossary | 165
GLOSSARY
Activity
Actions taken or work performed through which inputs, such as funds,
capacity-building, workshops, publications, technical assistance or other types of
resources are mobilized to produce specific outputs.
Related term: development intervention.
Assumptions
‘Assumptions’ can refer to underlying hypotheses about how change will happen in a
programme. These are called ‘causality-related assumptions’. A theory of change makes
them into explicit, testable hypotheses.
‘Assumptions’ can also refer to the variables or factors that need to be in place for
results to be achieved. These are called ‘internal or external assumptions’, since they
can be internal or external to a particular intervention or organization. They should be
stated in positive language.
Baseline
The baseline is the situation prior to a development intervention, against which
progress on results can be assessed or comparisons made. It is expressed as the status
of the selected indicators at the beginning of the programme.
Benchmark
Reference point or standard against which performance or achievements can be
assessed. A benchmark is expressed as the status of the selected indicator that has
been achieved in the recent past by other comparable organizations, or what can be
reasonably inferred to have been achieved in the circumstances.
Bottleneck
A bottleneck is a constraint related to the supply, demand and quality determinants
that hamper the achievement of equitable, effective coverage of evidence-based
interventions/services/care practices.
Capacity gap
The elements of capacity that need to be strengthened in order for duty bearers or
rights holders to perform their ideal roles in realizing their rights obligations, or for
rights holders to be able to claim their rights.
For duty bearers, the elements of capacity are:

• Motivation (the duty bearer feels an obligation to perform the role according to
national and/or international standards)
• Authority (the duty bearer has authority to perform the role according to
the obligation)
• Resources (the duty bearer has the human, organizational and financial resources to
perform the role).
For rights holders, the elements of capacity are:

• Understanding (the rights holder knows that she/he has rights and can claim them)
• Resources (the rights holder has the human, organizational and financial resources to
claim his/her rights)
• Risks (the rights holder does not face undue risks if she/he claims her/his rights, or
those risks can be sufficiently mitigated).
Causality analysis
A type of analysis used in programme formulation to identify the immediate,
underlying and structural or root causes of development challenges. Development
problems often derive from the same root cause(s). The analysis organizes the main
data, trends and findings into relationships of cause and effect. It identifies causes and
their linkages as well as the differentiated impact of the selected development chal-
lenges. A ‘causality framework’ or ‘causality tree analysis’ (sometimes referred to as
a ‘problem tree’) can be used as a tool to cluster contributing causes and examine the
linkages among them and their various determinants.
Causes: immediate
The causes of rights violations that are most apparent and closely identified with the
violation. Addressing these causes may or may not help to realize the right.
Causes: structural
The causes of rights violations that are political, economic, social or cultural systems or
structures. These may be common to a wide range of rights violations.
Glossary | 167
Causes: underlying
The causes of rights violations that are less obvious than the immediate causes but are
implicitly linked to the rights violations. Addressing these causes may be more chal-
lenging than addressing immediate causes, but may contribute more to realizing the
right in question.
Data
Specific quantitative and qualitative information or facts.
Data analysis
The process of converting collected (raw) data into usable information.
Development intervention
An instrument for partner (donor and non-donor) support aimed at promoting
development. Examples are policy advice, projects, programmes.
Disaggregated data
Data from different groups. ‘Disaggregate’ means to separate a whole into its parts. The
information is broken down by groups such as sex, age, ethnic origin, income level,
rural/urban residence, etc.
Effect
Intended or unintended change due directly or indirectly to an intervention.
Related term: result
Effectiveness
Extent to which expected results are achieved.
Efficiency
A measure of how economically resources/inputs (funds, expertise, time, etc.) are
converted to results.
Evaluability
Extent to which an activity or a programme can be evaluated in a reliable and
credible fashion. Evaluability assessment calls for the early review of a proposed
activity in order to ascertain whether its objectives are adequately defined and its
results verifiable.
Evaluation
The systematic and objective assessment of an ongoing or completed project,
programme or policy, its design, implementation and results. The aim is to determine
the relevance and fulfilment of expected results, development efficiency, effectiveness,
impact and sustainability. An evaluation should provide information that is credible and
useful, enabling the incorporation of lessons learned into the decision-making process
of both recipients and donors.
Evaluation also refers to the process of determining the worth or significance of an

activity, policy or programme. It is an assessment, as systematic and objective as
possible, of a planned, ongoing or completed development intervention.
Evaluation in some instances involves the definition of appropriate standards, the

