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Jueves 11 11:15-12:10 2:00-3:10pmProcesos de adopción (incluyendo las reformas necesarias para dicha
adopción) y usos concretos de la información de desempeño en sistemas presupuestales de algunos países de América Latina: México y Chile
3
2. EL SISTEMA DE M&E ― Arquitectura
Diseñado, manejado y utilizado por el Ministerio de Hacienda
Desarrollado a lo largo de 13 años – Nuevo balance
Indicadores de Desempeño (∑1,600) para todos los programas de gobierno (1994)
Evaluación de programs de Gobierno (∑ 185) – son las Ejecutivas (1996)
Evaluaciones rigurosas de impacto (∑18) (2001)
Revisiones comprensivas del gasto (∑8) -- miran todo un sector (2002)
Estrategia de institucionalizacion de GbR: estrategia, actores, instrumentos – “modelo chileno”
ESTRATEGIA INSTRUMENTOS LOGROS
Balances Fiscales e Ideas politicas (80’s – 90’s)
Planeacion Estrategica (reducida a requisitos de Hacienda). Crecen Programas Multisectoriales
Avances en cultura de resultados y gestion de la evidencia. Transferencias condicionadas a resultados
MMM – espacio fiscal y alivio presion = PP, M&E centralizados en Hacienda)
SIGOB: debil conexion con presupuesto o contabilidad. Debil relacion causal
Imposicion forzada de procedimientos e instrumentos y de utilizacion
Hacienda demanda objetivos, indicadores. metas, M&E
Desarrollo formal de indicadores, metas; control de medios de verificacion
Medicion de pobreza, focalizacion, metas de inclusion. Criminologia e investigacion apoyan gestion
Debil demanda del Congreso o de metas gobierno. Baja utilizacion efectiva
Lenta adopcion de estandares contables internacionales en toda la administracion
Demanda de agencias autonomas responsables por ejecucion y resultados
Auditorias de resultados Marco legal y reglamentario Demanda de estandares comunes entre niveles de gobierno
5
Chile’s M&E System ― Fortalezas (i)
Graduados en M&EEvaluaciones conducidas externamente:
proceso transparente; creíble Las conclusions y recomendaciones se
reportan al CongresoSistema de M&E estrictamente ligado al
proceso presupuestario Información de resultados compromete
metas que cumplen los ministerios Hacienda monitorea milimétricamente la
información y la utilización presupuestaria
6
Chile’s M&E System ― Fortalezas (ii)
Elevada utilización de resultados de M&E en el proceso presupuestario – impone mejoramiento de programas a los ministerios (ver Tabla)
Utilization of government evaluations -- 2000 to 2005
Minor adjustment of program, e.g. improved info system
Major change in mangement processes e.g. new targeting criteria, new mgmt info system
Substantial redesign of program or of organiz-ational structure
Institutional relocation of program
Program termination
TOTAL
24% 38% 24% 5% 9% 100%
7
Chile’s M&E System ― Debilidades
BAJA APROPIACIÓN Y BAJA UTILIZACIÓN SECTORIAL Y
MINISTERIAL DE LAS EVALUACIONES DEL MINISTERIO
DE HACIENDA
Problemas y limitaciones de instrumentos desarrollados inicialmente (1) L.A.
ALTO RIESGO USO POLITICO Y PERDIDA DE VISTA DEL CIUDADANO
Baja calidad contabilidad, cuasi-contratos, capacidad absorcion
Resistencia pasiva – baja confiabilidad medicion
Cumplimiento formal y agendas paralelas- Debil accountability
Se logró aportar IR al Presupuesto. PERO,Cuáles Problemas persisten – Por qué?
- Balance particular/secundario – general/prioritario: la fábrica de M&E + Cascada de prioridades y uso piramidal- Información insuficiente o inadecuada: acumulación y
continuidad – Banco de Indicadores y Resultados- Información financiera o física discordante - Medios de verificación débiles – Colisión de intereses- falta de especialidad de agencias de Censo y Estadística- Masa crítica especializada y protectora del Good Will- Limitado Uso – El Presupuesto Anual- Énfasis en purismo sobre usos demandados – Débil efecto Demostración
¿Esquema institucional para utilización en decisiones de política pública? ¿Resistencias?
ESTRATEGIA OBSTÁCULOS TÉCNICOS Y RESISTENCIAS
“Bajada en cascada de metas presidenciales”
Excesiva centralización; movimiento pendular hacia balance Autonomía-Control-Cohesión – Esquemas técnicos. Ej: holding
Guías técnicas de “Policy Reviews” exigen utilización de información-resultados
Subdesarrollo de la evaluación de políticas – falta de contestability y de masa crítica independiente – Falta de vínculo institucional entre Política – Programas (balance inestable)
Vinculación Plan-Políticas - Presupuesto-Programa
Dependencia del ciclo político – Descuido de programas no prioritariosTécnicamente difícil
Coordinación, Redes y focalización en territorio
Federalismo Fiscal – Autonomía política = Gestión Individual, descoordinada y atomizada
Posicionamiento: apoyo, sinergias, no duplicación
Credibilidad de la evaluación externa; moderna coordinación es resistida por silos tradicionales
¿Cómo lograr Producción y uso continuo de evaluaciones cuando los funcionarios cambian?
• Instituciones, sistemas o programas de evaluación acreditados y con demostración de utilización en políticas y en gestión
• Invitación al nuevo gobierno a Mejorar: propuesta estratégica, con beneficios y medición de costos de transición
• Articulación con otras unidades de gobierno, Congreso, sector privado y comunidades
LO QUE HA CAMBIADO EN CHILE 2010-2014
TODO CENTRADO EN PRESUPUESTO Y MANEJADO POR PRESUPUESTO
FORTALECER APROPIACIÓN Y GARANTÍA DE LOGRO DE METAS PRESIDENCIALES
MONITOREO – EJEMPLO: METAS DE REFORMA TRIBUTARIA
www.coneval.gob.mx
Gonzalo Hernández Licona
Septiembre, 2012
Avances y Retos en la Construcción de una Gestión
basada en Resultados en México: Política Social
Retos
• Institucionales (reglas del juego para que exista y se use la evidencia)
• Técnicos (información, metodologías de medición, evaluadores de calidad, etc.)
