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ProPack IIThe CRS Project PackageProject Management and Implementation Guidance for CRS Project and Program Managers
Valerie Stetson, Susan Hahn, David Leege, Debbie Reynolds and Guy Sharrock
www.crs.org
ProPackII TheCRSProjectPackage
ProjectManagementandImplementation GuidanceforCRSProjectandProgramManagers
ValerieStetson,SusanHahn,DavidLeege,DebbieReynoldsandGuySharrock
iiPROPACKIITABLEOFCONTENTS
Since1943,CatholicReliefServices(CRS)hasheldtheprivilegeofservingthepooranddisadvantagedoverseas.Withoutregardtorace,creedornationality,CRSprovidesemergencyreliefinthewakeofnaturalandman-madedisasters.Throughdevelopmentprojectsinfieldssuchaseducation,peaceandjustice,agriculture,microfinance,healthandHIV&AIDS,CRSworkstoupholdhumandignityandpromotebetterstandardsofliving.CRSalsoworksthroughouttheUnitedStatestoexpandtheknowledgeandactionofCatholicsandothersinterestedinissuesofinternationalpeaceandjustice.OurprogramsandresourcesrespondtotheU.S.Bishops’calltoliveinsolidarity-asonehumanfamily-acrossborders,overoceans,andthroughdifferencesinlanguage,cultureandeconomiccondition.
Publishedin2007by: CatholicReliefServices 228W.LexingtonStreet Baltimore,MD21201-3413USA
Writtenby: ValerieStetson,SusanHahn,DavidLeege,DebbieReynoldsandGuySharrock
GraphicDesignandIllustrationsby: AnnyDjahovaandBryanPrindiville,GraphicServices,CatholicReliefServices
Editedby:
BarbraBuoy-McCray,LeslieBlantonandSusanHahn
CoverPhotosby: KimBurgo,DavidSnyderandMattMcGarry/CRS;RitaVillanuevaforCRS
©2007CatholicReliefServices.Allrightsreserved.Any‘fairuse’underU.S.copyrightlawshouldcontainappropriatecitationandattributiontoCatholicReliefServices.
ACKNOWLEDGEMENTS
PROPACKIITABLEOFCONTENTSiii
Thefollowingpeopleprovidedexcellentinputandfeedback.Theyrespondedtosurveys,participatedinfocusgroupreviews,gavetimeforinterviews,revieweddraftversionsofthemanual,providedadministrativesupport,providedcasestudiesandstoriesand/orprovidedusefulresources.
ZemedeAbebe
RekhaAbel
JimAshman
LornaBurce
DonaConnelly
SusanDada
EdaDetros
JohnDonahue
SonaDrewery
MarcD’Silva
VelidaDzino
KariEgge
AlisonGichuhi
RobinGulick
HeatherHarrison
MaryHennigan
MaryHodem
JimHudock
MegaroopanJeganathan
ElizabethJere
BobJud
KinyanjuiKaniaru
NatalieKruse-Levy
LisaKuennen-Ashfaw
LoriKunze
JenniferLentner
CarlisleLevine
ZoyaLyubenova
YvetteLynn
PaulMacek
JeffMcIntosh
JohnMcCuen
DominiqueMorel
DrissMoumane
PetulaNash
ReinaNeufeldt
GraceNdugu
NazarenoNgare
MargaretNjoroge
KevinO’Connor
PaulOmanga
GiseleOrellana
DavidOrth-Moore
LawrenceOtika
DavidPalasits
ChristopherPenders
KatherinePondo
HippolytPul
TomRemington
SandaRichtmann
MarkRogers
HelenRottmund
AmyRumano
DougRyan
JamilehSahlieh
JohnSchot
AnnaSchowengerdt
DanielSelener
DebbieShomberg
JeromeSigamani
AllisonSmith
MadeleineSmith
PaulTownsend
MohammadTurshan
SteveWalsh
DennisWarner
Responsibilityforanyerrorsthatremaininthisdocumentrestssolelywiththeauthors.
ivPROPACKIITABLEOFCONTENTS
FOREWORD
ProPackII,Project Management and Implementation Guidance,waswrittentorespondtofieldrequestsformoresupportonprojectmanagement.Itfollowsdirectlyfromthewidespread,successfuladoptionofProPackI,Project Design and Proposal GuidancethroughouttheCRSworld,andbuildsonthesimpleconceptsandmethodologiesintroducedinthatvolume.TogetherthesetwomanualsprovideCRSstaffwithbasicprojectinformationandtoolsfromtheearlydesignstagethroughthecloseoftheproject.
Goodprogramqualityisnotpossiblewithoutmanagementquality.ProPackIIincludesbothprogramandmanagementinformationsostaffcanunderstandeachother’sroleandworkcloselytogetherinprojectimplementation.Strongpartnershipsareanotherkeytogoodprojectdesignandmanagement.AsinProPackI,thereisgreatemphasisonusingthismanualinworkwithpartners.ProPackIIwillserveasareferenceguideforCRSandpartnerstaffinmutualcapacitystrengtheningefforts,insupportoftherecentlyupdatedagencystrategyonpartnership.
ProPackIIalsoincludesdetailedsectionsonmonitoringandevaluation.Thesesectionsbuildon
thetoolsintroducedinProPackI.GoodM&Eiskeytobecomingalearningorganization,andtheseProPackmanualsprovidesomeofthebasicmethodsandtoolstosupportCRSandpartnerstaffinpromotingmonitoringandlearning.
ProPackIIincludeshyperlinkstokeyreferencedocumentsontheCDROM.Thiswillfacilitateaccesstofurtherinformation,agencypoliciesandguidanceinonelocationwithouthavingtogoonlineandsearchforit.
Thesemanualscontainthebasicsofourprojectwork.Allstaffshouldhavecopiesandknowwhatisinthem.Newstaffshouldgetthemaspartoftheirorientation.RegionalandCountryseniormanagersandadvisorsareresponsibleforcreatingasupportiveenvironmentsothatprojectmanagerscanusethesemanualsintheirday-to-daywork.Withtheseresourcesandon-goingsupportfromthePQandMQstaff,welookforwardtocontinuedimprovementsinourstewardshipofCRSresources.
Withbestwishes,
SeanL.Callahan DorrettLyttleByrd ExecutiveVicePresident Director OverseasOperations ProgramQuality& SupportDepartment
LIST OF ACRONYMS
PROPACKIILISTOFACRONYMSv
AER AnnualEstimateofRequirements
ALNAP ActiveLearningNetworkforAccountabilityandPerformancein
HumanitarianAction
APP AnnualProgramPlan
BCR BudgetComparisonReport
BMF BudgetMaintenanceForm
BRF BudgetReconciliationForm
CARO CentralAfricaRegionalOffice(CRS)
CFR CodeofFederalRegulations
CI CaritasInternationalis
CRS CatholicReliefServices
CIAT InternationalCenterforTropicalAgriculture
C-SAFE ConsortiumforSouthernAfricaFoodSecurityEmergency
CSR4 ConsolidatedResultsReportandResourceRequest
CST CatholicSocialTeaching
DAP DevelopmentAssistanceProgram
DIP DetailedImplementationPlan
DRD/MQ DeputyRegionalDirectorforManagementQuality
DRD/PQ DeputyRegionalDirectorforProgramQuality
EARO EastAfricaRegionalOffice(CRS)
ECHO TheHumanitarianAidOrganizationoftheEuropeanCommission
FARES CommodityCreditCorporation’sFoodAidRequestEntrySystem
EME EuropeandMiddleEastRegionalOffice(CRS)
FFA FoodforAssets
FFP FoodforPeace
GDA GlobalDevelopmentAlliance
GEM GlobalExcellenceinManagement
GPS GlobalPositioningSystem
HIV&AIDS HumanImmuno-deficiencyVirus&AcquiredImmuneDeficiencySyndrome
HCS HarargheCatholicSecretariat
ICB InstitutionalCapacityBuilding
IFAD InternationalFundforAgriculturalDevelopment
IHD IntegralHumanDevelopment
I-LIFE ImprovingLivelihoodsthroughIncreasingFoodSecurityProject(Malawi)
IR IntermediateResult
IT InformationTechnology
KPC Knowledge,PracticeandCoverage
LACRO LatinAmericaandCaribbeanRegionalOffice(CRS)
LINKS LearningInnovationsandKnowledgeSystemsMicrofinanceCenter
MAGI MicrofinanceAllianceforGlobalImpact
M&E MonitoringandEvaluation
MoU MemorandumofUnderstanding
MPI ManagementPolicyandInformation(CRS)
MQAT ManagementQualityAssessmentTool
MS Microsoft
MTE Mid-termEvaluation
MYAP Multi-yearActivityPlan
NDS/P NewDonorSource/ProjectForm
NGO Non-governmentalOrganization
OECD/DAC OrganizationforEconomicCooperationandDevelopment/Development
AssistanceCommittee
OFDA U.S.OfficeofForeignDisasterAssistance
OSD OverseasSupportDepartment(CRS)
PDA PersonalDigitalAssistant
PEPFAR President’sEmergencyPlanforAIDSRelief
PITT PerformanceIndicatorTrackingTable
PPG ProjectProposalGuidance
PQA ProgramQualityAssessment
PQSD ProgramQualitySupportDepartment
PRA ParticipatoryRuralAppraisal
PTA Parent-TeacherAssociation
PTS ProjectTrackingSystem
PVO PrivateVoluntaryOrganization
RFA RequestforApplications
RISA/MIT RegionalInformationSystemAnalyst/ManagementInformationTechnology(CRS)
RRA RapidRuralAppraisal
RTE Real-timeEvaluation
SARO SouthernAfricaRegionalOffice(CRS)
SASIA SouthAsiaRegionalOffice(CRS)
SEAPRO SoutheastAsia,EastAsia,andthePacificRegionalOffice(CRS)
SF StandardForm
SMART Specific,Measurable,Achievable,Relevant,Timebound
SOA SpecialOperationsAppeal
SO StrategicObjective
SOW ScopeofWork
SPMR Sub-ProjectMonitoringReport
SPP StrategicProgramPlan
SPSS StatisticalPackagefortheSocialSciences
TA TransferAuthorization
TAP TransitionalAssistanceProgram
TB Tuberculosis
ToC TableofContents
UFE Utilization-focusedEvaluation
UN UnitedNations
UNHCR UnitedNationsHighCommissionerforRefugees
UNICEF UnitedNationsChildren’sFund
USAID UnitedStatesAgencyforInternationalDevelopment
USD U.S.Dollar
USDA UnitedStatesDepartmentofAgriculture
USG U.S.Government
VOIP VoiceOverInternetProtocol
WARO WestAfricaRegionalOffice(CRS)
WFP UnitedNationsWorldFoodProgram
WHO WorldHealthOrganization
viPROPACKIILISTOFACRONYMS
BRIEF TABLE OF CONTENTS
ProPackIIincludessevenchaptersandaFurtherResourcessection.Themanualhasbeenarrangedtofollowthecycleofanapprovedandfundedproject.
ChapterI Introduction to ProPack II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 ChapterII Project Management: Theories, Models and Essential Skills for Managers . . . . . 14 1.FoundationsofProjectManagement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 2.ProjectManagementandPartnerships. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 3.EssentialKnowledge,SkillsandAttitudesforProjectManagers . . . . . . . . 31 ChapterIII DIP Part A: Getting Started and Activity Scheduling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63 1.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 2.InitialTasks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 3.ActivityScheduling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
ChapterIV DIP Part B: Setting Up the M&E System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83 1.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 2.SixComponentsofanM&ESystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 3.CompilingtheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . 127 ChapterV DIP Part C: Project Resources and DIP Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .131 1.RecruitingStaffandConductingPerformancePlanning. . . . . . . . . . . . . 131 2.ConductingCapacityStrengtheningAssessments. . . . . . . . . . . . . . . . . . . 140 3.ManagingProjectResources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 4.DocumentingtheDIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 ChapterVI Project Implementation and Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163 1.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 2.GuidanceforCapacityStrengthening. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 3.ProjectMonitoringandReporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 4.FinancialMonitoringandReporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 5.PerformanceManagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
ChapterVII Project Evaluation and Close-out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .215 1.Evaluation—DefinitionsandTypes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 2.GuidanceonUtilization-focusedEvaluations. . . . . . . . . . . . . . . . . . . . . . 230 3.ProjectCloseOut . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
FurtherResources Section1: Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 Section2:ReferenceList. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 Section3:DefinitionofKeyTerms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Section4:ListofCDROMResources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 Section5:ListofChecklists. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Section6:ListofFigures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 Section7:ListofTables. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
PROPACKIITABLEOFCONTENTSvii
DETAILED TABLE OF CONTENTS
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
List of Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Brief Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Detailed Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
CHAPTER I INTRODUCTION TO PROPACK II 1
Purpose of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 WhyIstheManualNecessary? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 WhatIstheScopeoftheManual?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 ProPack II and the Project Cycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 What ProPack II is Not. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 WhoAretheIntendedUsers?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 ProPack II and the CRS Strategic Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 How to Use This Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 TelescopingProjectManagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 TheArtandScienceofProjectManagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 NavigatingProPackII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 User Guide. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 UsingProPackII. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Rolling Out the Manual: ProPack as a Reference Guide . . . . . . . . . . . . . . . . . . . . . . . . . . 11
CD ROM Resources • CRSCostApplicationGuidance • CRSPerformanceManagementSystemGuidance
• ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogue
• ProPackI
Figures Figure1.1 CRSProjectManagement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Figure1.2 CRSProjectCycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Tables Table1.1 TheDifferencebetweenaProjectandaProgram . . . . . . . . . . . . . . . . . . . . . . . . . 3 Table1.2 GuidingPrinciplesforProjectManagementandImplementation. . . . . . . . . . . . 6 Table1.3 VarietyofProjectTypesinOneCRSCountryProgram . . . . . . . . . . . . . . . . . . . . 7 Table1.4 TelescopingProjectManagementandImplementation. . . . . . . . . . . . . . . . . . . . . 8
PROPACKIITABLEOFCONTENTSix
INTRODUCTION TO CHAPTER II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
CHAPTER II PROJECT MANAGEMENT: THEORIES, MODELS AND ESSENTIAL SKILLS FOR MANAGERS 14
Section 1: Foundations of Project Management Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Definitions: Management, Leadership and Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Leadership. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15 Implementation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 CRS and Management Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 MeasuringandAssessingManagementQuality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Theories, Models and Practices of Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 EvolutionofManagementTheoriesandModels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Cross-culturalIssuesinManagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Section 2: Project Management and Partnerships Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Definition and Types of Partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Partner Accompaniment during Project Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 PathwaysandObstaclestoPartnershipSuccess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Section 3: Essential Knowledge, Skills and Attitudes for Project Managers Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 The Model Project Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Increasing Your Self-Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Fostering Organizational Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 TheImportanceofCriticalandSystemsThinking. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 ToolstoAssessOrganizationalLearning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Building Relationships: The Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 DevelopingRespectandTrust. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 HavingHumility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 SettingtheExample. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 SpendingTimewithPeople. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Building Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 ManagingMulti-culturalTeams. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 ManagingCross-sectoralandCross-departmentalTeams. . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 ManagingVirtualTeams. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 ManagingDifficultieswithinTeams. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 ToolsandTechnologiesforTeams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Facilitating, Coaching and Mentoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Communicating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 LearningtoListen. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Get Out, Walk Around, and Socialize. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 CommunicatingClearlyandPromotingDialogue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 Face-to-Face Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 E-mail Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Emergency Program Telecommunications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Dialogue versus Discussion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
xPROPACKIITABLEOFCONTENTS
GivingEffectiveFeedback. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Developing Organizational Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 LearningHowtoManageTime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Prioritizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Scheduling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 LearningHowtoRunEffectiveMeetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Organizing and Hosting a Meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Preparing the Meeting Room . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 LearningHowtoDelegate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Decision-making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 ReachingConsensus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Negotiating and Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Motivating Staff and Partners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Related Reading
CD ROM Resources • CRSPartnershipProgrammingGuidance
• CRSValues-BasedBehaviors
• EmergencyTelecommunications:AManualforthe ManagementofEmergencyTelecommunications • GoldStar • ManagementQualityAssessmentTool
• ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogue • ProgramQualityAssessment
• ProPackI
• VirtualTeamToolkit
Checklists Checklist2.1 AreYouaCriticalThinker?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Checklist2.2 QuestionstoFosteraLearningEnvironment. . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Checklist2.3 CharacteristicsofAuthenticTeams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Checklist2.4 SuggestionsforCRSStaffonWorkingwithChurchPartners. . . . . . . . . . . . . . . 40 Checklist2.5 TipsfromtheVirtualTeamToolkit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Checklist2.6 ManagingaDifficultTeamMember. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Checklist2.7 ActionsofStrongFacilitators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Checklist2.8 HowtoIncreaseListeningandCommunicationOpportunities. . . . . . . . . . . . . 46 Checklist2.9 E-mailEtiquette. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Checklist2.10 TimeManagementTips. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Checklist2.11 HowtoPrepareaTo-DoList . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Checklist2.12 HowtoScheduleYourTime. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Checklist2.13 MeetingPreparationTips. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Checklist2.14 HowtoDelegateProductively. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Figures Figure2.1 CRS’ManagementQualityPyramid. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Figure2.2 DesiredRangeofPartnerRelationships................................. 26 Figure2.3 KeyElementsofaLearningOrganization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
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Tables Table2.1 CRSManagementValuesandBeliefs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Table2.2 FiveDimensionstoHelpAnalyzeCulturalInfluencesonManagement . . . . . . 22 Table2.3 ThreePillarsofAuthenticPartnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Table2.4 CommonPhasesofPartnership. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Table2.5 Johari’sWindow. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Table2.6 WaystoImproveActiveListening...................................... 44 Table2.7 QuestionsFacilitatorsAsk. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 Table2.8 FiveMajorCausesofPoorMeetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Table2.9 ChoosinganAppropriateDecision-makingApproach . . . . . . . . . . . . . . . . . . . . 53 Table2.10 HowtoReachConsensusinaMeeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Table2.11 FiveStylesofConflictManagement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Table2.12 FourStepstoNegotiatingAgreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
INTRODUCTION TO CHAPTERS III–VII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
CHAPTER III DIP PART A: GETTING STARTED AND ACTIVITY SCHEDULING 63
Section 1: Introduction Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 What Is Detailed Implementation Planning? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Why Is Detailed Implementation Planning Important? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 Can You Use the Project Proposal to Prepare the DIP? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Who Leads Detailed Implementation Planning? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Section 2: Initial Tasks Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 Document the DIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 Review the Award Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 Analyze Your Stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Section 3: Activity Scheduling Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 One: Review the Relevant Proposal Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 TheProframe. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 TheProposalActivitySchedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Two: Define the Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 DiagrammingActivities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 DetailingActivities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 Three: Sequence the Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 DraftinganActivityScheduleinGanttChartFormat. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Four: Assign Responsibility for Each Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 Five: Finalize the Activity Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 M&EandtheActivitySchedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
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CD ROM Resources • CRSImplementationGuidancefortheUSAIDMarkingRegulation
• ProPackI • USGAgreementReviewChecklist • ProgramManagerOrientationGuidelinesforSARO • CRSCostSharePolicy • CRSTrainingMaterialsonUSGRegulatoryCompliance • USAIDAwardAgreement
Checklists Checklist3.1 PossibleAwardAgreementDetails. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70 Checklist3.2 DIPPlanning—WorkingwithPartnersor LargeTeamstoCreateActivitySchedules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Checklist3.3 HowtoEnsureQualityControloftheDIPActivitySchedule. . . . . . . . . . . . . . . 82
Figures Figure3.1 CRSProjectCycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Figure3.2 DIPwithintheCRSProjectCycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 Figure3.3 ThreeElementsofDetailedImplementationPlanning. . . . . . . . . . . . . . . . . . . . 65 Figure3.4 DocumenttheDIP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 Figure3.5 FromProframetotheActivitySchedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Figure3.6 GanttChartFormatforanActivitySchedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Figure3.7 DraftDIPActivitySchedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Tables Table3.1 KeyIssuesinAwardAgreementsRequiringProjectManager ReviewPriortoDetailedImplementationPlanning....................... 71 Table3.2 ExamplesofOutputsandRelatedActivities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 Table3.3 ExamplesofDetailedActivitiesorTasks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Table3.4 ProsandConsofUsingMSProjectSoftware. . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
CHAPTER IVDIP PART B: SETTING UP THE M&E SYSTEM 83
Section 1: Introduction Chapter Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 Definitions: Monitoring, Evaluation and M&E System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 Three M&E Approaches Used by CRS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 1.Results-basedM&E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 2.Utilization-focusedM&E. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 3.ParticipatoryM&E. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Who Takes the Lead? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Section 2: Six Components of an M&E System Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 SixComponentsofanM&ESystem.............................................. 88 Component One: Consider the Whole M&E System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 GatherAllWorkCompletedfortheProposal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 SetuptheTableofContents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 DefinethePurposeoftheM&ESystem. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 DocumentationfortheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
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Component Two: Review Information Needs of Stakeholders and Choice of Indicators . . . . . 93 IdentifyYourStakeholders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 IdentifyYourStakeholders’InformationNeeds..................................... 94 ReviewProframeIndicatorStatements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 IdentifyOtherInformationNeeds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 DocumentationfortheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 Component Three: Plan for Data Gathering, Analysis and Evidence-based Reporting . . . . . . . 99 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 Definitions: Data, Information, Knowledge and Learning . . . . . . . . . . . . . . . . . . . . . . . . 99 Proframe Indicators, Data Gathering and Evidence-based Reporting . . . . . . . . . . . . . . . 99 Cost and Complexity of Data Gathering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 ReviewDataGatheringWorksheets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 Measurement Methods/Data Sources Worksheet. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 Baseline Survey Worksheet. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 PerformanceIndicatorTrackingTable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 Setting Targets for the Performance Indicator Tracking Table . . . . . . . . . . . . . . . . . . . . 106 SetUptheDataGatheringandAnalysisSystem. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Choose Data Gathering Methods. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Choose Data Gathering Instruments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Review the Monitoring Responsibilities Worksheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 Consider the Summary Master Performance Indicator Sheet. . . . . . . . . . . . . . . . . . . . . 110 DesignFormsforGatheringDataandReporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 Review Approaches to Creating Forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 Write Instructions for Data Gathering Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 PlantoImplementtheM&ESystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Train Others to Complete Data Gathering Forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Ensure Quality Control of Data Gathering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Collate, Organize and Store Data and Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 Analyze the Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 Gather, Organize and Analyze Other Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 DocumentationfortheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 Component Four: Plan for Critical Reflection Events and Processes . . . . . . . . . . . . . . . . . . . . . . 117 SetaSchedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 DocumentationfortheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Component Five: Plan for Quality Communication and Reporting . . . . . . . . . . . . . . . . . . . . . . 118 CommunicateProjectInformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 The M&E Calendar...................................................... 121 Other Reporting Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 DocumentationfortheM&EOperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 Component Six: Plan for the Resources and Capacities Required . . . . . . . . . . . . . . . . . . . . . . . . 123 ReviewofResourcesandCapacities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 DocumentationfortheM&EOperatingManual—M&EBudgetandUnitProtocol. . . . . 126
Section 3: Compiling the M&E Operating Manual
Related Reading
xivPROPACKIITABLEOFCONTENTS
CD ROM Resources • BaselineSurveyWorksheet
• GuidlinesforthePreparationandUseofPerformanceIndicatorTrackingTables(PITT)
• I-LIFEHandbookonM&EEssentials
• M&ECalendar
• MasterPerformanceIndicatorSheet
• MeasurementMethods/DataSourcesWorksheet
• MonitoringResponsibilitiesWorksheet • PerformanceIndicatorTrackingTablestemplate
• ProPackI
• RapidRuralAppraisal(RRA)andParticipatoryRuralAppraisal(PRA): AManualforCRSFieldWorkersandPartners
• SampleCompletedPerformanceIndicatorTrackingTable
Checklists Checklist4.1 TipsforManagingaBaselineSurvey. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 Checklist4.2 TipsonSettingTargets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Checklist4.3 TipsforEnsuringGoodQualityDatafromYourM&ESystem. . . . . . . . . . . . . 107 Checklist4.4 IdeasonDevelopingDataGatheringFormsandReportingFormats. . . . . . . . 111 Checklist4.5 TipsonPreparingInstructionSheetsforDataForms. . . . . . . . . . . . . . . . . . . . 113 Checklist4.6 QuestionstoEnsureQualityControlduringDataGathering. . . . . . . . . . . . . . 114
Figures Figure4.1 SixComponentsofanM&ESystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 Figure4.2 ComponentOne—ConsidertheWholeM&ESystem. . . . . . . . . . . . . . . . . . . . . 90 Figure4.3 ComponentTwo—ReviewInformationNeedsof StakeholdersandChoiceofIndicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Figure4.4 ComponentThree—PlanforDataGathering,OrganizationandAnalysis. . . . 99 Figure4.5 AnIllustrationoftheLinkageBetweenPerformanceIndicators,Data
GatheringandEvidence-basedReporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 Figure4.6 ComponentFour—PlanforCriticalReflectionEventsandProcesses. . . . . . . 117 Figure4.7 ComponentFive—PlanforQualityCommunicationandReporting . . . . . . . 118 Figure4.8 ComponentSix—PlanfortheResourcesandCapacitiesRequired. . . . . . . . . . . 123
Tables Table4.1 DifferencesbetweenMonitoringandEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . 84 Table4.2 PossiblePurposesofanM&ESystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Table4.3 IllustrativeDataandInformationNeedsinaHealthandNutritionProject. . . 94 Table4.4 InformationProvidedbyDifferentTypesofIndicators. . . . . . . . . . . . . . . . . . . . 96 Table4.5 CalculatingPercentageofHouseholdswithLatrinesinUse. . . . . . . . . . . . . . . 103 Table4.6 GeneralTipsforSelectingDataGatheringMethods . . . . . . . . . . . . . . . . . . . . . 108 Table4.7 ProsandConsofUsingPDAstoGatherData . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Table4.8 FormsUsedinaHealthandNutritionProject. . . . . . . . . . . . . . . . . . . . . . . . . . 110 Table4.9 DosandDon’tsforDataFormTestingandTraining. . . . . . . . . . . . . . . . . . . . . 114 Table4.10 IllustrativeOptionsforM&EStructures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 Table4.11 QuestionstoAskbeforeFinalizingYourM&ESystem. . . . . . . . . . . . . . . . . . . . 125 Table4.12 SummaryofComponentsandRelatedDocumentsfortheM&E OperatingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .128
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CHAPTER VDIP PART C: PROJECT RESOURCES AND DIP DOCUMENTATION 131
Section 1: Recruiting Staff and Conducting Performance Planning Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 Review the Relevant Proposal Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 Recruit and Orient Your Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 StepOne:RecruitandHireProjectStaff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 Job Descriptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Recruitment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Interviewing............................................................ 134 Reference Checks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Hiring Consultants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 StepTwo:OrientStaff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 How to Conduct Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 StepThree:SetPerformanceObjectives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 StepFour:ReviewProjectOrganizationalStructures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Section 2: Conducting Capacity Strengthening Assessments Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Understanding the Relationship to Organizational Development . . . . . . . . . . . . . . . . . . . . . . . . 140 Review the Relevant Proposal Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Assess or Re-assess Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 CapacityIndicesandTrackingSystems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 TechnicalAssessments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 InternalControlAssessments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Use Assessment Findings to Guide Capacity Strengthening Strategies . . . . . . . . . . . . . . . . . . . . 145 Section 3: Managing Project Resources Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 A Review of Essential Budget Planning Tasks: Your Project Budget and the Big Picture . . . . 147 TaskOne:PlananAnnualCountryProgramBudget. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 TaskTwo:RecordaNewProject. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 TaskThree:AmendanApprovedBudget. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 TaskFour:SetUpaProjectNumber . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 TaskFive:CreateaDetailedBudget. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Budget Template Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149 Account Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150 Transaction Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150 TaskSix:EnsureAdequateCashFlow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 Review the Proposal Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 AligntheProjectBudget,ActivityScheduleandOtherRequiredResources. . . . . . . . . . . . 152 RevisetheDIPBudget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 ClarifyWhoHasExpenditureAuthorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Plan for In-kind Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 USAID/Title II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .154 USDA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .154 CallForwards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
xviPROPACKIITABLEOFCONTENTS
Shipments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 Plan for Supplies and Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 ReviewtheCRSPurchasingManual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 MeetwiththePurchasingOfficer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 PurchaseOtherMaterialsandServices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 Plan for Payroll Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 Develop Project Agreements with Partners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
Section 4: Documenting the DIP Set Up or Revise PTS Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Related Reading
CD ROM • AIDSReliefPointofServiceManagementGuide • BudgetMaintenanceForm(BMF) • BudgetReconciliationForm(BRF) • BudgetTemplate • CapacityBuildingGuidance:GuidelinesandToolsforGettingtheMostfromyour TechnicalAssistance • CashForecastform
• ConsultantRequisitionform • CRSCostApplicationGuidance • CRS/NigeriaPartnerReferenceManual • CRSPerformanceManagementSystemGuidance • CRSPolicyonConsultants(IndependentContractors) • CRSPolicyonTravel • CRSPurchasingManual • DonorSourceWorksheet • Facilitator’sGuideandManager’sGuidetoEssentialFinance • FinanceEffortReportingpolicy • FinanceIn-kindContributionspolicy • FrequentlyUsedCRSAccountCodes • Guidelines:Consultantsvs.Employees • GuidelinesfortheDevelopmentofSmall-scaleRuralWaterSupplyand SanitationProjectsinEastAfrica • HowtoCompleteaJobDescription • MAGIPlanningandAssessmentUser’sGuide • MoUtemplate • NewDonorSource/Projectform(NDS/P) • OverseasOperationsAgreementPolicy • ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogue • PerformancePlanningandAssessmentform • ProjectAgreementtemplate • ProjectProposalGuidance • ProPackI • ProjectTrackingSystem(PTS)UserManual • RecruitmentandHiringOverview • USGResourceManagementRegulationsMatrix • WFPFieldLevelAgreement
PROPACKIITABLEOFCONTENTSxvii
Checklist Checklist5.1 QuestionsonOrganizationalStructureandStaffing. . . . . . . . . . . . . . . . . . . . . 132 Checklist5.2 GettingHelpfromyourHRManager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Checklist5.3 TipstoEnsureaFullandFairRecruitmentProcess. . . . . . . . . . . . . . . . . . . . . . 133 Checklist5.4 GuidanceonPreparingaConsultantSOW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Checklist5.5 ReviewingtheCapacityStrengtheningComponentsofYourProposal . . . . . . 141 Checklist5.6 TipsforCreatingDetailedBudgetsforUSGGrants. . . . . . . . . . . . . . . . . . . . . . 150 Checklist5.7 CostingFactorstoConsiderduringDIPBudgetReview. . . . . . . . . . . . . . . . . . 152 Checklist5.8 CRS’EthicalStandardsinPurchasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 Checklist5.9 KeyStepsinPurchasingProcessattheCountryProgramLevel. . . . . . . . . . . . 156 Checklist5.10 MainPointsofCRS’EffortReportingPolicy . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 Checklist5.11 GuidelinesforDevelopingProjectAgreements. . . . . . . . . . . . . . . . . . . . . . . . . . 160
Figures Figure5.1 PerformanceObjectivesandTimeManagement . . . . . . . . . . . . . . . . . . . . . . . . 139 Figure5.2 AligningtheActivityScheduleandtheBudget. . . . . . . . . . . . . . . . . . . . . . . . . . 152
Tables Table5.1 SequenceandStructureofaJobInterview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 Table5.2 CRS/EME’sThree-stageEmployeeOrientationProcess . . . . . . . . . . . . . . . . . . 137 Table5.3 ExamplesofCapacityAssessmentCategoriesandIndicators. . . . . . . . . . . . . . 142 Table5.4 BasicFinancialSystems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Table5.5 FinancialManagementInternalControls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 Table5.6 OverviewofEssentialBudgetPlanningandMonitoringTasks. . . . . . . . . . . . . 147 Table5.7 IssuestoReviewwithYourProcurementOfficerduringDetailed ImplementationPlanning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 Table5.8 CommonCausesofPayrollCostProblems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 Table5.9 TheDifferencebetweenanMoUandaProjectAgreement. . . . . . . . . . . . . . . . 159
CHAPTER VIPROJECT IMPLEMENTATION AND MONITORING 163
Section 1: Introduction Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 Implementation Defined—Art and Science . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 Implementation within the Project Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 CRS’ Role in Project Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
Section 2: Guidance for Capacity Strengthening Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 Principles of Adult Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169 The Three Steps of Capacity Strengthening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 StepOne:AssessandIdentifyNeedsandResources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 StepTwo:DeliverHigh-qualityActivities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 On-the-Job. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 Coaching,Mentoring,andProvidingandReceivingFeedback. . . . . . . . . . . . . 171 Short-termandTemporaryDutyAssignments. . . . . . . . . . . . . . . . . . . . . . . . . . 171 TechnicalAssistance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Awareness-raising and Peer Learning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
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FacilitatedDiscussions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 CommunityOrganization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 CommunitiesofPractice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 PeerLearning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 StudyVisits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 StepThree:Follow-up,MonitorandEvaluate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176Section 3: Project Monitoring and Reporting Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 WhyMonitor?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 WhatIsMonitored?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 WhoMonitors?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 HowDoesMonitoringAffectEvaluations?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 Monitoring Guidance and Tools for Project Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 MonitoringActivity-,Output-andIR-levelIndicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Activity-level Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Output-level Indicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 IR-level Indicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 CollectingMonitoringDataRelatedtoSOs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 Progress Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 ProgressReports:OrganizationalLearningandHonestReporting. . . . . . . . . . . . . . . . . . . . 187 ProgressReports:WhoAreTheyFor?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187 ProgressReports:HowOften?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 ProgressReports:WhoWritesThem?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 ProgressReports:AnAidtoDialogue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 ProgressReports:Quarterly,AnnualandFinal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 ProgressReportFormats—QuarterlyandAnnual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Quarterly Progress Report Format. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Annual Progress Report Format. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 Write,Share,andFiletheProgressReport. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 Field Visits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 DonorSiteVisits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 Project Review Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 PromoteAnalysis:Ask“Why?”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198 Tools for Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 IHDFramework. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 ForceFieldAnalysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 Monitor, Learn and Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
Section 4: Financial Monitoring and Reporting Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 ReviewingandApprovingExpenditures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202 HowFinancialInformationisCapturedbyCRS’AccountingSystems. . . . . . . . . . . . . . . . . 202 How to Monitor and Review Project Spending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 StepOne:MonitorPartnerSpending. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 StepTwo:ReviewtheDetails. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 StepThree:ReviewtheBudgetComparisonReport. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 StepFour:ExplainAnyVariances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 StepFive:TakeAppropriateAction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 Financial Reporting Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
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QuarterlyFinancialAnalysisReports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 DonorFinancialReports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205Section 5: Performance Management Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 Guidelines and Tools for Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 Coaching. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 GivingFeedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 ReceivingFeedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 Multi-rater Feedback Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 SolicitingFeedbackfromPartners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 ProvidingFeedbacktoPartners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 AnalyzingPerformanceProblems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 ResolvingPerformanceProblems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 With Supervised Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 With a Partner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 RewardsandRecognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Related Reading
CD ROM Resources • AccountsReceivablePolicy
• BudgetComparisonReport
• CapacityBuildingGuidance:GuidelinesandToolsforGettingthe MostfromyourTechnicalAssistance
• CRSCostApplicationGuidance
• CRSGuidelinesforEffectiveTraining
• DetailedTransactionReport
• FieldGuide1.2LearningConversations
• FieldTripReportTemplate
• FinancialProjection
• GuidelinesforthePreparationandUseofPerformanceIndicatorTrackingTables(PITT)
• KenyaBudgetStatusandAdvanceRequestform
• LearningNeedsandResourcesAssessmentsampletemplate
• MorningStar
• Multi-raterAssessment
• ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogue
• ProPackI
Checklists Checklist6.1 ProjectManagers’ResponsibilitiesDuringImplementation. . . . . . . . . . . . . . . 167 Checklist6.2 OrganizingHigh-qualityTechnicalAssistance. . . . . . . . . . . . . . . . . . . . . . . . . . 172 Checklist6.3 SampleEvaluationFormforTechnicalAssistance. . . . . . . . . . . . . . . . . . . . . . . 173 Checklist6.4 TipsforWritingProgressReports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 Checklist6.5 FieldVisitGuidance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196 Checklist6.6 PromotingAnalyticalThinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 Checklist6.7 Examplesof“Open”QuestionsforMonitoringandAnalyzing UnexpectedEvents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 Checklist6.8 YourAuthorizationofPartnerExpenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202 Checklist6.9 TwelveElementsNeededtoAttractandKeepTalentedEmployees.......... 207 Checklist6.10 CoachingDiscussionQuestions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 Checklist6.11 TheCRSMulti-raterQuestionnaire. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
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Figures Figure6.1 ProjectCycleandImplementation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 Figure6.2 ImplementationStageoftheProjectCycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 Figure6.3 LearningNeedsandResourcesAssessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 Figure6.4 IntegralHumanDevelopmentNetwork . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 Figure6.5 Implementation:Monitor,LearnandAct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 Figure6.6 FinancialInformationFlow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
Tables Table6.1 SelectedPrinciplesofEffectiveAdultLearning. . . . . . . . . . . . . . . . . . . . . . . . . . 169 Table6.2 ExamplesofCapacityStrengtheningActivities. . . . . . . . . . . . . . . . . . . . . . . . . . 171 Table6.3 MonitoringActivities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Table6.4 MonitoringOutputs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Table6.5 MonitoringIntermediateResults. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 Table6.6 AnOverviewoftheThreeTypesofCRSProgressReports. . . . . . . . . . . . . . . . 190 Table6.7 QuarterlyProgressReportFormat. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Table6.8 AnnualProgressReportFormat. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 Table6.9 ExampleofaQuarterlyReport—VietnamesewithDisabilitiesProject. . . . . . 193 Table6.10 TripReport—LINKSLearningCenter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 Table6.11 MoreInformationonEssentialBudgeting—FinancialMonitoringTasks. . . . 201 Table6.12 ProjectManagerChecklistforReviewingtheFinancialReport . . . . . . . . . . . . 204 Table6.13 GuidelinesforGivingFeedback. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 Table6.14 GuidelinesforReceivingFeedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 Table6.15 TheFourPartsoftheJointConflictManagementProcess . . . . . . . . . . . . . . . . 213
CHAPTER VIIPROJECT EVALUATION AND CLOSE-OUT 215
Section 1: Evaluation—Definitions and Types Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 Utilization-focused Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216 Evaluation Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 Evaluation Scope and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 Evaluation Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220 PeriodicEvaluations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220 Diagnostic Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .221 Learning Reviews/After Action Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .222 Real-time Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223 Mid-termEvaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 FinalEvaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226 Ex-postEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 Internalvs.ExternalEvaluations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
Section 2: Guidance on Utilization-focused Evaluations Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 Telescoping Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 Three Phases of an Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 PhaseOne:PlanningandPreparingforanEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 Gather Preliminary Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .232
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ReviewDonorRequirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 ReviewtheProjectProposalandM&EOperatingManual. . . . . . . . . . . . . . . . 233 GatherLessonsLearned. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 OrganizeProjectDocumentsandInformation . . . . . . . . . . . . . . . . . . . . . . . . . 233 Conduct an Evaluation Stakeholder Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .234 Manage Evaluation Anxiety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .235 Determine the Primary Purpose and Intended Uses of the Evaluation . . . . . . . . . . . . . .235 Identify Evaluation Team Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .236 Draft an Initial Evaluation SOW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237 Develop an Initial Work Plan and Logistics Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .238 Finalize the Evaluation SOW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .239 PhaseTwo:ImplementingandManaginganEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 Implement the Work Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .239 Analyze and Understand the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .240 Utilization-focused Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .241 EvaluationReportFormat. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 LessonsLearned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 SuccessandLearningStories. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 ReportWriting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244 Debriefing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .244 Evaluate the Evaluation! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .245 PhaseThree:UsinganEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245 Use Evaluation Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .246 UsingPeriodicorMid-termEvaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .246 Communicate Knowledge from the Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .247 Update the PTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .248
Section 3: Project Close-out Section Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 The Importance of Project Close-out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 Close-out Part A: Three Months before Project End-date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 StepOne:SetExpenseCut-offDate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 StepTwo:ReviewPlannedExpendituresandActivitiesforFinalMonths. . . . . . . . . . . . . . 252 StepThree:ReviewIncomeandExpenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 StepFour:SelectanAuditor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 StepFive:DetermineUseofProjectEquipment,SuppliesandCommodities. . . . . . . . . . . 253 StepSix:DiscussDeploymentofProjectStaff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 StepSeven:ReviewFulfillmentofReportingRequirements . . . . . . . . . . . . . . . . . . . . . . . . . 254 StepEight:MeetwithStakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 Close-out Part B: After the Project Ends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 StepOne:CompleteFinancialClosure........................................... 254 StepTwo:PreparetheFinalProjectReport. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 StepThree:EnsureAdministrativeClosureandStorageofImportantRecords. . . . . . . . . 256 StepFour:UpdatethePTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256 Related Reading
CD ROM Resources • CRSOne-yearTsunamiResponseEvaluationSOW
• CRSResignation/Terminationpolicy
• C-SAFEScopeofWork
• FieldOfficeRecordsManagementManualProceduresandGuidelines(Revised2002)
• HumanInterestStories:GuidelinesandToolsforEffectiveReportWriting
• OneHandCan’tClapByItself
• PreparingfortheEvaluation:GuidelinesandToolsforPre-evaluationPlanning
• ProPackI
• ProjectTrackingSystem(PTS)UserManual
• RecordsManagementpolicy
• SuccessandLearningStoryPackage:GuidelinesandToolsforWritingEffectiveProject ImpactReports
• Top10C-SAFEInitiativesinMonitoringandEvaluation
• WeeklyStatusReport
Checklists Checklist7.1 PrinciplesofUtilization-focusedEvaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 Checklist7.2 DocumentsCommonlyRequiredbyanEvaluationTeam. . . . . . . . . . . . . . . . . 233 Checklist7.3 QuestionsforanEvaluationStakeholderAnalysis. . . . . . . . . . . . . . . . . . . . . . . 235 Checklist7.4 WhattoIncludeinanEvaluationSOW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238 Checklist7.5 SampleDiagnosticStudyReportFormat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 Checklist7.6 ProjectClose-outGeneralIncomeandExpenditureReviewQuestions. . . . . . 252 Checklist7.7 KeyQuestionsfortheFinancialClosureofProjects. . . . . . . . . . . . . . . . . . . . . . 254
Figures Figure7.1 ProjectCycleandEvaluation......................................... 215 Figure7.2 Close-outwithintheProjectCycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Tables Table7.1 EvaluationStandards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 Table7.2 ThreePurposesofEvaluations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 Table7.3 SummaryofEvaluationTypes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220 Table7.4 HowtoManageaLearningReview/AfterActionReview. . . . . . . . . . . . . . . . . . 222 Table7.5 MTEObjectivesandRelatedQuestions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224 Table7.6 AdvantagesandDisadvantagesofExternalandInternalEvaluators. . . . . . . . . 229 Table7.7 ListofPersonnelCriticaltotheSuccessofanEvaluation. . . . . . . . . . . . . . . . . 237 Table7.8 FourStepstoAnalyzingEvaluationFindings. . . . . . . . . . . . . . . . . . . . . . . . . . . 241 Table7.9 GenericEvaluationReportFormat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 Table7.10 LiquidationProceduresAccordingtoFundingSources. . . . . . . . . . . . . . . . . . . 251 Table7.11 USGandUNHCRGuidelinesforDisposingofProject
Equipment,SuppliesandCommodities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 Table7.12 FinalProjectReportFormat. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 Table7.13 RecordsRetentionGuidance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
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FURTHER RESOURCES
Section 1: Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Section 2: Reference List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262
Section 3: Definition of Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
Section 4: List of CD ROM Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
Section 5: List of Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
Section 6: List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
Section 7: List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
CHAPTER I INTRODUCTION TO PROPACK II
TheProject Management and Implementation GuidanceisthesecondvolumeofProPack: the CRS Project Package.ThefirstvolumeofProPackisentitledProject Design and Proposal Guidance for CRS Project and Program Managers .�ProPackIfocusesontheinitialstagesoftheprojectcycle:conceptnotecreation,projectdesign,andproposaldevelopment.ProPackIIfocusesonprojectsthathavebeenapproved,funded,andaretobeimplemented,andincludesmanagementinformationrelevanttoallstagesoftheprojectcycle.
ThismanualisaresourcetohelpCatholicReliefServices(CRS)staffincreasethequalityandstandardizationoftheirprojectmanagementandimplementation.Itwaswritten to support the agency’s work with partners and communities and is intended for use in all CRS projects regardless of sector or donor .Somedonorsmayhavespecificformatsortools(evaluationguidelines,etc.)thatmustbeusedinconjunctionwithProPackII.
InChapterI,youwilldothefollowing: • furtherexaminethepurposeandscopeofthismanual;
• reviewCRS’keyGuidingPrinciplesforprojectmanagementandimplementation;and
• learnhowtouseandpromotethemanual.
PURPOSE OF THE MANUAL
ProPack II is designed to help CRS staff increase the quality and standardization of their project management and implementation .
Whatismeantbymanagementandimplementation?Theunderlyingideaofmanagement is a commitment to performance or achievement.Withinprojectmanagement,performancemayrefertotheproject’simpact(positivechangesinpeople’slives)aswellasimplementationeffectiveness,efficiency,impact,andsustainability.Implementation refersmorespecificallytotranslating plans into action,suchascarryingoutadetailedimplementationplan(DIP).
Old-fashioneddefinitionsofmanagementandimplementationcategorizedmanagersas“thinkers”andimplementersas“doers.”Thismadeimplementationseemlikenothingmoredifficultthanfollowingarecipewhen,infact,movingadesignorplanfromconcepttorealityiscomplexandrequiresdiscipline,judgment,andcreativity.
WithinCRS,mostprojectsareimplementedbypartnerswithagencysupport.CRSstaffmemberswhoaccompanypartnersinprojectmanagementarecalledprojectmanagersor,sometimes,programmanagersorheadsofprogramming.ThisisbecauseCRSstaffoftenmanageaportfoliooflinkedprojectsthatformalargerprogram.Thisprogrameffortcontributestoachievementoflong-termStrategicProgramPlans(SPPs).Forthepurposeofthismanual,CRSprogramandprojectmanagerswillallbereferredtoasprojectmanagerswiththeunderstandingthatactualtitleswithinCRSvary.
CRS project managers are accountable for the performance results of their projects.Assuch,theyaccompanypartners(inavarietyofwaysdependingonthecontext)duringallstagesoftheprojectcycle,includingprojectdesign,planning,implementation,evaluation,andclose-out.Skillfulaccompanimentofpartnersrequiresanessentialsetofknowledge,skills,andattitudesthatwillbedescribedinChapter II, Section 3, pp . 3�-59 . AmoredetaileddiscussionofmanagementandimplementationisalsoforthcominginChapter II, Section �, pp . �4-�6.
1ThefirstvolumeofProPackwillbereferredtoas“ProPackI”foreaseofreferencethroughoutthismanual.
PROPACKIICHAPTERI�
Why Is the Manual Necessary? CRSplacesspecialemphasisonrelationshipswithitsuniqueandworldwidepartnernetwork.
Withsuchadiverserangeofpartners,CRShasabroadbaseofknowledgeandskillsfromwhichtodraw.
Atthesametime,manyareasofprojectmanagementandimplementationpresentchallengesforCRSstaffandtheirpartners,anddifferencesinorganizationalculturemaycontributetomisunderstandingsandstrainedrelationships.CRSstaffoftenhavedifficultybalancingdonorandpartnerinterestsandexpectationsforprojectperformance.Inaddition,projectmanagementisabroadanddemandingjob:CRSprojectmanagersmustpossessarangeoftechnical,coachingandmentoringskills;mustensurethatmonitoringandevaluationsystemsgeneratevalidinformationthatisanalyzedandusedforprojectdecision-makingandimprovements;andareresponsibleforprovidingprogrammaticandfinancialsupporttotheirpartners.
Thesechallengesareamplifiedasprojectenvironmentsbecomemorecomplex.Today,CRS
projectsareimplementednotonlywithinbutacrosscountriesandregions.Otherprojectsarecentrallymanagedinheadquarters.Increasingly,projectsinvolvemulti-agencyconsortia,especiallythosefundedbytheU.S.Government(USG).Astheseprojectsarehighlycompetitivewithverylargebudgets,consortiaarrangementsallowCRSandotheraidorganizationstoleveragetheirrespectivecapacitiesandachievewidegeographicandsectorcoverage.Theneedforstrongprojectmanagementandimplementationknowledge,skillsandattitudesisevenmoreimportantunderthesecircumstances.
�PROPACKIICHAPTERI
ProPackIIprovidesaresourcethatbuildsonagencystrengthsandaddresseschallengesinprojectmanagementandimplementation.ItconsolidatesexistingCRS-generatedmaterials,andisenrichedbyreferencesfromthelargebodyofliteratureonitssubjectmatter.
What Is the Scope of the Manual? WhileProPackIIfocusesonmanagementandimplementation,staff need skills from a wide
variety of management disciplinesto manage projects and programs .CRS’identityasafaith-based,non-profitorganizationemphasizingmutualcapacitystrengtheningandrelationshipswithpartnersrequiresadistinctsetofmanagementskills.CRSstaffhiredforprojectmanagementpositionsaretypicallyrequiredtohaveexperienceandamixofskillsthatdrawfromthefollowing:
• partner accompaniment,whichincludesworkingwithpartnersonplanning,scheduling,monitoringandevaluationwithinaspecificproject;
• general managementfortasksthatincludeplanning,budgeting,organizing,staffing,monitoringandevaluationbutthatmaygobeyondthescopeofonespecificproject;
• leadership qualities and skills,suchasaligningpeopleandorganizationswithgoalsandvisions,team-building,performancemanagement,negotiation,decision-making,etc.;and
• facilitation, coaching, and mentoringskillssuchasactivelistening,communicating,motivating,problem-solving,consensus-building,managingconflictandprovidingeffectivefeedback.
Table1.1:TheDifferencebetweenaProjectandaProgram
ProjectAprojectisasetofplanned,interrelatedactionsthatachievedefinedobjectiveswithinagivenbudgetandaspecifiedperiodoftime.
ProgramAprogramisagroupofprojectsmanagedinacoordinatedwaythatprovidesbenefitsorachievesobjectivesthatwouldnotbepossiblewithanindividualproject.
Figure1.1:CRSProjectManagement
FacilitationCoaching
Mentoring
PartnerAccompaniment
GeneralManagement
Leadership
CRSProject
Management
PROPACKIICHAPTERI�
ProPack II and the Project Cycle
ProPackIintroducedtheCRSProjectCycle,butideaswereaddedasProPackIIwasresearchedandwritten.AnupdatedCRSProjectCycleisshowninFigure1.2.
Figure1.2:CRSProjectCycle
Initiate Encourage“LearningBefore” “LearningDuring”
Design project Submit
Write proposal concept
note andand secure
fundingsecure
supportDetailed
Implementation Planning
PROJECTUndertake ACT MONITOR
assesment MANAGEMENT IMPLEMENT
PROJECT
LEARNComplete
final Complete evaluation midterm
and close-out evaluationACT MONITORproject IMPLEMENT
PROJECT
Promote Continue“LearningAfter” LEARN “LearningDuring”
4PROPACKIICHAPTERI
ProPackIcoveredtheprojectdesignandproposaldevelopmentstagesoftheprojectcycle.ProPackIIpicksupwherethefirstmanualleftoffandprovidesguidanceforthenextstagesofanapprovedandfundedproject.Itiscomposedofsevenchaptersandafurtherresourcessectionasfollows:Chapter I,anintroductiontothemanual;Chapter II,whichcontainsinformationonprojectmanagementusefulforanystageoftheprojectcycle;Chapters III–V, whichprovidein-depthguidanceondetailedimplementationplanning;Chapter VI, whichdealswithprojectimplementationandmonitoring;Chapter VII, whichwalksyouthrough the finalstageof evaluatingandclosing-outyourproject;andaFurther ResourcessectionwithhelpfulitemslikeaSectionIndex,aReferenceList,DefinitionsofKeyTerms,andlistsofitemswithinthemanual(CDROMresources,checklists,figuresandtables).
AsportrayedbytheCRSProjectCycle,referencestoorganizationallearningarewoventhroughoutbothProPackIandII.InProPackII,topics,concepts,andideasarepresentedinawaythatpromotesthree cross-cutting themes: (1) organizational learning, (2) deepening of partner relationships and (3) mutual capacity strengthening .
Reflection Opportunity 1. How does the CRS Project Cycle diagram in Figure 1.2 reflect theHowdoestheCRSProjectCyclediagraminFigure1.2reflecttherealityofhowyoumanageandimplementprojects?
2. What is the same? What would you change, and why?Whatisthesame?Whatwouldyouchange,andwhy?
What ProPack II is Not
Themanualdoesnotincludeanexhaustive,in-depthsetoftopicsonmanagement.SomeCRSstaffhaveattendedleadershiptrainingworkshopsthatincludethefullsetofthesetopics.SelectedmaterialsfromtheseworkshopsareincludedinChapter II, Section 3 pp . 3�-59 .
Whilemonitoringandevaluation(astheyrelatetoprojectmanagementandimplementation)areaddressed,themanualshouldnotbeseenascomprehensiveguidanceinallaspectsofthisarea.Forexample,ProPackIIdoesnotincludedetailedguidanceonbaselinesurveysamplingorotherdatagatheringtechniques.ReferenceListsofotherresourcesandguidanceonthesemoretechnicalmonitoringandevaluationtopicsareprovidedinrelevantChapters.
ProPackIIdoesnotreplaceotherCRSfinanceoradministrativematerials,suchasagencypoliciesintheareasofhumanresourcesandprocurement,orguidelinesforspecificareas,suchastheCRSPerformanceManagementSystemandCostApplicationGuidance.StaffshouldregularlyconsultOverseasSupportDepartment(OSD),andManagementPolicyandInformationUnit(MPI)portionsoftheCRSIntranetforcurrentpolicy,guidanceandexamplesofbestpractices.
Lastly,ProPackIIisnotadetailedhow-tomanualoncapacitystrengthening.Whilecapacityaffectsallaspectsoftheprojectcycle,thebreadthandimportanceofthistopicrequiresseparateguidance.ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogueisanexcellentresourceformoreinformation;othersarelistedinrelevantChapters.
ProPackIIwilldirectyoutoadditionalinformationrelevanttothesubjectsathandthroughaRelated ReadingsectionfoundattheendofmostChapters.ManyoftheseitemsarehyperlinkedtotheProPackIICDROM(SeetheUser Guidesectioninthischapteronpp . 9-�0formoreinformationonhyperlinkstotheCDROM)ortheCRSIntranet.AcompleteReferenceListisincludedintheFurtherResourcessectionattheendofthemanual.
Who Are the Intended Users? Theprimary users of this manual are CRS project managers who work with partnersto
manageandimplementprojects.However,itmayalsobeusedbypartnerprojectmanagerswhohavetraining,experience,andskillwithusingsimilarmanuals.Again,toavoidconfusion,thismanualwillrefertogenericprojectmanagerswiththeunderstandingthatactualtitleswithinCRSanditspartnerorganizationsvary.
SecondaryusersareCRSstaffwhoprovidesupporttoprojectmanagers.TheseincludeCountryRepresentatives,seniormanagers,regionalandheadquarterstechnicaladvisors,andfinanceandadministrationmanagers.Othersecondaryusersincludestafffrominternational,donor,academic,non-governmentalorotherorganizationswhofindthemanualrelevanttotheirworkorteaching.
WhilethemanualisforCRSprojectmanagers,itreflectsthespecialvaluetheagencyplacesonitspartnerships.CRS’partnershavekeyrolesandresponsibilitiesinprojectimplementation.ProPackIIsupportstheagency’sprojectmanagerstostrengthentheirrelationshipswithpartnersinprojectimplementationactivities.
PROPACKIICHAPTERI�
PROPACK II AND THE CRS STRATEGIC FRAMEWORK
AsstatedinProPackI,projectscanbeseenasthebuildingblocksforCRS’long-termvision,mission,andgoalsthataredescribedintheStrategicFramework.Projectsareguidedbytheagency’scorepurpose—therealizationofhumandignity—andbythespecialvalueitplacesonengaginginrelationshipsthatachievethefollowing:
• alleviatehumansuffering;
• promoteintegralhumandevelopment;
• changestructuresthatunderminejusticeandpeacelocally,nationallyand internationally;and
• createtherealizationandexpressionofsolidarity.
CRS project managers must keep one eye on the long-term vision, mission, and goals while managing achievement of shorter-term project objectives .Whyisthissoimportant?AccordingtomanagementguruPeterDrucker(1992),achievinganorganization’slong-termmissionrequiresshort-termeffortsand,veryoften,short-termresults.Atthesametime,projectmanagerscontinuallyhavetoaskiftheiractionsareleadingthemclosertoorfurtherawayfromlong-termgoals.OneofthekeytasksofaCRSprojectmanageristobalancethelonger-range,bigpicturewiththeday-to-daydetailsofmanagementandimplementation.
CRS’ Guiding Principles provide the basic values that shape the agency’s work, relationships, management decisions and actions, and workplace culture .Theyareasfollows:DignityandEqualityoftheHumanPerson,RightsandResponsibilities,SocialNatureofHumanity,TheCommonGood,Subsidiarity,Solidarity,OptionforthePoorand Stewardship.OfparticularimportancetothismanualarethetwoGuidingPrinciplesdefinedinTable1.2.
Table1.2:GuidingPrinciplesforCRSProjectManagementandImplementation
Subsidiarity Ahigherlevelofgovernment—ororganization—shouldnotperformanyfunctionordutythatcanbehandledmoreeffectivelyatalowerlevelbypeoplewhoareclosertotheproblemandhaveabetterunderstandingoftheissue.
StewardshipThereisinherentintegritytoallofcreation,anditrequirescarefulstewardshipofallofourresources,ensuringthatweuseanddistributethemjustlyandequitably,aswellasplanningforfuturegenerations.
�PROPACKIICHAPTERI
SubsidiarityisexpressedinthewayCRSoperatesandinhowitmanagesandimplementsprojects.Throughitspartners,CRSisassuredofworkingclosetothepoorandmarginalized.Projectmanagementskillsandattitudessuchaseffectivedelegation,partnershipandestablishingtrustarepracticalmanifestationsofthisprinciple.
StewardshipisreflectedthroughCRS’anditspartners’accountabilitytothepeopletheyserveandtodonorsforachievingresultsthroughtheprojects.Taskssuchasdetailedplanning,carefulbudgeting,partneraccompanimentandcontinualmonitoringareconcreteexamplesofstewardship.
HOW TO USE THIS MANUAL
CRSprojecttypesvarywidely,ascanbeseeninTable1.3.
Table1.3:VarietyofProjectTypesinOneCRSCountryProgram
Simple Complex More Complex
Privatefundstosupportconstructionofaschoolinadiocese.
AUSG-funded,five-year,integratedfoodaidprogramreaching500,000people.
Memberofamulti-countryHumanImmuno-deficiencyVirus/AcquiredImmuneDeficiencySyndrome(HIV&AIDS)consortiaprogramprovidinganti-retroviraltherapythatiscentrallymanagedinheadquarters.
Telescoping Project ManagementHowcanoneprojectmanagementandimplementationmanualapplytoallofthesesituations?Telescoping,aconceptintroducedinProPackI,canhelp.
PROPACKIICHAPTERI�
A telescope can be adjusted in length,yetalltheusefulfeaturesoftheinstrument,suchasthelenses,remain.It is the responsibility of the person using the telescope to decide how to shorten, lengthen, or otherwise adjust it to get the best results .Table1.4showshowselectedprojectstagesandstepsaretelescopedindifferentcontexts.
Table1.4:TelescopingProjectManagementandImplementation
Stages/Steps Contrasting Illustrations of Telescoping
Simpler More Complex
Detailed Implementation Planning
Asix-monthprojectsupportedbyCRStrainsclinicworkersanddistributesbed-nets.Inthisproject,detailed implementation planning is completed ina two-day workshopattendedbyclinicstaff,CRS,andthedonorrepresentative.
Afive-year,UnitedStatesAgencyforInternationalDevelopment(USAID)-fundedChildSurvivalprojectproposalrequires ayear-long detailed implementation planning processthatincludesastakeholderlaunchworkshop,hiringofkeyprojectstaff,finalizingagreements,conductingafurtherassessmentandabaselinesurvey,refiningprojectstrategies,anddevelopingamonitoringandevaluationsystem.USAIDprovidesspecificguidelinesfortheDIPdocument.
Mid-term Evaluation
Apartnerimplementingatwo-year,CRS-supported,privatelyfundedgirls’educationprojectconductsamid-termevaluation.Planning the evaluation scope of work (SOW) is done in a few meetingsheldwithin aweek’s time.TheevaluationteamincludespartnerandCRSstaff;theregionaltechnicaladvisorforeducationisinvitedtoprovideanoutsideperspective.Thisteamconducts field visits using Participatory Rural Appraisal (PRA) methods . They review monitoring data during a brief working meeting .Afteranalysis,theteamjointlyagreesonrecommendationstoimproveprojectimplementationandmakesanactionplan.
Anintegrated,five-year,food-aid-supportedprogramisrequiredtohaveamid-termevaluationbythedonoraspertheAwardAgreement.CRSstaffandpartnersbegin planning for the evaluation six months before it is conducted.Anoutsideevaluatorishired,andtheevaluationSOWincludesplanstoupdateabaselinesurveyrequiringshort-termdatacollectorsandsupervisors.The survey, field visits, and interviews for the evaluation take a month to conduct . Afterwards, the team works for a full week to refine and analyze findings,consultwithstakeholdersandwrite-uprecommendationsinanevaluationreport.Reportfindingsandrecommendationsarepresentedtoawidergroupofprojectstakeholdersinaformallessonslearnedworkshop.
The Art and Science of Project Management Theprojectmanagersdescribedaboveappliedgoodpracticesofprojectmanagementand
implementation.TheypreparedDetailedImplementationPlans(DIPs)toensuresmoothimplementationandconductedmid-termevaluationstoimproveprojectperformanceandachieveStrategicObjectives(SOs).Thesepracticesarethescienceofprojectmanagementandimplementation.
Yet,theresourcesinvested,toolsandmethodsapplied,andsupportrequiredofCRSprojectmanagersarequitedifferentineachsituation.Therearenosimpleformulaeforthemostappropriatewaystoconducteachstageoftheprojectcycle.Youmustcontinuallyuseyourbestjudgment,pastexperienceandtheadviceofotherstodeterminehowbesttosupportpartnersduringvariousphasesoftheproject.Thisistheartofprojectmanagementandimplementation.
�PROPACKIICHAPTERI
Navigating ProPack II Itisachallengetocapturethedynamic,iterative,orback-and-forthaspectsofreal-lifeproject
implementationinamanualthatpresentschapters,sections,andstepsinalinearway.Youshouldviewthechaptersandsectionsasawayofprovidingnewinformationandmaterialinbite-sizeunits.
User Guide
ProPackIIcontainsavastamountofeducationalresourcesinadditiontoitsmaincontent.Followingisaguidetohelpyoubetterunderstandandusethemanual’sselectionofuniquelearningtools.
Checklists,TablesandFigures Importantinformationisincludedinchecklists,tablesandfigures.Thechecklists and
tables containtips,questions,guidelines,furtherdetails,andotherinformationthatcanhelpyouunderstandacertainpointorcompleteacertaintask.Thisinformationisalsoimmediatelyusefultohelpprogrammanagershandletheirwide-rangingday-to-dayresponsibilities.Figuresaredesignedtogiveyouavisualrepresentationofsomeparticularconcept.
Checklistsincludeitemssuchas:ManagingaDifficultTeamMember,TipsonManagingaBaselineSurvey,HowtoScheduleYourTime,andWhattoIncludeinanEvaluationSOW.Tablesincludeawidevarietyoftopicssuchas:FivemajorcausesofPoorMeetings,TheDifferencebetweenanMOUandaProjectAgreement,andQuarterlyProgressReportFormat.ExamplesoffiguresareCRS’ManagementQualityPyramidandtheCRSProjectCycle.
All of the topics captured in the checklists, figures and tables are listed by chapter in the Detailed Table of Contents at the beginning of ProPack II . The Further Resources section at the end of the manual has the complete list of checklists, figures and tables . SeeFurtherResources,Sections5,6and7.
CDROMResources OneofthehighlightsofProPackIIisitsreleaseonCDROM.Inadditiontoproviding
thecompletecontentsofthemanualelectronically,textreferencestoselectedCRSforms,documents,manuals,andotherinformationwillalso“link”tocopiesofthematerialontheProPackIICDROM.Thiswillmakeiteasierforpartnersandstaffresidinginlocationswithlimitedorsporadicinternetaccesstoreviewthenumerousdocumentsoftencitedinthetextasresourcesforfurtherresearch.
TextreferencestodocumentsavailableontheProPackIICDROMwillbeidentifiedbythegraphicabove.Theappropriatetext(e.g.,thedocument’sname)willalsoappearinblue,underlinedtypefaceontheelectroniccopy.Thesedocumentsareoccasionallyupdatedsoyoumightmakesureyouhavethefinalversion.(SeetheFurtherResourcessectionattheendofthemanualforacompletelistofthematerialsincludedontheCDROM.IndividualchapterlistsarepresentedintheDetailedTableofContents.)
Reflection Opportunity Criticallyreflectingonyourownprojectmanagementandimplementationexperienceisasimportantaslearningthetopicspresentedinthismanual:Yourexperiencesarerichandreflectmanyculturalcontexts.Throughoutthemanual,youwillfindReflectionOpportunityquestionstohelpyouexplorehowthecontentrelatestoyourownknowledgeandexperiences,andtohelpyoubuildtheskillsneededtoapplytheconcepts,toolsandtechniquesyouarelearning.
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FromTheorytoPractice: ThemajorityofthetextboxesinProPackIIaredevotedtousingCRSandpartnerstaffexperiences
toillustratethemanual’scontent.Theyprovidereal-lifeexamplesofthesuccessesandchallengesofmanagingandimplementingprojectsinadynamic,globalenvironment,andaresometimespairedwithReflectionOpportunityquestionsfordeeperanalysis.
ThinkAboutIt… Thesetextboxescontainadditionalinformationthatyoushouldconsideras
youmoveforwardwithprojectplanningandimplementation.
Don’t Forget! ThesetextboxescontainreferencestootherProPackIorIIcontentasa
supplementtotheinformationcurrentlybeingcovered.Theyserveasquick,visualremindersofimportantmaterialpreviouslydiscussed.
Inadditiontothetoolsdescribedabove,ProPackIIincludesanumberofIllustrations tohelpfurtherdescribetheinformationinthemanual.
Using ProPack II
Goodprojectdesign,management,andimplementationguidanceandmaterialsalonedonotimproveprojects:Theyaresimplytoolsthatcanhelpstaffincreaseknowledgeandskills.OtherfactorsareimportantinhelpingCRSstaffuseProPackIIeffectivelyandappropriately,andforfosteringpositiveattitudesandpracticesaroundprojectmanagement.
Giventhelinksbetweenprojectmanagement,generalmanagement,andleadership,itisclearthatseniormanagersinfluencethepracticesandbehaviorsofthosetheysuperviseinthewaytheymodelknowledge,skills,andattitudes.Experienceshowsthatemployeesusuallydrawfromtheirexperienceofbeingmanagedintheirownmanagementpractice,evenwhenthatcontradictsthepracticesandbehaviorspromotedinstate-of-the-artmanagementtraining.
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Rolling Out the Manual: ProPack II as a Reference Guide
StaffshouldbecoachedandencouragedtouseProPackIIintheirdailywork.Giventhepracticalnatureofthemanual,itisbestseenasareferenceguide.First,likeProPackI,allprojectmanagersshouldhavetheirowncopy.Second,aspartoftheirorientation,allprojectmanagersshouldreviewitscontents.Third,varioussectionscanbestudiedanddiscussedindetailwhenneeded.
The best way to learn ProPack II is to use it during project implementation . Forexample,wellinadvanceofameetingwithpartnerstodeveloptheDIP,readthatpartofthemanualanddiscussitwithyourcolleaguesfirst;then,referbacktoittoguideyouractivitiesthroughthedetailedimplementationplanningprocess.
FromTheorytoPractice:UsingProPackIIwithPartners
VinayaregularlyconsultsProPackIIinherworkwithpartners.Sheobservedthatonewashavingdifficultysubmittingprogressreportsontime,andthattheylackedstronganalysis.Vinayaplannedaworkingvisittothepartnerjustbeforethenextprogressreportwasdue.SheandthepartnerreviewedselectedpagesfromProPackIIonprogressreportsandansweredsomeoftheReflectionOpportunityquestionstogether.Shethenaccompaniedthepartneronaprojectsitevisittoconsultwithcommunitymembers.Afterwards,theystudiedmonitoringandevaluationinformationfromtheprojectandjointlyproducedaprogressreport.Asaresultofthisvisit,thepartner’snextreportwasontimeandcontainedmoreusefulanalyticalinformation.
Inadditiontousingthemanualwithpartners,thereareotherwaystolearnfromProPackII,includingthefollowing:on-linetrainingusingBreeze;useofCDROMs;piggy-backingonothertrainingevents;studyingthemanualtogetherwithcolleaguesinmonthlyreadingandreflectionsessions;andusingittocoachandmentorprojectmanagers.Trainingworkshopsmayalsobeappropriate,buttheyareexpensive.
Reflection Opportunity 1. Write down ways you have used ProPack I or other CRS manualsWritedownwaysyouhaveusedProPackIorotherCRSmanualsoutsideofaformaltrainingworkshop.
2. Using this list and what is described above, list the mostUsingthislistandwhatisdescribedabove,listthemostappropriatewaysyoucanbetrained,coached,orencouragedtouseProPackIIinyourwork.Pickoneandtryitoutonaprojectmanagementandimplementationtopicthatinterestsyou.
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INTRODUCTION TO CHAPTER II
Chapter IIofProPackIIfocusesonProject Management.Itincludesthreesections.
Section1 FoundationsofProjectManagement Section2 ProjectManagementandPartnerships Section3 EssentialKnowledge,SkillsandAttitudesforProjectManagers
Section 1 providesanoverviewofprojectmanagementtheory,modelsandprinciplesasthey relatetoCRSpractices.
Section 2 reviewsCRSpartnershipprinciplesinthecontextofprojectmanagementand implementation.
Section 3 containsinformationaboutessentialknowledge,skillsandattitudesrequiredofCRSprojectmanagersduringanystageoftheprojectcycle,butespeciallyimportantduringprojectimplementation.
Youwillseethatthesethreesectionscontainmoregeneral guidanceuseful for every stage of the project cycle,includingdesign,implementation,monitoringandevaluation.Theyrefertoselectedmanagementtheories,modelsandprinciples consideredimportanttoprojectmanagementandimplementation.
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CHAPTER IIPROJECT MANAGEMENT: THEORIES, MODELS AND ESSENTIAL SKILLS FOR MANAGERS
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SECTION 1FOUNDATIONS OF PROJECT MANAGEMENT
SECTION OVERVIEW ProPackIIaimstobeapracticalmanual.Sowhyincludethissectiononmanagementtheory?
First,most CRS and partner project managers learn management on the job. This practicalmostCRSandpartnerprojectmanagerslearnmanagementonthejob.Thispracticalexperiencecanbeconsiderablyenrichedifunderpinnedbymanagementtheory,models,andprinciples.KurtLewin(whoseresearchhasinfluencedorganizationaldevelopment)said,“Nothingissopracticalasagoodtheory(Vella2002)!”
Second,thissectionintendstohelpprojectmanagerswadethroughthefloodofavailableinformationandbooksonmanagementtheoryandmodels.Magretta(2002)wrotethatdespitetheseaofwordsonmanagement,mostpeoplearemoreconfusedthaneveraboutwhatmanagementmeans.
Third,thissectionwillrelatemanagementtheoriesandmodelstotheuniqueCRSmulti-culturalcontext.OneCRSprojectmanagerwhoattemptedtostudymanagementwasdiscouragedthatmuchofwhathereaddidnotseemrelevant—itpertainedmostlytoNorthAmericanbusinesssettings.
Tosummarize,thissectionwillshowhowCRS’managementqualitystandards,industrymanagementtheories,models,andpracticesconvergewithCRS’workacrosscountriesandcultures.TheseideaswillhelpCRSprojectmanagerstoexaminemorecriticallytheirownmanagementpractices.TheseideasalsoprovideafoundationforSections2and3inthischapter,whichdiscusstheuniqueskillsneededforprojectmanagementwhenworkingacrossculturesandwithpartners.
InSection1,youwilldothefollowing:
• reviewdefinitionsandkeyideasofmanagementandleadership,andlearnhowtheyrelatetoimplementation;
• examineCRS’managementqualitystandards;
• reviewrelevanttheoriesandmodelsfromtheliteratureonmanagementandleadership;
• reflectonthesetheoriesinlightofCRS’cross-culturalmanagementpractices;and
• criticallycompareyourprojectmanagementandimplementationexperiencetomanagementtheories,modelsandpractices.
DEFINITIONS: MANAGEMENT, LEADERSHIP AND IMPLEMENTATION
Management Magretta(2002)statesthatnoneoftheimportantinnovationsofthepastcenturyranging
fromantibioticstocomputerscouldhavetakenholdsorapidlyorspreadsowidelywithoutthedisciplineofmanagement,theaccumulatingbodyofthoughtandpracticethatmakesorganizationswork.Whilethehumanabilitytomanage(toorganizepurposefully)isold,thedisciplineofmanagementisnew.
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The underlying idea of the discipline of management isoptimizing performance.Performancehastodowithdefiningsuccess.Dependingonthenatureofanorganization,thismaybedefinedbyprofitability(foracorporation)orbytransformedsocieties(foranon-profit)(Magretta2002).Withinprojectmanagement,performanceusuallyreferstoqualityintermsofimpact(positivechangesinpeople’slives)andimplementationeffectiveness,efficiency,impact,andsustainability(GuijtandWoodhill2002).
Management is the messy business of mobilizing organizations and people to perform .Itinvolvesunderstandingandbuildingonstrengthsofstaffandorganizations.Correctlyinterpreted,managementisaliberalart—meaningthatitdrawsfreelyfromallthedisciplinesthathelpusmakesenseofourselvesandourworld.Thatmaybewhyitissoworthwhilebutalsosohardtodowell(Magretta2002).
Inaddition,managersininternationaldevelopmentandrelieforganizationsfacespecialchallenges;theymustalsomanagerelationshipswithdiversestakeholdersfrommultipleculturesundersometimesextremeenvironmentaluncertaintyandconstraints(BryantandWhite1982).
BuckinghamandCoffin’s(1999)researchon“whatgreatmanagersdo”showedthatgreatmanagersarecatalysts withprimaryresponsibilityformanagingpeople .Great managers must do the following four tasks well:
1. select people for their talents and because they are the right fit for a particular job;selectpeoplefortheirtalentsandbecausetheyaretherightfitforaparticularjob; 2. clearly define expectations and outcomes (but let people figure out how to achieve these);clearlydefineexpectationsandoutcomes(butletpeoplefigureouthowtoachievethese); 3. give people the tools and resources to do their job; andgivepeoplethetoolsandresourcestodotheirjob;and 4. focus on strengths rather than on fixing weaknesses.focusonstrengthsratherthanonfixingweaknesses.
Leadership Obviously,CRSprojectmanagersmanageprojects!ButareviewofCRSprojectmanagerjob
descriptionsshowstheydomore:Projectmanagersarealsocalledtolead.Whatdothesetermsmeanandhowaretheyrelated?
Somewritersviewleadershipandmanagement astwodistinctandcomplementarysystemsofaction.Leaders cope with change,whilemanagerscopewithorganizationalcomplexity.Leaders innovate, develop, and motivate people; they inspire trust, establish broad directions, and maintain a long-term view,whilemanagersplan,budget,organize,staff,administer,putinplacesystemsandcontrols,monitorandproblem-solve,andfocusonshort-termobjectives.Bothleadershipandmanagementarenecessaryforsuccess(Bennis1998;Kotter1990).
Reflection Opportunity 1. Whichoftheabovedefinitionsandideasofmanagementandleadershiparemostrelevanttoyouasaprojectmanager,andwhy?
Implementation Translating plans into performance is called implementation .Someusethetermexecution .
Whileimplementationmayseemlikenothingmorethanfollowingarecipeorcarryingoutasetoforders,infactitrequiresmuchdiscipline,judgmentandcreativity.MovingaprojectdesignorDIPfromconcepttorealityiscomplex(Magretta2002).
Itmayseemthatmanagementandimplementationarelinkedratherthanseparateideas.Thisisbecausepeoplewhoimplementare,infact,managingaprocessandanumberofimportantresources.BossidyandCharan(2002)defineimplementationasasystematicprocessofrigorouslydiscussingwho,what,howandwhen;constantlyquestioning;activelyfollowingup;andensuringaccountability.
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Effectiveimplementationrequiresthattheprojectdesignislinkedtoorganizationalsystems,structuresandthepeoplewhoaregoingtoimplementit.Theseorganizationalstructuresmayfacilitateprojectimplementationeffectivenessandefficiency—orcreatefrictionsthatsaptheenergyofprojectimplementers!
BossidyandCharanassertthatmanagerscannotremainremovedfromimplementationbutmustbedeeplyengagedintheprocess.Thisisnotmicro-managing;insteadthemanager plays a role as a coach.Acoachiseffectivebecausesheisconstantlyobservingplayersindividuallyandcollectively.Successfulimplementationrequiresamanagerto(1)promotedialogue,(2)findrealisticsolutionstoemergingproblems,(3)focusonconstantimprovementand(4)payattentiontoselecting,developingandappraisingpeople,whichisthefoundationofexcellentimplementation(BossidyandCharan2002).
Reflection Opportunity 1. CRSsupportspartnerstodesign,implement,monitorandevaluateprojects.Inyoursituation,howengagedshouldCRSprojectmanagersbeinprojectimplementation,andwhen?
CRS AND MANAGEMENT QUALITY
ThefundamentalimportanceofmanagementwithinCRSisillustratedbytheagency’s
managementqualityvisionstatement:Management Quality creates the environment of excellence to achieve CRS’ mission . CRS’managementvaluesandbeliefsarelistedinTable2.1.
Table2.1:CRSManagementValuesandBeliefs
• Allstaffarerecruited,oriented,andcoachedbasedontheneedforexcellence,diversity,andcommitmenttotheCRSmissionandvision.
• Managementactionsanddecisionsupholdtheagency’svalues.
• CRSrecognizesandvaluesleaderswhoanticipateandmanagechange,promoteinnovation,takeresponsibility,involveandmotivateothers,andcommunicateaclearvisionofthefuture.
• CRSiscommittedtopromotingandretainingwomeninpositionsofauthorityandanenablingenvironmentwherethey,aswellasallstaff,cansucceed.
• CRSrecognizesthathigh-qualitymanagementrequiresadistinctsetofcompetenciesandinveststhenecessaryresourcestocreateandsustainthem.
WithinCRS,ManagementQualityandProgramQualityareinterrelated.ProgramQualityStandardsexistthathelpdefinebestpracticesforprojectstrategies.ThesearesummarizedbystatementsofprogrammaticexcellenceinCRS’corecompetenciesandcross-cuttingthemes.CRS’ManagementQualityStandardsaresummarizedbytheInternalControlFramework,orManagementQualityPyramid,showninFigure2.1.
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Figure2.1:CRS’ManagementQualityPyramid
CultureandContext
GoalsandObstacles
PoliciesandProcedures
Evaluation
Syst
ems
Comm
unicationResources
Information
ControlActivities
PlanningandRiskAssesment
RewardsandRecognition
SkillsandKnowledgeCommunicationsandRelationships
TeamEnvironmentandResponsibilities
ValuesandBeliefs
SettingTeamObjectives
MonitoringLearningandManagingChange
AdaptedfromtheAmericanAuditAssociation,thepyramidportraystheneedtothinkdeeplyaboutunderlyingandrelatedfactorsthatinfluencemanagementpractice.Inthepast,auditstypicallyfocusedonthemoreobviouscomplianceissuesfoundatthetoplevelsofthepyramid.Theseinclude“Evaluation”(howinternalcontrolsystemsaremonitoredandevaluated)and“PoliciesandProcedures”(whichhelpensuremanagementdirectioniscarriedout).
Experiencehasshown,however, that problems uncovered at these top levels often relate to root causes or issues portrayed by the lower levels of the pyramid.“GoalsandObstacles”referstotheidentification,assessment,andmanagementofrisksfromexternalandinternalsourcesthatmayaffecthowobjectivesare—orarenot—achieved.Thebaseofthepyramid,“CultureandContext,”reflectsorganizationalculture.Broadlydefined,thisconceptencompassesthefollowing:
• ethicalvaluesandcompetenceoftheorganization’speople;
• managementphilosophyandoperatingstyle;
• themannerinwhichmanagementassignsauthorityandresponsibility;and
• themannerinwhichmanagementorganizesanddevelopspeople.
Managementandprogramqualityconcernsarealsointerrelatedattheprojectlevel.Forexample,CRS’FinancialManagementStrategycallsforfinancialstafftobefullyintegratedwithinprogramandprojectplanning,implementation,andmanagement.Allstaff,includingprojectmanagers,areaccountableforstrongfinancialmanagement,includingfinancialreporting,budgetmanagement,strengtheningpartners’financialmanagementcapacities,andotherfinancialperformanceareas.
Measuring and Assessing Management Quality How does CRS measure and monitor management quality?HowdoweknowifCRS’
performancemeetsmanagementstandards?Theagencymeasuresmanagementandprogramqualityinmanyways.
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CountryProgramsself-assesstheirmanagementstrengthsandweaknessesthroughregularuseoftheManagement Quality Assessment Tool(MQAT).MQATresultsareoftenusedalongsideProgram Quality Assessment(PQA)resultstorevealstrengthsandweaknesseswhenCountryProgramsdevelopnewSPPs.CRS’InternalAuditDepartmentconductsauditseverytwotothreeyearswithinCountryProgramsandheadquartersdepartments.Thisprocessensuresthattheyhavethefollowing:
• effectiveandefficientoperations;
• reliablefinancialreporting;and
• compliancewithapplicablelawsandregulations.
AcombinationProgramandManagementQualityself-assessmenttooldevelopedwithinCRSishighlightedinthe“FromTheorytoPractice”storyboxonGoldStar.
FromTheorytoPractice:GoldStar—ACRSJointProgramandManagementQualityAssessmentTool
GoldStarisanadaptedversionofaprogramandmanagementqualityassessmenttoolthatwasdevelopedbyCRS/SouthAsiaforuseinIndiaandelsewhere.Itisafive-dayprocessthatuses“idealscenarios”orstandardstomeasureperformancestrengthsandareasforimprovement,andtolearnimportantlessons.Theassessmentinformationistriangulatedthroughobservations,documentreview,andinterviewsdonebyateam.
Programandmanagementareasarestudied,includingpartnershipqualityandstakeholdermanagement;strategicplanningprocessesandtheplanitself;programdesign,proposaldevelopment,andimplementationquality;programevaluationandmonitoring;andprogramstaffing.Programandmanagementareasthatneedstrengtheningareidentifiedandanactionplanisdevelopedtofollow-uponrecommendations.
CRSusesotherorganizationalassessmenttoolsforproject-specificpartnerandcommunitycapacitystrengtheninginbothmanagementandprogramming.ThesearedescribedinChapter V, Section 2, pp . �4�-�45 .
CountryProgramself-assessments(suchastheMQATandGoldStar)andexternalreviews,suchasaudits,areimportantmonitoringfunctions.Theyhelpmanagersensureperformance.
THEORIES, MODELS AND PRACTICES OF MANAGEMENT
Formanypeople,managementis
somethingtobetolerated!Forsome,theworditselfissynonymouswithcontrolandbureaucracy.
Wheredoyourprojectmanagementpractices,philosophy,andoperatingstylecomefrom?Andthoseofyourpartner?Abriefhistoryoftheevolutionofmanagementandareviewofcontemporarymanagementmodelswillhelpilluminatepracticesandperceptionsaroundmanagementandwhatconstitutesbestpracticesinmanagement.
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Evolution of Management Theories and Models Intheearly1900s,FrederickTaylor,anengineerintheU.S.steelindustry,undertooktimeand
motionstudiestoincreaseworkerefficiency.Hedramaticallyincreasedproductivity(aswellasrepetitiveandmonotonoustasks)infactorysettings.Taylor’sscientific management created a new level of middle managers, separating “thinkers” from “doers .”Althoughtheexcessesofscientificmanagementareinfamous,thismodelhasbeenveryinfluentialinpastandcurrentmanagementpractices.
Duringthisera,aFrenchengineer,HenriFayol,focusedonauthorityandhowitisexercised.His“fivefunctionsofmanagement”(planandlookahead,organize,command,coordinate,andcontrol)stillformthebasisofmuchmodernmanagement.Central to this command and control logic is the separation of decision-making from work .Theearlycarmanufacturer,HenryFord,tookcommandandcontroltoapathologicalextremeandreportedlycomplained,“WhyisitthatwheneverIaskforapairofhands,abraincomesattached(Magretta2002)?”
Around1930,thefieldofindustrial social psychologyemergedfromresearchdonebyEltonMayo,aclinicalpsychologist,inaU.S.electriccompanyplant.Mayo’sstudiesaimedattestingtheeffectofworkconditionsonproductivity,buttheresultsweremostsurprising.Whenlightswereturnedup,productivitywentup;andwhenlightswereturneddown,productivitywentupagain.Whathappened?Itturnsoutthatthe simple act of paying positive attention to people(inthiscase,theworkerswhoparticipatedintheexperiments)has a great impact on productivity(PetersandWaterman1984).OtherstudiesconductedatthistimebypsychologistKurtLewininmotivation,learning,andperformancealsofoundthatpeoplelearnmoreandperformbetterwhentheyareactivelyinvolved(Vella1995).
Post-WorldWarIIsawamajorcontributiontomanagementthoughtbypsychologistDouglasMcGregorwithhisconceptofTheory “X” and Theory “Y”(1960).Theory “X” presumes that the average person has an inherent dislike of work;willavoiditifheorshecan;preferstobedirected;wantstoavoidresponsibility;haslittleambition;andwantssecurityaboveall.Themanagementcorollaryisthatpeoplemustbecoerced,controlled,directed,andthreatenedwithpunishmenttogetthemtoputforthanefforttowardstheorganization’send.
Theory “Y,” bycontrast, assumes the opposite:thatpeoplefindthesamesatisfactioninworkasinplayorrest;arepersonallysatisfiedfromachievementofanorganization’sobjectives;seekresponsibility;andarecapableofarelativelyhighdegreeofimagination,ingenuity,andcreativityinthesolutionoforganizationalproblems.
StudiesonleadershipconductedbyU.S.universitiesafterWorldWarIIprovidedabasisforthecontingency theory of leadership: Leadership style should vary according to context.AmanagerialgridmodeldevelopedbyBlakeandMouton(1964)identifiedfiveleadershipstylesrepresentingdifferentcombinationsofconcernforpeopleandorganizingandgettingtasksdone.
HerseyandBlanchard’ssituational leadership(1999)isarelatedmodelshowinghowleadership styles vary considerably depending on the situation and the needs of subordinates.Thismodelshowsdifferentcombinationsofdirective behavior(theextenttowhichaleaderspellsoutwhat,where,when,andhowtodothingsandthencloselysupervisesperformance)andsupportive behavior(theextenttowhichaleaderlistens,providessupportandencouragement,facilitatesinteraction,andinvolvespeopleindecision-making).The art of leadership involves sizing up each situation and then crafting the appropriate strategy .
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Reflection Opportunity Remember,nothingissopracticalasagoodtheory!AsaCRSprojectmanager,youworkwithanumberofpartnerswhohavedifferentanduniquelevelsofexperience,maturity,andability.
1. Write down some examples of how you have appropriately beenWritedownsomeexamplesofhowyouhaveappropriatelybeenmoresupportiveormoredirectivewithanyofthesepartnersinthecourseofprojectmanagement.
2. Write down some examples of when your management style was2. Write down some examples of when your management style wasWritedownsomeexamplesofwhenyourmanagementstylewasinappropriate(e.g.,notprovidingenoughsupportforapartnerwhowashavingproblemsorbeingtoodirectivewithamaturepartnerwhoresentedit).
3. What opportunities do you have now to experiment with aWhatopportunitiesdoyouhavenowtoexperimentwithadifferentmanagementstylethatismoreeffective?
(Source: Adapted from Bob Jud Training Materials 2005)
Servant-leadershipisanotherapproachthatchallengesautocraticorhierarchicalleadershipmodels.Tobecomeaservant-leader,amanagerneedstobuildarelationshipoftrust,setupwin-winperformanceagreements,andthenprovidesupporttopeoplesothattheycanachievedesiredperformanceresults.Servant-leadershiprequires humility, focuses on building interdependent teams, and emphasizes meeting people’s priorities and needs . Covey(1989)describessomeoftheseideasinThe Seven Habits of Highly Effective People.
Theconcept of project management as a discipline was developedtomanagetheU.S.spaceprogramin the early 1960s.Projectmanagementemphasizescarefulplanning,andfocusesonoptimizingresources(i.e.,skills,talents,andthecooperativeeffortsofateamofpeople,aswellasfacilities,toolsandequipment,information,systems,techniquesandmoney)toachieveobjectivessuccessfullyandcompleteaproject.AccordingtoLewis(2001),successfulprojectsare:
• good(ofhighquality,attaindesiredobjectivesorperformancelevel);
• cheap(withincostorbudgetparameters);and
• fast(ontime).
