11

Results-Based Management

in Thailand

Results-Based Management

in ThailandA Formative Evaluation for

Inclusive DevelopmentA Formative Evaluation for

Inclusive Development

22

TeamTeam

• Jeanne-Marie Col, Ph.D. City University of New York

• Marc Holzer, Ph.D. Rutgers University

• Paul Posner, Ph.D. George Mason University

• Marilyn Rubin, Ph.D. City University of New York

• Jeanne-Marie Col, Ph.D. City University of New York

• Marc Holzer, Ph.D. Rutgers University

• Paul Posner, Ph.D. George Mason University

• Marilyn Rubin, Ph.D. City University of New York

33

Results for whom?Results for whom?

• People of Thailand, especially those• who are under-served• who are under-resourced• who are remote from Bangkok• who are most vulnerable • whose voices are not yet loud nor heard

• People of Thailand, especially those• who are under-served• who are under-resourced• who are remote from Bangkok• who are most vulnerable • whose voices are not yet loud nor heard

44

Which results?Which results?

• Better education and health• More jobs and businesses• More communication and linkage• Speed and quality of service delivery

(streamlining and efficiency)• Equal development throughout the

country by improving conditions and opportunities for those outside Bangkok (area-based results)

• Better education and health• More jobs and businesses• More communication and linkage• Speed and quality of service delivery

(streamlining and efficiency)• Equal development throughout the

country by improving conditions and opportunities for those outside Bangkok (area-based results)

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Reaching for Results:Family of Key Concepts

Reaching for Results:Family of Key Concepts

• Area-based development requires area-based management & coordination

• Results-based management (& budgeting)

• Performance management (& budgeting)• Managing for results (& budgeting)• Management “contracts” & leadership• Motivation & incentives (monetary and

non-monetary)

• Area-based development requires area-based management & coordination

• Results-based management (& budgeting)

• Performance management (& budgeting)• Managing for results (& budgeting)• Management “contracts” & leadership• Motivation & incentives (monetary and

non-monetary)

66

Public Administrative Act (#5) B.E. 2545,

Section 3/1

Public Administrative Act (#5) B.E. 2545,

Section 3/1• Benefits that accrue to the Thai people• Results-oriented administration• Effective administration• Worthiness of government functions• De-layering of work processes (streamlining)• Abolishment of unnecessary agencies & functions• Decentralization of missions and resources to local

administrative units (de-concentration)• Empowerment in decision-making• Facilitation of and responsiveness to the needs of the people;

and• Accountability for endorsements

• Benefits that accrue to the Thai people• Results-oriented administration• Effective administration• Worthiness of government functions• De-layering of work processes (streamlining)• Abolishment of unnecessary agencies & functions• Decentralization of missions and resources to local

administrative units (de-concentration)• Empowerment in decision-making• Facilitation of and responsiveness to the needs of the people;

and• Accountability for endorsements

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Performance Improvement

Programming (PIP)

Performance Improvement

Programming (PIP)• Facilitating Factors• Expressed needs• Sustained leadership• Stakeholders

ownership• Focused planning• Small successes• People (training)• Recognition of

improvements and results

• Facilitating Factors• Expressed needs• Sustained leadership• Stakeholders

ownership• Focused planning• Small successes• People (training)• Recognition of

improvements and results

• Hindering Factors

• Resistance to change

• Technical difficulties

• Resources & skills• Negative

mentality

• Hindering Factors

• Resistance to change

• Technical difficulties

• Resources & skills• Negative

mentality

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The effective use of strategy and planning for area development

The effective use of strategy and planning for area development

• The Administrative Plan as a tool for area development

• Planning & budgeting as management tools

• Balanced Scorecard (themes)• De-concentration requires area-focused

leadership & management (CEO Governor)• All efforts focused on area-based

development (i.e., the provinces)

• The Administrative Plan as a tool for area development

• Planning & budgeting as management tools

• Balanced Scorecard (themes)• De-concentration requires area-focused

leadership & management (CEO Governor)• All efforts focused on area-based

development (i.e., the provinces)

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Balanced ScorecardBalanced Scorecard