examination of performance against those standards, an assessment of actual and
expected results, and the identification of relevant lessons.
Feedback
The transmission of findings generated through the monitoring and evaluation process
to parties for whom it is relevant and useful, so as to facilitate learning. This may
involve the collection and dissemination of findings, conclusions, recommendations
and lessons from experience.
Horizontal logic
The relationship between an expected result and indicators and their planned
measurement (as indicated from left to right in the monitoring plan). Is it clear which
indicators will measure which results? Will the chosen indicators allow measurement
of that expected result? Are the baseline and targets measures of the indicator? Do the
selected data collection methods, sites, responsible persons, and frequency and use of
data allow for measurement of the selected indicator?
Glossary | 169
Human rights-based approach to programming

A conceptual framework for the process of human development that is normatively
based on international human rights standards and operationally directed to promoting
and protecting human rights.
United Nations agencies have agreed on three essential attributes of such an approach:
• As development policies and programmes are formulated, the main objective should
be to fulfil human rights.
• A human rights-based approach identifies rights holders and their entitlements and
corresponding duty bearers and their obligations, and works towards strengthening
the capacities of rights holders to make their claims and of duty bearers to meet their
obligations.
• Principles and standards derived from international human rights treaties should
guide all development cooperation and programming in all sectors and in all phases
of the programming process.27
Impact
The highest-level positive or negative long-term change for identifiable population
groups produced by a development intervention, directly or indirectly, intended or
unintended. The consequence of one or more outcomes. Impact implies changes in the
economic, social, cultural, civil, political and environmental conditions of people. For
UNICEF, positive impacts involve increased respect, protection and fulfilment of the
human rights of children and should also have some relationship to the Sustainable
Development Goals, other internationally agreed development goals, national devel-
opment goals (as well as human rights as enshrined in constitutions), and national
commitments to international conventions and treaties.
Implementation
Implementation is the management of inputs to undertake activities in order to achieve
or contribute to development results (outputs, outcomes and impact).
Indicator (or performance indicator)

A quantitative or qualitative factor or variable. It provides a simple and reliable means
to measure achievement of outputs, outcomes and impacts, with the intention of
gauging the performance of a programme or investment. It specifies what is to be
measured along a scale or dimension but does not indicate the direction or change.
Inputs
The financial, human, material, technological and information resources used for
development interventions or activities.
Lessons learned
Generalizations based on monitoring or evaluation of projects, programmes or policies
that abstract from the specific circumstances to broader situations. Frequently, lessons
highlight strengths or weaknesses in preparation, design and implementation that
affect performance, outcome and impact.
Logical framework (logframe), also called logic model, results

framework, results matrix or results structure
A management tool (typically a matrix or vertical flow diagram) used to improve the
design of interventions. It involves identifying strategic elements (inputs, activities, out-
puts, outcomes, impact) and their causal relationships. It shows how a programme is
understood or intended to produce particular results. It sometimes includes indicators,
and the assumptions or risks that may influence success and failure. It thus facilitates
planning, implementation, monitoring and evaluation of a development intervention.
Monitoring (or performance monitoring)

A continuous process of collecting and analysing data for performance indicators
to compare how well a development intervention, partnership or policy reform is
being implemented against expected results (achievement of outputs and progress
toward outcomes).
Monitoring plan
A plan (usually in the form of a matrix) that organizes how results are going to be
monitored. A monitoring plan has indicators with a baseline, targets, data collec-
tion methods, geographical sites where data will be collected, responsible persons,
frequency, and utilization of monitoring information.
Different types of monitoring:

Real-time monitoring: Monitoring activities carried out constantly, often with the
use of technology (such as SMS, sensors, cameras), to get real-time information
to be acted upon immediately (for example, the interruption of the cold chain in
vaccine management).
Glossary | 171
Frequent monitoring: Monitoring activities that use data usually from administrative
systems or surveys to trigger programme adjustments and accelerate impact through
timely course correction (typically undertaken quarterly or monthly).
Annual monitoring: Monitoring activities that produce annual estimates and

information for each sector and thus allow longer-term strategic adjustments.
Multi-year monitoring: Monitoring activities carried out every few years to assess the
impact on programmes related to mortality, poverty reduction and education attain-
ments, for example, usually carried out through multisector household surveys, such
as DHS or MICS.
Situation monitoring: The systematic tracking of a condition or set of conditions, such