Theevolutioninthinkingofworkasameanstoanendtothatofworkashavingvalueinitsownrighthasledtotheideaoflearningorganizations. Learning organizations discover how to tap people’s interests, commitment, and capacity to learn at all levels in the organization (Senge1990) and build on experiences and results .ArelatedideaisDavidKorten’slearning process approach (1990).Recognizingthatdevelopmentprojectsnearlyalwaysoperatewithlimitedknowledgeinenvironmentsthatareconstantlychanging,Kortenworkedwithotherstodevelopnewstrategiesforbureaucratictransformationofnon-governmentalorganizations(NGOs)committedtoworkingwiththepoor.A true learning organization embraces error rather than denying its existence, covering it up or blaming others .Itlookstofailureasavitalsourceofknowledgeandlessonsformakingadjustmentstoachievebetterperformance.
Cross-cultural Issues in Management Youmayhavenoticedsomething:Manyoftheabovemanagementmodelsandtheoriescome
fromWesternandlargelyNorthAmericansettings.Howdothesemodelsfitwithexistingculturalnormsinothersettings?Youmayhavefeltthispersonallyassomeonefromoneculturebeingmanagedbysomeonefromanotherculture.AstudydoneinCambodiaandsummarizedinthe“FromTheorytoPractice”storyboxillustratessomeofthepotentialissuesandchallenges.
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FromTheorytoPractice:Cambodia—ACaseStudyinDivergentManagementStylesAcrossCultures
Anaction-researchstudyoflocalNGOsinCambodiarevealeddeep-seatedattitudes,educationalpracticesandculturalvalues,aswellashistoricalcircumstancesallworkingagainst internationalNGOs’capacity-strengtheningeffortsinprojectandprogrammanagementpractices.
OnetopicstudiedwastheorganizationalcultureofCambodianNGOs—therealityofhowthingshappeninday-to-dayworkandinteractionsamongstaff,nottheorganizations’officialvisions,missionsandpolicies.OnefactoraffectingprojectperformancewasanapparentdisconnectbetweenastateddesireofNGOdirectorsthattheirstaff“takemoreresponsibility”andtheexistingorganizationalstructureandculture.
ThesocialorderofCambodiansociety,reinforcedbythepracticeofBuddhism,dependsuponeveryonerespectingthesocialhierarchyandkeepingherorhisplaceinit.Fromchildhoodon,peoplearetaughttoobeyandrespectthosewithauthority.Challenging,questioningandholdingdissentingviewsisdiscouraged;conflictisseenasbad,andlossoffaceistobeavoidedatallcosts.Duringperiodsofconflictwithinthecountry,authoritarianleadersoppressedpeoplewholearnedthatsilenceandnotdrawingattentiontooneselfwasawaytostayalive.
Consistentwithculturalvaluesandbeliefs,manyCambodianNGOshaveaveryhierarchicalstructurewithmuchdecision-makingpowerrestingwiththedirector.Directorsholdallthepower,gotooutsidemeetingsalone,makedecisions,anddonotcommunicateoftenwiththestaff.Staffareextremelyreluctanttospeakuporrevealtheproblemstheyexperienceintheirwork.NGOfoundersmaybeseenasthepatronofthestaffresponsiblefortheirjobsandlivelihoods.
ThestudyultimatelyfoundthatNGOfieldworkerswerestrugglingtoaccommodatewhatwasculturallyandsociallyacceptableandexpectedwiththedemandsoftheirjob.
(Source: Adapted from O’Leary and Nee 200�)
Thisstudyshowshoworganizationalculturecanbeinfluencedbyculturalandcontextualissues.Organizational culture is a pattern of shared beliefs that reflect assumptions people make about work .Thesebeliefsgovernhowpeoplerelatetoeachotherintheworkplace,howdecisionsaremade,howothersaretreated,howauthorityisexercised,etc.Organizationalculturemightbethoughtofas“thewaywedothingsaroundhere.”Someoftheseassumptionsunderlyingmanagementpracticesandworkplacebehaviorsmaynotbefullyobvious—indeedtheymaybehiddenandmayevenruncountertoanorganization’sformalmissionstatements(KelleherandMcLaren1996).
TheCRSManagementQualityPyramiddescribesorganizationalcultureasthefollowing:
• anorganization’smanagementphilosophyandoperatingstyle;
• thewaymanagementassignsauthorityandresponsibility;and
• thewayitorganizesanddevelopspeople.
Managementispracticedinallcountries.Insightsfromhistory,cultureandstudyoflocalconditionscontributetounderstandinghowbesttointerpretandapplyitineachsetting.YourdifficultjobasaprojectmanageristotranslateCRS’managementvalues,beliefsandprinciplesintotheuniquesituationsinwhichyouandotherprojectstakeholdersoperate.
GeertHofstede(1993)hasresearchedorganizationalcultureandwrittenontheinfluenceofcultureonorganizationalsettings.Hepromotestheuseoffive dimensions to helpanalyze
cultural influences on management styles and organizational culture.ThesedimensionshavebeeninterpretedbymanagementconsultantBobJud(2005)inhistrainingmaterialsandaresummarizedinTable2.2.
Pleasenotethatthesedimensionsareintendedtoprovokecriticalreflection—nottostereotypepeople,societies,ororganizationsintoboxesorcolumns!Cultureisnotfrozenintime:Itchangesconstantly.Culturecanbothinfluenceandbeinfluencedbyoutsideforces.Groupsandorganizationsmightfallintoverydifferentplacesineachofthesedimensions.Thinkofthemasaspectrumtopromoteunderstanding.
Table2.2:FiveDimensionstoHelpAnalyzeCulturalInfluencesonManagement
Peoplefromsocietieswithahierarchy orientationtendtorespectauthority;prefertopmanagerswithseniority;arecomfortablewithhierarchicalstructures;expectleaderstobedirectiveandpaternalistic;andmayacceptprivilegesandstatussymbolsformanagers.
Power Distance
Hierarchy Equality
Peoplefromsocietieswithanequality orientationtendtorespectauthorityonlyifitprovescompetentandeffective;preferflatorganizationalstructures;consultsubordinates;andfrownuponprivilegesandstatussymbols.
Peoplewithlow tolerance of uncertaintyexpectclearworkinstructionsandrequirements;haveastrongneedforrules;resistchange;andseekthetruth.
Tolerance of Uncertainty
Low High
Peoplewhotolerate ambiguityacceptrisk;welcomechange;expecttohaveflexibleguidelinesfortheirwork;andseekunderstanding.
Peoplefromindividualistic societiestendtobeself-reliant;actspontaneously;makedecisionsreadily;showinterestinchallengingtasks;takeprideininnovation;andthinkofothersasequals.
Social Integration
Individualism Collectivism
Peoplefromcollectivist societiestendtobeloyalandcommittedtogroups;willinglyacceptdirection;understandhowtobuildconsensus;arecapableofgenuineteamwork;andstressrelationships.
Peoplefromsocietieswithanachievement orientationtendto“livetowork;”areresults-based;accepthighjobstress;havecompetitiveandassertiveworkrelationships;andmayresistteamwork.
Output
Achievement Relationships
Peoplefromsocietieswitharelationship orientation“worktolive;”focusonrelationships;havelowjobstress;emphasizecooperativeandopenworkrelationships;andacceptteamwork.
Intense time-use peopleexpectpunctualityandreactnegativelytolongwaits;setdeadlinesandagendasandareguidedbythem;avoidchangingplansatthelastminute;andhaveasenseofurgencytocompletetasks.
Time-Use
Intense Casual
Casual time-use peopletendtoremaincalminthefaceoflast-minutechangesinplan;treatagendasanddeadlinesflexibly;expectwaits;andhaveaflexibleattitudetowardstaskcompletion.
��PROPACKIICHAPTERIISECTION�
PROPACKIICHAPTERIISECTION���
Reflection Opportunity 1. Have you ever been managed by someone from anotherHaveyoueverbeenmanagedbysomeonefromanotherculturewithdifferentvaluesregardingtime,achievement,orotherdimensionslistedinTable2.2?
2. What cross-cultural management issues arose?Whatcross-culturalmanagementissuesarose? 3. In your experience, what has happened when the dominantInyourexperience,whathashappenedwhenthedominant
managementcultureinyourCountryProgramclashedwiththeorganizationalcultureofyourpartner?
4. How did you address these issues constructively? WhatHowdidyouaddresstheseissuesconstructively?Whatworkedwell,andwhy?
SECTION 2
PROJECT MANAGEMENT AND PARTNERSHIPS
SECTION OVERVIEW InSection2,youwilldothefollowing:
• reviewCRS’partnershipprinciples,whichguidetheagency’sapproachtoprojectmanagementandimplementation;and
• examinedefinitions,approachesandissuessurroundingpartneraccompanimentduringprojectimplementation.
ThestoryfromGhanainthe“FromTheorytoPractice”boxprovidesareal-lifedescriptionofhowpartnershiplooksandfeelsfromaCRSprojectmanager’sperspective.
FromTheorytoPractice:PartnershipChallengesinGhana
KwameAmoahisaCRSprojectofficermanagingafoodsecurityprojectinGhanawithadiocesanpartner.Inthepast,CRSsupportedpartnersinundertakingfooddistributions.Kwame’sorientationtrainingcoincidedwithanewfocusonpartnershipsandaccompaniment,andanewfoodsecuritystrategy.Kwamewastrainedtoprovidetechnicalandmanagerialsupporttopartnersandtoensurejointdecision-makingwasaccomplishedthroughregularvisitsandmeetings.
Beforemeetingwithhisassignedpartner,Kwamewaswarnedbyhissupervisorthatthingswerenotgoingwell;thepartnerseemedimpossibletodealwith.ThesupervisortoldKwamethatCRSmighthavetoeaseoutoftheirengagement.Kwame’sfirstvisitswiththepartnerweremorethanuncomfortable.Onseveraloccasions,hewasevenorderedtoleavethedevelopmentcoordinator’soffice!Kwameneverobeyedtheseorders.Notonce.Hestuckitout.
Whatisthestatustoday?Theprojectwassuccessfullyclosed,asecondphasecompleted,andtheyarecurrentlyworkingonathirdphase.“Wemaynotexactlybeinlovewitheachother,”saysKwame,“butwearestillpartners.”
What Happened?
Kwameexplainedhisapparentsuccessinthefaceofchallengesasfollows:“Ilearnedthatwearedealingwithpeople,whohaverealhopesandcommitmentontheonehand,andgenuinefearsandfrustrationsontheotherregardingourwork.Wemustapproachthemnotonlyonthebasisofnegotiatedrulesandclausesinprojectagreements:Wemustmeetthemanddealwiththemaspeoplefirst.
“MybreakthroughcamewhenIlearnedtomeetthepersonandnottheinstitution.Afterthequarrelsoftheday,IwouldarrangetomeettheDiocesanDevelopmentofficerfortea.Throughtheseinformalchats,Ilearnedhowdeeplycommittedhewasandhowmuchhecaredabouttheissues.Ilearnedofhisconstraints,andthathedidnothavethesupportofsomeofhiscolleagues.Ilearnedtorespectandvaluetheskills,resources,knowledge,capacitiesandlimitationshehad.Ilearnedthatouractionshadcreatedaperceptionthatweweremoreinterestedinprotectingourresourcesthanmeetinghumanneeds.Accountabilitywaslessfocusedonstewardshipthanondistrustandpolicing!Thiswasbecausewehadnotestablishedthatcommonphilosophicalgroundforrelationship;weoverfocusedonprojectagreements.Attheendoftheday,webecameco-strategists,workingtogethertodealwithcommonproblems.Whenwewon,itwasajointvictory.Whenwelost,itwasajointchallengetore-strategize.
�4PROPACKIICHAPTERIISECTION�
“Atthesametime,theCountryRepresentativebeganmeetingwiththeBishopofthediocese.Issuesrangingfromdevelopmentphilosophiestoorganizationalpracticeswerediscussed.Onceweestablishedgenuinedialogue,itwaspossibletoworkonagreementstoaddressdifficulties.ThelastingfruitofthesemeetingsisthattheBishopisnowoneofthestaunchestdefendersofCRSinGhana!
“Ingeneral,I’velearnedthatpartnershipisalwaysaworkinprogress.Itoftenstartswitheuphoria,dipsintosuspicionand,whenproperlypickedup,canbegroomedintoamaturemarriage.Thedifficultieswehaveexistbecauseweturnawayassoonaseuphoriadips.”
Reflection Opportunity 1. Shareanexamplefromyourownexperienceoftheupsanddownsofarelationshipwithaspecificpartnerduringprojectimplementation.
2. Whatdidyoulearnfromthis? 3. Howmightstrategiestomanagerelationshipsdifferdepending
onthepartneryouareworkingwith?
DEFINITION AND TYPES OF PARTNERSHIPS
CRSdefinespartnershipas“a relationship of mutual commitment built upon a shared vision, spirit of solidarity and making a difference in the lives of the people we serve .” Workinginpartnershiphonorsthevision,missionandvaluesofCRS.Therearemanycompellingreasonstoworkwithpartners.
• Workinginpartnershiphasgreaterpotentialtoreachthepoorandvulnerablebecauseofpartners’knowledgeofthelocalsituationandtheirvastnetworks.
• Changingunjuststructuresrequiresanactivecivilsociety,andpartnersarekeylocalorganizations.
• Learningwithpartnersallowsfordeeperunderstandingofsolidarity.
• Workingwithpartnersvalidatesandbuildsonlocalassets(human,political,social,andfinancial)fordevelopment.
CRSbelievesthatauthenticpartnerships are built on three pillars:shared vision, solidarity and impact . Table2.3describesthesepillarsingreaterdetail.
Table2.3:ThreePillarsofAuthenticPartnerships
Shared Vision Partnershipsrequirethatorganizationsareheadedintherightdirection.Itisimportanttoexplorevisionsforthefutureandrootcausesofinjusticeearlyonandnotassumetheyareshared.
Solidarity
Solidaritycannotbeachievedthroughshort-termprojectsalone.Itbuildsthroughtrustandacommitmenttoworktogetherforlong-termchange,sharingresourcesandrisks,andappreciatingthegiftsthateachpartnerbringstotherelationship.
ImpactPartnershipsmustbearfruitandachieveverifiable,beneficialimpactonthelivesofthepeopleserved.Accountability,stewardshipandqualityareimportantatalllevelsandinalldirections–CRS,partner,communities,donorsandothers.
PROPACKIICHAPTERIISECTION���
Figure2.2fromtheStrategicFrameworkshowsCRS’desiredrangeofrelationshipswithitspartners.
Figure2.2:DesiredRangeofPartnerRelationships
Wedevelopourstrategies
irrespectiveofthelocal
Church
Wedevelopourstrategies
andinformthem
Wedevelopourstrategies
andensuretheydon’t
conflictwiththelocalChurch’s
strategies
Wedevelopourstrategiesandget
localChurchagreement,aspartofprocess
Wedevelopourstrategiesbasedon
theirs
Theirstrategyis
ourstrategy
Theirstrategy
(includingpastoral
work)isourstrategy
CRS seeks to situate itself as far to the right-hand side of the desired range as the local situation allows, though the agency does not have a mandate to support purely pastoral work . Organizations other than CRS have been
established within the Catholic Church to address and respond to pastoral activities . Note that this diagram does not exclude partnership with other organizations of similar vision from all faiths (CRS SPP Guidance for
Country Programs, September 2006) .
Thisdiagramhelpsyoutounderstandhowagencyvaluesunderliepartnershipstrategiesandapproaches.TheseideasprofoundlyshapehowCRS’projectsworkandaffectshowtheyaredesigned,planned,implemented,evaluated,and,ingeneral,managedwithinapartnershipframework.
CRS’ role within partnership has evolved into one ofaccompanimentratherthanleadershipordirection.Toaccompanymeanstomoveforwardtogetherandimpliesanequalityofstatus.CRSdefinesaccompanimentasa close relationship that is flexible and responsive in both institutional and personal forms.Accompanimentisnotaone-way,automaticresourcetransfer.Rather,itimpliesmutual appreciationofwhateachpartnerhastooffer,andpartners’ownassetsarevalued.AsCRSanditspartnersstrivetowardstheirvisionoftransformation,theirrelationshipiscomplementaryandcharacterizedbysupport,flexibilityandresponsiveness.
Withinpartnerships,CRSfocusesoncapacity strengthening,ratherthandwellingonwhatismissingorgoingwrong.Manyorganizationsusethetermcapacitybuilding,butthistermmaybemistakenlyinterpretedtomeanthatnocapacityexistsandthatitmustbebuiltfromscratch.Capacitystrengtheningmeansthatboth partners have a set of resources, insights and skills that can benefit from capacity assessments and relevant skill-building .Capacitystrengtheninggoesbeyondaspecificprojectasitisbasedonasharedvisionandalong-termcommitmenttoamutuallyagreeduponprocessoforganizationaldevelopment.Thisprocessoforganizationaldevelopmentcontributestoproject-specificorganizationalcapacityassessments.Project-specificcapacityassessmenttoolsaredescribedinChapter V, Section 2, pp . �4�-�45.
��PROPACKIICHAPTERIISECTION�
ChurchpartnershaveaspecialrelationshipwithCRSthatexistsoutsideandbeyondthescopeofprojects.Thus,CRSprojectmanagersmustknowthedifference between thephases of partnerships and the stages of a project cycle.WorkwithmostCRSpartnersoperatesunderboth.Forexample,projectshaveadistincttimeframe,butthisisdifferentfromthetimeframeinvolvedinalong-termpartnershiprelationship.Partnershipsaredynamicandchangeandevolvecontinually.SomecommonphasesofpartnershipsdescribedinCRSPartnershipProgrammingGuidance(2002)arelistedinTable2.4.
Table2.4:CommonPhasesofPartnership
Preparation • buildingpersonalrelationships
• developingapartnershipstrategy
• strengtheningCRS’anditspartners’capacitytopartner
Exploration • locatingorganizationswithsharedvisionsandvalues
• initiatingAppreciativeInquiry1
• gettingtoknoweachotherwhileexploringpotentialsharedvision
• buildingpersonalrelationships
Negotiation • initiatingorcontinuingAppreciativeInquiry
• addressingissuesofpowerandrisk
• settingacultureofmutuality,transparencyandaccountability
• planningforoverallmechanismsandnormsforcooperation,suchascommunication,reportingandprocedures
• designingprojectsanddevelopingproposals
NotethatapartnershipMemorandum of Understanding (MOU)isoftendevelopedatthisstage.TheseMOUsusuallystatetheexpectations,resources,andcommitmentsthateachpartnerbringstothetable.
Implementation • undertakingjointwork,andcoordinatingresourcesandcontributions
• learningfromeachother
ThispartnershipapproachappliestoCRS’workingeneral.Alloftheagency’spartnerships,however,arenotthesame.Theyachievedifferentpurposesand,thus,naturallyhavedifferentformsandqualities,andthiscanshiftasnewfundingcallsfornewpartnershiptypes.CRSworkswithavarietyoforganizations.InadditiontoChurchpartners,theagencymayworkwithorimplementprojectswithotherinternationalprivatevoluntaryorganizations(PVOs),internationaleducationalorresearchinstitutes,universities,governmentagenciesandfor-profitcompanies.
Distinguishingpartnership-typeshelpsoneconsidermorecarefullytheselectionofpartners,theappropriatecapacitystrengtheningstrategyandhowCRSworkswitheachparticularpartnerinprojectimplementation.Thefollowingarejusta few examples of the types of CRS partnerships—andeventhesecanevolveovertime.
• CRS may be a prime or a sub-awardee on large grants . Example: Improving Livelihoods through Increasing Food Security (I-LIFE) project in
Malawi where CRS is the primary recipient of a cooperative agreement with USAID/Food for Peace (FFP) and has signed a sub-agreement with CARE .
• Partners may be contracted to provide servicesunderconditionsandobjectivesdefinedlargelybyCRSoradonor.Thesepartnersareselectedfortheircapacitytoachieveimpact.
Examples: AIDSRelief or other multi-agency consortia .
1AppreciativeInquiryisbothanapproachandamethodologyforworkinginpartnership.Itinvolvesdiscoveringandvaluingfactorsthatgivelifetoanorganizationorpartnershipandthenbuildingonthosefactors.Formoreinformation,seetheCRSPartnershipProgrammingGuideandThePartnershipToolbox:AFacilitator’sGuidetoDialogue.
PROPACKIICHAPTERIISECTION���
• Partners may be civil society actors and have a long-term relationship with CRStotransformunjuststructures.Bothpartnersjointlydefineobjectivesandundertakedesign,implementation,andevaluation.Rolesandresponsibilitiesaresharedindecision-makingandproblem-solving.Capacitystrengtheningheremayincludeleadershipandnetworking.
Example: Diocesan partner .
• Collaborative partners describe groups or organizations with which CRS works towards a specific purposesuchasadvocacy,learning,orinnovation.Eachpartnerbringsspecificcapacitiesandresourcestothetable.Involvementmaybeintenseorintermittent,andjointactivitiesmaycrossborders.
Examples: Learning Alliances; the Global Development Alliance (GDA), a USAID-funding mechanism that promotes non-traditional types of partnerships in development projects such as private sector organizations or for-profits .
PARTNER ACCOMPANIMENT DURING
PROJECT IMPLEMENTATION ThenatureofaCRSprojectmanager’sinvolvementinimplementationdependsonmanyfactors:
thestrengthofthepartner,thetypeandnatureofthepartnership,andtheskillsofthemanager.NomatterhowmuchorhowlittleCRSprojectmanagersareinvolvedinprojectimplementation,theyarenonethelessaccountablefortheoutcomesoftheprojectsforwhichtheyhaveresponsibility.Projectmanagers,inmostcases,workcloselywithpartnerstoaccomplishthefollowing:
• developaDIP;
• ensurethateveryonekeepstheproject’sSOsinsight;
• monitortheprojectinordertomaintainprogresstowardsobjectivesandkeepbudgetsontrack;
• enablethemtocomplywithdonorandCRSregulationsandconditions;
• ensurehigh-quality,relevantcapacitystrengtheningoccursviatechnicalassistance,peersupport,training,etc.;
• provideongoingcoachingandfeedback;
• submitregularnarrativeandfinancialreports;
• ensurethatevaluationsarecarriedout;and
• sharefindingswithothers.
HowCRSprojectmanagersworkwithpartnersrequiressomereflection.Accompaniment is based upon listening, consultation, mutual learning and support—not prescriptive advice from above .Fowler(1997)describesaccompanimentas“aprocessofmovingalongsidebysideindialogueandexperimentationwhichcreatesorganizationalimprovementandyieldsknowledgeaboutchange.”
FromTheorytoPractice:ViewsonAccompanimentfromaPartnerinIndia
WeworkwelltogetherbecauseofCRS’partnershipmodel,whichdrawsonourcomparativecapacitystrengthsandresources.CRSprovidestechnicalguidance,strengthensourmonitoringandevaluationcapacity,andprovidesresources.Wematchtheseresourceswithourownfundsandassignstaffmembersexperiencedincommunitymobilizationtooverseetheproject.Together,weareabletoformideasonhowtofurthertheleadershipcapabilitiesofcommunities.
��PROPACKIICHAPTERIISECTION�
SomeCRSprojectmanagersdonothaveaclearideaofwhataccompanimentinvolves.TheyworrythatplayingtooactivearoleinprojectimplementationmeansCRSisbecomingoperational.Yet,whenmonitoringshowsthattheprojectisoff-track,thesesamemanagersspringintoactionandmayeventakeoverimplementationfrompartnersbecause,afterall,theyareaccountablefortheprojectoutcomes!
Accompanimentneedstobeadjustedtothesituationathand.Itmaylookverydifferentfromoneprojecttothenextdependinglargelyontheprojectcontextandsituation,theskillsofCRSprojectmanagersthemselves,andtheexperienceandskillsofthepartner.TheBurundiseedvouchersandfairsstoryinthe“FromTheorytoPractice”boxbelowillustratesthisidea.
Don’t Forget! Remembersituationalleadership
fromSection1,pg.19!
FromTheorytoPractice:GrowingfromNovicePartnertoMentorinBurundi
CRS/Burundipilotedseedvouchersandfairsin2001throughdirectoperations.Staffrefinedthestrategyandthenjointlyplannedandimplementedtheprogramwithapartnerinonediocesein2002.In2003,CRS’partnersimplementedtheprogrambythemselveswithCRSstaffactinginanadvisoryrole.By2005,CRSandpartnerstaffmembersweretravelingtoCRSofficesthroughoutWestAfricatotrainotherstaffandpartnersontheseedvouchersandfairsmethodology.
Evenwhenworkingwithaskilledandexperiencedpartner,launchinganewprojectstrategyorrespondingtoanemergencysituationmayrequiremoreupfronttechnicalsupportandtimeworkingtogether.CRSprojectmanagersmaynothavetheseskillsandneedtoknowwhenandhowtohireconsultantsorotherexpertstoprovidethissupporttopartners.
To summarize, there is no one recipe for appropriate accompaniment!
Reflection Opportunity 1. Think of a time when you believe you provided inappropriateThinkofatimewhenyoubelieveyouprovidedinappropriateaccompanimenttoapartnerduringprojectimplementation.Whathappened?
2. How could you have done things differently during projectHowcouldyouhavedonethingsdifferentlyduringprojectimplementationtohavemadetheaccompanimentmoreappropriateandsuccessful?
PROPACKIICHAPTERIISECTION���
Pathways and Obstacles to Partnership Success Factorscontributingtothesuccess of managing partnershipsincludethefollowing:
• providingongoingevidence of success, definingandachievingaseriesofshort-termobjectivesthatleadtoalargergoal;
• recognizingandmanaging power dynamics,clarifyingdecision-makingprocessesfromthestart;
• havingshared goals and vision.Problemsaddressedareclearlydefined;aimsofcollaborationareclearandshared;
• possessingstrongcommunication skills and cultural awareness. Thesehelptobridgedifferences;
• respect and trustarekeyingredients.Partnershipsareseenasequitable.Trustisbuiltfromvisible,incrementalsuccessesovertimeandfromfulfilledcommitments;
• developingclear roles and policy guidelines,settingupaccountabilitymechanisms,establishingdecision-makingprocesses;and
• linking at multiple levels of organizational hierarchy.Collaborationoccursamongseniormanagers(foroverallvision,strategies,andpriorities),aswellasamongoperationalstaff(planningandimplementation).(Merill-SandsandSheridan1996)
Oneobstacletoahealthypartnershipmaybedifferences in organizational cultures.RecallthedefinitionoforganizationalcultureinSection �, pg . 2�andTable2.2onthefiveculturaldimensions.Whileavisionmaybeshared,theremaybedifferentpreferencesforhowthingsaredone.Partnersmaypreferconsensusdecision-making,forexample,ratherthanassertiveanddirectdecision-making.
Otherpartnershipobstaclesmayincludethefollowing:
• differencesinpower;
• hiddenandconflictingagendas;
• lackofendorsementbytheorganizationalhead;
• lackofconfidenceinstafforpartners;
• lengthyconsultationprocesswithalossoffocus;
• lackoftrust;and
• generallylowcommitmentfromthoseinvolved.
TheCRSPartnershipProgrammingGuidanceandmanyCRSprojectmanagerjobdescriptionscallforstaffwhocanmanageprojectsandhealthypartnershipsandwhopossesstheskillsrequiredforaccompanimentandcapacitystrengthening.Thisdistinctsetofknowledge,skills,andattitudesaredescribedinthenextsection.
�0PROPACKIICHAPTERIISECTION�
SECTION 3
ESSENTIAL KNOWLEDGE, SKILLS AND ATTITUDES FOR
PROJECT MANAGERS
SECTION OVERVIEW AreviewofCRSproject manager job descriptions shows that they are accountable for project
results and impact throughmanagingoroverseeingprojectdesign,planning,implementation,monitoring,andevaluation.Inadditiontotheseprogramduties,projectmanagersarealsoresponsibleformanagingandmonitoringbudgetsandotherprojectresourcesincompliancewithagencyanddonoragreementsandregulations.
Projectmanagersarealso expected to provide leadership . Theyanalyzechangingenvironmentsandcreateopportunitiesforinnovation;negotiatewithprojectstakeholders;identifystaffdevelopmentneeds;practicesounddecision-makingandgoodjudgment;andbuildteams.Theirjobdescriptionscallforstrongqualificationsincross-culturalawareness,facilitation,coaching,andmentoringskills. Projectmanagersdevelopandmaintaingoodpartnerrelationships;communicatewell;superviseandworkwellwithpeople;manageconflicts;practicestrategicandanalyticalthinking;andareabletobeteamplayers.
This sectionsummarizes selected management and leadership training topicsthatCRShasofferedtostaff.Thesetopicsarealsofoundinnumerousmanagementtrainingresources.ThistypeoftraininghasprovenveryusefulandpopularamongCRS’projectmanagers.Thissectiondoesnotreplacesuchtrainingbutprovides(1)areviewforstaffwhohaveparticipatedinsuchmanagementandleadershipworkshopsor(2)anintroductiontothosewhoarereadingabouttheseideasandconceptsforthefirsttime.
InSection3,youwilldothefollowing:
• reviewkeyknowledge,skills,andattitudesimportanttosuccessfulprojectmanagementandimplementation;and
• examinepracticalwaystoapplythesetoyourprojectmanagementwork.
Notethatthissetofknowledge,skills,andattitudesareimportantformanagingallstagesoftheprojectcycle:design,detailedimplementationplanning,implementation,monitoringandevaluation,andprojectclose-out.Manytopicsareparticularlyhelpfulinmanagingpartnerrelationshipsthroughoutthecourseofprojectwork.
YouwillnoticethatmosttopicsinthischapterrelatedirectlytotheCRSValues-BasedBehaviors.
PROPACKIICHAPTERIISECTION���
THE MODEL PROJECT MANAGER
TheBatteryCharger“FromTheorytoPractice”storydescribesarealCRSprojectmanagerfromtheobservationsofaseniortechnicaladvisorwhoworkedwithher.
FromTheorytoPractice:AreYouaBatteryChargerorDrainer?
ThebestprojectmanagerIknowworksforCRS.Sabineisa“batterycharger;”shekeepspeoplemotivated.OthermanagersIknoware“batterydrainers!”Sabineisabatterychargerbecauseshesetsagoodexample.Sheishardworking,diligent,andwell-organizedinherworkandthinking.Whilesheneverhesitatestogiveherhonestopinion,shealwaysdoesitconstructivelyandneverwithahintofarrogance.She’sverymodestinfact.Sabineleadsfromthefront;she’snotafraidtoget“muddywiththetroops”andworkindifficultconditions.IobservedthisrecentlyinacountryaffectedbytheTsunami.Duringmeetingsandinteractionswithstaffandpartners,sheletspeoplehavetheirsay;shelistenstothemandthentriestodistillwhatshe’sheardintosomethingmeaningful.
Sabineisalsowillingtolearnnewapproachesandisenthusiasticabouttryingthemout.ShefollowsguidancefromProPackI,butshe’snotslavishaboutit.Sheamendsandtweakstoolsasappropriate.Forexample,shetookProframe,workedwithherstaffonit,andturnedthechart“sideways”asthatmademoresensetothem—thisdidn’t,however,changetheunderlyinglogicofthetool.
Sabineplansforthefuturebutalsofocusesonday-to-dayprojectimplementation.Sheencouragesparticipationbutdoesn’tletitoverwhelmtheneedtomoveahead.She’sverybalancedbetweenreachingforthestarsandbeingpragmatic.
SabineattendedafewmanagementtrainingsprovidedbyCRS,butsheisalsosomeonewhohaslearnedmuchfromheryearsofexperience—andshehasaverylargedoseofcommonsense!
Sabinedisplaysimportantattitudes,aswellasknowledgeandskillsessentialtoprojectmanagementandimplementation.Whileyoumaythinkshewasblessedwiththesevirtues,PeterDrucker(1992)arguesthattherearenosuchthingsasleadershipgenes.Whilesomepeoplemaybebetterleadersormanagersthanothers,allpeoplecanworktoimprovetheirleadershipandmanagementstyleandskills.
So,howdostafflearntobegoodprojectmanagers?Managementskillstendtobeacquiredthroughexperienceandmentoring.Thismaybethebestwaytolearn,butitdependsverymuchonthebreadthofexperienceandqualityofyourmentors.Forsomepeople,theexperienceofbeingmanagedhasnotbeenthehighpointoftheirworkinglives!Yetpeopletendtounderstandmanagementthroughthebehavioroftheirbosses.Accordingtoonemanagementexpert,unlikemostotherprofessionsyoudon’tneedalicensetopracticemanagement.Infact,it’soneoftheonlyfieldswherepracticeprecedesformaltraining(Magretta2002).
��PROPACKIICHAPTERIISECTION�
INCREASING YOUR SELF-AWARENESS Behaves in ways that are consistent with self-awareness, self-regulation .
—CRS Values-Based Behaviors
Beingawareofyourownpersonality,behaviors,andstyle,andhowthisaffectsyourmanagementpracticescanhelpimproveyoursuccessinprojectmanagement.“Knowthyself”mayseemlikeatiredtruism,butitisakeyprincipleformanagersandleaders(Drucker1992).Withgoodself-knowledge,youcanbuilddeepertrustwithinorganizationalteams,communicatebetter,providefeedbackmoreeffectively,andbetterunderstandhowapproachingworkindifferentwayscanbehealthyandproductive.
Howdoyoudothis?Managementtrainingcoursestypicallyincludeasessiontoincreaseself-awarenessbyusingbehavioralinventoriesorroleplays.Self-awarenessmaybepromotedthroughsituationalleadershipexercises;useofapersonalityassessmentinstrumentsuchastheMyers-BriggsTypeIndicator;orbyassessingyourskillsrelatedtoemotionalintelligencesuchasself-control,zeal,persistenceetc.(Goleman1995).
Johari’s Windowisatoolusedbothincommunitydevelopmentandthebusinessworldtohelpmanagersincreaseself-awarenessandseethebenefitofgivingandreceivinginformation.The window is composed of four (window) panes .Thetopleftpane(thepublic self)canbeexpandedthroughsharingyourhidden self,throughfeedbackfromothersthatmayrevealblind spots,andthroughrevelationandinsightfromdiscoveringyourunknown or darkself.
Table2.5:Johari’sWindow
Known to Self Unknown To Self
Known to Others
PublicSelf
Thatpartofyourselfknowntoyouandtoothers.Itischaracterizedbyfreeandopenexchangesofinformationbetweenyouandthegroup.Itincreasesinsizethelongerthegroupistogether.
BlindSpot
Thatpartofyouknowntoothers,butunknowntoyou.Thetoneofyourvoice,aconflictinwhichyouareinvolved,agoodtraitofwhichyouarenotaware—allmaybeinthisarea.Youmayuseexpressionsormannerismsthathaveabigimpactonothers.Thissquarecanbeespeciallylargeifyouareinacross-culturalsituationandyoufailtoaskforfeedbackabouthowyouarecomingacross.
Unknownto Others
HiddenSelf
Thatpartofyourselfknowntoyoubutnotsharedwithothers.Itmayremainbesthidden,butitalsomightcleartheairandbuildtrustifitwereknownandshared.
UnknownorDarkSelf
Thatpartofyourselfunknowntoothersandalsounknowntoyou.Herearetalentsandabilitieswhichyoudonotknowyouhaveandothershaveneverseenbutarepartofyouneverthelessandmayonedaycometothesurface.
(Source: Adapted from Luft and Ingham �955)
PROPACKIICHAPTERIISECTION���
Reflection Opportunity 1. Think back on your experiences managing projects: theThinkbackonyourexperiencesmanagingprojects:thechallengesyoufaced,thedecisionsyoutook,therelationsyouhadwithotherprojectstakeholders.Whatdidyoulearnthatrevealedelementsoftheblindspotpanelandtheunknownordarkpanel?
2. What insights did you gain about yourself as a manager that youWhatinsightsdidyougainaboutyourselfasamanagerthatyouappliedtoyournextprojectmanagementexperience?
FOSTERING ORGANIZATIONAL LEARNING Organizational learning involves the systems and processes that enable an organization to
capture, share, and act upon its experiences .Withinprojects,learninginvolvescontinuoustestingofexperience—reflectingonmistakesorhowtodobetterwhatisalreadybeingdonewellandtransformingthatexperienceintoknowledgethatisaccessibletootherprojectstakeholders.
Organizationallearningistoalargeextentdeterminedbytwofactors:
1. how well people practice critical and analytical thinking; andhowwellpeoplepracticecriticalandanalyticalthinking;and 2. how well the organizational culture supports learning (i.e., how well it tolerates errors).howwelltheorganizationalculturesupportslearning(i.e.,howwellittolerateserrors).
Projectmanagersplayanimportantroleinpromotingthesefactors.ProjectmanagershelpCRSstaff,partners,andotherprojectstakeholdersreflectonprojectexperiencesandthenanalyzewhatcouldhavebeendonedifferently.Theypromotehonestsharingbecausefailuretoleranceisapowerfultoolforinnovationandthesignofatruelearningorganization.
The Importance of Critical and Systems Thinking PauloFreire(1970)promotedtheideaofpraxis:a cycle of action and reflection that underlies
critical thinking .Praxisinvolvesbothidentifyingandcelebratingsuccessandcriticallyanalyzingcausesofmistakesandfailures.Strongskillsinthisareamakeprojectstakeholdersmorecapableoftransformingandstrengtheningtheirwork.UseChecklist2.1toseeifyouandothersdisplaythebehaviorsofacriticalthinker.
Checklist2.1:AreYouaCriticalThinker?
Doyouaskpertinentquestionsanddisplayasenseofcuriosity? Areyouabletoadmitwhatyoudonotknow? Canyouuncoverandexamineyourbeliefs,assumptions,andopinions,andweighthem
againstfacts,evidence,andproof? Doyoulistencarefullytoothers?
Areyouabletoadjustopinionswhennewfactsarefound? Doyouexaminesuccessesandproblemscloselyanddeeply?
FromTheorytoPractice:“TheVehiclesareNeverAvailable!”
Peopleoftencomplainaboutaproblemaffectingprojectmanagement,buttheproblemwillpersistifnooneuncoversitsrootcauses.IntheMQATFacilitator’sManual,sessionsencouragetraineestopracticecauseandeffectanalysiswithcommonmanagementandadministrativeproblems.Acauseandeffectanalysisof“thevehiclesareneveravailable”inoneCountryProgramdidnotrevealavehicleshortage.Instead,usingaproblemtreeanalysistool,traineesfoundthatvehiclerequisitionprocedureswerenotclearlydocumentedandthatemployeeswerenotproperlytrainedtocoordinatevehicleuseamongdepartments.”
�4PROPACKIICHAPTERIISECTION�
MoreinformationonproblemtreesasatoolforcauseandeffectanalysisiscontainedinProPack I, Chapter III, Section 4, pp . 73–83.
Systems thinking is learning to recognize the potential interaction and interdependence of actions .Do No Harm: How Aid Can Support Peace or War(Anderson1999)isananalyticaltoolthatdrawsfromsystemsthinking.Actionsyouorpartnerstakeinthecourseofprojectmanagement—suchasahiringdecision—mayreinforceorlessenexistingdivisionsandtensionsinaparticularprojectsetting.NotethattheIntegralHumanDevelopment(IHD)frameworkpromotedbyCRSisbasedonsystemsorholisticthinking.FormoreinformationontheIHDframeworkandhowitisusedinprojectdesign,seeProPack I, Chapter III, Section 3, pp . 5�–56.
Tools to Assess Organizational Learning Projectmanagersareoftencalledupontofunctionastheleaderorguideforlearningfrom
theproject.Thisassumestherearestructuredtimesforlearningthatdrawsfrommonitoringandevaluationsystems.AnswerthequestionsinChecklist2.2toseeifyouasamanagerandtheorganizationalcultureyouoperateinhelptopromotealearningenvironment.Ifyoucanhonestlyansweryestoeachquestion,youareontheroadtofosteringastronglearningenvironmentwithinyourproject.
Checklist2.2:QuestionstoFosteraLearningEnvironment
Doindividualsintheprojectyoumanagefeelthattheirideasandsuggestionsarevalued? Aremistakesandfailuresconsideredimportantbyeveryoneforlearningandnotshameful? Arethereopportunities(regularreviewmeetings,afteractionreviews,etc.)forproject
implementerstodiscussregularlyandinformallyprojectprogress,partnerrelationships,andhowtoimproveactions?
Duringregularmeetingsandworkshops,istimesetasidefordiscussingmistakes,andidentifyingandsharinglessonslearned?
Dopeopleinvolvedintheprojectregularlyask“Whyisthishappening?Whataretheimplicationsfortheproject?Howwillitbebetternexttime?”duringmeetingsorfieldvisits?
(Source: Adapted from IFAD 2002)
TheCRS/SoutheastAsia,EastAsia,andthePacificRegionalOffice(SEAPRO)operatesamicrofinancelearningcenter,LearningInnovationsandKnowledgeSystems(LINKS),thataimstostrengthenpartners’organizationallearningcapacities.TheworkofLINKSisbasedonamodelthatdescribesseven key elementsofatruelearningorganization.Creating a supportive organizational culturesurroundsallelementsinthismodel.
PROPACKIICHAPTERIISECTION���
Figure2.3:KeyElementsofaLearningOrganization
Gathering Internal Experience
(monitoring, project reviews, evaluations, etc.)
Integrating Learning into Strategy and Policy
(continuous improvements and changes in practice,
strategy, or politics.)
Developing an Organizational Memory(accessing experiences and
analyses via reports, resource centers, guidelines, sharing, etc.)
Applying theLearning
(capacity strengthening, scaling up, advocacy, etc.)
Accessing External Learning
(examining best practices from other agencies, etc.)
EstablishingCommunication
Systems(meetings, worshops, emails,
newsletters, etc.)
DrawingConclusions
(how information is converted to knowledge, skills in
identifying lessons learned, etc.)
Creating a Supportive Organizational
Culture
��PROPACKIICHAPTERIISECTION�
(Source: Slim �993)
BUILDING RELATIONSHIPS: THE FOUNDATION
TheCRSStrategicFrameworkstatesthattheagency’svalueisbasedinrelationshipsandemphasizestheestablishmentofrightrelationships.Theseidealsandvaluesaretranslatedintorealitywhenprojectmanagers,partners,andparticipantsdemonstraterespect,trust,andhumility.Thisrequiressettingpersonalexamplesthroughyourownbehavior.
• Treats people with dignity and respect .
• Demonstrates honesty in behavior and actions .
• Keeps commitments and promises, is reliable . —CRS Values-Based Behaviors
Developing Respect and Trust Aprofessionalrelationshipamongprojectpartnersisonebasedonrespectandtrust—not
necessarilyfriendship.Whatdothesetermsmean?Strongpartnershipsarerespectfuloftheconstraintsandconstituentsofeachpartner.Respectalsoinvolvesvaluingthelocalknowledgesystemsthatpartnerspossess.Anotherwordforrespectiscourtesy.Whenpeoplefeelrespected,theydonothesitatetospeaktheirheart.Trustisexemplifiedbypredictability,reliability,honesty,integrityandconsistency.
• Is on time to work and with work assignments .
• Expects honesty from partners, suppliers and others that CRS works with . —CRS Values-Based Behaviors
Whensomethinghappenstodestroytrustandrespect(acommitmentnotmet,aconfidentialitybetrayed,ordishonesty),theyareverydifficulttorebuild.
Reflection Opportunity 1. One CRS project manager suggests that your level of trust andOneCRSprojectmanagersuggeststhatyourleveloftrustandrespectcanbeevaluatedandthenstrengthenedbyreflectingonhowpartnersinteractwithyou.Forexample,dopartnersfranklydiscussandsharetheirfrustrationsorproblems?Dotheyregularlyseekyouradviceforbothproject-relatedandotherissues?Ifnot,whynot?Whatmightyoudotoencouragethis?
2. What other questions would you ask to assess trust and respect?Whatotherquestionswouldyouasktoassesstrustandrespect?
Having Humility Whileyouneedto“knowthyself,”alsoknowthatthemanagerwhofocusessolelyonhimselfis
goingtomismanage.AccordingtoDrucker(1992),managers who work most effectively never think “I,” they think “we .”Theythink“team.”Theyunderstandtheirjobistomakeateamfunction.Manymanagerswanttheworldtoknowthatthepersonbehindagreatprojectideaorsuccesswasreally“me.”Resistthistemptation.Asamanager,yourjobistoworkwithandthroughotherpeopletogetworkdone.Theirsuccessisyoursuccess.Directattentionawayfromyourselfanddon’ttakeallthecredit!
Has an orientation of service to staff, partners, the Church and the people CRS serves . —CRS Values-Based Behaviors
Astrongprojectmanagerdoesn’tpersonallyidentifywiththeprojecttasksbutseesherselfasaservanttothetask.Remembertheconceptofservant-leadershippresentedinSection �, pg . 20.Inthisapproach,managersbuildrelationshipsoftrust,setupwin-winperformanceagreements,andthenprovidesupportsothatotherprojectstakeholderscanmoreeasilydotheirworkandachieveresults(Covey1989).
PROPACKIICHAPTERIISECTION���
Humblepeopledonotfearthestrengthsinthepeopletheysuperviseorworkwith.Drucker(1992)advisesthatthereislittleriskofablepeoplepushingyouout;thereisgreaterriskofpoorperformancebymediocrestaff.
Setting the Example Actions are consistent with the CRS Guiding Principles . —CRS Values-Based Behaviors
Awell-knowndictumis“dowhatyousay.”Managerssetexamplesandprovidemodels.Thewayyouconductyourselfinmanagingaprojectandhowyourelatetopartnersandcolleagueswillinturnaffecthowtheythemselvesworkonprojecttasksandhowtheyrelatetopeopleinthecommunityservedbytheproject.
Spending Time with People Fully utilizes knowledge and expertise of national staff . —CRS Values-Based Behaviors
Providingappropriatesituationalleadershiprequiresknowingthemotivations,attitudes,knowledgeandskillsofthepeopleyousuperviseorthepartnersyouworkwith.RememberKwame’sstoryinSection 2, pp . 24-25.KwamelearnedthatCRSmustmeetanddealwithpartnersaspeoplefirst.
BUILDING TEAMS
Works well in a team . —CRS Values-Based Behaviors
A team is a small number of people with complementary skills who are committed to a common purpose, set of performance goals, and approach for which they hold themselves mutually accountable(KatzenbachandSmith1993).Teamscontributetoexcellentperformance.Thisisbecauseteamscanaccessagreaterknowledgeandexperiencebase;aremorewillingtotakerisks;solveproblemswell;promoteinnovation;andingeneralcreatesynergy.Inotherwords,theteamwholeisgreaterthanitspartsaddedtogether.
��PROPACKIICHAPTERIISECTION�
Engagedandhigh-performingteamsthriveinlearningorganizations.Therearepracticalwaystoencouragesuccessfulteams.Checklist2.3comesfromtheworkofexperiencedpractitionerswhocarefullyobservedalargenumberofsuccessfulteams.Asaprojectmanager,youcanreviewthislisttoapplyideastoyourownworkortohelpcoachpartnerstobuildstrongteams.
Checklist2.3:CharacteristicsofAuthenticTeams
Authenticteams: areusuallycomposedof2to25members; establishurgency,demandingperformancestandardsanddirection; selectmembersforskillandskillpotential; includememberswiththreekeyskillareas:technicalexpertise,problemsolvingand
decision-making; payparticularattentiontofirstmeetingsandactions—initialimpressionsmeanagreatdeal; setsomeclearrulesofbehavior:forexample,nointerruptionstotakephonecalls,or
everyonedoesrealwork; setuponafewimmediateperformance-orientedtasksandgoals; challengethegroupregularlywithfreshfactsandinformation; spendalotoftimetogether—bothscheduledandunscheduled;and exploitthepowerofpositivefeedback,recognitionandreward. The“FromTheorytoPractice”storyboxontheAgroEnterpriseLearningAllianceofwhichCRS
wasateammemberillustratesthedisciplineandcharacteristicsofanauthenticteam.
FromTheorytoPractice:TheAgroenterpriseLearningAlliance
TheAgroenterpriseLearningAlliancewasinvolvedinthecontentanddirectionofCRS/Ethiopia’sfood-basedmulti-yearprogram.ItinvolvedtheheadofagroenterprisewithintheHarargheCatholicSecretariat(HCS);CRS/Ethiopia’sprogrammanager;theregionalCRSseniortechnicaladvisorforagriculture;andscientistsfromtheInternationalCenterforTropicalAgriculture(CIAT).
Thisteamhadaclear,agreed-uponpurpose:toshifttheemphasisfromproductionoffoodforfamilyconsumptiontoproductionforsaleinthemarketwhilestillmaintainingtheabilitytomeetfamilyconsumptionneeds.
Theteam’sworkandproductsdidnotariseovernight.Theteamworkedtogetheronaseriesofworkshopsandactionplans,whichwererepeatedinfourcyclesovertwoyears.Theseworkshopsandmeetingswerecharacterizedbyopendiscussionsandactiveproblem-solving.Apopularexercisewas“rivercrossing,”whichtaughtparticipantsthevalueofteamwork.Itwasnotamatterofdiscussinganddelegating;theteamdidrealworktogether.Forexample,theteamdescribedspecificvaluechainsandmetwithfarmergroupstodiscussproblemsandopportunities.
Leadershiproleswithintheteamhaveevolved.HCSnowpossessesgreatagroenterprisecapacity,anditsstaffareimportantcontributorstothelearningalliancewithintheEastAfricaregion.Recently,theHCSagroenterpriseteamleaderspentthreeweeksinnorthernUgandareviewingandevaluatingCRS’agroenterpriseprogram—asomewhatuniqueexampleofaCRSpartneradvisingCRS.CIATprovidedanexceptionallygiftedtrainer/facilitatorwhosededicationhelpedcreateastrongteamspiritandlearningattitude.
PROPACKIICHAPTERIISECTION���
Reflection Opportunity
1. Think of a project you’ve managed or been involved in whereThinkofaprojectyou’vemanagedorbeeninvolvedinwheretherewasanauthenticteaminevidence.
2. What made this a team and not simply a working group?Whatmadethisateamandnotsimplyaworkinggroup?3. How did this affect the project’s performance?Howdidthisaffecttheproject’sperformance?
Managing Multi-cultural Teams Working within multi-national or multi-cultural teams may present additional challenges. NotWorkingwithinmulti-nationalormulti-culturalteamsmaypresentadditionalchallenges.Not
understandingculturalfactors(languagefluency,statusaroundeducationallevels,age,power,caste,beliefs,courtesies,genderroles,etc.)anddifferencesinorganizationalculturemayleadtoproblemsinteammanagement.
FromTheorytoPractice:ACulturallyInappropriateTeamExercise
InoneprojectteammeetinginIndia,aparticipantvolunteeredtoleadanenergizer.Heaskedeveryonetostandup,getinacircle,andmassagetheshouldersofthepersoninfrontofthem.Thisfelltotallyflat;mostpeopleeithergiggled,milledabout,orsimplyrefusedtoparticipate.Itwasclearthatmostofthewomendidnotwanttobetouchedbyotherteammembers.NotethattheparticipantwhoproposedtheactivitywashimselffromIndia!Hegracefullymadeajokethathelpedeveryoneovercometheirembarrassment,andthenthegroupreturnedtotheirwork.
AlthoughmanyCRSprojectmanagersarrivewithconsiderablecross-culturalexperience,the“FromTheorytoPractice”storyfromIndiashowsthateveryone—evenpeoplewithintheirowncountryorcommunity—canbenefitfromlearningmoreaboutthecultureandpeopletheyworkwith.Therearedifferentsub-cultureswithinseeminglyhomogenoussettings.Beverycarefulaboutassumingthatyouknowhowtomanagemulti-culturalteams.Simplethings,suchaswhatyouwearorhowyouaddresspeople,canshowrespect—orinadvertentlyshowdisrespect.Learn about locally appropriate ways to show respect and effectively communicate by carefully observing, asking national staff and reading .Forexample,ifyounoticethatyouaretheonlyonewearingbluejeansintheoffice,considermoreappropriateformalclothes.Youmighthavetospendmoretimeestablishingteamnormsandhelpingstafftopracticethem(e.g.,ensuringthatwomenandyoungerstaffmembershaveanequalopportunitytospeakupandbeheard).
CRS’partnersofpreferenceareChurchorganizationsandtheirsocialservicenetworks.CRSandthesepartnersarelinkedtogetherthroughthevaluesoftheCatholicChurchandasharedvisionofpeaceandjustice.Beawareofandsensitivetotheculturalandorganizationalcultureissuesspecifictothesepartners.Checklist2.4containssuggestionsmadebyChurchpartners.
Checklist2.4:SuggestionsforCRSStaffonWorkingwithChurchPartners
UnderstandtheChurchhierarchyandhowthingswork. LearntheappropriatetitlesforChurchofficials. UnderstandtheroleandplaceofpastoralworkinthemissionofthelocalCaritasor
Churchorganization. Respectthattheyneverintendtoleavetheareawheretheywork.
Maintainarelationshipeveniftherearenoprojectsjointlyimplemented.Aimforalong-term,strategicrelationship.
AreviewofthefivedimensionsofhowcultureaffectsorganizationalbehaviorinSection �, pp . 20-23 canalsohelpyoutounderstandbetterthebehaviorofcolleaguesandpartners.
40PROPACKIICHAPTERIISECTION�
Reflection Opportunity
1. What cultural mistakes have you made in the course ofWhatculturalmistakeshaveyoumadeinthecourseofbelongingtoormanagingaprojectteamwithinCRS?
2. What did you learn?Whatdidyoulearn?3. How did you apply this knowledge afterwards in other projectHowdidyouapplythisknowledgeafterwardsinotherproject
managementsituations?
Managing Cross-sectoral and Cross-departmental Teams Many projects involve staff fromMany projects involve staff frommultiple sectorswhomayviewproblemsandworkdifferently.
Clearcoordinationandclearly-definedrolesandresponsibilitieswillhelpfocusteammembersoncommoninterests.
FromTheorytoPractice:PromotingtheCommonInterest
Inonehigh-profileemergencyresponseproject,CRSwasunderpressuretorebuildcommunityinfrastructure.Intheirworkwithlocalcommunityorganizations,theshelterteamhadashort-termperspective:Theywereinterestedingettingshelterbuiltasfastaspossible.Thecivilsocietyteam,ontheotherhand,wantedabroaderandlonger-termrelationshipwithlocalcommunities;theywantedmoretimetoholdcommunitymeetingsandunderstandcommunitydynamicsbeforeprojectworkbegan.Itwasasignificantchallengefortheprojectmanagertobringthesesectoralteamstogether.
TheCRSFinancialManagementStrategystatesthatsuccessfulfinancialmanagementcallsforinclusion,communication,andactiveparticipationoffinancestaffinprojectmanagementandimplementation.InsomeCRSCountryPrograms,thereislittlecommunication,sharing,andinteractionamongprogramandfinancestaffinprojectplanningandimplementation.
Reflection Opportunity 1. How well did finance staff participate in various stages of theHowwelldidfinancestaffparticipateinvariousstagesoftheprojectcyclefortheprojectyoucurrentlymanage?
2. Where and how might this be strengthened to promoteWhereandhowmightthisbestrengthenedtopromoteauthenticcross-departmentalteams?
Managing Virtual Teams Virtual teams are composed of members who work in different and sometimes distantVirtual teams are composed of members who work in different and sometimes distant
geographic locations .AccordingtoCRS/EuropeandMiddleEast(EME),theusualdifficultiesofmanagingteamsintermsofcommunication,workingtogether,andproducingresultsmaybeamplifiedinvirtualsituationswhereinformalmeetingsinthehallwayarenotpossible.Effectivevirtualteammanagementincludesalltheusualfundamentalswithincreasedemphasisonorganization,communicationandinterpersonalskills.EMEhasproducedaVirtualTeamToolkit thatincludesadviceandtips(e.g.,howtocometovirtualconsensusviae-mail).Thistoolkitcanhelpstrengthenprojectmanagementwhentheteamstretchesacrossdifferentlocations.
Checklist2.5:TipsfromtheVirtualTeamToolkit
Ensurethatworkplansareaccurate,up-to-date,andaccessibletoallteammembers. Respondquicklytophoneande-mailmessages.Ifyoucannotprovideaquickresponse,
acknowledgereceiptoftherequestandletthepersonknowwhenaresponsecanbeexpected. Committoregularphonecheck-instoseehowthingsaregoingandwhatsupportis
neededfromyou.
PROPACKIICHAPTERIISECTION�4�
Managing Difficulties within Teams Adifficult team memberdisplaysbehaviorthatnegatively affects the team’s productivity or
cohesivenessintermsofopenness,trust,commitment,andparticipation.Don’tbecomealarmedtooearly—initialinteractionsmaybequitedifferentthanlaterones.But,ifthebehaviordoesnotsubsideorbecomessevere,thinkaboutdoingsomething.Yourgoalistoreduce,alter,oreliminatetheundesirablebehaviorswithouthurtingself-esteem.Neververballyscoldorembarrasstheindividualeitherinfrontofthegrouporprivately.TheactionslistedinChecklist2.6canhelp.
Checklist2.6:ManagingaDifficultTeamMember
Seektofindoutwhatisbehindthebehaviorbytalkingtothepersoninprivate.Thisteammember’sbehaviormayreflectalegitimateproblemwithhowtheteamisfunctioningorhowitisbeingfacilitated.
Correctdominatingbehaviorduringmeetingsbybeingdirectbuttactful.Say,“Youhavemadeseveralcontributions;Iwanttohearhowothersseethisissue.”
Useinformal,respectedleaderstointervenetactfully. Asktheteamtoself-analyzegroupdynamicsandbringnegativebehaviorstothesurface
fordiscussion.
(Source: Hackett and Martin �993)
Tools and Technologies for Teams A staple tool for team work is a flip chart or whiteboard. Both are used to record ideas, possibleAstapletoolforteamworkisaflipchartorwhiteboard.Bothareusedtorecordideas,possible
solutions,comparisons,anddecisions.Theyhelpfocusateamonthediscussion,recordprogress,andencourageparticipationandinvolvementbyrecordingpeople’sideasandremarks.Othertoolsarelaptopsandprojectors,whichcanbeusedtokeeprecordsthatcanbedisplayedandvisibletoallteammembers.
NewtechnologiesthatfacilitatetheworkofteamsacrossgeographicbordersincludeSharepoint,Breeze,VoiceOverInternetProtocols(VOIP),andWebLogs(Blogs).ThesecanbeespeciallyusefulforCRSprojectsthatspanbordersandinvolvelargenumbersofpartnersasillustratedinthe“FromTheorytoPractice”boxdescribingtheAIDSReliefproject.
FromTheorytoPractice:AIDSReliefandNewTechnologies
CRSistheleadagencyofafive-memberconsortiumthatimplementstheAIDSReliefProject.Thisfive-yearproject’sobjectiveistoprovidepeopleinninecountrieslivingwithHIV&AIDSaccesstohigh-qualityantiretroviraltherapyandmedicalcare.Giventheproject’scomplexity(fivemembers,ninecountries),AIDSReliefisusingSharePointandBreezetoworktogether.
TheSharePointwebsiteallowsstafftopostroughdraftsofdocuments,suchasprogressreportsandassessmenttools,andtocreatediscussionboardsforstaffinmemberagenciesandacrosscountriestoprovidefeedback.Everyonecanfindthelatestversion,andthiseliminatedconcernsaboutpeoplenotgettingcopiedone-mails,orlargedocumentscloggingin-boxes.Workspaceswerealsocreatedforeachcountrythatincludecalendars,workplans,andshareddocuments.Thishelpsstaffacrosscountriestoplanandworkbettertogether.
Breezetechnologyhasespeciallyhelpedtoimprovecommunication.Forexample,abudgetissuearoseduringdetailedimplementationplanning.E-mailswereflyingbetweenCRSheadquartersandaCRSCountryPrograminAfrica.CRSheadquartersstaffeventhoughttheywouldhavetotraveltothecountrytoresolvetheproblem.Instead,theytriedBreeze.BreezeallowedthemtopostaPowerPointpresentationontheissue.Bothpartieswereabletosee,discuss,andworkonthebudgettogetheratthesametime.ThisallowedthemtoclearupthemiscommunicationandfinalizetheDIPwithouthavingtoholdaface-to-facemeeting.
4�PROPACKIICHAPTERIISECTION�
FACILITATING, COACHING AND MENTORING
Facilitators are responsible for structuring teams, groups, or task forces and their activities to attain a particular objective .Theyhelptransformgroupsofindividualsintoeffectiveteamsbyorganizing,communicating,andpayingattentiontogroupdynamics.Theybeginbycreatinganenvironmentofrespectandsafety.Theyemphasizeactivelisteningandencourageateamtoplan,organize,andmonitor.Theyarepatientandmusthaveaspecialsenseoftiming(i.e.,theyknowwhentopushandwhennotto).Facilitationskillsarevitalforprojectmanagers.
Checklist2.7containsexamplesofthetypesofactionsastrongfacilitatorwoulddemonstrate.Placeachecknexttotheonesyouexcelat,andnotetheonesyouneedtoworkon.
Checklist2.7:ActionsofStrongFacilitators
planningforateammeeting knowinghowtoaskquestions beinganactivelistener encouragingopencommunication encouragingteamproblem-solving
encouragingteamdecision-making sharinginformationthroughprogressreviewmeetings givingfeedback communicatingexpectationsclearly strivingforconsensusdecision-making toleratingandmanagingconflict motivatingthroughpraiseandachievement
(Source: Hackett and Martin �993)
Coaching is an overall management approachthat focuses on increasing capabilities of people .Asaprojectmanager,youwillprobablybecalledupontocoachcolleaguesandpartnerstaff.Coachingisnotgivingordersorteachingpeoplehowtogetthingsdone.Instead,coachingprovidesasupportsystem.
Coachesmay also be mentorsdependingontheirexpertiseandexperience.Amentorperformstheroleofacounselor,offeringhelpfulproblem-solvingadvice.Amentor’sadvicemustbebackedupwithpastachievementandrichanddiversereal-lifeworkexperiences.Theymustalsounderstandhowtopassontheirexperiencetoothers.Peopleorpartnersbeingmentoredmustbereceptivetotheideasbeingoffered.Goodmentorsofferupsuggestionsandposealternativesbutrefrain,asmuchaspossible,fromtellingotherswhattodo.
Themosteffectivewaytocoachistoobservethepartnerorpersoninactionandthenprovidespecific,usefulfeedback.Feedbackcanincludeexamplesofbehaviorsorperformancethataregoodorthatshouldbechanged.
Skilledcoachesaskincisivequestionsthathelppeopletothinkmorecriticallyandanalytically(BossidyandCharan2002).Forexample,meetwithhigh-achievingpartnerstodissectsuccess.Howdidtheirpreparation,skills,andattitudescontributetothesuccess?Recognizethesepartnersfortheiringenuityandcreativity.Negativeperformanceresults,mistakesorlapsesshouldalsobeexaminedandanalyzedforlessonslearned.Inyourcoachingrole,discusshowtheselessonsapplytothenextstepsoftheproject.
PROPACKIICHAPTERIISECTION�4�
Capable partners need coaching and support too .CRScanworkwithstrongpartnerstoseekwaysthatbothorganizationscangrowandimprove.
Reflection Opportunity Insteadofplayingtheroleofacoach,someCRSprojectmanagerstakeontheroleofareferee—communicatingwithpartnersonlywhenthereisaproblem.
1. Identify when you have observed a CRS project manager playingIdentifywhenyouhaveobservedaCRSprojectmanagerplayingtheroleofarefereeandcomparethattotheroleofacoachasdescribedabove.
2. What happened? How did this affect both the project and theWhathappened?Howdidthisaffectboththeprojectandthepartnerrelationship?
COMMUNICATING • Communicates honestly and respectfully .
• Shares information on a timely and directed basis .
• Communicates openly with individuals and communities on issues that affect them .
• Provides constructive feedback to others to improve individual and team performance .
• Seeks and appreciates constructive feedback from others .
• Demonstrates careful attention to what information others need to do their jobs . —CRS Values-Based Behaviors
Effectivecommunicationisoneofthekeystostrongpartnershipsandtosuccessfulprojects.Thisrequiresacommitmenttoregulardialogueandnotjustisolatedconversations.Regularprojectreviewmeetingstoshareexperiences,documentlessonslearned,anddevelopspecific,actionablerecommendationscanbequarterlyeventslinkedtoprojectplanning.(SeeChapter VI, Section 3, pp . �97-200formoreinformationonprojectreviewmeetings.)CountryProgramsthathavebeenholdingsuchmeetingsforseveralyearsnowseethefruitsoftheirefforts,includingincreasedinvolvementindetailedimplementationplanning,effectiveM&Esystems,andsmootherprojectimplementation.
Learning to Listen AccordingtoDrucker(1992),oneofthemostbasiccompetenciesofamanageristhewillingness,
ability,andself-disciplinetolisten.Asheputsit,“Anyonecandoit.Allyouhavetodoiskeepyourmouthshut!”Thatsaid,listeningrequireseffort.Itisveryeasytoletyourminddriftwhilelisteningtosomeone.Whatapersonsaysandwhatwehearcanbeamazinglydifferent.Onesolutionisactivelistening.Active listening involves encouraging, summarizing and paraphrasing .Table2.6summarizeswaystolistenactively.
Table2.6:WaystoImproveActiveListening
EncouragingUsefacialexpressions,bodylanguageandcommentstoencouragespeakerstosaymore.Bemindful,however,ofculturaldifferenceswhenusingnon-verbalcues.
Summarizing Whenappropriate,verbalizethekeyelementsoftheconversationuptothatpoint.
Paraphrasing
Usingyourownwords,reflectwhatthespeakerissayingandfeeling.Thisisnot“puttingwordsinpeople’smouths”butratherrespectfullyensuringthatyouhavereallyunderstoodwhatthepersonistryingtogetacrossorexperiencing.Thespeakercanthenacknowledgeyourunderstandingorcorrectit.Paraphrasingcanbeveryusefulwhenclarifyingaproblem.
44PROPACKIICHAPTERIISECTION�
Highly skilled facilitators know how to ask questions . Thisabilityisveryrelevanttoprojectmanagersintheirroleascoaches.Facilitatorsknowandusecategoriesofquestionsthatpromotegreaterparticipationbyothers.ThesearelistedinTable2.7.
Table2.7:QuestionsFacilitatorsAsk
Question Categories Examples
Open-ended questionsarethosethatcannotbeansweredwithasinglewordorphrase,suchasyesorno.Openquestionsareverypowerfulbecausetheystimulatethinking,encouragegreaterdiscussions,anddiscouragepeoplefromprematurelytakingdefinitivepositionsonissuesnotyetthoroughlydiscussed.Theytypicallystartwithhow,whatorwhy.
• Howdotherestofyoufeelaboutthis?
• Howwillthissolutionaffectyou?
• Whatareyourobservations?
• Whatmighthappenifwedon’tsolvetheproblem?
• Ourmonitoringdatashowaslowdowninattendance.Whydoyouthinkthisishappening?
Greater Response Questionsareanadaptationofanopen-endedquestion.Theyhelpdrawoutgreaterinformation.Theyusewordssuchasdescribe,tellandexplain.
• Couldyoutellusmoreaboutthewomen’sresponsestothetraining?
Redirection Questionshelpinvolveotherteammembers.Ifateammemberasksyouaquestion,youmightrespondbyappropriatelyredirectingthequestion.
• ThisrelatestowhatHelensuggestedearlier.Helen,whatareyourthoughts?
Feedback and Clarification Questions.Atcertaintimes,facilitatorsneedtobringclosureorclarificationtoatopic.
• Wherearewe?Willsomeonesummarizeourposition?
Close-ended Questionsaretypicallyansweredinayes,noorshortresponse.Closedquestionsarelegitimateandserveaclearpurpose(e.g.,clarification)butmaybeaskedtoofrequentlybyinexperiencedfacilitators.
• Whatwastherate?
• Isthetaskclear?
• Wouldyouliketostopnoworcontinuetomorrowmorning?
(Source: Hackett and Martin �993)
Reflection Opportunity 1. Consider this question: “Isn’t the Proframe helpful to you inConsiderthisquestion:“Isn’ttheProframehelpfultoyouinprojectdesignandmonitoring?”Whyisthisaleadingquestion?
2. How would you transform it into an open question followingHowwouldyoutransformitintoanopenquestionfollowingtheguidanceinTable2.7?
Get Out, Walk Around and Socialize
Where do you actively listen?Ifitoccursonlyinyouroffice,thinkabouthowthisaffectsyourmanagementofprojects.Projectmanagersaremostlikelyoutoftouchwiththerealitiesoftheproject’simplementationiftheydonotmaketheefforttoknowwhatishappeningoronlyinteractwhentheyhaveto.Frequent and direct communicationallowsyoutofindoutwhatis
PROPACKIICHAPTERIISECTION�4�
andisnotworking;howpeoplefeelabouttheproject;andhowstaffandprojectparticipantsareapproachingimplementation.Ithelpstoidentifyproblemsbeforetheyoccurorgetworse.YoucandothisinformallybyfollowingtheactionsinChecklist2.8.
Checklist2.8:HowtoIncreaseListeningandCommunicationOpportunities
Walkaroundyourofficeonceaday. Getouttothefieldtotalkwithpartnersandprojectparticipants. Haveanoccasionallunchwithstafforpartnerstogettoknowthemanddiscuss
mutualconcerns. Don’tlimityourselftotalkswithhigh-levelcolleaguesorpartnerstaff.Talktodriversand
projectparticipants,forexample,andgettheirviewsandopinions. Takepartinsocialeventswithstaff,suchasweddings,funerals,child-namingceremonies,
etc.Thisbreaksdownstatusbarrierswithintheoffice.
Reflection Opportunity 1. Think about a project that you are currently managing. How doThinkaboutaprojectthatyouarecurrentlymanaging.Howdoyouactivelylistenandlearnaboutwhatishappening?Listalltheways,andbespecific.
2. Now review your list. Can you add to the “get out, walkNowreviewyourlist.Canyouaddtothe“getout,walkaroundandsocialize”checklist?Whatmightyoustartdoingthatisfeasible?
Communicating Clearly and Promoting Dialogue Inadditiontolistening,a second key competency for communication is the willingness to
make yourself understood.Drucker(1992)writesthatfartoomanymanagersbelievethatwhattheydoandwhytheydoitmustbeobvioustoeveryoneinvolvedintheproject.Itneveris.Fartoomanybelievethatwhentheyannouncethings,everyoneunderstands.Noonedoes,asarule.Effectivemanagersspendtimemakingthemselvesunderstoodandclearlycommunicatingtheirexpectationstostafforpartners.Clearcommunicationenablespeopletobeself-directed,providesacontextforfeedbackandevaluation,andpromotesconfidenceandtrust.
Communicationmechanismswithinprojectmanagementincludetelephone,e-mail,face-to-facemeetings,meetingminutes,presentations,meetingorevaluationreports,progressreportsandotheritems.Therearemanyweb-basedresourcesthatprovideinformationtoimproveskillsindevelopingandmakingpresentationsorusingPowerPointslides.SeetheRelated Readinglistattheendofthissectionformoreresources.
Face-to-Face Communication
Inface-to-facecommunication,onlyaverysmallpercentofemotionalmeaningisconveyedbywords—therestiscommunicatedbygestures,toneofvoice,facialexpressions,andothernon-verbalcues.
Whatistheprojectmanagerintheworkshopillustrationreallysaying?Peoplewillmoreoftenbelievenon-verbalcommunicationevenwhenitcontradictswhatisbeingcommunicatedverbally.
4�PROPACKIICHAPTERIISECTION�
E-mail Communication
E-mailsdonothavenon-verbalcommunicationtosupplementorclarifywhatiswritten.Itiseasytooffendorhurtsomeoneviae-mail,soitisimportanttobeasclear,conciseandpoliteaspossible.Checklist2.9 offers suggestions for e-mail etiquette.offerssuggestionsfore-mailetiquette.
Checklist2.9:E-mailEtiquette
Keepthee-mailbriefsothatreadersdonothavetoscroll. Writeaspecificsubjecttitlesothattherecipientknowswhattoexpect.Write“May2
HIV/AIDSprojectreviewmeeting”not“meeting.” Labelattachedfileswithappropriatedetails.Write“ProgressReportPeacebuildingin
MindanaoJanuary–December2004”not“donorreport.” Createamailinggrouptoavoidscrollingthroughnamesandtorespectanonymity. Donotsendlargeattachmentsunlessyouaresuretherecipient’ssystemcanhandlethem. Watchoutforventingemotionsonline.Beforesendingane-mailask:WouldIsaythisto
theperson’sface?HowwouldIfeelifIgotthise-mailmessage? Avoidsendinge-mailsaboutsensitivetopicswhenmisinterpretationcouldhaveserious
consequences.Examplesare:disciplinaryaction,concernsaboutcolleagues,orcomplaints.
Emergency Program Telecommunications
InemergencyprogramswhereCRSoperatesinremoteareas,accesstotelephonenetworksmaynotexistormaybeunreliable.EmergencyTelecommunications:AManualfortheManagementofEmergencyTelecommunicationsbytheCRSEmergencyResponseTeamprovidesguidelinesforCRSstaffonsettingupappropriateautonomoustelecommunicationsnetworks.ThemanualisalsoavailableontheCRSIntranet.
Dialogue versus Discussion
Dialogueisakeyskillofpeoplewhoseektofosteragenuinelearningenvironmentororganization.Dialogueismorethantwo-waycommunication:it involves sharing experiences, appreciating others’ perspectives, listening carefully and learning from others .Onedifferencebetweenasimplediscussionanddialogueisthedegreetowhichpeoplespeakinginthegroupareengaged.Projectmanagerscanencouragedialogueamongprojectstaff,partners,participantsandotherstakeholdersasapartoforganizationallearning.
Giving Effective Feedback Feedback is when you tell someone(acolleague,someoneyousuperviseorapartnerstaff
member)your perceptions about how they are performing on a timely and ongoing basis .Itincludesbothpositiveandcorrectiveobservationsandisgivenoutsideofanyformalperformancereviewprocess.
OneoftheCRSManagementQualityPrinciplesisthatallCRSstaffgiveandreceivefeedbackconstructively.Clear and direct feedback providedtoCRScolleaguesorsubordinates reduces uncertainty, solves problems, builds trust, strengthens relationships and improves work quality .Positivefeedback,whenauthentic,isasuperb,simple,andno-costtooltomotivatestaffmembers.
Withalloftheseadvantages,feedbackmustbeusedfrequently,right?Wrong.Itissurprisinghowlittlefeedbackisactuallypracticed.Thismayhappenbecausemostpeopleperceiveanykindoffeedbackascriticismandmakeithardforevenwell-intentionedprojectmanagerstowanttogiveitagain.Anotherreasonisthatwhenthingsgowell,weoftenforgettoaffirmgoodworkthroughfeedback.Breakingthiscyclemeanslearninghowtodoitwellandlearningtobelessdefensive(Magretta2002).
PROPACKIICHAPTERIISECTION�4�
Reflection Opportunity
1. Doyouregularlyprovidepositiveorconstructivefeedbacktocolleaguesorstaffmembersyousupervise?
2. Ifso,whatbenefits,ifany,haveyouobserved?3. Ifyoudon’tprovidefeedback,whynot?
Ifyouhaveneverprovidedfeedbacktocolleagues,staffmembersyousupervise,orpartners,seethespecificguidelinesongivingandreceivingfeedbackincludedinChapter VI, Section 5, pp . 209-2�2 .
DEVELOPING ORGANIZATIONAL SKILLS
Nothavingenoughtimetodesign,planormonitorprojectsisafrequentcomplaint.TimemanagementissuesmayrelatetooverambitiousproposalsorDIPs;continuallydevelopingunreasonableworkloads;spendingtoomuchtimeondetailsandtrivia;holdingpoorlyrunmeetings;failingtodelegate;hiringthewrongpersonforthejob;notinvestingenoughinrelationship-buildingfromthebeginning;oranynumberofotherreasons.
DoingaDIPtotameanoverlyambitiousproposalandcarefullyhiringthetalentneededforprojectmanagementandimplementationcanhelp.ThesetopicsarecoveredinChapters III, IV, and V.Ifanyofthetimemanagementissuesarerelatedtodifficultiesprioritizingday-to-daytasks,holdingpoorly-runmeetings,orfailingtodelegate,theguidelinesbelowcanhelpimproveefficiency.
Learning How to Manage Time Keep an activity log to analyze where your time goes .Keep an activity log to analyze where your time goes .Activitylogshelpanalyzehowyouactually
spendyourtime;memoryaloneisaverypoorguide.Decideonatimeunit,suchas30-minuteintervals.Throughouttheday,jotdownwhatyouaredoingduringeachinterval,andbehonest.Ifyouaredaydreamingordrinkingtea,writeitdown—noonewillknowbutyou!Attheendoftheday,summarizeyouractivitiesintocategories.Youmaybealarmedtoseethelengthoftimeyouspendonlow-valuejobs.Youmayalsoseethatyouareenergeticduringsomepartsofthedaybutflatduringothers.
Now,useyourlogtoidentifywhat’skeepingyoufromgettingthingsdone.ReviewingChecklist2.10mayhelpyoureducesomeofthesetimewasters.
Checklist2.10:TimeManagementTips
Minimizetimewasterslikeunnecessaryphonecalls,deskclutter,unscheduledmeetings,andconstantcheckingofe-mail.
Say“no”firmlybutgracefullytorequestswhenyoufeeloverwhelmed. Scheduleyourtimeeachdaywithroomfortheunexpected. Blockoutsometimetodoyourmostimportanttasksatthetimeofdaywhenyou
workbest. Betterestimatethetimeittakestodothings. Takethetimetodoitrightthefirsttime;youwon’twastetimedoingitover. Finishwhatyoustart.Don’tjumpfromonethingtoanother,leavingastringof
unfinishedtasksbehind. Don’tkeeppaperonyourdeskorofficejustincase.Fileit,andwhenindoubt,throwitout. Haveaplanforhowyouspendyourtimeandfollowit.Ifitdoesn’twork,changeit. Setasideamagichoureachweekanddofivethingsyou’vebeenputtingoff.
(Source: Jud 2005; www .mindtools .com)
4�PROPACKIICHAPTERIISECTION�
Prioritizing
Onekeytotimemanagementistheabilitytosetthe right priorities and get them done.AccordingtoDrucker(1992),thelargesttimewasterintheworldistobecomeabsolutelyefficientindoingsomethingthatshouldn’tbedoneatall!Simplywritingandprioritizingadailyorweeklyto-dolistcanhelpimprovetimemanagement.
Checklist2.11:HowtoPrepareaTo-DoList
Review (for example) the DIP Activity Schedule, and mark the activities you areReview(forexample)theDIPActivitySchedule,andmarktheactivitiesyouareresponsibleforortheworkobjectivesthatyou’veset.
List the things you need to do over the course of the day or week to accomplish theseListthethingsyouneedtodooverthecourseofthedayorweektoaccomplishtheseobjectivesinanyorderthattheyoccurtoyou.
When you complete the list, immediately assign priorities.Whenyoucompletethelist,immediatelyassignpriorities. Decide if there are any items you can delegate or re-direct to others.Decideifthereareanyitemsyoucandelegateorre-directtoothers. Once you’ve prioritized, start with the items at the top of your list.Onceyou’veprioritized,startwiththeitemsatthetopofyourlist.
Howdoyouprioritizeto-doitems?Mostpeople’sprioritiesdependondeadlines,thesourceoftherequest(partners,projectparticipants,yoursupervisororothers),thepossibilityofincurringcosts,thepoliticsofthesituation,andothersuchfactors.Whenitseemsyouhavetoomanypriorities,askyourselfthefollowingquestionstoidentifythosefewthingsthatneedtogetdonetoday.
• Whichrespondmosttotheneedsofanimportantprojectstakeholder(adonor,partner,projectparticipantsorothers)?
• Whatisthegravityoftheconsequencesofnotdoingthis?
• Whichwillprovidethebiggestpayofffortheeffort?
ThinkAboutIt … Are You a Prisoner of E-mail?Don’tletyourselfbecomeaprisonerofe-mailtrafficorotherofficebusy-ness.Thisprisonerstatusoftenresultsinconstantlypostponedfieldvisits,tripreportsthatjustnevergetwrittenordetailedimplementationplanningthatjustcannotgetdone.Focusonyourproject’sIRsandSOs,andpartnerrelationships.Thiswillhelpyoutoprioritizeactivitiescentraltoyourproject’ssuccess.
Scheduling
Scheduling is the process of looking at the time available to you and planning how to use it to achieve objectives and the prioritized activities you’ve identified .Diaries,deskcalendars,personaldigitalassistants(PDAs)orotherorganizersarehelpfulschedulingtools.Checklist2.12providesguidanceonhowtoscheduletime.
Checklist2.12:HowtoScheduleYourTime
Maketimeforschedulingatthestartofeachday,weekormonth. Blocktimeoutonyourcalendarforyourwork,notjustformeetings. Blockintheactionsyouabsolutelymustdosothatyourprojectstaysontrack(meetings,
planning,etc.). Reviewyourto-dolistandscheduleinthehigh-priority,urgentactivities.
Blockincontingencytimebasedonyourexperience. Whatevertimeleftisyourdiscretionarytime(i.e.,timeavailabletoaccomplish
otherpriorities).
Ifyourdiscretionarytimeistoolimited,reviewyourto-dolistandprojectworkpriorities.Areyourworkprioritiestooambitious?Canyoudelegatesomething?Ifnot,youmayneedtorenegotiateyourworkload.
PROPACKIICHAPTERIISECTION�4�
Reflection Opportunity
1. Whichofthetimemanagementideas,tips,orguidanceaboveisMOSTrelevantandculturallyappropriateinyourprojectmanagementsituation?
2. Whichwouldbeeasyforyoutoimplement,andwhy?3. Whichwouldbemoredifficulttoimplement,andwhy?
Learning How to Run Effective Meetings Meetingsareakeymechanismtocommunicatewithpartnersandotherprojectstakeholders.
InCRSprojectmanagementwork,thecostsofholdingmeetingscanbeveryhigh:Itmaymeanflyingtoremoteareasofacountryormakingabiginvestmentintimeandlogisticstogatheravarietyofprojectstakeholderstogether.Improvingyourskillsinrunningmeetingswillmakethesecostswellworthit.
Ifyourmeetingstendtobevirtual,consulttheVirtualTeamToolkitmanualforguidance.AlsoconsiderBreezeorothertechnologiesmentionedearlierinthissection.
Reflection Opportunity
1. Think of the best-run project meeting you ever attended. NoteThinkofthebest-runprojectmeetingyoueverattended.Notewhatmadeitsogood.
2. Think of the worst-run project meeting you ever attended. NoteThinkoftheworst-runprojectmeetingyoueverattended.Notewhatmadeitsobad.
3. After you read the next section, compare your answers to theAfteryoureadthenextsection,compareyouranswerstotheinformationpresented.Whatdoyouagreewithbasedonyourownexperience?Whatwouldyouadd?
Organizing and Hosting a Meeting
First,decideifyouneedameetingatall!Groupsarenotgoodfororganizinglargeamountsofdataorforwritingreports.Individualsdothosethingsbetter.Meetingsarealsonotappropriateforconfidentialissuesthatcan’tbeshared.Meetingsaregoodforbrainstorming,exchangingopinionsandinformation,identifyingproblems,discussingissuesandmakingfinaldecisions.Ifyouneedameeting,prepareitwellusingtheguidelinesinChecklist2.13.
Checklist2.13:MeetingPreparationTips
Clearlydefinethepurposeofthemeetingandwhythisgroupofpeopleisinvolved. Prepareanagendaoftopicstobecoveredwithenoughtimescheduledforeachtopic Clarifyprocedures(brainstorming,other)thatwillbeused. Chooseameetingtimethatisconvenientandappropriate. Sharetheagendawithmeetingparticipantswellinadvance.
Gatherallnecessarymaterials(documents,audiovisualsupport)beforethemeetingstarts. Clarifyroles(whoisfacilitating,recording,etc.). Setgroundrulesornorms.
(Source: Vella �995)
YoucanalsohelpensurethatthefivemajorcausesofpoormeetingsareeliminatedbyfollowingthesolutionsinTable2.8.
�0PROPACKIICHAPTERIISECTION�
Table2.8:FiveMajorCausesofPoorMeetings
Causes Solutions
Late-starting meetingsArriveearly,andgetorganized.Beassertive,andstartontime.Ifmeetingsbeginlate,youarerewardingtardyparticipantsandpenalizingon-timeparticipants!
Wandering from the Agenda and a Tendency to Gripe
Setthepurpose,agenda,andscheduleofthemeeting,checkingthatpeopleagree.Tactfullyrefocusthegroupbackontheagendapurposeandcurrentitem.
Failure to End Meetings on Time
Alwaysindicatetheendingtimeonthemeetingnotification,andendmeetingsatthedesignatedtime.
Lack of SummarySummarizetheactionordecisionaftereachagendaitemandattheendofthemeeting.Indicatetimeframesandresponsibilitiesforeachactionitem.
Lack of MinutesUseflipchartsheetsasminutes.Takefiveminutestorecordselectivemajoractions,decisions,andassignments.Makeitthenormtodistributethisthenextdayorearlier!
(Source: Hackett and Martin �993)
Preparing the Meeting Room
Ifteammembersarenotcomfortable,theywillnotfocusontheobjective.Irritationsmayincludetemperature,noise,lighting,seating,orventilation.Dirtyoruntidyrooms,insufficientsupplies,andmissingorbrokenequipmentalsoaffectthequalityofameeting.Theroom’sarrangementisessentialtogroupeffectiveness.Seatingpeopleinrowscanunknowinglypromotehierarchicalrelationships.Considerusingacircleorsmalltablearrangement.Teamswithlotsofdocumentsneedtables,andpeopleshouldbeabletoseeeachothereasily.
PROPACKIICHAPTERIISECTION���
Learning How to Delegate Empower staff through opportunities for growth, development, leadership and delegation of
appropriate authority and responsibility . —CRS Values-Based Behaviors
TheCRSGuidingPrincipleofSubsidiarity,discussedinChapter I, pp . 6-7,guidestheagencystrategyofworkingwithpartners.ThefollowinginformationappliestotheCRSvalue-basedbehaviorofappropriatelydelegatingtoprojectstaffyousuperviseasaprojectmanager.
Itisnottruethat,“Ifyouwantsomethingdoneright,doityourself!”Failuretodelegatemaybecausedbyproblematicattitudesorfears,suchas“IfthepersonIdelegatetomessesup,I’llbeblamed!WhenIdelegateIlosecontrol.WhatIdelegateneverseemstogetdonethewayIwant (Jud2005)!”
Delegatingcanimproveyourownefficiencyinprojectmanagementbecauseitallowsyoutoconcentrateonothertasks.Inaddition,bydelegatingtherighttasktotherightprojectstakeholder,youaregivingthatpersonorgroupanopportunitytoshowofftheirskills,developinitiativeandhandleresponsibility.
Checklist2.14includeshelpfulguidelinesondelegating.
Checklist2.14:HowtoDelegateProductively
Selecttherightpersonforthejobandthenallowthatpersonenoughroomtodoit.Talentedstaffshouldhaveopportunitiestocomeupwiththeirownideastoaddressproblemsorimplementsolutions.
Agreeontheresultsyouwantthepersontoproduce.Thesecanbesetaspartofperformanceexpectations.
Ensurethatthepersonhasallthematerials,equipment,andotherresourcestocompletethetaskandachievetheresult.
Specifytheauthoritythatthatpersonhastomakedecisionsandensurethatthisisclearlyandmutuallyunderstood.
Identifyhowprogressorresultswillbemeasured. Don’trelinquishallcontrolandhopethejobgetsdonesomehow.Setmutuallyagreed
upontimelinesanddeadlinesandperiodicallyfollow-uptomakesurethetaskgetsdoneanddoneright.
Developanappropriateagreementabouttheabovedecisions.
(Source: Adapted from Jud training materials 2005)
Reflection Opportunity 1. Thinkaboutthelastjobresponsibilityortaskyoudelegatedtoasubordinate.
2. Howdidyouapplytheaboveguidelines?Whichdidyoufollow-upon?Whichdidyoutendtoignore?
3. Whatweretheconsequences?
��PROPACKIICHAPTERIISECTION�
DECISION-MAKING
• CRS entrusts decision-making to those who have the best understanding of the issue .
• CRS staff build the shortest path to good decisions . —CRS Values-Based Behaviors
Throughouttheprojectcycle,youandotherprojectstakeholderstakedecisions.Whichproblemoropportunityshouldbeaddressed?Whichprojectstrategyisbest?Whichprojectstaffshouldbehired?Ifmonitoringrevealsproblems,whatprojectactivitiesneedrethinking?Avoidingtoughdecisionsmeansproblemswillfesterandbecomeevenmoredifficulttoresolve.
Decision-makingisn’tamatterofarrivingatarightorwronganswer—it’samatterofselectingthemosteffectivecourseofactionfromamonglesseffectivecoursesofaction.YourroleasaCRSprojectmanageristofacilitate a process to make well-justified decisions,nottoimposethem!Ifyouandprojectpartnersarewellprepared,haveacleargraspoftheissue,theoptions,andtheconsequences;thenactandtakeadecision.Usedata and common sense.Formostdecisions,consultappropriateprojectstakeholderssothatcollectiveknowledge,experience.andjudgmentofthegrouparepooled.
Ontheotherhand,don’tanalyzeaproblemtodeath.Itiscowardicetopostponeadecisionuntilanotherunnecessarystudyiscompleted.All decisions involve some degree of risk,andmanagersarepaidtomakedecisionswheretherulesaren’tclear(Reynoldsetal.1993).
Thereisnobestwaytomakeadecision.Considerationslinkedtotheappropriatedecision-makingapproachareinTable2.9.
Table2.9:ChoosinganAppropriateDecision-makingApproach
Decision-making Approach Rationale
Teamleadermakesadecisionandcommunicatesittothegroup.
• Littletimetomakethedecisionwithoutadverseimpact.
• Groupislikelytosupportandimplementthedecision.
Gatherinputfromindividuals,andthenteamleadermakesthedecision.
