Quick Reference Guide - cradpdf.drdc-rddc.gc.cacradpdf.drdc-rddc.gc.ca/PDFS/unc200/p801999_A1b.pdf · Quick Reference Guide . Results-Based Management (RBM) and the Operational Planning

Quick Reference Guide Results-Based Management (RBM) and the Operational Planning Process (OPP)

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Fode Beaudet Learning advisor | Conseiller en apprentissage Centre for Intercultural Learning | Centre d'apprentissage interculturel 115, rue Bisson | 115 Bisson Street Gatineau (secteur Hull) QC | Gatineau (Hull Sector) QC J8Y 5M2 Foreign Affairs, Trade and Development Canada | Affaires trangres, Commerce et Dveloppement Canada

Letter of Arrangement, signed August 13th 2014 by Foreign Affairs and August 19th by DRDC Toronto

DRDC Technical Authority: Dr. Tara Holton

The scientific or technical validity of this Contract Report is entirely the responsibility of the Contractor and the contents do not necessarily have the approval or endorsement of the Department of National Defence of Canada.

Contract Report

DRDC-RDDC-2015-C085

May 2015

Her Majesty the Queen in Right of Canada, as represented by the Minister of National Defence, 2015

Sa Majest la Reine (en droit du Canada), telle que reprsente par le ministre de la Dfense nationale,

2015

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Foreign Affairs, Trade andDevelopment CanadaDveloppement Canada

Affaires trangres, Commerce et

Quick Reference GuideResults-Based Management (RBM) and the Operational Planning Process (OPP)

Quick Reference Guide Introduction

The purpose of this guide is to provide members of the Canadian Armed Forces (CAF) and personnel from other government departments (OGDs) with a short accessible reference guide to each others planning process for use in theatre in a Comprehensive Approach. The focus for this guide is to familiarize the reader with the OPP and the RBM approach to planning.

What is RBM? It is a life-cycle approach to management that integrates strategy, people, resources, processes and measurement to improve decision-making, transparency and accountability. It is an approach that focuses on achieving outcomes, aligning activities with priorities, managing for project performance, continuous learning and adapting, and reporting on performance and change.

What is OPP? It is collaborative process used by a group of planners to determine the best method of accomplishing assigned tasks. The planning process is designed to optimize logical, analytical steps of decision-making and is particularly useful when faced with inadequate information, insufficient time and limited resources often encountered in operational conditions of uncertainty and ambiguity.

Questions for Interagency Planners

There is a clear distinction between the theoretical underpinning of each respective planning process and the bureaucratic procedures for which the theories apply. This guide provides theoretical background and suggests further resources and questions to reconcile theory and practice.

Personal relationships and the ability to connect people are cited as the most effective contributors of reconciling planning processes.

Questions for your counterpart(s):

What language do you use to define a goal or an objective? How was your goal defined? By whom? What flexibility do you have to make changes to your plan? Who needs to be involved in adapting your plan?

Which planning tools have you used? Is the output of your planning available? What does your theory of change look like?

What is your line of decision-making? Under which circumstances do you require another authority to make a decision? (i.e. travel, contracts, hospitality, etc.)

How would you define success? How do you know if you have succeeded?

STAGE 1: INITIATIONWhat is happening?

- Receive direction- Warn others- Activate planning team- Gather planning data & tools- Complete initial assessment- Issue Initial Guidance

STAGE 5: PLAN REVIEWIs my plan still relevant?

- Monitor progress/validity- Conduct Additional Wargaming- Adjust the Plan

STAGE 2: ORIENTATIONDo I understand the problem and the requirements for a solution?

- Review Situation - Develop Mission Statement- Deliver Mission Analysis Brief- Issue Planning Guidance

STAGE 3: Course Of Action (COA) DEVELOPMENT

What options are there for solving the problem and which option is the best?

- Analyze Factors- Develop COAs- Deliver Information Brief- Conduct COA Wargaming and Comparison- Deliver Decision Brief- Prepare Concept of Operations (CONOPS)

STAGE 4: PLAN DEVELOPMENTHow do I translate the chosen solution into a plan for action?

- Seek CONOPS approval- Conduct Plan Wargaming- Prepare the Plan- Seek Plan Approval

(1) ASSESS/ANALYZEWhat is happening? Who is affected? Who is involved?

- Context, assets, problems, gender inequalities, etc.- Social, economic, political, religious, environmental,

gender and cultural issues- Governance principles issues at the project, local, regional

and national level, obstacles and/or opportunities- Potential environmental effects (positive and negative)- Actors/stakeholders- Organizational and policy context- Baseline situation and desired change

(2) DEFINE EXPECTED RESULTS & RESULTS CHAIN(S)

What change do we want to see? How will we bring this change?

- Ultimate Outcome - Outputs- Intermediate Outcomes - Activities- Immediate Outcomes - Inputs

(4) ESTABLISH A PERFORMANCE MEASUREMENT FRAMEWORK (PMF)

How will I know were on track?

- Select indicators- Data collection sources, methods, etc.

(3) IDENTIFY RISKS

What are the risks? How do we mitigate them?

- Risk analysis and response strategies

(5) IMPLEMENT

(8) REPORTWhat is the performance story?

- Progress, achievements, variance, learning and adjustments

(7) LEARN AND ADJUSTAre we on track?

- Identify lessons learned- Implement changes and

make necessary adjustments

(6) MONITORAre we on track?