• Adds focus to measurement• Standardizes key themes • 1. Effectiveness of missions (strategy)• 2. Efficiency of operations (costs)• 3. Quality of service (citizen-oriented)• 4. Organization development

(innovation)

• Adds focus to measurement• Standardizes key themes • 1. Effectiveness of missions (strategy)• 2. Efficiency of operations (costs)• 3. Quality of service (citizen-oriented)• 4. Organization development

(innovation)

1010

Strategy and Planning Cases

Strategy and Planning Cases

• Naga City: to excellence in 5 years• Revenue collection (resources)• Investment in people and systems• Strategic planning and operations

control • Improvement in services and

processes• Dramatic development increases

• Naga City: to excellence in 5 years• Revenue collection (resources)• Investment in people and systems• Strategic planning and operations

control • Improvement in services and

processes• Dramatic development increases

1111

Technical aspects of formulating key performance

indicators (KPIs)

Technical aspects of formulating key performance

indicators (KPIs)• Accountability for results (dilemmas) • Defining logic models or “results chains”

(outputs—intermediate outcomes—final outcomes)

• Achieving balanced measures • Defining benchmarks for targets • Focusing on the “vital few” measures • Developing information systems to support

results• Measuring emerging priorities and programs • Measuring longer term results

• Accountability for results (dilemmas) • Defining logic models or “results chains”

(outputs—intermediate outcomes—final outcomes)

• Achieving balanced measures • Defining benchmarks for targets • Focusing on the “vital few” measures • Developing information systems to support

results• Measuring emerging priorities and programs • Measuring longer term results

1212

Institutional requirements Institutional

requirements • Striking balance between central leadership and

agency ownership• Aligning performance reforms with other

management systems, including budget • Harmonization of indicators by focusing KPIs at

the provincial level• Strong leadership at provincial level• Synergy among sectors at provincial level• Information systems and decision-support

systems focused on provincial level• Use “clustering” to promote provincial

development

• Striking balance between central leadership and agency ownership

• Aligning performance reforms with other management systems, including budget

• Harmonization of indicators by focusing KPIs at the provincial level

• Strong leadership at provincial level• Synergy among sectors at provincial level• Information systems and decision-support

systems focused on provincial level• Use “clustering” to promote provincial

development

1313

Institutional Harmony and Tensions

Institutional Harmony and Tensions

• Development by expertise led by central departments with specialized staff and programs: one-size fits all blueprint for professional top-down operations

• Development by expertise led by central departments with specialized staff and programs: one-size fits all blueprint for professional top-down operations

• Area-based development led by provincial teams & CEO Governor, listening and sensitive to public needs and including public participation in planning, operations, evaluation and learning: leads to building capacity for continuous improvement dialogue

• Area-based development led by provincial teams & CEO Governor, listening and sensitive to public needs and including public participation in planning, operations, evaluation and learning: leads to building capacity for continuous improvement dialogue

1414

Action-Harmonization Mechanisms: Cases of

Catalysts

Action-Harmonization Mechanisms: Cases of

Catalysts• Economic Crisis (New Zealand)• Citizen-based benchmarks in Oregon• National performance review (US)• Next steps (UK)• Disasters leading to development (Japan)• World Bank/IMF conditionalities (Uganda)• Vision 20/20 (Malaysia)• Energize new participants for development:

more inclusive development (Thailand?)

• Economic Crisis (New Zealand)• Citizen-based benchmarks in Oregon• National performance review (US)• Next steps (UK)• Disasters leading to development (Japan)• World Bank/IMF conditionalities (Uganda)• Vision 20/20 (Malaysia)• Energize new participants for development:

more inclusive development (Thailand?)