• Needexpertopiniontomakeinformeddecisions.
• Teaminterestsarerepresentedbyselectedindividuals.
Gatherinputfromgroupmeeting,andthenteamleaderusesinputtomakedecision.
• Veryimportantdecisiontomanypeople.
• Synergymayprovidegoodoptions.
• Opportunitytobuildcommonunderstandingofsituationandgroundworkforimplementation.
Entiregroupreachesadecisionthateveryoneunderstands,cansupport,andiswillingtoimplement.Ifagreementcannotbereachedwithinthetimeallowed,afall-backdecision-makingoptionisused(consensus).
• Changerequirescompleteunderstandingandbuy-in.
• Needexpertiseofentireteamtodesigneffectivechange.
• Teamisexperiencedinconsensusprocess.
(Source: Adapted from Training Resources Group, undated)
Reaching Consensus Makingdecisionsbyconsensushasmanyadvantagesinstrengtheningpartnerrelationsoverthe
courseofprojectmanagement.Itcanencourageteamworkandcreateequityandownership.
PROPACKIICHAPTERIISECTION���
Consensusbuildingisaprocessthatdoesthefollowing:
• providestrueagreementaboutaplan,approach,orstepstobetaken;
• activelyengagespeopleintheprocess;and
• resultsinpeoplesaying,“Myviewhasbeenaccuratelyheard,”and“Iwillsupportthedecisioneventhoughitmaynotbemyfirstpreference.”
Consensus is the voluntary giving of consent—awin/winsituation.It’sdifferentfromvoting,whichisawin/losesituation.Again,asperTable2.9,knowwhentouseconsensusandwhennotto.Judiciously use consensus for decision-making, and ensure it is well done .Don’tuseconsensusasasmoke-screentoavoidmakingtoughdecisions!Applyingitblindlytoanyprojectdecisionthatneedstobemadewillresultinparalysisandcontributetowastingtimeinmeetings.Table2.10includesguidelinesforcomingtoconsensusinameeting.
Table2.10:HowtoReachConsensusinaMeeting
In general the meeting should:
• Provideaclimateandstructurethatviewsconflictasinevitableonthewaytoconsensus.
• Emphasizefactoveropinion.
• Encouragenegotiationandcollaboration.
• Usestructuredexercisestoworkthroughtheprocess.
Before the group meets:
• Ensurethattherightpeoplearegoingtobeatthemeeting.Involvethosewhoareaffectedbythedecision,thoseimplementingit,andthosewhosesupportisnecessaryforimplementation.
• Ensurethateveryoneispreparedtoachievethepurposeofthemeeting.
• Communicateaclearideawhythisgroupiscomingtogetherandwhatwillbedone.
During the meeting:
• Beclearabout“whatitiswe’retryingtogetdone.”Keepthiscommonpurposeclearlyinfrontofthegroup.Verifyagreementthat“thisiswhatwearetryingtogetdone.”
• Askforideasabouthowtheissueorproblemcouldbeaddressed.Useopen-endedquestions.Trackideasonflipchartorwhiteboard.Usesummarizingskillstoreviewdifferentideas.
• Provideopportunitiesforclarification.ThisisNOTdebateonthequestion,butclarifyingtheproposedideastobediscussed.
• Checkforagreementonanyoftheproposedideas.Ifallagreeatthispoint,summarizetheagreementandadjournthemeeting.
• Identifyanddiscussconcernswitheachproposedidea.Summarizepointsandclarifydifferences.Listconcernsonflipchartorwhiteboard.
• Combinepartsofideasordevelopnewideastomeetconcerns.
• Testforagreement/worktoresolvedisagreements.Summarizewhatyouseeasthe“evolving”decision.Whenitseemstough,ask:“Doyouagreethatthisisthebestsolutionthatwecandeveloptogether?”or“Basedonthisdiscussionandourneedtotakeaction,canyouagreetothisasapracticalsolution,perhapsnotidealbutachievable?”
• Resolvedisagreementbygoingaroundandaskingeachpersontostatewhatdecisiontheywouldrecommendoraskingpeopletoreviewthemainreasonthat’skeepingthemfromagreement.
• Gaugewhenthegrouphastalkedaboutsomethingenough.Toomuchdiscussioncausesagrouptoloseinterest.Signsthatyou’vereachedthispointincludethatpointsorargumentsbegintogetrepeatedwithoutanynewknowledgeorideasandthatindividualshavehadareasonableamountofinput.
�4PROPACKIICHAPTERIISECTION�
Consensus is achieved when each individual involved can nod yes to these questions:
• Willyouagreethisisthenextstep?
• Canyoulivewiththisposition?
• Areyoucomfortablewiththiscourseofaction?
• Canyousupportthisalternative?
NEGOTIATING AND MANAGING CONFLICT Inthecourseofprojectmanagement,thereareinevitabledisagreementsandconflictsthat
arisegiventhenumberanddiversityofstakeholdersinvolved.Returningtotheideaof“knowthyself”asamanager,youmightbeginbystudyinghowyourespondtoconflict.TheCaritasPeacebuildingmanual(2002)includesaPersonalConflictStyleInventoryonpages131–35.Answeringthequestionsinthisinventoryallowsyoutofindoutmoreaboutyourpreferredstyleofconflictmanagement.Thereisnorightorwrongstyle;particularsituationsmaymakedifferentstylesmoreorlessappropriate.ThePeacebuildingmanualdefinesthesefivestylesasshowninTable2.11.
Table2.11:FiveStylesofConflictManagement
Collaborating/Cooperating
Conflictseenasnaturalandneutral,soyoutendtoaffirmdifferences,prizeeachperson’suniqueness,andrecognizecontrastsinviewpoints.Youassertyourviewswhileinvitingothers;welcomedifferences;identifyconcernsandsearchformutualagreement.
CompromisingConflictseenasamutualdifferencebestresolvedbycooperationandcompromise.Ifeachcomeshalfway,progresscanbemade.Youtendtourgemoderation,bargain,andfindalittlesomethingforeveryone.
AccommodatingConflictseenasdisastrous,soimportanttoyield,putrelationshipsfirst,keepthepeaceatanyprice.Youtendtolettheotherviewprevail,givein,acknowledgeerror.
AvoidingYouseeconflictashopeless,soyouavoidit.Youtendtodelayoravoidresponses,withdraw,beinaccessible,ordivertattention.
ForcingYouseeconflictasobvious,andthecentralissueisfindingoutwhoisright.Youtendtocontroltheoutcome,discouragedisagreement,andinsistthatyourviewprevail.
Behave in an emotionally intelligent manner (self-awareness, self-regulation, motivation, empathy and social skills) .
—CRS Values-Based Behaviors
Thereareothermodelsandtheoriestoincreaseawarenessofhowonemanagesconflict,suchasTransactionalAnalysisdescribedinI’m OK, You’re OKbyThomasA.Harris(1976).
Somedisagreementscandisintegrateintoasituationwhereeachoftheprojectstakeholderstriestoprevailthroughawin/loseconfrontation.Insuchconfrontations,thereisalwaysawinnerandaloser.Inlong-termrelationships,thesekindsofwin/loseconfrontationscanjeopardizetherelationshipitself(Jud2005).
PROPACKIICHAPTERIISECTION���
Negotiating agreement is a way of managing conflicts and resolving differences that promotes a win/win outcome .Itusesastep-by-stepprocessdescribedinTable2.12.
Table2.12:FourStepstoNegotiatingAgreement
Step One: Separatepeoplefromtheproblem.
Acknowledgefeelingsandemotionsaslegitimateandallowpeopletoexpresstheiranger.Useactivelisteningskills.Encouragepeopletoseedifferencesasaproblemtobesolved,ratherthanabattletobewon.Itmeansthatthesidesjoinforcesandcollectivelybeatupontheproblem!
Step Two: Focusoninterests,notpositions.
Interestsareunderlyingneeds,desires,concerns,valuesorfears.Positionsarecategoricalstatementsthatclosedownnegotiation.Considertwopeoplequarrelinginadoctor’swaitingroom.Onewantsthewindowopenandtheotherwantsitclosed.Theybickerbackandforthaboutthisforsometime.Enterthereceptionistwhoasksonepatientwhyshewantsthewindowopen?“Togetsomefreshair,”shereplies.Andwhydoestheotherwantitclosed?“Toavoidthedraft.”Afterthinkingitover,thereceptionistopensawindowinthenextroom,bringinginfreshairwithoutadraft.
Thesetwopeoplewerebickeringovertheirpositions.Thereceptionistfocusedontheirunderlyinginterests(i.e.,freshairandnodraft)—shefocusedondefiningtheactualproblem.
Identifyinterestsbyasking,“Why?”Uncoveringinterestsmakesitpossibletofindsolutions.Whenconflictingpartiesareencouragedtoexploretheunderlyingintereststhatcausedthemtosettleontheirpositionsinthefirstplace,theyarefreedtoexploreawholevarietyofmutuallysatisfyingsolutions.
Step Three: Worktogethertocreateoptionsthatwillsatisfybothparties.
Brainstormingisaveryusefultechniquehereasitinvolvesideageneration(notevaluation).Lookforsharedinterests,andhelppartiesexploreawidenumberofoptionalsolutionsratherthandefendingone’sownideastothedeath.
Step Four: Insistonusingobjectiveormutuallyacceptablecriteria.
Themoreyoubringstandardsoffairness,efficiency,mutuallyagreeduponobjectivecriteria,orscientificmerittobear,themorelikelyyouaretofindasolutionthatiswiseandfair.
(Source: Fisher and Ury �98�; Caritas 2002)
��PROPACKIICHAPTERIISECTION�
MOTIVATING STAFF AND PARTNERS
Empower staff through opportunities for growth, development, leadership and delegation of appropriate authority and responsibility .
—CRS Values-Based Behaviors
Doyouthinkthatfinancialcompensationoraccesstodonorfundsarekeyfactorsthatmotivatestaffandpartners?Studieshaveshownotherwise.Withinorganizations,nomatterhowgenerousthepay,the key to attracting and retaining talented people depends on how well managers recognize and praise employees for good workandhowmuchtheyshowinterestandcare
foremployees.
Motivatingandinspiringprojectstaffandpartnersenergizesthemandhelpsthemtoovercomemajorobstaclestheymaybefacinginprojectimplementation.Mostpeoplewillworkhardifyoutakeaninterestinthemandtheirworkandhelpthemtodowell.Achievementmotivates people .Itallowsthemtogainconfidenceandbecomebetter.Peopleneedtohaveasenseofprogressionandgrowth.Practicingdelegationwillfosterthis(Reynoldsetal.1993).
Youcanalsoshapeaprojectenvironmentthattapsintoanaturalhumandesirecalledself-interest.Self-interestisnotthesameasselfishness.It’savitalpartofhumanityandwhatdrivesallofustosomeextent.Youcaninspirecommitmentbysynchronizingprojectstakeholders’personalgoalsorinterestswiththoseoftheprojectstheyareinvolvedin(Nigro2003).
Drucker(1992)suggestsusingstar project performerstoraisethesights,vision,expectations,andtheperformancecapacityofothers.These staff members or partners can function as teachers of their colleagues and peersbysharinghowtheyachievetheiroutstandingresults.
FromTheorytoPractice:PositiveDevianceasaMotivationalTool
Positivedevianceinvolvesfirstidentifyingindividualsorgroupswhofollowoptimumpractices,strategies,orbehaviors,enablingthemtofindbettersolutionstoproblemsthanotherswhohaveaccesstothesameresources.Theseindividualsorgroupsarethenenlistedtomodeltheirapproachestocolleaguesorpeers.Firstusedincommunitynutritionprograms,theapproachisbeingexpandedtoothercapacitystrengtheningorbehaviorchangesettings.
Tosummarize,youcanmotivatestaffandpartnersbydoingthefollowing:
• providingchallengingandinterestingassignments;
• involvingpeopleindecision-making;
• supportingpeoplethroughfeedback,coaching,modelingandsheerenthusiasm;and
• recognizingandrewardingallsuccessesviafeedback,publicrecognition,etc.
Reflection Opportunity 1. In your project management experience, what was the mostInyourprojectmanagementexperience,whatwasthemosteffectivewaytomotivateandenergizeprojectstaff,partnersandcommunitymembers?
2. Why did this work so well?Whydidthisworksowell?
PROPACKIICHAPTERIISECTION���
RELATED READING
FollowingisalistoftraditionalandonlineresourcesavailableifyouwouldliketoreadmoreabouttheinformationpresentedinChapterII.PleaseseetheReferenceListlocatedattheendofthemanualforacompletelistofalltheresourcesusedinProPackII.
Section 1—Foundations of Project Management • Drucker,P.F.1992.Managing the Non-Profit Organization: Principles and Practices . NewYork:
HarperCollinsPublications.PeterDruckerisconsideredamanagementguru,andideasfromthisclassicbookareoftenreferredtobyothermanagementwriters.
• CheckinyourregiontoseeifcolleagueshaveattendedamanagementorleadershipworkshopbyconsultantBobJud.CRShasproducedasetofvideosandDVDsfromBobJud’strainingthatyoumayviewformoreinformationontopicsinthischapter.
Websites
• http://www.acfid.asn.au/pubs/beyond_the_horizon/b_t_hprojmmt.htm Thiswebsite(fromtheAustralianCouncilforInternationalDevelopment)includesan excellentprioritizedreadinglistforprojectmanagersrelatedtomanagementandimplementation.
• http://www.ngomanager.org/index.htm TheNGOManagerwebsiteincludesmanagementtoolsandresearchfornon-profitsworldwide.
• http://www.onepine.info TheOnepinewebsitehasinformationonworksbymajormanagementtheoristsalongwith
excellentshortsummaries.
Section 2—Project Management and Partnerships • MoreinformationonpartnershipphasescanbefoundinCRSPartnershipProgramming
Guidance(2002).
• ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogueisalsoanexcellentresourceforstrengtheningpartnerships.
Websites Below are useful websites for more information on Appreciative Inquiry.BelowareusefulwebsitesformoreinformationonAppreciativeInquiry.
• http://www.iisd.org/ai/default.htm ThiswebsiteprovidesinformationonAppreciativeInquiryandCommunityDevelopment.
HostedbytheInternationalInstituteforSustainableDevelopment(IISD),itincludesinformationonhowAppreciativeInquiryisappliedinIISD’sworkinIndiaandnorthernCanada.
• http://appreciativeinquiry.case.edu/practice/nonprofit.cfm Thiswebsite(sponsoredbytheWeatherheadSchoolofManagementatCaseWesternReserve
University)includesanarchiveoftheGlobalExcellenceinManagement(GEM)initiative’swebsite,aswellasotherresourcesandtoolsrelatedtoworkingwithnon-profitsandNGOs.
��PROPACKIICHAPTERIISECTION�
Section 3—Essential Knowledge, Skills and Attitudes for Project Managers • ThefulllistofCRSValues-BasedBehaviors(partofCRS’PerformanceManagementSystem)
areincludedonProPackII’sCDROM.
• AsnotedinSection1,checkwithyourCountryProgramorregionalofficetoseeiftrainingmaterials,videosorDVDsbyconsultantBobJudareavailable.Thesematerialsincludeexcellentinformationondelegation,timemanagement,andotherrelevantskills.
• TheVirtualTeamToolkitbyCRS/Europe/MiddleEastincludesareferencelistofotherresourcesonvirtualteammanagement.
• TheCaritas Peacebuilding Manual(2002)isavailableinmostCRSCountryProgramandregionaloffices.CheckwithCRS’ProgramQualitySupportDepartment(PQSD)foracopyifnoneisavailableinyouroffice.
• “Organisational Learning in NGOs: Creating the Motive, Means and Opportunity,”byBruceBritton(May2005)hasacomprehensiveoverviewoforganizationallearninginNGOs.
http://www.intrac.org/pages/PraxisPaper3.html
• AclassicbookonwritingskillsisThe Elements of Style,WilliamStrunk,Jr.andE.B.White’s 4th edition, �999.
Websites
• http://www.mindtools.com,http://trg-inc.com Thesepracticalwebsiteshavemoreinformationontopicsinthischapter,althoughitis
tailoredtoprivatesectorsettings.
• Usefulwebsitesincludehttp://owl.english.purdue.edu/index.htmforwritingstyleandgrammarandhttp://www.bartleby.com/64/forstyle,grammar,wordformation,anddiction.
PROPACKIICHAPTERIISECTION���
INTRODUCTION TO CHAPTERS III-VII
WeswitchgearswithChapterIII.Thepreviouschapterincludedoverviewsoftheoriesandmodelsofmanagementthatappliedtoallstagesoftheprojectcycle.Now,we pick up where ProPack Iended .
Muchwasdecided,accomplished,andplannedduringthedesignandproposaldevelopmentstages.ThefollowingchapterswillreferbacktoProPackIandyourprojectproposalinordertolinkthatinformationtothenextstagesoftheprojectcycle.TheywillalsorefertoCRSpolicyguidelines,whichwillhelpyoutoensurethatrelevant,existingpoliciesinformhowyourprojectsaremanagedandimplemented.
Chapters III–VIIcontainpracticaltools,tipsandguidanceforspecificstagesoftheprojectcycle.Tables,checklists,sampleformatsandstepsareextensivelyused.
Figure3.1:CRSProjectCycle
PROJECTMANAGEMENT
Design project Submit
proposal and secure
funding
Complete midterm
evaluation
Complete final
evaluationand close-out
project
Undertake assesment
Writeconcept
note andsecure
support
Initiate“LearningBefore”
Encourage“LearningDuring”
Continue“LearningDuring”
Promote“LearningAfter”
DetailedImplementation
Planning
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
Chapter III, DIP Part A: Getting Started and Activity Scheduling providespracticaltoolsandideastolaunchdetailedimplementationplanning.ImaginethatyourprojectproposalwasapprovedonThursday.WhatarethefirststepsyouneedtotakethefollowingMondaymorningtogetyourprojectstarted?ChapterIIIanswersthisquestion.Thischapterincludesthreesections.
Section 1 Introduction Section 2 Initial Tasks Section 3 Activity Scheduling
PROPACKIICHAPTERIII��
Chapter IV, DIP Part B: Setting Up the M&E Systemisacentralpieceofdetailedimplementationplanning.Thischapterincludesasix-stepprocesstoturntheM&EplaninyourproposalintoanoperationalM&Esystemthatcanbeimplemented.Thischapterincludesthreesections .
Section 1 Introduction Section 2 Six Components of an M&E System Section 3 Compiling the M&E Operating Manual
Chapter V, DIP Part C: Project Resources and DIP Documentation addressestheremainingsectionsofastrongDIP.Thischapterfocusesontheplanningrequiredtomanageprojectresources(human,financial,andmaterial)duringprojectimplementation.Itendswithasectiononhowtodocumentthedetailedimplementationplanningprocess,whichconcludestheDIPportionofthemanual.Thischapterincludesfoursections.
Section 1 Recruiting Staff and Conducting Performance Planning Section 2 Conducting Capacity Strengthening Assessments Section 3 Managing Project Resources Section 4 Documenting the DIP
Chapter VI Project Implementation and Monitoring movesintothestageoftheprojectcyclewhereactivitiesarecarriedoutinthefieldwithpartners.Thischaptercoverstheimportanttopicofmonitoring—knowingwhatishappeningwithinaproject.Withgoodmonitoringinformation,youcanrespondappropriatelytoensuretheprojectisachievingitsobjectivesontimeandwithincost.Thischapterincludesfivesections.
Section 1 Introduction Section 2 Guidance for Capacity Strengthening Section 3 Project Monitoring and Reporting Section 4 Financial Monitoring and Reporting Section 5 Performance Management
Chapter VII Project Evaluation and Close-out includesanoverview,toolsandtipsforplanningandconductinghigh-qualityprojectevaluations.Italsodiscusseswhatneedstobedonetocloseoutaproject.Thischapterincludesthreesections.
Section 1 Evaluation—Definitions and Types Section 2 Guidance on Utilization-focused Evaluations Section 3 Project Close-out
��PROPACKIICHAPTERIII
CHAPTER III DIP PART A: GETTING STARTED AND ACTIVITY SCHEDULING
SECTION 1 INTRODUCTION
Figure3.2:DIPwithintheCRSProjectCycle
PROJECTMANAGEMENT
Design project Submit
proposal and secure
funding
Complete midterm
evaluation
Complete final
evaluationand close-out
project
Undertake assesment
Writeconcept
note andsecure
support
Initiate“LearningBefore”
Encourage“LearningDuring”
Continue“LearningDuring”
Promote“LearningAfter”
DetailedImplementation
Planning
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
SECTION OVERVIEW
Onceyourprojectproposalisapproved,itistimetoverifywhatexactlywillbedone,whowilldoitandwhen,whatresourcesareneeded,andhowimplementationprogresswillbemonitored.
InSection1,youwilldothefollowing:
• considertheimportanceofdetailedimplementationplanning;
• examinethelinkbetweenprojectproposalsandDIPs;and
• considertheimportanceofengagingavarietyofstakeholdersindetailedplanning.
Readthe“FromTheorytoPractice”storyonFailingtoPlan,andthenanswerthequestionsintheReflectionOpportunity.
PROPACKIICHAPTERIIISECTION���
FromTheorytoPractice:FailingtoPlan=PlanningtoFail?
Saraisaprojectmanagerwhowasrecentlyreassignedtomanagealargepeacebuildingproject,whichissixmonthsintoimplementation.Shereviewedtheprojectproposalandwasimpressedattheassessmentandanalysisdone.Theprojectinvolvesstrengtheningthecapacityof10partnersinthecountry,andSarahasheardverypositivethingsaboutthesuccessofthisstrategyelsewhere.TheproposalalsoincludedaProframe,sosheisconfidentthatamonitoringandevaluationsystemisinplace.
WhenSarabegantalkingtoothersintheCountryProgramabouttheproject,however,shewasdisappointedtolearnthatthetechnicaladvisor,responsiblefordevelopingtheproject’scapacitystrengtheningcurriculum,hadnotevenbeenhired.Theheadofprogramming,inchargeofoverallmanagementofCRSprojects,hadspentthelastsixmonthsworkingonseveralnew,urgentproposals.Thepeacebuildingproposal,itturnsout,wasmostlywrittenbyanoutsideconsultantwhowastechnicallyskilledbutspentlittletimeworkingwithCRSstaffanditspartnersonanyoftheprojectdesigndecisions.
Saravisitedthefieldtolearnmore.Shemetwithonepartnerandwasheartenedtofindtheirpeacebuildingprojectofficerinplace.Thisperson,however,hadnotstartedanyactivitiesbecausehermotorcyclehadnotbeenpurchased,andshehadnotyetbeentrained—somethingthetechnicaladvisorwasresponsiblefor.Avisittoanotherprojectsiteconfirmedherfears.Thispartner’scapacitywasquitelow,andtheCRSprojectliaisonofficerwasimplementingtheprojecthimselfinanattempttomeettheactivityobjectiveslistedintheProframe.Athirdvisitresultedinfrustrationandsomeanger;thispartnerwasunawarethatthepreliminarypeacebuildingprojectideasdiscussedwithCRShadactuallybeenfundedandstarted!
Oncebackintheoffice,Saracheckedwiththefinancialmanagerandfoundthattheprojectwasconsiderablyunderspent.Sarawonderedhowshewasgoingtogetprojectimplementation—andpartnerrelationships—backontrack.
Reflection Opportunity 1. What might explain what happened with this peacebuilding project?Whatmightexplainwhathappenedwiththispeacebuildingproject? 2. Have you ever experienced a similar situation in your work?Haveyoueverexperiencedasimilarsituationinyourwork?
Whathappened?Whatproblemsorchallengesdiditcause?
WHAT IS DETAILED IMPLEMENTATION PLANNING?
ItisfrequentlyobservedacrossCRSthatmanagersimplementtheprojectproposal—theyforgetthatmoredetailisrequiredforexecutingtheplan!ProPackImakesacleardistinctionbetweenthepurposeandfunctionofaproposalandaDIP.
• Thepurpose of a proposal is to obtain approval and funding for a proposed project intervention . Itdoesnotcontainthelevelofdetailneededbyprojectmanagersforimplementation.
• Once funding is obtained,detailed implementation planning takes place to produce updated schedules, plans, targets and systems that have sufficient detail to permit effective project implementation . Someorganizationscallthisstart-upplanning.
�4PROPACKIICHAPTERIIISECTION�
Figure3.3:ThreeElementsofDetailedImplementationPlanning
PROJECTDESIGN
ANDPROPOSAL
ProjectResourcesandDIP
Documentation
AwardAgreement,StakeholderAnalysisand
ActivityScheduling
PROJECTXYZ
PROJECT
IMPLEMENTATION
DOCUMENTATION
M&EOPERATINGMANUALDETAILED
IMPLEMENTATION
PLANS
Detailedimplementationplanninghelpsensurethatthecontractualobligationsofaprojectareaccomplished.Theseincludethefollowing:
• conductingprojectactivitiesthatleadtothedeliveryofoutputsthatmeetqualitystandards,areontimeandwithinbudget;
• usingandmanagingprojectresourcesinconformitywithbudgetsandaccountingstandardsandrules;and
• complyingwithanyrelevantconditionsoftheAwardAgreement.
DIPs are usually prepared after a proposal is approved and funded but before implementation begins .DIPsmaybeundertakenonanannualbasisorforthelifeoftheproject,orboth.Ifcompletedforthelifeoftheproject,theDIPisstillrevisedandupdatedannually.DIPsarealsocalledannualworkplans.
ThinkAboutIt…My Proposal Already Includes a DIP!
NotethatsomedonorsrequireaDIPintheproposalwithmoredetailsthanatypicalActivitySchedule.EvenifyourproposalincludesaDIP,itisstillimportanttoupdateitpriortoprojectimplementation.Ifthisisthecasewithyourproposal,checktheAwardAgreementtoseeifdonorapprovalisrequiredforadjustmentsintheDIP.
PROPACKIICHAPTERIIISECTION���
WHY IS DETAILED IMPLEMENTATION PLANNING IMPORTANT?
AlthoughanumberoffactorsmightexplainSara’ssituationabove,failuretododetailedimplementationplanningislargelyresponsible.Investingtimeinthisimportantstepsavestimeandmoneyoverthelongrunandreducestheriskofprojectfailure.
Manydonorsrecognizetheneedfordetailedimplementationplanningandmakeitarequirement.USAIDnotonlyrequiresthatdetailedplansbecompletedforitsChildSurvivalgrantsbutprovidesforaone-yearDIPplanningperiodaftertheproposalisfunded.Thisreflectstheimportancetheyattachtodetailedplanning.WhendonorsrequireaDIP,theyoftenprovideaformat.
Detailedimplementationplanningundertakencollaborativelywithpartnersandotherstakeholdersisanexcellentwaytolaunchaproject.Aseriesofmeetingsorprojectlaunchworkshopsareusuallyheldtoreviewkeyprojectinformation,makejointdecisions,andharmonizeexistingsystems.Theinitialmeetingwillalsobethebasisforsubsequentmeetingsforprojectmonitoring.This kind of team-building and mutual learning strengthens partner relationships and project buy-in and commitment . It helps ensure that important project decisions are fully understood, agreed to, and owned by project stakeholders . Understandably,allstakeholdersarelikelytobemoreinterestedinplanningwhentheyknowthatthefundingisinhandandthatimplementationisstarting.Thestakeholderanalysis(seeChapter III, Section 2,pp . 72-73)capturesamorecompletepictureofwhoshouldbeinvolved,whenandhow.
FromTheorytoPractice:DIP’ingTogether
CRS/NigeriapromotespartnercollaborationtoprepareDIPsandasksthatadministrativeandfinancialstaffparticipatealongwithprogramstaff.
IntheProgramManagerOrientationGuidelinesforSARO(CRS/SouthernAfricaRegionalOffice),theregionstressestheimportanceofholdingprojectstart-upworkshopswithpartners.Theseworkshopsalwaysincludeanorientationtofinancialprocedures,whichareespeciallyimportantwithinprojectswheredonorshavestrictguidelines.
CRS/EuropeandMiddleEasthasfoundthatDIPworkshopsallowCRSfinancestafftomeetandworkwithpartnerstaff,layingthegroundworkforpositiverelationshipsthroughoutprojectimplementation.ItalsohelpsCRSprojectmanagerstounderstandbettertheirresponsibilitiesformanagementofbothprogrammaticandfinancialissues.
Detailedimplementationplanningisparticularlyimportantifthereisadelaybetweentheoriginaldesignandprojectstart-up.NewCRSorpartnerstaffcanbeorientedthroughdetailedplanningeveniftheydidnotparticipateintheoriginalprojectdesignwork.ThishelpsensureacommonunderstandingoftheIRsandSOs.DIPshelptodouble-check that the proposal’s Activity Schedule, staffing and budget are properly aligned(e.g.,thereareenoughstafffortheproposedactivitiesandsufficientfundstopaythem).DIPshelpproducearealistic,unambiguous,andclearActivitySchedulethatisfundedandcanbeundertakenbytrainedstaff.Anychangesinexternalcircumstancesthataffecttheprojectcanmorereadilybeaddressed(e.g.,theimpactofchangingcurrencyratesonprojectimplementation).
Thepurposeofplanningisnottoproduceaplanassuch,butratherasharedunderstandingofwhatistobedoneamongthekeystakeholders! Lewis2001
��PROPACKIICHAPTERIIISECTION�
Lastly,someprojectproposals(e.g.,someRequestsforApplications[RFAs])havetobedevelopedveryquickly.Inthissituation,manyimportantprojectactivitiesanddetailsforprojectmanagementsuchasM&E,humanresources,andaccuratebudgetingsimplycannotbegivenfullconsiderationduringthedesignandproposaldevelopmentstage.Project stakeholders can fill in these gaps during detailed implementation planning .
Reflection Opportunity
1. Imagine that detailed implementation planning is not1. Imagine that detailed implementation planning is notImaginethatdetailedimplementationplanningisnotconsideredimportantbyyourcolleaguesandpartners.Theyclaimthattheproposalprovidesenoughinformationforimplementationtobeginandinsistthatthereisnotimetowasteonmoreplanning.
2. Given these attitudes, how would you help them to discover theGiventheseattitudes,howwouldyouhelpthemtodiscovertheimportanceofdetailedimplementationplanning?
CAN YOU USE THE PROJECT PROPOSAL TO PREPARE THE DIP?
Aswrittenearlier,a project proposal is not a DIP, because it does not have the required level of detail to use as a plan for implementation .EventhebestM&Eplaninawell-doneproposalneedstobeoperationalizedduringdetailedimplementationplanning.Operationalizing means making the plan operational (i .e ., providing enough detail so that someone can actually implement it) .
However,DIPsdonotstartwithablankpage.AproposalprovidesthebasisforastrongDIPthroughitsProframe,M&Eplan,ActivitySchedule,organizationalstructureandstaffingplans,budget,andotherelements.ProjectstakeholdersinvolvedinDIPmeetings,however,usuallyrequireanorientationtotheprojectproposalandAwardAgreementconditionsatthestart.Manyofthestepsindetailedimplementationplanninginvolvereviewing,updating,correcting,andfurtherspecifyingelementsalreadycontainedintheproposal.Specificguidanceonhowtouseeachpartofyourproposalindetailedimplementationplanningisprovidedlaterinthischapter,aswellasinChapters IV and V.
PROPACKIICHAPTERIIISECTION���
WHO LEADS DETAILED IMPLEMENTATION PLANNING?
Ingeneral,detailedimplementationplanningtendstobeledbyCRS.Inlargerprojectsorawards,CRSwillleadtheDIPprocessonlyifitistheprimeorleadagency.Leadingdoesnotmeanlonedecision-makinginaclosedroom!SeeChapter II, Section 3 pp . 52-55 . Asnotedearlier,DIPs are excellent opportunities to build relationships, develop teams, and mutually learn and strengthen skills .
FromTheorytoPractice:UsingDetailedPlanningtoBuildBonds
In Benin DuringdetailedimplementationplanningforamicrofinanceprojectinBenin,CRSanditspartners
werediscussingaprojectactivityinwhichindividualstaffmemberstransferredmoneytovillagegroups.CRSlearnedfrompartnersthatitwasimperativeforstafftotravelinteamstoensuretheirsafety.ThishadimplicationsforthetransportbudgetthatwereaddressedintheDIP.
In Kenya Fromtheoutset,theDIPprocessforthechildsurvivalprojectinKenyawasveryparticipatory.As
faraspossible,alltheimportantstakeholdersdealingwithchild-relatedactivitieswereinvolvedinsomewayduringthedevelopmentandfinalizationoftheDIP.Critically,membersofthecommunitywereinvitedtomeetingstodiscusshowtheproposedactivities—whichthecommunityhadalreadyhelpedidentify—couldbestbeimplemented.ImplementingpartnerstaffwererecruitedpriortowritingtheDIPsothattheycouldimmersethemselvesinitsdevelopment.MinistryofHealthstaffatheadquarters,provinceanddistrictlevelshelpedreviewandmodifyspecificobjectivesandindicators,whichincreasedtheirownershipoftheplans.Governmentprovincialadministratorswerekeptinformedofprogressandwhatwasbeingdiscussed.OrganizationssuchastheWorldHealthOrganization(WHO),UnitedNationsChildren’sFund(UNICEF),UniversityofNairobi,USAID,andotherstakeholderswerealsoshowntheDIP,sothattheirideascouldbeincorporatedintothefinaldocument.TheCRSchildsurvivalprogrammanagerindicatedthatlaterprojectsuccesseswere,inpart,duetothisrichandwell-informedDIPprocess.
StepsforundertakingdetailedimplementationplanningarepresentedinSection 3ofthischapter,aswellasinChapters IV and V. Whilethesearepresentedinroughchronologicalorder,inreality,youwillgobackandforthbetweenthem.Thisisnormalandshowsthatyouaretrulyaligningtheseelementsoftheproject.
��PROPACKIICHAPTERIIISECTION�
SECTION 2 INITIAL TASKS
SECTION OVERVIEW InSection2,youwilldothefollowing:
• considerhowtodocumentaDIP;
• examinethefunctionandimportanceofAwardAgreements;and
• analyzeyourstakeholders.
DOCUMENT THE DIP
Aprojectfilingcabinet—realorvirtual—islikelytohavealreadybeensetuptostoreallthedocumentsrelatingtoyourprojectdesignandproposalwritingworkbasedontheinstructionsinProPackI.AsshowninFigure3.3,thefirstvirtualdraweroftheprojectfilingcabinetshouldcontainmastercopiesofallimportantprojectdesignandproposaldocuments.Now,youwillstarttofilltheseconddrawerwithdocumentationassociatedwithdetailedimplementationplanning.
PROPACKIICHAPTERIIISECTION���
Figure3.4:DocumenttheDIP
SomedonorsrequireDIPsthatresemblelong,detailedprojectproposals(i.e.,everythingissummarizedandcontainedinonedocument).USAIDrequiresalenghtyDIPforChildSurvivalprojects.Guidelineschangeannuallyandcanbefoundat:http://www.childsurvival.com.Formostprojects,however,documentationinvolvesensuringthatkeyinformationresultingfromdetailedimplementationplanningisintheprojectfilingcabinet,suchasthefollowing:
• theyearlyActivitySchedule;
• theM&EOperatingManual(whichdocumentstheM&ESystem);
• projectresourcesdocumentation,includinganybudgetrevisions;
• themanagementplanandorganizationalchart;
• atrainingplan;and
• anyotherimportantdocuments.
DetailedImplementation
Plan
TrainingPlan
OrganizationalChart
ManagementPlan
Budget
M&EOperatingManual
REVIEW THE AWARD AGREEMENT1
Pulloutyourproject’sAwardAgreementandreviewitnow!Award Agreements are made between CRS and the project donor .Theymayalsobecalledgrantagreements,cooperativeawardagreements,oraTransferAuthorization(forTitleIIprojects).(SeethestandardUSAIDAwardAgreementformoreinformation.)
Onceyourproposalisfunded,anAwardAgreementissignedwithdonors.Forpublicdonors,liketheUSGorEuropeangovernments,theCountryRepresentativewillsignforlocallycontractedawards,andheadquarterswillsignforcentrallycontractedawards.TheAwardAgreementisalegaldocument;itspurposeistoprotectCRSfrompotentialliability.Theagreementspecifiesrequirementsandarrangementsforimplementationamongorganizationsinvolvedintheproject,whichmayincludethoselistedinChecklist3.1.
Checklist3.1:PossibleAwardAgreementDetails
Projectgoalsandobjectives Informationaboutprojectfundsandresources,includingusageandaccountability,
management,reimbursement,andpropertyownership Performanceassessmentandreporting Responsibilitiesoftheorganization
Dispositionofprojectassets Periodofagreement Renewalterms Terminationterms v Resolutionofconflicts
Eachdonorhasitsownsetofrequirements.Asaprojectmanager,youshouldbefamiliarwithdonorregulationsgoverningtheuseofandaccountingforprojectresources.CRS policy requires that Country Programs negotiate and obtain concise, signed agreements to establish operating protocol and protect the agency from potential liability .CRSprojectmanagersmustreviewtheagreementbeforeitissignedandalsoensurethatitisreviewedbyotherkeypeople,suchasalocalattorney,theDeputyRegionalDirectorforManagementQuality(DRD/MQ),apublicresourcespecialist,andheadquartersfinancestaff.(SeetheUSGAgreementReviewChecklistformoreinformation.)
ForUSGawards,CRShasdevelopedTrainingMaterialsonUSGRegulatoryCompliance,includingcash,monetization,andcommodityresourcemanagement,whicharealsoavailableontheagency’sIntranet.
Now, as part of detailed implementation planning, you and other key stakeholders need to review the Award Agreementtoensurethatprojectresourceswillbemanagedaccordingtotheagreedoperatingprotocol.Table3.1listskeyissuesthatusuallyrequireparticularattention.
�0PROPACKIICHAPTERIIISECTION�
1ProPackIIusesthetermAwardAgreementtorefertoagreementssignedwiththedonor.Projectagreements,bycontrast,refertoagreementsmadewithprojectpartnersandarereviewedanddiscussedinChapter V, Section 3, pp . �59-�60 .
Table3.1:KeyIssuesinAwardAgreementsRequiringProjectManagerReview
PriortoDetailedImplementationPlanning
Budget FlexibilityThedonormayrestricttheamountofmoneythatcanbemovedbetweenbudgetlines.ChecktheAwardAgreementforthespecificapprovalprocess.
Approval of Specific Costs
TheAwardAgreementmayrequireapprovalfromthedonorbeforecontractingoutcertainservices,suchasauditing;hiringkeystaff;orincurringcostslikecapitalpurchasesorinternationaltravel.Forexample,USGawardshaveaFlyAmericaprovision,whichmayincreaseprojectcostssignificantlyifleast-costroutingisnotallowable.
Timing of Expenditures
TheUSGoftenapprovesthetotalawardamountforamulti-yearperiodbutonlyobligatesamuchloweramountthatmustbespentbyacertaindateorwithinthefirstyear.Donotconfusethetwoamounts.
Alsorememberthatunspentobligatedfundsdonotnecessarilycarryover:Youmustcheck!Fundsmustbespentwithintheawardperiod.ServicesandgoodsmayNOTbedeliveredpriortooraftertheawarddatesandchargedtothegrant.
Cost Share
Reviewingthispartoftheagreementwillhelpyoutoplancarefullyhowtobudgetandmonitorprojectspending.CRS’costsharetoUSGawardsisusuallydefinedasapercentageoftheTotalActivityCost(e.g.,“therecipientagreestoexpendnotlessthan25%oftheTotalActivityCost”).IfthecostshareappearsintheAwardAgreement,CRSislegallyboundtoprovidethisfundingtotheproject.
WhentheUSGisobligatingfundsannually,itiswisetospendtheCRScostshareatasimilar“burnrate,”orspendingrate.ThisensuresthatCRSdoesnothavetospendalotofmoneyinthefinalyearoftheawardiftherewasunder-spendinginprioryears.RefertotheCRSCostSharePolicyincludedintheOverseasOperations(OverOps)manualformoreinformation.
Reporting Schedule
ThereportingschedulepreparedfortheDIPmustreflectthedonor’sreportingdeadlinesandspecifieswhoisresponsibleforpreparingthereport.ForUSGawards,checkwithCRS’publicresourcespecialistaboutwhetherthereportrequiresheadquartersreviewbeforesubmission.Ifso,setin-countrydeadlinesintheDIPaccordingly!
AgainforUSGawards,theheadquarters’OverseasFinanceDepartmentpreparesthequarterlyfinancialreports,knownasStandardForm(SF)269.Ensureyouretaincopiesofthese.FinancialreportsfordonorsotherthanUSGareusuallypreparedbytheCountryProgram.
Sub-awards
USGAwardAgreementsmayspecifythatsub-awardsaremadeonthebasisofcompetitivetender,andthatlocalUSGpersonnelmustparticipateintheselectionofpartnersandreviewallsub-agreementsbetweenCRSandpartnerorganizations.Ensurethatyouidentifykeyclauses,regulations,andotherrequirementsthatmustbeincludedinanysub-agreementsthatCRSmakeswithpartners.
PROPACKIICHAPTERIIISECTION���
Original Documentation
Somedonors(TheHumanitarianAidOrganizationoftheEuropeanCommission[ECHO],forexample)mayrequireCRStoprovideoriginaldocumentstosupportexpendituresmadeagainsttheproject.However,CRSdoesnotreleaseoriginaldocumentssincetheymustberetainedforauditpurposes.Ifthisisrequired,seeyourDRD/MQasthisissuecanusuallybenegotiatedwiththedonor.
Other Donor Compliance Issues
Theseissuesmayincludecertificationsthatmustbeincludedinprojectagreementswithpartners(e.g.,USGawardsthatrequireanti-terrorismorothercertification).
Audit/Project Close-out
USGawardsarecoveredundertheA-133SingleAuditAct,soaseparateprojectauditisnotrequiredfortheseawards.Somedonors,however,requireaseparateaudit.Itisusuallyperformedbyanindependentauditfirm,althoughsometimesitwillbecompletedbydonorpersonnel.
Ifanauditisrequired,findoutifitmustbepaidforoutofprojectfunds.Ifso,makesureyouhaveincludedthiscostinyourbudget.
Marking
USAID’s22CodeofFederalRegulations(CFR)Part226,MarkingRegulation,isarequirementthatallUSAIDprogramsbeidentifiedandmarkedappropriatelyas“AmericanAid”toensurethattheAmericanpeoplearecreditedforforeignassistance.ABrandingStrategyandMarketingPlanmustbesubmittedtoUSAIDonceCRSisidentifiedasthe“apparentsuccessfulcandidate.”TheapprovedMarketingPlanwillbeincorporatedintotheAwardAgreementandwillbecomeacomplianceandauditstandardfortheprogram.
(See CRS Implementation Guidance for the USAID Marking Regulation for more information .)
Reflection Opportunity
1. Inyourexperience,whathappenedwhenanAwardAgreementwasnotcarefullyreviewedpriortodetailedimplementationplanningorprojectimplementation?
2. Whatproblemsdidthiscause?3. Whatdidyoulearnfromthisexperiencethatyouwouldshare
withotherprojectmanagers?
ANALYZE YOUR STAKEHOLDERS
Aswithprojectdesign,stakeholderanalysisisoneofthefirststepsofdetailedimplementationplanning.CRS projects involve a multitude of stakeholders—individuals, groups and organizations important to its success .Thesestakeholdersmayhaveahighlevelofinterestintheproject,apowerfulinfluenceoverit,orboth.
Butwait,didn’tyoudostakeholderanalysisduringprojectdesign?ProPackIstatedtheimportanceofperiodic stakeholder analysis.“Astheprojectdesigneffortcontinuesandyourunderstandingoftheprojectimproves,youmaywanttocheckyourinitialstakeholderanalysis.Theinformationgeneratedmaymakeyouthinkofnewpeopleorgroupsthathavetobeincludedasyougoforward.”
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Now,youandyourpartnerneedtoidentify who else needs to be involved.Havenewprojectstakeholdersemerged?Forexample,haveadditionalpartnersbeenidentifiedthatwerenotincludedintheearlierstagesofprojectdevelopment?Isthisaconsortiaprojectwithalargenumberofimportantstakeholders?Haveindividualswithinorganizationschanged,suchasthediocesandevelopmentdirectororthelocaldonorpointperson?Ifthesepeopleknowlittleabouttheproject,youcaninvolvethemnowindetailedimplementationplanningtoensuretheircommitmenttoprojectobjectives.
For your project, you may simply need to review the stakeholder analysis that was already completed,becauseitstillcontainscorrectandadequateinformationaboutwhoneedstobeinvolvedandhowthatcanbestbeachieved(seeProPack I,Chapter III, Section 2, pp . 43–44).Iftherehavebeensignificantchangessincetheprojectwasoriginallydesigned,youmaydecidetoredothestakeholderanalysis.Ifthisisthecase,followtheguidanceinProPack I, Chapter III, Section 2, pp . 40–45.
Onceyouhavecompletedoneofthetwooptionsabove,planyourapproachtostakeholder management.Thinkthroughhowmuchtimeyouandyourpartnersneedtodevotetocommunicatingwitheachotherandwithotherstakeholders,andhowthisshouldbestbeorganized.
• Youmaydecidetoholdaninitialstakeholderconferencetoplanimportantimplementationissuestogether.
• Youmaydecidetoinviteadonorrepresentativetovisittheprojectoneyearafterprojectstart-uptogainhissupport.
• Youmayscheduleamid-termevaluationplanningmeetingwithallkeystakeholderssixmonthspriortotheevent.
• YouwillwantyourfinancemanagertobeinvolvedinallDIPmeetingstoensurethatfinancialsystemsandbudgetissuesareconsidered.SeeProPack I, Chapter V, pg . �54ontheimportanceofinvolvingfinancestafffromthestart.
Itmaynotalwaysbepossibletoholdface-to-facemeetingswithstakeholders.RefertoChapter II, Section 3, pp . 4�-42toensureyouknowhowtousetechnologiestoincludestakeholderswhomaybedistant.
FromTheorytoPractice:StakeholderManagementinHindsight
TheSchoolConnectivityProjectwasthefirstcross-borderprojectforEME.Thiseducationprojectaimedtoupgradeschoolresourcesandequipmentbyinstallingcomputerstoimproveinformationtechnologyandpartnering(knownas“twinning”)localschoolswithschoolsintheUnitedStates.MostCountryProgramsdidnotfullyunderstandthescopeoftheprojectand,thus,onlyvieweditfromtheirlocalperspective.Thisledtotheperceptionthatthiswasasmallactivity,ratherthanalarge,importantproject.Thisperceptionnegativelyaffectedimplementationbecauseprojectactivitiestendedtoreceiveverylowpriority.
Reflectingonthisexperience,theSchoolConnectivityregionalprojectmanagerstatedthatifanothercross-borderprojectwasdesigned,shewouldbringCountryProgramstafftogetherfordetailedimplementationplanning,firstthroughface-to-facemeetingsandthenviaonlinemeetings.ThiswouldencourageindividualCountryProgramstafftosupporttheproject,reinforcejointaccountability,andaidinthecompletionofprojectactivitiesontime.
PROPACKIICHAPTERIIISECTION���
SECTION 3 ACTIVITY SCHEDULING
SECTION OVERVIEW Now that you have started to compile important DIP documentation, such as the AwardNowthatyouhavestartedtocompileimportantDIPdocumentation,suchastheAward
Agreementandanyupdatestothestakeholderanalysis,itistimetomoveontoActivityScheduling.ThismaybefacilitatedbyCRSorundertakenentirelybythepartnerdependingontheprojectscope,andtheskillsandexperienceofCRSanditspartners.
InSection3,youwilldothefollowing:
• considertheconceptsofsequentialandparallelprojectactivities;
• reviewhowtodefine,sequenceandassignprojectactivities;
• reviewhowtomakeanActivityScheduleusingaGanttChartformat;and
• examinehowActivityScheduleslinktotheproject’sbudgetandM&Esystem.
FromTheorytoPractice:TheImportanceofActivityScheduling
InoneCountryProgram,staffwerestrugglingtoimplementamulti-sectoralgrantthatexperiencedmanydelays.Theprojectmanagerdecidedtoholdameetingwithstaffandpartnerstodetailalltheprojectactivities.Togethertheyestimatedarealistictimeframeforeachactivityandmadeaflowchartthatclearlyshowedwhichonesneededtohappenbeforeothers,andwhichcouldbecarriedoutatthesametime.Withthisinformation,theprojectteamwasabletoestimatetheoveralltimeframeforcompletingtheproject,andtheyusedthisrevisedtimelinetonegotiateanextensionwiththedonor.Projectimplementationthenproceededrelativelysmoothly,andtheprojectwascompletedasplanned.
Astheexampleinthe“FromTheorytoPractice”storyshows,importantprojectactivitiesmaybeoverlookedintheproposalandnevergetdone,affectingtheachievementofhigher-levelobjectives.Animportantpartofdetailedimplementationplanningismakingsurethatall necessary project activities have been planned and budgeted!
ThisstoryalsoillustratesanotheressentialconceptbehindActivitySchedules:Some activities are dependent on other activities being completed first .Forexample,youcan’ttrainstaffiftheyhaven’tbeenhired!Thesedependentactivitiesaresequential.Inotherwords,they need to be completed before the next activity can start.Problemscarryingoutthefirstofaseriesofsequentialactivitieswillhavearippleeffectandcauseseriousprojectdelays.
Incontrast,someactivitiesmaynothavethesamedependencyonothertasks.Thesenondependent activities areparallel, which means they can be done at the same time .Forexample,invitingparticipantstoaworkshopandorderingvehiclesforfieldworkaretwoparallelactivities.Unlikeasequentialactivity,adelayincarryingoutoneoftheseparallelactivitieswillnothaveanegativeimpactontheother.
�4PROPACKIICHAPTERIIISECTION�
ONE: REVIEW THE RELEVANT PROPOSAL ITEMS
Tobegin,use information from two documents in your project proposal: the Proframe with the objectives set at the Activities level and the Activity Schedule.ThefollowingparagraphsandFigure3.5showhowtouseinformationfromtwodocumentsinyourprojectproposal.
Figure3.5:FromProframetotheActivitySchedule
Activities1.Totraincommunitymembersinimprovedhygienepractices.
DETAILEDACTIVITIESORTASKS
PROFRAME ACTIVITYDEFINITION
Totraincommunitymembersinimprovedhygienepractices. • Meetwithcommunitytodiscuss proposedtraining. • Developlearningneedsand resourcesassessmentoutline. • Preparetrainingmaterials. • etc.
ACTIVITIESANDTASKSYEAR�
RESPONSIBILITY1 2 3 ... 12
xx
xx
xx
1. Traincommunity members
1.1 Meetwith community members
1.2 DevelopLNRA outline
1.3 Preparetraining materials
etc.
HealthManager
Consultant
Consultant
ACTIVITYSCHEDULE
The Proframe
Activities-levelobjectivesintheProframedescribethefunctionstobeundertakenandmanagedinordertodelivertheOutputstotargetedcommunitymembers.Theseactivitiesaredescribedinbroadterms(e.g.,“trainstaff”).“Trainstaff”canstandaloneintheProframebutdoesnotsuggestallofthedetailedstepsrequiredfortraining:designatingatrainer,findingavenue,developingacurriculum,completinganeedsassessment,invitingparticipants,etc.AllthisdetailwouldclutteruptheProframeanddetractfromitspurposeandusefulness.
The Proposal Activity Schedule
ProPack I, Chapter V, Section 7, pp . �73–�74stressedthedifferencebetweenanActivity Schedule thatisdoneduringimplementationandtheonethatisdoneduringdetailedimplementationplanning.AnActivitySchedule“showshowthebroadcategoriesofactivitiesarebrokendownintomorespecificactions.Theaimhereisnottowriteadetailedimplementationplan—thatwillcomelateroncethefundshavebeenawarded.Instead,thepurposeistopresentaholisticpictureofprojectactivitiesovertheprojectlifetoshowthatcarefulconsiderationhasbeengiventotheproject’sresponsibilityfordeliveringthespecifiedOutputs.Uponawardofthefunds,the
PROPACKIICHAPTERIIISECTION���
(proposal’s)ActivitySchedulewillberevised,updatedanddraftedwithgreaterprecision,atleastfortheinitialperiodoftheproject…TheActivitySchedule...developedfortheprojectproposalisthestartingpointforthis(detailedimplementationplanning)work.”
Incontrasttotheworkintheproposal,theDIPActivitySchedulesummarizes: 1. detailed activities for the first period of the project;1. detailed activities for the first period of the project;detailedactivitiesforthefirstperiodoftheproject; 2. an ordering of the activities;2. an ordering of the activities;anorderingoftheactivities; 3. start and end dates for each activity, taking into consideration whether they are sequen-3. start and end dates for each activity, taking into consideration whether they are sequen-startandenddatesforeachactivity,takingintoconsiderationwhethertheyaresequen-
tialorparallel; 4. project milestones; and4. project milestones; andprojectmilestones;and 5. the person responsible for each activity.5. theperson responsible for each activity.personresponsibleforeachactivity.
Gantt charts are recommendedbecausetheyareeasytouseandunderstand(seeFigure3.6).TheywerealsorecommendedinProPackIandareoneofthe“view”optionsinMicrosoft(MS)Projectsoftware,ifyouareusingthatasaprojectmanagementtool.
Figure3.6:GanttChartFormatforanActivitySchedule
ACTIVITIES AND TASKS YEAR�
RESPONSIBILITIES1 2 3 4 5 6 7 8 9 10 11 12
1. Train community memebers xx xx
Kwesi Ampong, Health Manager
1.1 Meet with community members xx xx
1.2 Develop LNRA outline xx Consultant to be appointed
1.3 Prepare training materials xx xx xx Consultant to be appointed
etc.
Nowyouhavetomakesomedecisions.WastheActivityScheduleinyourproposaldetailedenough,sothatitrequiresonlyaquickreviewandadjustmentduringtheDIPplanningmeeting?Orwoulditbebettertoredoitwiththestakeholdersresponsibleforitsimplementation?Inmostcases,youwilldevelopadetailedActivityScheduleforthefirstyearandalessdetailedonefortheremainingyears.Then,atthebeginningofeachsuccessiveyear,youwilldevelopadetailedscheduleforthatparticularyear.
ProPack I, Chapter V, Section 7, pp . �73–�75suggestsstepstocompletetheproposal’sActivitySchedule.Thefollowingitemsareverysimilartothose,butprovidedetailsappropriateforanActivitySchedulepreparedduringdetailedimplementationplanning.
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TWO: DEFINE THE ACTIVITIES Onecauseofprojectdifficultiesisthatsignificantactivitiescansometimesbeunintentionally
overlooked.Activitieshavetobeidentified,sothatthetimeandotherresourcerequirementsforeachonecanbedetermined.Again,you may have done this when developing the Activity Schedule in your proposal, but it is worth a second look since you are now at the implementation stage .
Diagramming Activities To define activities,Todefineactivities,start by making a diagram with each of the Output-level objective
statements in boxes at the top . Then, list the Activities-level objective statements for each Output .DiagrammingwillhelpyouvisualizethetotalnumberofOutputsandrelatedActivities.
ExamplesofOutput-levelobjectivestatementsandrelatedActivitiesfromtwodifferentprojectsareshowninTable3.2.
Table3.2:ExamplesofOutputsandRelatedActivities
Example from an Education Project Example from Tsunami Shelter Project
Communitieshavecreatedmoregirl-friendlyschoolenvironments.
(OutputfromProframe)
Familiestoreceivenecessarysuppliesandtrainingtoprovidetransitionalhousingaccordingto
Spherestandards.
(OutputfromProframe)
CRSandpartnerstotrainandsupportParent-TeacherAssociations(PTAs)inbestpracticesfor
creatinggirl-friendlyschoolenvironments.
(ActivityfromProframe)
CRStoorganizecommunitiesincash-for-workhousingconstruction.
(ActivityfromProframe)
(Note that only one of several Activity-level objective statements for each Output was chosen for this table to keep it simple .)
Detailing Activities Now, you will break each Activities-level objective statement into related, more-detailed
Activities, often called tasks .InTable3.3,youseeexamplesfortwoprojects.Forthe educationproject,whattasksarerequiredtotrainandsupportPTAs?FortheTsunamishelterproject,whattasksarerequiredtoorganizecommunitiesincash-for-workhousingconstruction?Listthesetasks,andputtheminalogicalsequence.
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Table3.3:ExamplesofDetailedActivitiesorTasks
Example from an Education Project Example from Tsunami Shelter Project
Activity: CRSandpartnerstotrainandsupportPTAsinbestpracticesforcreatinggirl-friendlyschoolenvironments.
Activity: CRStoorganizecommunitiesincash-for-workhousingconstruction.
Related Tasks include:
1. Workwiththepartnertorecruit,hire,and.orientagirls’educationcoordinator.2. IdentifybestpracticesviaanassessmentofsuccessfulNGOprograms.3. IdentifyexistingPTAswithinschools.4. HoldmeetingswithPTAsandschool
officialstoexplaintheprojectandthetrainingprogram.
5. ConductalearningneedsandresourcesassessmentofPTAs.6. Planthetrainingprogram.
Related Tasks include:
1. Assess and document damage ofAssessanddocumentdamageofhouseholdswithcommunitymembers.
2. Get communities to organize themselvesGetcommunitiestoorganizethemselvesintogroupsoffivetobuildtransitionalhousing.
3. Sign MoUs and project agreementsSignMoUsandprojectagreementswithlocalofficialsandcommunityorganization.
Howmuchdetailisnecessaryhere?Youwantalistofactivitiesthatismanageableandcanbeassignedtosomeone.Use your judgment on the level of detail needed .Forexample,listingalltheactivitiesnecessaryforrecruitingagirls’educationcoordinator(e.g.,advertisinginthelocalpaper,collectingresumés,telephoningcandidatestosetupinterviews,etc.)istoodetailedtobeofuse.Thislevelofdetailwouldbebetterdescribedintheto-dolistofthepartnerprojectofficer(seeChapter II, Section 3,Checklist 2 .�� pg . 49).WorkingtogetheronthisstepwithpartnersandotherstakeholdersataDIPplanningmeetingwillhelptoclarifythedifferencebetweenDetailedActivitiesfortheDIPActivityScheduleandthoseappropriateforato-dolist.
THREE: SEQUENCE THE ACTIVITIES
Next,estimate theamount of time needed to implement each activity.Makeyourbestinformedguessathowlongeachactivitywilltaketocompletebydrawingonpastexperienceorbyaskingaknowledgeablecolleague.
Beasrealisticaspossible,andthinkaboutthetypicaldisruptionsanddelaysthatoccur,whichmayaffectthetimerequiredtocompletethisactivity.Forexample,identifyingexistingPTAsseemstobeaneasyactivity—perhapsadayortwowillsuffice.But,ifthisprojectisinsouthernSudanwheretherearealmostnoroads,distancesbetweenlocationsaregreat,andinsecuritythreatenstravel,thisseeminglysimpleactivitywillcertainlytakeagreatdeallonger!
LookattheCriticalAssumptionsboxfortheActivities-levelobjectivestatementintheProframetoseeifthereareotherthingstoconsider.Implementationofagovernmentplan,forexample,maydelayprogressincompletingactivities.
LookatthecommitmentsyoumayhavemadetodeliverOutputs,particularlythosespecifiedinyourprojectAwardAgreement.Itmaybethecasethatallfarmersneedincreasedskillsbyacertaindate;youractivitieswillhavetobeprogrammedtoensurethatyoucanmeetthat
��PROPACKIICHAPTERIIISECTION�
deadline.Balancingthesecommitmentsagainstrealistictimeestimatesforassociatedactivitiesmayleadyoutoconsideractionstospeedupimplementation.Hiringaconsultant,forexample,toconductabaselinesurveywillfreeupstafftimeforotherimportantactivities;buthiringdependsontheavailabilityofaconsultant,abudgettocovertheseadditionalcosts,anda
staffpersontoorganizeandmanagetheextraworkers.Useyourjudgmenttodeterminethe bestcourse.
Reflection Opportunity 1. Think of times when you or your partner did not correctlyThinkoftimeswhenyouoryourpartnerdidnotcorrectlyestimatethetimeneededtocompleteaprojectactivity.
2. Why was your time estimate inaccurate?Whywasyourtimeestimateinaccurate? 3. How did you make adjustments?Howdidyoumakeadjustments? 4. What did you learn from this experience? Did these lessonsWhatdidyoulearnfromthisexperience?Didtheselessons
promptyoutodoanythingdifferentlyinanotherprojectsituation? 5. How does your office manage this kind of organizational learning?Howdoesyourofficemanagethiskindoforganizationallearning?
Onceyouhaveestimatedtheamountoftimeneededforeachactivity,think about the start date required and whether the activity is parallel or sequential .Thiswillhelpyoutoputtheactivitiesinthemostlogicalorder.
Drafting an Activity Schedule in Gantt Chart Format YoucanusegraphpaperandapenciltomakeroughdraftsketchesoftheGanttchartusing
squarestoshowblocksoftime.YoucanalsoputactivitiesonseparatePost-it™notesorindexcardstosortouttheirmostlogicalorder.Themorevisualandparticipatoryyoumakethisprocess,themorepartnersandotherstakeholderswillfeeltheycanoffertheirexperienceandideas.
Checklist3.2:DIPPlanning—WorkingwithPartnersorLargeTeamstoCreateActivitySchedules
Toconductactivityschedulinginavisual,interactivewaywithpartnersorlargegroupsofpeople,trythefollowingsuggestions.
AssigneachoftheActivities-levelobjectivestatementsfromtheProframetoasmallgroup.EachsmallgroupwillthendefinetheactivitiesfurtherandwritetasksrequiredtoattaintheirassignedActivities-levelobjectivestatementonindexcardsorPost-it™notes,onetaskpercard.
Smallgroupscanthenpresenttheirworktothelargergroupfordiscussionandrevision. Oncethecardsetsarerevised,participantsareinvitedtoorganizethemonawallin
sequence,acrossfromeachActivities-levelobjectivestatement.(Experienceshowsthatthereisusuallyalotofdiscussionduringthisstep!)
Smallgroupsarethenaskedtoshowtimetablesandinter-relationshipsamongcardsindifferentcategories.
Intheend,youwillhaveaverylargedraftActivitySchedule,inGanttchartformat,foryourproject.
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Someprojectmanagersusesoftware,suchasMSProject,tocreateCriticalPathAnalysisflowcharts.Theseflowchartsaremoresophisticatedtoolsthathelptoorderprojectactivitiesinalogicalmanner.MSProjectalsoincludestoolstogenerateGanttcharts.ExperiencewithusingthistypeofsoftwareforCRSprojectshasbeenmixed(seeTable3.4),socheckwithcolleaguesbeforepurchasingorinvestingtimeinlearningthesoftware.
Table3.4:ProsandConsofUsingMSProjectSoftware
Advantages (Pros) Disadvantages (Cons)
•MSProjectobligesuserstothinkverycarefullyaboutidentifyingessentialactivitiesandtheirlogicalorder.
• TheoutputofMSProjectisatangibleplanthatcanbecommunicatedtocolleaguesandpartners.
• MSProjectisdesignedsothatrevisionstoanexistingimplementationplancanbemaderelativelyeasily.
• OnceMSProjectismastered,itcanusuallybeappliedtoanyproject.
• MSProjectmustbepurchased,sothereisafinancialaspecttoconsider.
• Staffneedsignificanttimetolearnthesoftware.
• MSProjectis,arguably,moresuitedto“blueprint”projectswheretherearefeweruncertaintiesinimplementation.
• TheGarbageIn,GarbageOutprinciplestillapplies.
• Accesstoinformationtechnologyvaries,soitmaybedifficultforpartnersandotherstakeholderstoparticipatemeaningfullyintheprocess.
FOUR: ASSIGN RESPONSIBILITY FOR EACH ACTIVITY
Be clear about who is responsible for each activity .TheActivitySchedulefromyourproposalincludesacolumnforresponsibilities,anditmayhelptoreviewthatnow.
TakeyourdraftDIPActivityScheduleandfillintheResponsibilitiescolumnforeachactivityasillustratedinFigure3.7.
�0PROPACKIICHAPTERIIISECTION�
Figure3.7:DraftDIPActivitySchedule
ACTIVITIESYEAR�
RESPONSIBILITIES1 2 3 4 5 6 7 8 9 10 11 12
1.Partnerrecruits,hires,andorientsagirls’educationcoordinator
xx xxMaryseNarcisse,ProjectManagerforPartnersinEducation
2.CRSidentifiesbestpracticesviaanassessmentofsuccessfulNGOprograms
xx xxEdwardSmith,CRSProjectManager
3.CRSidentifiesexistingPTAswithinschools xx xxEliseDuchamp,EducationCoordinator
4.CRSholdsmeetingswithPTAsandschoolofficialstoexplaintheprojectandthetrainingprogram
xx xx xxEliseDuchamp,EducationCoordinator
5.CRSconductsalearningneedsandresourcesassessmentofPTAs
xx xx xx Consultant,tobeappointed
6.CRSplansthetrainingprogram xx xx xx xx
EliseDuchamp,EducationCoordinatorleads,EdwardSmith,CRSProjectManagerandSophieJones,CRSEducationTechnicalAdvisortoprovideadvice
Be specific in describing who is responsible;usenamesortitlesandavoidvaguereferences,suchas“thepartner”or“CRS.”Ifmorethanonepersonisresponsible,beclearaboutwhoistakingthelead.Thishelpspromote accountability.
BewareofActivitySchedulesshowingonepersonwhoisresponsiblefornearlyallprojectactivitieslisted.Inreality,mostprojectsareimplementedbyateamofpeople,andtheymayneedtodistributeresponsibilitiesamongthemselves.Ensurethatyouorothersaredelegating tasks transparently in order to maximize efficiency.(SeeChapter II, Section 3,pg . 52formoreinformationondelegation.)
Thinkbacktotheresultsofthestakeholderanalysis,andaskifyouareappropriatelyinvolvingpeopleindecisionsaboutresponsibilities—orjustassigningpeoplewithoutaskingthemfirst!People are more willing to implement activities if they have had a voice in making the decision .
FIVE: FINALIZE THE ACTIVITY SCHEDULE
TheActivitySchedulemustalsobealigned withhuman and financial resources. TurntoChapter V, Section �, pp . �32-�36andSection 3, pp . �5�-�53,andreviewthesub-sectionsonrecruitingprojectstaffandreviewingtheproposalbudget.Thinkthroughtheactivitiesandthestaffpositionsplannedforthisproject.Aretheyaligned?
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Detailedimplementationplanningshouldensure thatstaff, funds and activities are aligned .Animbalancebetweentheelementsoftime,peopleandmoneyisacommonproblemaffectingprojectimplementation.
Double-checkyourprojectbudgetbycostingeachoftheactivitiesintheActivitySchedule,andmakesuretheyareaccuratelyreflectedinthebudget.ThisisdetailedinChapter V, Section 3, pp . �5�-�53.FinalizingtheActivitySchedulewillbeacollaborativeeffortbetweenyou,yourpartners,andthefinancestaff.
Reviewyournearly-completedActivitySchedule.Arethereanyactivitiesthatyouandyourpartnerswouldlabelascritical milestones?Criticalmilestonesaresimplythose few activities that you judge to be very important.ThesearehighlightedwithintheGanttchartandshouldbemonitoredcarefullytoensuretheyarecompletedontime.Examplesofcriticalmilestonesmightbethesigningofaprojectagreementamongconsortiamembers,thesubmissionofAnnualProgramPlans(APPs)orthereleaseofmid-termevaluationfindings.
OnceyouhavecompletedtheActivitySchedule,useChecklist3.3toensurequalitycontrol.
Checklist3.3:HowtoEnsureQualityControloftheDIPActivitySchedule
IsthelistofActivitiesappropriatelydetailed? AretheActivitiesinlogicalorder? Aretimeframesrealistic?DotheyaccuratelyreflectwhetherActivitiesaresequential
orparallel? Areresponsibilitiesclearlyandappropriatelyassigned?
Isthebudgetsufficientforstaffandactivities? Arecriticalmilestoneshighlighted? DoallstakeholdersunderstandandagreetotheActivitySchedule?
EachstakeholdergroupmayhaveitsownActivitySchedule.Forsmallprojects,oneschedulemightbesufficient,butforlarger,morecomplexprojects,CRSanditspartnersmayhaveseparateActivitySchedules.
��PROPACKIICHAPTERIIISECTION�
M&E and the Activity Schedule Oncetheprojectisunderway,the Activity Schedule serves as one of the indicators for
monitoring achievement at this Activity level.Althoughitwillnotprovidethewholepicture,itwillallowyoutoreportwhetheractivitieshavebeencompletedinatimelymanner.Youmaysay,forexample,thatthenumberoftrainingprogramshavebeencompletedontime,butotherindicatorsarelikelytoberequiredtoshowthenumberofmenandwomenbeingtrained,thecosts(plannedversusactual)ofthetraining,andsoon.
FromTheorytoPractice:OnTrackDespitetheRain
InoneCountryProgram,CRSanditspartnerroutinelymonitortheActivityScheduletoseeifitemsarebeingcompletedontime.Inoneproject,unexpectedheavyrainscausedfloodingandadelayinconductinganimportantbaselinesurvey.OncepartnerandCRSstaffrealizedthis,theyconsultedthefinancemanagertoreviewtheprojectbudgetandAwardAgreement.Thisenabledthemtotakepositiveaction:Theywereabletoshiftprojectfundingandhireadditionalsurveyteams.Thus,thesurveybeganonemonthlaterthanscheduled,butwascompletedtwiceasfastandontime.
CHAPTER IV DIP PART B: SETTING UP THE M&E SYSTEM
PROPACKIICHAPTERIVSECTION���
SECTION 1 INTRODUCTION
CHAPTER OVERVIEW
AkeypartofdetailedimplementationplanningistransformingtheProframeandM&EplanfromyourprojectproposalintoanoperationalM&Esystem.
InChapterIV,youwilldothefollowing:
• reviewM&Edefinitions;
• understandtheimportanceofanM&EsystemandhowitisdifferentfromtheM&Eplaninaproposal;
• learnaboutthreeM&EapproachesCRSappliesinitswork;
• examinesixcomponentsthattransformaproframeandanM&EplanintoanoperationalM&Esystem;and
• learnhowtodocumentyourM&EsystembycompilinganM&EOperatingManual.
TheIndicatorBlindSpotstoryillustratessomeofthedifferencesbetweenanM&EplaninyourproposalandanoperationalM&Esystem.
FromTheorytoPractice:AnIndicatorBlindSpot!
CRSanditspartnerwroteaproposalforawaterandsanitationprojectwhichincludedawell-designedProframeandalloftherecommendedM&Eplanningworksheets.Afterfunding,detailedimplementationplanningtookplace,butitwasfeltthattheM&Eplanintheproposalwasdetailedenough,especiallyafteralltheeffortthathadbeenputintotheM&Eworksheetsfortheproposal.CRSstaffmonitoredprojectprogressthroughwrittenreportssentbythepartnereveryquarter,andeverythingseemedontrack.
Sixmonthsintoprojectimplementation,CRSstaffmadeanunplannedsitevisit.TheydiscoveredthatwhilethepartnerwasdutifullyandcorrectlyfocusingoncollectinginformationontheProframeindicators,aninstitutional“blindspot”haddeveloped:manyunanticipatedeffectswereoccurringthatthepartner’sprojectofficerhadnotbeenreporting.Forexample,informaldiscussionswithsomewomenrevealedthattheyvaluedtheprojectmostlyforthesecurityitofferedtheirchildren.Before,whentheywashedclothesattheriverbank,theyconstantlyworriedabouttheirsmallchildrenwanderingoffanddrowning.Otherwomenhadspontaneouslybegunanewbusinessthathadneverexistedbeforeinthisvillage—takinginlaundryfromwealthycommunitymembers.Onthedownside,however,somewomenindicatedthattheshorterwalktothenewwaterpointmeantthattheymissedoutonthesocializingthatwaspartoftheirusualwalktotheriver.
Notsurprisingly,CRSstaffwereveryinterestedinthisinformationbecauseitshowedhowthewaterandsanitationprojectwasaffectingdifferentwomen’sassetsbeyondtheforeseenbenefitsofincreasedpotablewaterandshorterdistancestothewaterpoints.TheCRSregionalstaffwere,infact,lookingforthisverytypeofinformationtosupportagencyeffortstopromoteIHD.
Afterdiscussionswiththepartnerprojectofficer,CRSstaffrealizedthattheM&Eplansdidnotincludeanytimeforcriticalreflectioneventsthatmighthaveprovidedtheopportunityfortheseinteresting,yetunexpectedresultstobereported.TheyalsoobservedthattrackingtheProframeindicatorswastakingupsomuchtimethatitwasaffectingtheabilityoftheprojectmanagertoimplementandmanageotheraspectsoftheproject.Aplanningmeetingwiththepartner’sdirectorandstaffresultedinadecisiontoredistributeM&Etasksamongstaff,allowingtheprojectmanagertoallocatehertimetoallaspectsofherjob.CriticalreflectioneventsheldonaquarterlybasiswerealsoscheduledontheM&Ecalendar.
Reflection Opportunity 1. Inaprojectyoucurrentlymanage,howwelldoyouknowwhatishappeningthroughtheM&Esystem?
2. HowmuchtimedoyouspendcollectinginformationontheProframeindicatorscomparedtothetimeyouspendanalyzingitandoncriticalreflection?Doyouthinkthisisagoodbalance?
DEFINITIONS: MONITORING, EVALUATION AND M&E SYSTEM
Monitoring is a continuous process ofcollecting,analyzing,anddocumentinginformationinordertoreportonprogresstowardsachievingagreedprojectobjectives.Itprovidesanongoingopportunityforlearning.Top-qualitymonitoringinformationassiststimelydecision-making,ensuresaccountability,andprovidesthebasisforevaluationandlearning.Monitoringprovidesearly indicationsof changetherebyenablingprojectionstobemadeaboutfutureprojectsuccess.
Evaluation is a periodic, systematic assessment ofaproject’srelevance,efficiency,effectiveness,impactandsustainabilityonadefinedpopulation. Evaluationdrawsfromdatacollectedviathemonitoringsystem,aswellasanyothermoredetaileddata(e.g.,fromadditionalsurveysorstudies)gatheredtounderstandspecificaspectsoftheprojectingreaterdepth.
Table4.1:DifferencesbetweenMonitoringandEvaluation
Monitoring Evaluation
…istheprovisionofinformationanditsusetoenablemanagementtoassessimplementationprogressandtaketimelydecisions.
…isbaseduponthedatageneratedbythemonitoringsystemtoassessanddocumenttheimpactofanintervention.
…isconcernedwithwhetherprojectActivitiesarebeingundertaken,Outputsdelivered,andtheprojectisleadingtotheinitialbehaviorchangeoutcomesthatwereanticipatedinitsunderlyingtheoryofchange.
…isconcernedwithanassessmentofachievements—bothanticipatedandunanticipated—atIR-andSO-level.
…shouldhelptoensurethatanyIR-levelprogresstowardsachievingtheproject’sSOsismaintainedaccordingtoschedule.
…shouldhelpexplainthetrendsinoutcomesandimpactoftheproject.
…isaninternalprojectactivity.…isoftenanexternally-ledevent,thoughshouldinvolvetheactiveparticipationofprojectstaff.
�4PROPACKIICHAPTERIVSECTION�
…isanessentialpartofgoodmanagementpractice.…isanessentialactivityinadynamiclearningorganization.
…isanintegralpartofday-to-daymanagement,andmustbeintegratedwithintheprojectmanagementstructure.
…isnotnecessarilysuchanintegralcomponentofdailymanagement.
…takesplaceduringtheimplementationphase.
…canoccuratdiscretepointsintimeduringimplementation,butismorecommonlythoughtofastakingplaceatprojectmid-termandcompletion.Whenitoccursatprojectstart-up,itisoftenreferredtoas“thebaseline.”
…isgenerallyfocusedonthequestion“Are we doing things right?”
…isgenerallyfocusedonthequestion“Are we doing the right thing?”
Figure21 inProPack I (Chapter IV, Section �, pg . 99)summarizeshowtherelatedbutdistinctactivitiesofmonitoring(M)andevaluation(E)arelinked.InadynamiclearningorganizationbothMandEshouldbeseenasintegralcomponentsofthesystemsforknowledgemanagementandorganizationallearning.
A high-quality M&E system represents the way monitoring and evaluation processes and events are organized, managed and resourced (human and financial support) . Itdocumentsandcommunicatestheachievementofobjectivesandensuresthatexperiencesarisingfromprojectactivityinformdecision-makingandlearninginatimelymanner.AnM&Esystemintegratesmoreformal,data-orientedtasks(e.g.,collectingdataonProframeindicators)withinformalmonitoringandcommunication. Italso ensuresthatpeopleresponsibleforM&Ehavesufficientcapacityandresourcestoundertaketheirjob.UnderlyingallM&Esystemsisadesiretoensurethatmanagersandotherstakeholdersgetmaximumbenefitfromthesystem.
Theword“system”isusedintentionally.Itbringstomindwell-organized,inter-dependentactivitiesorcomponentsandclearproceduresthatcontributetoawell-definedpurpose.UnlessyouhaveanM&Esystem,itislikelythatyourM&Eactivitieswillbeconductedinascatteredanduntimelyway—iftheyareconductedatall!
Inyourproposal,youwillhavedevelopedanM&Eplan;duringtheDIPprocess,youwilltransformitintoanoperationalM&Esystem.Theplanisanexcellentstart,butmostlikelyitisnotdetailedenoughtoprovidethebasisforastrongsystem.Furthermore,projectstakeholdersmaynothavebeensufficientlyinvolvedduringtheprojectdevelopmentstage,andthiscouldcompromiseownershipofalltheplannedM&Eactivities.Youwillalsowanttodouble-checkthatyouandyourpartnershavethecapacityandresourcestoimplementtheM&Eplanand,subsequently,sufficientunderstandingofhowtousetheinformationyouwillbegathering.
PROPACKIICHAPTERIVSECTION���
THREE M&E APPROACHES USED BY CRS
ThreeM&EapproachesrelevanttoCRS’workaredefinedhere.Thesethreeapproachesarecomplementaryandoverlap.(SeeChapter VI, Section 3, pp . �78-200andChapter VII, Sections � and 2, pp . 2�5-248formoreinformation.)
1 . Results-based M&E Results-based M&E links the
monitoring of progress on Activity- and Output-level (i .e ., lower-level) objectives to the achievement of IR- and SO-level objectives .Thisapproachemphasizes the use of monitoring information by managers to make decisionsaboutthedirectionoftheirwork.
FromTheorytoPractice:AResults-basedM&EExample
Atrainingworkshopforyoungmothersonimprovedhygienehasbeenconductedasplanned,andparticipantshaveshowntheylearnedthekeylessons.Someexamplesofresults-basedquestionswouldbe:
• Oncetheyarebackhome,dotheyputintopracticewhattheylearned?
• Iftheydo,whatimpactdoesthishaveonthehealthoftheirchildren?
Informationonlower-levelobjectives(“doingthingsright”)isimportant.Ifsuccessisnotfirstachievedatthislevel,thenitisunlikelythatsuccesswithhigher-levelprojectobjectives(“doingtherightthing”)willoccur.Results-basedmonitoringisconcernedwithdatathatshowwhetheraprojectisdeliveringthegoodsandservicesthatitiscontractedtoprovide.Gatheringearlyevidenceofbehaviorchangeamongthosetargetedforassistanceisavitalmonitoringactivity.Ifdonewell,suchevidenceshouldenableprojectdecision-makerstoassessthevalidityoftheproject’stheoryofchangeinaparticularenvironment.(SeeProPack I, Chapter III, Section 5, pp . 88–89formoreinformationonthetheoryofchange.)
2 . Utilization-focused M&E Utilization-focused M&EunderpinsCRS’approachtomonitoringandevaluation.This
approach focuses attention on theintended use of M&E information by intended users.Thisiswhydoingastakeholderanalysis—toidentifypotentialusers—atthebeginningoftheDIPprocess(seeChapter III, Section 2, pp . 72-73)issoimportanttosettinguptheM&Esystem.
3 . Participatory M&E Participatory M&E placesspecialemphasisongiving voice to people served by CRS and its
partners.In this approach, stakeholders work together to decide how to assess progress, conduct data collection, and analysis and take action on the findings .ParticipatoryM&Eencouragesmutuallearningbyallstakeholders.
��PROPACKIICHAPTERIVSECTION�
AllthreeapproachesinfluencehowCRS,partnersandotherstakeholdersdothefollowing:
• planforM&Easpartofprojectdesignandproposaldevelopment;
• setupM&Esystemsduringdetailedimplementationplanning;
• conductM&Eduringprojectimplementation;and
• useM&Einformationtodecideuponfutureprojectdirection.
WHO TAKES THE LEAD?
WhotakestheleadinsettinguptheM&Esystemduringdetailedimplementationplanning?Theansweris“Itdepends!”TheprocessmaybecoordinatedbyanM&EofficeroranM&Eunit,butthisdependsonthescopeofyourprojectandwhatM&Estaff,ifany,areavailableinyouroffice.YouandotherprojectpersonnelwillneedtoworkcloselywithyourM&Estaff,whocancontributemuchatthisearlystage.Whateverthecircumstances,itoftenmakessensetoestablishanM&Eworkinggroupsodifferentperspectivesinformyourthinking.
Nomatterwhatkindofstaffandsystemisplanned,bestpracticeindicatesthatallCRSprojectmanagerjobdescriptionsshouldincludeimportantresponsibilitiesforoversightofprojectM&E.Inmostcases,CRSpartnerswillneedguidanceandsupporttosetuptheirM&Esystem.It is very likely that you will be working as a team—CRS project manager, M&E specialists, and partner staff—on this critical piece of detailed implementation planning .Thiscanbeaveryrewardingexperienceasyoudiscovertogetherthefullpotentialthatutilization-focusedinformationcanoffer.
Reflection Opportunity 1. How would you amend your existing job description andHowwouldyouamendyourexistingjobdescriptionandperformanceplantorepresentmoreaccuratelyyouractualM&Eresponsibilitiesfortheprojectsyouarecurrentlymanaging?
2. Do other program staff and supervisors in your office haveDootherprogramstaffandsupervisorsinyourofficehaveclearlydefinedM&Eresponsibilitiesintheirjobdescriptionsandperformanceplans?
3. How might you ensure that the job descriptions andHowmightyouensurethatthejobdescriptionsandperformanceplansofyourcolleaguesincluderelevantinformationaboutM&Eresponsibilities?
PROPACKIICHAPTERIVSECTION���
SECTION 2 SIX COMPONENTS OF AN M&E SYSTEM
SECTION OVERVIEW AnM&Esystemisbasedonsixcomponents.
EachcomponentwillproducedocumentsthattogethermakeuptheM&E Operating Manual.(SeeSection 3, Table 4 .�2,pg . �28foraSummary of Components and Related Documents for the M&E Operating Manual.)ThinkoftheM&EOperatingManuallikeahandbookforamobilephone.ItprovidesuserswithallthedetailsandinformationtheyneedtousetheM&Esystemefficiently!Oncefinalized,acopyoftheM&EOperatingManualshouldbekeptinthe“DetailedImplementationPlan”drawerintheprojectfilingcabinet(seeChapter III, Section �,pp . 64-65)asanimportantcomponentoftheDIP.
Six Components of an M&E System OneOne: ConsidertheWholeM&ESystem Two: ReviewInformationNeedsof
StakeholdersandChoiceofIndicators
Three: PlanforDataGathering,AnalysisandEvidence-basedReporting
Four: PlanforCriticalReflectionEvents andProcesses Five: PlanforQualityCommunicationandReporting Six: PlanfortheResourcesandCapacitiesRequired
Thisiswhatyouwilllearn.
InComponents One and Two,youwill:
• consider,inaholisticmanner,theoverallM&Esystem; • learnabouttheimportanceofestablishinganM&Eworkinggroup;
• understandtheimportanceofdefininganagreedpurposestatementforaproject’sM&Esystem;
• learntowriteasuccinctandclearM&Epurposestatement;
• reviewhowtoassessinformationneedsofkeyprojectstakeholders;and
• learnhowtoreviewexistingprojectindicatorsinlightofthepurposestatementandinformationneeds.
��PROPACKIICHAPTERIVSECTION�
Components of an M&E System
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Figure4.1:SixComponentsofanM&ESystem
InComponent Three,youwill:
• learnhowtoplananddescribehoweachindicatorwillbemeasured(how,where,when,bywhom,etc.);
• reviewexamplesofdatacollectionsystems;and • learnaboutthelinksbetweentheindicatorsintheproframe,thedatagatheringforms
andevidence-basedreports.
InComponents Four, Five and Six,youwill:
• understandtheimportanceofturninginformationintoknowledgethroughplanningforcriticalreflectioneventsthatenhanceindividualandorganizationallearning;
• learnhowtoplanforqualitycommunicationandreporting;and
• checkthatyouhavetheappropriateresourcesandcapacitiestoimplementtheM&Esystem.
PROPACKIICHAPTERIVSECTION���
COMPONENT ONE:
CONSIDER THE WHOLE M&E SYSTEMRead Me First!
TodevelopanM&Esystem,CRSprojectmanagersneedtounderstandallofitselements.Thus,theword“components”isusedratherthan“steps.”Read the entire chapter, and make sure you understand all of the pieces .Yourchallengeistosetupacoherent,usefulsystem,andthisisthebestwayforyoutoachievethatgoal!
In developing the M&E system, expect to go back and forth between the components, rather than taking them in chronological order .DefiningthepurposeoftheM&Esystemwillprobablycomefirst,butothercomponentswillrequiremuchbackandforth.Forexample,detailsoncapacitybuildingfortheM&EsystemareinComponentSix,butyouhavetokeepthesethingsinmindasyoufinalizeyourreviewofindicatorsanddatacollectionmethodsinComponentsTwoandThree.SouseyourcommonsenseandprojectexperiencewhendesigningtheM&Esystemforaparticularproject.
Starteachprojectwithafreshperspectivebecauseitmayrequireadifferentsetofformsfromotherprojectsyouhaveworkedon. The forms and examples in this Chapter must be tailored to your project .Thereisnot,unfortunately,onemodelthatwillfitallprojects.Withtime,experienceandexamplesfromotherprojects,thistaskwillbecomelessdifficult.
Likeanyplan,theM&Esystemsetupduringdetailedimplementationplanningshouldnotbeseen
asinflexible.Astheprojectevolves,someinformationneedswillchange.TheM&E system for your project should be regularly reviewedthroughoutprojectimplementation,mostlikelyonanannualbasis,toensurethatitprovidesvitalinformationtosupportlearningandevidence-based,results-orientedprojectmanagementdecision-making.
Establish an M&E working group that could meet as needed to design the system and monitor how well it works once operational .Afterthesystemissetup,youwillfindthatsomeoftheformsmayhavetobemodified.Youwillfindbugsinthesystemduringimplementation,soitcanbehelpfultohaveaworkinggrouptooverseeit.
Component One is an opportunity to organize your approach to developing an M&E system, to establish an M&E working group, and to develop a purpose statement for the system .
AcarefullydesignedM&EsystemthatreflectsthethreeapproachesusedbyCRS(seeSection �, pp . 86-87)ispotentiallyveryinfluential.Itcanengagepartners,communitymembers,andotherimportantstakeholderstoworkinpartnershiponthedirectionandcontentoftheproject.
�0PROPACKIICHAPTERIVSECTION�
Figure4.2:ComponentOne——
ConsidertheWholeM&ESystem
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Gather All Work Completed for the Proposal This work is described inThisworkisdescribedinProPack I, Chapter V, Section 4, pp . �65–�68 .ItmayincludetheResults
Framework,Proframe(oritsequivalentifthedonorhasrequestedadifferentformat),M&Eplanningworksheets,andothercommentaryfromtheproposal.Consultthisworkasnecessaryduringdetailedimplementationplanning;itprovidesastrongfoundationforyouroperationalM&Esystem.
Set up the Table of Contents In the M&E system, there are many tables, data gathering forms, reporting forms and otherIntheM&Esystem,therearemanytables,datagatheringforms,reportingformsandother
documentsthatyouwillbeworkingwith.SettingupaTableofContents(ToC)inthebeginningwillhelpyouorganizeyourthinking.Asyouplantheformsforyoursystem,youcanaddthemtotheToCandtrackprogressontheircompletion.ThisToCcanbesetupbasedontheSixComponents,whicharelistedinTable4.12pg . �28.TheexamplebelowisashortversionofaworkingToCfromanHIV&AIDSproject.
FromTheorytoPractice:TheM&EOperatingManualToCforaCRS/VietnamProject
PROPACKIICHAPTERIVSECTION���
Component Document in the M&E Operating Manual Date of Document
Comments
1. Consider the whole M&E System
Table of Contents…………………………………..
M&E working group……………………………….
Purpose Statement…………………………………
Jan 24, 2007
Jan 23, 2007
Jan 16, 2007
Still in process
Get approval of HoP
2. Review the InformationNeeds and Indicators
Results Framework (revised)………………………
Proframe (revised)………………………………...
Stakeholder Information Needs…………………...
Other Information Needs (Critical Assumptions & Risk Analysis)………………………………………
Jan 19, 2007
Jan 19, 2007
Jan 17, 2007
To do
Jane to finish with team on Jan 31
3. Plan for Data gathering,Analysis and Evidence-basedReporting
Data Gathering and Reporting Forms 1. Health Center Monthly Report Form…………Health Center Monthly Report Form………… 2. Referrals from Out-patient Clinic Tally Form…Referrals from Out-patient Clinic Tally Form…
Instructions for Monthly Report and Referral Tally form………………………..
3. Quarterly Report Form………………………..Quarterly Report Form……………………….. Instructions for Quarterly Report Form….
4. Training and Workshop Form ………………...Training and Workshop Form ………………... Instruction for Training and Workshop Form…………………………..