• Presupuestales
Decisiones de Política Pública sobre:
• Planeación, Cambios normativos, Presupuestales, Operación
• Ejecutivo (Presidencia Ministros)
• Gobiernos Subnacionales
• Congreso Parlamento
Evidencia Sólida y Objetiva
Resultados sobre:• Calidad de vida,
Bienestar, Acceso Efectivo a Derechos
(Pobreza, Ingreso, Inflación, Desempleo, Calidad educativa,….)
• Leyes y Normas• Sectores• Estrategias,
Programas y Proyectos
• Operativos
EV
ALU
AC
IÓN
MO
NIT
OR
EO
Rendición de Cuentas
Retos Instituciona
les y Técnicos
GESTIÓN BASADA EN RESULTADOS
Retos
• Institucionales (reglas del juego para que exista y se use la evidencia)
• Técnicos (información, metodologías de medición, evaluadores de calidad, etc.)
• Presupuestales
Decisiones de Política Pública sobre:
• Planeación, Cambios normativos, Presupuestales, Operación
• Ejecutivo (Presidencia Ministros)
• Gobiernos Subnacionales
• Congreso Parlamento
Evidencia Sólida y Objetiva
Resultados sobre:• Calidad de vida,
Bienestar, Acceso Efectivo a Derechos
(Pobreza, Ingreso, Inflación, Desempleo, Calidad educativa,….)
• Leyes y Normas• Sectores• Estrategias,
Programas y Proyectos
• Operativos
EV
ALU
AC
IÓN
MO
NIT
OR
EO
Rendición de Cuentas
Retos Instituciona
les y Técnicos
GESTIÓN BASADA EN RESULTADOS
Eminentemente políticas, subjetivas y caprichosas
Mejor coordinación entre las instituciones de evaluación y el PbR: Planeación vs Ppsto; Coneval, SHCP y SFP
Reto inminente de cambio de gobierno, partidos políticos y congreso Mayores capacidades en evaluación y técnicas de medición Mejorar indicadores de diversos programas Indicadores de calidad de los servicios educativos y de salud Registros administrativos Padrones de beneficiarios Evaluación de cambios en las legislaciones y las normas Evaluar y monitorear Sectores/dependencias. Objetivos estratégicos. Evaluación rigurosa en Estados y Municipios. Balance de poder entre Gob. y Congreso
local. Tomar más en cuenta la información de evaluaciones en las decisiones presupuestales,
operativas, estratégicas. Cada año crece el número de programas, aprovechando los recursos
petroleros, con una lógica más política que de resultados: Entre secretarías, entre órdenes de gobierno, entre ejecutivo y legislativo. La conformación del presupuesto es cada vez más un ejercicio atomizado.
El PbR debería ser algo más amplio que sólo cambios presupuestarios entre programas.
Retos
Examples of Obama Administration High Priority GoalsGoal StatementExports Double U.S. exports by the end of 2014.Entrepreneurship/Small Business Increase federal services to entrepreneurs and small businesses with an emphasis on 1) startups and growing firms and 2) underserved
markets.
Strategic Sourcing Reduce the costs of acquiring common products and services by agencies’ strategic sourcing of at least two new commodities or services in both 2013 and 2014, that yield at least a 10 percent savings.
Broadband As part of expanding all broadband capabilities, ensure 4G wireless broadband coverage for 98 percent of Americans by 2016.
Energy Efficiency Reduce Energy Intensity (energy demand/$ real GDP) 50 percent by 2035 (2010 as base year).
Veteran Career Readiness By September 30, 2013, increase the percent of eligible servicemembers who will be served by career readiness and preparedness programs from 50 percent to 90 percent in order to improve their competitiveness in the job market.
Job Training Ensure our country has one of the most skilled workforces in the world by preparing 2 million workers with skills training by 2015 and improving the coordination and delivery of job training services.
Improper Payments The Federal Government will achieve a payment accuracy rate of 97 percent by the end of 2016.
Closing Skill Gaps Close critical skills gaps in the Federal workforce to improve mission performance. By September 30, 2013, close the skills gaps by 50 percent for 3 to 5 critical Federal Government occupations or competencies, and close additional agency-specific high risk occupation and competency gaps.
Cybersecurity Executive branch departments and agencies will achieve 95% implementation of the Administration’s priority cybersecurity capabilities by the end of FY 2014.
18
I. Cross-Agency Goals
EJEMPLOS DE PRIORIDAD DE ALGUNOS MINISTERIOSQUÉ ES LO VINCULANTE? CON QUÉ INCENTIVO?