- Collect performance information

- Measure progress and results- Risks and risk responses

Stages of OPP Compared to RBM1

1. Adapted from: OPP/RBM Manual, Results-Based Management and How it Compares to the Operational Planning Process

Resources

Office of the Auditor General of Canada, Implementing Results-Based Management: Lessons from the Literature: www.oag-bvg.gc.ca/internet/English/meth_gde_e_10225.html

Treasury Board Secretariat Policy on Management, Resources and Results Structures www.tbs-sct.gc.ca/pol/doc-eng.aspx?id=18218&section=text

Managing for Development Results: www.mfdr.org/

OECD/DAC, Glossary of Key Terms in Evaluation and Results-Based Management: www.oecd.org/development/peer-reviews/2754804.pdf

UN Development Group: Results-Based Management Handbook: www.un.cv/files/UNDG%20RBM%20Handbook.pdf

World Bank: www.worldbank.org/results/

Case Study: Major Events Security Framework (MESF) http://www.gcpedia.gc.ca/wiki/MESF/About/MESF_Security_Planning/Nature_and_Scope_of_Major_Events

Whole of Government Resources: http://www.gcpedia.gc.ca/wiki/Whole_of_Government

Communities of Practice: ON GARDE: online government advanced research and development environment http://www.ongarde.net/elgg/





The purpose of this guide is to provide members of the Canadian Armed Forces (CAF) and personnel from other government departments (OGDs) with a short accessible reference guide to each others planning process for use in theatre in a Comprehensive Approach. The focus for this guide is to familiarize the reader with the OPP and the RBM approach to planning.

What is RBM? It is a life-cycle approach to management that integrates strategy, people, resources, processes and measurement to improve decision-making, transparency and accountability. It is an approach that focuses on achieving outcomes, aligning activities with priorities, managing for project performance, continuous learning and adapting, and reporting on performance and change.

What is OPP? It is collaborative process used by a group of planners to determine the best method of accomplishing assigned tasks. The planning process is designed to optimize logical, analytical steps of decision-making and is particularly useful when faced with inadequate information, insufficient time and limited resources often encountered in operational conditions of uncertainty and ambiguity.


There is a clear distinction between the theoretical underpinning of each respective planning process and the bureaucratic procedures for which the theories apply. This guide provides theoretical background and suggests further resources and questions to reconcile theory and practice.

Personal relationships and the ability to connect people are cited as the most effective contributors of reconciling planning processes.


What language do you use to define a goal or an objective? How was your goal defined? By whom? What flexibility do you have to make changes to your plan? Who needs to be involved in adapting your plan?

Which planning tools have you used? Is the output of your planning available? What does your theory of change look like?

What is your line of decision-making? Under which circumstances do you require another authority to make a decision? (i.e. travel, contracts, hospitality, etc.)

How would you define success? How do you know if you have succeeded?

Resources













Resources










Foreign Affairs, Trade andDevelopment Canada Dveloppement Canada



Resources













Resources













Printing instructions: print on Tabloid-sized paper (11 x 17), in landscape orientation, double-sided and flip page on short edge (text on both sides of page should face the same direction)

Instructions pour limpression: imprimer sur papier de format tablod (11 x 17) en mode paysage, recto-verso, bord court (le texte devrait tre orient dans le mme sens des deux cts)

www.intercultures.gc.caToll-free (Canada) 1-800-852-9211 ext. 0

Centre dapprentissage interculturelInstitut canadien du service extrieur

Centre for Intercultural LearningCanadian Foreign Service Institute

Contexte Le choix dun scnario maquette sappuie sur trois conclusions cls tires de sances de groupes de discussion et dentrevues menes auprs de petites et moyennes entreprises qui connaissent bien la gestion axe sur les rsultats et le processus de planification oprationnelle des Forces armes canadiennes.

En premier lieu, une distinction claire a t faite entre le fondement thorique de chaque processus de planification et les procdures administratives auxquelles sappliquent les thories.

Puis, on a tabli que pour contribuer au renforcement de lapproche globale souhaite, et, par extension, lintgration des processus de planification en cause, il faut accorder une grande attention aux relations interpersonnelles et savoir amener les gens de lensemble des secteurs viss crer des liens entre eux.

Enfin, lefficacit de tout guide de consultation rapide sera limite par le contexte trs dynamique et diversifi qui se rapporte lapproche globale en question, et que la capacit de dterminer quelles sont les questions quil convient de poser reprsente la cl du succs.

Le scnario maquette sajoute aux deux autres produits, soit le Guide de consultation rapide et le Manuel de la gestion axe sur les rsultats, qui ont t mis au point pour les besoins de la trousse doutils associe lapproche globale, dont la mise en uvre est dirige par Recherche et dveloppement pour la dfense Canada (RDDC).

Scnario-maquette du Guide de consultation rapide Processus de planification oprationnelle (OPP) et gestion axe sur les rsultats (GAR)

La gestion axe sur les rsultats

et comment elle se compare au Processus de planification oprationnelle

Foreign Affairs, Trade andDevelopment Canada

Affaires trangres, Commerce etDveloppement Canada


entre dapprentissage interculturelInstitut canadien du service extrieurC

Guide de consultation rapide



Gestion axe sur les rsultats (GAR) etprocessus de planification oprationnelle (PPO)




Il ny a rien de plus pratique quune bonne thorie1, mais

Ressources

Demande de propositions : le Ministre joue un rle dterminant dans la conception de linitiative (il la conoit jusqu lchelon des extrants) et lance un processus concurrentiel pour conclure un march avec une agence dexcution, qui met en uvre linitiative.

Appel de propositions : le Ministre dfinit les rsultats escompts et invite les demandeurs lui soumettre des demandes qui laideront atteindre ces rsultats.

Initiatives du MAECD : le Ministre joue un rle dans la conception de linitiative (rsultats) et dtermine le bnficiaire qui est le mieux plac pour obtenir les rsultats escompts.

Propositions non sollicites : demandes de financement soumises au Ministre sans quil y ait eu un appel ou une demande. le MAECD pourrait dcider de financer de telles demandes si elles ont une importance stratgique ou si elles proposent une approche novatrice en matire de dveloppement.

1. Source : Kurt Lewin

GAR PPO

La GAR, puisquelle est itrative,

doit se traduire par lapport de rajustements au plan

original dans les cas o de telles modifications sont susceptibles de faciliter la ralisation des

rsultats attendus.

Le personnel ne comprend pas que

la GAR est itrative; nous devrions galement distinguer

la GAR thorique des procdures administratives

connexes

On dit souvent quaucun plan ne rsiste au contact de lennemi.

Alors do vient

cette croyance selon laquelle il sagit l de

notions rigides?

Oui, puisque nous

pourrions ne pas avoir la mme souplesse en ce qui a trait aux contrats, dplacements et lhbergement, entre

autres choses.