5. Critical Assumptions and Risk AnalysisCritical Assumptions and Risk Analysis Information Form……………………………..
Instructions for Critical Assumptions Form Monitoring Responsibilities Worksheet……………
Jan 18, 2007 Jan 18, 2007
Jan 18, 2007 To reviseTo doTo do
To do
To do To do Jan 18, 2007
Jane & team to complete on Jan 31
All these forms need to be finalized with Health Center Staff
Need to discuss with CR Jane and team on Jan 31
4. Plan for CriticalReflection and Processes
Critical Reflection Events ….……………………….
Planned Evaluations …..……………………………
To do
To do
Schedulemeeting to do
5. Plan for QualityCommunicationand Reporting
M&E Calendar …..…………………………………
Reporting and Communication Schedule…………..
To do
Jan 18-to revise
Jane and team to complete on Jan 31
6. Plan for Capacities
Staff Capacity Assessment and Training …………… To do Discuss with Health Center staff
Define the Purpose of the M&E System WhyareyoudoingM&Einthisproject? ThethreeapproachesusedbyCRSforM&E—results-
based,utilization-focused,andparticipatory—willlikelyinformtheresponseoftheM&Eworkinggroup.Forexample,inmostprojects,results-basedM&EmeansthatonepurposeofM&Eistoensurehigher-levelobjectives(i.e.,theIRsandSOs)areachieved.Thesearegenerallydefinedbytangiblebenefitstoprojectparticipants.ButthereareprobablysomeadditionalimportantreasonsfordoingM&Ethatmaybeuniquetoyourprojectorwhichaddressconcernsaroundutilizationandparticipation.
Rememberthatif the purpose of the M&E system is very clear, the other steps are easier to complete .SomeexamplesareincludedinTable4.2.
Table4.2:PossiblePurposesofanM&ESystem
Organizational Learning
ToidentifyandsharebestpracticesandlessonslearnedfromprojectsinwhichIHDisafocuswithotherCRSCountryProgramsandregions.
Capacity Strengthening
TodesignandimplementanM&EsystemforaspecificprojectthatispartofalargercapacitystrengtheningprogramforCRS,itspartners,andotherimportantstakeholders.
Innovation Topilotinnovativemethodsforparticipatory,community-basedM&E.
Policy Orientation ToensureM&EfindingscontributetodiscussionsonagencyapproachestoIHD.
Relationship Building
ToensurethattheM&EsystemisdesignedandimplementedinawaythatimprovesrelationshipsamongCRS,itspartnersandotherstakeholders.
ApurposestatementfromI-LIFE,aTitleIIconsortiumprojectinMalawi,isprovidedasanexample.
FromTheorytoPractice:PurposeStatementoftheI-LIFEM&ESystem
• Toensure accountabilitytodifferentstakeholdersintermsoffinancialmanagement,achievementofobjectivesandservicedelivery.
• Toenhance learningsothatprogramsareimproved;newprojectsaredesignedthatbetterservecommunities;lessonslearned,findings,andresultsareshared;andprojectstakeholdersknowifI-LIFEactivitiesmadeadifferenceincommunities.
• Toallow managers to make better decisionsaboutI-LIFEactivities,andknowifI-LIFEisbeingimplementedeffectivelyandifresourcesarebeingallocatedappropriately.
• Toinform policy makersabouttheimplicationsofprojectfindings.
Documentation for the M&E Operating Manual Information for this section of the manual may include:
• ToCthathelpsyoukeeptrackofprocessondocumentsandforms
• ListofthemembersofyourM&Eworkinggroup
• Purposestatementthatenablesstakeholderstoseeataglance,thepurposeofyoursystem
��PROPACKIICHAPTERIVSECTION�
COMPONENT TWO:
REVIEW INFORMATION NEEDS OF STAKEHOLDERS
AND CHOICE OF INDICATORS
Utilization-focusedM&ErequiresthattheM&Eworkinggroupconsiderend-usefromthebeginning!Inotherwords,youwillneed to know right from the start how the M&E information is later going to be applied by key users to make decisions .Inthiscomponent,youwillreviewandassesstheinformationneeds,interestsanddecision-makingresponsibilitiesofallkeyprojectstakeholders—theintendedusersofinformation.Evenifthiswasdoneearlier,thiscomponenthelpstodouble-checkthatallprioritystakeholderswillhavetheinformationtheyneedtomakegooddecisionsabouttheproject,basedontheM&Esystem.
Identify Your Stakeholders Who are the potential users of M&EWho are the potential users of M&E
information? Whoneedstomakeinformeddecisions?Thesequestionsarebestansweredbyreferringtothestakeholderanalysisdoneduringthefirststepsofdetailedimplementationplanning(seeChapter III, Section 2, pp . 72-73).Formostprojects,CRSstaff,partners,projectparticipants,anddonorsareobvioususers.Youwillalsowanttoidentifyotherpotentialinformationuserswhoarespecifictoyourproject.Forexample,CRS/Malawi’sI-LIFEprojectidentifiedcommunity-basedorganizations,traditionalleaders,districtandministrygovernmentofficialsandlocalpoliticians.
Be specific when naming users .Forexample,insteadof“CRSstaff”thinkaboutspecificCRSinformationusers,suchastheCountryRepresentative,financemanagerorprocurementofficer.Eachhavedifferentinformationneedsbecausetheymakedifferenttypesofdecisions.
RemembertheearliercommentsaboutestablishinganM&Eworkinggroup.Individualsfromyourlistofkeystakeholdersmightbeintrestedinjoiningyourgroup.
PROPACKIICHAPTERIVSECTION���
Figure4.3:ComponentTwo—ReviewInformationNeeds
ofStakeholdersandChoiceofIndicators
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Identify Your Stakeholders’ Information Needs What are the specific information needs of each of these stakeholders?What are the specific information needs of each of these stakeholders? Whydotheywant
thisinformation?Whatdecisionswilltheymakewiththisinformation?Workcloselywiththeappropriatedecision-makerstomakesureyouunderstandtheirneeds.
SomeexamplesforahealthandnutritionprojectareincludedinTable4.3.EachinformationuserdependsontheM&Einformationtomakeinformeddecisionsoractions.
Table4.3:IllustrativeDataandInformationNeedsinaHealthandNutritionProject
Intended M&E Information User
Data Needed for Decision-makingIllustration of Decisions That Might Be Based on the Available Information
Community Infant Caretakers • Infantgrowthdata
• Doesthemonitoringprogramneedtobeexpandedtocoverallfamiliesinthecommunity?
• Whatisthehealthstatusoftheinfantsthatarebeingmonitored?
• Isthereaneedtoreviewthecurrentapproachtoinfantcare?
Village Health Committee
• Numberofwomenandmeninthecommunitythathavereceivedtraininginhealthandnutrition
• Numberofparticipantswhohavedemonstratedunderstandingoftheknowledgeandskillstaught
• Ismoretrainingneeded?
• Havetherightpeoplereceivedthetraining?
• Arethesepeopleusingtheirnewskillsintheirwork?
• Arethereanycommunitymemberswhocanactaspromotersofimprovedhealthandnutritionpractices?
�4PROPACKIICHAPTERIVSECTION�
Intended M&E Information User
Data Needed for Decision-makingIllustration of Decisions That Might Be Based on the Available Information
Project Managers and Partner Project Officers
• Activitiescompletedinthelastsixmonths
• Challengesthathaveariseninthecourseofprojectimplementation
• ValidityofCriticalAssumptions
• Communitymembers’descriptionsofwhathasbeenthemostsignificantchangeoverthelastsixmonths
• Useofhealthandnutritionmessagesbycommunitymembers
• Impactonhealthofcommunitymembers
• Arecurrentfinancialandhumanresourcessufficienttoensureprojectactivitiescanbeimplementedwell,on-time,andwithinbudget?
• Isthereaneedtotakeanyadditionalactiontoensureprogresstowardstheachievementofhigher-levelobjectives?
• Isitclearwhychallengeshavearisenandwhatthepossiblesolutionsmightbe?
• Isthereaneedforadditionalinformationtounderstandthechallengesmoreclearly?
• IsthereaneedforanycorrectiveactionrelatedtotheCriticalAssumptions?
• Arethereareanyunexpectedbenefitsorcoststhatshouldbesupportedoraddressed,respectively?
CRS Regional Technical Advisor for Health
• Lessonslearnedaboutthenewpeereducationapproach
• Identifywhichcommunitymembersinparticularhavebenefitedorlostout
• ShouldCRSadvicetoCountryProgramsintheregionregardingthenewpeereducationapproachbeamended?
• Ifyes,how?
• Whatcanbesharedwithotherregions?
Donors
• Ratesofuptakeofimprovedhygienepractices
• Improvedhealthbenefitsarisingfromtheadoptionofimprovedhealthpractices
• Theprojectdonorshaveaprescribedsetofindicatorstheywantmonitored
• Istheprojectmeetingreasonabletargetsconcerningefficiencyandeffectiveness?
• IsthereaneedtoapprovechangestotheoriginalsetofActivitiesandOutputs?
• Howbestcanthepertinentlessonsfromthisprojectinterventionbedisseminatedmorewidelytoothersimilarprograms?
PROPACKIICHAPTERIVSECTION���
Review Proframe Indicator Statements ReviewtheProframe’sPerformanceIndicatorstatementsinlightofthestakeholders’needs.
RememberfromProPack I, Chapter IV, Section 2, pg . �09,PerformanceIndicatorstatementsdothefollowing:
• definemoreclearlytheessenceoftheassociatedobjectivestatement;
• provideSpecific,Measurable,Achievable,Relevant,Timebound(SMART)elementstotheobjectives;
• suggestevidenceofhowmuchorhowwellobjectivesarebeingachieved;
• verifytheproject’sunderlyingtheoryofchange;
• determinewhethertheprojectisontrackorwhethercoursecorrectionsneedtobemade;and
• enablemanagerstomaketimelyandbetter-informeddecisions.
��PROPACKIICHAPTERIVSECTION�
ThinkAboutIt…Indicators and the “Right Road”
CRS/Malawi’sI-LIFEM&Emanualdescribesindicatorsas“markers.”Thinkofthemasroadsignsthatshowwhetheryouareontherightroad,howfaryouhavegone,andhowfaryoustillneedtogoinordertoreachyourdestination.
Table4.4showswhatinformationistypicallyprovidedbytheindicatorsassociatedwitheachofProframe’sfiveobjectivelevels.ThisinformationissummarizedfromProPack I, Chapter IV, Section 3, pp . �32–�33 .
Table4.4:InformationProvidedbyDifferentTypesofIndicators
Objectives Hierarchy
Information Typically Provided by the Associated Indicators
Activities
•
•
Focusonimplementationprogressistypicallymeasuredthroughadministrative,managementandfinancialtracking,andrecord-keepingsystems;trainingreports,etc.Theindicatorsanswerthefollowingtypesofquestions:
o WastheActivitycompletedwithacceptablequalityandasplanned?o Wereplannednumbersandtypesofitemspurchasedand
distributed?o Werethemeetingsheld?o Didthenumbersandgenderofpeopleinthetargetgroupstrained
meettheanticipatedtargets?
Outputs
•
•Focusongoodsandservicesdeliveredthroughsuccessfulcompletionofactivities.Generallymeasuredbypre-andpost-testtrainingscoresorpracticalassessmentsofincreasedknowledge,skillsandattitudes;creationofstructuresorsystems;kilometersofroadsornumberofschoolsrehabilitated;andsoon.
Intermediate Results
• Focusondemonstrableevidenceofbehavioralchangesuchasadoption,uptake,coverageorreachofOutputs.
• TrackedassoonasOutputshavebeendeliveredandhavehadareasonabletimetotakeeffect.
• Lightlymonitoredatfirst;exploredinmoredetailifrequired;andthenformallyevaluatedatmid-termagainstbaselinedata.
Strategic Objectives
• ReflectthebenefitsexpectedtooccurforcommunitiesbytheendoftheprojectasaresultofbehavioralchangesatIR-level.
• Endofprojectresultsarecomparedwithcorrespondingbaselinefindingstomeasurethesebenefitsagainsttargetsset.
• Measuredduringfinalprojectevaluation.
Goal
• Unlikeotherobjectives,theGoalstatementisusuallygeneralandabstract,describingadesiredstatethatoccursbeyondthelifeoftheproject.Forthisreason,aGoalmaynothaveanassociatedindicator.
• Ifmeasured,dataaredrawnfromappropriate,pre-existingsourcessuchastheUnitedNations(UN),nationalgovernmentreports,etc.
Reflection Opportunity
1. GiventheinformationinTable4.4onpotentialinformationneedsofvariousprojectstakeholders,whichlevelsofProframeobjectivesandrelatedindicatorsmightinterestprojectmanagersandofficersmost,andwhy?
2. Whichlevelmightinterestdonorsmost,andwhy?3. WhatinformationneedsofprojectstakeholdersmayNOTbe
addressedthroughthedatacollectionsystemsetuptotrackProframe’sprescribedindicators?
TogetherwiththeM&Eworkinggroup,systematicallyandcriticallyrevieweachindicatorinlightoftheM&Epurposestatement,thelistofusersandtheirinformationneeds,andthescopeofyourproject.Becausecollectingindicatordatacoststimeandmoney,youwillwanttobeclearwhyeachindicatorhasbeenchosen,howeachrespondstoaspecificinformationneed,andhowtheinformationthatwillbegeneratedwillbeusedbystakeholderstoinformdecisionstheyneedtomakeoractionstheywilltake.
Itmaynotalwaysbepossibletomakerevisionstotheindicators,particularlyifthedonorhasstrongopinionsaboutwhatneedstobeincluded.Inthisregard,gooddialoguewiththedonorandotherimportantstakeholdersisessential.
Ifindoubt,
ruleitout!
PROPACKIICHAPTERIVSECTION���
ThinkAboutIt…Need to Know vs . Nice to Know
Don’tforgetthe“less is more”principleforindicators!Selectindicatorsthatprovideinformationthatsomeonewilluseforprojectdecision-making.Resistdemandsfortoomuchdatatobecollected.Don’toverwhelmprojectmanagerswithdatacollectiononquestionableindicators.
Identify Other Information Needs The Proframe indicators usually do not provide all of the information needed during the
implementation of a project . Issues or questions may arise that call for the gathering of additional information .Also,informationmustbecollectedfortheCritical AssumptionsnotedinyourProframe.(SeemonitoringCriticalAssumptionsinProPack I, Chapter IV, Section 2, pg . �22formoreinformation.)Allow time in your M&E plan for these unplanned activities .
Whataresomeexamplesofotherinformationthatmaybetrackedduringprojectimplementation?YoumaywantinformationonhowanewpartnerperceivesCRS’supportearlyinprojectimplementation.Iftheyarenothappy,youwillwanttodecideonhowbesttorespond.Youmaywantinformationonhowwellacertaingovernmentministrysupportstheproject.Howmanyofficialsarecomingtotheprojectmeetings?Ifyoudon’tgettheirsupportearlyon,theprojectwillsurelyrunintogreaterdifficultieslater.Youmayalsofindsomepleasantsurprisesthatareimportantenoughtotrackinamoreformalway.Thepublicofficialsmaybesoengaged,forexample,thatyoudecidetomeasureandreportontheirparticipationintheproject.
Keep a list of these other information needs . Use your best judgment to decide what level of monitoring is appropriate for each of these other potential issues .Forexample,youmaydecidethatmonitoringtheparticipationofgovernmentofficialsinmeetingsneedstobedoneonlyoccasionally.Iftheircommitmentseemstobediminishing,thentheintensityofmonitoringcanbeincreased,asappropriate,beforeanyfollow-upactionisdecidedupon.ThismoreholisticapproachreflectsthefullscopeofanM&Esystem.
Documentation for the M&E Operating Manual
Informationforthissectionofthemanualmay includethefollowing:
• informationneedsofstakeholdersyouidentifiedusingTable4.3onpp . 94-95ofthissectionasaguide;
• theResultsFrameworkfromyouroriginalproposal;
• theProframewithanupdatedsetofindicators;and
• criticalassumptionsandanyadditionalinformationneedsthattheM&Eworkinggroupmayhaveidentified.
��PROPACKIICHAPTERIVSECTION�
COMPONENT THREE:
PLAN FOR DATA GATHERING, ANALYSIS
AND EVIDENCE-BASED REPORTING
Introduction
Definitions: Data, Information, Knowledge and Learning
M&Eisonlyusefulifitresultsinimproveddecision-making.Thisistheunderlyingvalueofautilization-focusedapproachtoM&Eandrequiresdatatobegatheredandtransformedintoinformationandknowledge.Itishelpfultodistinguish between terms that are often used interchangeably—data,information,knowledgeandlearning—andtheusestowhichtheyareput.
• Datarefertoraw,unanalyzedmaterial(facts,figures,opinionsandperceptions),gatheredbyaninformationsystem.
• Informationreferstoanalyzeddata,oftenpresentedinaformthatisspecificallydesignedforagivendecision-makingtask,andtransmittedtoandreceivedbydecisionmakers.
• Knowledgereferstothesubsequentabsorption,assimilation,understandingandappreciationofthatinformation.
• Learningistheprocessthroughwhichindividualandagencyknowledgeisgained.Learningisanecessarybutinsufficientconditionforimprovedprogramquality.Itisthepractical application ofthatlearningthatwillenableCRStodelivergreaterimpactwithagivensetofresources.
Proframe Indicators, Data Gathering and Evidence-based Reporting
InComponentTwo,youandyourstakeholdersfinalizedyourlistofindicators.Now, in Component Three, you will determine how to gather, organize, analyze and report on data . This is, in a sense, the heart of your M&E system . You will be linking the Proframe indicators with data gathering forms and then making sure those form link with your evidence-based reporting formats . While it will initially take time to think this through and to set this up, it will save you time in the long run .ComponentThreecontainsothersuggestedtoolsandformstohelpyouensurethateachperformanceindicatorwillbegatheredinasystematicwaysothatyourreportswilldocumentconsistentandcomparableinformation.Let’stakeamomenttolookmorecloselyatwhatismeantbyevidence-basedreporting.
Evidence-based reporting is an approach to report writing in which statements made about the progress of the project are supported with verifiable information . ProjectmanagerswritereportsbasedonthebestevidenceavailablefromtheM&Esystemtosupportthefindings.
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Figure4.4:ComponentThree—Plan for Data Gathering,—Plan for Data Gathering,PlanforDataGathering,
OrganizationandAnalysis
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
ManyCRSstafffeelthattheirapproachtoreportwritingisadhoc.Theystruggletowritereportsthatspeaktotheobjectivesoftheproject,basedonmeaningfulanalysisoftheindicators.Asaresult,manyreportshavestrongstatementsabouttheprogressmade,yetlittlesupportingevidencetojustifytheclaim.
Anevidence-basedapproachtoreportingrequiresyoutothink forwardtothekindofreportsyouwillneedtowrite(tosatisfythestakeholdersanddonors).Asyouthinkforward,youknowyouareexpectedtocompileanannualreportontheprogresstheprojectismakinginachievingitsobjectives.Nosurprisethere!TheannualreportwillneedtohaveinformationnotonlyabouttheActivitiesthathavebeenundertaken,andtheOutputsdelivered,butalsosomeindicationofhowwelltheprojectisprogressingtowardsachievingtheIRs.Again,thisshouldbefamiliartoyou.So,tofindoutmorepreciselywhatspecificinformationyouwillneedtoreport,look backnowattheProframeanditsindicatorstofindtheinformationrequiredinthereports.
Forexample,perhapsyourActivity-levelindicatorsrequireyoutoreportonthenumberoftrainingworkshopsyouhaveheldduringtheyear,andthenumberofparticipantsattending,disaggregatedbygender.InComponentThreeyouwillsetupasystemtoensureyouhavethenecessarydataintimeforwritingthereport.IfattheIR-level,yourindicatorsuggeststhatyouanticipateacertainpercentageoftraineeswillbeapplyingtherecommendedpracticeintheirhomes,thenComponentThreewillhelpyoudeterminehowbestyoucangather,organizeandanalyzethosedatasothat,again,youcanmakeevidence-basedstatementsinyourreport.
ThinkAboutIt…
OneveryusefulthingtodoatthisearlystageisfortheM&Eworkinggrouptothinkaboutthekindsoftables,graphsorothermeansforcommunicatinginformationinareport.Itdoesn’tmatterthatyoudon’thaveany‘live’data,youcanstillusethisasatechniqueforworkingoutwhatdatayoumustcollecttobeabletoreportsystematicallyagainstthestatedobjectives.
SettinguptheM&Esystemrequirescare–ComponentThreeinparticular–isabitliketheman
whoistryingtospinalotofplatesatthesametime.
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Therearemanypiecestocontendwith,andthechallengeistokeepyoureyeonallofthedifferentpartsofthesystemtoensureitwillprovideyouwiththedatayouneed,atthetimeyouneedit,foryourreports.
But how do you get from the list of indicators in your Proframe to a set of linked data gathering forms and reporting formats? Page 111 provides information on designing these forms . Beforedesigningthem,however,itwillbeusefultoreviewthesectionsoncostandcomplexityofdatacollection;dataworksheets;andotherdatagatheringconcerns.Withthesetaskscompleted,youwillbereadytodesigntheformsbecausealloftheindicatorswillbeclear,datacollectionmethodswillbedecidedandresponsibilitiesforcollectionandanalysiswillbedetermined.
Cost and Complexity of Data Gathering
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TurntoFigure23in ProPack I, Chapter IV, Section 2, pg . ��8toseethetrade-offsbetweencostandcomplexitywhencomparingdifferentmethodsofdatagathering.Ensurethatyouhavethetime,money,andstafftogather,organizeandanalyzedata.RememberthedottedlineintheProframebetweenthePerformanceIndicatorStatementsincolumntwoandtheMeasurementMethods/DataSourcesincolumnthree?AssuggestedinProPack I,pg . ��7,experienceshowsthatperformanceindicatorstatementsareoftenwrittenwithoutaskingwhatapproachtomeasurementisappropriate,howtheycanberealisticallymeasuredandanalyzed,whatresourcesarerequired,andwhowillberesponsible.
PROFRAME
PerformanceIndicator
Statements
MeasurementMethods/Data
Sources
Thissteprequirescarefulplanning,sinceitisthedetailsthatcanbethemosttroublesome.Asanexample,theplanfordatagathering,organization,andanalysisforafoodsecurityindicatorislistedintheZimbabwe“FromTheorytoPractice”storybox.
FromTheorytoPractice:DrillingDowntotheDetails—DataGathering,OrganizationandAnalysisforaLarge,Multi-agencyProjectinZimbabwe
Indetermininghowbesttogatherdataforend-usemonitoringpurposes,thefollowingissueswereconsidered:
• thesampleunit—householdswhichwereparticipantsintheprojectandnon-participants;
• thesurveytool—communityfoodsecurityquestionnaire;
• thesamplingmethod—randomselectionofprojectparticipantsandnon-participants;
• thesampleframe—theuniverseorpopulationwhichthesamplewastorepresent(e.g.,acompletelistofallthehouseholdsorpopulationintheprojectarea);
• thesamplesize—fivehouseholdsperwardinsevendistrictsgivinganapproximatetotalnumberoffivesentinelfarmersx113wardsor665totalsentinelfarmers;
• field-testingandrefiningthesurveytool;
• thesurveytrainingrequired—centraltrainingforagriculturedistrictstaff,whointurnwouldtraincommunity-basedsurveyorsintheirdistricts;
• datagatheringprocedurestobefollowed—collectedmonthly,collatedatwardlevelbythe20thofeachmonth,andsenttotheprojectofficebythe25thofeachmonth;
• dataentryandanalysisprocedures;and
• aplanningcalendarforalloftheabove.
(Source: Adapted from C-SAFE)
ProPackIIdoesnotprovidedetailsontopicssuchassamplingorsurveytechniques.M&Eandothertechnicaladvisorscanhelpwiththeseissues.Inaddition,thisinformationiswidelyavailablefromresourceslistedattheendofthischapter.
Review Data Gathering Worksheets RevieweachPerformanceIndicatorStatementincolumntwooftheProframealongwiththe
descriptionincolumnthreeofitsassociatedMeasurementMethods/DataSourcesandtheappropriateM&Eplanningworksheets.Youwillwanttoensurethatinformationgathering,organization,andanalysishasbeenplannedinsufficientdetail.
FromTheorytoPractice:RefiningandDetailingtheM&EPlanningWorksheets
BuildingfortheFutureisa$5.5million,five-yearprogramtoempoweryouthtobuilddemocracyandstabilityinGeorgia,workingwithimplementingandtechnicalresourcepartners.AMeasurementMethods/DataSourcesworksheetandotherM&Eworksheetsweredevelopedfortheproposal.WhentheChiefofPartyarrived,however,herealizedthathisinformationneedsdemandedmoredetailand,asaresult,heapprovedadditionalM&Eactivities.LivingconditionsinGeorgiadifferedtremendouslybetweenrural,urban,orbreakawayregions,sotheM&Eunitwasrequestedtoseparatethedatacollectedforvariousindicatorstoreflectthesegeographicaldifferences.Furthermore,theChiefofPartyrequestedtheinclusionofreal-timeevaluations(seeChapter VII, Section �, pp . 223-224)asameasurementmethodforassessingprogressinachievingthebehaviorchangeindicatorsatIR-level.
ThestoryfromGeorgiashowsthekindofadditionaldetaileddesignandplanningworkthatmaybeneededastheM&EplanisturnedintoanoperationalM&Esystem.Workingcollaborativelywithpartnersandotherkeystakeholderstoreviewtheperformanceindicatorstatementsisvital.Itenablesallthosewhowillbeinvolvedindatagatheringtoverifythetechnicalandresourcefeasibilityoftheproposedmeasurementmethods/datasources.Later,thiswillhelpmotivateallconcernedwhentheworkhastobedone!
FollowingaredescriptionsofsomeM&EworksheetsintroducedinProPack I, Chapter IV, Section 4, pp . �39–�46andadescriptionofhowtheseworksheetsshouldberevisedandupdatedduringtheDIPprocess.
Measurement Methods/Data Sources Worksheet
Keepprojectstakeholders—especiallypartners—involvedinthisstep.Themorestakeholdersandpartnersareengagedinselectingthemostappropriateandpracticalmethods,thebetterthechancetheywillcollectdatainawaythatsupportshigh-qualityM&E.
ColumnstwoandthreeoftheprojectProframeshouldprovideyouwithasetofSMARTperformanceindicatorsandhowtheywillbemeasured.ReviewthembyusingtheMeasurementMethods/DataSourcesWorksheetincludedinProPack I, Chapter IV, Section 4, pg . �39 . Theworksheetincludestheindicatordefinition,thedatacollectionmethods/datasources,thefrequencyandtimingofdatacollection,andotherimportantconsiderations.(Seepp . �38–�40ofProPack Iforguidanceonfillingouttheworksheet.)
Review and, if necessary, change the original specification of each indicator and measurement method toimprove the chances that data will be collected in a uniform manner .Inotherwords,youareseekinganM&Esysteminwhichfieldstaffgatherdatasystematically,sothattheyareconsistentovertimeandcomparableacrosssites.
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CRS/Malawi’sI-LIFEprojectemphasizesthreeimportantwordstorememberwhenreviewingtheindicators,andcalculationandmeasurementmethods:1)Consistent,2)Systematicand3)Comparable.
AveryclearlywrittenmethodofcalculationforanindicatorisshowninTable4.5.
Table4.5:CalculatingPercentageofHouseholdswithLatrinesinUse
Indicator Percentage of Households with Latrines in Use
Source of data Physicalcountandpartnerrecords
Method of measurement
Numerator:NumberofhouseholdswithlatrinesinuseDenominator:Totalnumberofhouseholdsinthecommunity
Numerator---------------X100=percentage of households with latrines in useDenominator
InstructionsTwiceayear,physicallycountlatrinesinuse,thenmonthlyaddnewhouseholdlatrinesandsubtractfullorcollapsedlatrines.
(Source: UNHCR 2004)
Potentialproblemsarounddatavaliditywillbeeasedifyouareabletoutilizecommonly accepted indicatorsthathaveclearguidancefortheirmeasurement.Thismay,intime,allowforcomparisonofdataacrossmultipleprojects.Somedonorsmayrequireyoutouseaspecificsetofstandardizedindicators(e.g.,thereisoftenveryclearguidanceprovidedforTitleIIprojects);thismustbereflectedintheprojectproposal’sM&Eplan.ConsultProPack I, Chapter IV, Section 2, pp . ���–��2formoreinformationonwhenandhowtousestandardizedindicators.Usefulwebsitesforstandardizedindicatorsarelistedattheendofthischapter.
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Baseline Survey Worksheet
Baselinesurveysareanimportantreferenceforprojectevaluations.Abaselinesurveyusingaprobabilitysampleisappropriateifitisintendedtocollectthesameinformationatotherpointsduringtheprojectcycle.Inthisway,abaselinesurveyprovides information on the pre-project status of participant conditions against which performance indicators will normally be compared at mid-term and at the end of a project .Thus,baselinesurveysshouldbedonebeforeprojectimplementationandought to be one of the project’s first activities.
However,anall-too-commonscenarioisthatabaselinesurveyisnotconductedattheoutset,whichcausesdifficultiesforevaluationlateron,asdescribedinthe“FromTheorytoPractice”story.
FromTheorytoPractice:TryingtoEvaluateWithoutaBaseline
InoneCRSprogram,staffplannedtowriteaproposalforaTitleIIaidprogramcalledaMulti-YearActivityPlan(MYAP)thatfocusedonhealthpromotion.ThenewproposalwastobebasedonanevaluationofthepreviousfoodaidprogramcalledtheTransitionalAssistanceProgram(TAP).EarlyintheirattemptstoevaluatetheTAP,staffrealizedtheyhadnobaseline.Withoutone,theycouldnotdocumentthesuccessoftheTAP,sotheygatheredanecdotalevidencethatsuggestedthatithadimprovedlives.Yet,astheydevelopedtheMYAP,theyfoundthemselvesstrugglingwiththedesignforlackofgooddatafromthepreviousprogram.
TocompensateforthelackofabaselineintheTAP,staffdevelopedanelaborateplanwithover100variablesfortheMYAP.Atthesametime,USAIDorganizedabaselinesurveythatrepresentedallareaswhereTitleIIoperated.Participatinginthisseemedlikeabetteroptionthantryingtotackleaplanwithmorethan100variables,soCRSparticipatedinthecollectionoftheUSAIDbaselinedata.Duringthemid-termreview,however,theylearnedthatnationallevelsamplingdidnotprovidegooddataforthespecificCRStargetarea.Stafffoundthemselves,again,withoutgoodbaselinedatatomeasureprojectimpact.
AstheTitleIIstoryillustrates,someprojectshavedifficultieswithbaselinesurveys.Somecommonproblemsarethatthey:
• aredonelate,ornotatall;
• arepoorlydesigned;
• areexcessivelydetailed;and
• requireknowledge,skills,andexperiencethatCRSandpartnerstaffmaynothave.
Goodplanningshouldhelpyouaddressthesepotentialdifficulties.FillingintheBaselineSurveyWorksheetwillhelpensurethatthisfirstactivitygoesassmoothlyaspossible,regardlessofwhethertheCRSofficeisimplementingthesurvey,orifithasbeencontractedouttoaspecialist.ReviewtheBaselineSurveyWorksheetandquestionsinProPack I, Chapter IV, Section 4, pg .�43 .
FromTheorytoPractice:ExampleofBaselineSurveyGuidanceforChildSurvival
USAIDDIPguidanceforChildSurvivalprojectsprovidesthefollowingexamplesofbaselinestudiesthatmaybeconductedforsuchprojects.Surveysmayinclude,butarenotlimitedto,thefollowing:
• acensus;
• apopulation-levelbaselineKPC(knowledge,practicesandcoverage)survey;
• ahealthcareprovider’sassessment(i.e.,duringafacilityassessmentorahealthworkercompetencysurvey);
• anationalTuberculosis(TB)review/assessment; • aTBcohortanalysis; • anorganizationorpartnercapacityassessment;and • anycomplementaryqualitativeresearch.
USAIDDIPguidancefurtherrequiresthatbaselinesurveyreportsmustincludeadescriptionof
samplingtechniquesandinterviewprocesses.
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(Source: USAID 2005)
WhileinformationinProPackIandthismanualwillhelptoalimitedextent,andtherearemanywrittenreferencesthatdealwiththistopic,youwillmostlikelyrequireassistancefromyourM&Eunit,othertechnicaladvisors,oranoutsideconsultant.Ifyoucontractoutthework,lookforacapablegroupthathasexpertiseinsurveyworkinyourproject’sspecificsector.
Extrahelpisusuallyneededbecausedesigning,planning,andconductingbaselinesurveysdemandspecialskills.Checklist4.1providestipsformanagingabaselinesurvey.
Checklist4.1:TipsforManagingaBaselineSurvey
Ifyouhireaconsultantforabaselinesurvey,developawell-writtenSOW,andallowplentyoftimefortherecruitmentprocessinordertogethigh-qualitytechnicalassistance.RefertoChapter V, Section �, pg . �36 and chapter VII, Section 2, pp . 237-239formoreinformationonhowtowriteastrongSOW.
Ensurethatbaselinesurveysarecompletedasearlyaspossibleintheproject.Thiswillimproveyourabilitytoanalyzeimpactbasedondatacollectedattheendoftheproject.
Planforsufficientstaffandtimetoworkonallphasesofthebaseline—bottlenecksoftenoccurindataprocessingandanalysis.
Pre-testquestionnairesandmakesuredataarereliable. Collectonlydatathatcorrespondtotheagreeduponsetofperformanceindicators(i.e.,
thatneedtobeanalyzedandreported). Ensurethatquestionnairesaredesignedtosimplify—notcomplicate—dataprocessing. Ensurethatbaselinesurveysarereplicable,becausetheywillneedtoberepeatedat
projectcompletionandsometimesduringamid-termevaluation. Shareyourbaselinesurveyexperienceswiththedeputyregionaldirectorforprogram
quality(DRD/PQ)andthePQSDM&Eteamasyourcontributiontowideragencylearning! Ifworkingwithexternalconsultants, • requestthattheyprovidealldatacollectiontoolsandgathereddataaspartof
theirdeliverables,and • ensurethattheexternalconsultancyisdesignedandimplementedasacapacity-
strengtheningopportunityforCRSandpartnerstaff.
Thereisawealthofinformationavailableelsewhereonbaselinesurveysandrelatedtopics.TheI-LIFEHandbookonM&EEssentials,forexample,containsguidanceonconductingbaselinesurveys,includingquestiondevelopment,questionnairelayoutandlength,coding,keystepsinconductinganinterview,samplinganddatamanagement.ThesereferencesarelistedintheRelated Reading sectionattheendofthischapter.
If,forwhateverreason,abaselinesurveyisnotundertaken,youwillstillneedtogatherdatathatcanserveasareferencepointtomeasureprojectperformance.Bambergeret al (2006)suggestthefollowingpossiblealternativestobaselinesurveys:
• reconstructingbaselinedataforprojectpopulations;
• assessingthesituationatthebeginningoftheprojectbasedonrecall;
• workingwithkeyinformants;or
• usingparticipatoryevaluationmethods.
SeeChapter VII, Sections � and 2, pp . 2�5-248formoreinformation.
Insomeprojects,thebaselineiszerobecausetheinitiativeisnewandtheresultsaresimplycountedfromthebeginningoftheproject.The“FromTheorytoPractice”Peacebuildingstoryboxillustratesthisscenario.
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FromTheorytoPractice:BaselineDataforaPeacebuildingProject
CRS/Philippineshasapeacebuildingprojectthatisintendedtostrengthenthecapacityofcommunityleaderstopromotepeaceintheirvillages.Withtheacquiredknowledgeandskills,itishopedthattheleaderswillworkwithcommunitymemberstodesignandimplementinitiativesthatwillbuildlinkageswithdifferentlocalgroups.Inthisproject,theIR-levelindicatoristhenumberofvillagesthatareimplementingpeacebuildingactivities.Thebaselineatthebeginningoftheprojectiszero,becausenovillagegroupshaveeverundertakensuchpeacebuildinginitiatives.
Performance Indicator Tracking Table ThePerformanceIndicatorTrackingTable(PITT)isa required M&E planning document
in all Title II-funded projects.ThePITTprovidestimelyinformationforprojectreviewsandevaluations.Forexample,amid-termevaluationwillaimtoexplaintheover-orunder-achievementofprojecttargets.Thisanalysismayresultinrequestsforrevisedtargetsandamendmentstocertainindicators.Aspartofafinalevaluation’sassessmentofprojectimpact,therewillbeareviewofachievementatSO-level,assummarizedinthePITTworksheet.
EvenifdonorsdonotrequirethePITT,itisstillrecommendedforconsiderationbytheM&Eworkinggroupforthefollowingreasons:
• ithelpspromoteresults-basedM&Ebytrackingindicatorsrelatedtohigher-levelobjectives;
• itprovidesausefultoolforannualprojectreports;and
• itsummarizesandcommunicatesessentialprojectinformationamongprojectstakeholders.
Inyourproposal,youmighthaveadraftPITT.ThePITTcanonlybefullycompleted,however,oncethebaselinesurveyisundertaken.Duringdetailedimplementationplanning,andtogetherwithotherimportantstakeholders,youwillwanttorevisetheinitialtargetestimatessothattheyarealignedwiththebaselinesurveydata,unlessthesurveywasdoneintheprojectplanningstage.Once the baseline data are entered, the PITT should be updated annually to show actual achievements compared to targets .IfmodificationsneedtobemadetothePITTtargets,makesurethatyouseekapprovalfromthedonor,ifrequired.
GuidanceonhowtofilloutaPITTisincludedinProPack I,Chapter IV, Section 4, pp . �40–�43;ontheProPackIICDROM;andinanM&Emodel(GuidelinesforthePreparationandUseofPerformanceIndicatorTrackingTables).APerformanceIndicatorTrackingTablestemplateandaSampleCompletedPerformanceIndicatorTrackingTablearealsoavailableonProPackII’sCDROM.ForfurtherinformationonpreparingandusingPITTs,pleaserefertotheguidancemanuallistedattheendofthischapter.
Setting Targets for the Performance Indicator Tracking Table
Settingaccuratetargetsrequirescarefulconsideration.DetailedinformationonsettingtargetsduringprojectdesignandproposaldevelopmentisincludedinProPack I, Chapter IV, Section 3, pp . �34–�35.AsummaryofthisinformationplussomeadditionaltipsonsettingtargetsareincludedinChecklist4.2,andintheguidancemanuallistedabove.
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Checklist4.2:TipsonSettingTargets
Identifythebaseline.Thisestablishesareferencepointagainstwhichthetargetmustbeset. Identifyrelevanttrends,suchasthehistoricaltrendintheindicatorvalueovertime.Is
thereatrend—upwardsordownwards—thatcanbedrawnfromexistingreports,records,orstatistics?Ifso,becautiousaboutclaimingsuccessifyourprojectisbuildingonanexistingtrend.
Identifyexpectationsofprogressthatprojectstakeholdersmayholdorthatarerelatedtointernationalstandards.
Identifyexpertopinion.Askgovernmentministryofficials,CRSregionaltechnicaladvisorsorothertechnicalspecialistsaboutwhatispossibleorfeasiblewithrespecttoaparticularindicatorandcountrysetting.
Identifywhatresearchfindingsreveal.Evaluationfindingsmayhelptochooserealistictargets,andthesemaybeavailableorwell-knownforcertainsectors.
Identifywhatwasaccomplishedbysimilarprojectselsewhere.Thismaycomefromyourownexperiencesoryoucancheckwithcolleagues,otherNGOsordonors.
Resistthetemptationtosettargetsthatareoverlyambitiousjustbecausetheylookimpressiveonpaper!
Set Up the Data Gathering and Analysis System Nowthatyouhavereviewedtheproposedindicators,youwillwanttomakesureyourM&E
systemgeneratesgoodqualitydata.
Checklist4.3:TipsforEnsuringGoodQualityDatafromYourM&ESystem
Choosemethodsanddeveloprelatedformstorecorddata. Developpaper-basedfilingandcomputerizeddatabasesystemsforcollatingandstoringdata. Trainstaff,partnersorcommunitymemberswhowillbeinvolvedinfillingoutformsand
collatingandstoringgathereddata. Chooseappropriatemethodstoanalyzedata.
Therearealreadymanysourcesofinformationaboutdatagathering(e.g.,Laws2003).Asprojectmanager,youcancheckthevariousreferencesaswellasdrawonexpertisewithinyourCountryProgramandtheagencytodecideuponthebestmethodforyourprojects.Thefollowingguidanceisbriefandwillgiveyoubasicinformation.CheckRelated Readingattheendofthischapterformoreinformation.
Choose Data Gathering Methods
Datamaybequantitativeorqualitative.
Quantitative data refers to observations that are represented in numerical form . Examplesincludethenumberoftrainingworkshopsconducted,thenumberofpeopletrainedandtheirtestscores,thenumberoffoodinsecurehouseholdsinadistrict,orparticipants’attitudesaboutacertainsubject.Allofthesecanbeexpressedasnumbers,asamountsordegrees—thatisasquantitativedata.Quantitativedatacanbeanalyzedwithstatistics,bothdescriptiveandinferential.Quantitativedatamaycomefromsecondarydatasources,suchasfacility-basedrecords,formaltests,standardizedobservationinstrumentsandprojectrecords.
Qualitative data is the general term given to evidence that is text basedratherthannumericinrepresentation.Thesekindsofdataresultfromattemptstocaptureparticipants’experiencesintheirownwords,through(semi-structured)interviews(group,individual,focus,andsoon),participantobservations(moretypicallyunstructuredbutalsostructured),anddocumentsthatmaybeanalyzedfromavarietyofperspectives.Qualitativedataconsistofdetailed,in-depthdescriptionsandanalysesofsituations,people,events,interactionsandobservedbehaviors;anddirectquotationsfrompeopleabouttheirexperiences,attitudes,beliefsandthoughts.
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Reflection Opportunity
1. Inaprojectyoucurrentlymanage,howwouldyoudescribethebalanceyouhaveachievedbetweenquantitativeandqualitativeperformanceindicators?
2. Howwasthisparticularbalancechosen?3. Howmightyouchangethingstoachieveabetterbalance,ifone
isneeded?
The distinction between qualitative and quantitative data is somewhat arbitrary because all evidence has dimensions of both.Forexample,qualitativedatamaygivewaytofrequencycountsofvariousthemes,andastatisticalfindingmaybedescribedineverydaylanguage.Justbecauseyoucanquantifysomethingdoesnotmeanitisnecessarilyamoreaccuraterepresentationofreality.Thisiswhyit is useful to think of quantitative and qualitative data as being complementary.Forexample,aquantitativeanalysismayallowyoutoreporthowmanypeoplelivingwithHIV&AIDSreceivedcounseling,andhowtheyratedthequalityofthatservice;whilequalitativemethodscanbeusedtounderstandingreaterdepthwhatliesbehindthoseratingscores(I-LIFE2005).
ThinkAboutIt…Feelings Do Count!
Don’tthinkthatsubjectivedatacan’tbequantified.Forexample,howindividualsratethequalityofanHIV&AIDScounselingserviceisclearlysubjective,butyoucanstillcounthowmanypeoplesaiditwas“verygood,”“good,”“poor”or“verypoor.”
MostoftheaboveinformationissummarizedfromProPack I,Chapter III, Section 3, pp . 60–63.Thereisanexplanationofsecondarydatacollection,interviews,observation,quantitativeandqualitativeapproaches,andabriefsummaryofPRAmethodologies.Althoughthediscussionisinthecontextofassessmentmethodologies,theinformationremainsrelevanttoyourchoiceofdatacollectionmethodsfortheM&Esystem.
Afewgeneral tips on selecting data gathering methodsareincludedinTable4.6.
Table4.6:GeneralTipsforSelectingDataGatheringMethods
Make good use of secondary data
• Alwayschecktoseeifanothergroup,person,ororganizationiscollectingdatathatmaybeusefulinyourcontext.Baselinestudiesoftenfailtoutilizeavailableinformationfromdevelopmentagenciesandacademicinstitutionswithlong-termexperienceinthearea.
• Informationyouseekmayalreadybeavailablefromacommunityordistrict-leveloffice.
• Rememberthatsecondarydataareunlikelytoprovideanexactmatchwithyourrequirements,buttheymayprovideareasonablefit.Theymayalsoidentifygapswherefurtherdataneedtobecollected.
Be clear on the level of precision required
• GoodM&Eisnotthesameasacademicresearch,eventhoughmanyofthedatacollectioninstrumentsarecommontobothdisciplines.
• Whilehighlevelsofnumericaccuracymaysometimesbedesirable,insomecasesyoumaynotneedsuchdata.
• Discussionswitharangeofkeyinformantscansometimesmeetthelevelofprecisionrequired;don’tassumethatonlystatistically-soundsamplesurveydatacollectionmethodsarereliable.
• Itisimportantthatkeystakeholdersdiscussthis,sincetherearesignificantresourceallocationimplications.
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Assess the method’s feasibility .
• Ensurethatthemethodselectedisfeasiblegiventheresourcesatyourdisposal.
• Checkthattherequiredskills,time,andmoneyneededtousethismethodareavailable.
• Identifythedifferentoptionsfordatacollectionandtheirrelativemerits.
Formoreinformationonfeasibility,readpg . ��8inProPack I (Chapter IV, Section 2).Thispageincludesalistofquestionsthatwillhelpyouchooseappropriatedatagatheringmethods.Thereisageneraltendencyinmonitoring(inbothdevelopmentandreliefprogramming)toignoretheimportanceofqualitativedata.Thismayreflectafeelingofsecuritywithhavingnumericdata,butalsothelackofexperiencethatstaffmayhaveinworkingwithqualitativedata.
Giventhecomplementaritiesthatexistbetweenqualitativeandquantitativeapproachestodatagathering,theM&Esystemwouldbenefitfromboth.
Choose Data Gathering Instruments
Aspartofsettingupthedatagatheringandanalysissystem,youwillneedtoconsiderdatagatheringinstruments(i.e.,thetechniquesthatyouandyourstaffwilluse)thatareappropriateandfeasible,reflectingbothyourdataneedsandthehumanandfinancialresourcesyouhaveforthispurpose.CompletingyourMonitoringResponsibilitiesWorksheetwillhelpyoumakedecisionsaboutwhichinstruments—paper-basedorelectronic—toemploy.
AnumberoforganizationshavebeguntousePersonalDigitalAssistants(PDAs),alsocommonlyknownasPalmPilots,onanexperimentalbasisforsurvey-baseddatagathering.Itiswidelythoughtthatthistechnologyhasgreatpotentialfordatagathering,althoughtherearesomewhoareskepticalastoitsfeasibility,functionalityandsustainabilityfactorsininternationaldevelopmentprojectcontexts.
Table4.7:ProsandConsofUsingPDAstoGatherData
Advantages (Pros) Disadvantages (Cons)
•
•
•
•
•
•
•
(Sou
Increasesthereliabilityofgathereddatabyreducinghumanerror.Enhancesthelevelofconsistencyinsurveyresponses.Saveslabortimeinre-typinganddataaggregation,therebyimprovingthetimetakenforanalyzingdataandproducingprocessandperformanceindicators.Contributestowardsbetterdecision-makingprocessesattheprojectlevelthroughenhancedlevelsofprojectdatasharingandanalysis.Enablesfield-staff,partnerandcommunitycapacity-strengthening.Improvesthegraphicalrepresentation,andvisualimpactanalysis,ofdataifPDAisconnectedwithGlobalPositioningSystem.Increasesoverallproductivitybyimprovingdataanalysisandreporting.
rce: Willard 2005)
•
•
•
•
•
Increasesthetrainingtimerequiredfordatagatherers.Outstandingtechnologicalissues,suchas:
o Slipperystylustips(oiled,moistenedtouch).
o Smallkeyboardsizemeansthatdatacollectorsarenotalwaysaccuratelyinputtinginformation.
Additionalcostofequipmentandusertrainingtime.Respondentsmaybemorecautiouswhenresponsesarerecordedintoanelectronicdevice.TheprogrammingrequirementsofthePDAscanbesignificant.
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Review the Monitoring Responsibilities Worksheet
Monitoringsystemsrequiretimeandcommitmentofprojectpersonnel.Itisimportanttoaddressfourkeyquestions:
1. Who will be responsible for gathering data?Whowillberesponsibleforgatheringdata? 2. Who will supervise that process?Whowillsupervisethatprocess? 3. Who will analyze the gathered data?Whowillanalyzethegathereddata? 4. Who will report the information that will be generated by the analysis?Whowillreporttheinformationthatwillbegeneratedbytheanalysis?
TheMonitoringResponsibilitiesWorksheetwillhelpyoutoconsidertheresponsibilitiesofdatagathering,analysisandreporting.ItwasincludedinProPackIandisalsoontheProPackIICDROM.Thisformalsoincludesacolumnforthinkingthroughthebudgetaryimplications.Ifyoucompletedthisformduringproposaldevelopment,youcanrevisititnowandmakesureyouareawareofthelikelycostimplicationsofyourproposedmonitoringsystem.
Consider the Summary Master Performance Indicator Sheet
Your ability to gather, organize and analyze data will, in part, depend on your ability andYourabilitytogather,organizeandanalyzedatawill,inpart,dependonyourabilityandwillingnesstocompletetheseriesofM&Eplanningworksheetspreviouslydescribed.SomeCRSstaffhavefoundithelpfultosummarizetheworksheetinformationonaMasterPerformanceIndicatorSheetforeachindicator.ThiscanthenbeinsertedintotheM&EOperatingManualtoprovideaneasypointofreferenceforindicatorinformation.
Design Forms for Gathering Data and Reporting Itisnowimportantforyoutoconsidersystematicallythedatagatheringformsandreporting
forms.InoneCRShealthandnutritionproject,theformsinTable4.8weredevelopedtotrackprojectindicators.
��0PROPACKIICHAPTERIVSECTION�
Table4.8:FormsUsedinaHealthandNutritionProject
Form Name Purpose
1. Pregnancy Register To record health status of all pregnant women in the village.
2. Children’s Register To record health status of all children under two in the village.
3. Health Activities Register To record health activities carried out in the village.
4. CensusTo identify total population of the village, and list all children under two and pregnant woman.
5. Quarterly Supervision Report To support and improve the work of community health workers.
6. Quarterly Health Activities Report
To extract information on health status from the pregnancy and children’s registers.
7. Quarterly Health Activities Summary Report
To summarize all quarterly health activities reports by region.
8. Training Report
To track all training completed within the project.
(Source: Adapted from Charleston et al . �999)
YoucanseeinTable4.8thatdatagatheringformscomeinmanydifferentshapesandsizes!Inthiscase,toobtainthedatasheneededforthequarterlyandannualreports,theprojectmanagercalleduponthreetypesofregister,acensusandfourdifferenttypesofprojectreports.Clearlythen,datagatheringisnotjustaboutdesigningandfillinginquestionnaires!
Review Approaches to Creating Forms
How do you get from the list of indicators in your Proframe to a set of linked data gathering forms and reporting formats? There are different ways to approach this task . LookatthechecklistofoptionsbelowanddecidewhichapproachorsomevariationoftheseapproacheswouldbemostusefulforyouandyourM&Eworkinggroup.Ifyouhavecompletedalloftheworksheetsnotedabove,youwillhavealloftheinformationyouneedtodesigntheformsfordatagatheringandreporting.
Checklist4.4:IdeasonDevelopingDataGatheringFormsandReportingFormats
Reviewthedonorindicatorsorreportformatanddevelopthedatagatheringformsthatareneededsothatthereportsareeasilycompiled.
CRS Vietnam supports a District Health Center’s care program with PEPFAR funds . The program has a set of pre-determined indicators (e .g ., number of clients, by gender, attending outpatient services) . CRS took the list of indicators and created a monthly and quarterly report format . Based on those formats, CRS developed data gathering tools so that hospital staff could easily fill in the monthly forms that would be used for the monthly and quarterly reports . CRS added a few data gathering forms for information to be used in a quarterly report, not required by PEPFAR, but of interest to staff (e .g ., the functioning of the Continuum of Care Coordinating Committee) .
Developyourownquarterlyandannualreportingformatsfromyourlistofindicators.Fromthat,developthevariousdatagatheringformsneededandworkwithpartnerstoassurethatappropriateformsaredeveloped.
In the same project as noted above, a second component supports a community center for PLHA and is funded by a Caritas donor . That donor accepted CRS’ indicators (e .g ., number, by gender, of clients attending coffee house counseling services; satisfaction with services) . Using the master list of indicators, CRS developed its own monthly reporting format and then data gathering forms that would be needed to collect those data .
DevelopamasterlistofindicatorsbySOalongwithinformationsuchaswhowouldcollectandonwhatform.Thiswillgiveyoualistofformsthatyouwouldneed.Usethatinformationtodevelopaquarterlyreportformatsothepartnerisclearaboutwhatneedstobecollectedandhowitisreported.
Performance Indicator Data Gathering Findings to be Presented in
Number,bygender,attendingcounselingservices
Clientintakeforms PartnerQuarterlyReport
Satisfactionwithcounselingservices Focusgroupquestionnaire PartnerAnnualReport
Checktheindicatorsanddevelopblanktables,graphs,etc.thatyoumightwanttoinsertinyourreport.Usethisinformationtomakesureyoudeveloptheappropriatedatagatheringformsthatwillcollectthenecessarydata.ThePITTisanexampleofsuchatable(seeSection 2, pg �06).
Indicator Year1 Year2 Year3
#ofwomen‘fully’adoptingnewhygienerecommendations
#ofwomen‘partially’adoptingnewhygienerecommendations
#ofwomennotadoptingnewhygienerecommendations
PROPACKIICHAPTERIVSECTION����
Plotouttherelationshipbetweenthevariousdatagatheringformsandreportsneeded.Forexample,itmayhelptomapoutadiagramtoshowthedifferentpiecesofthesystem(seebelow).
Figure4.5:AnIllustrationoftheLinkagebetweenPerformanceIndicators,
DataGatheringandEvidence-basedReporting
Clientintakeform
(profileonclient
characteristics)
Centerdailyactivity
reportform(listof
activitiesandno.and
typesofparticipants)
Communityeducation
reportform(typeof
training,no.andtype
ofparticipants)
MeetingwithPLHA
advisorygroup
reportform(no.and
typeofparticipants,
topicsdiscussed,
decisionstaken
Resultsofmeetingswith
MinistryofHealth
CriticalAssumption
information
Partnermonthlyreport
formatkeptatcenter
FocusgroupwithPLHA
forms(setofquestions) AnnualreporttoCRSand
todonor(seeCh.VI,pg.192
forformat)
Partnerquarterlyreport
toCRS(seeChVI,pg.191
forformat)
TheabovechecklistandfigurecanhelptheM&Eworkinggroupthinkthroughhowitwantstoorganizethedatagatheringprocess.Whatareyourindicators?Whoneedstocollectthemonwhichform?Howwillthosedataandtheanalysisbewritteninthevariousreports?When?Bywhom?ThisisthecoretaskofComponentThree.
ThinkAboutIt…
Thinkaboutthe‘look’ofthedifferentformsyouareplanning.Anattractivelayoutwithamplespaceforwritingwillhelpensuretheformsarefilledoutcorrectly.Theresourcesusedtoproduceformsshouldbebasedonthesizeandscopeofthedatagatheringtasks.Forexample,aformthatwillbere-usedoverseveralyearswilllikelyjustifyprintingongoodquality,thickpaper.Formsdevelopedforasmall,short-termprojectmaybephotocopiedattheoffice.AlargeprojectwithamorecomplexM&Esystemmayjustify,ifresourcesallow,expertadviceonformlayout
andpresentation.
Write Instructions for Data Gathering Forms
Eachformdevelopedshouldbeaccompaniedbyclearinstructionsonhowdataaretobecollectedandrecorded.Forexample,theformforthe“TrainingReport”mentionedatthebottomofTable4.8wasaccompaniedbyaninstructionsheettoensuredatawerecollectedinanaccurateandconsistentmanner.The“FromTheorytoPractice”boxbelowshowsthedirectionsthatwereprovidedonthatsheet.
���PROPACKIICHAPTERIVSECTION�
FromTheorytoPractice:SampleInstructionSheetforTrainingReportForm
1. Fill out the form after each training course for community workers, partners or others.Fillouttheformaftereachtrainingcourseforcommunityworkers,partnersorothers.
2. Write the name of the zone and district where the training took place.Writethenameofthezoneanddistrictwherethetrainingtookplace.
3. Write the dates that trainings were provided and the total number of hours of training.Writethedatesthattrainingswereprovidedandthetotalnumberofhoursoftraining.Example:onedaywouldbeeighthoursandthetotaleighthours.Ifitwasfourdaysforeighthourseachday,thetotalwouldbe32hours.
4. In “Given by,” indicate with an “X” who presented the training. If more than one institution gaveIn“Givenby,”indicatewithan“X”whopresentedthetraining.Ifmorethanoneinstitutiongavethetraining,youcanmarkmorethanone“X.”Forexample,ifatrainingcoursewasgivenforTraditionalBirthAttendants(TBAs)bytheMinistryofHealth(MoH)andapartner,markan“X”inthespacebeforebothMoHandpartner.
5. In “Number Attending,” indicate the total number of people receiving the training by category (job,In“NumberAttending,”indicatethetotalnumberofpeoplereceivingthetrainingbycategory(job,gender,etc.).Forexample,10TBAsand15CommunityHealthWorkers.
6. In “Topic,” mark with an “X” the topic or topics that were presented during the training.In“Topic,”markwithan“X”thetopicortopicsthatwerepresentedduringthetraining.
(Source: Adapted from Charleston et al . �999)
Checklist4.5wasprovidedtoCRS/Acehstafftohelpthemthinkthroughtheorganizationandmanagementoftheinstructionsheetsthataccompaniedtheirdatarecordingforms.
Checklist4.5:TipsonPreparingInstructionSheetsforDataForms
Developastandardformatthatcanbeappliedtothesetofinstructionsthatwillbewrittenforeachform.Contentsshouldincludethefollowing:
- Purpose - Formtobecompletedby - Frequency
- Detailedinstructionsforcompletingform - Formtobeprovidedto - Other
Whenwritinginstructions,assumethatyouneedtoexplaineverything.Itisimportantthatastheprojectisimplemented,andasthereisturnoverofstaff,thereisasourcedocumentthatexplainsallthereistoknowaboutthedatarecordingforms.
Keepthelanguageusedintheformsclearandconcise.
Includeaprefacethatprovidesanoverallsummaryofthecompletesetofformsandhowtheyfittogether.
Developasetofsample,completedformswithaccompanyingexplanatorycommentssothatreaderscanseeafinishedexample.
Oncetheinstructionshavebeendrafted,havethemtranslatedintothelocallanguagethatthefieldstaffwillbeusingintheirwork,ifnecessary.
Developatrainingpackageforfieldstaffonhowtocompletetheforms.
Testtheinstructionstoseeiftheyaresufficientlycleartotheintendedusers,assumingtheywillbeoperatingindependently.
Makesuretheinstructionsarekeptup-to-dateandareamendedasthedatarecordingformsarerevisedovertime.
MakesuretheM&EOperatingManualcontainsthelatestsetofinstructionsheets,andthatamendmentstodatarecordingformsarecommunicatedimmediatelytothosecollectinginformation.
PROPACKIICHAPTERIVSECTION����
Plan to Implement the M&E System
Train Others to Complete Data Gathering Forms
This step should not be skipped .Thepeoplewhofillouttheseformsneedtobetrainedcarefullytodothisworkaccurately.Ifpossible,involvethestaff,partners,orcommunitymemberswhowillbefillingoutthedatagatheringformsatallstagesoftheirdesignandtesting.Thisincreasesthelikelihoodthattheformswillbewellunderstoodbythosewhowillbeusingthemmostregularly,whichwillreducehumanerrorandimprovethequalityofthedatacollectedandrecorded.Table4.9includeskey‘dos’and‘don’ts’concerningtrainingpeopletofilloutdataforms.
Table4.9:DosandDon’tsforDataFormTestingandTraining
Do! Don’t!
Ensurethatusersunderstandthepurposeoftheformandhowtheinformationwillbeused.
Assumeusersunderstandthepurpose,relevance,andrationaleofM&Eforms.
Workwithuserstodesignandredesignformstomakesuretheycanbeeasilyused.Rememberthatpeoplewithlimitedliteracyskillstendtowritelarger.
Overburdencommunityvolunteerswithexcessiveform-fillingandrecordkeeping.
Performfieldtestsofformsandtheirinstructionsheets.Printlargequantitiesofformsuntiltheyhavebeenfieldtested.
Ensuretrainingincludesdiscussionsofeachindividualquestion,interviewtechniques,andpracticalapplicationunderobservation.
Assumethatonlyonetrainingworkshoporsessiononhowtofilloutformswillbesufficient.
(Source: Charleston et al . �999, Poate and Daplyn �993)
NotethatComponent Six: Plan for the Resources and Capacities RequiredinChapter IV, Section 4, pp . �23-�26furtherdiscussestrainingandcapacitystrengtheningrequiredforM&Eactivities.
Ensure Quality Control of Data Gathering
Robustmanagementsystemsareneededtosupporthigh-qualitydatagathering.Qualitycontrolpracticescanbebuilt-intoensurethatthedataarebeingcollectedinareliableway.
Checklist4.6:QuestionstoEnsureQualityControlduringDataGathering
Dopeopleunderstandthepurposeanduseoftheforms? Dotheformsenableyoutogatherallthedatathatarerequiredformonitoringpurposes? Aretheformsinthemostappropriatelanguage?Isthetranslationaccurate? Dothestafffeeltheyhavesufficientskillstogatherthedata?Ifnot,whatspecifictraining
dotheyrequire(e.g.,oninterviewingandcommunicationtechniques)? Areformsbeingfilledoutsystematically,correctly,andconsistently?
Qualitycontrolmayberelativelystraightforwardanddoesnotneedtobecomplicated.Withspotchecks,supervisorystaffcanobservewhetherfieldstaffarefillingoutformscorrectly.Datagatheringissuescanbediscussedindetailataprojectreviewmeeting.Atamoretechnicallevel,itispossibletoprogramacceptablerangesofresponsesintosomesoftware(e.g.,MSExcel)sothatanyimprobabledataarehighlightedforpossiblerejection.Forexample,ifsomeonelistsanageofaparticipantas149,thesoftwarewillhighlightitforrevisionorrejectionfromthedatabase.
��4PROPACKIICHAPTERIVSECTION�
Collate, Organize and Store Data and Information
DiscusshowdatawillbemanagedwiththeM&Eworkinggroup.Howwilltheybecollated,organizedandstored?Collating refers to how you aggregate, add up, or roll-up the data .Youmight,forexample,collectdatabysub-district,butthenaddupthefigurestoproduceasumforthedistrictsand,eventually,atproject-level.
Filing and recordkeeping are key components of a well-functioning M&E system .OrganizerecordkeepingfromthebeginningsothatprojectstakeholdersknowwhereM&Einformationisstored,howitisorganizedandhowtheycanaccessit.Forexample,use distinct project names and dates for files,not“donorreport”or“proposals.”Ensurethatanyconfidentialinformationisstoredappropriately,andthatthereareclearandwell-understoodprotocolsforaccessingit.
Allofushavesufferedfromlossofdataatsomepoint;itcanbeveryfrustrating,andalwaysseemstohappenattheleastconvenienttime!So,you will want to include guidance on data storage in the M&E Operating Manual .ThisguidancemayincludeinstructionsforthesafestorageofrecordsthatarerequiredintheAwardAgreement,likeaudit-relatedfinancialdocuments.Also,plantostoreinformationthatyouwillneedforprojectevaluations.Finally,defineyourpolicyonbacking-upelectronicdata,andsticktoit.
Analyze the Data
Choosingamethodforanalysisdependsonthetypeofdatabeinggathered.Forquantitative data, analysiswill follow statistical procedures and show trends in terms of percentages or ratios .Analysis of qualitative data will involve looking for patterns in descriptions and then providing an explanation for those patterns;softwareisavailableforthiskindofanalysis(e.g.,NVivo,Excel;EpiInfo;StatisticalPackagefortheSocialSciences[SPSS]),ifthesizeoftheprojectjustifiestheinvestment.
Inbothcases,analysiswillinvolvecomparingplannedresultswithactualonestounderstandthereasonsfordifferences;tocomparevariationsovergeographicalareasorbetweengroups;orsimplytomonitorchangesovertime.ForfurtherinformationseeIFAD2002;Laws2003;Nichols1991;Gosling1995.
Gather, Organize and Analyze Other Information
Whenyoureviewedtheinformationneedsofusers,youmadealistofinformationthatmaynotbegeneratedbyformalindicators.WithyourM&Eworkinggroup,takeanotherlookatthatlistnow,andplanthewaysyouwillgatherandanalyzethatinformation.
Youcould,forexample,plantomonitorCriticalAssumptionsduringquarterlyprojectprogressreviewmeetings.Bydoingitonceaquarter,youareensuringthattheprocessissystematicbutnotburdensome.IfissuesshouldariseduringthislightmonitoringofCriticalAssumptions,youwillhavetodecideifadditionalM&Eeffortisrequired.
Forexample,ifyourquarterlyinformationrevealsthatthegovernmentisnotprovidingthenecessarycomplementaryservicesatsomeofyourprojectsites,youmaydecidetodoaquicksurveyofallyoursitestoseeiftheissueismorewidespread.Dependingonyourfindings,youwillthenneedtodecidehowbesttorespond.
Ensurethatprojectsitevisitsincludetimetoassessunanticipatedeventsandoutcomes.Ifyoufindthatthereareindeedoccurrencesofunexpectedpositiveornegativeoutcomes,youmaywishtobuild-intotheregularM&Esystemamoresystematicapproachformonitoringtheseunplannedoutcomes.ItisimportantthatyourM&Esystemhassomeflexibilitytoaddadditionalactivitiesasneeded.
PROPACKIICHAPTERIVSECTION����
Documentation for the M&E Operating Manual
ThispartoftheM&EOperatingManualwillbequitelarge.Informationforthissectionmayincludemostofthefollowing:
• Datagatheringformsandinstructions;
• Datareportingformsandinstructions;
• MeasurementMethods/DataSourcesWorksheet;
• PerformanceIndicatorTrackingTable;
• BaselineSurveyWorksheet;
• MonitoringResponsibilitiesWorksheet;
• MasterPerformanceIndicatorSheets(ifyoudecidetodevelopthese);
• Writtenplanstogatherinformationnotgatheredviaindicators;and
• Anyrelevantadditionalwrittenplansfordatagathering,organization,andanalysis.
���PROPACKIICHAPTERIVSECTION�
COMPONENT FOUR:
PLAN FOR CRITICAL REFLECTION EVENTS AND PROCESSES
Set a Schedule ManyCRSprojectshavegatheredalotof
databuthavenotturnedthemintouseableinformationandknowledge!Noraretheyusingthegeneratedinformationtohelpinformmanagementdecisions.By systematically planning time for reflection and analysis, you help ensure that data are transformed into valuable knowledge . By doing, this, project management decisions will likely build on the lessons learned as the project progresses .
Inthiscomponent,theM&Eworkinggroupwillplanroutinecriticalreflectioneventsinordertodothefollowing:
• validateprojectinformationcomingfromobservations,monitoringdata,andprojectvisits;
• analyzethefindings;andthen
• usethesefindingstoinformprojectdecision-making.
Theseeventswillhelpgenerateadynamiclearningenvironmentleadingtobetterprojectimplementation.
Critical reflection events should be held frequently during project implementation.Regularprojectreviewmeetingsmaybeheldmonthly,quarterlyoratyear-end,dependingonthecontextandspecificsoftheproject.Periodiceventsmaybescheduled,suchasalearningreviewfollowingamajortrainingeventoralessons-learnedworkshopfollowingaprojectevaluation.Criticalreflectioncanalsooccurlessformallythroughongoingdiscussionsbetweenprojectstakeholdersorothersuchevents.
Documentation for the M&E Operating Manual
Tocompletethiscomponent,makealistofthecriticalreflectioneventsforyourprojectandincludethemintheM&Ecalendar,whichisdescribedinthenextstep.
PROPACKIICHAPTERIVSECTION����
Figure4.6:ComponentFour—Plan for—Plan forPlanfor
CriticalReflectionEventsandProcesses
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Don’t Forget! Read More About Critical Reflection
• Chapter VII, Section �, pp . 22�-224includesguidelinesforcriticalreflectionevents,suchasAfterActionReviews,projectmanagementmeetings,etc.
• PromotinginformalcriticalreflectionisdescribedinChapter II, Section 3, pg . 34.
• Guidelinesfordevelopinglessons-learnedandsuccessstoriesareincludedinChapter VII, Section 2, pg . 243 .
Reflection Opportunity
1. Considering your own project experiences, how well have criticalConsideringyourownprojectexperiences,howwellhavecriticalreflectioneventsbeenplannedandimplemented?
2. How would you improve these types of critical reflection events?Howwouldyouimprovethesetypesofcriticalreflectionevents?
COMPONENT FIVE:
PLAN FOR QUALITY COMMUNICATION AND REPORTING
Sofar,youhaveidentifiedthepotentialusersofM&Einformation,theirinformationneedsandasystemforgathering,organizing,andmanagingthedata.YouhavealsoplannedopportunitiestoreflectonandanalyzetheM&Einformationasitbecomesavailable.
Youmayhavealreadyworkedoutascheduleofwhen users need the information and in what format.Ifnot,thisisagoodtimetoclarifytheseissues.Whileitisusuallyknownwhendonorsneedprogressreports,itisalso important for the M&E working group to think about when information is most needed to make critical management decisions with partners and participants .
���PROPACKIICHAPTERIVSECTION�
Figure4.7:ComponentFive—Plan for—Plan forPlanfor
QualityCommunicationandReporting
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Communicate Project Information Thinkaboutthisaspectof
M&Einastrategicmannerbecausetherearemanywaystocommunicateprojectinformation.Theutilization-focusedapproachtoM&Eobligesyoutoconsiderwhatformofcommunicationismostsuitableforeachimportantstakeholder.Alwaysrememberthatgoodcommunicationdoesnotflowonlyoneway.Lookatyourproject’scommunicationstrategyasanopportunitytodialoguewithimportantstakeholders,therebynotonlyimprovingunderstandingofwhatisoccurring,butalsobuildingrelationshipsintheprocess.
Progress reports are a good means of communication, but there are others, such as site visits, project management meetings, specific critical reflection events, courtesy visits to stakeholders and officials, and so on .Planforthesedifferentopportunitiesforcommunicationinacoordinatedwaywithothersinvolvedintheproject.Thinkabouthowthedifferentapproachesmightbeinterconnected.Forexample,thedraftingofaprogressreport,canbefollowedupbydialogueinthefieldwithcommunitymembersandpartnerstoensurethattheirvoicesarereflectedinthefinalversion.
FromTheorytoPractice:IntegratingInformationtoTakeAction
Observationsofacommunityhealthrallyinonecommunityduringasite visitrevealfewparticipants.Thisproblemalsoshowsupinprogress reports—thenumberofcaregiverscomingtotheeventsisfarfewerthanplanned.Atthequarterly reviewmeeting,observationsandM&Einformationareshared,andprojectteammembersagreethataproblemexists.Duringthemeeting,teammembersanalyzewhatiscausingthisproblem.Itturnsoutthatthelownumberofcaregiversparticipatingintheralliesisduetopoorcommunicationofrallyschedules.Projectteammembersendthereviewmeetingbymakinganaction plantoresolvethisproblem.
Don’t Forget!
ProPackIIincludesaquarterlyandannualprogressreportformatinChapterVI,Section3,pp.191-192andafinalreportformatinChapterVII,Section3,pg.255.
PROPACKIICHAPTERIVSECTION����
Remember that the steps in setting up the M&E system are iterative, meaning you will go back-and-forth between them . Itisbesttothinkaboutreportduedatesbeforedevelopingdatacollectionformats.Forexample,ifyouknowthattheannualreportforadonorisinMay,youcanworkbackwardstoensurethatrelevantdataaregathered,collated,organizedandanalyzedontimetofeedintothisreport.
DonorreportingrequirementsareusuallyclearandlistedintheAwardAgreement.Butyoualsoareaccountabletootherimportantstakeholders,suchascommunitymembers,partners,CRSregionalandheadquartersoffices,governmentofficials,andsoon.TheytoohavealegitimatestakeintheM&Efindings.
Alltoooften,communityM&Einformationneedsareignored.Yet,thereisawonderfulopportunitytodiscussM&Einformationwithcommunitymembersandcheckthatyourunderstandingincludestheinsightsandperspectivesofdifferentcommunitymembers.Dialoguewithcommunitiescanbemanagedinmanycreativeways,anddiscussinginitialmonitoringfindingswithcommunitymemberswillensurethatyourunderstandingsaregroundedinreality.Moreover,participatoryapproachestomonitoringencourageagreaterroleforthecommunityintrackingprojectprogress.
FromTheorytoPractice:PinningDowntheData!
InCRS/Philippines,thecommunityhealthvolunteersweretrainedtoprepareahealthdataboardwhichwasputupinastrategicplaceinthecommunities,suchasnearthechapelorvillagehall.Aspotmapshowingthelocationofeachhouseholdwasonthisdatahealthboard.Eachhouseholdwasillustratedbyahouse-shapedmaterial.
Thecommunityselectedfourtofivemonitoringindicators(e.g.,nutritionalstatus,presenceofsanitarylatrine,fullyimmunizedchild,etc.)basedontheircommunityhealthactionplan.Theseindicatorswerethenwrittenontoeachofthehouseholdsshownontheboard.
Everyquarter,thetrainedvolunteerswouldupdatethehealthboardusingcolor-codedmappins.Forexample,ifthepre-schoolchildinafamilywasbelownormalweight,aredpinwasplacedunderthenutritionalstatuscolumn;ifthechild’sweightwasnormal,agreenpinwasusedinstead.
Thisway,thecommunitywasactivelyinvolvedinmonitoringprojectprogress,lookingoutforwhereindividualhouseholdsmightbefacingchallengesand,thus,ensuringaricherdialogueamongthemselves,andCRS’partnersandstaff.
Reflection Opportunity
1. Listthecommunicationeffortsinyourcurrentproject.2. Howwelldotheywork?Forexample,doyoudependsolelyon
progressreportstoknowwhatishappening?Whatothersourceswouldhelpyouverifyinformationintheprogressreport?
3. Howoftendoyoureportbacktothecommunities?4. Howmightyourcommunicationeffortsbeimproved?
��0PROPACKIICHAPTERIVSECTION�
The M&E Calendar M&Einformationmustinformprojectmanagementdecisions—thisisthecentralideainCRS’
approach.The M&E Calendar helps to ensure that information is available at the time required by those who need it to inform their decisions .Thetimelyprovisionofinformationwillenhancethelikelihoodthatitwillbeused.Forthisreason,anM&ECalendarisvitallyimportant.
An M&E Calendar establishes critical deadlines for reporting.ProPackIincludesasampleM&ECalendarinChapter IV, Section 4, pg . �45,whichusesaGanttchartformat.SpecificplansforcriticalreflectioneventscanbeintegratedintoProPackI’sM&ECalendarbysimplyaddingarowtoincludethesetypesofevents.ThemostimportantpointinallofthisisthattheM&ECalendarshouldbediscussed,understoodandagreeduponbythoseinvolvedwiththeprojectthathaveaparticularneedorinterestfortheM&Einformation.
Other Reporting Schedules
Forsmallprojects,youmaysimplyintegratereportinginformationintotheActivitySchedule.Forlargerprojects,itwillbeusefultohaveaseparateM&ECalendar—orbothifyoufindithelpful.Forlarge,multi-sectorprojects,manymanagersfinditusefultohaveaseparateReportingSchedulethatsummarizesallprojectreportingandothermajorcommunicationevents.Include plans for financial reports, regardless of the schedule you use .
AnexampleofareportingschedulefortheConsortiumforSouthernAfricaFoodSecurityEmergency(C-SAFE)projectisshowninthe“FromTheorytoPractice”boxbelow.
PROPACKIICHAPTERIVSECTION����
FromTheorytoPractice:C-SAFEProjectReportingSchedule
Type of Report Format MessagesSubmission to Country Lead
Submission to Regional Project Unit
C-SAFEMonthlyNarrativeReports
Narrativeworddocument
Achievements:FFA,HIV&AIDS,Training,M&E,Consortiuminitiatives,plansforthemonth.
10thofeverymonth.
15thofeverymonth.
C-SAFEFoodforAssets(FFA)Template
NumericalExceltable
Numbers of:FFAprojects;participants,specifyingmaleandfemale;numberofpersondays;etc.
Quarterlyby10thofthatmonth(Jan,April,July,September).
Quarterlyby15thofthatmonth(Jan,April,July,September).
M&ETrackingTemplate
Narrativeworddocument
ExamplesofhowM&Einformationisbeingusedincountry(stories,casestudies,etc.).
Quarterlyby10thofthatmonth(Jan,April,July,September).
Quarterlyby15thofthatmonth(Jan,April,July,September).
C-SAFECommunicationsandMarketing
Narrativeworddocument
Successstoriesfromthefield.
Whenstoriesbecomeavailable.
Assoonasstorieshavebeenverified.
Semi-annualreportNarrativeandnumericalexceltable
Bi-annualreviewofprogramprogress.
RegionalProjectUnitsendsdetailedreportingscheduleeachMarchandSeptember.
Documentation for the M&E Operating Manual
Informationforthissectionofthemanualwillincludesomecombinationofthefollowing:
• UpdatedActivityScheduleshowingkeyreportingandcommunicationevents;
• M&ECalendar;and
• ProjectReportingSchedule.
���PROPACKIICHAPTERIVSECTION�
COMPONENT SIX:
PLAN FOR THE RESOURCES AND CAPACITIES REQUIRED
AtthecoreofgoodM&Esystemsaretheresourcesandcapacitiesthatexistforundertakingtheplannedactivities.NowthatyouhaveacomprehensiveM&Esystemnearlysetup,youcandoafinalchecktoensurethatstaff,partnersand,ifappropriate,thecommunityareableandwillingtocarryitout.This is one last check on the feasibility of your M&E system .ItisalsothebasisofanactionplanforM&Ecapacitystrengthening.
Review of Resources
and Capacities AwellfunctioningM&Esystemrequires
humanresources,training,andfinancialandmaterialresources.Astheprojectmanager,yourjobistoensurethatstaffandpartnerswithM&Eresponsibilitieshavetheknowledge,skills,toolsandsupporttocarryouttheirrespectivetasks.
YourCRScolleaguescansupportyourefforts.Throughvariouscommunicationmeans(e-mail,theM&ECommunityofPracticelistserv,Breeze,SharePoint,VOIP,etc.),youhaveagreatopportunitytotapintotheCRSbodyofM&Eexperience.Chapter II, Section 3, pp . 4�-42 describesinmoredetailsomeofthetechnologiesavailabletosupportvirtualteamsandcommunication.
StructurestosupportM&EsystemsvarywidelywithinCRS.TheM&Esystemmayfunctionwellunderoneprojectmanager,oritmayrequireanM&Eunit.EncourageyourcolleaguestojointheM&Eworkinggroup.RegardlessoftheM&Estructureyouadopt,successwilldependongoodcommunication.Table4.10illustratesdifferentoptionsdependingontheprojectscope.
PROPACKIICHAPTERIVSECTION����
Figure4.8:ComponentSix—Plan for the—Plan for thePlanforthe
ResourcesandCapacitiesRequired
�.ConsidertheWholeM&ESystem
�.ReviewInformationNeedsofStakeholdersandChoiceofIndicators
�.PlanforDataGathering,AnalysisandEvidence-basedReporting
4.PlanforCriticalReflectionEventsandProcesses
�.PlanforQualityCommunicationandReporting
�.PlanfortheResourcesandCapacitiesRequired
Don’t Forget!
ConductingCapacityStrengtheningAssessments(Chapter V, Section 2, pp . �40-�45)discussesoverallcapacityneedsthatarereviewedduringtheDIP.Youcanintegratethisstepintoanoverallcapacityassessmentreview—orkeepitseparateforM&Edependingonthescopeofyourproject’sM&Esystem.
Table4.10:IllustrativeOptionsforM&EStructures
Project Scope Project’s M&E Organizational Structure
Aone-year,privatelyfundedprojectforasinglesectorthathasasmallbudget.
M&Eisdonebyprojectstaffresponsibleforprojectmanagementandimplementation.ItmaybesupplementedbytechnicalM&Eassistancefromtheregionaloffice.
Alarge,outsidedonor-fundedproject.
AnM&EprojectofficermaybehiredwithtechnicalsupportfromHeadquarters.Ifnecessary,themoretime-consumingorcomplexpiecesofM&Emightbecontractedouttoexternalinstitutesorconsultantswhoarewell-placedtoprovidetechnicalassistance.
Amulti-year,integratedprojectwithconsortiamembers.
AnM&Ecoordinatororunitisincludedaspartoftheprojectmanagementorganizationalstructure.Thismaybesupplementedbyexternaltechnicalassistance.
Reflection Opportunity 1. Compare different M&E organizational structures you areComparedifferentM&Eorganizationalstructuresyouarefamiliarwith.
2. List some of the advantages and disadvantages of theseListsomeoftheadvantagesanddisadvantagesofthesedifferentstructures(i.e.,M&Eofficer,separateM&EUnit,orM&Eundertakenbyprojectstaffthemselves)fortheparticularprojectsituation.
3. HowmightyouencouragecolleaguestojoinyourM&E workinggroup?
NowisagoodtimetoreviewtheorganizationalstructureforyourprojecttoensurethattheproposedM&Esystemisworkable.
ProPackIincludesatableinChapter IV, Section 4, pg . �44thatoutlinesM&Ecostconsiderationsincluding:
• humanresources(%ofsalaries,etc.);
• materialresources(computerequipment,etc.);and
• otherlikelyexpenses(communicationcosts,externalconsultants,preparationofreports,etc.).
ThelistofquestionsinTable4.11belowwillhelpyouandyourpartnerstodecidewhetherthenecessaryresourcesandcapacitiesexistfortheM&Esystemtooperateeffectively.
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Table4.11:QuestionstoAskbeforeFinalizingYourM&ESystem
Resources and Capacities
Questions to Ask Before Finalizing your M&E System
Human Resources and Capacities for M&E
• WhoisresponsibleforcarryingoutvariousM&Eactivities?
• AreM&Eresponsibilitiesincludedinjobdescriptions?
• Dothesestaffmembershavetherequiredtimetocarryoutthesetasks?
• WhataretheirexistingM&Ecapacities?
• Whattrainingisnecessary?Ensurethatanyonewhoisrequiredtofilloutaformordoreportsknowswhytheyaredoingitandhowtodoit!
• IsthereacomprehensiveplanfordevelopinghumanresourcesandcapacitiesforM&Eovertime?Ifnot,whatwillittaketodevelopone?
• WhatsupportcanreasonablybeexpectedfromtheregionalofficeandPQSD?
• Whatconsultancysupportwillberequired?Doesadatabaseexistofpossibleconsultants?
• Whatlaterallinkagesshouldbedevelopedwithgovernmentstructuresandotherlocalagenciesworkinginthesameareainordertostrengthenagencyknowledgeandunderstandings?
Organizational Structures
• IfthereisanM&Eunit,howmanypeoplewillithave,wherewillitbelocatedandunderwhoseauthority?
• HowdoM&EofficersandprojectmanagersinteractwhileconductingM&Eactivities?
•WhatisthebestwaytodevelopandsustainanM&Eworkinggroup?
Other Resources
• Whatspaceorequipmentisnecessarytostoreinformationsothatitisaccessibletothosewhoneedit?
• Whatlevelofcomputerizationisrequiredandappropriatefordatacollection,collation,andanalysis?
• WhatistheviewofCRS’RegionalInformationSystemAnalyst/ManagementInformationTechnologystaffonM&Ecomputingneeds?DocomputershavethecapacitytorunsoftwarelikeMSProject?
• Whatlevelofsoftwareknowledgeisrequiredfordatamanagement,analysisandreporting(e.g.,SPSSvs.MSExcel)?
• Istheissueofportability(laptopversusdesktop)important?
• Whatexpertiseisneededtosetupacomputersystem?
Financial Resources • IsthereaseparateM&Ebudgetandhavesufficientresourcesbeenallocated?
(Source: Adapted from IFAD 2002)
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Documentation for the M&E Operating Manual—M&E Budget and Unit Protocol
Informationforthissectionofthemanualmayincludethefollowing:
• M&ECostConsiderationforms;
• AseparateM&Ebudget,ifitexists;and
• Otherdocumentsasnecessary.Forexample,theremaybeawrittenprotocolonhowanM&EUnitwillfunctionorhowM&Estaffandprojectmanagersshouldinteract.
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SECTION 3 COMPILING THE M&E OPERATING MANUAL
EnsurethattheringbindercontainingallthedocumentsfortheM&EOperatingManualiscompleteandthateveryonewhoneedsacopyhasone.TheMasterCopyshouldbekeptinthe“DetailedImplementationPlan”drawerinthefilingcabinetfortheproject.
Congratulations!
Youhavenowcompletedanddocumentedthesixcomponentsrequiredtosetupyourproject’sM&Esystem!Inthisregard,theworkyouandyourstaffhavedone—thecarefulandmethodicalcompilationoftheOperatingManual—isasignificantcontributionthatwillhelptoimprovethestandardofprojectM&E.
AhighqualityM&EOperatingManualisparticularlyimportantwhenthereishighstaffturnover.ThemanualwillhelpensurecontinuityandconsistencyinthewayM&Eisundertakenforyourproject.Sodon’tforgettokeepituptodate.
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Table4.12summarizesthedocumentsrelatedtoeachofthesesixcomponentsthatwillbeincludedinyourproject’sM&EOperatingManual.ConsiderinvitingpartnersandkeystakeholderstoaneventtolaunchtheManual.ThiswillprovideyouwithanopportunitytopublicizetheexistenceandpurposeoftheManual,andtoacknowledgethehardworkthatyou,yourstaff,andotherstakeholdershavecompleted.
Table4.12:SummaryofComponentsandRelatedDocumentsfortheM&EOperatingManual
Component Document for the M&E Operating Manual
One: ConsidertheWholeM&ESystem
• Table of Contents .
• Purposestatement.
•ListofM&E working groupmembers.
Two: ReviewInformationNeedsofStakeholdersandChoiceofIndicators
• Table of information usersanddataneeded.
• Results Framework and Proframewithupdatedandrefinedperformanceindicatorstatementsforeachobjectivelevel.
• Listof additional information needsthatarenotmeasuredthroughtheformalindicatorssystem.
Three: PlanforDataGathering,AnalysisandEvidence-basedReporting
•Data gathering formsandinstructions.
•Report formsandinstructions.
• Measurement Methods/Data Sources Worksheet—formoredetailedinformationrelatingtothecollectionofperformanceindicatordata.
• PITT—foratabularsummaryoftheannual,mid-term,andend-of-projecttargetsforeachindicator.
• Baseline Survey Worksheet—formoredetailedinformationabouthowthebaselinesurveyistobeconductedandrelatedresourceimplications.
• Monitoring Responsibilities Worksheet—forassignmentsoftheresponsibilitiesfordifferentphasesofM&Eactivityandto“flag”thebudgetaryimplications.
• Written plans to gather information not collected via indicators .Forexample,howCriticalAssumptionswillbemonitored.
Four: PlanforCriticalReflectionEventsandProcesses
• List and brief descriptionof critical reflection events—routinemeetings(e.g.,quarterlyreviewmeetings)orspecialevents(lessonslearnedworkshops)whereM&Einformationfeedsintoprojectmanagementdecisionsandlearning.
• Short narrative describing the purpose and processof mid-term, final, or other types of evaluations and any plans to measure project sustainability .Asdiscussedearlier,detailedguidanceforplanningevaluationsisincludedinChapter VIIandshouldbereviewedbeforefinalizingtheM&EOperatingManual.
• AllofthisisthenintegratedintotheM&ECalendar.
Five: PlanforQualityCommunicationandReporting
Oneormoreofthefollowing:
• Updated Activity ScheduleshowinginformationonM&Eactivities.
• M&E Calendar—forannualschedulingofactivities,includingreportingdeadlinestocoincidewithkeydecision-makingeventsofthemainintendedusersofM&Edata.
• Reporting Schedule—forlargeprojectswithmultiplereports.
• Brief description of media and formatsfordataandinformationpresentationtodifferentintendedusers(donors,projectstakeholders,communitymembers,etc.).
Six: PlanfortheResourcesandCapacitiesRequired
• M&E Cost Considerationforms.
• M&E budget(ifseparate).
• Other documentsasnecessary(forexample,protocolonhowM&Eunitwillfunction,etc.).
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RELATED READING Following is a list of traditional and online resources available if you would like to read moreFollowingisalistoftraditionalandonlineresourcesavailableifyouwouldliketoreadmore
abouttheinformationpresentedinChapterIV.PleaseseetheReferenceListlocatedattheendofthemanualforacompletelistofalltheresourcesusedinProPackII.
Section 2—Six Components of an M&E System
• Collison,C.andG.Parcell.2001.Learning to Fly: Practical Lessons from One of the World’s Leading Knowledge Companies . Oxford:CapstonePublishingLimited.
• McMillan,D.E.andG.O’G.Sharrock.2007Guidance for the Preparation and Use of Performance Indicator Tracking Tables (PITT).OneofaseriesofmodulesdevelopedjointlybetweentheAmericanRedCrossandCRS.
Section 3—Compiling the M&E Operating Manual
• Bamberger,M.,J.Rugh,andL.Mabry.2006.RealWorld Evaluation . Working Under Budget, Time, Data, and Political Constraints.California:SagePublications.