Department Priority Goal
Defense Improve the care and transition of wounded, ill, and injured warriors
Education Improve students' ability to afford and complete college
Health and Human Services Reduce cigarette smoking
Homeland Security Improve the efficiency of the process to detain and remove criminal aliens from the United States
Housing and Urban Development Prevent foreclosures
Interior Reduce violent crimes in Indian communities
Justice Reduce gang violence
Labor Reduce worker fatalities
Transportation Reduce the rate of roadway fatalities
Veterans Affairs Improve accuracy and reduce the amount of time it takes to process Veterans' disability benefit claims
19
Agency-Specific Priority Goals
CGR – lista de políticas y programas de alto riesgo (2013)
Strengthening the Foundation for Efficiency and Effectiveness Limiting the Federal Government’s Fiscal Exposure by Better Managing
Climate Change Risks (new) Management of Federal Oil and Gas Resources Modernizing the U.S. Financial Regulatory System and Federal Role in Housing
Finance Restructuring the U.S. Postal Service to Achieve Sustainable Financial Viability Funding the Nation’s Surface Transportation System Strategic Human Capital Management Managing Federal Real Property
20
POLÍTICAS Y PROGRAMAS DE ESPECIAL ATENCIÓN PARA GAO
Transforming DOD Program Management DOD Approach to Business Transformation DOD Business Systems Modernization DOD Support Infrastructure Management DOD Financial Management DOD Supply Chain Management DOD Weapon Systems Acquisition
21
CGR (cont) Ensuring Public Safety and Security Mitigating Gaps in Weather Satellite Data (new) Strengthening Department of Homeland Security Management Functions Establishing Effective Mechanisms for Sharing and Managing Terrorism-
Related Information to Protect the Homeland Protecting the Federal Government’s Information Systems and the Nation’s
Cyber Critical Infrastructures Ensuring the Effective Protection of Technologies Critical to U.S. National
Security Interests Revamping Federal Oversight of Food Safety Protecting Public Health through Enhanced Oversight of Medical Products Transforming EPA’s Processes for Assessing and Controlling Toxic Chemicals
22
POLÍTICAS Y PROGRAMAS MONITOREADOS POR CGR
Managing Federal Contracting More Effectively DOD Contract Management DOE’s Contract Management for the National Nuclear Security
Administration and Office of Environmental Management NASA Acquisition Management
23
MIR, MML y su seguimiento = valor marginal decreciente (y hasta estorbo) – NO cambia si se cubren más MIR o se intensifica el control
Hoy el desafío # 1 es la baja utilización de la IR disponible y la
falta de IR susceptible de ser monitoreada en programas de
gobierno y los demás intersectoriales
UED no le pega a desafíos
primordiales actuales
Factores de Cambio = nuevas líneas de servicios UEDInternos:
Dependencias aprendieron MIR y MML; quieren hacerlas más
pertinentes a su mandato – enfrentan fragmentación interna
Cumplen formalmente con UED mientras negocian presupuestos según
sus propias necesidades, en armonía con respaldo central
Externos:PRIORIDADES PRESIDENCIALES
COMPROMETEN EXPLÍCITAMENTE RESULTADOS, LOS PROGRAMAS
TRANSVERSALES O INTERSECTORIALES Y LA ESPECIFICACIÓN DE POBLACIÓN
OBJETO EN TERRITORIOS ESPECÍFICOS DEMANDA
UED: MISMO MANDATO, líneas de servicios
actualizadas, relevantes, de impacto cotidiano
visible (factor de fortalecimiento de
confianza ciudadana en los compromisos de servicio del Estado)
El desafío importante del gobierno(y prioridad de la UED):
resultados en grupos de población y territorios específicos (programas transversales, territoriales, especiales) = mayor
confianza en las instituciones
El desafío actual por dependencia: cohesión coordinación interna
Las dependencias individuales aprendieron lo básico. Algunas no aprendieron a trabajarlo en equipo, menos aún intersectorialmente
Construir sobre logros pasados e iniciativas actuales, ROBUSTECIENDO LA UED COMO PALANCA DE GESTIÓN PRESUPUESTO-RESULTADO
Elevar impacto de vigilancia y capacitación MIR y MML mediante apoyo a la cohesión interna en torno a las MIR
Elevar eficacia de identificación y control de vínculos entre programas y metas prioritarias de Presidencia/Gobierno
Llenar el vacío de coordinación intersectorial gestión-presupuesto para otros resultados prioritarios
Demostrar en los hechos la especialización de la UED en las trayectorias de implementación para la toma oportuna de decisiones presupuestarias. Trabajo colectivo con SFP y CONEVAL basado en especialidad demostrada en los hechos
ACTUALIZAR TIPO Y FINES DE INTERVENCIÓN UED PARA ELEVAR IMPACTO EN RESULTADOS
COMPLEMENTANDO LAS DEPENDENCIAS
PRIORIZAR MIRs QUE REQUIEREN TRABAJO EN
PROFUNDIDAD
EL RESTO DE LAS MIR, REGISTROS
AUTOMATIZADOS
MÁS ANÁLISIS (POR SECTOR, POR
TERRITORIO, POR GRUPO DE POBLACIÓN)
LIBERANDO CAPACIDAD PARA
NUEVOS DESAFÍOS
MESAS DE TRABAJO CON PRINCIPALES ACTORES Y
COMPROMISOS EXPLÍCITOS DE COHESIÓN INTERNA
RECOGIENDO DE TERESA (US, UK)
• El cambio de PART a grandes metas prioritarias• Ejemplos de reportes sectoriales de resultados• USA tiene sólo 9 grandes metas prioritarias; UK tuvo 4• Evolución Blair/Brown – Cameron
• El énfasis en el ciudadano
• Australia, mayor / menor peso de Presupuesto
PRIORIZACIÓN DE METAS DE GOBIERNO
• Criterios de priorización se emplean para seleccionar evaluaciones• Son aún más útiles para seleccionar programas que serán seguidos en
profundidad , con documentación sobre la calidad de las metas y con seguimiento conjunto a los resultados intermedios entre Presupuesto y los ministerios sectoriales.
• Conexión con decisiones a lo largo del ciclo presupuestario: los programas que están siendo monitoreados en profundidad se trabajan conjuntamente entre Presupuesto, ministerios.
• También se anuncian a los expertos sectoriales de la DGPP para que ellos anticipen que recibirán oportunamente información adicional de resultados sobre estos programas, lo cual redundará en mejores decisiones de aprobación inicial o de adecuaciones presupuestarias.
OPERACIONALIZACIÓN METAS PRIORITARIAS EN PROGRAMAS GOBIERNO
• Factor esencial para la toma de decisiones importantes por parte de la presidencia, en el gabinete de gobierno.
• Imprime concreción y eficacia al acompañamiento que Presupuesto presta a los ministerios
• Conexión con decisiones a lo largo del ciclo presupuestario: los aportes de los ministerios a los programas transversales suelen tener prioridad para la Presidencia o para el Gabinete de Gobierno. Como tales, suelen recibir prioridad en las decisiones sobre apropiaciones iniciales o en las adecuaciones durante la ejecución del presupuesto.
