procesos de adopción (incluyendo las reformas necesarias para dicha adopción) y usos concretos de...

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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

ALGUNAS EXPERIENCIAS DE 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

ALGUNAS EXPERIENCIAS DE MÉXICO

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


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 :


Government Offices (incs

PH1)




Influence

GPs & Practices


need and use



Groups, Carers….

Equ

itabl

e ou

tcom

es

Performance Management,

funding

LAA

s, L

SP

s


Funding, LDPs


LA Teams and Specialist LA Units


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


Cho

ice

& V

oice

influ

enci

ng p

rovi

sion

and

com

mis

sion

ing

e.g.

LIN

ks

Inspect, Reviews & Reports






provides support

environment, housing, roads, schools, benefits, etc


Local Authorities inc

OSCs

JSN

A

DH


45

Delivery System for PSA 18 – Better Health For All – Complete system

National

DCLG

Regional Agencies

Strategic Health

Authorities

Local Community

Key :


Government Offices (incs

PH1)




Influence

GPs & Practices


need and use



Groups, Carers, etc

Equ

itabl

e ou

tcom

es

DCSF

DWPPerformance Management,

funding

LAA

s, L

SP

s


Funding, LDPs


LA Teams and Specialist LA Units


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


Cho

ice

& V

oice

influ

enci

ng p

rovi

sion

and

com

mis

sion

ing

e.g.

LIN

ks

HO

Inspect, Reviews & Reports

DCMS



DH

Defra

DIUS

DfT

Cro

ss-g

over

nmen

t w

orki

ng



influence

RDAs, Regional Assemblies, etc

OGD influence


provides support

environment, housing, roads, schools, benefits, etc

OGD influence

regenerationin

fluen

ce


Local Authorities inc

OSCs

Business community

JSN

A


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


Local Authority


Shelter

Mortgage lender


Del

iver

y p

artn

ers

and

acto

rs o

n th

e jo

urn

ey

DirectGov




Jobcentre Plus

Version: 1.1



Legal Advice

Action 4 Employment



Rogue Websites


County Court



a

c

h

Experience Summary

Variable online scheme information Reliance on walk in



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


Local Authority


Shelter

Mortgage lender


Del

iver

y p

artn

ers

and

act

ors

on

the

jou

rney

DirectGov




Jobcentre Plus

Version: 1.1



Legal Advice

Action 4 Employment



Rogue Websites


County Court



a

c

h

Experience Summary

Variable online scheme information Reliance on walk in



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?

procesos de adopción (incluyendo las reformas necesarias para dicha adopción) y usos concretos de...

Documents