1515

Inclusive DevelopmentInclusive Development

• Improve education and health• Add industries and jobs• NESDB: planning• BOB: resources and MOF proper financial mgt• OCSC: public service personnel: policy etc.• Departments: operations• Ministries: coordination• ? leadership for results: monitoring &

evaluation ?• Area-based development: villages, tambons,

districts, provinces: capacity & responsibility

• Improve education and health• Add industries and jobs• NESDB: planning• BOB: resources and MOF proper financial mgt• OCSC: public service personnel: policy etc.• Departments: operations• Ministries: coordination• ? leadership for results: monitoring &

evaluation ?• Area-based development: villages, tambons,

districts, provinces: capacity & responsibility

1616

Action-Harmonization mechanisms:

Managing change processes

Action-Harmonization mechanisms:

Managing change processes• Pacing the change process

• Maintaining parallel systems (new and old) during the transition process

• Encouraging inspired and committed implementation

• Recognizing and rewarding synergistic efforts: competition to show competence and attract development partners and investment

• Sharing accountability and responsibility• Maximizing IT: strategic management tool• Agenda, targets, reports: management tools• Transparency as a management tool

• Pacing the change process• Maintaining parallel systems (new and old) during

the transition process• Encouraging inspired and committed

implementation• Recognizing and rewarding synergistic efforts:

competition to show competence and attract development partners and investment

• Sharing accountability and responsibility• Maximizing IT: strategic management tool• Agenda, targets, reports: management tools• Transparency as a management tool

1717

The role of the CEO Governor in performance contracting

The role of the CEO Governor in performance contracting• Setting area priorities

• Managing area operations • Coordinating ministerial and

departmental activities, inputs• Measuring provincial results• Reflecting national priorities at

provincial level

• Setting area priorities• Managing area operations • Coordinating ministerial and

departmental activities, inputs• Measuring provincial results• Reflecting national priorities at

provincial level

1818

The role of the CEO Minister in

performance contracting

The role of the CEO Minister in

performance contracting• Contributing to area (provincial) priorities

• Sharing responsibility for area development• Contributing to provincial results• Supporting other ministries/departments in

the province• R&D for priority provincial issues• Accountability for contributing to provinces

• Contributing to area (provincial) priorities• Sharing responsibility for area development• Contributing to provincial results• Supporting other ministries/departments in

the province• R&D for priority provincial issues• Accountability for contributing to provinces

1919

CEO Leadership & Training

CEO Leadership & Training

• Uganda: Governor (CEO-style)• Managerial Grid: people and task• Coordination: “shared future”• Reaching cooperation• Supporting each other• Transparency of issues (no secrets)• Asking the people

• Uganda: Governor (CEO-style)• Managerial Grid: people and task• Coordination: “shared future”• Reaching cooperation• Supporting each other• Transparency of issues (no secrets)• Asking the people

2020

CEO Leadership CasesCEO Leadership Cases

• Bangladesh Power Authority• Results needed; wastage high• Negotiated with union• Set targets for each area office• Set incentives and discipline• Measure after three months• Dealing with laggards

• Bangladesh Power Authority• Results needed; wastage high• Negotiated with union• Set targets for each area office• Set incentives and discipline• Measure after three months• Dealing with laggards

2121

Capacity and LearningCapacity and Learning

• Working with performance indicators (KPIs) – expertise in-house

• Using information technology systems• Aggregating and Disaggregating data at

appropriate levels (especially provincial)• Conceptualizing cross-cutting issues• Linking strategies, results and intermediate

outcomes (results chains)• Learning from feedback from performance

systems• Benchmarking for using best practices

• Working with performance indicators (KPIs) – expertise in-house

• Using information technology systems• Aggregating and Disaggregating data at

appropriate levels (especially provincial)• Conceptualizing cross-cutting issues• Linking strategies, results and intermediate

outcomes (results chains)• Learning from feedback from performance

systems• Benchmarking for using best practices

2222

Capacity and Learning Cases

Capacity and Learning Cases

• Decentralization (as close as possible to the people)

• For strategic planning • For accountability• For feedback and continuous learning• Need systems and trained personnel• Close citizen-government relationship• e.g., local level innovation creates diffusion

of innovations among area governments

• Decentralization (as close as possible to the people)

• For strategic planning • For accountability• For feedback and continuous learning• Need systems and trained personnel• Close citizen-government relationship• e.g., local level innovation creates diffusion

of innovations among area governments

2323

Risks and Dysfunctional Behavior Patterns and their

mitigation

Risks and Dysfunctional Behavior Patterns and their

mitigation• Over-simplification (reductionism)• Too many measures (over-elaboration)• Confusing outputs and outcomes• Measurement by convenience• Losing the “big picture”• Bureaucratic routines distort results• Hiding behind bureaucratic intricacies• Resistance to change; stalling tactics