CONTRIBUYE A GARANTIZAR VÍNCULO ENTRE PROGRAMAS PRESUPUESTARIOS Y METAS PRIORITARIAS DE GOBIERNO
COMPROMISOS PRIORITARIOS DEL GOBIERNO CON EL
CIUDADANO (GENERALMENTE TRANSVERSALES, DE RESULTADO
FINAL EN CIUDADANOS)
• DGPP AYUDA A ESPECIFICAR LA CADENA DE PRODUCCIÓN A PARTIR DE LA META DE POLÍTICA PÚBLICA
CONTRIBUCIÓN DGPP: ASEGURAR PUENTE ENTRE PRIORIDADES DEL
GOBIERNO, DISPOSICIÓN DE RECURSOS PRESUPUESTARIOS Y RESULTADOS ESPERADOS POR
CIUDADANO
• DGPP REVISA CON DGPs MINISTERIALES LAS IMPLICACIONES PRESUPUESTARIAS DE LA CONTRIBUCIÓN DE CADA ENTIDAD A PRIORIDADES PRESIDENCIALES
DGPP VIGILA AQUELLOS PROGRAMAS QUE OPERACIONALIZAN
METAS PRIORITARIAS DEL GOBIERNO
• DGPP REGISTRA AVANCES Y OBSTÁCULOS EN CUMPLIMIENTO METAS PRESIDENCIALES
DGPP asegura coordinación intersectorial gestión-presupuesto para elevar impacto de servicios transversales
DGPP ASEGURA IMPACTO
SERVICIOS INTER-SECTORIALES EN
CIUDADANOS
DGPP vigila y propone correcciones a las
Trayectorias de implementación
Planes sectoriales estratégicos dan
pautas de intervención
focalizada del sector DGPP propone cadenas de producción del
servicio, con responsabilidad precisa
de cada sector
LAS TRAYECTORIAS DE IMPLEMENTACIÓN:PARA MONITOREO Y CORRECCIÓN OPORTUNA DURANTE CICLO PRESUPUESTARIO.
• Las trayectorias de implementación se aplican solamente a los programas prioritarios, con el fin de demostrar los beneficios del instrumento y de aprender su manejo más eficiente. Son ejercicios dispendiosos, que consumirán tiempo importante de personas con elevado talento, en el presupuesto y en las dependencias.
• Conexión con decisiones a lo largo del ciclo presupuestario: el seguimiento y la corrección de las trayectorias de implementación proveen la información más fundamentada para los convenios de desempeño y la toma de decisiones presupuestarias en la fase de preparación y aprobación, en la de ejecución y en la de evaluación y rendición de cuentas del gasto.
PERMITEN HACER VINCULANTE EL COMPROMISO DE RESULTADO
MAPAS O CAMINOS DE ACCESO CIUDADANO AL SERVICIO
• La herramienta más poderosa para asegurar la unión REAL de las expectativas ciudadanas con la oferta del gobierno de producir un resultado.
• Se emplean en el análisis en profundidad de MIR prioritarias, comenzando con unos pocos piloto por servicio y por comunidad
• Conexión con decisiones a lo largo del ciclo presupuestario: la detección de problemas de acceso debe llevar a reformular la cadena de producción del servicio hasta el impacto final, con obvias implicaciones para la asignación en el presupuesto aprobado y en las adecuaciones presupuestarias y aspectos susceptibles de mejora.
NO HACE FALTA QUE CADA GASTO TENGA RELACIÓN DIRECTA CON RESULTADO
TABLERO DE CONTROL DE RIESGOS Y RESPONSABILIDADES INDIVIDUALES• COMPLEMENTA O COINCIDE CON TABLEROS CENTRALES LLEVADOS
FRECUENTEMENTE EN PRESIDENCIA
• SEGUIMIENTO, VIGILANCIA, CONTROL Y REPORTE DE IMPLEMENTACIÓN TRAYECTORIAS DE IMPLEMENTACIÓN
• provee la información más certera y oportuna para la toma de decisiones por parte de la presidencia, el gabinete o los ministros.
• Conexión con decisiones a lo largo del ciclo presupuestario: el tablero de control se construye, se monitorea y se corrige con participación, entre otras unidades, de las direcciones de presupuesto de los ministerios o departamentos administrativos. Las derivarán del tablero propuestas de variación en las asignaciones para llevar a DGPP.
IDENTIFICACIÓN DE FACTORES DE DESVIACIÓN DE TRAYECTORIA Y CORRECCIÓN OPORTUNA DE PROGRAMAS• Equivale a la información que espera un presidente, un gabinete, un ministro
o, en la empresa privada, una junta o consejo directivo o un CEO, para tomar decisiones tan fundamentadas cuanto es posible y cuanto justifica la envergadura de la decisión (
• Es una práctica que, liderada por Presupuesto, multiplica exponencialmente su incidencia en algunas de las más importantes decisiones públicas.
• Conexión con decisiones a lo largo del ciclo presupuestario: las propuestas de correcciones deben ser costeadas contra los costos de oportunidad y los beneficios que arrojaría el logro del resultado esperado. El cálculo de los costos y los beneficios ha de ser realizado por funcionarios de DGPP junto con Direcciones Presupuesto de los Ministerios, sometido a las cabezas de la dependencia y traído a consideración de Dirección de Presupuesto.
G. LAS NUEVAS MESAS DE TRABAJO PROPUESTAS: CREACIÓN DE CONSENSOS ENTRE PARTICIPANTES - OBJETIVOS, PROCEDIMIENTOS DE PROMOCIÓN, ORIENTACIÓN Y REGISTRO COMPROMISOS MESAS DE TRABAJO
LAS NUEVAS MESAS DE TRABAJO• CREACIÓN DE CONSENSOS ENTRE UNIDADES DE PRESUPUESTO, JUNTO
CON PLANEACIÓN E INFORMACIÓN DE LOS MINISTERIOS• Eleva apropiación por parte de los ejecutores del gasto • Asegura que el monitoreo y la evaluación incidan en el logro del resultado
y en las concomitantes decisiones presupuestarias.• Conexión con decisiones presupuestarias: las decisiones de las mesas
que tienen consecuencias presupuestarias son analizadas por presupuesto, planeación, evaluación, control interno de los ministerios, junto con el consiguiente cálculo de costo.