• Church,C.andM.M.Rogers.2006.Designing for Results: Integrating Monitoring and Evaluation in Conflict Transformation Programs.WashingtonD.C.:SearchforCommonGround.http://www.sfcg.org
• Guijt,I.andJ.Woodhill.2002.Managing for Impact in Rural Development: A Guide for Project M&E.Rome:InternationalFundforAgriculturalDevelopment(IFAD).ThismanualhasveryusefulsectionsonsettingupM&Esystemsthatwereusedextensivelyinthischapter.http://www.ifad.org/evaluation/guide/index.htm
• AbookwithpracticalandcomprehensivetechnicaladviceonsurveydesignforagricultureprojectsisPoate,C.D.andP.F.Daplyn.1993.Data for Agrarian Development.Cambridge:CambridgeUniversityPress.
• Forapracticalguidetodatacollectiontechniques,seeS.Laws.2003.Research for Development:A Practical Guide . ThousandOaks,California:SagePublications;P.Nichols.1991.Social Survey Methods: A Fieldguide for Development Workers.DevelopmentGuidelinesNo.6.Oxford:Oxfam;andL.Gosling.1995.Toolkits: A Practical Guide to Assessment, Monitoring, Review and Evaluation.DevelopmentManualNo.5.London:SavetheChildren.
• OtherCRS-supportedmanualswithdetailedinformationondatacollectionmethodsinclude:CRS’RapidRuralAppraisal(RRA)andParticipatoryRuralAppraisal(PRA):AManualforCRSFieldWorkersandPartnersandI-LIFE’sHandbookonM&EEssentials.
• McMillan,D.E.andG.O’G.Sharrock.2007.Guidance for the Preparation and Use of a Performance Indicator Tracking Tables (PITT).OneofaseriesofmodulesdevelopedjointlybetweentheAmericanRedCrossandCRS.
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Websites Below is a list of websites that provide standardized indicators of use to CRS projects.BelowisalistofwebsitesthatprovidestandardizedindicatorsofusetoCRSprojects.
General (search for various sectors within each) http://www.usaid.gov http://www.worldbank.org http://www.unmillenniumproject.org/policy/handbook.htm http://www.undp.organdespeciallyhttp://hdr.undp.org/ http://www.oecd.org
Emergency Response http://www.unhcr.organdespecially http://www.unhcr.org/cgi-bin/texis/vtx/statistics/opendoc.pdf?tbl=STATISTICS&id=40eaa9804 http://www.sphereproject.org/index.htm
Food Security http://www.fantaproject.org
Child Survival, Health, HIV/AIDS http://www.childsurvival.com/andespeciallyhttp://www.childsurvival.com/kpc2000/kpc2000.cfm http://www.coregroup.org/about/csh_net.cfm http://www.cpc.unc.edu/measure http://www.unaids.org/en/
Microfinance http://www.seepnetwork.org/ http://www.cgap.org/ http://www.ids.ac.uk/impact/ http://www.responsability.ch/en/index.html
http://www.responsability.ch/de/5_4discuspaper/DiscusPaper2.pdf
Miscellaneous ThisisasitefromtheUniversityofWisconsin,AgricultureExtensionaboutusingExcelfor
dataanalysis. https://cecommerce.uwex.edu/pdfs/G3658-14.PDF
Epi InfocanbedownloadedforfreefromtheCentersforDiseaseControlandPrevention(CDC).Thissoftwareisusedbypublichealthandotherprofessionals.EpiInfohelpsyourapidlydevelopquestionnaires,forms,customizedataentryprocesses,andenterandanalyzedata.http://www.cdc.gov/epiinfo/
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CHAPTER V DIP PART C: PROJECT RESOURCES AND DIP DOCUMENTATION
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SECTION 1
RECRUITING STAFF AND CONDUCTING PERFORMANCE PLANNING
SECTION OVERVIEW
CRSprojectmanagersareoftenresponsibleforhiringstaff.ThissectionfocusesonstaffingactivitiesduringdetailedimplementationplanninganddescribesCRS’humanresourcemanagementprocesses,whichaimtobefair,transparent,andaremodeledonindustrybestpractices.YourroleasaCRSprojectmanageristoensurethattheseprocessesarepracticedinyourprojects.Youwillhavetoassesshowtheseprocessesarerelevanttopartnerswhomanagetheirownhiring.
InSection1,youwilldothefollowing:
• reviewissuesandchallengesinprojectstaffing;
• considergoodpracticesinhumanresourcemanagementrelatedtodetailedimplementationplanning,includingprojectstaffrecruiting,interviewing,hiring,orienting,andperformanceplanning;and
• considertheimportanceoforganizationalstructuresindefiningthelinesofauthority,decision-makingandcommunication.
FromTheorytoPractice:Assumptionsvs.RealityPartOne—ChallengesinProjectStaffing
“Imanagedamulti-countryproject,andwehadmanyproblems.Iworkedontheassumptionthatstaffassignedtomyprojectwoulddevote100%oftheirtimetotheactivities;Ifoundoutotherwise.Oftentimes,theyweredivertedtoothertaskswithintheCountryProgram.Somestaffwereassignedtomyprojectsimplybecauseanotherprojecttheywereworkingonwasendingandthismeantanextensioninemployment.Thisnegativelyaffectedprojectimplementation—havingmorededicatedtechnicallyskilledstaffwouldhavemadeabigdifferenceastheprojectstrategywasnew,anditwashardtogainacceptancebythelocalcommunity.”
Reflection Opportunity 1. What have been your challenges in project staffing, and how didWhathavebeenyourchallengesinprojectstaffing,andhowdidtheycomparetothe“Assumptionsvs.Reality”story?
2. Why did these challenges arise?Whydidthesechallengesarise? 3. What did you learn from this experience? Did these lessonsWhatdidyoulearnfromthisexperience?Didtheselessons
promptyoutodoanythingdifferentlyinanotherprojectyoumanaged?
The“FromTheorytoPractice”storyonprojectstaffingshowstheimportance of careful recruitment, orientation and development of project staff, and the importance of setting performance objectives.Perceivedcapacitycanbemuchlargerthanrealcapacity.Staffthoughttobedevotedtotheprojectcan,infact,bespendingtimeinmeetings,workingonnewproposals,ordoingothernon-projectwork.Under-estimatingthecapacityneededtoimplementaprojectisacommonmanagementproblem.
REVIEW THE RELEVANT PROPOSAL ITEMS
ReviewProPack I, Chapter V, Section 5, pp . �69–�70inyourprojectproposal.IfyoufollowedtheguidanceinProPackI,youshouldbeabletoanswerthequestionslistedinChecklist5.1.
Checklist5.1:QuestionsonOrganizationalStructureandStaffing
Who is responsible for various project phases?Whoisresponsibleforvariousprojectphases? What are the positions required and the associated qualifications? Have job descriptionsWhatarethepositionsrequiredandtheassociatedqualifications?Havejobdescriptions
beenwritten? Will existing staff be used or new staff hired?Willexistingstaffbeusedornewstaffhired? How will these people be managed or linked to other stakeholders?Howwillthesepeoplebemanagedorlinkedtootherstakeholders?
What are the plans for upgrading staff skills over the life of the project?Whataretheplansforupgradingstaffskillsoverthelifeoftheproject? If volunteers are providing services, what are their duties, and how much time are theyIfvolunteersareprovidingservices,whataretheirduties,andhowmuchtimearethey
expectedtodevotetotheproject? Where are these positions located in existing or new organizational structures of CRSWherearethesepositionslocatedinexistingorneworganizationalstructuresofCRS
anditspartner? What community structures or groups will support the project?Whatcommunitystructuresorgroupswillsupporttheproject? What short-term or long-term technical assistance is required?Whatshort-termorlong-termtechnicalassistanceisrequired? How will communications and decision-making work?Howwillcommunicationsanddecision-makingwork?
Iftheanswerstothesequestionsinyourproposaldonotexist,aretoovagueornolongerreflectreality,nowisthetimefordetailedplanningdiscussionswithyourpartnersandotherstakeholdersonprojectstaffingandhumanresourcemanagement.The Activity Schedule should clearly and correctly show which staff are responsible for listed activities .
RECRUIT AND ORIENT YOUR STAFF
Thestepsbelowprovideguidelinesforstaffrecruitmentandperformanceplanningwithinprojects.TheypertaintostaffthatarerecruitedtoworkforCRSonspecificprojects.However,CRSoftenassistslocalpartnersinestablishingtheirperformancemanagementsystems.Youmustjudgehowtheinformationbelowpertainstopartnerswhoareresponsibleforrecruitmentandperformanceplanningfortheirownstaff.
Step One: Recruit and Hire Project Staff Whilerecruitingstaffisanobviousfirststepinprojects,itisoftendelayedforanynumber
ofreasons.“If a position goes unfilled for several months, this presents a serious threat to achieving project objectives,”warnsoneCRSprojectmanager.
BepreparedtohirequicklyduringtheearlydaysoftheprojectbylearninghowtheCRSrecruitmentsystemworksandbyassessingthelocalmarketfortherequiredpositions.Rememberthatrecruitmentofnewstaffcanproceedwhilethedonorisstillconsideringtheproposal.Jobscanbeadvertisedwiththewording,“Thispositionisnotguaranteedbecauseitisdependentonasuccessfulgrantapplicationtothedonor,”andoffersofemploymentcanbemadecontingentonfundingbeingreceived.
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Checklist5.2:GettingHelpfromyourHRManager
Ahumanresourcesmanagercanhelpwiththefollowing: pre-screeningcandidates; developinginterviewquestions; givingimpartialadvice; providinginformationonsalaryratesandbenefits;
consideringthefitofthecandidatewiththeteam; performingreferencechecks;and negotiatingthesalaryandotherbenefitswiththesuccessfulcandidate.
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Job Descriptions
Clear job descriptionsprovideobjectivestandardsforthejob.Theyareapracticalwayofpromotingafairrecruitmentprocessandcanhelpreducepressurestohireunqualifiedstaff.Reviewanyjobdescriptionsincludedintheproposal.Ifnonewasincluded,youandyourpartnersneedtocreatethem.Don’tstartfromscratch;contacttheHumanResourcesDepartmentinyourcountryorheadquartersforsamples.YoucanalsoreviewHowtoCompleteaJobDescription, which willhelpyoutowriteaclearlyorganizedjobnarrative.
Recruitment
CRShasaRecruitmentandHiringOverviewavailableontheagencyIntranetsiteinthehumanresourcessection.Itshowstherequireddocumentsandinformationforjobposting,interviews,referencechecksandoffers,andshouldbereviewedwhenhiringforinternationalstaffpositions.Muchofthisinformationisapplicablewhenhiringfornationalstaffpositionsaswell.
Forlocalrecruitment,youwanttoensurethatafullandfairrecruitmentprocesstakesplace.TheactionslistedinChecklist5.2shouldbefollowedtoensurethisisaccomplished.
Checklist5.3:TipstoEnsureaFullandFairRecruitmentProcess
Establishclearcriteriaforselection.Criteriamayincludespecifications,suchasexperience;particularskills,suchascommunitymobilization;andacademicachievement.
Advertisethejobinmultiplechannelsthatwillbereadorlistenedtobythetypesofpeopleyouwanttoattract.
Selectcandidateswhobestmeetthespecifiedcriteria. Ensurethatthelistreflectsanethnic,gender,orothermixasappropriate.Youshouldseek
applicationsfromwell-qualifiedwomen,astheyareoftenunder-represented. Adheretorelevantlaborlaws. Ensureproceduresforfinalhiringdecisionsareclearandtransparent.
Ifyoudidnotassessthejobrecruitmentsystemofyourpartnerduringprojectdesign,thisshouldbereviewednow.YourCountryProgramhumanresourcesmanagercanassist.
Attheendoftherecruitmentprocess,informcandidatesonthestatusontheirapplication.Itiscommoncourtesytoletcandidatesknowthattheyarenolongerbeingconsideredforthepositionorthatthepositionhasbeenfilledbyanothercandidate.
FromTheorytoPractice:SupportingPartnerRecruitmentandHiringSystems
TheCRS/NigeriaPartnerReferenceManualincludesguidelinesforNigerianpartnersonpostingvacancynotices,screeningandshort-listing,interviewing,referencechecksandnotificationofsuccessfulcandidates.
Interviewing
Youoryourpartnerhavethejobdescriptioninhand,atransparentcandidatesearchhastakenplace,andseveralcandidateshavebeenidentified.Itisnowtimefortheinterviews.Theymaybeconductedbyanindividualbutarebest done by a team, whichhelpstoguardagainstbias.Ahumanresourcesofficerormanagershouldalsobepartoftheinterviewingteam.Involvinglocalstaffininterviewscanbeusefulandempowering—insomeCRSoffices,staffareinvitedtointerviewpotentialsupervisors.
A good interview helps to identify candidates who are competent, a good fit in the organizational culture, and able to stay for the duration of the job .AccordingtooneCRSprojectmanager,staffretentioncanbeachallenge.“Wehelpthediocesestohiregoodstaff,buttheyleave,soitishardtoputimprovedsystemsandoperationsinplace.” Encouragepartnerstoconductexitinterviewsofstaffwhoareleavingtounderstandtheirreasons.
Good interviews are planned and structured .Beforetheinterviews,makecopiesofcandidates’resumés.Readthemandcheckformissingorincorrectitems,education,technicalskills,andworkhistory.Thishelpstoorganizeinterviewquestions.Ensurethatthesamesetofquestionsisusedforallcandidatesbeinginterviewedforthesamejob.Ifateamisinvolved,holdabriefingmeetingtoreviewquestionsanddecidewhowillaskwhat.Developcriteriatorankandcomparecandidates.
To supplement interviews, consider collecting additional information from candidates throughtests, presentations, or participation in a meeting or training workshop.Forexample,acandidateforacapacitystrengtheningpositioncouldbeaskedtodevelopashorttrainingsessionanddeliverittotheinterviewteam.
Table5.1:SequenceandStructureofaJobInterview
Opening
• Putcandidateatease.
• Explainthejob.
• Clarifythecandidate’sbackgroundandanyobviousconcerns—agapintheresuméoranyothermissinginformation.Youcanstartthisbyasking,“Tellusaboutyourself.”
Fact-finding
• Askopen,yettargetedquestions.
• Probeforactualexperiencesofpastperformance;donotaskquestionsabouthowthecandidatewouldbehaveinahypotheticalsituation.Forexample,askforadescriptionofasituationortaskthecandidatehadtodealwith,theactiontheytook,andtheresultofthataction.
• Askwhythepersonwantstoleavetheircurrentemployerandposition.
• Assesscareeraspirations.
• Assessstrengths.Strengthsmayhavetodowithknowledge,skills,andtalents.
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Sharing Information
Onceyouhavethekeyinformationyouneed,switchgearsandshareinformationwiththecandidate.Theextenttowhichthisisdonemaydependonyourevaluationofthecandidate.Don’tselltheorganizationuntilyouaresoldonthecandidate.Youmaytellthecandidatethefollowingkindofinformation.
• InformationaboutthepartnerorganizationorCRSasanagency.
• Thedepartmentorunitintowhichthejobfits.
• Thekindofworkrequiredandwhereitwilllead.
• Thepeopletheywillworkwith.
• Thepersontheywillbesupervisedby.
Closure
• Assesscompensationexpectations,ifnotcompletedduringpre-screening.
• Ask,“Isthereanythingelseyouwanttotellme?”
• Givethecandidateachancetoaskanyfinalquestions.
• Tellthecandidatewhatwillhappennext.
• Expressthanksandappreciation,andcloseonapositivenote.Youneverknow,somedaythispersonmightbeyourboss!
(Source: Jud 2005)
BuckinghamandCoffman(1999)stresstheimportanceofselectingcandidateswhoareagoodfitwiththejob.Project managers must know the difference between talent, skills, and knowledge—which of these can be taught and which must be brought to the job by the candidate .Forexample,someonehiredforcommunityorganizingneedstobefairlyoutgoing;thisisatalentandnotsomethingonepicksupthroughtraining.
FromTheorytoPractice:UnderstandingtheDifferencebetweenTalents,SkillsandKnowledge
ForanM&Eofficerposition,thismaytranslateintoknowinghowtoconductbaselinesurveys,andmid-termandfinalevaluations(knowledge);theabilitytotrainandorganizepartnersandprojectparticipantstoundertakesuchevaluationsundertimeconstraintsandlogisticaldifficulties(skills);andbeingabletodosowithanice,easymannerandlittledirectsupervisionorguidance(talents).
Reference Checks
CRSrecruitingguidelinesstatethatreferencechecksareaveryimportantpartoftheselectionprocess.Theycanrevealpotentialproblemsthatmayresultinadecisionnottoproceedwithacandidate.Referencesalsohelpyoutounderstandthestrengthsandweaknessesofacandidatethatmayhelptomanagethenewemployee.Referencechecksfocusonthepersonalqualitiesandpastperformanceofthecandidate.Insomesituations,thevalidityofdiplomasorcertificatesmustalsobechecked.
Forinternationalstaffpositions,CRSheadquarterschecksthreeprofessionalreferencesfromcurrentorpastsupervisors.In-countryreferencechecksshouldbedonebytheCountryProgram’shumanresourcesmanager.Interviewpanelmemberscanmakesuggestionsonareastoprobe.Forsomepositions,thehumanresourcesmanagermaywishtoinvolveheadquarters-basedorregionaltechnicaladvisorstoassessacandidate’sreferences.
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Reflection Opportunity 1. Thinkbacktothelastrecruitmentandhiringprocessyouoryourpartnerfollowedinyourcurrentorpreviousproject.Compareittotheguidelinesabove.
2. Whatworkedwellandwhy? 3. Whatguidelineswerenotapplied?Whathappenedasaresult? 4. Whatwillyoudothesameordifferentlynexttime?
Hiring Consultants
CRS’HumanResourcesDepartmenthasguidelinesonhiringconsultants.(Guidelines:Consultantsvs.Employees)ThefirststepistofillouttheConsultantRequisitionForm.Therequisitionform,togetherwithaSOWandtheconsultant’sresumé,isthensenttoheadquartersforprocessing.CheckthepolicyonthehumanresourcessectionoftheIntranetonConsultants(IndependentContractors).NotethatCRShasaconsultantdatabase,andallconsultantsmustberegisteredonit.CheckwithCRS’HumanResourcesDepartmentformoreinformation.
Ifyouareplanningtohirelocalconsultants,youneedtoensurethatCRSanditspartnerhaveclearpoliciesandproceduresforhiring,contracting,andpayingthem.YourhumanresourcesmanagerorCountryRepresentativecanadvise.
Consultantsneedclearandwell-definedSOWstodotheirjobswell.Checklist5.4containsusefulquestionsandanoutlinetousewhenpreparingthiscrucialdocument.
Checklist5.4:GuidanceonPreparingaConsultantSOW
BeforewritingtheSOW,considerthefollowingquestions.
Whatproductsorresultsdoyouwantdeliveredattheendoftheproposedservice? Whatexpertiseisneededtocreatethoseproductsorresults? Whowillmanage,hostorsupporttheconsultant?Howmuchtimewillthatinvolve? Whowillbeinvolvedincreatingtheproductsorresults?Howmuchtimewillthatinvolve? Howmuchtimeisreasonablyneededtoproduceeachdeliverable?Includetimetobring
theconsultantuptospeedintermsofbackgroundinformation. Whatisyourbudget?Doesthebudgetavailablecorrespondwiththetimeneeded?Does
thebudgetprovidenecessaryequipmentandtransportation? Onceyouandothershaveansweredthesequestions,writetheSOWusingthefollowingoutline.
Backgroundandpurposefortheassistanceneeded. Responsibilitiesoftheconsultantandexpertiserequired. Identificationofwhotheconsultantreportstoandcollaborateswith. Timeframefortheproject. Tasks(whattheconsultantwilldo)anddeliverables(whattheconsultantwillproduce). Budget(numberofdays,transport,perdiems,incidentalsandotherlineitems).
Formoreinformation,consulttheCapacityBuildingGuidance:GuidelinesandToolsforGettingtheMostfromyourTechnicalAssistance. Inaddition,guidanceondevelopingaSOWforanevaluationconsultantisincludedinChapter VII, Section 2, pp . 237-239 .
Step Two: Orient Staff Thefirstresponsibilityofaprojectmanageristoensurethatnewstaffhavetheappropriatetools
andinformationtodotheirjobs.Thinkthisisobvious?Thinkagain.
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FromTheorytoPractice:Assumptionsvs.RealityPartTwo—AStoryfromEastAfrica
“Whenourpartnerhiredparishpeacebuildingofficers,weassumedtheyknewtheirjobs!Wedidn’ttrainthemorpreparethemforimplementationbecausetherewassuchadelaybetweenwritingtheproposalandgettingthefunding.Youcanonlytrainorpreparestaffifyousecurethefundingfirst.Wefoundthisoutearlyonintheprojectandtrainedthem,butlosttime.”
Investinginstafforientationhelpspreventwastedtimeandcostlymistakes.Staff orientation ensures that new hires know what their roles and duties are and how to perform these duties .Importantly,theymustgainknowledgeofCRSasanagency,soorientationincludessessionsonCatholicSocialTeaching(CST),aJusticeReflection,partnershipandthehistoryofCRS.Orientationalsoincludesanintroductiontoadministrativeandfinancialpoliciesandprocedures,and,importantly,anysecurityconsiderationsrelevanttothepostofemployment.
FromTheorytoPractice:CRS’PolicyonEmployeeOrientation
TheCRSpolicyonEmployeeOrientationstatesthat,“supervisorsshouldmakesurethatallnewemployeesreceiveacarefulorientationtoallaspectsoftheworkofCRS.Thisorientationshouldbeginthefirstdayofemployment.Allpartsoftheorientationshouldbecompletedbytheendofthefirstmonthofemployment.”
How to Conduct Orientation
Orientationincludestimeforreviewingimportantprojectdocuments;shortmeetingswithsupervisoryandprojectteamstafftodiscussquestionsandplans;meetingswithfinancialoradministrativemanagers;sitevisits;courtesyvisitstopartners,etc.Learning-by-doingisalsoaneffectivemethodtoorientstaff.Forexample,newlyhiredprojectstaffcanparticipateinthedetailedimplementationplanningprocess,whichisanexcellentwaytointernalizetheobjectivesandstrategiesoftheproject.
TheCRS/EMEregionhasathree-stageorientationprocess.SelectedstepsaresummarizedinTable5.2.
ThinkAboutIt…
CRS/Kenyahasanorientation ring binderthatincludeshandoutsfornewstafforientation.Itcaneasilybeadaptedtoanewemployee’sparticularjob.
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Table5.2:CRS/EME'sThree-stageEmployeeOrientationProcess
Stage 1General Orientation (done by human resources officers)
•
•
•
•
•
•
Put new employees at ease. Ensure they have reviewed relevant policies. Describe cultural and office norms of CRS. Introduce CST themes and the CRS Just Workplace document.Review organizational charts, holiday schedules, timesheet procedures, how to find resources, use of computers, etc. Conduct a tour of the office.
Stage 2Departmental Orientation (donebydirectsupervisor)
• Welcomeandintroducenewemployee.
• Reviewregionalvisionandstrategy.
• Revieworganizationalchartsandcommunicationflow.
• Discussprinciplesofpartnership,managementquality,programqualityandsecurity.
• Scheduleorientationvisitstodepartments,includingfinance,administrationandhumanresources.
• Reviewjobdescriptionandperformancemanagement.
• Teamnewemployeeswithanexperiencedstaffperson.
Stage 3 Specific Job Orientation (donebydirectsupervisorandothercolleagues)
• Reviewskillsrequiredforsuccessfulperformance.
• Reviewspecialdocuments,resourcesortoolsthatwillhelpintheirjob.
• ParticipateinaJusticeReflection.
• Discusswhocanserveaspointpeopleonvarioustopics.
Reflection Opportunity 1. Compare the orientation procedures used for new employeesComparetheorientationproceduresusedfornewemployeeshiredintheprojectyoumanagetothoseinTable5.2.
2. What would you change for your situation?Whatwouldyouchangeforyoursituation?
Step Three: Set Performance Objectives ConsiderthisreflectionfromaCRSDRD/MQ.“Myexperienceisthatprojectmanagersset
projectgoalsandobjectivesbutfailtospendtimewithstafftosetindividualperformanceobjectives.Thentheywonderwhythereisnoalignmentbetweenwhatstaffdoandtheaccomplishmentofprojectobjectives!”
Performance planning is an annual process of setting specific performance objectives and identifying areas for professional development .Performanceobjectivesareevaluatedduringannualperformanceappraisals.Thisisdoneincombinationwithcontinualreflection,formaltraining,ongoingfeedback,recognition,andcoachingtoensurethatnewemployeeshavetheknowledge,skillsandattitudestodotheirjobwell.
TheCRSPerformance ManagementSystemGuidance providesacomprehensive
explanationoftheprocess.
CRShasaPerformancePlanningandAssessment formonwhichtheemployeedraftsuptofiveresults-basedobjectivesthataretangible,measurable,andcriticaltosuccessoverthenextyear.Theseobjectivesarelistedontheleftsideoftheform.Aftertheperformanceobjectivesarefinalized,employeesandmanagersreviewthemanddiscusstheskills,knowledge,andattitudesrequired.Plansarethenmadeforemployeelearninganddevelopment.
ThinkAboutIt...
CRSdefinesperformanceplanningasajointeffortbetweenanemployeeandhermanagertodothefollowing:
• determineannual,individualresults-basedobjectivesbasedonCountryProgram,regionalorheadquartersdepartmentalneeds;
• discussknowledge,skillsandattitudesrequiredtoexcelinone’sjob;and
• reviewbehaviorsthatdemonstrateCRSvalues.
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Staffusethisperformanceplanasamonitoringtoolandtrackactualresultsachievedovertheyearontherightsideoftheform.ThePerformancePlanningandAssessmentformisthenusedduringcoachingsessions,aswellasinthefinalstaffappraisalmeeting.
Inaddition,manyCRSCountryProgramspromoteuseofmonthlyworkplansbytheirownstaffandbypartnerprojectstaff.Thesemonthlyworkplansarelinkedtotheproject’sActivityScheduleandprovidemoredetailsaboutwhatthatparticularstaffmemberisresponsibleforwithinthetimeframe.Monthlyworkplansresembletheto-dolistsdescribedinChapter II, Section 3, pg . 49asatimemanagementtool.
Figure5.1:PerformanceObjectivesandTimeManagement
PERFORMANCE
PLANNINGAND
ASSESSMENT
PROJECT
ACTIVITY
SCHEDULE
MONTHLY
WORK
PLAN
Step Four: Review Project Organizational Structures Project staff need to understand how their job fits within their organizationintermsof
linesofauthority, decision-making and communication.CRSanditspartnersalsoneedtounderstandeachother’sorganizationalstructurestoknowwhoshouldcommunicatewithwhom.ThisisparticularlytrueifyouaremanagingacomplexprojectorconsortiumthatspansCountryProgramsandcontinentsasillustratedbythe“FromTheorytoPractice”storyonpartnershipprinciples.
FromTheorytoPractice:WhenPartnershipPrinciplesClash
CRSwasleadingalargeconsortiumprojectinanemergencysettingcomposedofamixedgroupoffaith-basedandfor-profitorganizations.CRSandtheconsortiummembersallsharedresponsibilitiesformanaginglocalpartners.However,therewasnoprotocolforcommunicationamongconsortiummembersandpartners,soCRSapplieditsownpartnershipprincipleswhileotherorganizationsusedverydifferentapproaches.
Duringtheproject,anumberofproblemsarose.Differencesinorganizationalculturesshapedtheapproachofeachconsortiummembertoprojectimplementationwithpartners.Forexample,someconsortiummembersweretop-downdecision-makers,sotheirpartnershadminimalinvolvementinkeydecisions.Duringimplementation,CRSstaffattemptedtoprovideadviceaboutpartnershiptoconsortiummembers,buttheadvicewasill-timedandevenperceivedasthreatening.Asaresult,somelocalpartnersdistrustedtheconsortiumandhadunclearideasabouttheirownrolesandresponsibilitieswithintheproject.
Yourprojectproposalbrieflydescribestheorganizationalstructuresthatsupportyourproject:thoseofCRS,itspartners,andcommunitystructuresorgroups.Detailedimplementationplanningprovidesagoodopportunityforprojectstakeholderstoreview,reaffirm,orupdatetheproject’sorganizationalstructureandlinesofauthority,decision-makingandcommunication.
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SECTION 2
CONDUCTING CAPACITY STRENGTHENING ASSESSMENTS
SECTION OVERVIEW
Thissectionrespondstoconcernsaboutwhetherallpartners,includingCRS,haveadequatecapacitytoimplementtheproject.
InSection2,youwilldothefollowing:
• understandthelinksbetweenlong-termorganizationalassessmentsandproject-specificcapacityassessments;and
• reviewprogrammatic,technical,andmanagementcapacitiesthatmayrequirestrengtheningforsmoothprojectimplementation.
UNDERSTANDING THE RELATIONSHIP TO
ORGANIZATIONAL DEVELOPMENT
AsstatedinChapter II, Section 2, pp . 24-30,capacitystrengtheningofCRSanditsprimarypartnersisalonger-termcommitmenttopromoteorganizationaldevelopment.Usingorganizationalassessment,CRSanditspartnershaveidentifiedstrengths,prioritizedareasforimprovement,andcreatedanactionplan.Thistypeofassessmentmaybepartofalong-termstrategicprogramplanningprocess.
Thecapacitystrengtheningactivitiesofaprojectmaybeapieceofthelonger-termorganizationaldevelopmentstrategyoractionplan.Projectimplementation,however,usuallyrequiresadditional,project-specificmanagement,technicalandcommunityorganizingcapacities.Thisiswhyacapacityassessmentisalsodoneduringprojectdesign.Project-specificcapacityassessmentsenrichandcomplement—butdonotreplace—thelong-termorganizationaldevelopmentprocessdonebyCRSanditspartners.
REVIEW THE RELEVANT PROPOSAL ITEMS
Capacityisdefinedastheabilityofindividualsandorganizationalunitstoperformfunctionseffectively,efficientlyandinasustainablemanner.
Duringprojectdesign,ProPackI,ChapterIII,Section5,pg.92advisesdoingacapacityassessmentoranalysistomeasuretheabilityofCRS,partners,andthecommunitytoimplementaparticularprojectstrategyandrelatedactivities.YoumayhaveusedtheOrganizationalCapacityChecklistinProPackI,ChapterVI,pp.192–193.TheproposalformatsuggestedinProPackIincludesasectiononCapacityBuildingandCommunityParticipation(ChapterV,Section6,pp.171–172)thatdescribesexistingcapacitiesandthestrategiesplannedtobuildthem.
Now,aspartofdetailedimplementationplanning,youandyourpartnersneedtoreviewthecapacitystrengtheningsectionoftheproposal.DiscussingotherpartsoftheDIPmayhave
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revealedcapacitystrengtheningneedsthatwereinadvertentlyoverlookedintheprojectproposal.Forexample,asyouandyourpartnersplannedforrecruitmentofprojectstaff,yourpartnermayhaverealizedthattheirexistingsystemsforthisarenotstrongenough.LookoverChecklist5.5asyoucompletethistask.
Checklist5.5:ReviewingtheCapacityStrengtheningComponentsofyourProposal
Arethecapacitystrengtheningstrategyandactivitiesbasedonavalid,relevantandup-to-dateorganizationalassessment?
Dothecapacitystrengtheningactivitiesstillholdtruenowthatimplementationisabouttobegin?
Doestheapprovedprojectbudgetsupportplannedcapacitystrengtheningactivities? Arethecapacitystrengtheningactivitiesdescribedwithsufficientdetail? Isitclearhowcapacitystrengtheningwillbemonitoredandevaluated?
NotethatChapter IV, Section 2, Component 6, pp . �23-�26addressestheissueofcapacitystrengtheningforM&Especifically.
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ASSESS OR RE-ASSESS CAPACITY
DuringtheDIPprocess,youandyourpartnermaydecidethatmoredetailedorganizationalandcapacityassessmentsarerequiredbeforeprojectimplementationbegins.Mostorganizationalassessmentscoverthefullrangeofcapacitiesneededforprojectimplementationandmanagement.Assessmentcategoriescaninclude,butarenotlimitedtothefollowing:
• technicalcapacities(e.g.,resourcesandsystemsrequiredtoimplementachildsurvivalproject);
• managementcapacities(e.g.,thoseneededforfinancialcontrols,reportingorcommoditytracking);and
• communityorganizationcapacities(e.g.,theknowledge,skillsandattitudesrequiredtomaximizecommunityparticipationwithinaproject).
Belowaresomeexamplesofexistingtoolsorusefulquestionsyouandyourpartnerscanconsiderforanyfurthercapacityassessmentstobedoneaspartoftheproject’sDIPprocess.
Capacity Indices and Tracking Systems CRSrecentlyevaluatedandconsolidatedorganizationalandproject-specificcapacityassessment
toolsalreadyinusewithintheagency.CRSispilot-testingamoresystematic,standardizedsetofassessmenttoolsforitself,itspartnersandcommunitiescalledcapacityindices.TheseareespeciallyrelevanttoTitleIIprojectsbutcanbeadaptedforanyproject.
Thesetoolsassesscapacitiesaccordingtoanumberofcategories.Eachcategoryismadeupofvariables,whicharefurtherbrokendownintostandard,measurableindicators.ExamplesareshowninTable5.3.
Table5.3:ExamplesofCapacityAssessmentCategoriesandIndicators
Category Variable Indicator Scoring scale
Commoditymanagement
Capacityofcommoditysystems
Commodityreportingcapacity
1. Records of commodities are incompleteRecordsofcommoditiesareincompleteorinaccurateandreportsareirregular.
2. Records of commodities are complete andRecordsofcommoditiesarecompleteandaccurate,butreportsareirregular.
3. Records of commodities are complete andRecordsofcommoditiesarecompleteandaccurate,andreportsareregularlyproduced.
4. Same as number three plus these regularlySameasnumberthreeplustheseregularlyproducedaccuratereportsfeedintoannualresultsandlossreportsinatimelymanner.
Design,Monitoring,Evaluation,andReporting
IndicatorsandPITT
KnowledgeanduseofthePITTinmonitoringandreporting
1. Staff are unfamiliar with the indicatorsStaffareunfamiliarwiththeindicatorsfortheirspecificsiteandtheirportrayalinaPITT.
2. Staff are familiar with the indicators forStaffarefamiliarwiththeindicatorsfortheirspecificsiteandtheirportrayalinaPITT.
3. Same as number two plus staff routinely useSameasnumbertwoplusstaffroutinelyusethePITTasatoolforstrategicplanningandmonitoringinstaffandpartnermeetings.
4. Same as number three plus staff routinelySameasnumberthreeplusstaffroutinelyincludeandrefertothePITTinreportswithanalysisofimplications.
Usingthesekindsofcapacityassessmenttoolscan(1)provideastronganalysisforasufficiently-detaileddescriptionofcapacitystrengtheningneeds(2)establishabaselineforcapacitystrengtheningand(3)beusedasamonitoringtooltomeasureprogressbyre-doingtheassessmentonayearlybasis,orinmid-termandfinalevaluations.
MeasuringcommunitycapacitiesallowsCRSanditspartnerstolearnhoweffectivelytheyareorganizingcommittees,mobilizingcommunities,andbuildingcapacitieswithinthem.TheTitleIICapacityIndexincludesasetofindicatorsthatcanbeadaptedtolocalsituationsusingthefollowingvariables:
• communityorganization;
• participation;
• transparencyofprojectcommittees’management;
• internalfunctioningofprojectcommittees;
• capacityofcommunitygroupstoanalyze,planandtakeaction;
• abilitytomanagerisks;
• communicationandexchangeswithoutsiders;and
• individualcapacities(ofgrouporcommitteemembers).
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Technical Assessments Formanyprojects,anassessmentthatfocusesonspecifictechnicalskillsisrequiredtoidentify
capacitystrengtheningneedsandresources.Theapproachconsistsofidentifyingthetechnicalandmanagerialskillsrequiredtoplanandimplementspecificelementsofprojects.Forexample,inthecaseofwaterandsanitation,standardsforprojectdevelopmentcanbeusedtohighlightthecapacityneedsofCRS,itspartnersandparticipatingcommunities.
FromTheorytoPractice:RuralWaterSupplyandSanitation—AssessmentthroughSkillsRequirements
AsdescribedinGuidelinesfortheDevelopmentofSmall-ScaleRuralWaterSupplyandSanitationProjectsinEastAfrica,CRSanditspartnersareurgedtoconsiderthethreephasesofprojectdevelopment:planning,implementationandsustainability.Ineachphase,relevantindicatorsandguidelinestatementsthatdefineessentialfeaturesofwaterandsanitationprojectsareidentified.Theimplementationphase,forexample,containsguidelinesforsuchactivitiesascommunityinvolvement,construction,health/hygieneeducation,training,monitoring,reportingandanexitstrategy.Theguidelinestatementscanbeusedtoidentifythetypesofskillsneededtoachievetheactivities.
TheMicrofinanceAllianceforGlobalImpact (MAGI)storyboxdescribesatechnicalcapacityassessmentthatisconductedwithinmicrofinanceprojects.
FromTheorytoPractice:MAGI—AssessmentforAccreditation
MAGIisanallianceofhigh-performingmicrofinanceprograms.CRS’partnerscanbecomeaccreditedmembersoftheMAGIalliancethroughaprocessoforganizationaldevelopment.Capacitystrengthsandweaknessesareidentifiedthroughanassessmentthatmeasuresmanagementinformationsystems;financialandnon-financialservices;financialadministration;internalcontrols;andplanningandorganizationalstructure,systemsandpolicies.TheMAGIPlanningandAssessmentUser’sGuidecanbefoundontheProPackIICDROM.
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Internal Control Assessments Thatapartnerhastechnicalcapacityisimportant—butnotsufficient.Thepartnermustalsohave
strongoperationalfinancialandinternalcontrolsystemstoensurethatprojectfundscanbesafelyreceived,trackedandspent.
Table5.4providesinformationonbasicfinancialsystemsthatshouldbeinplace.
Table5.4:BasicFinancialSystems
SupportingDocuments
Every financial transaction should be backed up by a properly-authorized supporting document (e.g., a receipt, payroll slip). This is the evidence that a specific transaction has taken place.
Every transaction should be recorded in a cashbook. A cashbook is the list of the Cashbook money that an organization has spent and received. The cashbook must be regularly
reconciled to cash in the bank or the safe.
Account codes should be added to the transactions entered in the cashbooks. The codes Account allow similar transactions to be added together and summary reports to be produced Codes by transaction type. The set of account codes that an organization uses is called its
Chart of Accounts.
Aninternal control assessmentwillhelppinpointareasneedingstrengthening.Itisrecommendedthatyouandthefinancemanagerassesstheinternalcontrolsystemsofeachpartner,focusing on their financial management, accounting and financial reporting systems .Table5.5providesalistofinternalcontrolsforkeyareasoffinancialmanagement.
Table5.5:FinancialManagementInternalControls
Financial Planning
Budgetspredictthetimingandamountofincomeandexpenditure.Thepartnershouldhaveabudgetfortheorganizationasawholeandforindividualprojects.Theymustberealistic!Budgetsmustbebasedonareasonableassessmentofthefundingavailableandthecapacityofthepartnertoimplementtheactivitieswithinthegiventimeframe.
Acash flow forecastisanestimateofwhenreceiptsandpaymentswillhappen.Thisisnecessarytoensuretheorganizationdoesnotrunoutofcash,leavingitunabletopaysalaries,forexample.
Donorsfundspecificprojectswithspecificbudgets.Keep track of which donor is funding which project or part of a project .Moneyreceivedfromonedonorforoneprojectcannotbelenttoanotherproject.Infact,thisisoftenillegal.Acceptingmoneyfromtwodifferentdonorsforpreciselythesameprojectcostsisalsoillegal.
Financial Reporting
Partnersshouldprepareaccuratemonthly internal financial reportstoshowhowmoneyhasbeenspentandwhetherthereareenoughfundstosupportprojectactivitiesinthecomingmonths.Ataminimum,themonthlyfinancialreportshouldshowallincomeandexpendituresmadeduringthemonthandtheamountofmoneyheldincashatthebank.
Donorsrelyonfinancialreportstomonitorandevaluateprojectprogressandtocontinuefundingaproject.Thepartnermustprovideanexternal financial report to CRSbasedonthefrequencyspecifiedintheprojectagreement,andnotlessthaneverythreemonths.ThereporttoCRSwillusuallyincludethefollowingelements:
• areportofactualexpenditurecomparedtothebudget;
• acashflowforecastforthenextthreemonths;and
• areportshowingtheuseoffundsreceivedfromCRS.
Informationincludedinthefinancialreportwillusually(dependingonthematurityofthepartner)besubstantiatedwithoriginalsupportdocumentationandshouldalsoincludebankandcashreconciliations.Yourfinancemanagerwilladviseyouonthespecificformatrequired.
Competent Staff
Strongfinancialmanagementreliesoncompetent staff.Staffneedtohavetherightskillsandsupporttocarryouttheresponsibilitiesdescribedabove.Thismeansthatprojectmanagersalsoneedtounderstandfinancialmanagement.
Othercategoriesofaninternalcontrolassessmentincludepersonnelmanagementandpayroll,procurement,fixedassetmanagementandcommoditytracking,andreporting.TheassessmentisideallydoneduringprojectdesignbutmostlikelywillneedrevisitingduringtheDIPprocess.
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Aftertheassessments,theteamcandiscusstheresults.Together,youwilldeveloparealisticactionplanthataddressesanyfindingsandagreed-uponrecommendations.Thepartnershouldbeabletocomplywithallkeyfinancialstandardsbeforetheybeginimplementingtheproject.Ifthereareseriousdeficiencies,thenyoumustdiscussthesituationwithyourCountryRepresentativeasthiscouldpresentapotentialliabilityforCRS.
USE ASSESSMENT FINDINGS TO GUIDE CAPACITY
STRENGTHENING STRATEGIES
Findingsfromcapacityassessmentsareusedtodevelopanactionplan.Itwillprovidedetailsforthespecificproject-relatedcapacitystrengtheningstrategiesandactivitiesrequiredforsmoothprojectimplementationandmanagement.Forexample,theassessmentmayrevealthatpartnersdonotknowhowtopromotecommunityparticipation.TheprojectcanthenincludecapacitystrengtheningactivitiessuchastraininginPRAorstudyvisitstoasuccessfulcommunitydevelopmentproject.Chapter VI, Section 2, pp . �68-�77,includesanoverviewofinnovativeandeffectivecapacitystrengtheningactivitiesoftenusedinCRSprojectimplementation.
Capacityassessmentsalsoprovideusefulinformationaboutwhichmanagementandleadershipstyleismostappropriatetoadoptwithvariouspartners.Theconceptofsituationalleadership,whichwasdiscussedinChapter II, Section �, pg . �9 alsoapplies .Forexample,theassessmentmayconfirmthatyouareworkingwithaverystrongpartnerwhohasawell-functioningfinancialsystem.Donotmicro-managethispartner!Instead,focusoncoachinganewpartnerwhosecapacityassessmenthasrevealedweakersystems.
Lastly,dependingonwhattypeofassessmenttoolsareused,youmaybeabletocreateabaselineandindicatorstomeasurethesuccessofyourcapacitystrengtheningactivities.
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SECTION 3
MANAGING PROJECT RESOURCES
SECTION OVERVIEW
Youareaccountable,asaprojectmanager,forthestewardshipofprojectresources.Theseincludecash,in-kindcontributionsandsupplies.Detailedimplementationplanninghelpsensuresystemsareinplaceandwellunderstoodsothattheseresourcescanbemanagedsuccessfully.
InSection3,youwilldothefollowing:
• increaseyourunderstandingofhowdetailedprojectbudgetplanningfitswithinthelargerCRSbudgetcycle;
• reviewguidanceonhowtoplanformanagingprojectresourcesincludingcash,in-kindcontributions,andsuppliesandmaterials;
• reviewthestepstoreviseprojectbudgets,planforin-kindcontributions,andplanforsuppliesandmaterials;and
• learnhowtodevelopahigh-qualitypartnerprojectagreement.
INTRODUCTION
Someprojectmanagersdon’tpayattentiontofinancialandadministrativedetails.Read“TheBoringDetails”story,andanswertheReflectionOpportunityquestionsthatfollowtoassessyourownpracticesandattitudes.
FromTheorytoPractice:TheBoringDetails
Janeisaprojectmanagerforaone-yeareducationprojectfundedbyaEuropeandonorandimplementedbyalocalpartnerorganization.Shehasgreatworkingrelationshipswiththepartner’seducationofficers;theyareveryexcitedabouttheeducationactivities,andimplementationisproceedingaccordingtotheActivitySchedule.Janemeetsregularlywithherpartnertoreviewprogress,buttheyalwaysendupfocusingonprogrammaticaspects.Theyjustneverhavetimetolookatthefinanceoradministrativedetails.Andtotellthetruth,theyfindthesedetailsquiteboring!Monitoringshowsthattheproject’sIRsarewellontrack,andeveryoneisexcitedbecausethereisgreatpotentialforanewroundoffundingfromthisdonor.
Threemonthsbeforetheendoftheproject,however,problemsemerge.ThepartnercomplainstoJane
thatthey’verunoutofmoneyandcan’tcontinueimplementing.JaneimmediatelygoestoseetheCRSfinancemanager,andheexplainsthatthepartnerhasneversubmittedanyfinancialreportsand,thus,nofurtheradvancescanbeissued.Janeschedulesameetingwiththefinanceofficertoresolvethisproblem,butastheyinvestigate,evenmoreproblemsemerge.Afterreviewingtheexpenditurereportsindetail,Janerealizesthatthepartnerhasexceededtheagreed-uponbudgetforactivitycosts.Forexample,theypurchasedamotorcycleeventhoughthiswasnotplannedforinthebudget.Thestaffbudgetlineiswellunder-spentandJanelearnsthatherownsalaryhasnotbeenchargedasplannedtotheproject.Sheruefullyadmitsthatsheisbehindonsubmittingtimesheets—anotherboringtaskshejustneverfindsthetimetocomplete!
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Reflection Opportunity 1. WhatwasthecauseofJane’sresourcemanagementproblems? 2. HowdoJane’sproblemscomparetoonesyouhavefacedinyour
ownprojectmanagementexperience?Whatcausedtheproblemsinyoursituation?
3. WhatwouldyouadviseJanetododifferentlyduringdetailedimplementationplanningforhernextproject?
AsJane’sstoryillustrates,detailedimplementationplanningmustincludeworkwithfinancial
andadministrativestaff,suchasfinancemanagers,humanresourcesmanagersandprocurementofficers.ThissectionincludesdetailedimplementationplanningguidanceandstepsthathelptoensurecarefulstewardshipoftheresourcesCRSreceives.
A REVIEW OF ESSENTIAL BUDGET PLANNING TASKS:
YOUR PROJECT BUDGET AND THE BIG PICTURE
Yourprojectbudgetdoesnotexistinisolation!ItisoneofmanythatmakeupthetotalannualbudgetoftheCountryProgram.TheCountryRepresentativemustensurethatallprojectactivitiesareimplementedwithintheapprovedcountrybudget.Becauseofthis,itisvital to review the CRS budget cycle and see how your project budget fits into the big picture .
Table5.6highlightsmajorbudgetingandplanningtasksattheCountryProgramlevel,howthesearedone,when,andbywhom.Thisinformationisincludedsothatyoucanclearlyseehowbudgetplanning,revisingandmonitoringtasksaffectmorethanjustyourproject.Forexample,ifyoudonotbudgetcorrectlynormonitorprojectexpendituresagainstbudgetontimeandcorrectly,itaffectsnotonlyyourcountryfinancestaffbutalsotheworkoftheregionalandheadquartersstaffintheirownbudgetanalyses.Thetablealsoshowshowmuchyourworkoverlapswiththatofthefinancestaff.
Table5.6:OverviewofEssentialBudgetPlanningandMonitoringTasks
Essential Task Tool Available Frequency By Whom?
1.PlananAnnualCountryProgramBudget
APP Annual(April/May)SeniorCountryProgramStaff
2.RecordaNewProjectProjectTrackingSystem(PTS)
Assoonasprojectisapproved;ongoingasprojectdetailschange.
ProjectManager
3.AmendanApprovedBudget
BudgetMaintenanceAssoonastheprojectisapproved;ongoingasfundingchanges.
ProjectManagerandFinanceManager
4.SetUpaProjectNumber
NewDonorSource/ProjectForm(NDS/P)
Assoonastheprojectisapproved.
FinanceManager
5.CreateaDetailedBudget
AccountCodesBudgetTemplateAnalysisCodes
Assoonastheprojectisapproved.
ProjectManagerwithhelpfromFinanceStaff
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6.EnsureAdequateCashFlow
CashForecastingQuarterly(January,April,etc.)
ProjectManagerandFinanceManager
7.ReviewProjectSpending
BudgetComparisonReportFullDrillDown
MonthlyProjectManagerandFinanceManager
8.AnalyzeProjectSpendingTrends
QuarterlyFinancialAnalysisReport
Quarterly(January,April,etc.)
SeniorCountryProgramStaff
NotethattasksonethroughsixinTable5.6arecompletedaspartoftheDIPandthusexplainednextinfurtherdetail.TaskssevenandeightarecompletedduringprojectimplementationandwillbeaddressedinChapter VI, Section 4, pp . 20�-206.Pleasenotethatanumberofbudgetformswillbediscussedoverthenextfewpages.Full-pageversionsareavailableontheCD-ROM.
Task One: Plan an Annual Country Program Budget TheAPPprocessstartseachyearinMarch/April,whenheadquartersdeterminestheregional
allocationofCRSprivateresources,andendseachSeptemberwithofficialCRSBoardofDirectorsapprovaloftheannualbudgetandplannedprogramactivitiesforeachCountryProgram.WhatdotheCountryProgramsdobetweenthesetwodates?
Bymid-May,eachCountryProgrammustcompleteanAPPworkbook.Projectmanagersarerequiredtosubmitfinancial,staffing,equipmentandnarrativeinformationabouttheprojectstheymanage;thisinformationisthenconsolidated.Next,the Country Program budget is summarized on the Budget Reconciliation Form (BRF) within the APP workbook .TheAPPshowsthebudgetforcountryadministration,directprojectexpenses,locallygeneratedrevenue,andthevalueofcommoditiesfordistributionandrelatedfreightcharges.Allofthisinformationissegregatedbydonorsourceandprojectnumber.
TheAPPisthenreviewedbytheregionalofficeandsubmittedforfinalreviewtoheadquarters.Once approved, the BRF serves as the official Country Program budget for the fiscal year .
Task Two: Record a New Project The Project Tracking System (PTS) is a database that provides a central location for basic
information about all the projects the agency is implementing around the world .PTSisnowavailabletoallstaffviatheCRSIntranetandwilleventuallylinktotheheadquarters’accountingsystem,JDEdwards,sothatprojectfinancialinformationcanbeaccessedaswell.TheProjectTrackingSystemUserManualisavailableontheProPackIICDROM.PTScurrentlystoresthefollowingdataabouteachproject:
• projecttitle
• projectstartandenddates
• projectgoalsandobjectives
• projectsummary
• projectfile(text/budget)
• contact persontperson
• projectlocation
• participantinformation
• partnerinformation
• programmingareas
• budgetinformation
• grantinformation
• reportingduedates
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Whenanewprojectisapproved,CRSprojectmanagersmustenteritsinformationintoPTS.Ifinformationaboutaprojectchangesatanystageofimplementation,youmustupdatePTS.TheCountryRepresentativeapprovesanychanges,andthedataisthenuploadedtotheregionalofficeforreviewandfinalapproval.Approveddataisuploadedbytheregionalofficetothecentralagencydatabase.
Task Three: Amend an Approved Budget Asnotedabove,theBRFistheapproved,annualworkingbudgetforaCountryProgram.Your
projectsmustbeincludedonthatformforyoutobeallowedtospendmoneyonthem.During the year, you can add new projects or change financial data in ongoing projects through the Budget Maintenance Process .TheCRSfiscalyearrunsfromOctober1toSeptember30,soanyfinancialdatayoupresentwouldbecontainedwithinthattimeframe.Forexample,ifanewprojectstartsJune1,theBRFwouldprovidethefour-monthbudgettofundactivitiesthroughtheendofSeptember.Theremainingbudgetwillbeaddedtothefollowingyear’sBRFthroughtheBudgetMaintenanceProcess.
As project manager, you are responsible for initiating the Budget Maintenance Process .YoumustgivethefinancialinformationaboutyourprojecttotheFinanceDepartment.Finance staff will fill out a document called the Budget Maintenance Form (BMF) . The BMF amends the country’s fiscal year budget, the BRF .TheBMFisreviewedandapprovedbytheCountryRepresentative,thensenttotheRegionalDirectorforapproval. Before it is approved, however, the regional office will check to see if PTS has been updated . The budget data in PTS and on the BMF must agree .TheapprovedBMFsaresubmittedbytheFinanceDepartmenttoheadquartersattheendofeachmonth.
Task Four: Set Up a Project Number TheThe New Donor Source/Project form (NDS/P) is completed by the Finance Department at
the same time as the BMF . Its purpose is to set up the new project’s donor source and project number on the JD Edwards accounting system in headquarters .IftheCountryProgramdoesnotsubmittheNDS/PForm,allexpensesregisteredagainsttheprojectwillberejectedandputinasuspensefile.Suspensefilescreateextraworkforcountriesandheadquarterstoreverseandcorrect!Youcanseethatsubmittingthisformwillhelpsavetimeinthelongrun.TheCountryProgramobtainsthedonorsourceandprojectnumbersasfollows.
• Donor Source Number, USG award—assignedbyheadquarters’OverseasFinanceDepartment.
• Donor Source Number, Non-USG award—assignedbytheCountryProgramusingtheDonorSourceListavailableontheIntranet.
• Project Number—assignedbytheCountryPrograminaccordancewiththeProjectTrackingPolicyoutlinedintheOverseasOperationsManual.
Task Five: Create a Detailed Budget
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Budget Template Form
ApprovedprojectbudgetsareenteredintotheCountryProgramfinancesystem,whichiscalledSunSystems.AstandardCRSBudgetTemplateisusedtotransferthisinformation.Yourroleistofilloutthisform,whichshowsprojectexpendituresbyfiscalyear,type(accountcode),andaccountingperiod(month).ThetotalontheBudgetTemplatemustbethesameastheamountontheBMF,otherwiseSunSystemsandtheBRFwillnotagree.TheFinanceDepartmentcheckstheBudgetTemplateformandthenuploadsittotheSunSystemsaccountingsystem.
Account Codes
WhenfinancialdataisenteredintotheCRSaccountingsystems—SunSystemsandJDEdwards—each type of expense is assigned a four digit number called anaccount code.Forexample,thecodeforCRSBuildingRentis6401.TheChartofAccounts,whichincludesalloftheaccountcodes,canbefoundontheIntranet;alistofFrequentlyUsedCRSAccountCodesisincludedintheProPackIICDROM.
Foryourproject,youwillassignanaccountcodetoeachbudgetitemsothattheCRSFinanceDepartmentcantrackexpensesandgiveyouinformationtomanageyourbudget.Notethatsomecodesintheaccountingsystemarespecifictoprojectexpendituresbypartners(e.g.,thecodeforPartnerOccupancyExpenseis6155).
Ideally,youassignedaccountcodesduringproposaldevelopmentwhenyoucreatedthebudget.Ifthiswasnotdonethen,itneedstobedonenow.Itisvitaltocollaborate with the financestaff during this stepsothateveryoneunderstandshowtheaccountcodesworkforyourparticularproject.
Checklist5.6:TipsforCreatingDetailedBudgetsforUSGGrants
CreatingadetailedbudgetinSunSystemsforUSGgrantsiseasierifyoufollowtheCRSCostApplicationGuidance.
TheguidanceadvisesfollowingtheChartofAccountswhendevelopingindividuallineitems,sothatspecificexpensesarenotoverlooked.
TheworkingproposalbudgetcanincludeaccountcodestohelpwiththelaterconversionintoaSunbudgettemplate.
InthefinalbudgetsubmittedtotheUSG,theCostApplication,broadercategoriesareusedtopresentacleardocument.Thesecategoriesarecreatedby“rolling-up”(consolidating)expendituresunderappropriateaccountcodes.
Transaction Codes
WithathoughtfullypreparedbudgetandTransactionCodes(T-codes),youcangeneratemanyusefulreportsfromSunSystemsthatrespondtotheinformationneedsofdifferentprojectstakeholders.Forexample,SunSystemscanbesetuptoprovidereportsthatdothefollowing:
• mirrorthereportingformatrequiredbythedonor; • groupexpensesbyactivityandsector;and • groupexpensesbyStrategicObjectives.
T-codes identify different variables of a project budget .Thedonorsourcenumber(T0)andtheprojectnumber(T2)are,infact,T-codes.TransactionshavingthesameT-codecanbegroupedtogetherforreporting.
TherearetwooptionalT-codes(T6andT7)thatcanalsobeusedbytheCountryProgramtoattachmoreinformationtoatransaction.YoumightuseT-codestotrackprojectactivitiesbylocation,forexample.
To use T-codes, tell the finance manager what financial information you need and what the report should look like . She can then advise you how this can be achieved .SettingupT-codesmustbedonebeforetheBudgetTemplateisenteredintoSunSystemsandbeforetheprojectstartstoincurexpenses.Ifyoudonotsetthisupcarefully,youwillgeneratefinancialreportsthatareinaccurate.Oncethesystemisestablished,aT-codemustbecorrectlyattachedtoatransactionwhenitisenteredintothefinancialsystem.Ifthisisnotdone,thewholetransactionmustbereversedandre-entered.
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FromTheorytoPractice:UsingT-codestoRespondtoStakeholderInformationNeeds
Hengmanagesanintegratedprojectwithanumberofdifferenttrainingworkshops.Theproject’sdonorisinterestedincomparingthecostsofthesetrainings,soHengneedstoreportonthecostofeachone.HengachievedthisbyusingT-codestoassigndifferentnumberstoeachworkshopandtoeachoftheirexpenses.Hengcannowrunseparatefinancialreportsforeachtrainingheoversees.
Task Six: Ensure Adequate Cash Flow Youareresponsibleformanagingmonthlyandquarterlycashneedsforyourprojects.Todothis,
you must submit a Donor Source Worksheet detailing anticipated spending for each project that you manage.TheseworksheetsarethenconsolidatedbyyourFinanceDepartmentintotheCashForecastformandsubmittedtoheadquarters.Ifthecashforecastisnotsubmitted,moneywillnotbeavailableforoperatingandprogramexpenses.
Beware,manyprojectmanagershaveatendencytooverestimatehowmanyactivitieswillactuallybeundertakeninaspecificplanningperiod.Thisleadstocashthatsitsinbankaccounts,exposedtopotentialcurrencylosses.
DeadlinesforsubmissionofCashForecaststoheadquartersareasfollows.
• October15forthequarterstartingOctober1 • January15forthequarterstartingJanuary1 • April15forthequarterstartingApril1 • July15forthequarterstartingJuly1
Again,notethattask numberseven,ReviewProjectSpending,andnumbereight, AnalyzeSpendingTrends,fromTable5.6aredescribedinChapter VI, Section 4, pp . 20�-206 .
Nowthatyouhavetakenagoodlookatthebudgetplanningbigpicture,thenextsectionwillshowyouhowtoreviewandrevisetheprojectbudgetduringdetailedimplementationplanning.
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REVIEW THE PROPOSAL BUDGET
Mostprojectshaveatimelagbetweenpreparationoftheproposalbudgetandapproval.Alongwithotherelementsoftheprojectproposal,thebudgetwillalsoneedtobereviewedduringdetailedimplementationplanning.Nowthatyouknowtheexactamountoffundingavailable,abudgetreviewwillensurethattheactivitiesandhumanresourcesarealignedwiththeapprovedfundingandtheframeworkoftheAwardAgreement.
ThebudgetreviewprocessisledbytheCRSprojectmanagerbecauseyouareaccountableformeetingtheprojectobjectiveswiththeavailablefunding.TheprocessalsoincludesCRSfinancialstaff,partnerrepresentativesandotherrelevantprojectstakeholders.Allofthepeoplewhomanageaproject,orasectorwithinaproject,shouldbeinvolvedinthebudgetreview.Thisensurestheyunderstandthefollowing:
• thecoststheyareexpectedtomanage;
• thecodingtheymustusetocaptureexpendituredata;and
• theamountofmoneytheyhavetomeetsectorobjectives.
Reflection Opportunity 1. Thinkaboutaprojectyoucurrentlymanage.Whowasinvolvedinthebudgetreviewprocessduringdetailedimplementationplanning?Didthishaveanyimplications—positiveornegative—ontheproject?
2. Inyoursituation,whospecificallywithintheCountryProgramshouldbeinvolvedinthebudgetreviewprocessduringdetailedimplementationplanning,andwhy?Whichotherprojectstakeholdersshouldalsobeinvolved,andwhy?
Align the Project Budget, Activity Schedule and Other
Required Resources IfyoudevelopedyourprojectbudgetaccordingtoProPackIguidelines,itwaslinkedtothelistof
activitiesincludedinyourproposal’sActivitySchedule.
Figure5.2:AligningtheActivityScheduleandtheBudget
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Activities necessary to achieve expected results
•Drillingofboreholeswithhandpumpsforunservedvillages.
•Constructionoflatrines/bathingcubicles,solidwastepits.
•Hygienepromotionworktodeveloplocalcapacity;trainingofcommunityhealthandhygienepromoters.
•Trainingofcommunitybasedhygienepromoterstoensurepropermaintenanceoflatrinesandwastemanagement.
Description Units Unit Cost Amount
Materialstoconstructboreholesatschoolsinthenortherncorridor
15 8,900 133,500
Materialstoconstructboreholesin6villagesoforigininKulbus
6 8,900 53,400
Constructpermanentpitlatrinesforschools 15 5,360 80,400
Hygiene/Sanitationpromotioninschools 15 1,300 19,500
Hygiene/SanitationpromotioninIDPvillages 6 1,300 7,800
Householdpitlatrineconstructionmaterials 1,500 152 228,000
InChapter III, Section 3, pp . 74-82youupdatedandrefinedtheActivitySchedule,takingfinancial,humanandotherresourcesintoconsideration.Thisback-and-forthprocessmeansthatyoushouldhaveanupdatedbudgetthatreflectsanychangesinactivitiesmadeduringdetailedimplementationplanning.Nowdouble-checkthatyouconsideredeverything.Checklist5.7includescostingfactorsthat,ifpresent,maymeanyourbudgetneedstoberevised.
Checklist5.7:CostingFactorstoConsiderduringDIPBudgetReview
Anincreaseordecreaseinthemarketpricesofitems. AsignificantchangeintheU.S.Dollar(USD)tolocalcurrencyexchangerate. Coststhatweremistakenlymissedintheoriginalbudget. Theimplementingpartnerisnolongeravailable. Staffassignedtotheprojectwhocomeatahighercostthanoriginallyplannedorbegin
worklaterthanplanned. Anincreaseinofficeoverhead(e.g.,astheresultofamove).
Reflection Opportunity 1. Review your project experience. Which of the costing factors inReviewyourprojectexperience.WhichofthecostingfactorsinChecklist5.7didyoufaceinadjustingyourproposalbudget?
2. What would you add to this list?Whatwouldyouaddtothislist?
Revise the DIP Budget Ifyoudiscoverthatindeed,thebudgetneedsrevising,do not assume that you can automatically
make budget revisions without approval!KnowtheapprovalprocessforbudgetrevisionsinyourCountryProgram.DonotforgetanyrelevantAward Agreement terms(budgetlineitemflexibility,donorapprovalofspecificcosts,etc.)thatmayinfluenceboththebudgetreviewandthepossibilitiesforrevisions!
InformyourCountryRepresentativeifthebudgetreviewprocessrevealseitherofthefollowing:
• Alikelyfundingshortfall.TheCountryRepresentativecanseeifothersourcesoffundingareavailable.
• Alikelyfundingexcess.Youcandiscusswhetherthescopeoftheprojectshouldbereconsideredtoabsorbthefunding.IfthisisnotpossibleordesirableandifthefundingisfromCRS,theCountryRepresentativecanre-programthesurpluselsewhere.
Clarify Who Has Expenditure Authorization Beclearaboutwhoamongyourprojectstaffisauthorizedtoapproveexpendituresandthe
maximumtransactionamounttheycanapprove.Onlargerprojects,theprojectmanagerwillhaveoverallsignatoryauthoritybutmaychoosetodelegateauthorityforcertainsectionsofthebudgettootherstaff.
Inmakingdecisionsaboutsignatoryauthority,strikeabalancebetweensubsidiarityandstewardship.Thereisnoonerecipe—muchwilldependonthesituation,experienceofprojectstaff,thematurityandreliabilityofpartnersandotherfactors.DiscusssystemsthatmightbesetupforyourprojectwithyourCountryRepresentativeandfinancemanager.TheDRD/MQcanprovideguidanceaswell.
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ThinkAboutIt…Beware of Micro-managing!
OneinterpretationofstewardshipledtoasituationwheretheCRSheadofprogramwasapprovingeverytransaction,makingforaveryslowandcumbersomesystem.Inthiscase,theheadofprogrammighthaveconsidereddelegatingapprovaloflow-costtransactions,combinedwithamonthlyreviewofthedetailedexpenditurereporttoensurecompliance.
PLAN FOR IN-KIND CONTRIBUTIONS In-kind contributions are non-cash donations of goods or services.In-kindcontributions
typicallyusedinCRSprojectsincludethefollowing:
• foodcommodities,relatedoceanfreightandfoodtransport;
• officeandwarehousingspace;
• vehicles,furnitureandequipment;and
• pharmaceuticals.
Thelargestin-kinddonationsreceivedbyCRSarefoodcommoditiesandrelatedoceanfreightfromtheU.S.Government.TheagencyalsoreceivesdonatedcommoditiesfromtheUnitedNationsWorldFoodProgram(WFP)andfromtheEuropeanUnion.
In-kindcontributionsarerecordedasrevenuetoCRSandasanexpensetotheproject.Theremustbeawrittenagreementforallin-kinddonations.ThecontributionsarerecordedattheirFairMarketValueinthefiscalmonththatCRStakestitletothegoodsorreceivestheservices.The Country Program is responsible for ensuring that the expenses are properly recorded in the General Ledger.Thisrequirementappliestoin-kindcontributionsthatareshippedfromtheUnitedStatesandcoordinatedthroughCRS’ShippingDepartment,aswellastodonationswhosereceiptwasnegotiatedbytheCountryProgram.FordetailedaccountingrefertotheFinanceIn-kindContributionspolicyontheCRSIntranet.
Forcommodities received from the WFP, the CountryProgrammustsignastandardFieldLevelAgreement.CRSgenerallytakesownershipofWFPcommoditiesin-country(i.e.,theagencydoesnotcoordinateshipmentofthecommodities),sotheresponsibilityfordocumentingandrecordingthesecommodityreceiptsrestswiththeCountryProgram.
In-kind donations or commodities received from the U .S . Government aregenerallyprovidedthroughUSAIDandtheDepartmentofAgriculture(USDA).USAIDcommoditiesfurnishedtoCRSaresubjecttoUSGregulation22CFRPart211,whiletheUSDAcommoditiesfallunderUSGregulation7CFRPart1499.Eachoftheseregulationsdictatesspecificreportingrequirements.
USGcommoditiesareshippedfromtheUnitedStates.Althoughsomeoneelsemayberesponsibleforthemanydetailedstepsofensuringthatin-kindcontributionsarriveattheirdestination,youneedtounderstandthefollowingproceduresbecausethetimeandconditionoftheirarrivalwillaffectyourprojectactivities.Asprojectmanager,youareresponsibleforminimizinganycomplicationsandrisk.
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Agreements
USAID/Title II
1. Upon approval of a proposal, USAID draws up a Transfer Authorization (TA) agreement withUponapprovalofaproposal,USAIDdrawsupaTransferAuthorization(TA)agreementwithCRS(theTitleIIequivalentofanAwardAgreement).
2. An Annual Estimate of Requirements (AER) must be signed by the CountryAnAnnualEstimateofRequirements(AER)mustbesignedbytheCountryRepresentativeandthelocalUSAIDmission.ItisthensenttotheresourcespecialistinOSDatCRSheadquartersforsignature.Afterwards,shewillforwardittoUSAID/Washingtonforfinalsignature.
3. Once all four signatures are received, the resource specialist will send a copy to the CRSOnceallfoursignaturesarereceived,theresourcespecialistwillsendacopytotheCRSShippingDepartment,whichisresponsibleformonitoringtheprocurementandshippingofallUSAIDandUSDAfood.
4. The Country Program will submit a Call Forward, which is a request for the commoditiesTheCountryProgramwillsubmitaCallForward,whichisarequestforthecommoditiestobeshipped.ACallForwardismadeonamonthly,quarterlyoryearlybasisdependingonthescaleofthefoodintervention.ItissenttotheMissionwithacopytotheCRSShippingDepartment.
USDA
1. The draft of the USDA agreement should be reviewed by the Shipping Department. ThedraftoftheUSDAagreementshouldbereviewedbytheShippingDepartment. 2. Once the agreement is signed, a copy is sent to the Shipping Department.2. Once the agreement is signed, a copy is sent to the Shipping Department. Oncetheagreementissigned,acopyissenttotheShippingDepartment. 3. The Country Program notifies the Shipping Department to call forward the commodities in3. The Country Program notifies the Shipping Department to call forward the commodities in TheCountryProgramnotifiestheShippingDepartmenttocallforwardthecommoditiesin
accordancewiththescheduleintheagreement.
(ThefollowingproceduresarethesameforbothUSAIDandUSDAcommodities.)
Call Forwards Thecallforwardisduebythe1stofthemonthforpackagedgoodsandbythe11thofthemonth
forbulkgoods.CRS’ShippingDepartmentwillentertherequestintotheCommodityCreditCorporation’sFoodAidRequestEntrySystem(FARES)databaseandsendtheCountryProgramacopyonceapproved.CommoditytypesandquantitiessubmittedonthecallforwardshouldbeconsistentwiththosesubmittedontheAER.
Shipments OncenotifiedbyUSDA(whichhandlesallUSGfoodshipments)thatthecargoisavailablefor
shipping,afreightforwarderwillbooktheshipmentandenteritsdetailsintoadatabasethattracksshipmentsfromUSproductionsitestotheirfinaldestinations.TheShippingDepartmentwillsenddatabasereportstothein-countrylogisticspersonshowingarrivalinformation.
Onceshipped,thedocumentswillbesentelectronicallybythefreightforwarderwithoriginalsarrivingviaacourier.OceanfreightispaidtothecarriersbytheShippingDepartment,aswellasinlandfreightforlandlockedcountries.
Commoditiesareshippedundermanydifferenttypesofarrangements.Youneedtounderstandyourproject’sspecificarrangementandensurethatCRSispayingonlythecostsitmustpay,notthecoststhatshouldbesettledbytheshipperorlocalcarriers.
PLAN FOR SUPPLIES AND MATERIALS
Asprojectmanager,youensurethatstaffandpartnershavethematerialsandequipmenttheyneed.Todothis,youshouldworkcloselywiththepurchasingofficerinyourCountryProgramtoassurethattherightmaterialsarriveontime.
Inthissub-sectionyouwill:
• understandkeyelementsoftheCRSPurchasingManual;
• reviewhowtoworkeffectivelywithyourCountryProgram’sPurchasingDepartment;and
• learnabouttheproceduresforpurchasingothermaterialsorservicesnotorderedthroughthePurchasingDepartment.
Review the CRS Purchasing Manual Purchasingcanbeasensitivearea.Withoutcarefuloversight,thesystemcanbeabusedfor
personalprofit.FamiliarizeyourselfwiththeethicalstandardsandpurchasingpoliciesandprocedurescontainedintheCRSPurchasingManual.TheymakeclearwhichpurchasesmustbeconductedthroughthePurchasingDepartment.ThisinformationissummarizedinChecklist5.8.
Checklist5.8:CRS’EthicalStandardsinPurchasing
CRSwillpurchaseallgoodsandservicesonthebesttermsconsistentwiththerequiredquantityanddeliveryandatthelowesttotalcost.
Acquisitionwillbewithoutfavoritismandonacompetitivebasis,wheneverpractical,toobtainmaximumvalueforeachdollarspent.
Allinterestedsupplierswillreceivefairandimpartialconsideration. Affirmativeactionwillbetakentoprovidemaximumpracticalopportunitytominorities,
women,andsmallbusinessestoparticipateassuppliersandcontractors. Thoseresponsibleforprocurementshallcontinuouslyconductsearchesofthemarketfor
newsourcesofsupply.
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Anyformofdiscriminationisprohibited. Allapplicableregulationsandproceduresregardinguseofandaccountingfor
governmentandotherdonorfundsmustbespecificallyfollowed. Employeesshallnotsolicit,request,acceptoragreetoacceptanysignificantgift
fromasupplierorprospectivesupplier.Nomoniesaretobeacceptedasagiftforanyreasonwhatsoever.
Noemployeeshallparticipateintheselectionofavendorifthereisarealorapparentconflictofinterest.
Noemployeemayauthorizehisorherownreimbursementsforexpenses.
Checklist5.9:KeyStepsinPurchasingProcessesattheCountryProgramLevel
Anystaffmembermayinitiateapurchaserequest,calledaPurchaseRequisition. ThePurchaseRequisitionmustbereviewedbytherelevantCRSauthorizingofficial
beforeitissubmittedtothePurchasingDepartment.TheCRSPurchasingManualcontainsdetailsaboutspecificapprovallimits.
ThePurchasingDepartmentgathersthreebidsforalltransactionsof$500ormore. Mostpurchasetransactionsabove$5,000(withcertainexceptions)arereferredtoCRS
headquartersforpricecomparisonandpermissiontopurchaselocally,ifthisisdesired.RefertotheCRSPurchasingManualformoreinformationonwhenpermissiontopurchaselocallymaybegranted.
ABidCommitteereviewsbidsreceivedandselectsthesupplierbasedonquality,price,deliverytime,performanceandotherrelevantfactors.
ThePurchasingDepartmentpreparesaPurchaseOrder,whichisthebindingcontractbetweenCRSandthesupplier.
WhenitemsaredeliveredtoCRS,theyarecheckedforqualityandquantityagainstthePurchaseOrderbysomeoneoutsideofthePurchasingDepartment.
TheFinanceDepartmentwillonlypreparepaymentforgoodswhentheyhaveallthepurchasedocumentationthatshowsitemshavebeendeliveredandareinaccordancewiththetermsofthePurchaseOrder.
NotethatCRSexpectsitspartnerstohaveaPurchasingManualwhichmeetstheagency’sstandards.
Meet with the Purchasing Officer TheCRSPurchasingManualrequiresallCountryProgramstohaveprocurementstaffwhose
jobistopurchaseitemsonbehalfoftheoffice.Itisimportantthatyoumeetwiththepurchasingofficerduringtheearlystagesofprojectplanning.YoushouldreviewtheActivitySchedule,therevisedbudget,andotherrelevantdetailedimplementationplanningdocumentstogether.Table5.7includesalistofissuesyoushoulddiscusstogetheratthistime.
Table5.7:IssuestoReviewwithYourProcurementOfficerduringDetailedImplementationPlanning
Timing
Someitems,especiallyvehicles,takelongertodeliverthanothers.Usethepurchasingofficer’sknowledgeandexperiencetoplanthedatesbywhichyoumustorderitemstohavetheminplacewhenyouneedthem.Alsoconsiderhowthedonormightviewthetimingofapurchase.Forexample,ifyoubuyavehicleattheendofaproject,itmaybedisallowedintheauditbecauseitwasnotusedforprojectactivities.
Unit CostsThepurchasingofficershouldhavebeeninvolvedinprovidingdatafortheoriginalprojectproposalbudget,butcostschange.Discussifthereisstillenoughmoneyinthebudgettobuywhatisneeded.
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Budget
Itisusuallybesttoorderallequipmentatthestartoftheprojectifpossibletoavoidimplementationdelaysorend-of-yearpurchasingfrenzy.However,youmayberestrictedbytheamountofmoneythatisavailableeachyear,orbytheamountthatisapprovedforaparticularpieceofequipment.Ensurethepurchasingofficerisawareofanyconstraintssoyoucanavoidexpensivemistakes.
Donor Regulations
Thedonormightplacegeographicrestrictionsonwhereyoucanbuythegoodsorwherethegoodsaremanufactured.Theymayalsorequireyoutoseekapprovalbeforeyoucanpurchaseanitem.MakesurethatthepurchasingofficerhasacopyoftheAwardAgreementandknowstherulesforyourproject.
AUSGResourceManagementRegulationsMatrixisincludedontheCDROM.
Purchase Other Materials and Services SomematerialsandservicesarenotprocessedbythePurchasingDepartment;checkwithyour
CountryProgramforspecificexceptions,buttheymayincludethefollowing:
• Consulting contracts(unlesssubjecttocompetitivebidding)—refertotheCRSPolicyonConsultants(IndependentContractors);and
• Travel—airtravelbetweencontinentsrequiresalocalapprovalwaiverafterpricecomparisonwiththeCRStravelagency.RefertotheCRSPolicyonTravel.
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PLAN FOR PAYROLL COSTS
Payrollshouldrunsmoothlyandefficiently.ProblemscanbeavoidedifyoucarefullyreadtheAwardAgreement,understanddonorrequirements,aswellasCRSpolicies,andapplytheseinyourdetailedimplementationplanningprocess.Table5.8summarizessomecommonproblems.
Table5.8:CommonCausesofPayrollCostProblems
Key StaffUSGawardsoftenspecifykeystafforkeypositions.CRSmustobtainpriorapprovalfromthedonorifitlaterwishestotransferthenamedstaffmemberoreliminatetheposition.
Approval of All Staff
Somedonors(e.g.,UnitedNationsHighCommissioneronRefugees[UNHCR])mayneedtoapproveeachindividualwhoworksontheproject.Theywilldisallowcostsofanystaffthatdonotappearontheapprovedlist.Youmaybeaskedtoprovidemonthlypayrollrecordsandtimesheetstosubstantiatethecost.
Fixed Amounts
Somedonors(e.g.,ECHO)provideafixedamountperstaffposition,andtheamountappliesirrespectiveoftheactualpayrollcostsincurred.Youneedtobudgetaccordingly.NotethataCountryProgramsalarystructureandscaleforaparticularpositionisalwaysappliedinpracticeregardlessofthedonor’sfixedratebeloworabovethatscale.Thisensuresinternalcoherenceinthesalarystructure.
Uncontrolled Costs
Iftheprojectmanagerisnotfullyinchargeofthestaffassignedtotheproject,thencostscanquicklyrunoutofcontrol.Examplesofthisinclude:staffwhoareonlysupposedtoworkpart-timeontheprojectchargetoomuchtime;non-assignedstaffaredirectedtoworkontheprojectwhenthereisnobudgettocoverthem;staffsimplychargetimetotheprojectbecausetheyknowtheyarebudgetedthere.Thisisparticularlyaproblemwhenimplementationisdelayedorslowerthanexpected.
Alldonorswanttobereassuredthattheyareonlypayingforactualtimeworkedontheprojecttheyarefunding.Indeed,USGA-122costprinciplesstatethatrecipientsmustkeepaccuraterecordsofhoursworked.CRSthereforehasaFinanceEffortReportingpolicywhich requires all staff to submit timesheets.CRS/Financemustensurethatpartnerorganizationshaveasimilarsysteminplace(i.e.,thatactualtimeworkedischargedcorrectlyagainstprojects).
ThemainpointsofCRS’EffortReportingpolicyarelistedinChecklist5.10.
Checklist5.10:MainPointsofCRS’EffortReportingPolicy
CRStimesheetsmustbecompletedbyeachemployeeonanafter-the-factdeterminationofactualactivityandmustrecordactualhoursworked.
Supervisorsareresponsibleforcheckingandapprovingtimesheetsofalltheemployeestheymanagetoensurethattheyareproperlyfilledout,reflectthecorrectnumbersofhoursworked,andthecorrectfundstobecharged.
TimesheetsgototheFinanceDepartment,becausetheyareresponsibleforpreparingpayroll. FinanceDepartmentsmustusethetimesheetinformationtoallocateactualpayroll
chargestoprojectsintheaccountingsystem.
Duringdetailedimplementationplanning,itisthereforeimportantforyoutocommunicate clearly to staff and partners who is eligible to charge time to the project and how much time they can charge .Yourjobduringprojectimplementationistothenmonitoractivitiestoensurethatonlyactualtimeworkedischargedtotheproject.
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DEVELOP PROJECT AGREEMENTS WITH PARTNERS
Sincepartnersimplementprojects,anagreementmustbesignedbetweenCRSandthepartnerbeforeanyfundscanbetransferred.Aseparateprojectagreementiscompletedforeachprojectwithlocalpartners.
Table5.9:TheDifferencebetweenanMoUandaProjectAgreement
MemorandaofUnderstandingarenottheappropriateinstrumentforatransferofpublicorprivateresourcestopartners.Thetransferofpublicresourcestopartnersshouldbemadethrougha projectagreement,otherwiseknownasasub-grantagreementorcontract.Aproject agreement(liketheAwardAgreementwiththedonor)is a legal documentthat protects CRS from potential liability .Projectagreementsclarifyinstitutionalexpectationsandarrangementsinvolvedinprojectimplementation.
TheMoU is essentially a partnership document(seeChapter II, Section 2, pg . 27). MoUsbetweenCRSanditspartnersreflecttheagency’sPartnershipPrinciplesandthemutualunderstandingofthepartiesaboutwhyeachhasenteredintothepartnership,expectations,andhowthepartieswillengageoneanother.Morethanjustadocument,theformulationofanMoUisaprocessfordiscussion,clarificationandnegotiationthatiscriticaltopartnership.Thisprocesscouldtaketwomonthstoayear,andisconsideredjointwork.The Partnership Toolbox: A Facilitator’s Guide to Partnership DialoguehasasectioninChapter 4titledPutting It TogetheroncreatinganMoUwithexercisesthatmaybeusefulinguidingtheprocess.
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Althoughpartnersimplementprojects,CRSisstillaccountabletothedonorforthewholeprojectbecauseCRSistheawardsignatory.You must ensure that the project agreement with the partner includes all the main regulatory terms and conditions to which CRS is bound . InthecaseofUSGawards,thiscanresultinaverylengthydocumentfulloflegaltermsandreferencestoUSGcirculars.Asunwieldyasthismayappear,itisimportantthatyouensurethattherelevanttermsandconditionsflowthroughtothepartnerprojectagreementandthatthepartnerunderstandswhatisrequiredofthem.Inmanycases,theAwardAgreementmayrequireUSGapprovalofallsub-awardagreementssotheycanensurethatkeytermswillbeobservedbyallimplementingparties.
TheOverseasOperationsAgreementPolicyexplainsthedifferencesbetweenprojectagreementsforprivatelyfundedprojectsandothertypesofagreements.CRShasaProjectAgreementtemplateforprivatelyfundedprojectswhichisalsolocatedontheCRSIntranet.AtemplateforUSG-fundedprojectsisbeingdevelopedbyCRS.Contactyourpublicresourcespecialistforthelatestversion.
ThedraftprojectagreementshouldbepreparedbyCRSandreviewedwiththepartner.TheprojectagreementshouldtakethepointslistedinChecklist5.11intoconsideration.
ThinkAboutIt…
Ifyouforgettoincluderegulatorytermsandconditionsinsub-agreementsorprojectagreements,youarecreatingapotentialliabilityforCRS!
Checklist5.11:GuidelinesforDevelopingProjectAgreements
Projectagreementsshouldaccomplishthefollowing:
commitCRStoprovidingonlythefundingthedonorismakingavailable—notmore.Checktheobligatedamountinlocalcurrency!
specifyfinancialandnarrativereportingrequirements. specifywhetherprojectevaluationsarerequired. specifyownershipofprojectassets.ConsulttheAwardAgreementandCRSpolicyasnecessary.
limittheamountoffundingadvancedtothepartnerbaseduponwhatthepartnercanreasonablyspendinthreetofourmonths.CRSrequiresthatpartnersliquidate(i.e.,presentdocumentationtosupportexpenseschargedtotheproject)atleasteverythreemonths.Subsequentcashadvanceswillbeadjustedifanypriorfundingremainsunaccountedforwiththepartner.
clarifythatatleast75%liquidationwithproperdocumentsmustexistbeforenewfundscanbereleased.
takeintoconsiderationthecurrencyofthebudgetandtheamountofflexibilitythepartnerwillhavetomovefundingbetweenlineitems.
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SECTION 4
DOCUMENTING THE DIP
Takeadeepbreath—youhavenearlycompleteddetailedimplementationplanning!TheprojecthasarevisedaccurateActivitySchedule,anoperationalM&ESystem,staffhavebeenrecruitedandtrained,anaccuratebudgetexists,financialandresourcemanagementsystemsareinorder,andcapacitystrengtheningplansareupdatedandclear.
Equallyimportant,themeetings,workshopsanddiscussionsheldduringdetailedimplementationplanninghave:
• strengthenedyourrelationshipswithpartnersandotherprojectstakeholders,includingthefinancestaffinyourCountryProgram;and
• resultedineveryonehavingaclearandsharedunderstandingoftheproject.
EnsurethattheMasterProjectFilehasalloftherelevantdocumentsthatyouandothershaverevisedordevelopedduringdetailedimplementationplanning.Ifdonorshaveotherformats,youshouldhaveenoughinformationfortheirforms.
SET UP OR REVISE PTS DATA
IfyouhavealreadyentereddataaboutyourprojectintothePTSviacompletionoftheNewProjectform,itmayneedupdatingnowthattheDIPisnearlycompleted.ThePTSmanualstatesthatupdatestoprojectinformationshouldoccurassoonastheprojectmanagerisawareofchangestotheproject.ConsulttheappropriatepersoninyourCountryProgramtosubmitanychangesinyourprojecttothePTSdatabase.
RELATED READING
FollowingisalistoftraditionalandonlineresourcesavailableifyouwouldliketoreadmoreabouttheinformationpresentedinChapterV.PleaseseetheReferenceListlocatedattheendofthemanualforacompletelistofalltheresourcesusedtocompileProPackII.
Section 2—Conducting Capacity Strengthening Assessments
• TheAIDSReliefPointofServiceManagementGuideincludesausefulInternalControlAssessmentChecklist.
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• OrganizationalassessmentformscanbefoundinProPack I,Chapter VI, pp . �9�-�93.
• TheCRSProjectProposalGuidance(1999)includesmanyexamplesoforganizationalassessmentsfromoutsidesourcesandbriefguidanceonhowtoundertakethem.AGenderAudit,usedinCRS/Kenya,isalsoincluded.ThisinformationisfoundinthePPGAppendix,pages102-121.
• ContactPQSDforupdatesonconsolidatedandstandardizedorganizationalassessmentandcapacityassessmenttools.
Websites
• http://www.capacity.org/en/knowledge_corners/capacity_building_for_local_ngos
Section 3—Managing Project Resources
• TheCRSIntranethastools and training materials on USG resource managementpertainingtocash,monetization,andcommodities.Thesetrainingmaterialsareavailableat:
• TheCRSPurchasingManualisalsoavailableontheIntranetat:
• PoliciesonpurchasingcontainedintheOverseasOperationsManualinclude:
– ImportationofProgramPropertyforPartnerOrganizations;– InformationTechnology;– PropertyManagement;– PurchaseofProgramProperty;and– SelectionandPurchaseofCRSVehicles.
ThesepoliciesareavailableontheCRSIntranetat:
• OtherusefulCRSresourcesavailableontheProPackIICDROMincludethefollowing:– ProjectTrackingSystemUserManual– CostApplicationGuidance– Facilitator’sGuideandManager’sGuidetoEssentialFinance– MAGIPlanningandAssessmentUser’sGuide– GuidelinesfortheDevelopmentofSmall-ScaleRuralWaterSupplyandSanitation
ProjectsinEastAfrica
CHAPTER VI PROJECT IMPLEMENTATION AND MONITORING
SECTION 1
INTRODUCTION
InChaptersIIItoV,youhavecompletedtheimportantstepsofdetailedimplementationplanning:adetailedactivityplan;acomprehensiveM&Eplanandaplantomanagepersonnelandresources.Thischapterwillhelpyouthinkthroughtheimportantstepsinprojectimplementationandmonitoring.
Figure6.1:ProjectCycleandImplementation
PROJECTMANAGEMENT
Design project Submit
proposal and secure
funding
Complete midterm
evaluation
Complete final
evaluationand close-out
project
Undertake assesment
Writeconcept
note andsecure
support
Initiate“LearningBefore”
Encourage“LearningDuring”
Continue“LearningDuring”
Promote“LearningAfter”
DetailedImplementation
Planning
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
SECTION OVERVIEW
InSection1,youwilldothefollowing:
• reflectonthechallengesofimplementation;
• reviewthedefinitionofimplementation;
• studytheelementsofthisstageoftheprojectcycle;and
• consideryourroleduringprojectimplementation.
ImplementationmeanscarryingouttheDIP.Soundsimple?Thinkagain.Considerthe“FromTheorytoPractice”storyfromCRSJerusalem/WestBank/Gaza,whichdescribesthechallengesofprojectimplementationinarapidlychangingenvironment.
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FromTheorytoPractice:ImplementationduringConflict
TheCommunity-LedVillageRevitalizationProjectwasimplementedinanumberofWestBankvillages.Respondingtoself-identifiedcommunityneeds,theprojectaimedtorevitalizeservicesandbuildcapacitiesinthesectorsofwater,educationandhealth.ProjectpartnersincludedthePalestinianHydrologyGroup,theUnionofAgriculturalWorksCommitteesandtheWomen’sAffairsTechnicalCommittee.TechnicaltrainingandsupportwasprovidedbyministriesandlocalNGOs.