as the situation of children and women. Situation monitoring measures change or
lack of change in a condition or a set of conditions.
Outcome
A medium-term change that is logically expected to occur once the development
intervention has achieved one or more outputs. Corresponds to changes in individual
or institutional performance, such as changes in access and quality of services for
children, behaviour and practices, decision-making, policy-making and increased effi-
ciency or effectiveness. These changes are expected to lead to changes in conditions for
children, women and families (impacts).
Outputs
Shorter-term changes in skills or abilities and capacities of individuals or institutions,
directly attributable to the activities of an organization, policy, programme or inter-
vention. Increase in capacity (the motivation, authority and resources of duty bearers
and the understanding, resources of rights holders as well as a reduction in the risk
involved in their claiming of their rights).
Partners
The individuals and/or organizations that collaborate to achieve mutually agreed upon
objectives. The concept of partnership connotes shared expected impact, common
responsibility for outcomes, distinct accountabilities and reciprocal obligations.
Partners may include governments, civil society, non-governmental organizations, uni-
versities, professional and business associations, multilateral organizations and private
companies, among others.
Performance
The degree to which a development intervention or a development partner operates
according to specific criteria/standards/guidelines or achieves results in accordance
with stated expected results or plans.
Performance measurement
A system for assessing performance of development interventions against stated
expected results.
See also: performance monitoring, indicator.
Performance monitoring
A continual process of collecting and analysing data for performance indicators, to
assess how well development interventions are achieving expected results.
Programme
A time-bound intervention similar to a project but which cuts across sectors, themes or
geographic areas, uses a multidisciplinary approach, involves multiple institutions, and/
or may be supported by several different funding sources.
Reach
A development intervention’s target population.
Relevance
The extent to which the outputs, outcomes or impacts of a development intervention
are consistent with the requirements of the target population, country needs, global
priorities and partners’ and donors’ policies.
Note: Retrospectively, the question of relevance often becomes a question as to

whether the expected results of an intervention or its design are still appropriate given
changed circumstances.
Result
Describable or measurable change in a state or condition that derives from a cause-
and-effect relationship. There are three types of such changes – outputs, outcomes and
impact – that can be set in motion by a development intervention. The changes can be
intended or unintended, positive and/or negative.
Glossary | 173
Results-based budgeting
Results-based budgeting determines the resources required to support the
achievement of results. It is the process of allocating resources to achieve identified
outputs and outcomes.
A management strategy or approach by which all actors, contributing directly or
indirectly to achieving a set of results, ensure that their processes, products and ser-
vices contribute to the desired results (outputs, outcomes and impact). It involves
the use of information and evidence on actual results to inform decision-making
on the design, resourcing and delivery of programmes and activities as well as for
accountability and reporting.
Results chain
The causal sequence for a development intervention that stipulates the necessary
sequence to achieve desired results – beginning with inputs, moving through activi-
ties and outputs, and culminating in outcomes and impact. It is based on a theory of
change, including underlying assumptions.
Risk
Potential events or occurrences – both internal and external to the programme – that
could adversely, or positively, affect the achievement of results.
Risk management
Identifying and assessing risks that can affect the achievement of results and taking
measures to mitigate the threats – or capitalizing on the opportunities – that they
present to expected results.
Stakeholders
Agencies, organizations, groups or individuals who have a direct or indirect interest in
the development intervention. They include the community whose situation the pro-
gramme seeks to change; field staff who implement activities; programme managers
who oversee implementation; donors and other decision-makers who influence or
decide the course of action related to the programme; and supporters, critics and other
persons who influence the programme environment.
Related term: target group
Related term no longer used: beneficiary.
Strategies
Approaches and modalities to deploy human, material and financial resources and to
implement activities to achieve results.
Sustainability
The continuation of benefits from a development intervention after major development
assistance has been completed. The probability of continued long-term benefits. The
resilience to risk of the net benefit flows over time.
Target
Specifies a particular value that an indicator should reach by a specific date in the
future. It is what the project would like to achieve within a certain period of time,
in relation to one of the expected results. For example: Total literacy rate to reach
85 per cent among groups X and Y by the year 2010.
Target group
The specific individuals or organizations for whose benefit the development
intervention is undertaken.
Theory of change
A theory of change explains how activities are understood to produce a series of results
that contribute to achieving the final intended impacts. It can be developed for any level
of intervention – an event, a project, a programme, a policy, a strategy or an organiza-
tion. It is made up of hypotheses or assumptions about how an intervention contributes
to intended or observed results.
A theory of change is both a:

Process: Discussion-based analysis and learning that produces powerful insights
to support programme design and strategy as well as implementation, monitoring,
evaluation and impact assessment
Product: Communication products, such as a visual depiction, graphic or table;

a narrative.
Vertical logic
The cause-effect relationship between activities and the associated output, outputs
and the associated outcomes, outcomes and the associated impact (usually arranged
in a vertical manner in a matrix or flow diagram). Can one reasonably expect the
higher-level result to occur if the lower-level results are achieved?
Endnotes | 175
ENDNOTES
1 Bester, Angela, ‘Results-Based Management in the United Nations Development
System: Progress and challenges. A report prepared for the United Nations
Department of Economic and Social Affairs, for the Quadrennial Comprehensive
Policy Review’, July 2012.
2 The UN Statement of Common Understanding on Human Rights-Based
Approaches to Development Cooperation and Programming (the ‘Common
Understanding’) was adopted by the United Nations Development Group in 2003.
3 United Nations Development Group, ‘The Human Rights Based Approach to
Development Cooperation: Towards a common understanding among UN
Agencies’, 2003.
4 United Nations Children’s Fund, ‘The Determinant Analysis for Equity
Programming’, August 2014, p. 7.
5 Rogers, Patricia, ‘Theory of Change’, Methodological Briefs, Impact Evaluation
No. 2, UNICEF Office of Research – Innocenti.
6 A series of results chains in a given programme or project is often referred to as a
results framework or logic model.
7 Adapted from: United Nations Children’s Fund, Child Protection Resource Pack:
How to plan, monitor and evaluate child protection programmes, 2015, p. 124.
8 Based on: United National Children’s Fund, Programme Policy and Procedure
Manual, section 3.5.7, ‘Risks and Assumptions’.
9 Adapted from the UNICEF Risk Management Policy, 2009, p. 4.
10 Adapted from the UNICEF Risk Management Policy, p. 5.
11 Adapted from UNDG, Results-Based Management Handbook, Harmonizing RBM
concepts and approaches for improved development results at country level, 2011,
p.19.
12 Adapted from UNICEF, Child Protection Resource Pack - How to Plan, Monitor, and
Evaluate Child Protection Programmes, 2015, p. 124
13 Participatory Rural Appraisal and Participatory Learning and Action are
“approaches employed by development practitioners to enable effective interac-
tion and planning with communities. The approaches are based on the philosophy
of bottom-up participation and empowerment and recognize that if local people
participate in the development processes of planning, implementation and
monitoring, they can progressively transform their own lives and surrounding
environment.” Methods include: sorting, ranking, mapping, timelines, sea-
sonal calendars and force-field analysis. Source: Bottomley, Ruth, ‘PRA and PLA
Approaches: A case study with examples of participatory approaches employed by
MAG and CMAC in Cambodia’, not dated.
14 Bartle, Phil, ‘The Nature of Monitoring and Evaluation, Definition and Purpose’,
Workshop handout, Community Empowerment Collective, 2011.
15 PRIME is an updated electronic version of the integrated monitoring & evaluation
planning tool used by UNICEF country offices, regional offices and headquarters
to share information about future and ongoing evaluations, research, studies and
M&E capacity-development activities.
16 Resource: Educational Sectoral Analysis Methodological Guidelines, 2014
17 United Nations Children’s Fund, ‘Revised Guidance on Field Monitoring Visits’,
July 2015.
18 VISION (Virtual Integrated System of Information) is comprised of the SAP system
for all business transactions, and the web-based performance management system
for monitoring and reporting. It is accessible to all UNICEF staff.
19 Polastro, Riccardo, ‘Evaluating Humanitarian Action in Real Time: Recent practices,
challenges, and innovations’, Canadian Journal of Program Evaluation / La Revue
canadienne d’évaluation de programme, vol. 29.1 (spring), 2014, pp. 118–134.
20 United Nations Children’s Fund, ‘Evaluation in Humanitarian Situations’, section
5.5 in: Programme Policy and Procedure Manual.
21 ALNAP, Evaluation of Humanitarian Action, Pilot Guide, May 2013.
22 Department for International Development (United Kingdom), ‘Planning
Evaluability Assessments: A synthesis of the literature with recommendations’,
Working paper 40, October 2013.
23 United Nations Evaluation Group, ‘Standards for Evaluation in the UN System’,
2005, p. 13.
24 Save the Children Resource Centre, Evaluation Handbook.
25 Carlsson, Jerker, ‘Learning from Evaluations’, in: Carlsson, Jerker and Lennart
Wohlgemuth, editors, Learning from Development Cooperation, pp. 120−129.
26 ‘Improving Quality Donor Reporting’, Public Sector Resource Development Webinar
Series, UNICEF, 9 July 2013
27 Excerpted from Office of the United Nations High Commissioner for Human
Rights, ‘Frequently Asked Questions on a Human Rights Approach to Development
Cooperation’, OHCHR, New York and Geneva, 2006.
179
UNICEF
3 United Nations Plaza
New York, NY 10017, USA
www.unicef.org
For further inquiries, please contact Etona Ekole, Chief,