• Cuando se trata de programas prioritarios que demandaran recursos adicionales para llegar al resultado, la dependencia buscará, primero, abrir el espacio fiscal suficiente dentro de su propio presupuesto y, si no lo consiguiere, solicitará incremento en las asignaciones a la DGPP
• How you will achieve the governments ambition.
• How the money follows the critical path.
• The nature of the relationships (accountability, common
purpose, etc.) between the various organisations involved.
• The synergies and conflicts which help or hinder their
ability to work together.
• How the system interacts with the citizen.
• Opportunities for improving efficiency and effectiveness
A Delivery System Map
Moving from a Ministry silo….
40
Ministry
Regional Government
Local Government
Service provider
Citizen
… to ‘citizen centric’
Local Authority
Primary Care Trust
SchoolSchool Doctors
CitizenFamily
EDUCATION HEALTHSPORT
Youth Sport Trust
Government Office
Health Authority
School Sport Partnerships
Crime Reduction
Community Safety
Partnerships(340)
MoJ
Home Office
CLG
DfE
DoH
BIS
NPIA
National Policing Improvement
Agency ACPOProfessional
association of chief police
officers
HM Court Service
NOMS
10 Govt OfficesRegional
representation of Government
Audit Commission
Audit local authorities
(including police)
NHS
10 SHAEnacting
directives and implementing
policy
43 Police Authorities
Hold the police to account on behalf of
communities
5 CJS Inspectorates
Regulate and inspect CJS in England and
Wales
10 DOMS
Directors of Offender
Management
152 Local Authority
152 Primary Care Trusts
63 Fire Brigades
22,728 Schools
1,121 Hospitals
Health Providers
Landlords
(Also includes police forces, probation areas and Youth Offending Teams)
152 YOT
As probation, for under 18s.
43 Probation Areas
Ensuring provision of interventions to reduce offending
43 Police forces
Responsible for front-line policing
Voluntary Sector Providers
Provision of services in many
CJS areas
Manufacturers
Production of crime-proof
products
Neighbourhood Watch
Witnesses
Victims
Offenders
Family/Peers
Local Criminal Justice
Boards (42)
42 CPS
140 Prisons
626 Courts
(Also includes police forces, probation areas and Youth Offending Teams)
National Regional Local
43
Delivery System for PSA 18 – Better Health For All – DH strand
National Regional Agencies
Strategic Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Performance Management
Performance Management
of delivery agreements
Influence
GPs & Practices
Patients, People who
need and use
social care, Citizens, Socially
Excluded / Disadvantaged
Groups, Carers….
Equ
itabl
e ou
tcom
es
LAA
s, L
SP
s
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and FTs
Specialist Units / Trusts
join
t co
mm
issi
onin
g
= Department / Agency = national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including ‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Cho
ice
& V
oice
influ
enci
ng p
rovi
sion
and
com
mis
sion
ing
e.g.
LIN
ks
Footnote 1, 07/8 programme to co-locate public health and social care presence in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing, vfm
DH
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
Public Health Observatories
provides support
Primary Care Trusts (inc PBC)
JSN
A
Better Health For All
44
Delivery System for PSA 18 – Better Health For All – DH/CLG strand
National
DCLG
Regional Agencies
Strategic Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Government Offices (incs
PH1)
Performance Management
Performance Management
of delivery agreements
Influence
GPs & Practices
Patients, People who
need and use
social care, Citizens, Socially
Excluded / Disadvantaged
Groups, Carers….
Equ
itabl
e ou
tcom
es
Performance Management,
funding
LAA
s, L
SP
s
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and FTs
LA Teams and Specialist LA Units
Specialist Units / Trusts
Social Care providers
Independent providers e.g. ISTCs
Voluntary providers
Com
mis
sion
ing
incs
join
t co
mm
issi
onin
g
= Department / Agency
Regulators & Inspectorates2
= national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including ‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Cho
ice
& V
oice
influ
enci
ng p
rovi
sion
and
com
mis
sion
ing
e.g.
LIN
ks
Inspect, Reviews & Reports
Footnote 1, 07/8 programme to co-locate public health and social care presence in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing, vfm
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
Public Health Observatories
provides support
environment, housing, roads, schools, benefits, etc
Primary Care Trusts (inc PBC)
Local Authorities inc
OSCs
JSN
A
DH
Better Health For All
45
Delivery System for PSA 18 – Better Health For All – Complete system
National
DCLG
Regional Agencies
Strategic Health
Authorities
Local Community
Key :
Delivery Agencies Delivery mechanisms
Government Offices (incs
PH1)
Performance Management
Performance Management
of delivery agreements
Influence
GPs & Practices
Patients, People who
need and use
social care, Citizens, Socially
Excluded / Disadvantaged
Groups, Carers, etc
Equ
itabl
e ou
tcom
es
DCSF
DWPPerformance Management,
funding
LAA
s, L
SP
s
= Working jointly and in partnership
Funding, LDPs
Acute / MH Trusts and FTs
LA Teams and Specialist LA Units
Specialist Units / Trusts
Social Care providers
Independent providers e.g. ISTCs
Voluntary providers
Com
mis
sion
ing
incs
join
t co
mm
issi
onin
g
= Department / Agency
Regulators & Inspectorates2
= national levers and covers HCC, CSCI, NICE, Audit Commission and wider agencies e.g. CQC etc including ‘clinicians’ e.g. GMC, NMC, HPC, etc
= joint local working relationship
Cho
ice
& V
oice
influ
enci
ng p
rovi
sion
and
com
mis
sion
ing
e.g.
LIN
ks
HO
Inspect, Reviews & Reports
DCMS
Footnote 1, 07/8 programme to co-locate public health and social care presence in the regions. Footnote 2, consider in light of wider regulatory review.