Duringprojectimplementation,theAl-AqsaIntifadabeganalongwithunprecedentedlevelsof
confrontationandmobilityrestrictionswithintheWestBanktownsandvillages.Intense,violentconflictcontinuedthroughoutprojectimplementation.Aclosurepolicywasinstitutedasasecuritymeasuretopreventviolence.ClosuresrestrictedthemovementofPalestinianpeople,vehicles,andgoods.Anetworkofmilitarycheckpoints,roadblocks,andphysicalbarrierswasestablished,impedingtravelbetweenWestBanktownsandvillages.ViolenceandtheserestrictionsonmovementhinderedtheabilityofCRSanditspartnerstoimplementprojectactivities.WhileCRSkeptallofficesopen,areassuchasJeninwereundercompleteclosureforanextendedperiod.
Despitetheseconstraints,anumberoffactorskeptprojectimplementationontrackduringthisverydifficultperiod.Strongcommitment,dedicationandtrustamongCRS,itspartnersandthecommunityweremostimportant.TheCRSteamandtheirpartnerssawtheirworkasamissionratherthanjustajob.Teamworkanddelegationofauthoritywascrucial;colleaguesfilledinforeachotherdependingontheiraccessibility.CRSfieldstaff,partnersandlocalcommunitieshelpedkeepprojectimplementationmovingaheadasplanned.
Asthesituationdeteriorated,staffsoughtevenmorecreativesolutionstogettoworkorouttothefield.StaffwhocouldnotreporttotheCRSofficeswentinsteadtopartnerofficestowork.Staffusedtheirknowledgeofalternativeagriculturalroadstoreachtheirdestinationsduringcurfews.Visitswereroutinelyrescheduleddependingonclosuresandtheshiftingsecuritysituation.CRSstaffalsoregularlyadjustedtheActivitySchedule,enablingthemtomakeupforlosttime.
Reflection Opportunity 1. What is your experience of the best laid project plans beingWhatisyourexperienceofthebestlaidprojectplansbeingdisruptedduetoconflict,instability,changingtrends,shocksorotherevents?
2. How did you and your partners respond with regard to projectHowdidyouandyourpartnersrespondwithregardtoprojectimplementation?
3. Whatknowledge,skillsandattitudeswerevitalforprojectmanagersinthatsituation?
ThestoryfromWestBankillustratesthe flexibility and creativity required during implementation.Havingaroadmapdoesnotpreventyoufromchangingyourroutealongthewayifyoufindthereisheavytrafficorroadworkonyourinitialroute.Inthesameway,havingaDIPdoesnotmeanyoucannotmakechangesasprojectimplementationbumpsupagainstobstaclesandchallenges.
Thisstoryalsohighlightstheimportance of relationships among CRS staff, its partners and community groups and members.Inthisproject,allofthesestakeholdersworkedtogetherduringimplementationand,indoingso,overcamegreatchallenges.
IMPLEMENTATION DEFINED—ART AND SCIENCE
Thedefinitionofimplementationis“tocarryout”or“toputintopractice.”Project implementation involves coordinating people and other resources to carry out the project’s plans in order to achieve the project’s objectives .Translatingplansintoactionisthescience of implementation .
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Yet,aswehavealreadyseen,implementationisfarmorethanjustadministeringaplan.The art of implementation is how well you critically analyze and understand what is actually happening and how easily you respond to challenges by adjusting plans .TheartofimplementationisdramaticallyillustratedinthestoryfromtheWestBank.
Implementationisbasedonasystematicprocessofrigorouslydiscussingwho,what,howandwhen;constantlyquestioning;activelyfollowingup;andensuringaccountability.Accountabilitymeansregularlyandsystematicallyanalyzingtheuseofresources,carryingoutactivities,deliveringoutputsinatimelyfashionandwithinbudget,andachievingtheIR-andSO-levelobjectives—tangiblebenefitstothepeopleweserve.
IMPLEMENTATION WITHIN THE PROJECT CYCLE
Theimplementationstageoftheprojectcycle,asportrayedinFigure6.2,showshowimplementationtakesplacewithinadynamiclearningenvironment:monitoring,learningandthenactingonthatlearningtoensureimprovedperformance.
ImplementationdoesnotimplyunthinkinglycarryingoutaDIPasifitwereanunchangingblueprint. Instead, implementing the DIP is a process requiring flexibility and responsiveness, while never forgetting the central purpose of the project . Animportantfeatureofadynamiclearningorganizationisthatprojectmanagersareempoweredtorespondtounforeseeneventsastheyarise—theirtaskistomanage,notsimplytoadminister,theimplementationofaplan.
Figure6.2:ImplementationStageoftheProjectCycle
ACTTomorrow before leaving,
we will hold two focus group meetings-one with youth and
another with women-to be sure everyone’s perspective is clear. We will discuss this plan with the village elders tonight to get their permission and so that they un-derstand why we want to hold
these additional meetings.
MONITORHow did the meeting go?
We observed that the village elders and chief dominated discussions during the entire
meeting, and that women and youth just stood in the back,
silently observing.
LEARNWhy did this happen? We didn’t realize that it was
culturally inappropriate for men and women to mix in one
meeting. If we only hold this one meeting, we won’t benefit from the perspective of women
and youth in the project dis-cussions. This could lead to a
situation where they are sidelined in the process.
IMPLEMENT:HOLD COMMUNITY
MEETING
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Monitoring,learningandactingtakeplacethroughoutthelifeoftheproject.Forexample,when thefirstcommunitymeetingisheld,learninginfluencesthenextsteps.
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AsyourecallfromChapter II, Section 3,pp . 34-36,organizationallearningdependsinpartonplanningtimeforreflectionandutilizingskillsincritical,analyticalthinking.Similarly,Chapter IV, Section 2, pp . ��7-��8showedustheimportanceofincludingtimeforcriticalreflectioneventsandprocesses.Checklist2.2,QuestionstoFosteraLearningEnvironment,inChapter II, Section 3,pg . 35advisesthatprojectstakeholdersregularlyask,“Whatishappening,andwhy?Whataretheimplicationsfortheproject?Whatshouldwedonext?”
TwoofCRS’GuidingPrinciplesunderpinthisstageoftheprojectcycle.
1 . SubsidiaritySubsidiarity isreflectedinCRS’accompanimentofpartnersduringtheprojectimplementationphase.Itisalsoreflectedintheimplementationanddecision-makingrolesofpartnersandcommunitymemberswhoareinvolvedinandaffectedbytheproject.
2 . StewardshipStewardship isreflectedinthesignificancethatCRSattachestofinanceandM&Einordertoensurethatprojectresourcesareusedcorrectlyandthatresultsareachieved.SeeChapter I, pp . 6-7 forfurtherdiscussionofthesetwoGuidingPrinciples.
CRS’ ROLE IN PROJECT IMPLEMENTATION
ThenatureofaCRSprojectmanager’sinvolvementinimplementationdependsonavarietyoffactors:capacity(knowledge,skillsandattitudes)ofcommunitymembersandpartners;typeandnatureofpartnership;complexityoftheproject;anddemandsofdonors.RememberfromChapter II,Section 2, pp . 24-30,thereisno simple formula for excellent accompaniment of partners .
Nomatterwhatthesituation,CRSprojectmanagersareaccountablefortheprojectoutcomesandformanagingforresults.
Checklist6.1:ProjectManagers’ResponsibilitiesDuringImplementation
buildandmaintaingoodrelationshipswithpartnersandallkeystakeholders. ensurethateveryonekeepstheSOsinsight. helpmonitortheprojecttomaintainprogresstowardsobjectivesandkeepbudgetsontrack. enableadynamiclearningenvironmentviacriticalreflectioneventsandprocesses,and
relatedfollow-up. enablepartnerstoadjusttheDIPtowhatisactuallyhappening. ensurehigh-quality,relevantcapacitystrengtheningoccursviatechnicalassistance,peer
support,training,etc.
fostergoodteamspiritandindividualmotivation. giveongoingcoachingandfeedback. submitregularnarrativeandfinancialreports. enablethepartnertocomplywithdonorandCRSregulationsandconditions.
Theseimplementationresponsibilitiesdemandtheessentialknowledge,skillsandattitudesforprojectmanagersdescribedinChapter II, Section 3, pp . 3�-59ofthismanual.ThestoryfromtheWestBank,forexample,clearlyillustratestheimportanceofskillsandattitudessuchastrust,integrity,teamworkanddelegationduringaccompanimentofpartnersinprojectimplementation.
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SECTION 2
GUIDANCE FOR CAPACITY STRENGTHENING
SECTION OVERVIEW
Mutual capacity strengtheningisacornerstoneoftherelationshipCRShaswithitspartners.Aswrittenearlier,manyorganizationsusetheterm capacitybuilding,butthistermmaybemistakenlyinterpretedtomeanthatnocapacityexistsandthatitmustbebuiltfromscratch.Capacity strengthening recognizes that both partners and CRS have a set of resources, insights and skills that can benefit from capacity assessments and relevant skill-building .Inmanybooksandmanuals,however,capacitybuildingandcapacitystrengtheningareusedinterchangeably.
InSection2,youwilldothefollowing:
• examinegeneralprinciplesofadultlearningapplicabletoanycapacitystrengtheningactivity;
• considerthreebroadstepsofcapacitystrengthening:1)assessandidentifyneedsandresources,2)provideappropriateandinnovativecapacitystrengtheningactivities,and3)followupandmonitoractivities;and
• reviewaselectionofinnovativecapacitystrengtheningideasandactivities.
INTRODUCTION
Duringimplementation,CRSprojectmanagersoftentakeanimportantroleincapacitystrengthening.Considerthe“FromTheorytoPractice”storyfromEthiopiaonthevalueofhigh-qualitycapacitystrengthening.
FromTheorytoPractice:AccompanimentinAction—FromaPartnerinEthiopia
Ouragroenterpriseprojectwasagreatsuccess.Itisanexcellentexampleofatransparent,flexibleandfriendlyrelationship.CRShelpedconnectuswithresearchinstitutionsthatprovideduswithtop-notchtraining.CRSorganizedthistraining,sharedtechnicalinformationandfollowed-up.Continuoustheoreticalandpracticaltrainingworkedwellbecausetheworkshopswereplannedinaparticipatorywayandwerebasedonrealneeds.Linkageswithotherinstitutionsalsoallowedustocommunicate,shareinformationanddocumentlessonslearned.CRSalsoguidedusonfundingprocedures,releasedfundsonatimelybasisandgaveusneededsupportforourfinancialmanagementsystem.
Implementationwentsmoothly—weplannedtogether,trainedtogetherandworkedcloselywithfarmerstounderstandtheirproblemsandviewpoints.CRSfolloweduponouractivityimplementationstatus.Theirvisits,jointmonitoringandevaluation,documentationandreportingwereuseful.Forexample,jointmonitoringhelpedfarmerstobecomemoreawareoftheirproblemsandsuccesses.Altogether,we’vemaderemarkableimprovementsinourinstitutionalcapacity.
Thisproject,partofalargerAgroenterpriseLearningAlliance,usedavarietyofcapacitystrengtheningactivities.ALearning Allianceisalong-termknowledge-sharingcommunityjointlycomposedofstakeholdersatmanylevels,suchasresearch,developmentagencies,policymakersandpractitioners.Thesestakeholdershavecomplementaryknowledgeofgoodpracticesandskillsthattheyshare,adapt,applyandinnovatetostrengthenlocalcapacities,improveperformanceinthefieldandscale-up.TheAgroenterpriseLearningAllianceisaclear example ofmutual capacity strengthening.
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TheAgro-enterpriseLearningAllianceexperienceusedacombinationofcapacitystrengtheningactivitiesoveraperiodoftimethatincludedstudy visits, workshops, training, learning from peers, on-the-job assignments and technical assistance visits .ThepartnerwhowrotethisstorycontinuedhisownlearningbydeliveringtechnicalassistancetoaCRSCountryPrograminanotherregion.
PRINCIPLES OF ADULT LEARNING
Capacitystrengtheningactivitiesarerelatedtolearning—improvingknowledge,acquiringskillsorexaminingattitudes.ThelearnersinthiscasearebusyandprofessionallytrainedCRSandpartnerstaff.Appropriateandwell-plannedlearningactivitiesthatmeetimmediateandrelevantneedsarehighlyappreciated.Poor-qualitylearningactivitiesareawasteoftimeandwilllowerthecredibilityoftheorganizers.Considerthewell-researchedprinciplesofeffectiveadultlearningdescribedinTable6.1.
Table6.1:SelectedPrinciplesofEffectiveAdultLearning
RespectLearnersmustfeelheardandrespectedaspeople.Respecttranscendscultures,andthetaskoftheeducator,trainerortechnicaladvisoristodiscoverhowtoshowrespectinaparticularculture.
Immediacy
Learnersneedtoseetheimmediateusefulnessofnewinformation.Adultsdonothavetimetowasteandwanttolearnwhatwillmakeadifferenceintheirworkorlifenow.Immediacymakesforhighmotivation.Withoutimmediacy,thereisnoenthusiasmandnoexcitement.
Relevance
Learnerslearnfasterandmorepermanentlywhenthesubjectmatterissignificanttothem.Atrainer,coachorpeeradvisor’staskistomakecontentrelevantbyconnectingittothethemesandknowledgeoflearners.Ifadultsdonotseetherelevanceofcontent,nomatterhowcrucialthatcontentistotheteacher,learnersquicklydeterminethattheydonotneedtoknowit.
ActiveLearningismoreeffectivewhenitisactive,ratherthanpassive.Whenalearnertakesanewtheory,conceptorpracticeandtriestouseit,shewillunderstanditmorecompletely,integrateitmoreeffectivelywithpastlearning,andretainitlonger.
(Source: Adapted from Vella �995)
Reflection Opportunity 1. Think about a situation where you helped to organize a learningThinkaboutasituationwhereyouhelpedtoorganizealearningactivity,suchasatrainingworkshop,forpartnersthattheyreallyappreciatedandapplied.
2. What made this learning activity so useful to partners?Whatmadethislearningactivitysousefultopartners? 3. How do your answers to question two above compare to the3. How do your answers to question two above compare to theHowdoyouranswerstoquestiontwoabovecomparetothe
principlesofeffectiveadultlearninginTable6.1?Whatissimilar?Whatisdifferent?
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THE THREE STEPS OF CAPACITY STRENGTHENING
Althoughthereisnoonerecipe,mostcapacitystrengtheningeffortsinvolvethreebroadsteps:
1 . BeforeBefore—assessandidentifyneedsandresources; 2 . DuringDuring—deliverhigh-qualityactivities;and 3 . AfterAfter—followup,monitorandevaluate.
Experienceshowsthatmostcapacitystrengtheningeffortsfocustoomuchonthesecondstepabove.Assessments,thefirststep,shouldbedoneimmediatelybeforeanyeventtoassurethatitisrelevantandmeetstheimmediateneedsofthelearners.Learningtakesholdwhennewlyacquiredskillsareimmediatelyputintopracticeinaworkenvironmentthatenablesfollow-upsupportfrompeersandsupervisors,thethirdstep.
Read Me First!
ThissectionhighlightsselectedcapacitystrengtheningactivitiesthatCRSprojectstaffcommonlymanageduringimplementation.Italsoincludesbriefdescriptionsofsomeinnovativecapacitystrengtheningactivities.Thinkofthissectionasastartingpointforyoutobeginexploringideasaboutcapacitystrengthening.Thenyoucanundertakemorein-depthresearchfordetailedguidanceontopicsthatyoufindinteresting.
Step One: Assess and Identify Needs and Resources Assesscurrentpractices,strengths,weaknesses,andchallengestoensurethatthespecificcapacity
strengtheningactivityisrelevantandimmediate.
ASK
STUDY OBSERVE
Figure6.3:LearningNeedsandResourcesAssessment Acommoncapacitystrengtheningactivityistraining.A pre-training Learning Needs and Resources Assessment asks who needs what and according to whom .Ithelpsuncoverwhatspecificlearnersneedtolearnfromtheirownperspective,aswellasthoseofsupervisors,colleaguesorotherprojectstakeholders;whattheyalreadyknow;andhowtrainingcanbestfittheirsituation.Mostlearningneedsandresourcesassessmentsinvolveasking (individualorgroupinterviews,questionnaires);studying(documentreviews,suchasreportsorjobperformanceevaluations);andobservations(oftraineepractices,relationships,etc.)(Vella1995).
RefertoProPack I, Chapter III, Section 3, pp . 56–57ontheFourDimensionsofNeed.Thesedimensionsareapplicabletolearningneedsandresourcesassessments,aswellasprojectassessments.
Don’t Forget! Essential Knowledge, Skills and Attitudes for Project Managers
Akeyskillinanyexercisetoidentifyneedsandresourcesforcapacitystrengtheningislearningtolisten!ReviewtheFacilitating,
CoachingandCommunicatingsub-sectionsinChapter II, Section 3, pp . 43-48 forwaystoimproveactivelistening.
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Step Two: Deliver High-quality Activities Once learning needs and resources are identified, the capacity strengthening activity can beOncelearningneedsandresourcesareidentified,thecapacitystrengtheningactivitycanbe
refinedanddelivered.Table6.2containsaselectedlistofcapacitystrengtheningactivitiesthatCRSprojectmanagersandpartnershaveimplemented.Somearewell-knownandwidelyused,suchastrainingortechnicalassistance.Othersmaybenewtoyou.
Table6.2:ExamplesofCapacityStrengtheningActivities
Category Examples of Activities
On-the-Job
• Coaching
• Mentoring
• Providingandreceivingfeedback
• Short-termassignments(e.g.,joininganevaluationteam;participatinginanothercountry’sSPPpreparation;andactingasatechnicalreviewer),andtemporarydutyassignments(e.g.,workingasheadofprogramforthreemonths)
• Technicalassistance
Training• Workshops
• Universitycoursesanddistancelearning
• Conferencesandsimilarlearningevents
• Self-study
Awareness-raising and Peer Learning
• Facilitateddiscussions
• Communityorganization
• Communitiesofpractice
• Peerlearning
• Studyvisits
Someofthesecapacitystrengtheningactivitiesaredescribedbelow.Onceagain,thinkofthesedescriptionsasawaytobeginexploringideas.Thenyoucanconductfurtherresearchonthoseofmostinteresttoyou.
On-the-Job
Coaching, Mentoring and Providing and Receiving Feedback Otherchapterswithinformationoncoachingandmentoring areasfollows:
• Facilitating,CoachingandMentoring—Chapter II, Section 3, pp . 43-44;
• Communicating andhowtoprovidefeedbackeffectively—Chapter II, Section 3, pp . 44-48; and
• GuidelinesandToolsforPerformanceManagement—Section 5, pp . 208-2�3ofthischapter.
Short-term and Temporary Duty Assignments IntheAIDSReliefproject,afinancestafferfromoneoftheconsortiummemberswasgivena
short-termassignmenttoaCRSFinanceDepartmenttoassistwithprocessingliquidationsofpartneradvances.Thefinancestaffergainedknowledgeandskills,andtherelationshipbetweenCRSandtheconsortiummemberwasstrengthened.
Temporarydutyassignmentstendtobeatleastonetotwomonths,andassignedstafftakeonresponsibilitiesforacertainsetofactivities.Thesetypesofassignmentsarecommoninemergencyprogramswherestaffareneededquicklytoperformcertainfunctions.Staffhavetheopportunitytobringtheirskillstothesituationandtotrainothers;it’salsoanopportunitytolearnalotaboutemergencyoperations.
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Technical Assistance Ongoingtechnicalassistanceiskey.ThisassistancemaycomefromCRSregionalorheadquarters
technicaladvisors,consultants,partners,governmenttechnicians,otherNGOs,peercommunityworkersorothersources.
Singleeventsdonotachievetheirobjectivesifthereisnofollow-uporsupporttoapplynewknowledgeorpracticenewskills.Checklist6.2willhelpyouorganizeeffectivetechnicalassistance.
Checklist6.2:OrganizingHigh-qualityTechnicalAssistance
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Plan
Develop a SOW to clarify the aims, activities, tasks and deliverables of the technical assistance. Partners and other relevant project stakeholders should always contribute to the SOW content. (Guidelines for developing SOWs are included in Chapter V, Section , pg 36 and Chapter VII, Section 2 pp 237-239� . � . .)
Ensure that logistics are well-organized so that the trip or event runs efficiently. Technical assistance can be costly, so you want to maximize the time that the technical advisor has to spend with the people he needs to work with.
Communicate
Ensure that appropriate briefing and debriefing sessions have been planned. Holding informational meetings with project stakeholders, such as government, Church or other local officials are excellent ways to promote collaboration, support and interest for the project in general.
Balance time spent with staff in headquarters or capital city offices with time spent with staff or project participants in the field as appropriate.
Ensure that the people responsible for continued post-technical assistance support are aware of and involved in activities.
Monitor
Ensure that the technical assistance is going as planned. Monitoring helps you or your partners to uncover any problems early on so you can resolve them. Asking the following questions can help:
• Is the technical assistance provided meeting the quality standards that were outlined in the SOW?
• Are principles of effective adult learning being applied?
• Are standards of high-quality technical assistance being upheld?
• How are staff and partners responding to the assistance being provided?
Evaluate Invite colleagues and partners to evaluate the technical assistance provided;
many CRS Country Programs require this. This helps technical advisors improve their own practices as well.
InordertocompletethelastiteminChecklist6.2,checktoseeifyourCountryProgramorregionhasitsownevaluationformfortechnicalassistance.AsampletechnicalassistanceevaluationformisshowninChecklist6.3.
Checklist6.3:SampleEvaluationFormforTechnicalAssistance
Nameoftechnicalassistanceprovider. Recipients. Purposeoftechnicalassistance(summarizefromtheSOW). Give an overall rating of the technical assistance by checking one choice below.Giveanoverallratingofthetechnicalassistancebycheckingonechoicebelow. Excellent____Good____Adequate____Poor____Unsatisfactory____
What did you like most about what the technical advisor provided? Be specific andWhatdidyoulikemostaboutwhatthetechnicaladvisorprovided?Bespecificandexplainhowitwashelpful.
What would you change about the technical assistance provided?Whatwouldyouchangeaboutthetechnicalassistanceprovided? How will the technical assistance products or deliverables help in the work of thoseHowwillthetechnicalassistanceproductsordeliverableshelpintheworkofthose
whoreceivedassistance? Are there any further comments?Arethereanyfurthercomments? Follow-up/Nextsteps.
(Source: Norem and McCorkle 2006)
CRSprojectmanagersoftenmediatebetweentechnicaladvisorsandthosereceivingtheassistance.Considerthe“FromTheorytoPractice”storyonManagingTechnicalAdvisors,anddiscusstheReflectionOpportunityquestions.
FromTheorytoPractice:ManagingTechnicalAdvisors
LaniisaCRSprojectmanagerwhofeltluckywhenaseniortechnicaladvisoragreedtocomeandprovideassistance.Thisadvisorwasarenownedexpertwithmanyyearsofexperience,andCRSstaffandpartnerswereexcitedabouttheupcomingvisit.Aftertheadvisorarrived,however,thingsbegantogowrong.Theadvisorhadverypoorcommunicationskills,andonthefirstday,unwittinglyinsultedoneoftheseniorCRSstaff.Laniobservedthesituationdeterioratingbutdidnotknowwhattodo.
Reflection Opportunity 1. If you were Lani, what would you do?IfyouwereLani,whatwouldyoudo? 2. Have you ever faced a similar situation? What happened? HowHaveyoueverfacedasimilarsituation?Whathappened?How
didyouresolveit? 3. At what point would you involve your supervisor or CountryAtwhatpointwouldyouinvolveyoursupervisororCountry
Representativeinthissituation?
Training Whentrainingismentioned,aworkshopinahotelconferenceroomcomestomind.Ifyouthink
oftrainingmoreaslearning,youwillrealizeitcanbeundertakeninavarietyofwaysasappropriatefordifferentlearners.Aslistedabove,training can be undertaken through self-study of existing manuals and online resources, at universities or through participation in workshops .
CRSdefinestrainingasaformalprocedureforacquiringtheskills,knowledgeorattitudesrequiredforsuccessfuljobperformance.(CRSGuidelinesforEffectiveTrainingisavailableontheProPackIICDROM.)Ifyouundertakemoretraditionalworkshop-typetraining,ensurethateffectiveadultlearningprinciplesareapplied.Trainingapproachesthathavebeenproventobeeffectiveincludeproblem-posingeducation,transformativelearningorpopulareducation.Thesetrainingapproachesarewell-describedinreferencemanualsandbooks,suchasTraining through Dialogue(1995)andTaking Learning to Task(2001)byJaneVella.
Awareness-raising and Peer Learning
This category refers to learning activities that are structured to provoke changes in attitudesThis category refers to learning activities that are structured to provoke changes in attitudes and practices or to gain knowledge . Facilitationskills,suchasaskingopenquestionsorusingproblem-posingapproachesareusedinthistypeoflearning.The“teacher”isoftenapeerorcolleagueratherthananeducatororexpert.
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Facilitated Discussions LearningConversationsareacommunity-basedlearningactivity.CRS/SouthAsiahasused
thismethodeffectivelywithwomen’sself-helpgroupsinIndia.Alearning conversation is a 30-minute group discussion inspired by simple stories that are relevant and address a group problem .Atrainedfacilitatorintroducesathought-provokingideaorstorytoagroup.Thegroupthendiscussesthestoryandbrainstormssolutionstosimilarproblemstheyface.Learningconversationsareanon-threateningwaytoencouragecommunitymemberstotalkwithoneanother,solveproblemsandbondovercommonsolutions.GuidelinesandsamplestoriesaredetailedinFieldGuide1.2LearningConversations writtenbyCRSandFreedomfromHunger .
Don’t Forget! Essential Knowledge, Skills and Attitudes for Project Managers
ReviewChapter II, Section 2, pp . 24-30 onmotivatingstaffandpartnerstounderstandwhypeerlearningissoeffectiveasacapacitystrengtheningactivity.
FromTheorytoPractice:ALearningConversationSolvesaDilemmainJamaica
AlearningconversationinJamaicausedastoryaboutWomen’sSavingsGroups.Thestorydescribedadilemmainonevillagewhereallthewomenwereenrolledingroupsexceptforthepoorestwhocouldnotaffordthesavingsrate.Afterthediscussion,thewomenwhoparticipatedcreatedanactionplantoencouragepoorwomenintheirowncommunitytojoinWomen’sSavingsGroups.
Community Organization Community organization is a process through which groups identify common problems, issues,
or goals; mobilize resources; and develop and implement strategies for reaching these goals .Learningactivitiestypicallyincludefacilitator-ledproblem-posingsessions.Insomecountries,thesefacilitatorsarecalledanimators.Theyareoftenmembersofthecommunitythemselves.
Inthefollowingproblemposingdrawingfordiscussion(adapted from Hope et al . �995),thewomenfirstsellsomeoftheirmaizeduringtheharvestseasonatalowpricetogetcashforotherneeds,andthenintheplantingseasonwhentheirremainingmaizestocksaregone,theyareforcedtobuymaizeattwicetheprice.
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Inacommunityorganization,communitymembersareofteninvolvedinPRAsandanalysisoftheirownsituationaspartofawareness-raisingandlearning.Meetingsareheldwhereaphoto,picture,shortdrama,orstoryisusedtoraisearelevantproblemorissueaffectingthecommunity,uncoveredduringthePRA.Participantsarethenaskedtoanalyzethisproblemanddecidewhatcanbedonetoresolveit.Thisfeedsintoactionplanningandcommunitymobilizationactivities,suchascommitteeorganization(StetsonandDavis1999).
Communities of Practice Communitiesofpractice aredefinedas“collectionsofindividualsboundbyinformal
relationshipsthatsharesimilarworkrolesandacommoncontext...[they]arenotconstrainedbytypicalgeographic,businessunit,orfunctionalboundaries,butrather[arebound]bycommontasks,contexts,andworkinterests...theword‘practice’impliesknowledgeinaction(LesserandPrusak1999).”Inotherwords,communities of practice are informal groups of people who share similar interests and concerns, and hold a common sense of purpose in order to learn together and create knowledge in a manner that is fluid and self-organizing . Theycollaborate,teacheachother,learn,solveproblemsandjointlydevelopbetterpractices.
SomeCRSstaffwithcommoninterests,suchasM&E,havelistservsthatsupportcommon
learning.Throughlistservmembership,materialssuchasreports,lessonslearned,bestpracticesandotherdocumentsarecirculatedinresponsetorequestsforinformation.
WiththepromotionofnewinformationandcommunicationtechnologiesinCRS,itislikelythatcommunitiesofpracticewillbecomeasignificantelementinanycapacitystrengtheningactivity.
Peer Learning The“FromTheorytoPractice”PeerLearningstoryboxshowshowthiscapacitystrengthening
activityhasbeenpromotedwithintwoCRSprojects.
FromTheorytoPractice:ExamplesofPeerLearning
• Women’sgroupsinHaitiwereinvolvedinHearthnutritioneducationprograms.OnInternationalWomen’sDay,aCRSpartnerplannedacommunitycelebrationsothegroupscouldsharetheirknowledgewithothercommunitymembers.ThewomenwroteandperformedincreativetheaterproductionsabouttheimportanceofVitaminA,optimalchildcareandfeeding,andothertopics.
• PeerAssistisalearningactivityusedinsomemicrofinanceprojects.Duringreviewmeetings,branchmanagersfromhigh-performingbranchessharetheirexperienceswithpeersandanswerquestions.
Study Visits Well-organizedstudyvisitscanbeapowerfultooltopromoteawareness-raisingamongstaff,
partnersandcommunitygroups.
MorningStar, namedforaself-helpgroupinIndia,isathree-dayguidedcross-partnerreview;peerslearnfromeachotherandgaininsightfromsharingexperiences.Thereviewisanopportunitybothtosharegoodworkandtoidentifyopportunitiesforimprovement.Specialattentionispaidtosharingunexpectedresults—calledpleasantsurprises—thathaveemergedduringprojectwork.
Well-organizedcapacitystrengtheningactivitiesthatrespondtorelevantandimmediateneedsareappreciated.Ifnotperceivedasrelevant,learnersquicklydeterminethattheactivityisnotuseful.
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FromTheorytoPractice:GoodandBadExperienceswithStudyVisits
Amixedteamofinternational,national,andpartnerstaffspentadayvisitingagroenterprisegroupssupportedbyCRS/Kenya.Everyonelearnedalotfromobservingthegroupsatworkandaskingquestions.Incontrast,anotherstudyvisitorganizedbyCRSforpartnerstovisitanagroenterpriseprojectandpartnerinEthiopiawaslesssuccessful.Somevisitingpartnerssaidthatthepracticestheysawcouldnotbetranslatedorappliedtotheirownsettingsbecauseofdifferencesinorganizationalsize,capacityandprogrammingexperience.
Reflection Opportunity 1. In your current project, how have you or your partnersInyourcurrentproject,howhaveyouoryourpartnerspromotedlearningfrompeers?
2. What went well? What could have been improved?Whatwentwell?Whatcouldhavebeenimproved? 3. What new peer learning activity do you intend to try out?Whatnewpeerlearningactivitydoyouintendtotryout?
Step Three: Follow-up, Monitor and Evaluate Howdoweknowwhethernewlyacquiredskillsandknowledgearebeingappliedoncethose
trainedhavereturnedtotheirofficesandhomes?Theenabling environmentis an important concept.Ifthecommunity,homeorofficeenvironmentdoesnotencouragetraineestoutilizewhattheyhavelearned,thennomatterhowgoodthetraining,itsvaluewillbelimited.Forexample,ifapartnerlearnsallaboutProPackII,butreturnstoanofficewherethemanagerisresistanttochangingexistingmanagementpractices,thenlittlewillhavebeengainedfromthetraining.Ensure that you, your partners, community members and other stakeholders support and reinforce the application of any newly acquired knowledge or skills .
Follow-upensuresthattheinvestmentincapacitystrengtheningiseffective(Vellaetal.1998).Examplesoffollow-upactionsincludethefollowing:
• checkingthatSOWdeliverablesandplannedreportsfromatechnicaladvisorwerecompleted;
• evaluatingatrainingeventtoseewhatadditionalsupportisneededbytrainees;
• debriefingastudyvisittoanalyzewhatwaslearnedandwhatvisitorsintendtoapply;
• encouragingtraineestousetheirnewknowledgeandskillsasmuchaspossibleinday-to-daywork;and
• monitoringtheeffectivenessofsignificantcapacitystrengtheningteachingandlearninginitiatives,bothduringandafteranyevent.
FromTheorytoPractice:SuccessCaseStudy—EvaluationofaProjectDesignWorkshop
ThismethodwasusedtoevaluatearegionaltrainingworkshoponprojectdesignandtheuseofProPackI.Theevaluationwascarriedoutfivemonthsaftertheworkshopwasimplemented,anditsobjectivesweretoaccomplishthefollowing:
• assessif,andhow,trainedstaffwereactuallyusingchangedknowledge,skillsandattitudesinprojectdesign;and
• measureachievementofworkshopIRsandunintendedresults.
TheSuccessCaseStudymethodinvolvessendingashorte-mailquestionnairetoworkshopparticipants.Theresultshelpidentifywhichparticipantsaremostandleastsuccessfulinapplyingwhattheylearned.Theseparticipantsaretheninterviewedtodeterminethereasonsforsuccessornon-success.
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Thisparticularevaluationrevealedthatparticipantswhoeffectivelyappliedwhattheylearnedinthe
traininghadthefollowing:
• substantialpre-andpost-workshopsupportfromtechnicaladvisorsandseniorCountryProgrammanagerstousetheprojectdesignskillspromotedinProPackI;
• manyopportunitiestopracticeacquiredskillsintheircurrentwork;and
• significantsupportfromfellowCountryProgramcolleagueswhoattendedtheworkshop.
Anotherimportantfactorintheirsuccesswastheworkshop’semphasisoncriticalthinkingskills.Successfultraineeslearnedhowtoadjustprojectdesigntools—ratherthanblindlyapplythem—toamultitudeofsettingsandsituations.
TheresultsofthestudyweresharedwithCountryRepresentativesduringaregionalmeeting.Withthisinformation,theyunderstoodtheconditionsneededtomakethetrainingmoresuccessful.(Evaluation method based on Brinkerhoff 2003)
IfyouhaveassessedcapacityduringprojectdesignortheDIP,youwillhaveaclearbaselineagainstwhichtomonitortheeffectivenessofcapacitystrengtheningactivities.Aftertheactivities,youandyourpartnerscanmonitorprogresswiththeseindicators.
FromTheorytoPractice:MonitoringLocalCommunityCapacityinNiger
InNiger,CRSandotherinternationalorganizationsimplementedTitleIIfoodsecurityprojects.Eachorganizationagreedtousethesameassessmenttoolandindicatorstoranklocalcapacities.Thetoolrevealedcleardifferencesincapacitybetweenoldervillages,whichhadbenefitedfromprojectactivitiesandnewervillages,whichhadnot.Capacitystrengtheningeffortswerethusfocusedonthenewervillages.Thetoolwasalsousedtoassesssub-groups,suchascommunity-basedhealthcommittees.Thisinformationwasusedtotargettrainingtowardsthecommitteesthatneededitthemost.
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SECTION 3
PROJECT MONITORING AND REPORTING
SECTION OVERVIEW
Monitoring is a systematic and continuous process of collecting, analyzing, and documenting information that enables regular reporting on the progress of work over time . Itisabasicanduniversalmanagementtoolforidentifyingthestrengthsandweaknessesinaproject.Projectmonitoringassistsallthepeopleinvolvedinmakingtimelydecisions,ensuresaccountability,andprovidesthebasisforevaluationandlearninginawaythatimprovesthequalityofthework.
Monitoringprovidesearly indications of progressandachievementofobjectives.Ascircumstanceschange,monitoringcanalsohelpdeterminewhetherinitialprojectobjectivesremainrelevantandappropriate.Forthesereasons,monitoringisconductedthroughoutthelifeoftheproject.
Monitoringactivities,ofcourse,includemeasuringindicatorsandtrackingCriticalAssumptionsidentifiedduringprojectdesignandplanning.Itshouldalsoembraceparticipatoryapproacheswherebyprojectstakeholdersareencouragedtoobserveandreportoneventsandchangestriggeredbytheinterventionsandintheenvironmentinwhichtheprojectisoperating.
InSection3,youwilldothefollowing:
• reviewthedefinitionofmonitoring;
• understandtheimportanceofmonitoringandhowitlinkstoevaluation;and
• examinemonitoringguidanceandtoolsforprojectmanagers.
INTRODUCTION
Readthe“FromTheorytoPractice”storyboxandanswertheReflectionOpportunityquestionsthatfollow.
FromTheorytoPractice:MonitoringCanBeGoodforYourHealth!
HamidamanagesaCRShealthprojectinwhichoneoftheSOsistolowertheincidenceofacutechildhooddiarrhea.Theindicatorisa15%reductionofcasesofacutediarrheaseenatthehealthclinic.TheprojecthasseveralIRsdealingwiththepreventionandhomemanagementofdiarrhea.
Fourmonthsintotheproject,HamidaandherteamreviewtheIRdata.Theyseethatcommunitiesareprogressingwithpreventionactivitiesasplanned—latrinesarebeingconstructedalongwithhand-washingfacilities.Activities-levelindicatorsalsoshowthattheprojectisconductingtrainingonoralrehydrationtherapy(ORT)asplanned.ORTtrainingincludesinformationontheimportanceofincreasingfluids,continuedfeedingorbreastfeeding,andusingpackagedOralRehydrationSolution(ORS)topreventdehydration.
Theteambecomesconcerned,however,becausemonitoringdataalsoshowsthathouseholdsarestillnotproperlymanagingdiarrhea.Healthclinicstaffcontinuetoseemanychildrenwithdehydrationandotherseriouswarningsigns.
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Afterholdingdiscussionswithtrainedcaregivers,theprojectteamfindsoutthatwhiletheyunderstandhowtomixORSandwhentoadministerit,theyhavenoaccesstotheORSpackets.Theteammeetswiththecommunityhealthcommitteeandtheclinicstaff.ThehealthclinicstaffexplainsthattheydidnotreceiveORSpacketsaspartoftheirdrugs.HamidaandherteamhelpthecommitteeandthehealthclinicstaffworkoutaplantomakesurethatORSpacketsaremadeavailableatanaffordableprice.Thiswasdoneatalmostnoextracost.Hamidaandherteamarenowconfidentthatthemid-termevaluationwillshowthattheproject’sSOwillalmostcertainlybemet.
Reflection Opportunity 1. If you were Hamida’s supervisor, what feedback would youIfyouwereHamida’ssupervisor,whatfeedbackwouldyouprovidetoherfollowingthisincident?
2. What difference did Hamida and her team’s use of monitoringWhatdifferencedidHamidaandherteam’suseofmonitoringinformationmaketotheproject?
The Results Framework and the Proframe help to promote a results-based, utilization-focused approach to monitoring . Inthepast,projectmonitoringtendedtofocusexclusivelyonlower-levelobjectives—thebusywork.Inputs,Activities,andOutputsweremonitored(i.e.,expendituresandstaffinglevelstracked,numbersofparticipantscounted,etc.).Thistypeofmonitoringhasmanynames,suchasimplementationmonitoring,outputmonitoring,inputmonitoringandprocessmonitoring.Incomparison,results-based,utilization-focusedmonitoring,otherwiseknownasperformancemonitoringorimpactmonitoring,goesbeyondthe“Didtheydoit?”questiontofocuson“Whatactuallychanged?”
Monitoringforresultscombinesthefollowing:
• traditionalimplementationmonitoring;
• assessmentofhigher-levelobjectives;and,mostimportantly,
• decision-makers’useoftheinformation.
IntheHealthstory,HamidaandherteammonitoredActivitiesandOutputsbutkeptthehigher-levelobjectives(IRsandSOs)clearlyinmind.
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FromTheorytoPractice:WhereAretheFish??
OneUNprojectconsistedofdiggingfishpondsforfoodinsecurefarmers.TherewasanOutputstatement,butitwastodig“x”numberoffishpondsratherthantoprovidefishasproteinorasaresourcetotrade.Thisturnedouttobecritical,becausethetargetnumberoffishpondswasachieved,butnonewereeverstockedwithfish!Themonitoringreportsgavenoindicationthatnothinghadbeenachievedintermsoffishresourcesorfoodsecurity.
(Source: ALNAP, 2003 .)
Why Monitor? Monitoring assists managers and other key stakeholders in making appropriate and timely
decisionsthathelpthemcontinuouslyimproveandguidetheirprojectstowardsultimatesuccess.Monitoringcanbeseenasameanstoanend—theendbeinghigher-qualityprojectsandgoodrelationshipswithpartners.
ThinkAboutIt…
Monitoringisasupportactivitythatshouldenhancetheworkofthoseinvolvedinprojectmanagementandimplementation.Monitoringmustneverbecomesoburdensomethatitimpedesimplementation.Ifthisisthecase,revisittheM&Esystemsetupduringdetailedimplementationplanning,andalwaysaskwhoneedstousethisinformationandforwhatpurpose.
Results-based,utilization-focusedmonitoringaccomplishesthefollowing:
• Improves upward and downward accountability .ItcontributestostewardshipbecauseithelpsCRSanditspartnersmanagethesubstantialfundstheyreceive.
• Improves project decision-making .Itprovidesregularandtimelyinformationonprogresstomanagersandalertsthemtoproblemsthatneedattention.
• Focuses staff on impact .Results-basedmonitoringensuresthatstaffkeeptheireyeondesiredimpactandnotjustonday-to-dayoperations.RecallthestoryofHamidaandherteam!
• Strengthens relationships .Ifusedincorrectly,monitoringmaybeperceivedbypartnersaspolicing.Thiswillweakenrelationshipsbecausetrustisdiminished.Insightfulmonitoringcreatesanopenatmospherewherepeoplecanlearnfrommistakesandmakeimprovements.Itencouragessharedlearningandawareness-raisingamongpartners,communitymembersandotherstakeholders.
• Helps advocate for change .Possessinghigh-quality,up-to-date,field-basedmonitoringinformationallowsprojectstoinformlocalandnationalpolicies,andinfluencehowdonorsthinkaboutdevelopment.
• Improves project design . Ifmonitoringdatashowsabigdifferencebetweenwhatwasplannedandwhatisoccurring,decision-makerswillwanttolookmorecloselyatthetheoryofchangeonwhichtheprojectdesignwasbased.Theprojectstrategymayneedadjusting.LightlymonitoringCriticalAssumptionsensuresthatchangesintheenvironmentthatmayinfluenceadjustmentstotheprojectdesign(e.g.,unexpectedshocks,alteredstructuresandsystems,amendedornewmacro-levelpolicies)aretracked.
• Makes allowances for unexpected occurrences. Itisnotpossibletopredicttheoutcomeofaprojectinterventionwithcompletecertainty.Justimaginehowdulllifewouldbeifyoucould!Intheeventthatthereareunanticipatedevents,thentheM&Esystemshouldhavesufficientcapacitytoabsorbanynecessaryadditionalmonitoringthatmayberequired.
ThinkAboutIt…Quality Not Quantity!
Itisbettertotrackafewindicatorswellthantodoapoorjobofmonitoringmanyindicators.
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What Is Monitored? All key aspects of a project are monitored .Inadditiontotrackingobjectivesandindicators,
monitoringisintegratedwithCountryProgrammanagementsystems,particularlybudgetandpersonnel.(SeeSections 4 and 5inthischapterformoreinformationonfinancialmonitoringandperformancemanagement.)
Who Monitors? Monitoring is a day-to-day activity done during project implementation . It is an essential part
of good management—not simply a job done by the M&E officer or unit! ThisiswhyprojectmanagerjobdescriptionsshouldincludeM&Eresponsibilities,suchasfindingwaystoencourageandsupportacommunity’sownmonitoringefforts;makingsuremonitoringisundertakenduringfieldvisits;ensuringthetimelyproductionofprogressreports;analyzinginformationfromthesereportsandprovidingfeedback;overseeingthefinancialmanagementofprojects;facilitatingexchangesoflessonslearned;andencouragingtheuseofM&Edataindecision-making.OtherideasfortheperformanceplanshouldhavebecomeapparentasyoureadthroughChapterIVonestablishinganM&Esystem.
Reflection Opportunity 1. Read your job description.Readyourjobdescription. 2. How would you amend it in light of the above paragraph?Howwouldyouamenditinlightoftheaboveparagraph?
How Does Monitoring Affect Evaluations? Astrongmonitoring system is essential for high-quality evaluations.Why?Goodevaluations
relyuponandbuildontheinformationcollectedandanalyzedduringmonitoring.Forexample,ifmonitoringdatasuggestatrendinaparticulardirection(e.g.,increasingfemaleparticipationatwater-usermeetings),staffcanexploreingreaterdetailwhyandhowthesetrendsareoccurring,aswellasacknowledgethesignificanceofthetrendinthecontextoftheprojectandmakeadjustmentsasneeded.Evaluationscanalsoreviewinformationcollectedduringmonitoringoverthelifeoftheprojectinordertojudgeachievement.Understandingsgeneratedthroughmonitoringwillenableyoutounderstandandexplainfinalevaluationdataandfindings.(SeealsoChapter IV, Section I, pp . 84-85formoreinformationonthedifferencebetweenmonitoringandevaluation.)
Remember,evaluationscomplement—butdonotreplace—monitoring.Monitoringisaimedatprovidingongoingknowledgefordecision-making,whileevaluationimpliesaformaleventataspecificpointintimeduringthelifeoftheproject.
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MONITORING GUIDANCE AND TOOLS FOR PROJECT MANAGERS
ChapterIstatedthatProPackIIdoesnotincludedefinitiveguidanceonmonitoringandevaluation.Instead,onlytheguidanceandtoolsthataremostrelevanttoCRSprojectmanagershavebeenincluded.Moredetailedresourcesexist,however,andthesehavebeenlistedintheRelatedReadingsectionattheendofthischapter.
Inthissub-section,youwilldothefollowing:
• reviewgeneralguidanceformonitoringActivity-,Output-andIR-levelrelatedindicators; • examineguidanceforcommonlyusedmonitoringtools(progressreports,fieldvisits,
projectreviewmeetings,etc.)thatismentionedinmostCRSprojectmanagerjobdescriptions;and
• considerwaystopromotecriticalandsystemsthinkingduringmonitoringactivitiesthatwillenhancelearninganddecision-makingforimprovedperformance.
Monitoring Activity-, Output- and IR-level Indicators Soonafterprojectstartup,stafforpartnerswillbegincollectinginformationontheActivities-
levelindicatorsinlinewiththeM&EOperationsManual;dataontheOutputsandIRswillbecollectedatalatertime.Partnersorstaffwillcollectdataonformscreatedduringdetailedimplementationplanning.Oncethedatahavebeengathered,theywillbecollatedandanalyzedforreportingpurposes.CriticalAssumptionswillalsobetrackedtoseehowtheexternalenvironmentmaybeaffectingprojectimplementation.
InTables6.3–6.5,youwillfindinformationaboutmonitoringActivities,OutputsandIRs.ThisisareviewofsimilarinformationpresentedinChapter IV, Section 2, pp . 96-97 .
Table6.3:MonitoringActivities
Objective Level Information Typically Provided by the Associated Indicators
Activity
• Focusonimplementationprogresstypicallymeasuredthroughmanagementandfinancialtracking,record-keepingsystems,trainingreports,etc.
• Theindicatorsanswerquestionssuchas:o WastheActivitycompletedwithacceptablequalityandasplanned?o Wereplannednumbersandtypesofitemspurchasedanddistributed?o Werethemeetingsheld?o Didthenumbersandgenderofpeopleinthetargetgroupstrained
meettheanticipatedtargets?
Activity-level Indicators
Activity-level indicators will be measured very early on during project implementationActivity-level indicators will be measured very early on during project implementation.TheseindicatorsaremeasuredthroughregularreviewsofActivitySchedules,projectandpartnerstaffworkplans,andcorrespondingbudgetexpenditures.Thisinformationissupplementedbyinformationfromprogressreports,sitevisitsormeetingsthat
indicateproblemsorsuccessesincarryingoutproject Activities.YouwillcontinueworkingwithFinance Departmentstafftomonitortheprojectbudget. ThisisexplainedindetailinSection 4, Financial Monitoring, pp . 20�-206.
Reflection Opportunity 1. Imagine that you are reviewing a CRS project implemented byImaginethatyouarereviewingaCRSprojectimplementedbyanewpartnerwhohaslittleexperience.YoureviewtheActivitySchedulewiththepartnerandvisitafewprojectsitestoobservetheactivitiesalreadyunderway.Youfindthatallactivitieshavebeencompletedontime,withincostandtoanacceptablelevelofquality.
2. What actions should you take as a project manager?2. What actions should you take as a project manager?Whatactionsshouldyoutakeasaprojectmanager?
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Didyouanswer“None?!”Considerhowyoucanreinforce and reward positives.Ifthingsaregoingwell—theDIPisbeingimplementedaccordingtothequalitystandardsthathavebeenset,ontime,andwithinbudget—donotsitbackandrelax!Providespecificpositivefeedbacktothoseresponsible:otherCRScolleagues,staffandpartners.ReviewChapter II, Section 3, pg . 57ontheimportanceofrecognizingandrewardingstarperformersandhowtodoit.Seehowyoucanmaintainthismomentumandcommunicatewhatisworkingwelltootherpartners—oreventothewiderCRSworld.Asadynamiclearningorganization,CRSseekstoensurethatknowledgeisaccessibletoall.
Table6.4:MonitoringOutputs
Objective Level Information Typically Provided by the Associated Indicators
Output
• Focusongoodsandservicesdeliveredthroughsuccessfulcompletionofactivities
• Generallymeasuredbypre-andpost-testtrainingscoresorpracticalassessments;creationofstructuresorsystems;kilometersofroadsornumberofschoolsrehabilitated;andsoon
Output-level Indicators
Output-level indicatorsOutput-level indicatorsallow project managers to measure the quantity and quality of the goods and services delivered .Forexample,manyprojectsinvolvecapacitystrengthening(i.e.,providingpartnersorcommunitieswithnewskills,knowledgeandattitudes).IftheActivitywasatrainingworkshop,theOutput-levelindicatorswouldmeasureparticipantlevelsofunderstandingandtheirabilitytoapplyaskillortoreflectanewattitude.Thisinformationmightbegatheredthroughaself-assessmentofparticipants’increaseinknowledgeviaend-of-trainingevaluations;ademonstrationofanacquiredskill;orcomparisonsofpre-andpost-trainingscoresortests.These indicators are measured immediately following the implementation of project Activities when the Output is delivered . Progressreports,sitevisitsandmeetingswillalsoprovideinformationonthequalityoftheactivitiesundertakenandanyproblemsorsuccesses.
Reflection Opportunity 1. Imagine that you manage a project to construct school latrinesImaginethatyoumanageaprojecttoconstructschoollatrinesandtrainstudentsinhygieneandsanitation.Thelatrineswereconstructedontimeandwithincost,andsitevisitsconfirmedthequalityofthework.Trainingwasalsoprovidedontime;however,apost-trainingevaluationshowednearlynochangesinknowledge,skills,orattitudes.
2. What action should you take as a project manager?Whatactionshouldyoutakeasaprojectmanager?
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Inthissituation,theActivity(training)wascompleted,buttheOutput(increasedknowledge,skills,andchangedattitudes)wasnotdelivered.Uponfurtherquestioning,itturnsoutthatausuallyreliabletrainingorganizationsentanovicetrainerwholecturedthetraineesallweek.Asaresult,manysessionshadverypoorattendance.Onthebasisofthisinformation,youandyourpartnerwillneedtotakedecisionsonhowtoensurethatanexperiencedtrainer,withknowledgeofmoreeffectivelearningmethods,isengaged,andtofindawaytomonitortheActivitymoreclosely.
Table6.5:MonitoringIntermediateResults
Objective Level Information Typically Provided by the Associated Indicators
IntermediateResults
• Focusondemonstrableevidenceofbehavioralchangesuchasadoption,uptake,coverageorreachofOutputs
• TrackedafterOutputshavebeendeliveredandareasonabletimehaspassedfortheirpotentialuptaketohaveoccurred
• Lightlymonitoredatfirst;thenexploredinmoredetailifrequired;andthenformallyevaluatedatmid-termagainstbaselinedata
IR-level Indicators
IR-level indicators focus on demonstrable evidence of a behavioral change by project participants as a consequence of the Outputs that have been delivered . MonitoringIRindicatorsbeginssoonaftertheOutputshavebeendeliveredandoncetheprojectinterventionhashadanappropriateamountoftimetotakeeffect.Forexample,ifwomenricefarmersreceivedtraining(Activity)andhavedemonstratedtheirincreasedknowledgeandskills(Output),youwillhavetowaituntilthericeplantingseasontolearnifthewomenareactuallyusingtheimprovedcultivationtechniques(IR).
Ingeneral,IR-levelindicatormonitoringinvolvesfindingoutthefollowing:
• iftargetedmembersofthecommunityareactuallybeingserved;
• howthosetargetedarereactingtothedeliveryofprojectgoodsandservices(orOutputs);and
• howthebehaviorandperformanceofthosetargetedarerespondingtothoseprojectgoodsandservices.
Youwillwanttostartwith“light” monitoring of IRs early on.Thismayinvolvesimpleinterviewstogetfeedbackfromasmallsampleofcommunitymembers.Theremaybeotherapproachesfordoinginitialmonitoring.Moreformal evaluationsof IR indicators are usually done during the mid-term evaluation.
Havingsaidthat,ifreportsfromtheinitialmonitoringsuggestalackofprogress,thenyouwillneedtodecidewhethermoresubstantialmonitoringisrequiredtoverifyyourfindings,ortofindoutatwhichstepthebehaviorchangeisnotoccurring.Yourgoalistoarmyourselfwithenoughinformationsothatthecorrectmanagementdecisionscanbetakentoensurethat,ultimately,projectperformanceisnotthreatened.
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Reflection Opportunity 1. Imagine that you manage a project supporting extensionImaginethatyoumanageaprojectsupportingextensionservicestopoorfemalefarmers.Contactwithasmallsampleofwomenindicatesthattheyattendedandunderstoodaricecultivationtraining.However,sincereturningtotheirvillage,noneofthemhaveadoptedtherecommendationspresentedatthetraining.
2. What action should you take as the project manager?Whatactionshouldyoutakeastheprojectmanager? Ifyoufindthatthereareunexpectedresponsestotheprojectorparticipantuptakeislower
thananticipated,youandyourpartnerswillprobablywanttoconductamoreformalstudy.IntheReflectionOpportunityabove,youandyourpartnermaydecidetovisitthefarmers,villageextensionworkersandotherkeypeopletotrytounderstandbetterwhatishappeningsothatappropriateandtimelyadjustmentscanbemadetotheproject’sdeliverables.Thismayinvolveanalyzinginmoredetailindividual’sattitudes,perceptions,andbehaviorallinthecontextoftheirlives.(Examplesofsimpletoolsforproblemdiagnosisandanalysisareincludedinthissection.)Basedonthisanalysis,youandyourpartnersmayhavetochangethewayyouareimplementingtheproject.
FromTheorytoPractice:UsingBarrierAnalysis
BarrierAnalysisisanexampleofarapidassessmenttoolthatcanhelpidentifywhyrecommendedhealthbehaviorsarereluctantlyadoptedornotadoptedatall.Thetoolfocusesoneightbehavioralcausestounderstandwhysomeonedoesordoesnotdosomething.Afacilitator’sguideisavailableonline,andmoreinformationislistedinRelatedReadingattheendofthischapter.
AswesawinSection �,pp . �64-�66,thecycleofmonitoring-learning-actingisnormal.ItsimplyreflectstheuncertaintyandriskthatsurroundsCRSprogrammingintherealworldwherewecannotbesureofhowindividuals,householdsandcommunitieswillrespondtointerventions.Agoodprojectmanagerisawareofthisuncertainty,embracesitandseekswaystonavigatethroughit.Assoonassufficientinformationbecomesavailable,thehigh-performanceprojectmanagerwillrespondinawaythatensurestheprojectcanstillachieveitsSOs.
Collecting Monitoring Data Related to SOs NotethatSO-levelindicatorsaremostoftenmeasuredduringprojectevaluation.Youwill,
however,probablybecollectingsomedatarelevanttoSOsasyoumonitorIR-levelindicators.UsingthefemalericefarmersfromthepreviousReflectionOpportunityasanexample,youmayfindthatsomeofthemhaveadoptedthenewtechniques—theIRindicator.SincetheSOoftheprojectistoimprovetheincomewomenderivefrommarketedrice,youmaybeabletostartmonitoringthisaspectoftheprogramonceyouidentifythewomenwhohaveadoptedthenewtechnique.Arethesewomenproducingmore?Aretheysellingmoreatthemarket?Aretheygettingagoodprice?LookatyourSOindicatorstoseeifyoucanstartcollectinginformationeitherinformallyorformallybeforeamid-termevaluation.
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PROGRESS REPORTS
Introduction Progress reports are the primary vehicle for analyzing, summarizing, and communicatingProgress reports are the primary vehicle for analyzing, summarizing, and communicating
monitoring data to managers so they know what is going on and can take any necessary decisions .Progressreportshelpprojectmanagers:
• assess achievements—indicatingpossiblefuturesuccessinattainingtheSOs;
• manage the financial aspects of the project—permittingprogressonactivitiestobecomparedtoexpenditures;
• record what is working, what is not, and why—enablinggooddecision-making;
• facilitate dialogue and learning among stakeholders—facilitatingmutual capacitystrengthening;
• promote a better understanding of the project among stakeholders, some of whom may be distant—enhancingownershipandcommitment;and
• create an institutional memory—contributingtoindividualandorganizationallearning.
(Source: Adapted from Kusek and Rist 2004)
Little is learned from poorly written progress reports .AsoneCRSseniormanagersaid,“Asanagency,weareverygoodattellingpeoplewhatweplantodo;wearenotquitesogoodattellingthemhowwellwehavedone!”
SomeoftheprogressreportingchallengesthatCRSprojectmanagershaveexperiencedarelistedbelow.
ThinkAboutIt…
CRSprojectmanagers’maincomplaintsaboutprogressreportsarethatthey:
• donottellthemaboutprogressagainstobjectives;
• donotincludeevidenceforreportedsuccesses;
• donotanalyzethefindings;
• areviewedasadonorrequirementandnotusedtorecordandinformdecision-making;
• focusonActivitiesanddonotreflecthigher-levelobjectives;
• donotclearlycommunicatesuccessesorchallenges;
• donottellthefullstoryofwhatishappeningattheprojectlocation;and
• sufferfromlimitedwritingskills,orpoorknowledgeaboutwhattoreportonandhowtoorganizetheinformationwithinthereport.
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Well-writtenreportsbringtogethermanyoftheunderlyingelementsofCRS’results-basedutilization-focusedapproachtoimplementingandmonitoringforresults,namelyby:
• makingsurethatthecontentandstylereflectstheinformationanddecision-makingneedsofintendedreaders;
• ensuringthatdocumentsareproducedintimetoinformmanagementdecisions;and
• keepinginmindthatresourcesinvestedinreportingshouldaddvaluetotheunderstandingofprojectimplementation.
Progress Reports: Organizational Learning and Honest Reporting Haveyoueverreadaprojectprogressreportthattoldaverydifferentstoryfromwhatyouknew
tobetrue?Challengesandproblemsoccuronadailybasisinanyproject;however,theyarenotthesameasfailures.Inadynamiclearningorganization,mistakes can help prevent failures if they are used for learning .Itiscommonknowledgethatwelearnasmuchfromfailureaswedofromsuccess.Despitethis,itisnaturalforpeopletoover-emphasize,andevenexaggerate,successwhileminimizingchallengesandfailuresintheirprogressreports.
Reflection Opportunity 1. Do your staff or partners tend to share the good news and hideDoyourstafforpartnerstendtosharethegoodnewsandhidethebadintheprogressreportsyoureceive?
2. What steps has your office taken to guard against this tendency?Whatstepshasyourofficetakentoguardagainstthistendency? 3. Do the monitoring and progress reports you see tend to showDothemonitoringandprogressreportsyouseetendtoshow
thesamefindingsagainandagain? 4. What might this tell you about monitoring, reporting, andWhatmightthistellyouaboutmonitoring,reporting,and
learninginyoursituation?
ReviewChecklist2.2, QuestionstoFosteraLearningEnvironment, inChapter II, Section 3, pg . 35toseeifthereareorganizationalfactorsaffectinghowwellprogressreportsreflectwhatisreallyhappening.
Progress Reports: Who Are They For? High-quality progress reports require clear guidance on content and format to make them easy to
write and read .Thiswillmaximizetheirusefulnessfordialogue,learning,anddata-baseddecisions.Thoseresponsibleforwritingprojectprogressreportsshouldhaveanswerstothefollowingquestions,all of which should have been addressed in Component Two and Three in the M&E system .
1. Who are the intended report readers?Whoaretheintendedreportreaders? 2. What do they need to know?Whatdotheyneedtoknow? 3. What specific questions need to be addressed?Whatspecificquestionsneedtobeaddressed? 4. When do they need the information?Whendotheyneedtheinformation? 5. Is there available guidance regarding the format and length of the report (e.g., as specifiedIsthereavailableguidanceregardingtheformatandlengthofthereport(e.g.,asspecified
bythedonor,localgovernmentorCRS)?
Well-writtenprogressreportshelptoensurethatdecisionsrelatingtoprojectmanagementandimplementationareinformedbydataandanalysis.Theheart of the progress report is a comparison of intended achievements and results with actual achievements .AgoodexampleofthisisthePITTinanannualreport.(SeeGuidelinesforthePreparationandUseofPerformanceIndicatorTrackingTables(PITT)Itisanexcellenttoolforcomparingactualprogresswithyouroriginalplan.Thiscomparisonhelpsyouidentifyanysignificantdeviationsfromwhattheprojectintendedtoachieveinthespecifiedtime.
Iftheprogressreportindicatesthatactivitiesarenotgoingasplanned—anditisimportanttounderstandthattheremaybegoodreasonswhythisisso—managersshouldanalyzewhy,andthendecideuponanappropriateresponse.Onecourseofactionmightbetoobtainadditionalinformationtounderstandbetterwhathasoccurredbeforemakinganyfurtherdecisions.
PROPACKIICHAPTERVISECTION����
Progressreportsalsoincludefinancial information that enables a comparison between actual and planned expenditures.RelatedinformationonliquidationsandbudgetmonitoringisincludedinSection 4ofthischapter(pp . 203-205).
Progress Reports: How Often? It depends on the donor . Who are they, and what are their reporting requirements?Itisunlikely
thatyouwilleverbeinasituationwherethereisnoguidanceonprogressreporting.
WithinCRS,therearetwotypesofprogressreports:quarterlyandyearly.CRS requires annual project progress reports for all privately funded projects.Thesereportsaresubmittedtoyourregionaloffice.CRSstaffareresponsibleforensuringthattheannualreportsarewellwrittenandcontainthebasicinformationrequiredbytheagency.NotetheexamplefromSAROinthe“FromTheorytoPractice”storybox.
FromTheorytoPractice:ReportWritingbyPartnersinSARO
SAROprojectofficerscreatereportingschedulesandformatswithpartnerswhentheysetuptheM&Esystemduringdetailedimplementationplanning.Theseareintegratedwithdonorrequirementssothatpartnersarenotburdenedwithreport-writing.Whenpossible,SAROprojectofficersschedulesitevisitsjustbeforetheprogressreportisdueinordertodiscussanymissinginformation.
In most CRS regions, Country Programs require quarterly progress and financial reports from partners . Theseareusuallysubmitted15to30daysafterthecloseofthequarter.Keepthedonorrequirementsinmind,however,whennegotiatingthereportingschedulewiththepartner.Forexample,CRShastoreportonUSGawardswithin45daysofthequarterend,somakesurethepartnerprovidesitsfinancialreporttoCRSintimefortheagencytomeetthisdeadline.
Inadditiontoyourprojectreview,thequarterlyreportisusedtoliquidateadvancesandapprovefundsforthenextquarter.Thisiswhyitisimportantforyoutocompareexpenditureswithachievements.Inconsistenciesshouldbediscussedwiththepartnerbeforeyouapprovethenextprojectadvance.
ReviewAwardAgreementsforprojectsfundedbyotherprivateorpublicdonorstodeterminethefrequencyofreportingandinformationrequired.MostUSGgrantsrequirequarterlyorbi-annualreportsandhaveaspecificformat.
Makethebestuseofyourprogressreports.Forexample,iftheprojectintendstohostquarterlyprojectreviewmeetings,thenyourdetailedM&Eplanningshouldbesetupsothattheprogressreportisavailablefordiscussionatthesemeetings.ThisiswheretheM&ECalendarcomesinhandy!(SeeChapter IV, Section 2, pg . �2�formoreinformationontheM&ECalendar.)Evenbetter,prepareprogressreportsaweekearlysothatmeetingparticipantshaveanopportunitytoreviewthecontentsinadvance.Thinkofwaystousethestructureofyourprogressreporttosettheagendaforyourquarterlyreviewmeeting.
Planningtheprogressreportscheduleinadvance—andincludingitontheM&ECalendar—willensurethatthereisnolastminutepanicinanattempttomeetthequarterlydeadline!
ThinkAboutIt…
Lookforopportunitiestolinkthecompletionofprogressreportswithotherscheduledlearningevents.
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Progress Reports: Who Writes Them? CRSworkswithawidevarietyofpartners.Somecanwriteexcellentreportswithlittleguidance,
andothersstrugglewitheventhebasicreportingrequirements.Aswithotheraspectsofprojectdesign,youwillhavetoworkwithyourpartnerstodecidewhowilldowhatonprogressreporting.Forquarterlyreportsfrompartnerswithlessexperienceandcapacity,perhapsyouwilldecidetofocuslessonwrittendocumentationanddependmoreondiscussionsinmeetingsandsitevisits.Forthesepartners,CRSstaffmayhavetodraftthefullannualreport,shareitwiththem,andaskthemtoapprovewhatCRShaswritten.
IncaseswhereCRSstaffhelpwithreportwriting,youhaveanexcellentchancetostrengthentherelationshipbyusingthisasanopportunitytodeveloppartnercapacityinworkingwithdataandreportwriting.Partnerstaffwill,overtime,developskillsintheseimportantareasoftheiroperations.
Useyourbestjudgmentandexperiencewhennegotiatingandworkingwithpartnersontheirprogressreportingresponsibilities.Alwaysbeonthelookoutforwaystoaddvaluetothisaspectofdevelopmentwork.
Progress Reports: An Aid to Dialogue As a manager, it is a basic courtesy to acknowledge receipt of a report .Putyourselfintheshoes
oftheauthor;obviously,itisverydiscouragingnottohearbackfromreportreaders.Ifpossible,itisgoodpracticetoprovidecommentsandfeedback—awordofpraise,aquestionorcomment,arequestforclarification.Theseactionsshowinterestinthestaffandpartnerswhohaveworkedhardonthereport,andalsofurthertheideaofprogressreportsasanaidtodialogue.
ThinkAboutIt…
Ifprogressreportsarewellwritten,theyshouldprovokequestionsandcomments.Asthedialoguedevelopsaroundthereport,mutualunderstandingandlearningwillincrease.
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Projectmanagersalsoneedtogetouttothecommunitywheretheprojectisoperating.Thisway,theycanobserve,listen,checkforproblemsandaskquestionsthatencouragestafftotakeprogressreportingseriously.Insum,thereshouldbeplentyofgooddialogueaboutprojectprogress!
Progress Reports: Quarterly, Annual and Final Asmentionedearlier,duringprojectimplementation,thereisanannualandquarterlyprogress
reportingsystem.(Afinalreportisalsodueattheendoftheproject;thisisdiscussedinChapter VII,pg . 255)Whilethetwotypesofreportscontainsimilarinformation,theyeachhaveauniqueidentity,fulfilladifferentpurpose,andrequiredifferentamountsoftimeandefforttocomplete.Table6.6describesthedifferencesbetweenallthreereports.
Table6.6:AnOverviewoftheThreeTypesofCRSProgressReports
Report Characteristics and Length Primary Users
Quarterly
Suggested Length: 4-6pagesofnarrative
• SubmittedbythepartnertoCountryProgram
• IncludesaResultsFramework.
• EmphasizesActivitiesandOutputs,comparedwithplan.
• Summarizeschallengesandassociatedresponsesinbulletpointformat.
• Includesanexpenditurereportandrequestfornextadvanceoffunds.
• Includesplansfornextreportingperiod.
• Partners,CountryProgramstaff,regionaltechnicalstaffforreviewingprogress,challengesandnextsteps.
• Partnersandprojectparticipantstoreviewprogress,challengesandnextsteps.
• UsuallynotcirculatedoutsideofCountryProgramofficeandregionaltechnicalstaff.
Annual
Suggested Length: 10pagesofnarrative
• SubmittedbythepartnertoCountryProgram.
• CountryProgramstaffmayhavetoprovidereport-writingtechnicalassistancewherepartnerslackexperienceandcapacity.
• IncludestheResultsFrameworkandExecutiveSummaryfromproposal.
• Includesabriefsummaryofmajoractivities.
• ReportsonOutputsandanalyzesprogressonIRs(organizedbyIR),comparedwithplan.
• IncludesanupdatedPITT.
• Summarizeschallengesandassociatedresponses.
• Includesafinancialreportandanalysis.
• Describesplansfornextyear.
• Partners,CountryProgramstaff,andregionaltechnicalstaffforreviewingprogress,challengesandnextstepsonanannualbasis.
• Partnersandprojectparticipantstodiscussprogress,challengesandnextsteps.
• CRSworld,becausethisistheofficialdocumentationofprogressforeachproject.Thisdocumentisavailableforotherstolearnfrom;itistheinstitutionalmemory.
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Final
(SeeChapter VII, pg . 255formoreinformation.)
Suggested Length: 15-20pagesofnarrative
• SubmittedbythepartnertoCountryProgram.
• CountryProgramentersanabstractofthefinalreportintoPTS.
• CountryProgramstaffmayhavetoprovidereport-writingtechnicalassistance.
• IncludestheResultsFrameworkandExecutiveSummaryfromproposal.
• IncludesthefinalPITT.
• Includesanoverallassessmentofachievementagainstwhatwasoriginallyplanned.
• IncludestheFinalFinancialReport.
• PartnersandCountryProgramstafftodiscusssuccessesachievedandchallengesencountered.
• CRSworld,becausethisistheofficialdocumentationofprogressforeachproject.Thisdocumentisavailableforotherstolearnfrom;itistheinstitutionalmemory.
• PTS.
Progress Report Formats—Quarterly and Annual
Quarterly Progress Report Format
Asnotedabove,notallpartnersareabletowritegoodprogressreports.Whileyouwillneedsomeinformationinwriting,itcanalsobecollectedthroughdiscussionsinquarterlyreviewmeetingswithpartnersorduringsitevisits.Table6.7showsthekindofinformationyouneedonaquarterlybasis,andwhatwillsupportthereleaseofthenextprojectadvance.RefertoChapter IV, Section 2 pp . 99-��6 onevidence-basedreporting.
Table6.7:QuarterlyProgressReportFormat
Quarterly Progress Reports
1 . Cover Page:Cover Page: Titleofproject,projectnumber,timeperiodcoveredbythereport,anddate
2 . Reference DocumentsReference Documents (Results Framework and Proframe - or donor equivalent)
3 . Progress ReportProgress Report
a. Organize under each IR, report on progress of Activities and Outputs compared with planOrganizeundereachIR,reportonprogressofActivitiesandOutputscomparedwithplan
b.EnsurestatementsaboutprogressarebasedonevidencefromyourM&Esystem
4 . Program AnalysisAnalysis
a. SuccessesSuccesses
b. Problems and challengesProblemsandchallenges
(Note: In each of these areas, you should record unexpected events and the likely implications for the project .)
c. Opportunities to build on successes and address problems and challengesOpportunitiestobuildonsuccessesandaddressproblemsandchallenges
5 . Financial AnalysisFinancial Analysis
a. Report of expenditures against planned budgetReportofexpendituresagainstplannedbudget
b. Explain differencesExplaindifferences
6 . Plans for the Next Reporting PeriodPlans for the Next Reporting Period
a. List major Activities to be carried out, including upcoming M&E eventsListmajorActivitiestobecarriedout,includingupcomingM&Eevents
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Annual Progress Report Format
Thisreportcoversthesamesixpointsofthequarterlyreport,butmoreinformationandin-depthanalysisisrequired.RefertoChapter IV, Section 2 pp . 99-��6forareviewofevidence-basedreporting.
Table6.8:AnnualProgressReportFormat
Annual Progress Reports
1 . Cover Page:Cover Page: Titleoftheproject,projectnumber,timeperiodcoveredbythereport,anddate
2 . Reference DocumentsReference Documents
a. Results Framework and Proframe (or its donor equivalent)ResultsFrameworkandProframe(oritsdonorequivalent)
b. Executive Summary of the proposal (shorten to one page or less, and use for all reports)ExecutiveSummaryoftheproposal(shortentoonepageorless,anduseforallreports)
c. Updated PITT showing actual progress against planned targetsUpdatedPITTshowingactualprogressagainstplannedtargets
3 . Progress Report
a. Organize this by IR (or SO, if the document is a mid-term or final evaluation report)OrganizethisbyIR(orSO,ifthedocumentisamid-termorfinalevaluationreport)
b. Write out the IR objective statement, and comment on any early or anecdotal evidence ofWriteouttheIRobjectivestatement,andcommentonanyearlyoranecdotalevidenceofprogresstowardsachievementoftheIR-levelobjective(ifSO,analyzedatasupportingprogresstowardsSOachievement)
c. List of Outputs delivered during the reporting period, compared to planListofOutputsdeliveredduringthereportingperiod,comparedtoplan
d. Brief summary of major Activities during the reporting period, compared to Activity ScheduleBriefsummaryofmajorActivitiesduringthereportingperiod,comparedtoActivitySchedule
e.EnsurestatementsaboutprogressarebasedonevidencefromyourM&Esystem
4 . Program Analysis
a. Analysis of successes, problems, and challengesAnalysisofsuccesses,problems,andchallenges
b. Comment on Critical Assumptions outside of the project manager’s direct controlCommentonCriticalAssumptionsoutsideoftheprojectmanager’sdirectcontrol
c. Highlight unanticipated events (positive and negative) and their likely implications forHighlightunanticipatedevents(positiveandnegative)andtheirlikelyimplicationsfortheproject
d. Opportunities to build on successes and address problems and challengesOpportunitiestobuildonsuccessesandaddressproblemsandchallenges
5 . Financial Analysis
a. Report of expenditures against planned budgetReportofexpendituresagainstplannedbudget
b. Comment on any major variances between actual and planned expendituresCommentonanymajorvariancesbetweenactualandplannedexpenditures
c. Proposed modifications to the budgetProposedmodificationstothebudget
6 . Plans for the Next Reporting Period
a. List major Activities to be carried out, including any significant M&E activityListmajorActivitiestobecarriedout,includinganysignificantM&Eactivity
Don’t lose sight of higher-level accomplishments!
EncourageCRSstaffandpartnerstoorganizethereport—quarterly,annualorfinal—aroundtheSOsandIRs.Thiswillkeepthemfocusedonthehigher-levelobjectives.Moreover,thefeedbackyouprovidecanalsoencouragereportwriterstofocusonresults,notmerelyonOutputsandActivities.Forexample,thequestionsyouraisemightaskforgreaterdetailonhowhigher-levelachievementismoreorlessaffectedbywhathashappenedatActivitylevel.
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ItmaybethattheQuarterly Report will give relatively greater weight to lower-level objectives,comparedtotheAnnualReport.Thisisareflectionofthedifferenttimeperiodscoveredbyeachreport.Nonetheless,thereisstillroomwithregularquarterlyreportingtomaintain focus on the project’s higher-level objectives.Forexample,thesecondQuarterlyReportcouldhighlighthowprogressatthelowerlevelmightaffectachievementsatIR-and,possibly,SO-level.Again,useyourbestjudgment;thepointistoavoid reporting only the busy work.
FortheCRSprojectentitledVietnamesewithDisabilities,theteamorganizedpartoftheirquarterlyreportingformataroundtheObjectivesasstatedintheproject’sProframe.PartofaquarterlyreportisshowninTable6.9.
Table6.9:ExampleofaQuarterlyReport—VietnamesewithDisabilitiesProject
CRS/Vietnam: Vietnamese with Disabilities Project
SO1: ChildrenWithDisabilitieshavebenefitedfromimprovedandexpandededucationandcommunitysupportsystems
IR: MinistryofEducationandTraining(MoET)leadershaveincludedChildrenWithDisabilitiesintheschoolsystem
Outputs Performance Indicators Progress and Comments
ProvincialeducationofficialsincreasetheirknowledgeandskillstoimplementInclusiveEducation(IE).
#ofprovincialofficialsnationwidewithincreasedIEknowledgeandskills.
Knowledge,attitudes,andpracticesof20officialsin2projectprovincesmeasuredinbaselinesurvey.
MoETlegaldocumentsexplicitlymentioninclusionofChildrenWithDisabilities.
MoETStrategyonEducationofChildrenwithDisabilities(supportedinpreviousCRS/USAIDproject)completedandapprovedbyMinister.
FundamentalSchoolQualityLevelspreparedbyMoETandPEDCdidnotmentionIEandaccessibilityinearlierdrafts;CRSrecommendedthattheybeamendedtodoso.
Evidence-basedpilotofIEinjuniorsecondaryschoolisdeveloped.
#ofnationalworkshopsheldonjuniorsecondaryIE.
Forinternaladministrativereasons,MoETpostponed3national-levelworkshopsplannedforQ1/2006toQ2.
(Source: Adapted from CRS/Vietnam’s Quarterly Report # 2, [January-March 2006], USAID Cooperative Agreement #486-A-00-05-000�9-00, April 24th, 2006)
Write, Share and File the Progress Report Reportwritingissometimesseenasachore!Checklist6.4includestipstomaketheprocessmore
efficientforthewriterandthefinalproductmoreinterestingtothereader.
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Checklist6.4:TipsforWritingProgressReports
Prepareforreportwritinginadvance—thiswillbefacilitatedbyhavingaprogressreportentryintheOperatingManual’sM&ECalendar.
ReferbacktotheformsforreportingthatyoudevelopedforyourM&Esystem(seeChapterIV,Section2).Ifyoudidnotdevelopformsthen,doitaspartofthefirstquarterlyreportandthenusetheseformatsforfollowingquarterlyreports.
Gatherthenecessaryinformationaheadoftimefromyourcolleagues. Informationyouarelikelytorequirewillinclude:ActivitySchedules,thePITT,other
analyzeddata,partnerprogressreports,fieldvisitreports,notesfrominterviewswithprojectstafforprojectparticipants,etc.
Collectthelastprogressreport(hardcopyandcomputerfilecopy). Sections1and2aintheannualprogressreportformatinTable6.8willnotchange
fromreporttoreport,sokeepthisonfile. Usecharts,tables,maps,photos,etc.tobreakupnarrativeandmakethereportmore
readableandsuccinct. Putyourselfintheshoesofthereaderasyoudraftthereport.Keepitbriefandtothe
point;writeshortsentences;anduseclear,simpleEnglish.
PROGRESSREPORTS
Remembertofileyourprogressreportsinyourfilingcabinet!Youwillneedtoaccessthesewhenconductingprojectevaluations,andtheyarerequiredbyauditduringprojectclose-out.
PROJECT
IMPLEMENTATION
DOCUMENTATION
PROJECTXYZ
FIELD VISITS
FieldvisitsbyCRSstafftopartnersareimportantmonitoringandcommunicationopportunities.Fieldvisitsmaycombineobservationsofprojectactivities,discussionswithmembersofthecommunity,progressreportreviewsandprojectreviewmeetings.Inadditiontomonitoringandcommunication,fieldvisitsshouldbeseenasagoodtimetobuildrelationships—sometimesinsurprisingways!
FromTheorytoPractice:SolidarityinAction
Duringonefieldvisit,aCRSprojectofficeraccompaniedherpartnertoobservesomecommunityhealthrallies.Theseweretakingplaceinveryisolatedcommunities,andeveryonehadtotravelondonkeystogetthere.Bumpingalongthepath,stoppingtospeakwithvillagers,sharingasimplelunch,andovercomingdifficultiescrossingariverhelpedtobuildabondamongCRSandpartnerstaff—andprovidedmaterialformanyamusingstoriesoftheirdonkey-ridingskills!
Inanotherprojectsetting,gettingtothevillageswheretheprojectwasoperatingusuallyinvolvedatleastadayoftrekkingbyfoot—oftenmoretime.Travelingatwalkingspeedprovidedanidealopportunityforstaffandotherstakeholderstogettoknoweachotherandtoobservethingsalongtheroutethatmightbeofpotentialvaluefortheprojectsite.
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Insomecountries,goodcommunicationinfrastructureandalimitednumberofpartnerspermitveryfrequentfieldvisitsandinteractions.Inothercountries,fieldvisitsmaybecostlyandlogisticallydifficulttoorganize.Ineithercase,goodplanningwillmaximizetheirvalueandhelpavoidsuperficial,drop-invisitsthatChambers(1983)terms“ruraldevelopmenttourism.”
IntheCRS/SAROregion,fieldvisitsarepreparedwellinadvancewithaclearfield visit plan or SOW and are followed by a trip reportsenttopartnersnomorethanoneweekafterthevisit.Table6.10providesanexampleofpartofatripreportwrittenbytheLINKSLearningCenter.(SeeProPackIICDROMforFieldTripReportTemplate.)
Table6.10:TripReport—LINKSLearningCenter
Likeaprogressreport,
thetripreportshould
beseenasapromptfor
betterdialogue.
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Name Martin Schafer
Place of Travel & Partner visited
Surin, Thailand—Small Enterprise Development (SED)
Date of Travel April 18 – 25, 2006
Contact Person Ms. Nanasip—General Manager (GM)
Executive Summary
Trip was conducted to assist in the preparation for the SED Board of Directors (BoD) meeting and to attend the meeting.
OBJECTIVE ACTIVITIESRESULTS AND DECISIONS
ACTIONS TO BE TAKEN
LESSONS LEARNED
Assist GM in preparation of SED BoD meeting.
Discussed each agenda item.
Assisted GM in planning presentation of items to Board.
GM gained confidence and a good idea on how to discuss items.
BoD members had Excel worksheets and Word documents to help them understand the issues.
BoD was able to make decisions based on well-preparedinformation.
SED GM needs to draft minutes using decisions and instructions document as a guide.
SED GM needs to prepare Loan Agreement.
When assisting a GM to prepare BoD documents, you need more than four days. It will need to happen two weeks before meeting to cover all areas sufficiently, as well as to allow time for printing and collating the materials.
(Source: Adapted from LINKS Learning Center, Manila, Philippines, 2006)
Is your monitoring limited to exchanges with partners in your respective offices? Ensure that you manage your time so that monitoring includes observations and conversations with project
participants . You may learn a lot!
TheguidanceinChecklist6.5addressesthedilemmapresentedinthemonitoringillustrationandhelpstoensurethatfieldvisitsarewell-organizedandmanaged.
Checklist6.5:FieldVisitGuidance
PrepareaplanorSOWforeachvisit.Thisplanshouldincludethefieldvisitobjectives,adraftscheduleofactivities,itineraryandcourtesyvisits,andalistofmaterialsneededforthetrip.
Discussthefieldvisitplanwithyoursupervisor,relevantcolleagues,andpartners.Partnerstobevisitedshouldhelpfinalizethedetailsoftheitinerary,courtesyvisits,etc.
EnsurethatyoucompletetheadministrativeproceduresrequiredbyyourCountry
Program.ThesemayincludefillingoutanAdvanceRequestFormorTravelAuthorizationForm,aVehicleRequestForm,aPurchaseOrderforanairplaneticket,etc.
BringcopiesofrelevantprojectdocumentsfromtheMasterProjectFile.Thesedocumentsmayincludetheprojectproposal,AwardAgreement,ResultsFramework,
Proframe,DIPdocuments,suchastheupdatedActivitySchedule,theM&EOperating
Manualbinder,theupdatedprojectbudget,thelastprogressreportwrittenbyCRSandthepartner,actionplansandthelastfieldvisitreport.
Uponarrival,meetthepartnerandfurtherdiscussorrevisetheplan. Makecourtesyvisits.VisitingChurchrepresentativesandlocalauthorities,evenif
thereisnotanimmediateneed,isveryimportant!Localauthoritiesoftenplaya
roleincoordinatingNGOactivitiesintheirarea,andfrequentinteractionsenhance
communication,demonstraterespectandbuildrelationships . Refinethescheduleofactivitiesforthefieldvisit,whichmayinclude:
—meetingswithprojectstafftodiscussprogressonactivities,problemsand
challenges,andplansmadeordecisionstakentoresolvethem;
—observationsofprojectcontextsoractivities.Takeadvantageofthefieldvisitto
accompanypartnersintheircurrentprojectactivities.Itisvitaltospeakwithprojectparticipantsandthisshouldbepartofanyfieldvisit.Emphasizetheneedto
observeregularactivitiesratherthanspecial,orchestratedevents.Takephotosthat
canbeusedforprogressreportsorontheCRSwebsite;
—discussionsinthefieldwithprojectparticipantstoassesstheirviewsand
opinionsonprojectimplementation; —meetingswithfinancialandadministrativestafftoreviewreceipts,cashbooks,
checkonprojectsuppliesorvehicleslogs;and
—afinaldebriefingmeetingwithrelevantpartnerstaff.
Writeupabrieffieldvisittripreport,focusingonkeyfindingsandrecommendations.
Seethetripreportasawayofpromotingdialogueaboutthesiteyouvisited,thesectorinwhichactivitiesaretakingplace,innovationsyousaw,andsoon.
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Considersendingadrafttripreporttopartnersfortheirfeedback.Thiswillhelpyou
summarizeinformationfromthedebriefingandensuremutualunderstandingofthe
report’sfindingsandrecommendations.Anydialogueyouhavewithpartnersaboutthedraftwillonlyhelptostrengthenthefinalversionofthereport.
SendacopyofthefinaltripreporttopartnersandfileitintheMasterProjectfile.This
helpsyoutodocumentthatadequateprojectmonitoringtookplace.Documentationis
importantbothforprojectcontinuityandmaybearequirementforaprojectaudit.
(Source: Adapted from CRS/SARO Program Manager Orientation Guidelines)
Donor Site Visits CRSmayberesponsibleformanaging
donorsitevisits—sometimeswithlittleadvancenotice.Thesevisitscanbepositiveifwellmanaged.Theycanalsobedisruptiveorstressfulforpartners,forexample,ifsecurityconditionsrequiretime-consumingspecialarrangements.
Inplanningforadonorvisit,itisadvisabletofollowtheFieldVisitGuidancedescribedinChecklist6.5.Mostimportantly,thepurposeofthevisitshouldbecleartoallthoseinvolved.Inaddition,ensurethatyou,yourpartnersandotherprojectstakeholdersareup-to-dateontheproject’sResultsFramework,currentActivities,andfinancialstatus.
Reflection Opportunity 1. Thinkbackonthefieldvisitsmadefortheprojectyoumanage. 2. Which of the guidelines above would have helped to improve them?Whichoftheguidelinesabovewouldhavehelpedtoimprovethem? 3. What would you add to the guidelines based on your own experience?Whatwouldyouaddtotheguidelinesbasedonyourownexperience?
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PROJECT REVIEW MEETINGS
ProjectreviewmeetingsamongCRSstaff,partners,andotherrelevantstakeholdersareimportant critical reflection events.Theyareessentialforaresults-basedmonitoringsystembecausetheyprovideanexcellentopportunitytoreflectoninformationgeneratedbythesystemorothersources,suchasrecentlycompletedevaluationsorobservationsfromsitevisits.
ItishelpfulatsuchmeetingstohavecopiesoftheResultsFramework,orhavetoitpostedonawall.Inthisway,participantscanensuretheconversationrelatestothebroaderprojectaimsandobjectives.Usingthisresults-basedapproach,thosepresentwillfeelencouragedtoraiseimportantissuesthatmightotherwisegetlostinadetaileddiscussionfocusedonprojectactivity.
Projectreviewmeetingsalsoprovideaplanningopportunity;forexample,youcanmakedetailedworkplansfortheperiodbeforethenextmeeting.
Don’t Forget! Essential Knowledge, Skills and Attitudes for Project Managers
Chapter II, Section3, pp . 50-5� includesguidelinesforholdingeffectivemeetings.Likeanyotherproject-relatedmeeting,projectreviewmeetingsshouldbewellplannedandfacilitated.
FromTheorytoPractice:I-LIFE’sProjectReviewMeetingAgenda
InMalawi,theI-LIFEprojectstaffbeginprojectreviewmeetingswithactivitiesthatestablishsafety,trustandrespect.Theseincludeintroductions,awelcomingactivitytohelpmakeeveryonemorecomfortable,AppreciativeInquirytosharewhatisgoingwell,andparticipantexpectations.Inadditiontoreviewingquarterlyreportsandotherprojectmonitoringdata,themeetingincludesadiscussionofchallenges,capacitystrengtheningneeds,partnershipissuesandplanningforthenextquarter.TeambuildingexercisesarealsoscheduledduringtheprojectreviewmeetingtostrengthenrelationshipsamongCRSanditspartners.
Promote Analysis: Ask “Why?” Learningreviews,progressreports,fieldvisitsandprojectreviewmeetingsareexcellent
opportunitiestofocusonexplanatorydataandanalysis—toaddressthe“why”questions.Forexample,monitoringdatamayrevealthatplannedactivitiesarenothappening.Whenyouoryourpartnerslearnthis,itistimetoask,“Why?”Then,youcantakewell-reasonedactionstogetactivitiesbackontrack.Notonlythat,the“why”questionscanlookathowissuesaroundcontinuedprojectprogressarelikelytoaffectprojectsuccessatSO-level,ashighlightedintheDiggingstoryinthe“FromTheorytoPractice”box.
FromTheorytoPractice:DiggingandMoreDigging!