En rsum, nous devrions nous renseigner propos de nos procdures administratives et de

notre pouvoir en matire de prise de dcisions.

En dveloppement, nous utilisons un processus de programmation autoris

pour examiner ou laborer des propositions de projet, et pour

les faire approuver. Cela prend du temps.

Ladaptabilit est essentielle la mise en uvre sans heurt dun

processus de GAR.

Nous navons pas

dautre choix que de nous adapter, puisque lennemi

a un vote .

Je pensais la mme

chose du PPO.

Je croyais que la GAR tait rigide.

Par exemple?

Dmarrage

Voie ouverteMcanismes de slection :

Demande de propositions Appel de propositions

Voie cibleMcanismes de slection :

Initiative du MAECD Propositions non sollicites Soutien institutionnel

Conception Accords Mise en uvreAnalysePlanification

du travail

Processus de programmation autoris (PPA)




1. Les termes sont rdigs en anglais parce quil nexiste pas de versions franaises officielles

Le sens derrire le langage

RessourcesSi nous comparons les chanes de rsultats, nous voyons que chaque organisme donateur utilise des termes lgrement diffrents1;

Rsultat ultime

Strategic Objective Goal Impact Goal

Goal/ Impact

Rsultats intermdiaires

Intermediate Results

Purpose

(Medium-term)

Outcome

(Short-term)

Key ResultsPurpose/Outcome

Rsultats immdiats

Project-Level Intermediate

Results

Component ObjectivesResults

Extrants Outputs Outputs

Activits Activities Activities Activities Activities Activities

en fait, ils partagent tous une mme caractristique : ils reprsentent tous un lien causal entre les rsultats attendus.

Oui, la terminologie est diffrente, mais la logique est peu prs

la mme.Alors nous

devrions nous employer faire connatre le sens vhicul

par nos termes plutt que dutiliser des dfinitions tires

de manuels.

La chane de rsultats a des points en commun avec lapproche

base sur les effets.

La chane de rsultats prsente la relation

de cause effet entre les activits et les extrants menant

des rsultats immdiats et intermdiaires, de mme

quau rsultat final.

Comment dcririez-vous votre chane

de rsultats?

Un rsultat immdiat est un changement

dans les capacits, par exemple en ce qui a trait une comptence.

Un rsultat intermdiaire est un changement dans le comportement ou

le rendement, notamment pour ce qui est de llaboration de politiques. Enfin, un rsultat final est un changement sur le

plan de ltat, des conditions ou du bien-tre qui touche les

bnficiaires long terme.

Quelle est la diffrence entre vos

divers rsultats?

Nous tablissons tous les deux des diffrences entre la capacit ncessaire

pour produire un effet et leffet en soi. Cest vrai; nous

travaillons avec des organismes donateurs et des organisations multilatrales

qui utilisent diffrentes terminologies.

GAR PPO

Et nous navons

pas encore parl des pays avec qui nous

collaborons.




De quoi est-il rellement question?

Ressources

cole de la fonction publique du Canada : http://www.csps-efpc.gc.ca/index-fra.aspx

Cours de lInstitut canadien du service extrieur (demandez un catalogue) : http://www.international.gc.ca/ifait-iaeci/index.aspx?lang=fra

Politique du Conseil du Trsor concernant les dtachements et les affections : http://www.tbs-sct.gc.ca/faq/seas-fra.asp

Programme de scurit nationale du Collge des Forces canadiennes : http://www.cfc.forces.gc.ca/242-fra.html

Rseau de la rforme du secteur de la scurit : www.ssrnetwork.net

Communauts de pratique ON GARDE : Environnement en ligne de pointe du gouvernement en matire de recherche et de dveloppement : http://www.ongarde.net/elgg/

Apprendre lun de lautre?

Nest-ce pas ce

que nous avons fait?

Comment pouvons nous accrotre nos occasions de collaborer avant de partir

en mission?

Disposer des

bonnes personnes, lesquelles auront bnfici dune bonne prparation,

nous permettra den sortir gagnants.

De mme, du ct civil, on offre de nombreux cours

au personnel du gouvernement.

Il y a des exercices dentranement

pour les secteurs interorganisationnels.

Mais quest-ce qui fait vraiment la diffrence sur

le terrain?

Distinguer la

thorie des procdures administratives lest

tout autant.

Discuter de la

terminologie utilise est toujours dune aide

prcieuse.

GAR PPO

Cela nous aide

comprendre nos approches rciproques dans notre prparation au thtre

des oprations.




Background The choice of a Storyboard reflects three key findings from focus groups and interviews conducted with SMEs versed in Results-Based Management and the Canadian Armed Forces Operational Planning Process. First, a clear distinction was made between the theoretical underpinning of each respective planning process and the administrative procedures to which the theories apply.

Second, a strong emphasis on personal relationships and the ability to connect people across sectors was described as one of the most effective contributors in strengthening the Comprehensive Approach, and, in effect, integrating planning processes.

Third, the effectiveness of a Quick Reference Guide is limited by the highly contextualized and diverse Comprehensive Approach dynamic; knowing which questions to ask is a key to success.

The Storyboard complements two other products, The Quick Reference Guide and the RBM Manual, developed as part of the Comprehensive Approach Toolkit led by Defence Research Development Canada (DRDC).

Storyboard Quick Reference GuideOperational Planning Process (OPP) and Results-Based Management (RBM)




Results-Based Managementand How it Compares to the Operational Planning Process












There is nothing as practical as a good theory1 but

Resources

Request for Proposals: DFATD plays a major role in the design of the initiative, designing the initiative to the output level and launching a competitive process to enter into a contract with a single executing agency, which delivers the initiative.

Call for Proposals: DFATD identifies expected results (outcomes) and invites applicants to submit applications that will contribute to the achievement of those expected results.

DFATD-Initiated:DFATD plays a role in the design of the initiative (outcomes) and identifies the proposed recipient best suited to achieve its expected results.

Unsolicited Proposals: Funding proposals submitted to the Department that are not in response to any specific communication.