Competition, pricing, vfm
DH
Defra
DIUS
DfT
Cro
ss-g
over
nmen
t w
orki
ng
Workforce advertising, influencing recruitment & retention; NSFs
Legislation (incs EU legislation); health prevention & promotion advertising
influence
RDAs, Regional Assemblies, etc
OGD influence
Public Health Observatories
provides support
environment, housing, roads, schools, benefits, etc
OGD influence
regenerationin
fluen
ce
Primary Care Trusts (inc PBC)
Local Authorities inc
OSCs
Business community
JSN
A
Better Health For All
46
Citizen Journeys
Citizen Journey Mapping
Improves Performance
By showing that different groups have different requirements
By revealing pressure points using journey maps
By identifying key issues in current delivery
By prioritising next steps for action
Action to prevent repossessions – Customer Journeys 2 – ‘Facing repossession / court’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘Chris and Natalie’ brought their ex-council home in Leeds in 2006, and have a young son. Chris has been out of work for 10 months since injuring his arm on a building site, Natalie works part time in a supermarket
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement Review Decision Response Progression
Del
iver
y p
artn
ers
and
acto
rs o
n th
e jo
urn
ey
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Version: 1.1
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
Experience Summary
Awareness building for vulnerable groups Consistency of lender advice Advisor congestion LA / RSL Handoff
Key pressure points:
Key support experiences:(a) Moment of truth when made aware of support potential
(a) Lack of early awareness, particularly amongst those highly vulnerable delays intervention
(b) The most eligible groups ‘bury their heads’ such that agencies, lenders receive at the last minute
(c) Lender response at point of need varies from highly supportive to aggressively dismissive
(b) Case worker support and guidance throughout the process
(c) For MRS – level of tenancy support from RSLs
ll
e
(d) Advisor congestion, even for those prepared to wait can delay delivery considerably
(e) For MRS cases, the L/A – RSL handoff features assessment rework and some friction
Weight of lender messaging
b
l
d
lt
f
t
g
h
c
ll
i
j
l
k
l
m
n
o
p
l lll
q r
s
t
l l l
u
v
30
w
x
The RSL approaches the lender to
confirm financial status but does not have written approval –
they have to revert to the
local authority, who call
Natalie back to sign the form
A valuation is arranged, but an
appointment takes 2 weeks to agree – “it was a little frustrating, but they came
soon enough” A second visit
secures a survey so that the RSL
can move to offer
Having agreed a provisional position with the RSL board,
the lender is approached to
confirm the redemption statement –
however Natalie and Chris’ arrears
have mounted, and an agreement is delayed – Chris
begins to worry that the deal might fall through – “every delay makes you worry you will be
back in court”
The RSL case worker calls Natalie to tell her that they are prepared to make an offer – “it was such a
weight off my shoulders –I was in tears” – they
commence the cooling off period and approach an IFA for advice; and they
accept the offer. “We were surprised by the 3%
reduction, but at the end of the day, staying in your home means everything”
Both their RSL and LA case workers reassure them that
they are pursuing a solution –“I can’t thank them enough
for their help”Natalie is asked to
appoint a solicitor to handle the
conveyencing by her RSL – “I was worried
because we didn’t have the money” –
however she is reassured that the
scheme will cover the cost
Finally, the deal is done – “on the day we exchanged contracts, it was a new beginning
for us; Dylan has started nursery, and he
can stay with his friends”
Conveyencing proves a drawn out process
– “I found myself receiving calls from my solicitor asking me what to do!”,
meanwhile letters from their lender
continue to arrive – “I wish we could have frozen everything
with the bank – it was so worrying” – the
tenancy contract also proves a concern – “I just wanted to know what would happen
to us when it expires”
Jobcentre Plus continue to support Chris; and with the
worry of mortgage payments gone, he can focus on the
future – “before I couldn’t see how we could get out, it
consumed all my time, now I have a chance again”
The family receive a visit on the day of exchange from their tenancy officer – “he
was very friendly, and promised to come back
regularly”
Panicking, she goes returns to the council the day before the hearing,
asking for help – “The authority was my only hope – I went to see them about getting a flat to protect
my kids”
Recognising the urgency of her case, she begins a diagnostic to understand
Natalie and Chris’circumstances – “It was
the most incredible relief –to hear someone say ‘I
can help you’”
The following day a Local Authority representative accompanies Natalie
to court – despite her fears, the judge requests time to allow her to
explore options, and asks her lender to apply the pre-action protocol “I
was frightened, but having someone to support you really helped”
Their lender agrees to the court’s request, and litigation letters are
suspended, but demands for repayment continue from automated systems – “We knew that they were
supporting the process, but the letters still came – it’s like being on
the edge of a cliff”
Natalie’s case worker at the local authority thinks that she and Chris may
be eligible for the mortgage rescue
scheme. There is a delay of 10 days to see a money advisor, but
Natalie is happy to wait –“I didn’t want to go back to renting, ideally, but it’s the second best thing to owning your home, and you don’t have to leave
everything behind”
The Financial advice
confirms that the couple are eligible, and
agrees to pass their case to
the local registered
social landlord
On receiving the file, the RSL assigns a case worker, who calls
Chris to tell him what is happening –“They were really helpful too then, telling us that they were looking at
our case”
Chris and Natalie are a low income family – Natalie works part time to care for their son,
Dylan, while Chris is unemployed following an accident at work. They brought their ex council
house in 2006 before Chris lost his job, toward the height of the market, on an interest only basis
With Natalie’s income not enough to cover their mortgage, bills and loan repayments, they examine
advertised websites “We felt forced into a corner – we didn’t
know where to go”
Natalie visits local community
centres regularly with Dylan, and
the council drop in centre to make
monthly payments – however available
mortgage support doesn’t register -“I’m used to going
there, but don’t recall seeing any
publicity”
They have borrowed several times in the past few years, to do
work on the house, and cover shortfall in bills when Chris was first injured.