InoneCRSCountryProgram,aTitleIIprojectwaspayingfarmerswithin-kindfoodaidtodigconservationditchesthatwouldreduceerosionlevelsonthenearbyhillsides.Theprojectmanagerwasveryproudoftheextensiveareaoverwhichsuchditcheshadbeenbuilt.However,itbecameevidenttothevisitingteamthateventhoughtheconservationditcheswerebeingcompletedingoodtimeandwithincost,farmerswerenotmaintainingthem.Theproject’sunderlyingtheoryofchangehadassumedthatthefarmerswouldperceivethebenefitsoftheditches,andtherebyfeelsufficientlymotivatedtomaintainthem.Butthiswasnothappening!
Giventhis,itwasclearthattherewaslittlechanceoftheprojectattainingitshigher-levelfoodsecurityobjectives.Inordertomoveforward,abetterunderstandingofwhyfarmerswereunwillingtomaintaintheditcheswouldbeneededhelptheprojectmanagerdecidewhattodotoachieveSO-levelsuccess.
Small,butsignificantstepscanbetakentopromoteanalyticalthinking.RememberhowthiswaspresentedinProPack I, Chapter III, pp . 26–29—theartandscience?
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Checklist6.6:PromotingAnalyticalThinking
Promotedialogueateveryopportunity.Byitsverynature,dialogueencouragesanalyticalthinking.It’sagoodwaytoincreaseunderstandingoftheIHDFramework.
Buildregularcriticalreflectioneventsandprocessesintoprojectmanagementandimplementationprocesses.
Viewmonitoringasalearningprocessthrough“learningreviews”(seeChapterVII,Section1,pp.222-223).Sucheventsuseasequenceofopenquestionstolearnwhythingsarehappening,theireffectsandwhatshouldbedone.Theemphasisisonhonest,openinquiry.
Reviewtheproject’sCriticalAssumptionstoanalyzehowoutsideprocesses,structuresandsystemsmightbeaffectingachievementoftheobjectives.
Askdifferentpeople—staff,partners,participantsandsoon—tosharetheirreasonswhysomethingishappeningasawaytounderstandtheissuefromavarietyofdifferentperspectives.
Expecttheunexpected!Beingopentounplannedevents,outcomesandchangesisanessentialpartoftheresults-basedmonitoringwayofthinking.
Checklist6.7:Examplesof“Open”QuestionsforMonitoringandAnalyzingUnexpectedEvents
Whathashappenedsincewelastmetthatwasunexpected? Howwasitdifferentfromwhatweanticipated? Critically,whatdoesthismeanforprojectimplementation?
Tools for Analysis YoumayfinditusefultoreferbacktosomeoftheanalyticaltoolspromotedinProPack I,
Chapter III, Section 4, pp . 73–83,suchastheproblemtreeanalysis.YoumaywanttoencourageCRSstafforpartnerstoutilizeanalytical tools to dig deeper and analyze more thoroughly implementationsuccessesorchallenges.Strongeranalysis-basedunderstandingwillhelpstaffandpartnerstoresolveprojectimplementationchallengeseffectively.Followingareexamplesoftwoanalyticaltoolsthatmayhelptoexplainwhy.
IHD Framework EveniftheIHDframeworkwasnot
usedduringprojectdesign,reviewing the boxes and categories within the framework can help you analyze implementation successes or challenges.Forexample,ifyouandyourpartnersareimplementingaprimaryeducationproject(whichstrengthenshumanassets),theproject’soutcomesmaybeaffectedbyarecentgovernmentpolicychangearounduniversalaccesstoeducation(structuresandsystems)thatwasnotanticipatedwhentheprojectwasdesigned.AnotherfactormayberisingmorbidityandmortalityrelatedtoHIV/AIDSandtheconsequentlossofhouseholdfinancialassetsduetoillnessanddeath.Thiscouldcausemanyhouseholdstopulltheirchildrenoutofschoolorsendtheirchildrenintothelaborforcetofeedthefamily.
PROPACKIICHAPTERVISECTION����
Figure6.4:IntegralHumanDevelopmentFramework
Structures & Systems
Access
Influence
AssetsSpiritual/Human
SocialPhysical
PoliticalNatural
Financial
Institutions;valuesystems;policies;powerstructures;social,economic,
religiousandpoliticalsystems;
beliefs)
Strategies
OutcomesShocks, Cycles & Trends
Feedback = Opportunities or Constraints
Force Field Analysis ForceFieldAnalysisisusedtolookatfactorsthathelporhinderprogress.Asimplediagramis
used;atthetopofapieceofpaperorachalkboard,youdefinetheproblemorsituationtobeanalyzedandthenlistunderneaththeforcesthathelporhinderitsresolution.Oncetheseforcesareidentified,meetingparticipantscanidentifyanddiscusswaystoincreaseandstrengthenthehelpingforcesandwaystoreduceorminimizethehinderingforces.
AdditionalinformationonIHDFrameworkandForceFieldAnalysisisavailableintheRelatedReadingsectionattheendofthischapter.
Reflection Opportunity 1. What analytical questions or tools have you used with partners1. What analytical questions or tools have you used with partnersWhatanalyticalquestionsortoolshaveyouusedwithpartnersinthecourseofprojectmonitoringtounderstandbetterwhyparticularoutcomeshaveoccurred?
2. What difference did the use of those questions or tools make inWhatdifferencedidtheuseofthosequestionsortoolsmakeintermsoftakingbetterprojectdecisions?
MONITOR, LEARN AND ACT
Recallthecycleinvolvedinimplementation:monitor,learn,andthenact.Ifmonitoringinformationobtainedviaprogressreports,fieldvisitsandprojectreviewmeetingsshowsthatthingsarenotgoingsowell,analyzewhyandtakeinformedactiontogetresults.
Youandyourpartnercandevelopaprocesstofindsolutions,makedecisions,re-plan,makechanges,ortakewhateveractionsarenecessarytoimprovetherelevance,effectivenessandefficiencyoftheproject.SeeChapter VII, Section �, pp 22�-225 .
Documentthelistofneededactions,personsresponsible,deadlinesestablishedandwhoisresponsibleforfollow-up.Thisplanofactioncaninformdetailedplanningforthenextperiodofprojectimplementation.
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Figure6.5:Implementation:
Monitor,LearnandAct
DetailedImplementation
Planning
ACT
LEARN
MONITOR
IMPLEMENT PROJECT
SECTION 4
FINANCIAL MONITORING AND REPORTING
SECTION OVERVIEW
Financialmonitoringfollowsthesame“monitor,learnandact”cycleasmonitoringofprojectindicators.Asprojectactivitiesareimplemented,youneedtodothefollowing:
• regularlycheckthatexpensesareaccuratelychargedtothecorrectbudgetline;
• considerthetrendsinoverallspendingversuswhathasbeenachievedtodate;and
• makeadjustmentstothebudgetandActivityScheduletoensurethattheproject’sobjectivescanbeachievedwiththeremainingmoney.
InSection4,youwilldothefollowing:
• reviewhowfinancialinformationenterstheCountryProgramaccountingsystem;
• reviewthestepsforfinancialmonitoring;and
• examineyourresponsibilitiesasaprojectmanagerfor:(1)expenditureapprovals,(2)QuarterlyFinancialAnalysisreportsand(3)donorfinancialreports.
INTRODUCTION
InChapter V, Section 3, pp . �47-�48, essentialbudgetplanningandmonitoringtaskswere introducedinTable5.6.ThelasttwotasksinthattableconcerningfinancialmonitoringduringprojectimplementationarerepeatednowinTable6.11.
Table6.11:MoreInformationonEssentialBudgeting—FinancialMonitoringTasks
Essential Task Tool Available Frequency By Whom?
7.ReviewProjectSpending
BudgetComparisonReportFullDrillDown
MonthlyProjectManagerandFinanceManager
8.AnalyzeProjectSpendingTrends
QuarterlyFinancialAnalysisReport
Quarterly(January,Apriletc.)
SeniorCountryProgramStaff
The project budget is a plan for spending .Oncespendingstarts,youandyourpartnerhavetomonitoractualexpendituresagainstwhatwasplannedinthebudget.Anydifferences, known as variances, between actual expenditures and the budgetmustbeexamined.Thisanalysisformsthebasisforcorrectiveaction.
FromTheorytoPractice:IllustrationofaBudgetVarianceandCorrectiveAction
ThetrainingbudgetforaprivatelyfundedCRSprojectwas$5,000.Attheendofthefirstyear,theactualexpenditurewasonly$3,500,avarianceof$1,500.Theprojectmanager,incollaborationwithpartnerstaff,decidedthatsincethetrainingworkshophadalreadymettheirobjectives,theywouldusetheremaining$1,500toprovideresourcelibrarymaterialstotrainedpartnerstaff.
PROPACKIICHAPTERVISECTION4�0�
Reviewing and Approving Expenditures You must review documents and approve the expenditures to be charged against the projectsYou must review documents and approve the expenditures to be charged against the projects
you manage .Youmaychoosetodelegatethisresponsibilitytoothersifyourprojectisparticularlylargeorcomplex.SeeChecklist6.8forabetterexplanationofexactlywhatyouareapproving.
Checklist6.8:YourAuthorizationofPartnerExpenses
Bysigningapartnerliquidationreport,adisbursementrequest,orevenatimesheet,youarecertifyingthefollowing:
Theexpenseisallowablewithintheagreedbudget; Theprojectbudgetcanabsorbtheexpensewithoutoverspending; Thedonorsource,projectnumber,accountcodeanddescriptiononthedisbursement
formarecorrect;and Theactivitythatgeneratedtheexpenseactuallytookplace(e.g.,workshop,trip,purchase,
timeworked,etc.).
How Financial Information is Captured by CRS’ Accounting Systems Yourjobasprojectmanageristoensurethatfinancialinformationisaccurateandcomplete.To
dothis,youneedtounderstandtheprocessthatCRSusestorecordexpenditureinformationagainstyourproject.
1. The project manager (or with approval, a headquarters department, regional office orTheprojectmanager(orwithapproval,aheadquartersdepartment,regionalofficeorotherCountryProgram)approvesanexpensetobechargedtoyourproject.
2. The Finance Department prepares a Journal Voucher, which is approved by the CountryTheFinanceDepartmentpreparesaJournalVoucher,whichisapprovedbytheCountryRepresentativeorheadquartersdepartmenthead.
3. Finance staff then enters the information from the Journal Voucher into the accountingFinancestaffthenenterstheinformationfromtheJournalVoucherintotheaccountingsystem.TheCountryProgramaccountingsystemiscalledSunSystems;theheadquarterssystemisJDEdwards.
4. Country Programs send their accounting records to headquarters by the 8CountryProgramssendtheiraccountingrecordstoheadquartersbythe8thdayofthemonthfollowingtheendofeachcalendarmonth.ThisisknownastheMonthEndClose.
5. When all the Month End Close files have been received, HQ extracts expenses that need to beWhenalltheMonthEndClosefileshavebeenreceived,HQextractsexpensesthatneedtobetransferredtootherCountryProgramsandsendsthemviatheIntraAgencyFile.TheseareusuallyenteredintoSunSystemsbytheCountryProgramduringthelastweekofthemonth.
6. AfterenteringtheIntraAgencyFile,theprojectlevelexpenditureinformationonSunSystemsisnowcompletefortheaccountingperiod.TheconsolidatedexpenditureinformationforallCRScountriesanddepartmentscanbeviewedusingtheExecutiveFinancialDashboardontheCRSintranet.
Figure6.6:FinancialInformationFlow
Entered in Country Program’s Sun Database
Appears on Budget Comparison Report (BCR)
Headquarters Incurs Expenses
Country Program Incurs Expense
Other Country Programs Incur Expenses
Extracted by JD Edwards (headquarters)
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ThinkAboutIt… The Intra Agency File
TheIntraAgencyFileisusuallysenttotheCountryProgramaroundthe25thofthemonthAFTERthemonthinwhichtheexpenseswereincurred.Forexample,ahotelbillpaidbyheadquartersinOctoberwillbetransferredtotheCountryProgrambyapproximatelyNovember25th.SoifanotherCountryProgramorheadquartersisspendingmoneyfromyourproject,makesureyouknowwhentheseexpenseshavebeenreceivedinyourofficeandenteredintoSunSystems.
HOW TO MONITOR AND REVIEW PROJECT SPENDING
Review project spending each month . Duringdetailedimplementationplanning,youdiscussedtheformatofthereportsthatyourequirefromtheFinanceDepartment.YoumayalsohaveVisioninstalledonyourworkstation.Visionisaneasy-to-use,Excel-basedapplicationthatenablesyoutogeneratefinancereportsyourself.
Thefollowingfivestepsareofferedasaclear,structuredwaytomonitorprojectspending.Youmaynotnecessarilyfollowthesestepsinexactorder.Useyourjudgment!
Step One: Monitor Partner Spending Ifapartnerreceivesanadvance,theymustreportback(liquidatetheadvance)within90days.
RefertotheKenya Budget Status and Advance Request formforanexampleofaliquidationpackage.Evenifthepartnerisbeingreimbursedforspendingtheirownmoney,CRSrequiresregularreports(atleastevery90days)soexpensescanbecapturedintheaccountingsystemand,ifnecessary,reportedtoourdonor.
Whenthepartner’sfinancialreportingpackagearrivesatCRS,youshouldreviewallthedocumentstoensurethatexpensesarevalid,withinbudget,andtoconfirmthatactivitiesactuallytookplace.Youwillthenapprovethereport(seeTable6.12onthenextpage)andforwardittothefinancemanagerfordetailedverification.
Discuss any errors or disallowed costs with partners . Remember situational leadership from ChapterII,Section1,pg.19! Experiencedpartnerswhosubmithigh-qualityreportsontimewillprobablyneedfewervisitsthananewpartner.Morevisitsshouldtakeplacewithapartnerwhoscoredloweronthefinancialassessment(doneduringproposaldevelopmentorduringtheDIP),whichindicatesaneedforstrongersystemsorinternalcontrols.
Iffinancialmonitoringofapartnerraisesseriouscomplianceissues,CRSshouldsendafollow-uplettertotheheadoftheprojectaskingthattheseissuesbeaddressedandclosedbeforethenextsitevisit,orwithin45–90days.Ifnecessary,discusscomplianceissueswithyoursupervisor,financemanagerandCountryRepresentative.
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Step Two: Review the Details Eachmonth,youshouldreviewaDetailedTransactionReport(alsoknownasafulldrilldown).
Considerbringingtheprojectteamtogethertoassistinthisexercise.You must ensure that all the expenses charged to your project are all of the following:
• coded accurately(toaccountcode,T6sectororactivity);
• allowable(includedintheapprovedbudgetandwithintheapprovedtimeperiod);
• valid(costsforanotherprojectarenotcodedhere);
• authorized(byyouoryourdesignee);and
• complete(areanyexpectedexpensesmissingfromthereport?).
Refertoprogressreportswhentheteammeetstoreviewthesedetails.Thiswillhelptoverifyexpendituresagainstimplementedactivities,suchastravel,trainingworkshops,etc.YoushouldalsoreviewtheitemslistedinTable6.12.
Table6.12:ProjectManagerChecklistforReviewingtheFinancialReport
Advances Made to Employees and Vendors
ThesemustbeliquidatedinaccordancewiththeAccountsReceivablePolicy.Employeeadvancesmustbeliquidatedwithin30days,orwithin5daysofreturningfromabusinesstrip;vendoradvancesmustbeliquidatedperthetermsofthecontractwiththevendororconsultant.
Rememberthattheexpensesforwhichtheadvanceswereusedcannotberecordedagainsttheprojectuntiltheadvancehasbeenliquidated.
Advances Made to Partners
Thesemustbeliquidatedwithin90days. Rememberthatalthoughadvancestopartnersarerecordedasanexpenseas
soonastheadvanceismade,thedetailsofhowthemoneywasspentcannotberecordeduntilthepartnersubmitsafinancialreport.
Status of Funding Ifthedonorisfundingtheprojectininstallments,makesurethat
expendituresdonotexceedincome.
Allocation of Shared Costs
Somecosts,suchasrentandutilities,areallocatedbytheFinanceDepartmentacrossallprojectsusinganappropriateandreasonablemethod.YouneedtounderstandtheallocationmethodologyusedinyourCountryProgram.Thiswillhelpyoutounderstandbetterhowtomonitoryourprojectbudget.
Gain or Loss on Currency Conversation
Localcurrencyadvancesmade,orcashheld,againstyourprojectmaycausegainsorlossestoappearonyourprojectspendingreport.
Youcanhelpmanagethisbyensuringthatadvancesareliquidatedaccordingtopolicyandthatcashforecastsareaccurate.
Ifyoufinderrors,youshouldtelltheFinanceDepartmentimmediately,andfollowuptoensurethatdiscrepanciesareinvestigatedandcorrected.
�04PROPACKIICHAPTERVISECTION4
Step Three: Review the Budget Comparison Report Rememberthatduringthedetailedimplementationplanningprocess,youagreedwiththe
financemanagerontheformatsandschedulefortheproductionoffinancialreports(seeChapter V, Section 3, pp . �47-�5�).Use the Budget Comparison Report (BCR) to compare actual project expenditures with the budget .MakesurethattheBCRispreparedinthecurrencystatedintheagreement.Youshouldcomparebudgettoactualexpensesfor1)thecurrentmonthand2)theperiodsincethestartoftheproject,alsoknownasInceptiontoDate.
Step Four: Explain Any Variances Youshouldbeabletoexplainthereasonsforanyvariances(remember,thesearethe
differencesbetweenactualexpendituresandyourbudget).Possiblereasonsforvariances includethefollowing:
• delaysinhiringkeystaff;
• invoiceswerenotprocessed;
• advancestoavendororanemployeewerenotliquidated;
• partnerliquidationswerenotprocessed;and
• suppliesweremoreorlessexpensivethanbudgeted.
Remember,learningmeansanalyzingandasking“why?”Forexample,“delaysinimplementation”isnotanadequateexplanationforavariance!Whywasthereadelay?Get down to the root cause of the problemsothatitcanbeeffectivelyresolved.
Step Five: Take Appropriate Action Financialmonitoringmayshowthatprojectactivitiesarenotbeingachievedwithinbudget.Or
itmayshowthatifthespendingtrendcontinues,youwillhavemoneyleftoverattheendoftheproject.Half-way to three-quarters through the project, it is helpful to prepare a Financial Projection to estimate how much you are likely to spend .
Youoryourpartnermayneedtoreducecosts,amendtheActivitySchedule,orrevisethebudget.Thesekindsofactionsmayneedtobedoneinconsultationwiththedonor.
FINANCIAL REPORTING RESPONSIBILITIES
Quarterly Financial Analysis Reports CRSrequireseachregiontoanalyzeitsspendingandreportbacktoheadquartersonanyreasons
forunder-orover-spending.OneofyourresponsibilitiesasprojectmanageristoassistyourCountryPrograminpreparingitsQuarterlyFinancialAnalysisreportforsubmissiontotheregion.Thisrequiresyoutoexplainthereasonsforanyvariancesandtrendsinexpendituresfortheprojectsyoumanage.Useinformationfromstepsfourandfiveabovetocompletethisreport.
Donor Financial Reports As a project manager, you play an important role in submitting financial reports to theAsaprojectmanager,youplayanimportantroleinsubmittingfinancialreportstothe
donor.First,asktheFinanceDepartmenttopreparethereport.Then,review it for accuracy, presentation and compliance with donor requirements .
PROPACKIICHAPTERVISECTION4�0�
Forexample,ifyoumanageaUSGproject,itishelpfulforfinancialmanagementiftheinterimfinancialreportfollowstheformatoftheSF-424.Itisunnecessarytocreateanewreportingformatbecause,ifyoufollowedtheCRSCostApplicationGuidance,theproject’sbudgetwillalreadybeinSF-424format.
Finally,the Country Representative or her designate must sign the report . NotethatCRSheadquarterspreparesandsubmitsofficialfinancialexpendituredataforallUSGawardsusingtheSF-269.However,USAIDmissionsandotherU.S.governmentagenciesmayalsorequestperiodicfinancialreportsdirectlyfromCountryPrograms.WhileCRSisundernolegalobligationtoprovideanythingotherthantheSF-269,itisoftenimportantintermsofdonorrelationshipstorespondtosuchrequestsaslongasthereportingrequirementsarenotoverlydifficult.
�0�PROPACKIICHAPTERVISECTION4
SECTION 5
PERFORMANCE MANAGEMENT
SECTION OVERVIEW
InSection5,youwilldothefollowing:
• reviewthedefinitionofperformancemanagement;
• understanditsimportancetoprojectsuccess;and
• reviewkeyguidelinestoperformancemanagement,includingcoachingandprovidingfeedback.
INTRODUCTION
High-qualityperformancemanagementiscrucialtothesuccessofanyproject.Duringprojectimplementation,CRS and its partners are responsible for supporting staff to do their jobs and for monitoring their performance . This kind of monitoring is called performance management .
Detailedimplementationplanningensuredthataperformance management systemfortheprojectwasinplacewithinCRSanditspartners.CRShasitsownagency-wideperformancemanagementsystem.
Researchonhealthyworkplaceshasrevealed12elementsneededtoattract,focusandkeepthemosttalentedemployees.Checklist6.9summarizestheseelements.
Checklist6.9:TwelveElementsNeededtoAttractandKeepTalentedEmployees
Employees need to:
knowwhatisexpectedofthematwork; havethematerials,equipmentandknowledgetheyneedtodotheirworkcorrectly; haveopportunitiestodowhattheydobesteveryday; receiverecognitionorpraisefordoinggoodwork; feelcaredforbyasupervisororsomeoneelseatwork;
receivedevelopmentortraining; feelthattheiropinionscount; feelthattheirjobisimportanttothemissionorpurposeoftheorganization; feelthatco-workersarecommittedtoqualitywork; haveabestfriendatwork; havehadatalkaboutpersonalprogressoverthelastsixmonths;and v haveopportunitiesatworktolearnandgrow.
(Source: Buckingham and Coffin �999)
PROPACKIICHAPTERVISECTION��0�
CRS’performancemanagementsystempromotescommunicationandfrequentfeedbacktostaffinasupportiveenvironmentandisbasedonthe12elementsinChecklist6.9.CRS’systemincludesthefollowing:
• performance planning(describedaspartofthedetailedimplementationplanningprocessinChapter V, Section �, pp . �38-�39);
• development and trainingsothatstaffhavetheknowledge,attitudes,andskillstodotheirjobwell;
• coaching and feedback;
• annual assessmentofperformanceresults;and
• rewards and recognition.
SpecificguidanceonCRS’PerformanceManagementSystemcanbefoundontheIntranet.
ThinkAboutIt…Partners and Performance Management
FormanyofCRS’partners,theconceptofperformanceplanningandmanagementisunfamiliaranditmaytaketimeforthemtoworkcomfortablywithinsuchasystem.Inworkingwithpartnerstostrengthentheirhumanresourcemanagementsystems,youmightbeginbyintroducingtheideaofperiodicreviewsofprojectstaffactivities.Oncetheyarecomfortablewiththisactivity,youcanintroducetheideaofperformanceobjectivesandothercomponents.
Duringimplementation,CRSprojectmanagershaveresponsibilitiesforcoaching and providing feedback toagencyandpartnerstaff.TheimportanceofusingtheseactivitiesaskeyperformancemanagementtoolscanbefoundinChapter II, Section 3, pp . 43-44 .
GUIDELINES AND TOOLS FOR PERFORMANCE MANAGEMENT
Coaching Informalcoachingoccurswhensupervisorsobserveaprojectstaffmemberinactionandthen
providespecificfeedback.Table6.13providesguidelinesforgivingeffectivefeedback.Insteadoflecturing,skilledcoachesaskincisivequestionsthathelpthestaffmembertothinkmorecriticallyaboutheractions.
CRS’ policies require that formal coaching sessions be conducted twice a year .Duringthesesessions,managersasktheirstaffthequestionslistedinChecklist6.10.
Checklist6.10:CoachingDiscussionQuestions
Whatactionshaveyoutakenoverthepastfourmonthstoachievetheobjectiveslistedonyourperformanceplan?
Whathaveyoulearnedoverthepastfourmonths? Whatworkrelationshipsorpartnershipshaveyoubuilt? Whatpartofyourcurrentjobareyouenjoyingthemost?
Whatareyoustrugglingwith?Whatcanwedoaboutthis? Whatwillbeyourfocusforthenextfourmonths? Doesyourperformanceplanneedanyadjustments? WhatcanIdotosupportachievementofyourobjectives?
�0�PROPACKIICHAPTERVISECTION�
Giving Feedback AsstatedearlierinChapter II, Section 3, pp . 47-48,feedbackisavitalandproven,yetunder-used
methodforimprovingstaffperformance.Table6.13featurespracticalguidelinestailoredtoCRSstaffthatyoueithersuperviseorworkwith.Followingtheseguidelinescanmakegivingfeedbackanormal,non-threateningpartofeverydayprojectimplementationandmonitoring.
Table6.13:GuidelinesforGivingFeedback
Be specific and descriptive, but concise
• Givespecific,descriptiveexamplesofthebehaviororperformancethatyouhaveobserved.
• Don’tusejudgmentallanguagelike,“Youareunprofessional.”Instead,say,“Youhavemissedthreedeadlines.”
• Speakonlyforyourself(avoid“Everyoneissaying…”),andrestrictexamplestothingsyouknowforcertain.
Provide positive feedback
• Don’ttakegoodworkforgranted;tellpeoplewhentheydoajobwell.
• Asabove,avoidgeneralpraiselike,“Keepupthegoodwork!”Be specific . Say,“Inoticedthatpartnerswereengagedandpleasedwiththeexcellentpreparationandstrongfacilitationofthelastprojectreviewmeetingyouorganized.”
Direct feedback towards behavior that the person can control
• Saying,“YourEnglishisunclear”isnotaconstructivecomment.Focusonareasthatthepersoncanimprove.
Be direct, clear, and to the point
• Notbeingclearcancreatemisunderstandinganddiscomfort.Don’tleavethepersonguessing.
Time your feedback appropriately
• Feedbackismosteffectiverightafterthebehaviororperformanceoccursorafterit’saskedfor.Ensureprivacy,andallowtimefordiscussion.
• Isthemomentright?Considermorethanyourownneedtogivefeedback.
Be calm• Don’tattack,dump(overload),blameorventyouranger.
• Ifyouarenotcalm,donotprovidefeedbackatthattime.Waituntilyoucooloff.
“When you do x, I feel y” • Say,“Whenyouarelateformeetings,Ifeelfrustrated”insteadof,“Youarealwayslateformeetings!”
Watch out for non-verbal communication
• Avoidgivingfeedbackwithinappropriatenon-verbalgesturessuchasraisedeyebrows,rolledeyes,orasarcasticorhaughtytoneofvoice.
PROPACKIICHAPTERVISECTION��0�
Receiving Feedback Weoftendon’tthinkabouthowtoreceivefeedbackandavoidsolicitingit.Feedbackfromyour
partners,projectcolleagues,orthestaffyousuperviseisaconcretewayofwideningyourJohariWindowpanes(seeChapter II, Section 3, pp . 33-34).Ithelpsyoukeepacheckonandimproveyourprojectmanagementskillsandpractices.
Table6.14:GuidelinesforReceivingFeedback
Solicit feedback in clear and specific areasAsk,“HowmightweasCRSstaffimprovetheusefulnessofourprojectsitevisits?”
Make it a point to understand the feedbackUseparaphrasingskills,andaskclarifyingquestions,suchas“WhatI’mhearingis…”
Help the giver to be specificAsk,“Couldyougivemeaspecificexampleofwhatyoumean?”
Avoid making it more difficult for the giver of feedback
Reactingdefensively,angrilyorarguingareallwaystoturnfeedbackoff.
Don’t give explanationsItmaybehardtoremainsilent,butkeepinmindthatexplanationsoftenseemdefensive.
Show appreciationThankthepersonformakingtheefforttogiveyoufeedback.
Respond to key pointsSaywhatyouintendtodoasaresultofthecommentsyouarereceiving.
Remember that feedback is one person’s perceptions—not universal truth
Keepingthisinmindcanhelpyoutobelessdefensive.Confirmthefeedbackwithotherstodetermineifthereisapattern.
Pay attention to non-verbal feedbackArepeoplefallingasleepasyouspeak?Dotheylookuncomfortable?
Reflection Opportunity 1. HowwouldyouadjustthefeedbackguidelinesinTable6.14tobeculturallyappropriateinyourprojectmanagementsituation?
Multi-rater Feedback Process
Tohelpmanagersandemployeesidentifygrowthandperformanceneeds,CRSstronglyrecommends(thoughitisnotrequired)doingaMulti-rater Assessment,alsoknownasa360-degreeassessment.The employee identifies three to five individuals (supervisor, peer, subordinate, etc .) to provide feedback via a questionnaire,whichisusuallyreturnedtothesupervisortoensureanonymity.Thesupervisorthenpresentsthefeedbacktotheemployeeduringaregularlyscheduledcoachingsession.
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Checklist6.11:TheCRSMulti-raterQuestionnaire
TheCRSmulti-raterquestionnaireasksthreequestionsasfollows:
Whatarethisperson’sstrengths?(Appreciative Feedback) Howcanthispersonbemoreeffectiveinthefuture?(Constructive Feedback) Arethereanyadditionalcomments?
Soliciting Feedback from Partners Whatdoyourpartnersthink?CRS/India’sperformancemanagementsystemincludesaformal
feedbackprocesswherebypartnersevaluatetheagencyaccordingtothecriteriashowninthe“FromTheorytoPractice”storybox.Youmaybeinspiredbythisprocesstoassessyourownskillsintheaccompanimentofpartnersduringprojectimplementation.
FromTheorytoPractice:SolicitingFeedbackfromPartnersinIndia
• Ourorganization’spartnershipwithCRSfosterstwo-waylearningandsharingofideas.
• CRSstaffhaverespondedtoourproposalsandotherrequestspromptly.CRSstaffhavehelpedustoimplementthebestsolutiontoproblemsandneedsidentifiedbythecommunity.
• CRSstaffhavefacilitatedlinkagesbetweenourorganizationandlocalresources(e.g.,training,financial,government,etc.).
• CRSstaffhavefacilitatedlinkagesbetweenourorganizationandotherChurchpartnersfromwhomwehavelearned.
• CRSstafflistencarefullytoourneedsandrealitiesbeforemakingsuggestions.
• CRSstafflearnfromusandappreciatethisopportunity.
Providing Feedback to Partners Whatwouldyoudoifyouobservedapartnerdisrespectingacommunitymemberinvolvedin
aproject?ThisisaverydifficultquestiontoanswerbecauseCRSstaffdonotsupervisepartnerstaff.Youhavetoapplythe“art”ofprojectmanagementtothissituationanduseyourbestjudgment.Whatisthemosteffectivewaytocommunicateyouropinion?Shouldyouprovidefeedbacktothepartnerstaffmemberinquestionortohersupervisor?Howurgentisthesituation?
Youneedtoworkwithintheboundariesofpartnerpersonnelpracticesandprocedures,takingupissueswithleadershipasnecessary.
Reflection Opportunity 1. Imagineyouhavetocommunicatesomehardandbitterdecisionstopartners.Howdoyoudothiswithoutdamagingtherelationship?
Forthesekindsofsituations,theCRSPartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogueincludesinformationoncooperativecommunication.Thisisacommunicationmethodthatpromotespeopleworkingwithyou,ratherthanagainstyou.Cooperative communication helps build productive relationships through the use of positive language and questions .
PROPACKIICHAPTERVISECTION����
FromTheorytoPractice:NegativeversusPositiveLanguage
Considerthesetwosentences:
1.“Ifyouhadbotheredtoreadthereport,youwouldknow…” 2.“Itmightbethatthereportwasn’tclearonthosepoints.Wouldyoulikemetoexplain?”
Thefirstsentencesuggestsblame—thepersonwaslazyoruncaring.Thesecondexplainswhatcanbedone,soundshelpful,andprovideschoices.Thisisanexampleofcooperativecommunication.Herearetwootherexamples:
1.“Theinformationwehavesuggeststhatyouhaveadifferentviewpoint.Letmeexplainourperspective.”
2.“Whatoptionsdoyouseeforgettingpastthatobstacle?”
Analyzing Performance Problems Projectsdependonpeopleandteams.Whenstaffsuccessfullyimplementtheirto-dolists,meet
theirworkplans,achieveperformanceobjectivesandworkwellwithinteams,theprojectitselfismorelikelytoreachtargetsandobjectivesontime.Performancedifficultiescanbeminimizedif,whenrecruitingorassigningstaff,youseektomaximizetheuseoftheirtalentsinsteadofencouragingthemtoassumerolesforwhichtheyareunprepared.
If,however,projectstaffmembersarenotworkingaseffectivelyorproductivelyasyouhadanticipated,findoutmoresothatyoucanhelpcorrectthesituation.Followingaresomecommonreasonsforpoorperformance.Onceyoufindoutthereasonsbehindthepoorperformance,youcantakethemostappropriateactiontoimprovethesituation.
Poorjobperformancemayoccurbecausetheprojectstaffmember:
• doesnotknowhowtodohisjob—hedoesn’tfullyunderstandexpectations,hisjobrolesorresponsibilities,orhowtocarryoutassignedtasks;
• isunawarethathisperformanceisunacceptable;
• ishamperedbyunclearlinesofdelegationorauthorityduetotheorganizationalstructureheisworkingwithin;
• isnotproperlytrainedfortheposition;
• isnotadequatelysupervised,guidedorcoached;and
• hasneverreceivedfeedbacktohelpcorrecthisperformance.
Resolving Performance Problems
With Supervised Staff
Takeactionifprojectactivitiesarenotbeingachievedontime.Youorapartnermayhavetore-planpiecesoftheDIP,orprovideon-the-jobtrainingintimemanagement.Ifprojectactivitiesarenotbeingachievedwelloraccordingtoacceptablestandards,youmayhavetoprovidecoaching,bringintechnicalassistanceororganizeashorttrainingcourse.IftheprojectissufferingduetopoorperformancebyCRSstaffandyouhaveidentifiedtheunderlyingreasonswhy,thenyouneedtoresolvetheproblems.Thismayinvolvethefollowingactions:
• reviewingresponsibilitiesandtasks,andmakingsuretheemployeeunderstandswhatisexpectedofher;
• arrangingforadditionaltraining;
• providingclosersupervisionandtheresourcesneededtocarryouttasks;and
• allowingtheemployeetotrytoimproveherperformanceandthencheckingherworkagain.
���PROPACKIICHAPTERVISECTION�
What happens when efforts are made to resolve performance problems but they are unsuccessful? PeterDrucker(1992)advisesthatpoorperformingstaffshouldbegivenclearfeedbackandanotherchancetotryasnotedabove.Thisactionshouldbeclearlydocumented.Ifthingsdonotchange,however,headvisesmanagementaction.Youmaywanttoseeifyoucanshiftjobresponsibilitiessothattheperson’stalentsarebetteralignedwithhisorherjobtasksandresponsibilities—oryoumayhavetotakeamoredifficultdecision.Keepingapoorperformeronthejobisnotagooddecision;itisharmfultotheperson,theprojectandtheorganization.
Takingactiononpoorperformingstaffis,ofcourse,easiersaidthandone.Theremaybelegalorotherconstraintsonsuchactions.YoumustrespectlocallaborlawsandseekadvicefromyourHumanResourcesDepartmentorCountryRepresentativewhenmanagingthesekindsofsituations.
With a Partner
Inthissituation,youcancapitalizeonpastinvestmentsindevelopingastrongrelationshipwithyourpartner,onecharacterizedbytransparencyandopennessaboutbothcapacitiesandconstraints.CRS’PartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogueincludesausefulstrategycalledtheJoint Conflict Management Process.ThiscanhelpifaconflictdevelopsbetweenCRSanditspartnersinthecourseofprojectimplementation.ThefourpartsoftheprocessaredescribedinTable6.15.
Table6.15:TheFourPartsoftheJointConflictManagementProcess
PartOne Discussandanalyzetheconflict
PartTwo Findanappropriatetimeandplacetodiscusstheconflict
PartThreeDiscussitbycarefullysettinggroundrules,lettingeachpersondefineanddiscusstheproblem,identifyingunderlyingmutualinterests,summarizingnewunderstandingsoftheconflict,andfindingmutuallysatisfyingsolutions.
PartFour Followuptoseeiftheconflicthasbeeneffectivelyresolved.
ConsultthePartnershipToolboxforspecificdetailsonthisprocess.TheToolboxoffersmanyadditionalideasandresourcesformanagingpartnerrelationsandpossibleconflictsduringprojectimplementation.
Talktoyoursupervisorifyouareexperiencingwhatyouconsidertobeseriousproblemswithyourpartnersinprojectimplementation.
PROPACKIICHAPTERVISECTION����
Rewards and Recognition AsdiscussedinChapter II, Section 3,pg . 57,rememberthatthekeytoretainingtalentedstaffis
recognizingandpraisingthemforgoodwork.Providingspecific,descriptive,positivefeedbackisaprovenandeffectiveperformancemanagementtool—butonethatisunder-used.Regularappreciation,activeinterestandsupportcandoalottomotivatestaffandpartners.
Inadditiontopositivefeedback,appreciationwithinCRSisconveyedthrough“spotawards,”publicrecognition,certificates,annualserviceawardsandthroughthePerformanceManagementSystem.Providingopportunitiesforstafftogoontemporarydutyassignmentsisanotherwayofrecognizinghardworkandtalents.
RELATED READING
FollowingisalistoftraditionalandonlineresourcesavailableifyouwouldliketoreadmoreabouttheinformationpresentedinChapterVI.PleaseseetheReferenceListlocatedattheendofthemanualforacompletelistofalltheresourcesusedinProPackII.
Section 2— Guidance for Capacity Strengthening
• Checkwithyourregionfortested,widelyusedcommunityorganizationandcapacitystrengtheningmanuals.Forexample,inEastAfrica,Training for Transformation(Hopeetal.1995)isamanualwithmanytools,trainingsessiondesigns,andideasthatareappropriateforcommunity-basedcapacitystrengthening.
• Norem,R.H.andC.M.McCorkle.April2006.Capacity Building Guidance: Guidelines and Tools for Getting the Most from your Technical Assistance,Version1.0.Baltimore:CRS.
• Vella,J.1995.Training Through Dialogue: Promoting Effective Learning and Change with Adults.SanFrancisco:Jossey-BassPublishers.
• Vella,J.2001.Taking Learning to Task: Creative Strategies for Teaching Adults.SanFrancisco:Jossey-BassPublishers.
• Vella,J.,P.BerardinelliandJ.Burrow.1998.How Do They Know They Know: Evaluating Adult Learning.SanFrancisco:Jossey-BassPublishers.
Websites Therearemanywebsitesoncapacitystrengthening.Someofthebestarelistedbelow.
• http://www.intrac.org INTRACprovidestraining,consultancy,andresearchservicestoorganizationsinvolved
ininternationaldevelopmentandrelief.Onthewebsite,youwillfindlinkstoapraxisinterchange—aresourceallowingpeopletoconnectandsharetheirknowledgeofresearchandpracticeincapacitystrengthening.
• http://www.impactalliance.org HostedbyPACT,theImpactAlliance:StrengtheningLocalCapacitiesforPositiveSocial
Changesiteincludesaresourcecenterwithbooks,articles,websites,conferences,aswellasotherinformation.Thesitealsohostsonlinecommunitiesrelatedtocapacitystrengthening.
• http://www.capacity.org IncludesamanualforcapacitybuildingforlocalNGOs.
• ResourcesusedinmanyoftheProPackItrainingworkshopsareavailableonthePQSD/M&EIntranetsite.PleasecontacttheM&Eteamshouldyouexperiencedifficultiesaccessingtheavailablematerials.
Section 3— Project Monitoring and Reporting
• JohnsHopkinsUniversityCenterforCommunicationProgram.2005.StepstoBehaviorChange.http://www.jhuccp.org/research/behviorchange.shtml.
• CRS.August2004.ProjectTrackingSystem(PTS)UserManual.Version1.1.Baltimore:CRS.
• Afacilitator’sguidetoBarrierAnalysisisavailableonlineatthefollowingwebsite: http://barrieranalysis.fhi.net/ • McMillan,D.E.andG.O’G.Sharrock.2007.Guidelines for the Preparation and Use of
Performance Indicator Tracking Tables (PITT) .OneofaseriesofmodulesdevelopedjointlybetweenAmericanRedCrossandCRS.Baltimore:CRS.
Websites
• www.mindtools.com ThiswebsitehasmoreinformationonForceFieldAnalysis.
��4PROPACKIICHAPTERVISECTION�
CHAPTER VII PROJECT EVALUATION AND CLOSE-OUT
SECTION 1
EVALUATION—DEFINITIONS AND TYPES
SECTION OVERVIEW
Figure7.1:ProjectCycleandEvaluation
PROJECTMANAGEMENT
Design project Submit
proposal and secure
funding
Complete midterm
evaluation
Complete final
evaluationand close-out
project
Undertake assesment
Writeconcept
note andsecure
support
Initiate“LearningBefore”
Encourage“LearningDuring”
Continue“LearningDuring”
Promote“LearningAfter”
DetailedImplementation
Planning
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
Yourprojectisnowwellunderway.Abaseline(onetypeofevaluation)hasbeencompleted.Attheoutsetofprojectimplementation,youandyourpartnersbeganmonitoring,reportinganddisseminatinglearning.Thenyouacteduponitbytakinginformedmanagementdecisionstobuildonsuccessesandmakeimprovementsorcorrectionstoproblemsyouidentified.Asimplementationproceeds,youwillnowundertakeevaluationactivities.IfyoufollowedtheproposalformatinProPack I, Chapter V, Section 4, pp . �67–�68,youwillalreadyhaveadescriptionofamid-termandfinalevaluationforyourproject.
Evaluationsarecostlyandeventhesimplesttakestime.Carefulthoughthastogointoplanningaworthwhileevaluation.So why evaluate?Theprojectcyclediagram(Figure7.1)suggeststhatwhatislearnedfromanevaluationwillinfluencefuturedecisionsinyourcurrentproject,aswellasthedesignofnewprojects.
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Evaluation is a periodic, systematic assessment of a project’s relevance, efficiency, effectiveness and impact on a defined population .Whilemonitoringisongoing,evaluationisperiodic.Itdrawsfromdatacollectedduringmonitoring,aswellasfromadditionalsurveysorstudiestoassessprojectachievementsagainstobjectives.
Evaluationsusuallyinvolvecomparisons.Mostoften,theyarebasedonconditionsbeforeandaftertheproject.Morerarely,evaluationscomparepopulationswhoreceiveserviceswiththosewhodidnot.Evaluation aims to determine the extent to which desired changes have occurred and whether the project is responsible for the changes(I-LIFE2005).
InSection1,youwilldothefollowing:
• reviewtheutilization-focusedevaluationapproachpromotedbyCRS;
• considertheimportanceofevaluation;and
• examinedifferenttypesofevaluationsoftenused.
UTILIZATION-FOCUSED EVALUATIONS
CRS promotes Utilization-focused Evaluation (UFE) .ThisapproachtodesigningandconductingevaluationsisbasedonworkbyPatton(1997,2002).Theunderlying concept is that evaluations should be undertaken in a way that will maximize the likelihood that the learning will be applied by the intended users of the findings .
Researchindicatesthatstakeholdersaremorelikelytouseevaluationsiftheyunderstandthemandfeelownershipoftheevaluationprocessandfindings.Thisunderstandingandownershipcomesfromactive involvement in the evaluation from beginning to end . Considerthe“FromTheorytoPractice”storyofaprojectevaluationconductedbyCRS/Guatemala.
FromTheorytoPractice:LearningfromaLiteracyProject
CRS/Guatemala’spartnerimplementedanadulteducationprojectcalledComunidadesMayasAlfabetizadas(MayanLiterateCommunities)financedbyUSAID.LiteracytrainingofMayanmenandwomenwasanimportantprojectactivityandwasbasedonFreirianprinciplesofactionandreflection(Freire1970).OneoftheIRswasthatparticipantsactuallyapplynewliteracyskillsintheirwork(eitherintheirfarmingorinformalmarketbusinesses).Otherimportantprojectobjectivesinvolvedincreasingcriticalawarenessskills—participants’abilitytoanalyzetheirsituations,examinetheirbeliefsabouthowtheycouldtransformtheirrealities,and,ultimately,toincreasetheirself-worthanddignity.
Tomeasureprogressthroughouttheproject,USAIDhiredaconsultanttocarryoutanexternalmonitoringandevaluationprocess,includingthemid-termevaluation.Theconsultantwasverycompetentandknowledgeable.Notonlywassheskilledatleadingfocusgroupdiscussions(anappropriatemethodforevaluatingtheseobjectives),butshealsohadexcellentknowledgeoftheMayanQuicheculture.Inaddition,shedidagoodjobofinvolvingCRSanditspartnersinthemid-termevaluationexercise.Itwasagreatmentoringopportunity.
Thefocusgroupsandothermid-termevaluationactivitiesrevealedimportantlessonslearnedforthisproject.TheliteracytrainerswerehavingproblemsimplementingthecurriculumwiththeFreirianactionandreflectionapproach,andseemedtolackcreativityandconfidence.Projectstakeholdersalsolearnedthatfemaleliteracytrainershadthebestresults,andadultlearninggroupswithwomenmembershadthebestattendance!
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Informationfromthemid-termevaluationhelpedCRSanditspartnersimprovetheprojectoverthesecondhalfofitsimplementation.Theyimprovedthequalityofinstructiongiventotheliteracytrainers;motivatedtheentiregroupoftrainersbysharingthesuccessesofthewomen;andmadecertainthatadultlearninggroupswerecomposedofamixofmenandwomen.
Reflection Opportunity 1. How does the story from CRS/Guatemala compare to the realityHowdoesthestoryfromCRS/Guatemalacomparetotherealityofhowevaluationsareused—ornot—inyoursituation?
2. What accounts for the difference when evaluations are used forWhataccountsforthedifferencewhenevaluationsareusedfordecision-makingandwhentheyarenot?
Evaluatorsareresponsibleforconductingsystematic,data-basedevaluationinquiries,ensuringthehonestyandintegrityoftheprocess.IntheUFEapproach,evaluatorsareresponsibleforinvolvingevaluationusersfromthestart,whileatthesametimerespectingthesecurity,dignityandself-worthofrespondents,otherrecipientsofprojectaid,participantsandotherstakeholders.
TheGuatemalamid-termevaluationillustratessomeoftheimportantprinciplesofUFE.TheseprinciplesaresummarizedinChecklist7.1.
Checklist7.1:PrinciplesofUtilization-focusedEvaluation
Allevaluationsshouldbedrivenbyacommitmenttotheinformationneedsofthosewhowillusethefindings.
Useinvolvesmakingdecisions,evaluatingprogressandimprovingprograms. Usemustbeconsideredfromthebeginning—notattheendoftheevaluation. Promotingusewithinevaluationscanrequiremorefinancialandtimecostsbut
willresultinmorebenefits,includingengagement,ownershipandanincreaseinorganizationallearning.
Stakeholderanalysishelpsidentifyprimaryintendedusersandotherevaluationactors,givingvoicetodiverseperspectives.
Evaluationsaretailoredtoeachspecificsituationandsetofusers. Commitmenttousefindingsisnurturedbyactivelyinvolvingusersinsignificant
decisionsabouttheevaluation. Outsideevaluatorsareguidedbyprofessionalstandards(seeTable7.1)andprinciples. Outsideevaluatorsplayafacilitationandtrainingrole,therebyincreasingcriticaland
evaluativethinkingofparticipants.
(Source:AdaptedfromPatton1997)
AUFEwillbecompromisedifanyofthefollowingoccur:
• outsideevaluatorsmakeprimarydecisions;
• usersaredefinedasvagueaudiencesinsteadofrealpeople;
• evaluatorsassumethedonoristheprimarystakeholder;and
• evaluatorswaituntilthefindingsaredeterminedtoidentifyusers.
Reflection Opportunity 1. Thinkbacktothelastevaluationyouwereapartof. 2. How did you participate in the process, and how did it allow you2. How did you participate in the process, and how did it allow youHowdidyouparticipateintheprocess,andhowdiditallowyou
toseeyourprojectinadifferentlight? 3. HowdiditcomparetotheUFEapproachdescribedinChecklist7.1?
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EVALUATION STANDARDS
Evaluationstandardspromoteahigh-qualityproduct.Table7.1listsstandardssetintheUnitedStatesforeducationprograms.
Table7.1:EvaluationStandards
Stakeholder Identification
Personsinvolvedinoraffectedbytheevaluationshouldbeidentifiedsothattheirneedscanbeaddressed.
Evaluator CredibilityThepersonsconductingtheevaluationshouldbebothtrustworthyandcompetenttoperformtheevaluation,sothattheevaluationfindingsachievemaximumcredibilityandacceptance.
Information Scope and Selection
Informationcollectedshouldaddresspertinentquestionsabouttheprogramandberesponsivetotheneedsandinterestsofotherspecifiedstakeholders.
Report Timeliness and Dissemination
Importantinterimfindingsandevaluationreportsshouldbedisseminatedtointendedusers,sothattheycanbeusedinatimelyfashion.
Evaluation Use Theevaluationshouldbeplanned,conductedandreportedinwaysthatencouragefollow-throughbystakeholders,toincreasethelikelihoodthatitwillbeused.
Practical ProceduresEvaluationproceduresshouldbepracticalandkeepdisruptiontoaminimumwhileinformationisobtained.
Political ViabilityDisagreementsamongvariousgroupsshouldbeanticipated,andtheevaluationshouldbeplannedandconductedsothattheircooperationcanbeobtained.Thiswillhelpavoidattemptstodisrupttheevaluationortobiasormisapplytheresults.
Cost EffectivenessTheevaluationshouldbeefficientandproduceinformationofsufficientvalue,sothattheresourcesexpendedcanbejustified.
Rights of Human Subjects
Theevaluationshouldbedesignedandconductedtorespectandpromotetherightsandwelfareofhumansubjects.
Human InteractionsEvaluatorsshouldrespecthumandignityandworthintheirinteractionswithotherpersonsassociatedwithanevaluation,sothatparticipantsarenotthreatenedorharmed.(ConfidentialityonHIV&AIDSisanexample.)
Conflict of InterestConflictofinterestshouldbedealtwithopenlyandhonestlysothatitdoesnotcompromisetheevaluationprocessesandresults.
Defensible Information Sources
Thesourcesofinformationusedinaprojectevaluationshouldbedescribedinenoughdetailsothattheadequacyoftheinformationcanbeassessed.
Valid InformationTheinformationgatheringproceduresshouldbedevelopedandimplementedtoensurethattheinterpretationarrivedatisvalid.
Reliable InformationTheinformationgatheringproceduresshouldbedevelopedandimplementedtoensurethatthedataobtainedissufficientlyreliable.
Justified ConclusionsTheconclusionsreachedinanevaluationshouldbeexplicitlyjustified,sothatstakeholderscanassessthem.
(Source: Adapted from the U .S . Joint Committee on Standards for Educational Evaluation �994)
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Reflection Opportunity 1. Which of the standards in Table 7.1 are most relevant to a planned1. Which of the standards in Table 7.1 are most relevant to a plannedWhichofthestandardsinTable7.1aremostrelevanttoaplannedevaluationinyourproject,andwhy?Whicharenot,andwhy?
2. What are the different ways you would consider applying theseWhatarethedifferentwaysyouwouldconsiderapplyingthesestandardstoaplannedevaluation?
3. What might you add to the list?Whatmightyouaddtothelist?
EVALUATION SCOPE AND PURPOSE
WhileUFEsareverysituation-specific,projectevaluationsusuallyaddresssomeorallofthefollowingissues(Patton1997;Chen2005;Bambergeretal.2006)
• Relevance:Wastheprojectagoodideagiventhesituationneedingimprovement?Didtheprojectaimfortherightobjectives?Weretheunderlyingcausesoftheproblemstheprojectisdesignedtoaddressaccuratelydiagnosedandadequatelyaddressed?Doesitdealwithtargetgrouppriorities?
• Efficiency:Wereprojectresourcesusedinthebestpossiblewaytoachievetheobjectives?Whyorwhynot?Whatcouldwedodifferentlytoimproveimplementationandmaximizeimpactatanacceptablecost?
• Effectiveness:Isthereevidencethattheprojectachieveditsobjectives?Whichobjectiveswereachievedandwhichwerenot?Why?Istheprojectstrategyandtheoryofchangesound?Whyorwhynot?Whatinternalandexternalcontextualfactorsdeterminedthedegreeofsuccessorfailure?
• Impact:TowhatextenthastheprojectachieveditsSOandcontributedtowardsitslonger-termGoal?Cantheimpactonthetargetpopulationbemeasured?Whatunanticipatedpositiveornegativeconsequencesdidtheprojecthave?Whydidtheyarise?Whatimpacthastheprojecthadondifferentsubsetsofthetargetpopulation,includingthepoorestandmostvulnerablegroups?Aretheredifferentimpactsonmenandwomen?Arethereethnic,religiousorsimilargroupswhodidnotbenefitorwhowerenegativelyaffected?
• Sustainability:Areoutcomessustainableandbenefitslikelytocontinueoncetheprojectiscompleted?Whyorwhynot?Isitlikelythesameimpactscouldbeachievediftheprojectwereimplementedinadifferentsettingoronalargerscale?
Theseissuesarerelatedtothepurposeoftheprojectevaluation;itmayhaveoneormoreofthethreepurposesshowninTable7.2.
Table7.2:ThreePurposesofEvaluations
Improvement
• Identifyprojectstrengthsandweaknesses,inordertoincreaseprojectrelevance,effectivenessandefficiency.
• Evaluationswithanimprovementorientationareoftencalledformative evaluations.
Judgment
• Measureprojectimpactandsustainability.
• Analyzecostsandbenefitsoftheprojectstrategy.
• Provideaccountabilitytoprojectstakeholders.
• Evaluationswithajudgmentorientationareoftencalledsummativeevaluations.
Knowledge• Providegeneralizationsabouttheeffectivenessofaprojectstrategyorwhatworks.
• Buildontheorythroughidentificationofbestpracticesorlessonslearned.
• Influencepolicydevelopment.
(Source: Patton �997)
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FromaUFEperspective,beforeyouembarkonanevaluation,askyourself,“Whyarewedoingthis?”Sometimesyouwillbeobligedtodoanevaluationbecausefuturefundingorsupportdependsonit.OritmayberequiredinanAwardAgreement.Butmoreoftenyouwillevaluatetolearn.Inordertoanswerthe“Why?”question,beclearaboutthefollowingthreequestions.
1 . Who is the evaluation for? One group? Many?Who is the evaluation for? One group? Many? 2 . What is it we want to find out?What is it we want to find out? 3 . What decisions need to be made when the evaluation findings are presented?What decisions need to be made when the evaluation findings are presented?
ThinkAboutIt…
Whenthecooktastesthefood,itisformativeevaluation;whenthedinnerguesttastesthefood,itissummativeevaluation.
EVALUATION TYPES
Evaluationscanbeclassifiedinmanyways.ProPackIIisorganizedaccordingtothestagesoftheprojectcycle,sotheevaluationtypesdescribedbelowfocusonthoseundertakenatthevariousstages.Thereare,ofcourse,otherwaystoclassifyevaluations(e.g.,focusingontheevaluationprocess—participatory,joint,andsoon).
CRSprojectsmayincludeoneormoreofthefollowingtypesofevaluations:
• periodicevaluation;
• mid-termevaluation;
• finalevaluation;and
• ex-postevaluation.
Table7.3summarizesthepurposeandscopeoftheseevaluationtypes,followedbymoredetaileddescriptions.
Table7.3:SummaryofEvaluationTypes
Evaluation Type Evaluation Purpose Evaluation Scope
Periodic Improvement-oriented Efficiency,effectiveness
Mid-termImprovement-orientedandjudgment-oriented
Efficiency,effectiveness,relevance
FinalJudgment-orientedandknowledge-oriented
Efficiency,effectiveness,relevance,impact,sustainability
Ex-post Knowledge-oriented Impact,sustainability
Periodic Evaluations Periodicevaluationsareimprovement-orientedandcanbedoneatanytimeduringproject
implementation,asneeded.Threetypesdescribedbelowarediagnostic studies,learning reviewsandreal-time evaluations.
��0PROPACKIICHAPTERVIISECTION�
Diagnostic Studies
Diagnostic studies (alsoknownasthematic,orad hocevaluations)are undertaken when a specific implementation question arises, often as a consequence of the analysis of monitoring data .Ifmonitoringrevealsproblemsorissues,diagnosticstudiesgivemanagersamorereliablerangeofsolutions.Forexample,communitymembersdughillsideconservationditchesbutarenotmaintainingthem.(seeChapter VI, Section 3, pg . �98)Whyisthisso?Whatpossiblesolutionscanbeidentified?
Diagnosticstudiesinvolvedeterminingfactorscontributingtoidentifiedproblems,reviewingconstraints,andcomingupwithalternativesolutions.Forexample,yourprojectmayhaveanticipatedthatwomenwouldchangetheirhygienepractices,butyourmonitoringdatasuggeststhisisnothappeningtotheextentexpected.Inthiscase,theprojectmanagersmightrequestadiagnosticstudytoexaminethereasonswomenarenotchanging.Thefindingswouldtheninformthenextstepsintheproject.
Examplesofissuesarisingfromananalysisofmonitoringdataforanagriculturalprojectthatmightrequireadiagnosticstudyareshowninthe“FromTheorytoPractice”storybox.
FromTheorytoPractice:ExamplesofIssuesRequiringaDiagnosticStudy
• Arecordnumberoffarmersjoinedproject-supportedfarmers’clubsduringthefirsttwoyearsofprojectimplementation,butmembershipisnowfalling.Why?
• Thetargetedpopulationinmostoftheareacoveredbytheprojecthasacceptedanimportantvarietyofmaize,butfarmersintwootherdistrictsrejectedit.Why?
• Manyfarmersarenotfollowingrecommendedagriculturalpractices,eventhoughtheyhavelearnedaboutyieldbenefits.Why?
• Salesoffarmproduceappeartoberisingonaverage,althoughitisnotclearwhetheritisgenerallytrueorspecifictoacertaingroupoffarmers.Why?
Methodsfordiagnosticstudiesmayincludethefollowing:
• projectrecordsanddocuments;
• formalandinformalsurveys;
• interviewsofkeypeople;
• communitymeetings;and
• participantobservation.
(Source:CasleyandKumar1987)
Diagnosticstudiesarevaluablebecausetheygenerateinformationthatinformsmanagementdecisionsregardingtheallocationofprojectresources.Forthisreason,thetimelineforthestudyshouldbeconsideredcarefully.Ifitistooshort,theinformationgeneratedmightnotaddsufficientvaluetomanagementdecision-making;ifitistoolong,thereisadangerthatdecisionswillhavebeentakenintheabsenceofdiagnosticstudyinformation.
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Learning Reviews/After Action Reviews
A learning review, also called an After Action Review, is a simple, quick and versatile learning tool that can be used to identify and record lessons and knowledge arising out of a project event .Learningreviewsarealsousefulinemergencysettings—particularlyintheearlyphaseofarapid-onsetemergency—sincetheyarerelativelystraightforwardtoorganizeandhost.Duringthereview,questionsareaskedthathelpparticipantsunderstandwhatwasplannedversuswhatactuallyhappened.
Asyourecallfromtheprojectcyclediagram,(Figure7.1) thesetypesoflearningreviewscanbedoneatanytimeduringanystageoftheprojectcycle(i.e.,before,duringandafteranevent).Remember,thesearequickreviewstolookforimmediateimpressionsofaparticulareventandtoderivemeaningfullessons.Ingeneral,learningreviewsshouldtakenolongerthanonetotwohours.
Table7.4:HowtoManageaLearningReview/AfterActionReview
Hold the Learning Review Immediately
• Doit—eachtimeandeverytime.Teamsseemtostruggleifyoudoalearningreviewsometimesbutnotothers.Yougetbetterresultsiftheyareroutine.
• Carryoutthereviewwhilealltheparticipantsarestillavailableandtheirmemoriesstillfresh.
Create the Right Climate
• Clarifythepurposeofthelearningreview,whichisnottoassignblameorpraisebuttohelpimprovefutureprojectactivities.
• Haveastrongteam;thisiscritical.Realteamscanuselearningreviews;pretendteamscannotbecausethereisnotenoughsocialcapitalandtrust.
• ReviewChecklist2.2,QuestionstoFosteraLearningEnvironment,inChapter II, Section 3, pg . 35.
Assign Roles
• Appointafacilitatorwhocanaskgood,openquestionstohelptheteamanalyze.ReviewChecklist2.7,Actions of Strong Facilitators,andTable2.7,Questions Facilitators Ask,inChapter II, Section 3, pg . 43 (checklist) and pg . 45 (table) .
• Appointsomeonetorecordmajorideasonaflipchart.Thishelpsensurethatparticipantswereclearlyheard,andthechartscanlaterbesharedwithothersnotattendingthereview.
Five Open Questions
• Reviewtheactivityanditsrelatedobjectiveordeliverable.Foreachoneaskthefollowing:
1 . What did weWhat did weset out todo?2 . What did we achieve?What did we achieve?Focusonfacts,notopinions.3 . What went really well?What went really well?Again,lookatthefacts.Whydiditgo
well?Comparetheplantoreality.Identifysuccesses.4 . What could have gone better?What could have gone better?Comparetheplantoreality.
Whatpreventedusfromdoingmore?Identifychallenges.5 . What can we learn from this?What can we learn from this?Makeanactionplanwithspecific
recommendationsandclearlyassignedresponsibilitiestobuildonsuccessesandresolveproblems.Basedonexperience,whatadvicewouldwehaveforotherteams?
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Facilitating the Learning Review
• Chooseanexcellentfacilitatortocreateagoodlearningreview.
• Bebrisk—toomuchthinkinganddiscussionseemstoconfuseratherthanclarify(i.e.,thegreatestvalueinlearningreviewscomesfromwhatisforemostinone’smind).
• Beattunedtothepolitics.Mostofthecaseswherealearningreviewhasnotbeensuccessfulinvolvedsomeonewithpowerwhodidnotlikewhatwasbeingsaid.
Close the Review • Summarizekeylearningpoints(canbedonebythefacilitator).
• Clarifyresponsibilityforthepost-learningreviewdocumentationanddissemination.
Share the Knowledge
• Makesurethattheresponsibilityformanagingthelearningreviewknowledgeisassignedtoaspecificindividualorposition.
• Ensurethattheknowledgegeneratedinthelearningreviewismadeavailabletothosewhomightbenefitfromitandatatimewhentheyaremostlikelytoneedit.
• Keepthelearningreviewknowledgeuptodate.
Real-time Evaluations
Real-time evaluations (RTEs) are meant to provide quick and practical evaluative feedback to country teams and other levels of management during the early stages of a rapid-onset emergency response or for long-standing crises undergoing phases of rapid deterioration .AnRTEshouldbeashortexercisewithaquickturn-around.CountryvisitsbyRTEteamsshould,inprinciple,notexceedacoupleofweeks,duringwhichCountryProgramoffices,partners,andfieldsitesshouldbevisited.AfinaldebriefingattheendoftheRTEshouldincludemajorpointsthatwillbeinthereport.Theyshouldbeshortandtothepoint.Finalreportsshouldbeavailableseventotendaysaftercompletionofthecountryvisit.
AnRTEisimprovement-orientedorformativebecauseitprovidesinformationthatimprovesanon-goingoperation.Itistimelyandrapidandshouldengageparticipantsthroughinteractivepeerreviews.RTEshelpmeasuretheeffectivenessandimpactofagivenresponse,andseektoensurethatfindingsareinternalizedbymanagersresponsibleforeffectingorganizationalorprojectdesignchanges(JamalandCrisp2002).
TwoexamplesofRTEs—oneforaseedvoucherandfairprojectandanotherforanemergencyresponseintervention—arepresentedinthe“FromTheorytoPractice”boxes.
FromTheorytoPractice:Real-TimeSeedVoucherandFairEvaluations
CRSanditspartnersmonitorSeedFairsonthedaytheyareimplementedaspartoftheirM&Esystem,usingwhatiscalleda“minimumdataset.”SeedFairexitinterviewsareconductedwithbothseedsellersandparticipants.TheseinterviewsprovideinformationonindicatorsassociatedwiththeActivity-levelobjectives(carryingoutaseedfair)andtheOutput-levelobjectives(scale,quality).
(Source: Bramel, P ., T . Remington, and M . McNeil, eds . 2004)
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FromTheorytoPractice:PlansforaReal-timeEvaluationofCRSTsunamiPrograms
ThisevaluationwassuggestedthreemonthsaftertheinitialresponsetotheTsunami.Itsobjectivesweretoaccomplishthefollowingtasks:
1 reviewtheperformanceofalloperations,processes,andsystemsintheearlyphaseoftheemergencyresponse;
2 ensureaccountabilityintheachievementofobjectivesandutilizationofresources;
3 improveoperationsbyprovidinglessonslearned;and
4 satisfydonor,media,andpublicinterestthatthemoneygivenwasefficientlyused.
Theevaluationintendedtostudyarangeofissues,including:planningadequacy;speedofresponse;howtheresponsecouldbeimproved;itsrelevancetoindividualcountrysituationsandtheneedsofthemostvulnerable;coverage;identificationofstrengthsandweaknesses;andcompliancewithinternationalstandards.
Mid-term Evaluations A mid-term evaluation (MTE) is also mainly improvement-orientedand formative.Theymay
becalledprocessimplementationevaluationsorformativeevaluationsbyotherorganizations.MTEsareconductedapproximatelymid-waythroughtheproject,forexample,inthethirdyearofafive-yearproject.MTEsmayincludeanexternalevaluatorwhobringsbothanoutsideperspectiveandappropriateevaluationexpertise.
Ingeneral,MTEs identify where and how implementation can be improved in the remaining project time-period.Duringtheevaluation,projectachievementsofIR-levelobjectivesareformallyevaluated.InstudyingwhetherActivitieshelpeddeliverOutputsthatthenledtoachievementsatIR-level,anMTEprovidesastrongunderstandingofwhyprojectimplementationis—orisnot—ontracktowardsachievingitsSOs.Thisunderstandingprovidesagoodbasisforinfluencingthecourseoffutureprojectimplementation.
MTEsmaytakeonincreasedsignificancewhentheyarepartofastrategytoobtainfurtherfundingforasecondphaseofaproject.Afinalevaluationisusuallycompletedtoolatetoinfluencethedesignofanynew,follow-onproposals.
MostMTEsaddressatleastoneormoreoftheobjectivesinTable7.5andprovideanswerstotherelatedquestions.
Table7.5:MTEObjectivesandRelatedQuestions
Objectives Related Questions
Reviewprojectprogress.Informationisprovidedtostakeholdersabouthowresourceswereused,whetherplannedactivitieswerecarriedoutwithinbudget,whetherprojectobjectives(Activity-,Output-,andIR-levelobjectives)arebeingmet,andthelikelihoodthattheproject’sSOswillbemet.
• WereprojectactivitiesactuallyimplementedasplannedanddescribedintheproposalandDIP?
• Howappropriateandclosetoplanwerethecosts,thetimerequirements,thestaffcapacityandcapability,andtheavailabilityofrequiredfinancialresources?
• Whatarethelinksbetweentheproject’sActivities,OutputsandIRs?
• AretheplannedIR-levelobjectivesbeingachieved?
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Addressprojectrelevanceasanopportunitytore-examinetheproject’sstrategyortheoryofchange.
• Whatdoparticipantslikeanddislike?
• Whataretheirperceptionsofwhatisworkingandnotworking?
• HowwellareIRsbeingachieved?
Provideanopportunitytoacknowledgeprojectsuccessesormorecriticallyexamineprojectchallengesorweaknesses.
• Howwelldoprojectpartnersworktogether?
• Hascommunityparticipationbeenhigh?
• Arerelevantstakeholderskeptinformed?
• Aregovernmentpersonnelsupportive?
Developlessonslearnedthathelpprojectstakeholdersimproveimplementationduringtheremainingperiod.
• Whatsuccessescanwebuildon?
• Whatcanwelearnandapplyfrombetterunderstandingchallenges?
ProvideaqualitycheckontheM&Esystemandonmonitoringactivities.MTEshelpassesswhethermonitoringinformationistellingprojectstakeholderswhattheyneedtoknow.
• Howwellisthemonitoringsystemfunctioning?Aredatabeinggatheredandreportedasplanned?
• Howusefularetheproject’sperformanceindicators?Aremodificationsrequired?
• Areunanticipatedeventsandoutcomesbeingsufficientlytracked?
• Towhatextentareseniorprojectstaffusingmonitoringinformationtomakemanagementdecisions?
•Whatmightthismeanfortheprojectduringtheremainingperiod?
Provideanopportunitytocheckonunexpectedprojectresults.
• WhatCriticalAssumptionsprovedtrue?
• Whatunanticipatedoutputsoroutcomeshaveemergedduringimplementationthusfar?
•Whatmightthismeanfortheprojectduringtheremainingperiod?
The“FromTheorytoPractice”boxillustratesthetypeofimprovement-orientedrecommendationsyoumightseefromaMTE.
FromTheorytoPractice:ExamplesofMTERecommendations
• Reviewtheproject,determinewhichActivitieshavenotbeencompleted,andformulatearevisedplanforcompletingallActivitiesandstrategiesoutlinedintheproposalbytheendofthefundingperiod.
• Encouragethedevelopmentofanexplicitsub-componentfocusedonnon-agriculturalincomeactivities,pendingareviewofavailableresources.
• Helpvillageextensionagentsandagronomistsconductmoresupervisionmissions.
• Strengthentechnicalmonitoringofexistingandnewirrigatedsitestoincreasecropproductivity.
• Continuetonegotiatewiththegovernmenttoensurethatextensionserviceswillbeavailabletofarmersinthefuture.
• ProvideadditionalleadershiptrainingtoCommunityManagementCommitteesandensurebetterlinkageswiththecommunitytoimprovechancesofsustainability.
• FindabetterstrategyforreinforcingtheparticipationofvulnerablehouseholdsinFoodForWork-sponsoredsoilconservationactivities.
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Reflection Opportunity 1. How have MTEs benefited projects in which you have been involved?HowhaveMTEsbenefitedprojectsinwhichyouhavebeeninvolved? 2. Cite specific actions that were undertaken as a result of an MTE.2. Cite specific actions that were undertaken as a result of an MTE.CitespecificactionsthatwereundertakenasaresultofanMTE.
Final Evaluations A final evaluation is largely judgment-oriented and is conducted towards the end of a project .
It aims to determine the overall merit, worth or value of a project .Becauseofthisjudgmentorientation,finalevaluationsincludeanexternalevaluatorandrequiremoreplanningandinvestment.Afinalevaluationcanalsobeknowledge-orientedbecauseitprovideslessonslearnedforfutureprojectdesign.
Ingeneral,finalevaluationsdothefollowing:
• provideinformationtoprojectstakeholdersonhowtheprojecthassucceededinachieving the SOs—thecorepurposeoftheproject;
• examinehowMTE findings were addressed—ornot;
• reviewquestions of relevance, effectiveness and efficiency(thataMTEalsoconsiders)withanadditionalfocusonquestions of impact and sustainability;
• makeajudgmentaboutwhethertheprojectwasagood use of funds;and
• provide suggestions for follow-up programming,ifrequested.
FromTheorytoPractice:ExamplesofFinalEvaluationRecommendations
Followingareexamplesofthetypeofjudgment-andknowledge-orientedrecommendationsthatafinalevaluationmightsuggest.
Judgment-oriented
• Theprojectmetitstargets,butitsimpactonvulnerabilityandfoodsecuritywaslessthananticipatedbecauseofinsecureaccessanddecliningsoilfertility.
• Theprojecthasbeenhighlyeffectiveinincreasingseedavailabilityinthecurrentcontext.Thelowparticipationofwomen,however,isaconcern.
• Whilethereisalwaysroomforimprovementinthewaytrialsanddemonstrationsaredesignedandmonitored,thisactivitywassuccessfulinintroducingnewvarieties.
• Thetargetswerenotachievedintrainingsandthenumberofassociationsformed.
• Monitoringsystemsproducedgoodinformationforreportingpurposes,althoughtherearesomeinconsistenciesbetweenannualreports.
• Therewasnotmuchsystematicinformation-gatheringforprogrammaticdecision-making.
• Allinall,theprojecthasbeenasatisfactoryinvestmentintermsofhavingasignificantimpactonvulnerability,livelihoodsandfoodinsecurityandhasestablishedasolidfoundationuponwhichtobuild.
Knowledge-oriented
• Agoodunderstandingofmarketsappearstoinfluencewhatfarmerschoosetoproduce.
• Capitalmobilizationisoftenthegluethatholdsgroupstogether;ifnotdonewell,however,itcanalsobecometheforcethattearsthemapart.
• Inphysicalinfrastructureprojects,ifthe“software”side(i.e.,managementprocesses)isnotdeveloped,the“hardware”side(i.e.,structures)willbelost.
• Theprojecthasestablishedabasicfoundationforamarketingstrategythroughitsagro-enterpriseapproachwiththeformationofgroupsandsomemarketanalyses.
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ThinkAboutIt…ACautionary Note on Impact and Measuring Attribution
Measuringtheimpactofdevelopmentandreliefprojectsisrarelystraightforward.IdentifyingacausalrelationshipbetweenanActivityandaparticularOutcomecanbedifficult.Anumberofdifferentfactorsmayalsocontributetochange.Tomeasureimpactofasituationnowrequirescomparisontothesituationbefore.Projectstrytodothisthroughbaselinedatacollection,individualorcommunityrecall,or,morerarely,useofcontrolgroups.Ultimately,itmayneverbepossibletoprovethatachangeisdirectlycausedbyaprojectbecausemanyfactorscaninfluencetheresultsmeasured.Thedatacollectedinbothmonitoringandevaluationpaintapicture.Thebettertheongoingmonitoring,thebetteryoucanexplainfinalevaluationfindings.Plausible attributionisperhapsamoreaccuratetermofwhatevaluationsshouldstrivetowards.What’sthelesson?BecautiousandgroundedwhensettingSOs.
(Source: Adapted from Lentfer, J . and S . Nkoka 2005)
Donorsmayhavespecificguidanceforfinalevaluations.Insomecases,donorrepresentativesexpecttobeinvitedtoparticipateintheevaluationprocess.WhenyousetuptheM&EsystemduringtheDIPprocess,youconsideredtheAwardAgreementrequirementsastheyrelatetotheproject’sfinalevaluation.
Don’t Forget!Final Evaluations and Privately Funded Projects
Someprojectmanagersaskiffinalevaluationsshouldbeconductedforsmall-scale,privatelyfundedprojects.Iftheprojectwasapilot,afinalevaluationwillbevitalinjudgingwhethertheprojectstrategyshouldbeadaptedorimplementedelsewhere.Iftheprojectwasparticularlyinnovative,anevaluationwillprovideinformationabouteffectiveness.Regardlessofwhetherafinalevaluationisdone,a thorough final report is due for all projects.FinalreportguidanceisincludedlaterinthischapterinSection 3, Project Close-out, pg.255.
Ex-post Evaluation An ex-post evaluation isknowledge-orientedandissometimescalledasustainableimpact
evaluation.These evaluations study the impact of a project at a defined period of time after project completion .Ex-postevaluationsusuallyaimtodeterminewhichprojectinterventionshavebeencontinuedbyprojectparticipantsontheirown.Thefindings may be used for advocacy effortsbyshowingdonorstheeffectivenessofinvestinginaparticularsector—forexample,theimportanceofsupportinggirls’educationwithinafoodsecurityprogram.Anex-postevaluationofasetofprojectsandtheireffectivenessmaycontribute to future program design.InRwanda,forexample,anumberofpeacebuildingprojectswereevaluatedsevenyearsafterthegenocidetoinformCRS’evolvingapproachtopeaceandjusticeprogramstrategies.
Ex-postevaluationsarenotundertakenasregularlyasMTEsorfinalevaluations.Whileprojectproposalswilllikelyindicatesustainabilityconcerns,itisfairtosaythatNGOsrarelyevaluatewhatremainsfollowingthewithdrawalofprojectfunding.Thismaybedue,inpart,tothereluctanceamongdonorstofinancesuchevaluations,aswellasaninabilityandunwillingnessamongNGOstoundertakeevaluativeworkofthisnature.Thisisunfortunate.Withtheuseofcreativeevaluationapproaches,thecostsofanex-postevaluationcanbekeptdown,andimportantlessonscanbegeneratedregardingfactorsthathelptoensureprojectsustainability.Thisispotentiallyrichinformationforthedesignersofnewprojects.
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FromTheorytoPractice:ExceptiontotheRule—Ex-postEvaluationbyCRS/Ethiopia
In2004,CRS/Ethiopiaconductedanex-postevaluationofaDevelopmentAssistanceProgram(DAP)Iproject.Theevaluationwasundertakensixmonthsaftertheendoftheproject.Itspurposewasto:
• AssessthesustainabilityofthebenefitsofDAPinterventionsthatwerephasedout;and
• GeneratelessonslearnedandsharecollectiveexperiencesgainedfromDAPIimplementation.
Methodology Theevaluationwascarriedoutoveraperiodofonemonth,andateamvisitedthesitesoffourDAP
partners.TheevaluationteamincludedstafffromtheCRSCountryProgramandtheirpartners.TheteamreviewedDAPreports,conductedinterviewswithcommunitymembersbenefitingfromDAPinterventions,visitedprojectsites,andhelddiscussionswithcommunitymembers,governmentofficials,andpartners.
Findings Theevaluationfoundthatanumberofprojectservicesandbenefitshadcontinued.Croplandbunding
andirrigationpracticesintendedtoimprovecropproductionwerestillbeingappliedand,insomecases,hadeffectivelyimprovedlivelihoodresilienceduringasubsequentdrought.Trainedtraditionalbirthattendantshadcontinuedtoprovideserviceswithhighlevelsofenthusiasmandcommitment,andincreasedlevelsofhealthcare-seekingbehaviorswerenoted.
However,theex-postevaluationalsofoundanumberofprojectbenefitsandservicesthathadseverelydeteriorated.Forexample,nearlyallwatercommitteeshaddissolved,feecollectionwasirregularorhadbeendiscontinued,andmanywaterschemeswerenotoperational.Centrallymanagednurserieshadbeenabandoned.
LessonsLearned
• CRS/EthiopiaanditspartnerslearnedthattheDAPpotablewaterstrategyhadover-focusedonthetechnicalaspects(“hardware”)whilenotpayingenoughattttentiontothecommunityorganizingdimensionsandsupportbyexistinggovernmentservices(“software”).
• Thestrategyofcentrallymanagednurserieswasapoorchoicegiventheexistingmanagementcapacityofcommunitiesandgovernment.
• Evenlimitedpost-projectfollow-upbypartnersandgovernmentstaffmighthavegonealongwaytowardsmitigatingthedeteriorationofprojectbenefitsandservices.
Implications Thefindingsandlessonslearnedfromthisex-postevaluationwereusedsubsequentlytoinform
thedesignofsimilarprojectsinEthiopia.Inaddition,theevaluationwasavaluablevehicleforraisingawarenessoftheseissuesamongpartnerstaff.Theylearnedmuchaboutthefeasibilityandeffectivenessoftheirpreferredstrategies.
Reflection Opportunity 1. Think about the project you currently manage. Would you1. Think about the project you currently manage. Would youThinkabouttheprojectyoucurrentlymanage.Wouldyousuggestdoinganex-postevaluation?Whyorwhynot?
2. What are some ways to manage the ex-post evaluation that willWhataresomewaystomanagetheex-postevaluationthatwillmaximizeitsbenefittopartners?
Internal vs . External Evaluations Internal evaluators are individuals associated with the organization implementing the project;
external evaluators are not associated with the project .
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Mostdonorsrequestthatkeyprojectevaluations(particularlyfinalevaluations)beledbyanexternalevaluator.DonorsmayalsorequireapprovalofboththeevaluatorandtheirSOW.Thisisnottodownplaythevalueofinternallyorganizedevaluations—especiallythosethathelpmanagerstakegooddecisionsforprojectcorrectionandimprovement.Rather, using an external evaluator enhances the credibility of the process and helps avoid potential bias . An external evaluator also serves as a form of quality control for project management and for the implementing agency . Assuch,externalinvolvementstrengthensthevalidityofthefindings.
ThesameexternalevaluatorshouldnotdoboththeMTEandthefinalevaluation.Ifrecommendationsmadebytheevaluatoratthemid-termaresubsequentlyimplemented,theremaybeaconflictofinterestforonepersontoreviewtheimpactoftheirearliersuggestions.
Forsmallprojectswithlimitedfunding,hiringanexternalevaluatormaynotbeanoption.However,youcanstillbringinanoutsideperspective.Forexample,trygroupingsmallprojectstogethertofundanexternalevaluator;invitearegionaltechnicalstaffmembertoparticipate;orinviteaknowledgeablestaffpersonfromanotherCRSCountryProgramoranotherNGOtoworkontheevaluationasalearningopportunity.
Table7.6providesalistoftheadvantagesanddisadvantagesofusingexternalandinternalevaluators.Awell-balancedcombinationofbothexternalandinternalknowledgeisusuallyideal.
Table7.6:AdvantagesandDisadvantagesofExternalandInternalEvaluators
External Internal
A D
V A
N T
A G
E S
• Providesafreshlookattheprojectandcandrawfromotherprojectexperiences
• Notpersonallyinvolved,soitiseasiertobeobjective
• Isnotpartofthepowerandauthoritystructureoftheproject
• Trainedinevaluationmethodsandhaswideexperienceplanningandconductingotherevaluations
• Betterabletofocusforlongerperiodsoftimeonevaluationtasks
• Hasin-depthunderstandingoftheprojectandcaninterpretattitudesandbehaviorsofparticipantsandstakeholders
• Maylessenanxietyasheiswell-knowntoprojectstakeholdersandhasestablishedrelationships
• Lessexpensive
D I
S A
D V
A N
T A
G E
S
• Mayhavelimitedunderstandingoftheproject,andparticipantsandstakeholdersinvolvedandthereforeneedstimetodigestinformationontheproject
• Maycausemoreanxietyashedoesnothaveanestablishedrelationshipoftrustwithprojectstakeholders
• Moreexpensive
• Maybeunwittinglyconstrainedbyattitudessuchas“Thisistheonlywaytodothings”or“Wehavealwaysdoneitthisway”
• Personallyandprofessionallyinvolved,sohardertobeobjective
• Ispartofthepowerandauthoritystructureoftheproject
• Maynotbetrainedinevaluationmethodsandmayhavelimitedexperienceplanningorconductingevaluations
• Mayhavetimeconstraintsforevaluationduetootherduties
(Source: Adapted from Feuerstein �986; McMillan and Willard 2006)
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SECTION 2
GUIDANCE ON UTILIZATION-FOCUSED EVALUATIONS
SECTION OVERVIEW
CRSprojectmanagers,workingcloselywithpartnersandotherstakeholders,playanimportantroleininitiating,organizingandmanagingevaluations.Often,projectmanagersplayaleadershiproleastheevaluationmanager,ensuringthatevaluationsarewell-plannedandpreparedandthatteammembersreceivesupport.
InSection2,youwilldothefollowing:
• learnhowtoadjustortelescopeevaluations;
• reviewthethreephasesofevaluations;and
• considerthepracticalstepsofeachphase.
TELESCOPING EVALUATIONS
UFEsaresituationspecificbecausetheyrespondtotheinterestsandinformationneedsofidentifiedusers.Evaluationsmustalsobefurthertailoredbytakingotherfactorsintoconsideration,suchasthefollowing:
• projectscopeandsize;
• resourcesavailablefortheevaluation(budget,timeframe,etc.);
• complexity(stakeholderinterests,institutionalrelationships,multi-country,multi-donor,multi-partner,etc.);
• donorguidelinesmandatedwithintheAwardAgreement;
• availabilityofbaselineandmonitoringdatagatheredwithintheprojectthatcanbeusedintheevaluation;
• availabilityandcapacityofprojectandpartnerstafftooversee,design,manage,andimplementtheevaluation;
• degreeofpublicvisibility;and
• decisionsthatneedtobetakenbasedontheevaluation’sfindings.
Thesefactors—inparticular,thedecision-makingneedsofidentifiedusers—willhelpyoudeterminethescopeandsizeofyourevaluation.Theywillalsohelptodefinethepurpose,appropriatedatacollectionmethods,budget,timeandskillsthatwillbeneededtocompletethework.
• Tsunami One Year Evaluation—Thisisagoodexampleofhowmultiplefactorscancontributetothedesignofanevaluation.Thiswasalarge,highprofile,emergencyresponseinthreecountries,acrosstwoCRSregions.Theevaluationhadtobetailoredtoeachofthethreesettings,aswellasconsidereachcountrycontext,variousprogramsectorsatdifferentstagesofimplementation,anddifferentpartnerrelationships.Seethe“FromTheorytoPractice”boxonthenextpageforasummaryoftheevaluation.
• C-SAFE Evaluation—TheC-SAFEregionalinitiativewascreatedinresponsetothesouthernAfricafoodsecuritycrisisin2002.AfinalevaluationwasundertakentoassesstheextenttowhichC-SAFEobjectiveswereachievedinthreecountriesandtodocumenttheresultanteffectsonparticipatingcommunities.AspartoftheconsiderationsfortelescopingtheSOW,theevaluationwasdesignedtobelessdetailedforLesothowhichwasamorerecentmemberoftheconsortium.AcopyoftheC-SAFEScopeofWorkisavailableontheProPackIICDROM.
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FromTheorytoPractice:ABigEvaluationforaBigProgram—TelescopingtheTsunamiOne-yearEvaluation
TsunamiEmergency InDecember2004,theworldwokeuptoanearthquakeintheIndianOcean,whichtriggereda
tsunamithatsweptcoastlinesandislandsandkilledanestimated275,000people.Withindays,CRSbeganrespondingtothedisasterinthethreeworstaffectedcountries:India,Indonesia,andSriLanka.Duringitsinitialefforts,CRSrespondedtoimmediateneedsbyprovidingcleanwaterandsanitation,shelter,foodandnon-fooditems,andlivelihoodrecovery.Afterthisinitialresponse,theagencytransitionedintoitsreconstructionphaseandcontinuestoworkinthethreecountries,whicharethefocusofthisimpactassessment.
CRSTsunamiResponse Theprogramsareprovidingassistanceinthefollowingsectors: • foodassistance; • non-fooditems(plasticsheeting,cookingsets,mosquitonets,etc.)andsheltermaterials; • environmentalhealth(drillingandequippingboreholes,pitlatrineconstruction,hygiene
promotion,etc.); • primaryhealth(clinicconstruction/rehabilitationandoperation); • nutrition(supplementaryfeeding); • education(primaryschoolconstruction/rehabilitationandoperation); • agriculture(seedsandtools); • protection(monitoring,training,fuel-efficientstoveconstruction,etc.); • psycho-social(individualandcommunitycounseling,advocacy,rehabilitation,andincome
generationactivities); • advocacy; • peacebuildingandcivilsociety;and • capacitystrengthening(allareasofprogrammanagement,localcommunities,localpartners,
andNGOs).
ProposedFocusofOne-yearEvaluation ThemainfocusoftheevaluationistoconductaformativeassessmentofinterventionsinIndia,
IndonesiaandSriLanka.
EvaluationScope Theassessmentwilllookattherelevance,efficiencyandeffectivenessofboththeinitialresponseand
ofcurrentongoingoperationsinthethreetsunami-affectedcountries.TheevaluationwillundertakeaninitialassessmentoftheimpactofCRS’responseonindividualsandcommunitiesaffectedbythetsunami.Basedontheseassessments,recommendationswillbemadeaboutwhatneedstobetakenintoconsiderationforfutureprojectdirectionineachcountry.
EvaluationApproach Thenatureoftheassessmentwillbeprimarilyqualitativewithquantitativeanalysisundertaken
whereverpossibleandappropriate.Consultantswillreviewtheprogressreportindicatorsreportedmonthlytolookfortrendsandgapsandtogleanotherrelevantinformation.Theseindicatorswillbethebasisforqualitativeassessments.Giventhecomplexnatureoftheemergencyanditsvastdevastation,reconstructioneffortsarestillunderway;thisassessmentwilltakeintoaccountthecurrentstageofthoseefforts,soimpactislikelytobeattheIRlevelratherthantheSOlevel.
CRSworkswithinthecontextofCaritasInternationalis(CI)andwillharmonizeitsapproachtotheextentfeasiblewithCIevaluationstobeundertakenduringasimilartimeframe.Inthatregard,theagencywilltakeintoaccounttheOrganizationforEconomicCooperationandDevelopment/DevelopmentAssistanceCommittee(OECD/DAC)criteriaforevaluatinghumanitarianaid.Theseincludeeffectiveness,efficiency,impact,sustainabilityandrelevance.Additionalaspectsoftheassessmentthatwouldbebeneficialincludemeasuringcoverageofprograms,policycoherence,coordinationandprotection(whererelevant).AssessmentsforeachcountryinwhichCRSisimplementingatsunamiresponsewillbestructureddifferentlyaccordingtopartnerrelationships,rolewithintheSpecialOperationsAppeal(SOA)andinterventions.However,acoresetofinformationwillbecollectedfromeachcountry.
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THREE PHASES OF AN EVALUATION
Introduction An evaluation has approximately three phases, and each phase has a number of steps .While
thesestepsarepresentedinrough,chronologicalorder,aselsewhere,followtheminthewaythatmakesthemostsenseforyoursituation.Youmaygobackandforthasyoufeelnecessary.
Phase One: Planning and Preparing for an Evaluation TheUFEapproachasksyoutopayparticularattentiontoidentifyingusersandinvolvingthemin
theevaluationeffort.Forthatreason,stakeholderanalysisisrevisitedinthisphase.
Phase Two: Implementing and Managing an Evaluation Theevaluationteamwillmost
likelyincludeprojectinsidersandoutsiderswhomustworktogetherefficientlyandeffectivelyundersometimesdifficultconditions.