1. Source: Kurt Lewin

RBM OPP

And being iterative, RBM expects adjustments

to the original plan if these adjustments ensure better

the achievement of the expected outcomes

Staff not understanding that

RBM is iterative, and we should also distinguish

between the RBM in theory and the administrative

procedures

We have a saying: No plan survives

contact with the enemy

So where do the

perceptions of rigidity come from?

Yes, because we may not

have the same flexibility with regards to contracts,

travel, hospitality, etc.

In essence, we should inquire about our respective administrative procedures and decision-

making authority.

In development we use a detailed Authorized Programming Process for

reviewing or developing project proposals and seeking approval for them. This

takes time.

Adaptability is central to well

implemented RBM

We have no choice but to adapt, since The

Enemy gets a vote.

I had the same assumption about OPP.

I thought RBM was rigid.

For example?

Initiation

Open trackSelection mechanisms:

Request for proposals Call for proposals

Targeted trackSelection mechanisms:

DFATD-initiated Unsolicited proposals Institutional Support

Design Agreements ImplementationAssessmentWork

planning

Authorized Programming Process (APP)




The Meaning Behind Language

ResourcesWhile a comparison of Results Chains shows that each donor organization uses slightly different terms:

Ultimate Outcome

Strategic Objective

Goal Impact GoalGoal/ Impact

Intermediate Outcomes


Purpose

(Medium-term)

Outcome

(Short-term)

Key ResultsPurpose/Outcome

Immediate Outcomes Project-Level


Component ObjectivesResults

Outputs Outputs Outputs

Activities Activities Activities Activities Activities Activities

. . . in fact, they all share one important feature: they all represent a causal link between expected results.

Yes, we use different words but

a similar logic.So the focus should

be on translating the meaning behind the language rather than

textbook definitions.

The Results Chain has similarities to the Effects-Based

approach.

The Results Chain describes the cause and effect relationship of activities and

outputs leading to immediate, intermediate and ultimate

outcomes.

How would you describe your Results Chain?

An Immediate Outcome is a change in

capacities, such as a skill. An Intermediate Outcome is a change in behaviour or performance, such as policy making. And the Ultimate Outcome is the change in a state,

conditions or well-being for the ultimate benificiairies,

which is long term.

What is the difference between

your various outcomes?

We both differentiate between the capacity

needed to produce an effect and the effect itself.

True, we work with donors and multi-lateral organizations

that use different terminologies.

RBM OPP

And we have not covered other countries

we collaborate with.




What is it really about?

Resources

Canada School of Public Service: http://www.csps-efpc.gc.ca/index-eng.aspx

Canadian Foreign Service Institute Courses (ask for a catalogue): http://www.international.gc.ca/ifait-iaeci/index.aspx?lang=eng

Treasury Board Policy on Secondment/Assignment: http://www.tbs-sct.gc.ca/faq/seas-eng.asp

National Security Program at the Canadian Forces College: http://www.cfc.forces.gc.ca/242-eng.html

Security Sector Reform Network: www.ssrnetwork.net

Communities of Practice: ON GARDE: online government advanced research and development environment: http://www.ongarde.net/elgg/

Learning from each other?

Isnt it what we have been doing?

How we can increase the opportunities

to collaborate with each other before going on mission?

Having the right people well prepared will

make the difference.

And civilians offer several courses open for

staff from the Whole-of-Government.

There are training exercises for Interagency

departments.

But what makes a difference in

the field?

So is distinguishing between theory and

administrative procedures.

Discussing

terminology is helpful.

RBM OPP

Which helps to understand each others approach in preparation

for theatre.

TAPE 2 : ORIENTATIONEst-ce que je comprends le problme et les exigences

relatives la solution?

- Examiner la situation- laborer lnonc de mission- Tenir une sance dinformation sur

lanalyse de la mission- Publier le guide de planification

du commandant

TAPE 3 : LABORATION DES PLANS DACTION

Quelles sont les solutions possibles au problme, et quelle solution est

la meilleure?

- Analyser les facteurs en cause- Analyse des risques- laborer les plans daction- Prsenter lexpos dinformation- Procder une comparaison et un

exercice de jeu de guerre lgard des plans daction

- Prsentation de lexpos de dcision- Prparer le concept dopration

(CONOPS)

TAPE 4 : LABORATION DU PLANComment transformer la solution

retenue en plan daction?

- Faire approuver le CONOPS- Procder un exercice de jeu de

guerre lgard du plan- Prparer le plan- Faire approuver le plan- Publier le plan- valuer lefficacit et le rendement- Directives sur les indicateurs et la

collecte de donnes

TAPE 1 : LANCEMENTQue se passe-t-il? (similaire la GAR)

- Assurer la rception de la directive dinitiation- Prendre connaissance de la directive initiale

du commandant- Avertir les autres intervenants- Mettre sur pied une quipe charge de

la planification- Recueillir des donnes et rassembler des

outils de planification- Achever lvaluation initiale- mettre lorientation initiale- Cerner les menaces

(1) LANCEMENT ET VALUATION/ANALYSEQue se passe-t-il? Qui est touch? Qui participe?

Comprenons-nous les questions lies au dveloppement et connaissons-nous les solutions possibles?

- Une quipe est mise sur pied- Contexte, biens, problmes, disparits entre les sexes, etc.- Questions sociales, conomiques, politiques, environnementales,

religieuses et culturelles; questions lies au sexe- Questions lies aux principes de gouvernance dans le cadre du projet,

obstacles ou possibilits lchelle locale, rgionale et nationale- Effets environnementaux potentiels (bnfiques et nfastes)- Acteurs/intervenants- Contexte sur les plans organisationnel et des politiques- Situation de rfrence et changement dsir, valuation des risques

(2) DTERMINATION DES RSULTATS ESCOMPTS ET

DE LA CHANE DE RSULTATSQuels changements voulons nous voir? Comment nous y

prendrons nous?

- Rsultat ultime- Rsultats intermdiaires- Rsultats immdiats- Extrants - Activits- Intrants

(4) TABLISSEMENT DUN CADRE DE MESURE DU

RENDEMENT (CMR)Comment saurons-nous si nous

sommes sur la bonne voie?

- Choisir ses indicateurs- Collecte de donnes (sources,

mthodes, etc.)