Chris claims incapacity benefit, but a struggle for
monthly payments are a way of life –
“we’re always juggling – trading one bill off against
another”
When a secondary loan is called in, they miss a monthly payment. It isn’t the first time; they have been in and out of arrears for several
months – “our mortgage terms changed and we didn’t know how to keep up; letters keep
arriving but you hope they will go away”
Their lender runs out of patience and seeks a court
order; “we approached them, but had no support;
no advice”
Natalie is at her wits end as the court approaches “We thought it was the end – that we would lose
our home, and have to move –imagine having to leave your
friends like that, and move your children”
1
6
2
4
5
3
v
v
7
8
9 10
12
11
13
15
14 16
15
16
17
18 20
18
21
19
23
25
22 24
28
26
27
29
Customer experience monitor:
Homeowners ‘burying their head in the sand’
Conveyencing delays
(e) For MRS cases, the L/A – RSL handoff features assessment rework and some friction
Detailed Journey Maps Action to prevent repossessions – Customer Journeys 1 - ‘Newly Indebted’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘David and Lucy’ - Newly indebted. David was a security supervisor until being made redundant in January. Lucy works full time as a classroom assistant, but on reduced income they have fallen into mortgage arrears
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement Review Decision Response Progression
Del
iver
y p
artn
ers
and
acto
rs o
n th
e jo
urn
ey
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Version: 1.1
Customer experience monitor:
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
c
h
Experience Summary
Variable online scheme information Reliance on walk in
Weight of lender messaging
Key pressure points:
Key support experiences:(a) Provision of informed advice by front line groups – e.g. CAB
(a) Lack of early awareness and acceptance on the part of the homeowner
(b) Conflicting advice on initial search, particularly online and through television media
(c) Constraint on money advisors leading to delivery delays and increased risk of lender action
(b) Single person case support at local authority and advisory level
(c) Relief at point of rescue; availability of options
b
d
l l l
David and Lucy were both in full time employment, with little
secondary debt, but they borrowed heavily in 2006 to
buy their first home
Shortly after, David’s employer loses a contract and he is made
redundant; Lucy’s wage and savings cover the monthly
payment, but finances are tight. “It was difficult, but I thought that we
could get by”
David remembers seeing press reports in January talking about government
mortgage support – “It seemed like a good idea, but I didn’t know what it really meant at the time”
The savings don’t last however, and David can’t find the job he was
hoping for – the couple miss two monthly payments; letters start
arriving from their bank requesting payment – “I felt so anxious, I could hardly sleep for worry”
Remembering the press report, David searches the web for mortgage support
but can only find independent debt advice –
he doesn’t know the names of the schemes
and is confused – “There are lots of independents out there offering to buy your home and lease it back – but at a big cost”
l l l
t
j
e
David is looking for work, and reluctantly visits his local jobcentre, but he
doesn’t want to sign on –“benefits felt like the option of last resort”
e
David accepts a telephone call from his bank – they agree to suspend action for one month, but the
“lender suggested that we seek support”
Meanwhile the bank notices are building up.
They are now three months in arrears and the letters start to arrive from the litigation team – “it felt excruciating; sheer panic”
f
g
l l l
t
t
i
k
l
m
n
o
p
q
r
s
David attends a meeting with a case advisor at the
local authority – he advises a combined package of
benefits support, to include Support for Mortgage Interest and Married
Couples Allowance. The Homeowner Mortgage
Support is considered, but the advisor prefers to follow
“tried and tested options”
Accepting benefits is a tough decision –“I felt ashamed to admit that I couldn’t do this for myself”; but the package is enough, combined with Lucy’s income to enable a repayment plan with the
bank – “you are so relieved that someone is there to support you, after so much heartache and worry” – David
agrees to sign onDWP sent an MI12 form to David’s lender
informing them of SMI support – the volume inbound is high however, and the lender takes time to acknowledge acceptance – “any delay can feel like a lifetime, though you accept that process must be followed”; lenders highlight that early warning and involvement can help
improve speed of response
The couple’s case worker in the housing team is following the situation closely, and keeps in
touch with the bank to ensure the agree package of repayments and move to an interest only mortgage is progressed –“having just one person, who you could
always call with a problem, and who was looking out for you, was a godsend”
A package agreed, the lender calls off court action, and provides advisory support over the
following months. David continues to work with his Jobcentre Plus and employment
agency teams to find new work
t
19 20
21 20
20
David doesn’t feel comfortable going to
an office, so calls several agencies –
“I received conflicting
messages, but people were helpful,
eventually CAB particularly told me
to come in”
After more searching, he finds a link to HMS on the treasury
website – “I thought that I was eligible, but I couldn’t tell where to
go next”. Finally on a forum he sees advice telling him to speak to a money advisor. Meanwhile, his bank call and writing ever more
often – “ there were letters every day, I didn’t want to open them”
David and Lucy make an
appointment to see a Money Advisor,
but the wait at their local centre is 3 weeks. In the
meantime, they can only make a part payment, and the
bank is losing patience – “it had
only been a couple of months, but we
received a final notice”
Panicked Lucy approaches a loan provider she finds online – the deal has high interest rates attached, but “at that
stage, when you face losing your home, you are prepared
to do anything to stay”
They decide to hold the appointment before
opting for the loan, and meet a CAB advisor.
“He was brilliant –explained our options,
and gave us materials”.The advisor calls their lender, and agrees a
further delay of proceedings while the couple are assessed
Completing a financial statement takes two more visits, but their
advisor makes time for them and once
complete, is able to assess their case and refer them to the local authority housing team
While the couple wait to speak to their local authority, letters from their lender still arrive, despite agreeing to
forestall proceedings –“Phone calls stopped, but
letters piled up”
11
12
l l t
16
l l
14 15
171
10
8
2
4
3
9
5
76
(d) Misalignment of communications such that actions (e.g. lender forbearance) and messages conflict
(e) Reliance on face to face engagement; telephone queries meeting mixed response
Advisor congestion
v 13
v 18
Limited customer and delivery partner feedback on Homeowner Mortgage Support (HMSS) means it has not been possible at this stage to qualify the delivery journey fully.
The example shown here reflects local authority feedback of similar cases, but requires qualification through further engagement.