Programme Design and Guidance, Field Results Group
(eekole@unicef.org)
© United Nations Children’s Fund (UNICEF), 2017

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Chapter 1. Results-based management in a nutshell 5

Chapter 2. Planning for results 21

Step 2. Prioritize issues for action 30

Step 3. Devise a theory of change 32

Step 4. Define desired results 38

Step 7. Draw it all together in a results framework and theory of

Step 8. Develop a monitoring plan 65

Step 9. Assess the evaluability of the programme 74

Step 2. Manage implementation & monitoring  92

Chapter 4. Monitoring for results 105

Step 2. Plan for monitoring  109

Chapter 5. Evaluating results 126

Step 3. Manage the inception phase 138

Chapter 6. Reporting results 146

Figure 2.2. Levels of causes  25

Figure 4.1. Types of monitoring 107

Table 3.2. Different implementation approaches require

RESULTS-BASED MANAGEMENT HANDBOOK

Results-Based Management, or RBM, is a widely adopted approach among the

A well-designed programme can be monitored, so that progress can be tracked and

ABBREVIATIONS AND ACRONYMS

CEDAW Convention on the Elimination of All Forms

CRC Convention on the Rights of the Child

CSO Civil society organization

DHS Demographic and Health Survey

HACT Harmonized Approach to Cash Transfers

IMERP Integrated monitoring, evaluation and research plan

MICS Multiple Indicator Cluster Survey

M&E Monitoring and evaluation

MoRES Monitoring Results for Equity System

NGO Non-governmental organization

RAM Results Assessment Module

RBM Results-based Management

SDGs Sustainable Development Goals

SMS Short message service (text messaging)

SMART Specific, measurable, achievable, relevant, time-bound

ToRs Terms of Reference

UNDAF United Nations Development Assessment Framework

UNEG United Nations Evaluation Group

UNDG United Nations Development Group

WASH Water, sanitation and hygiene

Much of the emphasis in the implementation of results-based management has been

To improve the quality of programming, UNICEF is undertaking an agency-wide effort

Towards this objective, the handbook is expected to contribute to:

In upper-middle-income, high-capacity contexts, using RBM can help UNICEF support

In UNICEF, results-based management supports multiple actors in working together to create

When to use this chapter: Chapter overview:

•  hen you need to share key aspects of RBM

• What are the benefits of focusing on results?

WHAT IS RESULTS-BASED MANAGEMENT?

And so, results-based management is:

“…a management strategy [or approach] by which all actors, contributing

Let’s unpack that.

Results-based management Then we consider the medium- and

Figure 1.1. Results-based management: A snapshot

INPUT ACTIVITIES & OUTPUTS OUTCOMES IMPACT

HOW WHAT WHY

they present. Or is it just that we of change). You obtain the ingredients

Figure 1.2. The results-based management programme cycle

Applying results-based Achieving results

Chapter 1. Results-based management in a nutshell 5

Chapter 2. Planning for results 21

Step 2. Prioritize issues for action 30

Step 3. Devise a theory of change 32

Step 4. Define desired results 38

Step 7. Draw it all together in a results framework and theory of

Step 8. Develop a monitoring plan 65

Step 9. Assess the evaluability of the programme 74

Step 2. Manage implementation & monitoring 92

Chapter 4. Monitoring for results 105

Step 2. Plan for monitoring 109

Chapter 5. Evaluating results 126

Step 3. Manage the inception phase 138

Chapter 6. Reporting results 146

Figure 2.2. Levels of causes 25

Figure 4.1. Types of monitoring 107

Table 3.2. Different implementation approaches require

CEDAW Convention on the Elimination of All Forms

• hen you need to share key aspects of RBM

Figure 1.3. Applying results-based management:

• Causality analysis Implementation: Evaluation:

Figure 1.4. RBM: An organizational approach that creates synergy

• Formulating results statements that Base your work

• And, the most common pitfall of all:

5. risk-informed analysis, 2. Gender

Table 2.1. Tool B: Monitoring results for equity –

Figure 2.7. Building a results chain