(3) CERNER LES RISQUESQuels sont les risques? Comment

pouvons-nous les attnuer?

- Analyse des risques et stratgies dintervention

(5) MISE EN UVRE

(8) TABLISSMENT DE RAPPORTSQuen est il du rendement?

- Progrs raliss, accomplissements, carts, apprentissage et rajustements

TAPE 5 : EXAMEN DU PLAN

Mon plan est -il toujours pertinent?

- Surveiller les progrs raliss et la validit des mesures prises

- Procder des exercices supplmentaires de jeux de guerre

- Modifier le plan

Mise en uvre : cellule oprationnelle

(7) APPRENTISSAGE ET RAJUSTEMENTS

Quels sont les rajustements que nous devons apporter?

- Relever les leons apprises- Procder aux rajustements

ncessaires

(6) SURVEILLANCESommes-nous sur la bonne voie?

- Recueillir des donnes sur le rendement

- valuer les progrs en vue de latteinte des rsultats

- Examiner les risques et les mesures prises pour les attnuer

1. Tir du : Manuel sur le PPO et la GAR, La gestion axe sur les rsultats par comparaison avec le processus de planification oprationnelle

Guide de consultation rapide

Gestion axe sur les rsultats (GAR) et processus de planification oprationnelle (PPO)

Comparaison entre lapproche du processus de planification oprationnelle et la planification de projet axe sur les rsultats

ATTENTION

Prsentation du Guide

Lobjectif du prsent guide est de soutenir le processus de planification en vue du recours une Comprenhensive Approach (approche globale). Pour ce faire, le guide prsentera aux membres des Forces armes canadiennes (FAC) de mme quau personnel des autres ministres et organismes fdraux le processus de planification oprationnelle (PPO) militaire et lapproche de gestion axe sur les rsultats (GAR) en matire de planification.

Quest-ce que la gestion axe sur les rsultats (GAR)? Il sagit dune approche itrative se rattachant au cycle de vie qui permet de grer des changements complexes et vise avant tout latteinte de rsultats. Elle a pour but de dterminer les meilleurs moyens de parvenir aux rsultats attendus, dvaluer les progrs cet gard et de grer tant les risques que le projet pour obtenir des rsultats grce lapprentissage, aux rajustements et la production de rapports sur le rendement. La GAR ncessite lutilisation dune approche participative tout au long du cycle de vie.

Quest-ce que le processus de planification oprationnelle?Le PPO des FAC consiste en un processus coordonn auquel on a recours afin de dterminer la mthode privilgier pour excuter les tches oprationnelles et planifier en vue de la ralisation ventuelle dautres tches. La planification peut tre entrave par des lacunes sur le plan de linformation de mme que par linsuffisance des ressources disponibles. Le processus de planification est conu pour tirer parti des tapes logiques et analytiques de la prise de dcisions dans des circonstances marques par lincertitude et lambigut.

Questions pour les planificateurs interorganisationnels

Il importe de distinguer entre les bases thoriques de chacun des processus de planification et les contextes dans lesquels les thories en cause sont mises en application. Le prsent guide fournit un contexte thorique et suggre dautres ressources et questions afin de rconcilier thorie et pratique.

Pour tre en mesure dintgrer les processus de planification, il est primordial dtablir des relations interpersonnelles et de savoir amener les gens crer des liens entre eux.

Questions pour votre ou vos homologues :

Quels termes utilisez-vous pour dcrire les objectifs? Comment dcririez-vous les relations de cause effet de lintrant lobjectif final (c.--d. thorie du changement)? Comment dfiniriez-vous le succs? Comment savez-vous si vous avez russi?

Qui dfinit vos objectifs? Qui est consult lors de la dfinition de ces objectifs? Qui doit participer pour que des changements puissent tre apports au plan?

Quels outils de planification utilisez-vous pour ce projet/cette mission? Est ce que vos documents et vos outils de planification sont disponibles?

quoi ressemble la structure organisationnelle qui sapplique ce projet/cette mission? Quelle est votre chane de commandement? Dans quelles circonstances avez-vous besoin dune autre autorit pour prendre une dcision (p. ex. voyage, passation de marchs, hbergement)?

Dans le prsent guide de consultation rapide, quelles sont les sections qui correspondent le plus votre ralit? Quelles nuances apporteriez-vous ce guide?

Ressources

Canadian Forces Joint Publication 5.0 (CFJP 5.0) : The Canadian Forces Operational Planning Process (Publication interarmes des Forces canadiennes 5.0 Le processus de planification oprationnelle des FC) [lien vers le document en anglais seulement]: http://publications.gc.ca/collections/collection_2010/forces/D2-252-500-2008-eng.pdf

La mission pangouvernementale du Canada en Afghanistan Leons retenues : http://www.journal.forces.gc.ca/vol13/no2/page8-fra.asp

Les outils de la Gestion axe sur les rsultats du MAECD : Guide pratique : http://www.international.gc.ca/development-developpement/partners-partenaires/bt-oa/rbm_tools-gar_outils.aspx?lang=fra

OCDE : Gestion axe sur les rsultats : http://www.oecd.org/fr/cad/examens-pairs/results-measurement-and-management.htm

Politique sur la structure de la gestion, des ressources et des rsultats du Secrtariat du Conseil du Trsor : http://www.tbs-sct.gc.ca/pol/doc-fra.aspx?id=18218&section=text

Managing for Development Results : www.mfdr.org/ (en anglais seulement)

Groupe de dveloppement des Nations Unies : Results-Based Management Handbook : www.un.cv/files/UNDG%20RBM%20Handbook.pdf (en anglais seulement)

Banque mondiale : http://www.banquemondiale.org/resultats/

La GAR et le PPO sont des approches plus itratives que ce que montre le graphique ci-dessous. Le temps investi varie considrablement dune tape lautre. Il ny a pas dtape expressment consacre la mise en uvre dans le PPO dcrit ci-dessous. La mise en uvre est la

responsabilit de chaque cellule oprationnelle.