Action to prevent repossessions – Customer Journeys 1 - ‘Newly Indebted’
Objective: Mapping the end-to-end journey for individuals eligible for Government mortgage support schemes Segment: ‘David and Lucy’ - Newly indebted. David was a security supervisor until being made redundant in January. Lucy works full time as a classroom assistant, but on reduced income they have fallen into mortgage arrears
Key steps on the journey:
Local Authority
Citizen’s Advice Bureau
Shelter
Mortgage lender
Awareness Acceptance Investigation Engagement Review Decision Response Progression
Del
iver
y p
artn
ers
and
act
ors
on
the
jou
rney
DirectGov
Commercial loan providers
Registered Social Landlord
Community care centres
Jobcentre Plus
Version: 1.1
Customer experience monitor:
National Debt Hotline
Legal Advice
Action 4 Employment
Nominated Financial Advisor
Commercial Debt Advisor
Rogue Websites
Debt Collection Agencies
County Court
Money Advisory Sites
Media and Press Advertising
a
c
h
Experience Summary
Variable online scheme information Reliance on walk in
Weight of lender messaging
Key pressure points:
Key support experiences:(a) Provision of informed advice by front line groups – e.g. CAB
(a) Lack of early awareness and acceptance on the part of the homeowner
(b) Conflicting advice on initial search, particularly online and through television media
(c) Constraint on money advisors leading to delivery delays and increased risk of lender action
(b) Single person case support at local authority and advisory level
(c) Relief at point of rescue; availability of options
b
d
l l l
David and Lucy were both in full time employment, with little
secondary debt, but they borrowed heavily in 2006 to
buy their first home
Shortly after, David’s employer loses a contract and he is made
redundant; Lucy’s wage and savings cover the monthly
payment, but finances are tight. “It was difficult, but I thought that we
could get by”
David remembers seeing press reports in January talking about government
mortgage support – “It seemed like a good idea, but I didn’t know what it really meant at the time”
The savings don’t last however, and David can’t find the job he was
hoping for – the couple miss two monthly payments; letters start
arriving from their bank requesting payment – “I felt so anxious, I could hardly sleep for worry”
Remembering the press report, David searches the web for mortgage support
but can only find independent debt advice –
he doesn’t know the names of the schemes
and is confused – “There are lots of independents out there offering to buy your home and lease it back – but at a big cost”
l l l
t
j
e
David is looking for work, and reluctantly visits his local jobcentre, but he
doesn’t want to sign on –“benefits felt like the option of last resort”
e
David accepts a telephone call from his bank – they agree to suspend action for one month, but the
“lender suggested that we seek support”
Meanwhile the bank notices are building up.
They are now three months in arrears and the letters start to arrive from the litigation team – “it felt excruciating; sheer panic”
f
g
l l l
t
t
i
k
l
m
n
o
p
q
r
s
David attends a meeting with a case advisor at the
local authority – he advises a combined package of
benefits support, to include Support for Mortgage Interest and Married
Couples Allowance. The Homeowner Mortgage
Support is considered, but the advisor prefers to follow
“tried and tested options”
Accepting benefits is a tough decision –“I felt ashamed to admit that I couldn’t do this for myself”; but the package is enough, combined with Lucy’s income to enable a repayment plan with the
bank – “you are so relieved that someone is there to support you, after so much heartache and worry” – David
agrees to sign onDWP sent an MI12 form to David’s lender
informing them of SMI support – the volume inbound is high however, and the lender takes time to acknowledge acceptance – “any delay can feel like a lifetime, though you accept that process must be followed”; lenders highlight that early warning and involvement can help
improve speed of response
The couple’s case worker in the housing team is following the situation closely, and keeps in
touch with the bank to ensure the agree package of repayments and move to an interest only mortgage is progressed –“having just one person, who you could
always call with a problem, and who was looking out for you, was a godsend”
A package agreed, the lender calls off court action, and provides advisory support over the
following months. David continues to work with his Jobcentre Plus and employment
agency teams to find new work
t
19 20
21 20
20
David doesn’t feel comfortable going to
an office, so calls several agencies –
“I received conflicting
messages, but people were helpful,
eventually CAB particularly told me
to come in”
After more searching, he finds a link to HMS on the treasury
website – “I thought that I was eligible, but I couldn’t tell where to
go next”. Finally on a forum he sees advice telling him to speak to a money advisor. Meanwhile, his bank call and writing ever more
often – “ there were letters every day, I didn’t want to open them”
David and Lucy make an
appointment to see a Money Advisor,
but the wait at their local centre is 3 weeks. In the
meantime, they can only make a part payment, and the
bank is losing patience – “it had
only been a couple of months, but we
received a final notice”
Panicked Lucy approaches a loan provider she finds online – the deal has high interest rates attached, but “at that
stage, when you face losing your home, you are prepared
to do anything to stay”
They decide to hold the appointment before
opting for the loan, and meet a CAB advisor.
“He was brilliant –explained our options,
and gave us materials”.The advisor calls their lender, and agrees a
further delay of proceedings while the couple are assessed
Completing a financial statement takes two more visits, but their
advisor makes time for them and once
complete, is able to assess their case and refer them to the local authority housing team
While the couple wait to speak to their local authority, letters from their lender still arrive, despite agreeing to
forestall proceedings –“Phone calls stopped, but
letters piled up”
11
12
l l t
16
l l
14 15
171
10
8
2
4
3
9
5
76
(d) Misalignment of communications such that actions (e.g. lender forbearance) and messages conflict
(e) Reliance on face to face engagement; telephone queries meeting mixed response
Advisor congestion
v 13
v 18
Limited customer and delivery partner feedback on Homeowner Mortgage Support (HMSS) means it has not been possible at this stage to qualify the delivery journey fully.
The example shown here reflects local authority feedback of similar cases, but requires qualification through further engagement.
What do we mean by ‘deep dive’? • Step 1: Agree which performance measure that is off track• Step 2: Identify the team to work on improving performance and Plan• Step 3: Agree the tools, techniques and the sequence
– Forming Hypotheses• Pinpoint• Issue Tree• Brainstorm• Forcefield • Diagnostic
– Gathering Evidence - Research• Delivery Diagnostic• Delivery System Mapping• Customer Journey Mapping• Funding Flows
– Analysis • Step 4: Implement each tool and adjust as the work progresses• Step 5: Form Recommendations for Action from Findings• Step 6: Take Action• Step 7: Review Performance Improvement and adjust actions
You will know of these – or other techniques and tools you use?
You will have other tools?