Results-Based Management for Inclusive Development in Thailand

1. Results-Based Management in Thailand A Formative Evaluation for Inclusive Development

2. Team • 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

3. 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

4. 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)

5. 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)

6. 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

7. 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 Performance Improvement Programming (PIP)

8. 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)

9. Balanced 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)

10. 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

11. 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

12. 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

13. 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 Institutional Harmony and Tensions

14. 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?)

15. Inclusive 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

16. 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

17. 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

18. 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

19. 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

20. CEO 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

21. Capacity 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

22. 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

23. 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

24. Risks and Dysfunctional Behavior Cases • Buffalo garbage fiasco

25. 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

26. 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

27. Sustainability • 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

28. 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

29. Dialogue 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)

30. NEXT 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