Modification de ltat, des conditions ou du bien-tre des bnficiaires finaux (et non des circonstances les entourant)

Rsultatultime

Modification sur le plan du comportement, de la pratique ou du rendement en ce qui touche les intermdiaires ou les bnficiaires

Rsultatsintermdiaires

Modification des capacits des intermdiaires ou des bnficiaires

Rsultats immdiats

Produits et services offerts par les responsables dun projet ou dun programme

Extrants

Activits prvues menes par les responsables dun projet ou dun programme

Activits

Ressources investies par le ou les excutants et le ou les donateurs

Intrants

conomique

Argent

Prise de dcisions

Social

Personnel

Connaissances

Mesures sociales

Civil

Matriel

Habilet

Formationdonne

Processus

Excuter des recherches

Remettre linfrastructure en tat

Comportement Viabilit

Environnemental

Technologie

Attitude

Recherches entreprises

Fournir une orientation sur les politiques

Animer les ateliers

tablissement de politiques

Temps

Opinions

Ateliersanims

Donner la formation au personnel

Aspirations

valuations ralises

Rapport produit

valuer

Efficience

Bien-tre

quipement Partenaires

Sensibilisation

Conseils stratgiques fournis

Motifs

Cliniques construitesou rnoves

Efficacit Exercice

Gestion axe sur les rsultats : Chane de rsultats

Conception de la campagneChaque problme est unique et exige de faire preuve de crativit, et non de recourir un modle4

tape I tape II tape III

Ligne dopration

(LOO) 1

Ligne dopration

(LOO) 2

Ligne dopration

(LOO) 3

Outils2 pour les planificateurs interorganisationnels

GAR PPO Autres3

Problem Tree Analysis (Analyse de problmes)

Dtermination des intervenants

Analyse de lenvironnement (un outil de type S.I.M.P.L.E. )

Modle logique et Cadre de Mesure du Rendement (CMR)

Matrice des risques et modle de registre des risques

Listes de contrle : Indicateur de slection, chane de rsultats, analyse de donnes et tablissement de rapports sur le changement (faisant part de la situation en ce qui touche le rendement)

Outil dautosurveillance et de dsignation des leons apprises sappliquant un projet ou un programme

PMESII (politique, militaire, conomique, social, infrastructure et information)

Exercices de jeu de guerre ou rptitions (p. ex. sance de discussion, simulation assiste par ordinateur, exercices et valuation) : technique utilise pendant la planification pour aider un commandant et ltat major visualiser une opration venir ou ses volets critiques.

After Action Review (Mesures pour examiner laction)

Leons apprises

Lignes directrices sur lapplication de critres pangouvernementaux dans les tats fragiles ou touchs par des conflits : Ces lignes directrices ont pour objet dtablir, lintention des cadres suprieurs lchelle du gouvernement, un ensemble de principes communs et un point de dpart unique de nature stratgique et technique en vue de la dfinition de points de repre sappliquant toutes les situations.

Lignes directrices canadiennes sur la rforme des systmes de scurit : Ces lignes directrices ont pour objet dclairer llaboration de politiques et de programmes canadiens de mme que le dploiement dexperts du Canada lappui de la rforme des systmes de scurit.

tude de cas : Cadre pour la scurit des vnements majeurs (CSEM) utilisant le PPO: http://www.gcpedia.gc.ca/wiki/CSEM/About/La_Planification_De_La_S%C3%A9curit%C3%A9_-_CSEM/Nature_et_Port%C3%A9e_des_%C3%89v%C3%A9nements_Majeurs

Oprations pangouvernementales : http://www.gcpedia.gc.ca/wiki/Op%C3%A9rations_pangouvernementales

Cmaps : Cet outil a t conu pour aider lensemble des intervenants comprendre dans la mme mesure les relations cls au sein de lenvironnement oprationnel.

Analyse des interactions : Mthodologie utilise afin daider dterminer comment les interactions entre les vnements auront des rpercussions sur la suite des choses dans le but de diminuer lincertitude dans lavenir.

tude comparative de lutilisation du langage5 : Traduction du sens avec des similitudes et des diffrences

Les exemples ci-dessous ne sont pas des traductions directes de chaque terme. Lobjectif du tableau est de faciliter le dialogue entre les diffrents intervenants concernant lutilisation du vocabulaire et de clarifier la terminologie et les hypothses. Veuillez vous reporter la section sur les questions pour les planificateurs interorganisationnels (voir lendos); vous y trouverez de linformation qui vous aidera traduire le sens des termes pour quils sappliquent votre contexte et vos homologues.

GAR PPO

Chane de rsultats : Reprsentation des relations causales et logiques entre les activits, les intrants, les extrants et les rsultats dune politique, dun programme ou dune initiative.

Plan de campagne : Un plan sappliquant une srie doprations militaires connexes visant la ralisation dun objectif stratgique ou oprationnel dans un dlai et un endroit prescrits.

Rsultats ou dnouement : Un rsultat et un dnouement reprsentent, dans lensemble, une seule et mme notion. Un dnouement est un changement descriptible ou mesurable occasionn par une relation de cause effet. Les rsultats sont des consquences externes attribuables, en partie, aux activits dune organisation ou encore celles associes une politique, un programme ou un projet. Les rsultats ne sont pas sous le contrle dune seule organisation; ils sont plutt lis son secteur dinfluence. Les rsultats peuvent tre qualifis comme immdiats, intermdiaires ou finaux (voir la reprsentation de la chane de rsultats dans le prsent guide).

tat final : Ltat final est toujours dfini par le gouvernement. Il doit tre concret et formul dans un langage clair exempt dambigut.

nonc de mission : Dcoule de lexamen tape par tape des tches implicites et attribues, des restrictions, des contraintes et de lintention du commandant suprieur.

Gouvernance : Le processus et les structures par lintermdiaire desquels on exerce le pouvoir de prise de dcisions.

Commandement : Autorit confre un militaire pour diriger, coordonner et contrler des forces militaires. Le commandement et le contrle consistent en lexercice de lautorit en cause et ltablissement dune orientation par un commandant dsign.

Organisme de mise en uvre : Il peut sagir de nimporte quelle organisation ou agence qui met en uvre un investissement (projet ou programme) pour laquelle le ministre des Affaires trangres, du Commerce et du Dveloppement fournit des fonds.