• Over-simplification (reductionism)• Too many measures (over-elaboration)• Confusing outputs and outcomes• Measurement by convenience• Losing the “big picture”• Bureaucratic routines distort results• Hiding behind bureaucratic intricacies• Resistance to change; stalling tactics

2424

Risks and Dysfunctional Behavior Cases

Risks and Dysfunctional Behavior Cases

• Buffalo garbage fiasco• Buffalo garbage fiasco

2525

Role of the People:Voice and Governance

Role of the People:Voice and Governance

• Strengthening Citizens’ Charters• Improving Citizen Surveys• Popular participation in advising, priority-

setting and decision-making• Community-based knowledge & wisdom• Community-based initiatives• Role of the Tambons• Putting the “balance” in the balanced

scorecard

• Strengthening Citizens’ Charters• Improving Citizen Surveys• Popular participation in advising, priority-

setting and decision-making• Community-based knowledge & wisdom• Community-based initiatives• Role of the Tambons• Putting the “balance” in the balanced

scorecard

2626

Role of the People: Cases in Voice and

Governance

Role of the People: Cases in Voice and

Governance• Benchmarking in communities• Benchmarking among provinces• Benchmarking among departments

and ministries• Benchmarking studies and

application• Seeking to be “the model” for

effective and efficient strategy and operations: competitive spirit

• Benchmarking in communities• Benchmarking among provinces• Benchmarking among departments

and ministries• Benchmarking studies and

application• Seeking to be “the model” for

effective and efficient strategy and operations: competitive spirit

2727

SustainabilitySustainability

• Enabling environment mechanisms, resources, capacity, data

• Recognition and positive reinforcement (awards and distinctions)

• Enhancing both supply and demand• Credible supply of KPIs and data• Dynamic institutionalization of demand

from the people, decision-makers and stakeholders

• Enabling environment mechanisms, resources, capacity, data

• Recognition and positive reinforcement (awards and distinctions)

• Enhancing both supply and demand• Credible supply of KPIs and data• Dynamic institutionalization of demand

from the people, decision-makers and stakeholders

2828

Sustainability CasesSurprise: Many nations have sustained RBM more than 10

years

Sustainability CasesSurprise: Many nations have sustained RBM more than 10

years• Community-based benchmarks• Long-term perspective• Integration with budget• Broad-based stakeholder support• Managers appreciate tools and adapt

tools for their use• Citizens appreciate results

• Community-based benchmarks• Long-term perspective• Integration with budget• Broad-based stakeholder support• Managers appreciate tools and adapt

tools for their use• Citizens appreciate results

2929

Dialogue for SustainabilityDialogue for

Sustainability• Do we know what & how we are

doing?• Where to we discuss these issues?• Mechanism for researching

benchmark cases and for dialogue on government operations

• (legislative staff unit to evaluate and report on government operations: parliamentary or separations of powers system)

• Do we know what & how we are doing?

• Where to we discuss these issues?• Mechanism for researching

benchmark cases and for dialogue on government operations

• (legislative staff unit to evaluate and report on government operations: parliamentary or separations of powers system)

3030

NEXT STEPSNEXT STEPS

• Increase focus on provinces for results identification and measurement

• Invigorate CEO-style management at provincial level

• Align ministry/department resources to provinces (HQ=R&D & Policy; Province=Operations)

• Strengthen incentives for cooperation (awards)• Align performance systems with other

management systems, including budget • Improve KPI measurement and data (use IT)• Facilitate dynamic people participation• Increase transparency of reporting and awards

• Increase focus on provinces for results identification and measurement

• Invigorate CEO-style management at provincial level

• Align ministry/department resources to provinces (HQ=R&D & Policy; Province=Operations)

• Strengthen incentives for cooperation (awards)• Align performance systems with other

management systems, including budget • Improve KPI measurement and data (use IT)• Facilitate dynamic people participation• Increase transparency of reporting and awards