Autorit de coordination : Il sagit de lautorit qui est confre un commandant ou une personne dsigne comme responsable pour coordonner les activits ou les fonctions spcifiques de forces militaires dau moins deux pays ou commandements. Cela nenglobe pas automatiquement une responsabilit sur le plan administratif ou de la logistique.

Objectif 1

Objectif 4

Objectif 7

Objectif 6

Objectif 8

Objectif 1 Objectif 1

tat final

Obj

ectif

5

Att

ribu

tion

et c

ontr

le

C

ontr

ibut

ion

et in

fluen

ce

Les points dcisifs sont des points partir desquels un centre de

gravit ami ou hostile peut tre menac. Ces points peuvent exister dans le temps, dans lespace ou dans lenvironnement informationnel.

2. Outils disponibles dans le Manuel sur le PPO et la GAR, La gestion axe sur les rsultats par comparaison avec le processus de planification oprationnelle

3. Ces outils ne sont pas utiliss officiellement dans le cadre de la doctrine correspondante des FACSource : Tir de Enhancing Program and Performance with Logic Models, University of Wisconsin-Extension

4. Tir de : Carnet de notes dun atelier sur le PPO pour les planificateurs interorganisationnels 5. Source : Lexique de la GAR et du Conseil du Trsor, carnet de notes dun atelier sur le PPO pour les planificateurs interorganisationnels

ATTENTION

STAGE 2: ORIENTATIONDo I understand the problem and the requirements for a solution?

- Review Situation- Develop Mission Statement- Deliver Mission Analysis Brief- Issue Commanders planning guidance

STAGE 3: Course of Action (COA) DEVELOPMENT

What options are there for solving the problem and which option is the best?

- Analyze Factors- Risk Assessment- Develop COAs- Deliver Information Brief- Conduct COA Wargaming

and Comparison- Deliver Decision Brief- Prepare Concept of Operations

(CONOPS)

STAGE 4: PLAN DEVELOPMENTHow do I translate the chosen solution into a plan for action?

- Seek CONOPS approval- Conduct Plan Wargaming- Prepare Plan- Seek Plan Approval- Issue Plan- Measure of Effectiveness and

Measure of Performance- Specific Instructions on Indicators

and Data Collection

STAGE 1: INITIATIONWhat is happening?

(similar to RBM)

- Receive initiating direction- Commanders initial direction- Warn others- Active planning team- Gather planning data & tools- Complete initial assessment- Issue Initial Guidance- Identify threats

(1) INITIATION AND ASSESS/ANALYZEWhat is happening? Who is affected? Who is involved? Do we

understand the development issue and possible solutions?

- A team is in place- Context, assets, problems, gender inequalities, etc.- Social, economic, political, religious, environmental, gender and

cultural issues- Governance principles issues at the project, local, regional and

national level, obstacles and/or opportunities- Potential environmental effects (positive and negative)- Actors/stakeholders- Organizational and policy context- Baseline situation and desired change, assess risks

(2) DEFINE EXPECTED RESULTS & RESULTS CHAIN(S)

What change do we want to see? How will we bring about this change?

- Ultimate Outcome- Intermediate Outcomes- Immediate Outcomes- Outputs - Activities - Inputs

(4) ESTABLISH A PERFORMANCE MEASUREMENT

FRAMEWORK (PMF)How will I know were on track?

- Select indicators- Data collection sources,

methods, etc.

(3) IDENTIFY RISKSWhat are the risks?

How do we mitigate them?

- Risk analysis and response strategies

(5) IMPLEMENT

(8) REPORTWhat is the performance story?

- Progress, achievements, variance, learning and adjustments

STAGE 5: PLAN REVIEW

Is my plan still relevant?

- Monitor progress/validity

- Conduct Additional Wargaming

- Adjust the Plan

Implementation: Operations Cell

(7) LEARN AND ADJUSTWhat adjustments do

we need to make?

- Identify lessons learned- Make necessary adjustments

(6) MONITORAre we on track?

- Collect performance information- Assess progress toward results- Risks and risk responses

1. Adapted from: OPP/RBM Manual, Results-Based Management and How it Compares to the Operational Planning ProcessForeign Affairs, Trade andDevelopment CanadaDveloppement Canada



Comparing the Operational Planning Process Approach and the Results-Based Project Planning

CAUTION


The purpose of this guide is to support the planning process for the Comprehensive Approach. The focus for this guide is to familiarize members of the Canadian Armed Forces (CAF) and other government departments (OGD) with the military Operational Planning Process and the Results-Based Management approach to planning.

What is RBM? It is an iterative, life-cycle approach to managing complex change focused on achieving outcomes. It relies on identifying the best pathways to achieve the planned outcomes, measuring progress towards them, managing risk and the project for results through learning, adjusting, and performance reporting. RBM requires the use of participatory approach through-out the life cycle.

What is OPP?The Canadian Forces OPP is a coordinated process to determine the best method of accomplishing assigned operational tasks and to plan future possible tasks. Planning may be inhibited by inadequate information, insufficient and limited resources. The planning process is designed to optimize logical, analytical steps of decision making in conditions of uncertainty and ambiguity.


There is a clear distinction between the theoretical underpinning of each respective planning process and the context for which the theories apply. The guide provides theoretical background and suggests further resources and questions to reconcile theory and practice.

Personal relationships and the ability to connect people are one of the most effective contributor to integrate planning processes.


What terms do you use for goals? How do you describe the cause and effects relationships from your input to your final objective? (i.e. theory of change) How would you define success? How do you know if you have succeeded?

Who defines your goals? Who is consulted to define these goals? Who needs to be involved to make changes to the plan?

Which planning tools do you use for this project/mission? Are your planning documents and tools available?

What does the hierarchy for this project/mission looks like? What is your line of authority? Under which circumstances do you require another authority to make a decision? (i.e. travel, contracts, hospitality, etc.

In the Quick Reference Guide, which sections relate mostly to your reality? Which nuance would you bring to the guide?

Resources

Canadian Forces Joint Publication 5.0 (CFJP 5.0): The Canadian Forces Operational Planning Process: http://publications.gc.ca/collections/collection_2010/forces/ D2-252-500-2008-eng.pdf

Canadas Whole of Government Mission in Afghanistan - Lessons Learned: http://www.journal.forces.gc.ca/vol13/no2/page8-eng.asp

Results-Based Management Tools at DFATD: A How-to Guide http://www.international.gc.ca/development-developpement/partners-partenaires/bt-oa/rbm_tools-gar_outils.aspx?lang=eng

OECD: Results-Based Management: http://www.oecd.org/dac/peer-reviews/results-measurement-and-management.htm





The RBM and OPP approach are more iterative than what the graphic depiction portrays. The relative time invested at each stage varies significantly. There is no implementation per se in the OPP described below. Implementation is the responsibility of each Operations cell.

Change in state, conditions or wellbeing for ultimate beneficiaries (not surrounding circumstances)

UltimateOutcome

Change in behaviour, practice or performance of intermediaries or beneficiaries

IntermediateOutcomes

Change in capacities of intermediaries or beneficiaries

Immediate Outcomes

Products & services delivered by project or program implementer(s)

Outputs

Planned activities undertaken by project or program implementer(s)

Activities

Resources invested by implementer(s) & donor(s)

Inputs

Economic

Money

Decision-making

Social

Staff

Knowledge

Social Action

Civil

Materials

Skills

Training provided

Processes

Conduct research

Refurbish infrastructure

Behavior Viability

Environmental

Technology

Attitudes

Research undertaken

Provide police guidance

Facilitate workshops

Policy making

Time

Opinions

Workshop facilitated

Train staff

Aspirations

Assessments conducted

Report written

Assess

Efficiency

Wellbeing

Equipment Partners

Awareness

Policy advice provided

Motivations

Clinics built or refurbished

Effectiveness Practice

Results-Based Management: Results Chain

Campaign DesignEvery problem is unique and calls for creativity, not a template4

Phase I Phase II Phase III

LOO1

LOO2

LOO3

Tools2 for the Interagency Planners

RBM OPP Others3

Problem tree analysis

Stakeholder Identification

Environmental Scan (a S.I.M.P.L.E. tool)

Logic Model (LM) and Performance Measurement Framework (PMF)

Risk Matrix and Risk Register Template

Checklists: Indicator Selection, Results Chain, Data Analysis & Reporting on Change (telling the performance story)

Project/Program Self-Monitoring and Lessons Learned Tool

PMESSII (Political, Military, Economic, Social, Infrastructure and Information)

Wargaming or rehearsing (Table top discussion, computer-based simulation, exercising and assessment, etc.): technique use during planning to help a Commander and staff to visualize an upcoming operation or its critical parts.

After Action Review

Lessons Learned

Canadian Guidelines on Whole-of-Government Benchmarking and Conflict-Affected States: Designed to provide officials across government with a shared set of principles and a common strategic and technical point of departure for building common benchmarks

Canadian Guidelines for Security System Reform (SSR): to inform Canadian policy, programming and deployments in support of SSR.

Case Study: Major Events Security Framework (MESF) using OPP: http://www.gcpedia.gc.ca/wiki/MESF/About/MESF_Security_Planning/Nature_and_Scope_of_Major_Events


Cmaps: tool to develop shared understanding of the key relationships of the operational environment

Cross-impact analysis: methodology to help determine how relationships between events would impact resulting events and reduce uncertainty in the future

Comparative Use of Language5: Translating Meaning With Similarities and Differences

The examples below are not a direct translation of each term. The purpose of the table is to support dialogue with counterparts about the use of language and to clarify terminology and assumptions. Please refer to the Questions for Interagency Planners (see reverse) to assist in translating the meaning for your context, with your counterpart(s).

RBM OPP

Results Chain: A depiction of the causal and logical relationships between activities, inputs, outputs and the outcomes of a given policy, program or initiative.

Campaign Plan: A plan for a series of related military operations aimed at accomplishing a strategic or operational objective within a given time and space.

Results or Outcome: Results are the same as outcomes. An outcome is a describable or measurable change that is derived from a cause and effect relationship. They are external consequences attributed, in part, to an organization, policy, program or project. Outcomes are not within the control of a single organization, instead they are within its area of influence. Outcomes are further qualified as immediate, intermediate, or ultimate (see Results Chain visual in this Guide

End-State: The end state is always defined by the government. Should be practical and stated in clear, unambiguous language.

Mission statement: Derived from a step-by-step examination of assigned and implied tasks, restraints, constraints, and higher commanders intent.

Governance: The process and structures through which decision-making authority is exercised.

Command: The authority vested in an individual of the armed forces for the direction, co-ordination, and control of military forces. Command and Control (C2) is the exercise of authority and direction by a properly designated Commander.

Implementing Organization (IO): It can be any organization or agency that implements an investment (project or program) for which DFATD provides funding.

Coordinating Authority: Coordinating Authority is the authority granted to a Commander or individual assigned responsibility for coordinating specific functions or activities involving forces of tow or more countries or commands. It does not of itself include responsibility for administration or logistics.

Objective 1

Objective 4

Objective 7

Objective 6

Objective 8

Objective 1 Objective 1

End State

Obj

ectiv

e 5

Att

ribu

tion

and

cont

rol

C

ontr

ibut

ion

and

influ

ence

Decisive Points are points from which a hostile or

friendly centre of gravity can be threatened. They may exist in time, space or in the informational environment.

2. Tools available in the OPP/RBM Manual, Results-Based Management and How it Compares to the Operational Planning Process

3. These tools are not officially used in the Canadian Armed Forces DoctrineSource: Adapted from University of Wisconsin-Extension, Enhancing Program and Performance with Logic Models

4. Adapted from: A Workshop OPP Handbook for Interagency Planners 5. Source: RBM and Treasury Board Lexicon, A Workshop OPP Handbook for Interagency Planners

CAUTION

Documents

Quick Reference Guide - cradpdf.drdc-rddc.gc.cacradpdf.drdc-rddc.gc.ca/PDFS/unc200/p801999_A1b.pdf · Quick Reference Guide . Results-Based Management (RBM) and the Operational Planning