Phase Three: Using an Evaluation ThecoreprincipleofUFEisthatprimaryintendedusers(i.e.,thosestakeholderswhowillbe
takingdecisionsbasedontheoutcomeoftheevaluation)shouldactuponthefindingsoftheevaluationanditsrecommendations!Thisdoesnothappenwithoutsustainedattention.ByworkingcloselywiththeUFEteam,youandyourpartnerscanensurethatfeasibleandachievableactionplansarewritten,andthatevaluationfindingsareintegratedintothenextphaseoftheprojectandinfluencethedesignoffutureprojects.
Phase One: Planning and Preparing for an Evaluation An evaluation starts well in advance of the arrival of the evaluation team . They need a clearAn evaluation starts well in advance of the arrival of the evaluation team . They need a clear
SOW, background documents, and staff assigned to support their work .
ThissectiondrawsfromadocumententitledPreparingfortheEvaluation:GuidelinesandToolsforPre-evaluationPlanning.AlthoughwrittenforTitleIIprojectevaluations,thismoduleisapplicabletoanyevaluation.
Gather Preliminary Information
Review Donor Requirements Manydonors have explicit evaluation
guidanceforprojectstheyfund.Somedonorsprovideanexplanationofwhattheyexpectinamid-termorfinalevaluationintheproposalguidanceorAwardAgreement;othersmayrequireapprovaloftheSOWorchoiceofconsultants.Itiswisetomake direct contact with donor representativesearly in the evaluation planning process.Thesevisitswillhelptoensurethatyouareclearonalldonorrequirementssurroundingtheevaluation.
Don’t Forget!
RefertoEssentialKnowledge,SkillsandAttitudesforProjectManagers,ChapterII,Section3,pp.38-42formoreinformationonbuildingandmanagingteams.
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Donors may also provide technical support for your evaluation .Theyoftendevelopusefulguidanceontechnicalaspectsofanevaluation,suchashowtosample.ThistypeofguidancemaybeavailableonthetechnicalsupportwebsiteforparticulargrantcategoriesorcanbeobtainedthroughCRSregionalorheadquarterstechnicaladvisors.
Review the Project Proposal and M&E Operating Manual Reviewanyevaluationplansorcommitmentsmadeintheprojectproposal.Youmayalsohave
otherspecificinformationintheM&EOperatingManual—informationneedsofstakeholders,baselinesurveys,schedulingoftheMTEandfinalevaluationorothersections.
Gather Lessons Learned Askforhelp,tipsandevaluation-organizinglessonslearnedfrompartners,colleagues,designated
M&Estaffandyoursupervisor.
Organize Project Documents and Information Well-organizedprojectdocumentswillhelptheevaluationteamtoworkquicklyandefficiently.
Otherwise,theywillwastetimefiguringoutwhichdocumentstheyneedandtryingtofindthem.
Projectstaffcanhelporganizethiswellaheadoftheevaluationandbeforethearrivalofanyoutsideevaluationteammembers.Infact,theevaluationmanagershouldappointsomeone whose sole task is to gather and organize critical project documents that will be reviewed by the team.(SeeIdentify Evaluation Team Membersinthissectiononpp . 236-237)IfyouhavekeptanM&E Operating Manualasrecommendedhere,compilingprojectinformationwillnotbedifficult.AlistofthedocumentsmostoftenusedbyanevaluationteamisshowninChecklist7.2.
Checklist7.2:DocumentsCommonlyRequiredbyanEvaluationTeam
Projectdesigndocuments(forexample,aPRAstudyorneedsassessmentreport) Fieldvisitreports ResultsFrameworkandProframe Progressandannualreports(CRSanditspartners) Thefinal,approvedprojectproposal
Internalorexternalprojectaudits TheAwardAgreement Comparisonofplannedvs.actualexpenditures OfficialamendmentstotheproposalandAwardAgreement Budgetanalyses RelevantDIPdocuments M&EOperatingManual—includingthelatestupdatedPITT Monitoringandevaluationreports Reviewofrelevantmeetingminutes Projectareamaps Relevanttrainingortechnicalreports Baselinesurveyreports Previousevaluationreports(e.g.theMTEreportifafinalevaluationisbeingplanned)
Reflection Opportunity 1. Based on your last evaluation experience, what would you add toBasedonyourlastevaluationexperience,whatwouldyouaddtothelistofprojectdocumentsinChecklist7.2?
Note that large, complex projects may require that the evaluation team developdocuments or reports specifically for the evaluation . Inmostcases,anindicatorupdateneedstobecompletedifthisinformationisnotinthelatestprogressreport.ConsultPreparingfortheEvaluation:GuidelinesandToolsforPre-evaluationPlanning(pp.24–26)forfurtherinformation.
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FromTheorytoPractice:ReadingListforCRS/MalawiFinalEvaluation
The SOW for CRS/Malawi’s DAP final evaluation indicated that the following documents would beneededforreviewbytheconsultingteam:
• DAPproposal;
• DAPMTE;
• annualConsolidatedResultsReportandResourceRequest(CSR4s);
• baselinestudies;
• Knowledge,PracticeandCoverage(KPC)surveys;
• outputsfromtheM&Esystem;
• listofindividualsandorganizationsintheDAPareapartnersandcommunities;and
• finalsurveydataandfindings.
Conduct an Evaluation Stakeholder Analysis
First,itisimportanttoidentify the interests and commitment of stakeholders to the planned evaluation and to determine the primary intended users of itsfindingsandrecommendations.Onceyouaresatisfiedthatallrelevantstakeholdersarerepresented,thenyou will want to negotiate a process to involve the primary intended users in making decisions about the scope of the evaluation.
Questionsofscopemust,ofcourse,beinformedbytheresourcesavailablefortheevaluationandanyotherrelevantconstraints.Theusersshouldbeinvolvedintheevaluation,buttheymaysimplyneedtobeconsultedduringaparticularstep—ortheymayneedtobepartoftheteamthatplansandconductstheevaluation.Youwillalsoneedtoidentifyotherstakeholderswithaninterestinorinfluenceovertheevaluationtoseehowtheyshouldbeinvolved.
FromTheorytoPractice:DeterminingtheTsunamiOne-yearEvaluationStakeholders
Primary Intended Users
• CRSpartnerorganizations
• CountryRepresentativesandstaffworkingonthetsunamiresponseinAceh,IndiaandSriLanka
• EmergencyResponseTeampersonnel
• RegionalofficepersonnelinSEAPROandSouthAsia
• CRSVicePresidentforOverseasOperations Other Stakeholders
• Individualsandcommunitiesaffectedbythetsunami
• CRSpartnersin-country
• CaritasInternationalis
• OtherinternationalNGOs/PVOs,includingnetworkssuchastheActiveLearningNetworkfor AccountabilityandPerformanceinHumanitarianAction(ALNAP)
• OfficeofForeignDisasterAssistance(OFDA)andothergovernmentaldonors
• Privatedonors
• Appropriategovernmentstaffin-country
• ConsultantsworkingwithCRSin-country
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Ingeneral,anevaluationstakeholderanalysisasksquestionslistedinChecklist7.3.
Checklist7.3:QuestionsforanEvaluationStakeholderAnalysis
Whoisfundingtheevaluation?Willthisagencybetheprimaryuseroftheinformationgeneratedbytheevaluation?Whoisthemaincontactperson(s)?Whataretheirinformationneeds,andhavetheybeenprioritized?
Whoelseneedswhatinformationfromthisevaluation?Havetheseneedsbeenprioritized? Whoneedstobeinformed,consulted,workinpartnershipwithormanagethisstageof
theevaluation? Whoneedstohelpformulatetheevaluation’spurposeandmajorquestions? Whoneedstoreviewandapprovetheevaluationconsultant’sSOW? Whoneedstobebriefedontheevaluationworkschedule? Whoneedstoreceivetheevaluationreport?
Thestakeholderanalysiswillhelpyoutoidentifyevaluationteammembers;itwillalsoprovideyouwiththeinformationthatshouldgointotheevaluationworkplan,whichshouldbesummarizedonaGanttchart.(SeeDevelop an Initial Work Plan and Logistics Planonpp . 238-239 and Identify Evaluation Team Members on pp . 236-237 inthissectionformoreinformation .)
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ThinkAboutIt…Telescoping Evaluation Stakeholder Analysis
Doingastakeholderanalysismaybecomplexorsimple.Afinalevaluationofaconsortia-typeprojectwillrequireaverycarefulstakeholderanalysis,andmanagingallthestakeholderswilltaketime.AnMTEofasmall,privatelyfundedprojectwithonepartneralsorequiresastakeholderanalysis,butitwillbefastertocomplete.
Manage Evaluation Anxiety
Theword“evaluation”oftenprovokessensitivitiesamongstaffandpartners.Feelingsabouttheevaluationmayrangefromenthusiasmtoresistancesincetheresultscanaffectimportantdecisions,suchashowresourcesareallocated.Partnersmayhavestrongfeelingsaboutwhoshouldcontroltheevaluationandmakedecisions.
Your job will be toanticipate and manage these sensitivities and anxieties .Applyingtheutilization-focusedapproachwillhelpasthisinvitesstakeholderstoparticipateandhelpmakedecisions.Showingrespect,facilitatingcommunicationandnegotiatingamongprojectstakeholdersareattitudesandskillsyouwillneedtomanagesensitivities.
Determine the Primary Purpose and Intended Uses of the Evaluation
The purpose of the evaluation will differ depending on whether it is a mid-term, final, or other type of evaluation . Butthepurposewillalsobeaffectedbythetypeofinformationprimaryusersneedinordertotakemanagementdecisions,aswellasanyotherrequirementstheymayhave.
Armedwiththeresultsoftheearlierstakeholderanalysis,youwillwanttoprioritizetheinformationneedsoftheprimaryuser,thefundingagencyandotherswithaninterestintheevaluation.Asprojectmanager,youwillneedtobalancethesedifferentdemandsforinformation.Timemustbespentensuringthatthepriorityinformationneedsofkeystakeholdersareidentified,discussedinacollaborativemannerandagreedupon,bearinginmindthebudget,timeorotherconstraintsfacingtheevaluationteam.
FromTheorytoPractice:CollaborativeEvaluationDesign
Well-conceivedevaluationdesigngreatlycontributestoausefulproduct.Whilealltheinformationcomesfromthefield,thedesignneedstobeajointeffort,seamlesslyengagingboththefieldstaffandtheevaluators.Thistakestime.Inonecase,theprocessbeganwiththefielddraftingaboilerplateSOWthatfocusedontheevaluationmethods,sitesandnamesofkeyinformants.Previousdiscussionshadalreadyrevealedtheevaluationtype:aninternalMTE.
Theevaluatorsuggestedamenuofalternativeevaluationobjectivesforthefieldtoconsider.Theseincluded:1)Appropriateness;2)StrategicAlignment;3)ManagementandAdministration;4)CostAccountability;5)ImplementationProcessAppraisal;6)OutputIdentification;7)OutcomesIdentification;and8)AdaptabilitytoChange.
Thefieldrespondedlikealotterywinneronashoppingspree,pickingnumerousevaluationobjectivesforeachofthemanycomponentsoftheprogram.Theevaluatorlaidoutthefield’sfullrequestintheformofaplanningmatrix,includingtheobjectives,linesofinquiry,decisionstoinformandresearchinstruments.Thishelpedclarifytheresourcesandtimerequiredtocovereverythingthatwasbeingrequested—whichamountedtooversixmonthsofwork!
Subsequentdiscussionswerealwaysbasedonthedesignframework,refiningthelinesofinquiry,andprioritizingtheimportantdecisionsneedinginformation.Afterseveralexchanges,theevaluatorandthefieldstaffagreedtoanevaluationdesignthatwasusefultotheprogram,achievableinthegiventimeframeandbudgetandwithintheevaluator’scompetency.
There may be multiple purposes for one evaluation .Itspurposescould,forexample,includejudgingthevalueoftheproject,providingtrainingforCRSandpartnerstaff,andbuildingrelationswithcommunitymembers.Theremaybeveryclearguidancefromthedonorontheevaluationpurpose,andtheseshouldbesharedwithotherstakeholders.Primaryintendedusersoftheevaluation(usuallyCRSanditspartners)willalsocontributetodecisionsaboutthepurposeoftheevaluation.
Identify Evaluation Team Members Evaluations benefit from inside and outside perspectives .Dependingontheproject,the
evaluationteamshouldincludearangeofexpertiseandskillsthatmatchthespecificsoftheevaluationinquestion.Youwillwanttobalancelocalknowledgewiththeevaluationexpertiseofoutsiders.Foralarge,complexproject,itmaybeobviousthatyouneedanevaluationexpert—butitmayalsobeimportanttoincludeteammemberswhounderstandCRS,canfacilitateworkshops,conducton-siterapidresearch,andwhohavetechnicalcompetenciesintheprojectareas.Youmaywanttoseekteammemberswhohavegoodnegotiationandconflictmanagementskills,especiallytheteamleader.
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Table7.7:ListofPersonnelCriticaltotheSuccessofanEvaluation
Position Responsibilities
Evaluation Manager
Aswrittenearlier,thisisusuallytheprojectmanager,althoughitmaybetheheadofprogramortheheadoftheM&Eunit.Thispersonprovidessupportandleadershipwithintheevaluationteamandplaysasignificantcoordinatingrolebefore,duringandaftertheevaluation.Ifanoutsideevaluatorisinvolved,theevaluationmanagerensuresthatpre-evaluationpreparationsarecompletedinadvanceoftheconsultant’sarrival.
Evaluation Team Leader
Oftenaregionaltechnicaladvisororoutsideevaluationconsultant.Thispersonisresponsibleforensuringtheevaluationiscompletedontimeandtoahighstandard.Theyarealsoresponsibleforqualitycontrol,technicalguidanceandmentoringofotherteammembers,asneeded.
Evaluation Team Members
Rolesandresponsibilitiesofthesemembersaredefinedaccordingtothespecificscopeandrequirementsoftheevaluation.Toensureclarity,includethespecificresponsibilitiesofindividualteammembersintheSOW.
Logistics Coordinator
Responsibleforsettingupsitevisitsandvisitstoofficials;organizingfood,transportation,andlodging;settingupofficespaceandcomputerfacilitiesfortheteam;andothertasks,asrequired.Acriticalposition,thoughitsvalueisoftenunrecognized.
Ifyoudecidetoappointanexternalevaluationconsultant,askforadviceandassistancefromotherNGOs,yourregionaloffice,headquarters,orotherin-countryresources.CRSheadquartershasaconsultantdatabase.ConsultHumanResourcesforinformation.
Draft an Initial Evaluation SOW
The evaluation SOW summarizes the purpose and objectives agreed to by the donor and project stakeholders .TheSOWdescribestheoverallevaluationexercisebyprovidingdetailsabouttheevaluationplanningprocess—who,what,how,when,andwhere.ItalsoincludesaninitialworkplanintheformofaGanttchart.Forsomeevaluations,youcanusetheResultsFrameworkasastartingpoint,highlightingwhichprojectobjectivesyouwillbeexaminingandthequestionsthatneedtobeaddressedintheevaluation.Preliminaryideascanthenbesharedwithotherrelevantstakeholdersforinput.YoumaywishtoholdaworkshopwithpartnerstoreviewthedraftevaluationSOW.
AgoodSOW—justlikeaDIP—providesaninitialplanuponwhichtheevaluationcanbuild.Agood,readilyavailableguideforwritinganevaluationSOWisBonnard(2002).AlthoughwrittenspecificallyforTitleIIevaluations,muchoftheguidanceisusefulforevaluatingotheractivities.Asmentionedearlier,yourdonormayhavespecificguidanceforthecontentandformatofyourevaluationandmaywanttosignoffonthefinalversionoftheSOW.SpendingtimeandensuringthatstakeholdersareappropriatelyinvolvedinpreparingaSOWwillhelpimprovetheevaluation’squality,relevanceandsubsequentusefulnesstodecision-making.Ingeneral,awell-developedevaluationSOWincludestheinformationsummarizedinChecklist7.4.
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Checklist7.4:WhattoIncludeinanEvaluationSOW
Briefoverviewoftheprojecttobeevaluated,includingitsobjectives,activities,historyandcurrentstatus,partnersororganizationsinvolved,etc.
Evaluationobjectives,purpose,usersandaudience. Technicalexpertiseneededfortheevaluationteamandasummaryoftherolesand
responsibilitiesofteammembers.Ultimately,eachteammemberwillrequireanindividualSOWdetailingtheirresponsibilities.
Evaluationquestionstobeanswered(general,sector-specific,etc.)andsuggestedmethodsforaddressingthem.NotethatthismaybemoreorlessdetailedinafirstdraftSOW.
Suggestedworkplan(e.g.,Ganttchart)thatshowsacalendarortimetableofevaluationactivitieswithmilestonesformajorevaluationdeliverables.
Finalevaluationreportformatandtheprocessforfeedbackanddraftingofthefinalreport. Budgetandnumberofdaysrequiredforteammembersandtheconsultant. ListofkeydocumentsandinformationtheCountryProgramwillprovide.
(Source: Adapted from McMillan and Willard 2006; Bonnard 2002)
AlthoughtheSOWmaycontaininitialsuggestionsfortheevaluationdesign,methodologicalapproachandworkplan,itisultimatelytheresponsibilityoftheevaluationteamleadertotakeownershipofthesematters.Anysignificantdecisionsrelatedtotheevaluation,however,mustbediscussedbytheevaluationteamandappropriatestakeholders.
FromTheorytoPractice:ANoteonFinalSurveys
Thefinalsurveyisusuallyseparatefromthefinalevaluation.Inmanyprojects,itiscompletedbeforethefinalevaluation.Thisallowstheevaluationteamtovalidatethedata,comparebeforeandafterbaselineinformation,andtofocusonanalysisratherthanondetaileddatacollection.Inothercases,thefinalsurveymaybepartofthefinalevaluationteam’sSOW.
TheissueofwhattodoatfinalevaluationwhenthereisnobaselinesurveywasbrieflymentionedinChapter IV, Section 2, pp . �03-�04.TherecommendationsmadebyBambergeretal.(2006)focusonthefollowingoptions.
1.Reconstructingbaselinedatausing:1)existingdata;2)documentsfromwithinCRS;and3)documentsfromoutsideCRS(e.g.,partners,otheragenciesworkinginthesamearea).Allsecondarydatawouldneedtobecheckedforreliabilityandvalidated.
2.Interviewingpeopleforquantitativeandqualitativerecalldataapplicableatthetimetheprojectwasbeginning.
3.Workingcloselywithkeyinformantswhomayhaveusefulreferencedataonbaselineconditions.
4.UsingRRA/PRAtechniquestoteaseoutthehistoryofthecommunityanditssignificantevents.
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Develop an Initial Work Plan and Logistics Plan
Make a list of major evaluation activities, and develop a work plan in the form of a Gantt chart, much like you did for your project’s Activity Schedule .Theworkplanwilllistevaluationactivities,thepersonresponsibleforeach,startandenddates,andmajormilestones.Youcanthenusethisworkplanasatoolfordialoguewiththeteamand,oncefinalized,tohelpmonitorandmanagetheevaluation.
Logisticsareespeciallyimportantforanyplannedevaluationsitevisits.Respectforpartnersandprojectparticipantsisdemonstratedwhenyoutakethetimetomakeappointmentswithpartners,communitymembers,governmentofficialsandothers.Itisimportanttocommunicateclearlythedatesandobjectivesofanticipatedprojectsitevisitsduringtheevaluation.Examplesofotherlogisticalplanninginclude:
• providingcountrybriefingandsecurityinformationtotheevaluationteam
• organizingfood,transportationandlodging;
• creatingofficespace;
• ensuringaccessibilitytoe-mail;
• settingupcomputerandprintingfacilities;and
• respondingtootherrequirementsoftheevaluationteam.
Finalize the Evaluation SOW
YourinitialdraftoftheSOWshouldnowbefinalized.Thisshouldbedoneincollaborationwiththeteamleaderasshehasoverallresponsibilityfortheprocess,qualityandtimelinessoftheevaluationanditstechnicalcontent.TheteamleadershouldbeactivelyengagedindevelopingthespecificevaluationquestionsandmethodsthatareincludedinthefinalversionoftheSOW.Thedocumentshouldalsospecifyhowfindingswillbesummarizedandanalyzed,bywhomandwhen.(SeetheCRSOne-yearTsunamiResponseEvaluationSOWformoreinformation.)
Phase Two: Implementing and Managing an Evaluation
Implement the Work Plan
TheSOWhasbeenfinalized,yourevaluationteamleaderhasarrivedandhasreadthedocuments,appointmentshavebeenmade,evaluationquestionnaireshavebeenwritten,andeverythingseems“goodtogo.”Now,allthatisneededisfortheevaluationteamtoputtheSOWandworkplanintoeffect,right?Well,yes—butaswithprojectimplementation,evaluationimplementationmaynotbesostraightforward.Itrequiresmonitoringandmanaginganydifficultiesthatarise.
Astheevaluationmanager,alongwithotherappropriatestakeholders,youneedtomonitorworkplanprogress.Youwillwanttoensurethatactivitiesareonschedule,payspecialattentiontomilestones,andensurethatdeliverablesarebeingproduced.Forexample,iflogisticalproblemshampertheevaluation,workwithotherstotakeactionandresolvetheseproblemsearlyon.
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FromTheorytoPractice:UsingTrafficLightstoMonitorProgress
CRSworkedinoneCountryProgramwithconsultantswhousedasimple,butveryeffectivemonitoringtool,theWeekly Status Report,totrackprogressoftheirassignment.TheconsultantssentouttheWeekly Status Reportintheformofasummarye-mailwithanattachedMSExcelworkbookcomprisedofthreeworksheets,asfollows:
• TaskStatusWorksheet;
• ProjectIssuesLog;and
• ProjectRisksLog.
TheTaskStatusWorksheetcontainedeachtaskanditsscheduledenddate.Tomakeiteasytotrackprogress,therewasacolor-codingsystemtoshowifataskhadbeencompleted(green),ifitwasduenextweek(yellow)orifitwasincomplete(red).Acommentscolumncouldbeusedforexplanations,asappropriate.
TheProjectIssuesandRisksLogseachprovidedgreaterdetailaboutissuesandrisksthatcouldpotentiallyaffectprojectprogress.AnimportantelementofeachoftheLogswastheallocationofresponsibilitytoaspecificindividual(the“ActionOwner”)formanaginganissueorrisk,andtheclearidentificationoftheactiontobetakentoaddresstheissueortolessenexposuretotherisk.
AnupdatedversionoftheStatusReportwassentoutonaweeklybasisaccompaniedbyaveryshorte-mailsummarizingthehighlightsoftheweek,bothprogressandpressingissuesandrisks.
You will want to keep a close eye on the external evaluator’s progress .Forexample,ishefullyaddressingthequestionsincludedintheSOW?Didheabsorbtheinformationabouttheprojectcontainedintheprepareddocuments?Doyousensethatheisbringingotheragendastotheevaluation?Regularandopencommunicationwiththeevaluationteamisvital.Inthisway,youcandetectandaddressanyproblemsinatimelymanner.Suchdialoguewillalsobeintheinterestsoftheevaluationteam.Itallowstheteamtokeepyouinformedofwhattheyareseeing,whattheyobserveandpossibleevaluationfindings.Thisdialogue,inturn,strengthenstheteam’sfinalanalysisandlessensanypotentialconflictswhichmightotherwiseariseduringthefinalpresentation.
You will also need to manage the team involved in the evaluation .Youmayhavetomanagerelationshipsamongteammembers(althoughthatisprimarilythetaskoftheevaluationteamleader)ordealwithemerginganxietiesamongCRSanditspartnercolleagues.
Lastly, you will need to manage stakeholders anddecidewhattocommunicateandhowtocommunicateit.Forexample,youmayberesponsibleforholdingregularmeetingstoinformotherstakeholdersofevaluationprogress.
ThinkAboutIt…Being a Servant-leader during Evaluation
Anappropriateroleforyouastheevaluationmanageristhatof“servant-leader,”aconceptintroducedinChapter II, Section �, pg . 20.Aservant-leaderasks,“HowcanIhelpyoutodoyourworkbetter?”andprovidesstrongsupporttohelpateamachieveitsgoals.ItisoneofthetasksofanevaluationmanagertoensurethattheworkoftheinvitedevaluationteamisvaluedandsupportedinapracticalwaybyCRSstaff.
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Analyze and Understand the Data
TheinformationinTable7.8clarifiesthisimportantstepinanyevaluation—turningthedataintousableknowledge.
Table7.8:FourStepstoAnalyzingEvaluationFindings
1 . Description and Analysis • Organizerawdataintoaformthatrevealsbasicpatterns.
2 . Interpretation
• Interpretationsgobeyonddatatoaddcontextanddeterminemeaning.Thisisdonebyansweringthefollowingquestions:
oWhatdotheresultsmean?oWhatisthesignificanceofthefindings?oWhataresomepossibleexplanationsoftheresults?
3 . Judgment
• Thefollowingquestionsareanswered:oInwhatwaysaretheresultspositiveornegative?oWhatisgoodorbad,desirableorundesirablewithintheprojectoutcomes?
4 . Recommendations
• Describewhatshouldbedone.
• Ensurerecommendationscanbeactedupon.
• Allowtimetodeveloprecommendationscollaborativelywithappropriatestakeholders.
(Source: Adapted from Patton �997)
TheIHDframework(orotherappropriateconceptualframeworks)canbeofgreathelpinstepsoneandtwoofTable7.8.Youcanusetheframework’sboxestoorganizedataintomoremeaningfulcategoriesthatshowlinkagesandinfluences.AnIHDlenscanbeincorporatedintothedesignofprojectevaluations,evenifithasnotbeenanexplicitobjectiveoftheproject.Somesampleinitialquestionsthatcanbeaskedincludethefollowing.
• Howhastheprojectstrengthenedhouseholdandcommunityassets?
• Hastheprojectincreasedhouseholdandcommunityresiliencetoshocks,cyclesandtrends?
• Howhastheprojectchangedattitudesorbehaviors?
• Arehouseholdsandcommunitiesbetterabletoinfluencestructuresandsystems?
• Havehouseholdsorcommunitiesdevelopedneworimprovedlivelihoodstrategies?
Eachoneofthesequestionsshouldtriggeradditionalanalysis;forexample,whenyourefertohouseholdsandcommunities,doyoumeanallhouseholds,oraretheirdifferenceswithinandbetweencommunities?Ifso,why,andhowdoesitaffecttheevaluation’srecommendations?Howdoconcernsaboutgenderaffecttheevaluation’sfindings?
Utilization-focused Communication
Evaluation reportsmay be used for a variety of purposes .Theymay:
• promote dialogue and understandingoftheprojectamongstakeholders; • demonstrate accountabilitytodonorsandotherstakeholders; • demonstrate results inordertogainsupportfromstakeholders; • assess the value-added oftheproject’sinvestmentcomparedwithotherpossibleusesof
thoseresources; • educatereadersbyreportingfindingstohelporganizationallearning and • strengthen advocacybyusingevidencefromfindings.
(Source: Adapted from Kusek and Rist 2004)
Reflection Opportunity 1 . Inyourexperience,whatotherpurposesareservedbyevaluationreports?
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Evaluation Report Format IntheevaluationSOW,thedraftreportoutlineorformatwasincluded;thiswillneedtobe
discussedwithandagreeduponbytheevaluationteam.Afterall,it’stheirresponsibilitytowritethereport!First,checktoseeifthedonorhasaprescribedformat.Many evaluators like to develop an outline for the report as early as possible since it helps structure their approach to the conduct of the evaluation;itactsasachecklistoftopicstocover,helpingthemstayoncoursefordeliveringthefinalproduct.
Mid-term,finalorex-postevaluationreportsshouldincludetheinformationlistedintheTable7.9.Ensurethatyouadaptthisformattorespondtoyourevaluationusers’needs.
Table7.9:GenericEvaluationReportFormat
Executive Summary • IncludekeyevaluationfindingsandrecommendationsintheExecutiveSummary.
Introduction • Clearlystatethepurposeofthereport,evaluationquestions,projectbackgroundandobjectives.
Evaluation Description • Describethepurpose,methodologyandanyrelatedconsiderations.
• Notewhodidtheevaluationandwhenitwasimplemented.
Presentation of Findings
• Dependingonthecontext,organizethefindings(andrelateddata)aroundevaluationquestions,majorsectors,orIRsandSOs.
• Usecharts,tablesandphotographswheneverpossibletocommunicatefindingssuccinctlyandclearly.
Conclusions and Recommendations
• Connecttheconclusionsandrecommendationstothecorrespondingevidence.Recommendationsshouldclearlyfollowfromandbesupportedbytheevaluationfindings.
• Beawarethattheconclusionsandrecommendationsmaybetheonlythingsoutsidereadersturntoinanevaluationreport!
• Differentiatebetween“major”and“minor”recommendations:thosethatrequireimmediateattention(major)andthoseaimedatlonger-termdevelopmentoftheproject(minor).Avoidlong,indiscriminatelists!
• Offermultipleoptionswithassociatedcostsorrisks.
• Focusonactionsthatarewithinthecontrolofintendedusers.
• Thinkabouthowrecommendationscanbewrittensothatfollow-upactioncanbetaken.
References • Indicatethedocumentsthathavebeenconsulted.
Appendices
• EvaluationSOW
• PITT
• Listofteammembers
• Sitesvisited
• Listsofpeopleandorganizationsconsulted
• Listofacronyms
• Mapofprojectarea
• Otherinformationthatsupportswhatiswritteninthemainreport(e.g.,moredetailedtabulations,amorecomprehensiveexplanationofthesamplingmethodology,etc.)
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Findings and recommendations from a diagnostic study (see ChapterVII,Section1,pg.221) may best be communicated by aproblem diagnostic report.AsampleformatisshowninChecklist7.5.
Checklist7.5:SampleDiagnosticStudyReportFormat
Shortstatementdefiningtheproblemandhowitwasidentified. Descriptionofunderlyingcausesandtheprojectcontext. Assessmentofhowtheproblemisaffectingprojectimplementation. Discussionofpossiblecoursesofactionandrecommendations.
(Source: Casley and Kumar �987)
Lessons Learned Manyevaluationscallforlessonslearned.A lesson learned is a general principle that can be
applied in other situations to improve a project .Identifyinglessonslearnedhelpsshareandpromotesuccessesandavoiderrorsormistakes.
Strongandwell-writtenlessonslearned:
• include a general principle than can be applied in other situations .Donotwritethelessononlyasanobservation,descriptionorarecommendationthatlacksjustification.
• explain the lesson in the context of the project.Forittobeusefultootherpeople,theyneedtounderstandthesituationinwhichitoccurred.Relatingthelessontoassumptionsonwhichtheprojectisbasedcanhelpothersunderstandwhat,exactly,hasbeenlearned.Forexample,youmaywrite,“Weassumed,incorrectly,thatwomenwouldbeabletoparticipateintrainingworkshops.Wenowknow...”Thishelpsyouavoidusinggeneric,non-specificlanguage.
• justify the lesson with proof of why it is valid .Clarifywhereitcamefrom—monitoringdata?Fieldobservations?Aprojectevaluation?
• avoid extremes—lessonslearnedshouldbeneithertoogeneralnortoospecific.
(Source: IFAD 2002)
Reflection Opportunity 1. Consider the following statement submitted as a lesson learned:Considerthefollowingstatementsubmittedasalessonlearned:“Partnersshouldbemoreinvolvedintheprojectdesign.”
2. How would you rewrite this to be a “strong” lesson learned?Howwouldyourewritethistobea“strong”lessonlearned?
FromTheorytoPractice:LearningLessonsinSouthernAfrica
AnexcellentexampleofalessonslearneddocumentistheTop �0 C-SAFE Initiatives in Monitoring and Evaluation (Owubahetal.2005).Itcontains10shortdescriptionsofM&Eapproaches,tools,andtechniquesthattheC-SAFEprogrameitherdevelopedoradaptedinordertomeettheinformationneedsoftheprogram.TheaimofthisdocumentistosharebetterpracticesandlessonslearnedinM&E,withtheultimategoalofimprovingprogramqualitybothwithintheC-SAFEmembership,aswellasofotherinterestedstakeholders.
Success and Learning Stories ThereisagrowinginterestonthepartofdonorsandCRStoreceivestoriesaspartofregular
reporting.Thesestoriesalsosupportlearningaboutthehumanimpactofprojects.CRShasdevelopedguidance—Success and Learning Story Package: Guidelines and Tools for Writing Effective Project Impact Reports—onhowtowriteclear,consistent,andwell-documentedsuccessstoriesorlearningstories.ThePackageofferssuggestionsandguidancetowritestoriesthatmoreconsistentlyprovideinformationonimpactandhighlightkeyaccomplishmentstopartners,donors,CRSandotherstakeholders.
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Report Writing Mostevaluationreportsarewrittenbyanindividualorsmallteam.Considerways,however,
toinvolvemorepeopleintheprocess.Undertakeninacreativeandsensitivemanner,reportwritingprovidesanotheropportunitytostrengthenthecapacityofpartnersandcommunitymembersand,thus,existingrelationships.Forexample,CRS/Indiadocumentedbestpracticesinvolvingprojectstakeholders—someofwhomarepre-literate—usinganinnovativetechniquecalledthe“Write-Shop.”
FromTheorytoPractice:ParticipatoryReporting—Write-Shop
Write-Shopisawayofhelpingprojectparticipantstobeactiveinformationcreators—notjustpassiveinformation-providers.Theyhelppeopleovercomelimitations,suchasilliteracythatpreventthemfromtellingandanalyzingtheirownexperienceswithinaproject.Write-Shopsareorganizedasworkshopsthatinvolveanumberofevaluationstakeholders,including:
• participantsfromtheprojectsite(individuals,community-basedorganizationmembersorothers)whoaretheauthorsofthestories;
• facilitatorswhoprovideadditionalinput;
• CRSorpartnerstaffwhoactaseditorsandhelpsupporttheauthors;and
• illustratorsorartistswhohelptovisualizethestoriesthroughdrawingsandsketches.
Authorsandcasestudiesareidentifiedpriortotheworkshop.Theauthorpresentsorreadsherstorytothefacilitators,whohighlightbestpracticesorlessonslearned.Next,theauthorworkswiththeeditorstorefinethestory.Illustratorspreparethedrawings.Thestoryisthentypedintoacomputer,andtheillustrationsarescannedandplacedinthetext.Thedraftispresentedonceagaintothefacilitators,whoexamineitonelasttimeforcontent,language,andappropriateness.Finally,thedraftiscompletedandcreditgiventotheauthor.
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One Hand Can’t Clap By ItselfisanexampleofaWrite-ShopproductandisincludedontheProPackIICDROM.
Debriefing
Debriefing usually involves a series of short meetings .Theseareheldaccordingtoanagreeduponschedulebetweentheevaluationteam,theevaluationmanagerandotherkeyprojectstakeholders(e.g.,CRSstaff,partners,andprojectparticipantswhohavebeenheavilyinvolvedintheprocess).Duringthesemeetings,the evaluation team shares its observations, findings, conclusions and recommendations,asappropriate.Itisalsoagoodopportunitytoraiseanyissuesthatthemanagerwillneedtoresolve.Theaimistostrengthendialogueandjointownershipoftheevaluationprocess.Bydoingthis,itismorelikelythatallstakeholderswillaccept—andimplement—theteam’sfindingsandrecommendations.
Withanongoingdialogue,youwillhaveabetterideaofwhatwillbepresentedatthefinaldebriefing.Thefewersurprisesthereareatthisfinalmeeting,thebetteritisforallparties.Atthefinaldebriefing,itishelpfultousevisualdisplaysofinformationwheneverpossible,suchaspiecharts,bargraphsordistributionmaps.Thesehelptocommunicateevaluationinformationquicklyandclearly.
Youmaywanttoholdadditionaldebriefingmeetingswithotherkeyevaluationstakeholders—localgovernmentofficials,thedonorrepresentative,otherCRSprogramstaff,etc.Inthesemeetings,theevaluationteamleaderusuallypresentsthemethodologyusedandthefindingsandrecommendationsfromtheevaluationreportbeforeansweringquestions.Theearlierongoingprocessofdialoguebetweentheevaluationteamandthemanagerwillhelptoensurethatasharedunderstanding,andacommitmenttoactontherecommendations,ispresentedtootherkeystakeholdersatthesemeetings.
Evaluate the Evaluation!
Beforeyourevaluationteamdisbands,evaluatetheevaluationprocess.Youcandothisbyusingthelearningreviewquestionsin Section �, pg . 222 ofthischapteror withthesethreequestions.
1. What went well, and why?Whatwentwell,andwhy? 2. What was challenging, and why?Whatwaschallenging,andwhy? 3. What would you suggest doing differently for your next evaluation?Whatwouldyousuggestdoingdifferentlyforyournextevaluation?
Youcanalsoconsultthelistofevaluationstandardsnotedearlierinthischapter(seeSection �, pg . 2�8).Selectstandardsthattheteamdecidesarerelevanttoyoursituationandusethemascriteriaforassessingthequalityofyourevaluation.
Chapter VI, Section 2, Checklist 6 .3, pg . �73includedasampleevaluationformfortechnicalassistance.Youcanusethisformtoevaluatetheassistanceprovidedbytheevaluationleader.
Assignsomeonetodocumentyourassessmentoftheevaluation,andtomakeitavailabletoothersintheCountryProgram,regionaloffice,andinPQSD,sothatyourexperiencescanbesharedmorewidely.ItwillbeofgreatusetootherCRSCountryProgramsandstaffwhoconductevaluations.
Phase Three: Using an Evaluation Youandyourpartnerneedtopromoteuseoftheevaluationfindingsbyintendedusers.Never
assume that evaluation recommendations will be adopted without some action on your part!Youraimistomaximizethelikelihoodthatanyfollow-upinterventionsareinformedbythisnewlearning.
FromTheorytoPractice:HowDidWeDo?UsingtheFinalEvaluationFindings
OneCRSprogramhadbeenimplementingaTitleIIprograminthenorthofthecountry.Theprojectwasscheduledtofinish,andanexternally-ledfinalevaluationhadbeenplanned.Atthesametime,itwasclearthattheCountryProgramwaskeentosubmitaproposalforafollow-onproject,andassistancewassoughtfromtheregionalofficeandheadquarterstoparticipateinadesignteam.
Theprojectmanagerwasintentonschedulingthefinalevaluationsothatitwouldfeeddirectlyintothedesignprocessforthefollow-onproject.Thiswasnotaneasytaskgiventhatthisinvolvedjugglingthevariousworkschedulesofthoseinvolvedinthetwodifferentprocesses.Aftermuchcorrespondence,however,theywerefinallyabletosynchronizetheirschedules.Duringthecourseoftheprojectdesignworkshop,theevaluationteamleaderpresentedhisinitialfindingstothedesignteam,whichwascomposedofCRSandpartnerstaff,andthedonor.Thefindingsincludedsomeimportantissuesaboutprojectperformancethatinformedandinfluencedtheirwork.
Iftheprojectisongoing,itmaybeharderthanyouthinktohelpstaffandpartnersmakeneededchanges,becausetheyareoftenverycommittedtothewaytheyarealreadydoingthings.Althoughitisrarelystraightforward,changingattitudesandpracticesisfacilitatedbytheadoptionoftheutilization-focusedapproachtoevaluations.Asyouhaveseen,thisapproachfostersownershipofthefindingsandrecommendationsamongprojectstaff.Thisisconducivetoseekingchangeinpracticesaftertheevaluationhasbeencompletedandthefindingsdisseminated.
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Youmaybeinasituationwhereevaluationfindingsandrecommendationsaresensitive.Insuchcases,presenttheminawaythatfocusesontheinterestsofprojectparticipantsandpromotesproblem-solving.Thiswillhelppreventprojectstakeholdersfromtakingadefensiveposition.
Don’t Forget!
ReviewChapter II, Section 3, pp . 55-56 forinformationonconflictmanagement.
Use Evaluation FindingsUFEsemphasizethat“use”involvesmakingdecisionsandimprovingprojects,amongotheractions—notjustwritingupevaluationreportsanddisseminatingthem.Thesekindsofdecisionsandactionsmaytakeplaceimmediatelyaftertheevaluationiscompleteortheymayfeedintolonger-termprojectplanninganddesign.
FromTheorytoPractice:UsingtheFindingstoGetBackonTarget
OneCRSCountryProgramcarriedoutaMTEofitsDAP.Theevaluationwascriticaloftheproject’sslowpaceofimplementation,poorchoiceofmethodologies,weakparticipatoryapproaches,andlackofprogressinmeetingtheobjectivesofitsPITT.Basedontheresults,theCountryProgramorganizedaworkshopwithallstakeholderstoreviewtherecommendationsoftheevaluationandplanactivitiesfortheremaining2½yearsoftheprogram.Theevaluationservedastheimpetusforallstakeholderstofocusonhowtheycouldbestapplytheirtalentsandenergiestocontributetowardaccomplishingtheprogram’sobjectives.
Using Periodic or Mid-term Evaluations
IftheevaluationisaMTEorotherkindofformativeevaluation,considerholdingameetingorworkshopwhereprojectstakeholdersreviewthefindingsandrecommendationsandintegratetheseintothenextphaseofprojectplanning.Spendtimediscussingtheimplicationsoftheevaluationfortheremainingtime-periodoftheproject.YoumaydecidetorevisetargetsonthePITTworksheet,revisetheDIPActivitySchedule,ortakeotheractions(withintheparametersofthebudgetandprojectAwardAgreement,ofcourse).
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FromTheorytoPractice:UsingtheMTEtoEffectChange
Introduction PQSDadministersanInstitutionalCapacityBuildingawardfromUSAID/FFP.Theobjectivesofthis
grantaretoreducefoodinsecurityinvulnerablepopulations;buildcountry,regional,andpartnercapacitytomanagerisk;andtoaddressmajorfoodsecuritychallenges.Additionally,PQSDseekstousetheawardtounderstandandinfluencepolicyandtomeasureanddocumentimpact.
OriginalDesign TheoriginalsubmissionincludedaPITTdocumentingtheperformanceindicators(impactand
monitoring)andassociatedtargetsforvariouslevelsofobjectives.
MTE WithsignificantchangesinPQSDpersonneland2½yearsofimplementationexperience,initialMTE
discussionshavehighlightedtheneedtoseekUSAID/FFP’sapprovaltoamendthecontentandtargetsoftheoriginalPITTtoreflectchangesintheoperatingenvironmentandimplementationrealities.
Belowisanexampleofhowanumberoflearning-orientedevaluationshelpedtoshapethephasesofaCRSeducationprograminVietnam.Inthisexample,MTEandfinalevaluationfindingswereusedtoimproveprojectdesignandscale-upprogrameffortstoincludeadvocacyandpolicyinfluence.
FromTheorytoPractice:LearninginEducation
In1992,CRSandtheVietnameseNationalInstituteforEducationSciencespilotedsmallprojectstopromoteinclusionofdisabledchildrenineducationsettings.Basedonanevaluationofthepilotphase,modelsofInclusiveEducationandcommunitysupportwererefined,includingimprovedteachertrainings,integrationwithhealth,andinvolvementofcommunitysupportgroups.Theserefinedstrategieswereimplementedinthreenorthernprovinces.TheMTEshowedmanypositivetrends,suchasfurtherinclusionofdisabledchildren,increasesinpublicawarenessaboutdisabilities,andimprovementofeducationforallchildreninprojectareas.TheseresultsledtoCRSandothersundertakingjointadvocacyeffortsatthenationallevel.InDecember2000,thenumberofchildrenwithdisabilitiesenrolledinschoolsinprogramareasincreasedby25%,andthegovernmentmadeinclusiveeducationacentralcomponentinthenational10-yeareducationstrategy.
Communicate Knowledge from the Evaluation
Therearemanywaystopresentevaluationreportfindingsandrecommendationsbesidessimplydisseminatingthewrittenreport.YoumaywishtowriteupanddistributeaonetotwopageExecutive Summarythatnotesmajorfindingsandrecommendationsinabulletedformatandincludesaverybriefoverviewoftheevaluationpurpose,majorquestionsandresearchmethods.
Oral presentationscanbemadeusingwhateverresourcesarelocallyavailable.MoreformalpresentationsmightdemandtheuseofPowerPointslides,butothersettingsmaydemandlessformality(e.g.,flipcharts).TheRRA/PRAliteraturecontainsmanyideasthatcanbeadaptedtodifferentsituationswhenmakingcommunity-basedpresentations.Asyouprepareyourpresentation,keepinmindwhatkindofinformationyouraudiencewillbemostinterestedinandhowbesttoengagetheirattention.Inoralpresentations,speaksimplyandclearly,andavoidpresentationsofdetaileddata.Telltheaudiencewhatyouwillsay,sayitandthensummarizewhatyousaid!Beflexibletoallowforaudienceinterestandquestions.
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Visual presentations canoftenconveyinformationmoreeffectivelythanwrittendocumentsororalpresentations.Charts,diagrams,tables,maps,graphsorothertoolscancommunicatekeyinformationataglance,makeiteasiertoshowcomparisons,illustratepatternsandtrendsandprovideawelcomealternativetopresentationsthatcontainonlynarrative.
Finally,ifappropriate,look for ways to make evaluation presentations a learning event for those participating.Asyoupresentthedata,guideattendeesthroughtheanalysisyouundertooktoreachyourfindingsandrecommendations;explainwhyonerecommendationwaspreferredtoalternativeoptions;encourageaudiencefeedbackandparticipationand,thus,ownershipoftheoutcomesofthediscussion(CasleyandKumar1987).
Update the PTS ThePTSasksforevaluationabstractsformid-termandfinalevaluations.Therearethreefieldsto
completeforevaluationinformation,asdescribedintheReportingsectionoftheProjectTrackingSystemUserManual(CRS2004).Notethemaximumofonly2,500charactersintheEvaluationAbstracttextfield,soensurethatonlythemostimportantinformationisentered.
Inputdataintothesefieldsusingtheguidelinesbelow:
Mid-termEvaluations Therearethreemainthingstoreporton:
1. Assessment of achievements to date on the key Activities, Outputs, IRs and, if possible,AssessmentofachievementstodateonthekeyActivities,Outputs,IRsand,ifpossible,SOs.Theinputteddatashouldincludeanypositiveornegativeunanticipatedeffects.ReportingshouldbereferencedagainsttheActivities,Outputs,IRsandSOslistedandnumberedinthePTSProjectGoalandObjectivesfield.
2. Any special problems and significant changes in project design (in relation to theAnyspecialproblemsandsignificantchangesinprojectdesign(inrelationtotheprojectproposal).
3. Key recommendations for addressing problems/making course changes in project designKeyrecommendationsforaddressingproblems/makingcoursechangesinprojectdesignandimplementation.
FinalEvaluations/Reports Therearethreemainthingstoreporton:
1. Assessment of whether key mid-term recommendations were acted upon, why or whyAssessmentofwhetherkeymid-termrecommendationswereactedupon,whyorwhynotandwithwhatoutcomes.
2. Assessment of achievement of the SOs—interpreting achievements or lack thereof inAssessmentofachievementoftheSOs—interpretingachievementsorlackthereofinrelationtotheassessmentandotherfactorstheevaluatorsthinkarerelevant.
3. Lessons learned for the design and implementation of such projects in the future, whetherLessonslearnedforthedesignandimplementationofsuchprojectsinthefuture,whetherbyCRSaloneorthedevelopmentalreliefcommunityworldwide.
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SECTION 3
PROJECT CLOSE-OUT
SECTION OVERVIEW
Figure7.2:Close-outwithintheProjectCycle
PROJECTMANAGEMENT
Design project Submit
proposal and secure
funding
Complete midterm
evaluation
Complete final
evaluationand close-out
project
Undertake assesment
Writeconcept
note andsecure
support
Initiate“LearningBefore”
Encourage“LearningDuring”
Continue“LearningDuring”
Promote“LearningAfter”
DetailedImplementation
Planning
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
IMPLEMENT
PROJECT
ACT
LEARN
MONITOR
Youmaythinkthatafinalevaluationclosesthechapterontheprojectyoumanage.Thisisincorrect—youstillhaveimportantworktodo!Projectshaveaspecifiedenddate,andyouneedtoplanforclose-out(asshowninFigure7.2above)sinceitisthecrucialfinalstageoftheprojectcycle.Thisinvolvesanumberoftasksrelatedtoprogram,financialandadministrativeclosure.Forexample,alltherequiredreportsmustbesubmitted,projectstaffandotherresourcesmustbere-deployed,andprojectdocumentationmustbewell-organized,onfileandaccessibleforfutureuse.
InSection3,youwilldothefollowing:
• understandtheimportanceofprojectclose-out;and
• reviewclose-outrequirementsforCRS.
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INTRODUCTION
The“FromTheorytoPractice”FailuretoPlanstoryillustrateswhatcanhappenwhenprojectclose-outiscarriedoutincorrectly.Afterreadingthestory,answertheReflectionOpportunityquestionstolookmorecriticallyatyourownprojectclose-outpractices.
FromTheorytoPractice:FailuretoPlanfortheEndfromtheStart
Davidisanewprojectmanager.Anauditteamisarrivingin-countrytoexamineaprojectthatendedayearago.Davidisresponsibleforpreparingthereportsandinformationtheauditteamwillneedbecausenoonefromtheformerprojectisstillonstaff.Oneweeklater,Davidisfrustratedbyhishuntforinformation—allofhiscurrentworkhassuffered,andheisnotmuchclosertohavingtheinformationtheteamwillneed.Progressreportswerefiledincorrectly,andmanyappeartobemissing.Properdocumentationtosupportprojectcostsisalsohardtofind.Thereasonsforsomecostre-allocationswerenotdocumentedclearly,andtheCountryProgramteamisquiteworriedaboutunallowablecosts.
Reflection Opportunity 1. What other problems may arise from the situation described inWhatotherproblemsmayarisefromthesituationdescribedintheFailuretoPlanstory?
2. How does your experience with project close-outs compare toHowdoesyourexperiencewithprojectclose-outscomparetothisstory?Whenhavetheygonewell,andwhy?Whenhavetherebeenproblems,andwhy?
THE IMPORTANCE OF PROJECT CLOSE-OUT
TheFailuretoPlanstoryillustratestheimportanceofplanningandcarryingoutclose-outtasksbeforetheendoftheproject.Inthelongrun,aninvestmentingoodprojectmanagementpractices—fromsystematicfilingtocarefulfinancialmanagement—savestimeandmoney!Remember to plan for the end of the project from the very beginning of project design, planning, and implementation .
Projectclose-outisacrucialprocessthathelpsidentifyanyproblems(suchascoststhatarenotjustified)beforetheendoftheproject,providinganopportunitytocorrectthem.Itinvolvesactivitiesthatwrapthingsupinawell-planned,clearandaccountablemanner.
ThinkAboutIt…Audits Are Routine Business in CRS
Auditsusuallyexaminewhetherfinancialoperationsandstatementsareincompliancewithlegalandcontractualobligations.Mostprojectauditsaredonebyanexternalauditfirm;yourdonorwilltellyouifoneisrequired.Theauditorwillverifyprojectexpendituresbyinspectingfinancial,procurementandhumanresourcerecordsatCRSandpartners’offices.ShewillreviewtheprogramandfinancialreportingtoensureitcomplieswiththeAwardAgreement.Shemayalsowanttovisitprojectsitestoverifythatreportedactivitiesoccurred,e.g.,that50houseswerebuilt.CRSconductsaninternalauditofeachCountryProgramatleastonceeverythreeyears.ThisisusuallysufficientforUSG-fundedprojects,whichgenerallydonotrequireaspecificprojectaudit.
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CLOSE-OUT PART A: THREE MONTHS BEFORE PROJECT END-DATE
Whileyoushouldalwaysplanfortheendfromthebeginning,you should begin more intensive preparation for project close-out three months before the project award expires.CRSprojectmanagersareoftenreassigned,soitisimportanttostartthisprocessbeforeinstitutionalmemoryislostorinaccessible.Close-outplansforlargeorcomplexprojectsmustalwaysbedevelopedwithprojectstakeholders,especiallywhennofollow-onactivitiesareplannedbyCRS.Eightstepsaredescribedbelowforclose-outthreemonthsbeforetheendoftheproject.
Somedonorsfundingcomplexprojectsmayrequireyoutosubmitaformalclose-outplan.AnexamplefromUSAIDisavailableatthefollowingwebaddress:http://www.usaid.gov/our_work/humanitarian_assistance/ffp/closout.htm
Step One: Set Expense Cut-off Date ReviewtheBCRandAwardAgreementwiththefinancemanager.Youshouldclearlyestablish a
cut-off date after which no more expenses can be chargedto the project, andcommunicatethisinformationtoprojectstaffandpartners.
Whatshouldyoudoifaninvoiceorliquidationarrivesaftertheendoftheproject?Expensesaregenerallyallowableaslongastheequipment,supplies,orservicesweredeliveredonorbeforetheprojectend-date.Theamountoftimeyouhaveavailabletopayorliquidatedepends,however,onthesourceofprojectfunding.Table7.10describestheproceduresfordifferentfundingsources.
Table7.10:LiquidationProceduresAccordingtoFundingSources
CRS
CRSallocation-fundedprojectsendonSeptember30th.Itisnotpossibletochargeanyexpensesafterthisdate.IfaninvoicewillbedeliveredafterSeptember30th(forgoodsorservicesperformedonorbeforethatdate),ensuretheFinanceManageraccruesthecost.Thiswillensuretheexpenseisrecordedinthecurrentfiscalyear.
USG
USGprojectsallowa90-dayliquidationperiodaftertheendofthegrant.Note,however,thatallfinancial,performanceandotherreports,asrequiredbytheAwardAgreementareduewithin90calendardaysafterthedateofprojectcompletion.Forexample,youhaveupto90daystopaythecostsforatrainingworkshopthattookplacebeforetheawardcompletiondate,butsinceallfinancialreportsareduewithin90days,theactualamountoftimeavailabletosettlesuchcostsisshorter.ConsultOMB Circular A-��0 Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations . http://www.whitehouse.gov/omG/circulars/a110/a110.html
UNHCR
TheSub-ProjectAgreementindicatestheterminationdatefortheSub-ProjectandtheliquidationdateforallSub-Projectdisbursements.TheliquidationdateisusuallyonemonthaftertheterminationdateandisthelastdateonwhichtheimplementingpartnercanmakedisbursementsagainstSub-Projectcommitments.Nonewcommitmentsaretobeenteredintoaftertheterminationdate,andoutstandingcommitmentsmustbedeclaredintheSub-ProjectMonitoringReportdueafewdaysaftertheterminationdate.
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Step Two: Review Planned Expenditures and Activities for Final Months Withthefinancemanagerandpartner,discussplansforexpendituresoverthefinalfewmonths.
Equipment,suppliesorservicesmustbedeliveredorcompletedonorbeforetheprojectenddateinorderfortheexpensetobeallowable.(Auditexpenseistheoneexception,becauseitcanonlybeinitiatedoncethefinancialreportiscompleted.)
Discussthesequestionswithprojectimplementersandfinanceandadministrativestaff.
• Ifyoustillneedtoorderequipment,willitbedeliveredintime?
• Isapurchaseatsuchalatestageintheprojectcycledefendabletothedonor?
• Ifyouareplanningmeetingsorworkshops,willtherebesufficienttimetoprocessparticipanttravelexpenseclaims,hotelinvoices,etc.?
• Canalltheexpensesforactivitiesplannedinthefinalmonthsbepaidwithintheliquidationperiodallowedbythedonor?
Financeandadministrationstaffcanensurethatvendorssubmitdocumentationpromptlyiftheyknowwhichexpensesmighthaveatighttimeframeforpayment.
Ifyourprojectisunder-spentatthisstage,youmayaskthedonorforano-costextension(i.e.,anextensionbeyondtheoriginalend-datewithoutanincreaseinfunding).Youcanrequestthisifyoucannotmeettheprojectobjectivesbytheend-dateorifyouareconsideringrevisingthescopeofactivitiestoprogramexcessfunds.Anyno-costextensionwillrequire,atminimum,aconsultationwiththedonorandmayrequireformalwrittenapproval.
Step Three: Review Income and Expenditures Withthefinancemanager,gooverChecklist7.6toassesswhetheryourproject’sfinancesare
undercontrol.
Checklist7.6:ProjectClose-outGeneralIncomeandExpenditureReviewQuestions
Iffundingisininstallments,areyouup-to-datewithyourrequests? Hasthedonorsenttheinstallmentsyourequested? Aftercurrencyconversion,doyouhavethesameamountoffundingthatyouprojected? Areallprojectstaffcurrentwiththeirtimesheetsubmissions?Forinternationalstaff,
checkthe“MissingTimesheetReport”ontheIntranet. Areyousurestaffhavebeencodingtheirtimesheetscorrectly? Wereallexpenditurescodedtoyourprojectaccurateandallowable? Didyounotifythefinancemanagerofanyerrorsorre-classifications?Werethe
changesprocessed? Areanticipatedexpensesmissing(e.g.,flightcostforatriptakenthreemonthsago)? Haveyouexceededthebudgetincertainareas?Isitwithinthelevelspermittedbythedonor? Ifyouareconsideringano-costextension,willyoubeabletocompleteprojectactivities
andhavesufficientfundingtocoverstaffandothercostsforthedurationoftheextension? Arestaffliquidatingtheirreceivablesontime?Arethereanyold,largebalancesthat
requirefollow-up?Areanyreceivablesthatrelatetoyourprojectcodedelsewhere? Isequipmentcorrectlycodedtotheproject?Ifcapitalized,aredepreciationexpensesrecorded? Arepartnersliquidatingadvanceswithin90days?Arethereanyold,largebalancesthat
requirefollow-up?Whatwillbetheimpactonthebudgetlineitems? Areyouontargettomeetthecost-sharerequirement?Ifthecost-sharespendingrateis
more,orless,thanthatoftheaward,doyouneedtore-classifycoststoensurethatCRSmeetsitslegalliability?
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Step Four: Select an Auditor If an external audit is requiredIf an external audit is required,you should work with administrative and finance staff to
appoint an auditor .Usuallythisservicewillbecontractedoutafteracompetitivebiddingprocess.Again, take a look at your project agreement to see what is required by the donor! Itisalsoagoodideatocontactthedonorwiththesequestions.Thedonormay:
• wishtobeinvolvedintheselectionprocess;
• requirethatyouuseaninternationalfirmratherthanalocalfirm;and
• havespecificguidelinesforauditorstofollow.
Ifrequested,yourDRD/MQandCRS’InternalAuditDepartmentcanprovideadviceontheSOWandauditfirms.BesuretoprovideallAuditReportstoheadquartersaspartofthefinancial“year-endclose”process.
Step Five: Determine Use of Project Equipment, Supplies and Commodities InconsultationwithyourCountryRepresentative,makeplansfortheuseofprojectequipment,
suppliesandcommoditieswhentheprojectends,subjecttoanydispositionrequirementscontainedintheAwardAgreement.
Table7.11:USGandUNHCRGuidelinesforDisposingofProjectEquipment,SuppliesandCommodities
USG
IfCRSwishestocontinuetouseequipmentandsuppliesfortheoriginalproject,ortotransferthemtoanotherfederallyfundedproject,thenCRSisrequiredtonotifyUSGthroughtheDispositionReport.
IfCRSwishestotransferequipmentorsuppliestoanon-federallyfundedproject,thenformaldispositionapprovalisrequiredasfollows.
• USAID—capitalequipmentwithaunitmarketvalueof$5,000ormore,andunusedsupplieswithanaggregatemarketvalueof$5,000ormore(22CFR226).Thisalsoappliesiftheequipmentandsupplieswerefundedwithmonetizationproceeds.
• FFP—CommodityStatusReportandAERprovideadequateinformationonunusedcommodities(Reg.211).
• StateDepartment—mustrequestdispositionapprovalforallequipment,nomatterwhatvalue.
UNHCR
ImplementingpartnersarerequiredtoconsultwithUNHCRatleast90dayspriortotheterminationoftheproject.UNHCRdecidesontheeventualdisposaloftheassets,whichcanincludere-deploymenttoanotherUNHCRofficeoroperation,sale,transferofownershiptotheimplementingpartnerorwrite-off.
Step Six: Discuss Deployment of Project Staff Canstaffbereassignedtoanewprojectafterthisoneends,orwilltheircontractsneedtobe
terminated?Ifyouhaven’talready,youneedtodiscussthefutureofyourprojectstaffwiththeCountryRepresentativeandthehumanresourcesmanageratthistime.ThisisimportantforstaffmoraleandtoensuretheyhavetimetolookfornewemploymentifprojectstaffwillnotstaywithCRS.
ConsultlocallawsandtheCRSpersonnelmanualinyourcountrytoensurecompliancewithlocalpracticesandtoprotecttheagencyfromfutureliability.Forinternationalstaff,consulttheCRSPersonnelPolicyManualregardingtermination.(SeeCRSResignation/TerminationpolicyonthehumanresourcessectionoftheIntranet.)
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Step Seven: Review Fulfillment of Reporting Requirements Youshouldconfirmthatallreportingrequirements,financialandnarrative,areup-to-dateand
consistentwiththerequirementsoftheAwardAgreement.ThisshouldbeeasyifaMasterProjectFilewascontinuallyupdatedduringprojectimplementation.
Step Eight: Meet with Stakeholders Stakeholderssuchaspartners,governments,andprojectparticipantshavearighttobeconsulted
whenaprojectcomestoanend,especiallyifnofollow-onactivitiesareplanned.Forlargerprojects,youcaninvolvetheminthedevelopmentofaformalclose-outplan.Forsmallerprojects,theclose-outplanshouldaddressfinalpayments,ownershipofequipmentandotherissues.Theclosingoftheprojectandhandlingofallassetsshouldbecleartostakeholders.Awell-managedprojectcanturnsouratthisfinalstageiftheclose-outisnothandledwell.
CLOSE-OUT PART B: AFTER THE PROJECT ENDS
Thereareotherfinancialandadministrativeprojectclose-outtasksthattakeplaceaftertheprojectenddate,buttheseshouldbeconsiderablyeasiernowthatyouhavecompletedtheaboveeightclose-outplanningsteps.Thefourstepstofollowattheendoftheprojectaredescribedbelow.
Step One: Complete Financial Closure StaffareresponsibleforthefinancialclosureofallprojectsmanagedwithintheCountryProgram.
Theprojectmanagerandthefinancemanagermustworktogethertoensurethatallprojectexpendituresarevalidandcomplete,thatcost-sharerequirementsaremet,andthatnoassetsandliabilitiesremaincodedtotheproject.InthecaseofprojectsfundedbytheUSG,theCountryProgrammustcertifytotheOverseasFinanceDepartmentinheadquartersthatallfinanceclosurestepshavebeencompleted.
GothroughChecklist7.6againinClose-out Part A: Step Three.Then,workwithyourfinancemanageruntilyoucananswer“Yes”totheadditionalsixquestionsinChecklist7.7,whichareapplicabletoallprojectclosures.
Checklist7.7:KeyQuestionsfortheFinancialClosureofProjects
Hasallpermittedfundingbeenreceivedfromthedonor? Haveallreceivables(projectadvances,traveladvances,andadvancestovendors)been
liquidatedortransferredtoanotherprojectnumber? Haveallpayablesbeenpaid? Havethebalancesoninter-fundreceivablesandinter-fundpayablesbeencleared?
Hasallequipmentbeendisposedofinaccordancewithdonorrequirementsortransferredtoanotherproject?
HasCRSmetitscost-shareliability?
The Final Financial Report is now ready to be prepared .Formostprojects,theFinalFinancialReportispreparedbytheCountryProgram.ForUSGawards,theFinalFinancialReport(titledtheSF269)ispreparedbytheOverseasFinanceDepartment.
TheFinalFinancialReportmustreconciletothefinancialdataonSunSystems.Youmustreviewthereconciliationandapprovethereport.ForprojectawardsreportedinUSD,SunSystemsandtheFinalReportmustshowexactlythesamefigures.Forprojectawardsreportedinlocalcurrency,orhardcurrencyexceptUSD,theremaybesomeexchangedifferences.Ifthereconciliationlistsanyexpensesthatneedtobereclassified,youmustensurethatthesecorrectionsareprocessedandreviewacorrectedreconciliationreport.
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Iftheprojectwillbeaudited,thefinancemanagermustpreparethereportsandschedulesrequiredbytheauditor,andensurethatvouchersarefiledandthattheotherrelevantdocuments,suchasprocurementfiles,arereadilyaccessible.Followingtheaudit,correctionstoSunSystemsandtheFinalFinancialreportmayberequired.Do not correct the Financial Report and assume that Sun Systems will get updated .Thecorrectionsmustbeprocessed,andthenyoumustreviewandapprovetherevisedFinalFinancialReportandensureitreconcilestoSunSystems.
If the final installment of funding is dependent on the donor’s approval of the Final Financial Report, the finance manager must prepare the request for the final installment, present it to you for approval, and submit it to the donor .Thefinancemanagerthenmonitorsreceiptofthefundsandinformsyouwhentheyarereceived.
WhenthesestepsarecompleteandthedonorhasacceptedtheFinalFinancialReport,thefinancemanagerwillamendSunSystemstoensurethatnofurtherexpensesarechargedtotheprojectbymistake.Headquarterswillposta“prohibitposting”noticeforUSGawards.Thefinancemanagermayprohibitpostingforotherprojectsonthecountrydatabase.
Step Two: Prepare the Final Project Report CRS requires a final report for each project from its partners .CRS requires a final report for each project from its partners . Somedonorsmayhavespecific
requirementsandformats;checkyourAwardAgreement.IftheawardisacentrallyfundedUSGaward,OSDinheadquarterssubmitsthefinalreportandotheradministrativeclose-outdocuments.EnsurethatfinancialinformationinthefinalnarrativereportisconsistentwiththeFinalFinancialReport!
ForCRSprojects,seetheformatinTable7.12.Aswithfinalevaluations,finalprojectreportsincludeinformationconcerningtheachievementoftheprojectSOsandlessonslearnedforthedesign,development,managementandimplementationofsimilarprojectsinthefuture.
Table7.12:FinalProjectReportFormat
Final Project Report
1 . Cover Page:Cover Page: titleoftheproject,projectnumber,timeperiodoftheprojectanddate.2 . Reference DocumentsReference Documents
a. The Results Framework.TheResultsFramework.b. Executive Summary taken from the proposal.ExecutiveSummarytakenfromtheproposal.c. Final PITT.FinalPITT.
3 . Program AnalysisProgram Analysisa. Organize this by SO.OrganizethisbySO.b. Write out each SO and answer, “Has the project achieved what was planned?”WriteouteachSOandanswer,“Hastheprojectachievedwhatwasplanned?”
• RefertoIRsuccessestohelpexplainSOachievements.
•EnsurestatementsaboutprogressarebasedonevidencefromyourM&Esystem.c. Comment on successes and challenges during the life of the project.Commentonsuccessesandchallengesduringthelifeoftheproject.d. Comment on unanticipated outcomes.Commentonunanticipatedoutcomes.e. Describe major lessons learned and implications for future programs.Describemajorlessonslearnedandimplicationsforfutureprograms.
4 . Financial AnalysisFinancial Analysis a. Present expenditures.Presentexpenditures.b. Comment on variances in spending.Commentonvariancesinspending.
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Step Three: Ensure Administrative Closure and Storage
of Important Records EnsurethatfinancialinformationinthefinalnarrativereportisconsistentwiththeFinal Financial
Report! Makesureyouhavetheexternal audit on fileandithasbeensubmittedtothedonor.Ifapprovalisrequiredfordisposition of assets,ensurethatithasbeenreceivedfromthedonor.
A final task is toreview the project file and dispose of any unnecessary paperwork.CRS’policiesonrecordsretentioncanbefoundontheIntranetasanattachmenttoRecordsManagement.TheCRSrecordsretentionmanualisentitledFieldOfficeRecordsManagementManualProceduresandGuidelines.RelevantextractsaresummarizedinTable7.13.
Table7.13:RecordsRetentionGuidance
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Finance Files—General
• Keep for three years in the office; store for seven years; and then destroy if no longer needed. These files include grant documents (proposal, approval, final budget, financial reports, SF269s, closure documentation and property disposition records).
Projects/Grants/Development Files—General Administrative
• Keep in the office for two years and then destroy if no longer needed. These files include general project correspondence, project procedures, proposals under study and rejected proposals.
• Each project should have a file with its complete history (ProPack II calls this the Master Project File), including feasibility studies; needs assessments; baseline studies; correspondence with partners and potential donors; correspondence with the regional technical advisor and/or technical review committee; correspondence with HQ/PQSD advisors; progress and financial reports from partners to CRS; progress and financial reports from CRS to the donors, HQ, and region; recipient status reports, etc.
Projects/Grants/Development Case Files
• Retain in the office until the project is closed, store for five years and then permanently archive closed grant information, scheduling all other documents for destruction review.
• These files include project correspondence, financial reports, and other documents. A project case file is comprised of several types of records. Some of them are specified as permanent, while others are not. The permanent records should be filed in separate folders from the non-permanent records. However, all project file folders should be stored together until after the five-year period has expired.
Step Four: Update the PTS EnsuretheevaluationabstracthasbeenincludedinthePTS.Youwillalsoneedtoenterthedates
whenreportsweresubmitted.Tickthe“inactive”fieldtoindicatethattheprojecthasbeenclosed.
RELATED READING
FollowingisalistoftraditionalandonlineresourcesavailableifyouwouldliketoreadmoreabouttheinformationpresentedinChapterVII.Resourcesforeachsection(wheretheywereavailable)arepresentedseparately.PleaseseetheReferenceListlocatedattheendofthemanualforacompletelistofalltheresourcesusedtocompileProPackII.
Section 1— Evaluation—Definitions and Types
• Bamberger,M.,J.Rugh,andL.Mabry.2006.Real World Evaluation: Working Under Budget, Time, Data, and Political Constraints.California:SagePublications.
• Bramel,P.,T.Remington,andM.McNeil,eds.2004.CRS Seed Vouchers & Fairs: Using Markets in Disaster Response.Nairobi:CRS.
• Casley,D.J.andK.Kumar.1987.Project Monitoring and Evaluation in Agriculture .Baltimore:TheJohnsHopkinsUniversityPress.
• CRS.2002.Seed Vouchers and Fairs: A Manual for Seed-based Agricultural Recovery in Africa.IncollaborationwithOverseasDevelopmentInstituteandInternationalCropsResearchInstitutefortheSemi-AridTropics.Baltimore:CRS.
• Feuerstein,M.1986.Partners in Evaluation, Evaluating Development and Community Programs with Participants . HongKong:MacMillanEducationLtd.
• Jamal,A.andJ.Crisp.May2002.Real-time humanitarian evaluations: Some frequently asked questions.EvaluationReportEPAU/2002/05.EvaluationandPolicyAnalysisUnit.UNHCR.
• JointCommitteeonStandardsforEducationalEvaluation,withJamesR.Sanders,Chair.1994.The Program Evaluation Standards, 2nd Edition.California:SagePublications.
• McMillan,D.E.andA.Willard.2006.Preparing for the Evaluation: Guidelines and Tools for Pre-evaluation Planning . CRS:Baltimore.
• Patton,M.Q.1997.Utilization-focused Evaluation.ThirdEdition.California:SagePublications.
• Patton,M.Q.2002.Utilization-Focused Evaluation (U-FE) Checklist.TheEvaluationCenter,WesternMichiganUniversity.January.http://www.wmich.edu/evalctr/checklists/ufechecklist.htm
• MichaelQuinnPattonalsohastwootherexcellentbooksonevaluationincluding:How to use Qualitative Methods in Evaluation(1987)andQualitative Research and Evaluation Methods (2002).
Section 2— Guidance on Utilization-focused Evaluations
• Aubel,J.1999Participatory Program Evaluation Manual .Baltimore:CRS. • Bamberger,M.,J.Rugh,andL.Mabry.2006.Real World Evaluation: Working Under Budget,
Time, Data, and Political Constraints.California:SagePublications.
• Bonnard,P.April2002.Title II Evaluation Scopes of Work.TechnicalNoteNo.2.FANTA.http://www.fantaproject.org/publications/tn2.shtml/
• Bramel,P.,T.Remington,andM.McNeil,eds.2004.CRS Seed Vouchers & Fairs: Using Markets in Disaster Response.Nairobi:CRS.
• Carneal,C.C.andM.Pozniak.2004.Creating Partnerships, Educating Children . Baltimore:CRS.
• Casley,D.J.andK.Kumar.1987.Project Monitoring and Evaluation in Agriculture .Baltimore:TheJohnsHopkinsUniversityPress.
• CRS.2004.Project Tracking System (PTS) User Manual.Version1.1.OSD/MPI.Baltimore:CRS.
• DeRuiter,F.andJ.C.Aker.2007.Human Interest Stories: Guidelines and Tools for Effective Report Writing .
• FoodAidManagement(FAM)Group.2006.Success and Learning Story Package: Guidelines and Tools for Writing Effective Project Impact Reports.PreparedbytheM&EWorkingGroupofFAM.
• McMillan,D.E.andA.Willard.2006.Preparing for the Evaluation: Guidelines and Tools for Pre-evaluation Planning . Baltimore:CRS.
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• Owubah,C.,K.Greenblott,andJ.Zwier.2005.Top �0 C-SAFE Initiatives in Monitoring & Evaluation.C-SAFERegionalLearningSpacesInitiative.September.AllLearningSpacesdocumentscanbefoundontheC-SAFEwebsiteatwww.c-safe.org.
Websites • IFAD.2002.ManagingforImpactinRuralDevelopment:AGuideforProjectM&E.Available
athttp://www.ifad.org/evaluation/guide/index.htm
Section 3— Project Close-out
• USG Award Close-out Checklistsandsamplelettersforclose-outsofUSGawardsareavailableontheIntranetas
follows:GotoOverseasOperations/OSD/PublicResourceManagement/ComplianceCRSInternal/CRSComplianceToolsandResources.
Websites
• UNHCR AnOperationsManagementHandbookforUNHCR’sPartners(RevisedEdition,February
2003)isavailableatthefollowingaddress: http://www.unhcr.org/cgi-bin/texis/vtx/template?page=partners&scr=static/partnership_
handbook/partnership.htm
FURTHER RESOURCES
SECTION 1
INDEX
accompaniment,3,26,28–29
activelistening.See listening
activityschedules,74–82,75–78, 8�, 269
budgetrevisionsand,�52
adultlearning,�69
afteractionreview,222-23
analyticalthinking,�99.See also organizational
learning
AppreciativeInquiry,27.See also partnership
AwardAgreements,70–72, 269
TitleIIprogramdifferencespertaining
to,154
baselinesurveys,103–6,�05, 269
nevercompleted,stepstotakeif,105,238
budgets
accountcodesand,�43,150
annual,148
essentialplanningandmonitoringtasksof,�47,
147–51,20�
maintenance,149
projectclose-outand,252
reviewingandapprovingexpenditures
within,202
reviewofduringdetailedimplementation
planning,151–53,�52
capacity
assessing,141–45,�42–44
planningfor,123–25,�25
reportwritingusedtodevelop,189,244
strengthening,26–28,140–4�,168–71,�7�
See also partnership
capacitybuilding.See capacity:strengthening
cashforecasts,151 . See also budgets:essential
planningandmonitoringtasksof
ChartofAccounts,�43,150
coaching,3,43–44,208
communication,44–47
M&ESystemdesign,rolein,118–20
communitiesofpractice,175
conflictmanagement,55–56,2�3
consultants,105,�36,237
CriticalAssumptions,98
criticalreflectionevents,117
typesof,197,221–25,222,224
criticalthinking,34.See also organizational
learning
cross-culturalissues,20–23,22,40.See also
organizationalculture
Pagenumbersinitalicsrefertopagesthatcontainrelevantchecklists,figuresortables.
data,99
analysis,107–8,115
collection,97
forms,��0–�4
gathering,101,107–9,�08–9,114
organization,101,115
sources,�08
worksheets,reviewof,102–7,110
See also reporting
decision-making,52–55,53, 54
delegation,52
detailedimplementationplanning(DIP),8,11,
15,28,42,48-49,61-161,177,183,�96,
203,212,224,227,233,237,246,264,
266,271,273
See also activityschedules;budgets;M&E
evaluation
defined,84,269
ex-post,220,227–28
final,220,226–27,248
improvement-oriented,2�9–20,223–25
internalvs.external,228–29
judgment-oriented,2�9–20,226–27
knowledge-oriented,2�9–20,226–27
mid-term(MTE),220, 224–25,246–48
periodic,220,220–24,222
phases,232–48
purposes,2�9–20
real-time(RTE),223–24
scopeofwork(SOW),237–39,238
standards,2�8
teammembers,236–37
types,220,220–28
utilization-focused(UFE),216–�7,230,
232,246,271
See alsodata; M&E;reporting
facilitation,3,43,45
feedback,47–48,209–�0, 211–12
fieldvisits,194–197,�96
GanttCharts,76,79–80, 237-38
grantagreements.See awardagreements
GuidingPrinciples,6–7
implementation,1,15–16,163-67,167,239–40,
269.See alsomanagement
indicators,96–97
activities,77–78,96,182
PROPACKIIFURTHERRESOURCESSECTION����
choiceof,93–97,94,96
outputs,77–78,96,183
IntermediateResults(IR),97,184–85
See also data;evaluation;reporting
in-kindcontributions,153–55
interviewing,�34–35.See also staff
jobdescriptions,133.See also staff
Johari’sWindow,33
leadership,3,15,19–20
learning,99,�65
adult,�69
Alliances,168–69
conversations,174
needsandresourcesassessment,�70
organizations,20,34–36,35–36
peer,173,175
reviews,222–23
stories,243
listening,44,44–46,46
management,14–15,270.
See also performance:management;project:
management;
teams:managingdifficultiesin
managementquality,16–18,�6–�7
ManagementQualityPyramid,�7
managementtheory,14,18–20
M&E(monitoringandevaluation)
calendar,121
componentsof,88–89
criticalreflectionevents,117,197,221–25,
222,224
operatingmanual,88,127–28
participatory,86
purposeof,92
results-based,86
stakeholders,93
system,85,270
utilization-focused,86
MasterProjectFile,69,161
MeasurementMethods/DataSourcesWorksheet,
102–03
meetings,50–5�,54
debriefing,244
projectreview,197–98
mentoring,3,43
monitoring
defined,84
See also M&E
motivation,19,57
MoU.See partnership:memorandaof
understanding
MTE(mid-termevaluations),220, 224–25,
246–48
organizationalculture,21,34,270.See alsocross-
culturalissues
organizationallearning,20,34–36,35–36,187,270
orientation,136–38,�37 . See also staff
participatoryM&E,86
partnership
AppreciativeInquiry,27
desiredrangeofrelationships,26
factorscontributingtosuccessof,30
memorandaofunderstanding(MoU),
27,�59, 270
obstacles,30
phases,27
principles,24–25
types,27–28
See also accompaniment
payroll,157–58
performance
appraisal,138
management,207–13,207–��
objectives,138–39
planning,138–39
PerformanceIndicatorTrackingTable(PITT),
106,111,�28,129,�42,187,�90-�92,
�94,214,233, 242,246-247,255,262
procurement,�55–57
Proframe,75,96–97,99–102,�0�, 271
programquality,16–18
project,3
agreements,�59–60, 271
close-out,249–56,25�–56, 271
cycle,4, 271
management,3,14–23,22
proposals,64–65,67
ProjectTrackingSystem(PTS),148–49,161,248
purchasing,�55–57
referencechecks,135.See also staff
relationshipbuilding,37–38
reporting
annual,�90, �92–93
capacitystrengtheningand,189,244
evidence-based,99–100
final,�9�,255
financial,204,254–55
formats,�9�-92,255
progress,186–89,�94
quarterly,�90, �9�,�93
results-basedM&E,86
RTE(real-timeevaluations),223–24
scopeofwork(SOW)
consultants,�36
evaluation,237–39,238
technicalassistancevisits,�72–73
self-awareness,33–34
��0PROPACKIIFURTHERRESOURCESSECTION�
servant-leadership,20,271
situationalleadership,19,271
solidarity,6,25
SOW.See scopeofwork
staff
hiring,�32–33
interviewing,�34–35
orienting,136–38,�37
recruiting,�33
referencechecks,135
stakeholders
analysis,72–73,234–35
informationneeds,94–95
management,73
Stewardship,6–7,153,166
StrategicFramework,6–7,271
Subsidiarity,6–7,52,153,166
successstories.See learning:stories
systemsthinking,35
targets,64,106–07
teams,38
authentic,39
cross-sectoral,41
managingdifficultiesin,42
multi-cultural,20–23,22,40
toolsandtechnologiesfor,42
virtual,4�
telescoping,7–8,230–31,271
termsofreference.See scope of work .
timemanagement,48–49
TitleIIfood,153–55
training,173
onthejob,171–72
TransferAuthorization.See awardagreements
UFE(utilization-focusedevaluations),216–�7,
230,232,246
utilization-focusedM&E,86
values-basedbehavior,31,33,37,38,44,52,55,
57,59
PROPACKIIFURTHERRESOURCESSECTION����
SECTION 2
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SECTION 3
DEFINITION OF KEY TERMS
Activities—aProframetermforthetasksthatneedtobeundertakenandmanagedtodelivertheproject’sOutputtotargetedparticipants.
ActivitySchedule—aformatforpresentingprojectActivitiesinawaythatidentifiestheirlogicalchronologicalsequence,andhighlightslinkagesordependenciesthatexistamongthem.
AwardAgreement—anagreementmadebetweenCRSandtheprojectdonor.AwardAgreementsmayalsobecalledgrantagreements,cooperativeawardagreements,oraTransferAuthorization(forTitleIIprojects).
BaselineSurvey—informationonthepre-projectstatusofprojectparticipantconditionsagainstwhichPerformanceIndicatorswillbecomparedatmid-termandattheendofproject.
CapacityAssessment—carriedoutasapartofprojectdesignandduringdetailedimplementationplanningtomeasuretheabilityofCRS,partners,andthecommunitytoimplementaparticularProjectStrategyandrelatedActivities.
CostApplication—thefinancialsideofaproposal,whichmirrorsandprovidesjustificationfortheTechnicalApplication,themaintextoftheproposalforUSGgrantsandcontracts.TheCostApplicationincludesasummarybudget,detailedbudgets,theSF-424,budgetnotes,NegotiatedIndirectCostRateAgreement(NICRA)letter,EvidenceofResponsibilitystatementsandUSGCertificationsandRepresentations.
DetailedImplementationPlan(DIP)—asetofupdatedschedules,plans,targetsandsystemsthathavesufficientdetailtopermitsmoothandeffectiveprojectimplementation.Itiscompletedafteraprojectproposalisapprovedandfundedandbeforeimplementationbegins.DIPsmaybedoneonanannualbasisorforthelifeoftheproject.Ifdoneforthelifeoftheproject,theDIPisstillrevisedandupdatedannually.
Evaluation—aperiodic,systematicassessmentofaproject’srelevance,efficiency,effectivenessandimpactonadefinedpopulation.Evaluationdrawsfromdatacollectedduringmonitoring,aswellasdatafromadditionalsurveysorstudiestoassessprojectachievementsagainstsetobjectives.
EvaluationSummaries—writtenreports,lessonslearnedandprogramormanagementqualityassessmentsofpreviousprogramsbyCRSandpartnersthatarerelevanttotheProjectStrategythatshouldbereviewedintheprojectdesignphase.
Evidence-basedReporting—anapproachtoreportwritinginwhichstatementsmadeabouttheprogressoftheprojectaresupportedwithverifiableinformation.
Implement—involvestranslatingplansintoperformance.ProjectimplementationinvolvescarryingouttheDIP.Implementationismorethansimplyfollowingaplanorrecipe—itrequiresmuchdiscipline,judgmentandcreativity.
IntermediateResults(IR)—expectedchangesinbehaviorsbyparticipantsinresponsetothesuccessfuldeliveryofoutputs.
Leadership—knowledge,skillsandattitudesthatmanagerspossessthathelpcopewithchange.Leadersinnovate,develop,andmotivatepeople;inspiretrust,establishbroaddirectionsandmaintainalong-termview.Projectmanagersoftenplayaleadershiprole.
M&ESystem—well-organized,inter-dependentactivitiesorcomponentsandclearproceduresthatcontributetoawell-definedpurposeofM&Ewithinaproject.AnM&Esystemintegratesmoreformal,data-orientedtasks(collectinginformationonProframeindicatorsforexample)withinformalmonitoringandcommunication andensuresthatpeopleresponsibleforM&Ecandotheirjob.M&Eprovidesimportantdatatoinformongoingprojectplanning,budgetingandotherprojectmanagementtasks.
Management—theaccumulatingbodyofthoughtandpracticethatmakesorganizationswork.Theunderlyingideaofthedisciplineofmanagementisoptimizing performance.Withinprojectmanagement,performanceusuallyreferstoqualityintermsofimpact(positivechangesinpeople’slives)andimplementationeffectiveness,efficiency,impactandsustainability(IFAD2002).Itinvolvescatalyzingorganizationsandpeopletoperform—buildingonstrengthsanddrawingfrommanydisciplines.
MeasurementMethods/DataSources—Themethodforcollectingdata,orthesourceofdata,thataprojectwillusetotracktheindicator.Thisservesasa“realitycheck”onthefeasibilityoftheproposedPerformanceIndicators.
MemorandumofUnderstanding—ageneralpartnershipdocument(differentfromaprojectagreement)reflectingtheagency’sPartnershipPrincipalsandthemutualunderstandingofthepartiesaboutwhyeachhasenteredintothepartnership,expectationsandhowthepartieswillengageoneanother,developedthroughaprocessofdiscussionandnegotiation.
Monitoring—acontinuousprocessofcollecting,analyzing,documentingandreportinginformationonprogresstoachievesetprojectobjectives.Thisinformationassiststimelydecision-making,ensuresaccountabilityandprovidesthebasisforevaluationandlearning.Monitoringprovidesearlyindicationsofprogressandachievementofobjectives.
ObjectivesStatements—thefirstcolumnoftheProframematrix.Theyprovideaconcisecommentaryonwhattheprojectisaimingtoachieve,andhowitintendstodoso.
OrganizationalCulture—istheactualbehaviorandunspokenrulessharedbypeopleandgroupsinanorganization.Itisorganicallydevelopedovertimeandmaydifferfromidealorganizationalvalues.
OrganizationalDevelopment—isthelongtermprocessofimprovingtheperformanceandeffectivenessofhumanorganizationstomeetbettertheirgoals.Thismayinvolveincorporatingnewstructures,systems,policies,capacities,toolsandbusinesspractices,amongotherchanges.
OrganizationalLearning—istheapplicationandinstitutionalizationoflearningthatcomesoutoforganizationalexperiences,reflectinganorganization’scontinuousquesttodobusinessbetter-moreefficientlyandeffectively-towardgreaterimpactontheorganization’sstrategicobjectives,alltobetterservethosewhomitexiststoserve.Forittooccur,itisnecessaryfortheleadershiptobepurposefulindirectingallorganizationalnorms,resourcesandsystemstowardsthispurpose.
OrganizationalValues—aretheidealstowhichpeopleinanorganizationaspire.TheyarecapturedintheCRSValues-BasedBehaviors,expectedofeveryCRSemployee,aswellasspecificbehaviorsexpectedofmanagersandleaders.
Outputs—thegoods,services,knowledge,skills,attitudes,enablingenvironmentorpolicyimprovementsthataredemonstrablyandeffectivelyreceivedbytheintendedprojectparticipants.
PerformanceIndicators—somethingobservedorcalculatedthatactsasanapproximationof,orproxyfor,changesinthephenomenonofinterest.
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ProblemTree—avisualrepresentationofreality.Atreeissketchedwithaproblemstatementwrittennexttothetreetrunk.Thisfacilitatesadiscussionofpossiblecausesandeffects.Usedinprojectdesign,itcanalsobeusedasananalyticaltooltoprobethereasonsbehindprojectimplementationsuccessesorchallenges.
Proframe—the“ProjectorProgramFramework,”aplanningtooltoassistprojectdesign,implementationandM&E.ItisderivedfromanoldertoolknownastheLogicalFrameworkorLogframe.
ProjectAgreement—alegaldocumentthatisusedtotransferresourcestopartners.ItmayalsobeknownasaSub-GrantAgreementorContract.Aprojectagreement(liketheAwardAgreementwiththedonor)protectsCRSfrompotentialliability.Projectagreementsclarifyinstitutionalexpectationsandarrangementsinvolvedinprojectimplementation.
ProjectClose-out—animportantfinalstageoftheprojectcycle.Itinvolvesanumberoftasksrelatedtoprogram,financial,andadministrativeclosure.Forexample,projectstaffandotherresourcesmustberedeployedandprojectdocumentationmustbewellorganized,on-file,andaccessibleforpotentialfutureuse.
ProjectCycle—thesetofactions(design,planning,implementation,monitoring,evaluating,reportingandlearning)inallphasesofaproject.Theseactionsareinter-relatedandareroughlysequential.
ProjectProposal—astructured,well-argued,andclearlypresenteddocumenttoCRSmanagersanddonoraudiencestoobtainapprovalandfundingforaproposedProjectStrategy.ItstandsastheagreementamongtherelevantStakeholdersabouttheanalysisofthesituationandtheresultingplanofaction.
ResultsFramework—adiagramthatgivesasnapshotofthehigherlevelsofaproject’sObjectivesHierarchyinawaythatmakesitsimpletounderstandtheoverarchingthrustoftheproject.
SituationalLeadership—varyingone’sleadershipstyledependingonthesituationandtheneedsofsubordinatesonacontinuumrangingfromsupportivebehavior(facilitating,coachingandallowingsubordinatesgreaterautonomyintheirwork)todirectivebehavior(spellingoutwhat,where,whenandhowtodothingsandcloselysupervising).
Servant-leadership—styleofleadershipthatrequireshumility,focusesonbuildinginterdependentteamsandemphasizesmeetingpeople’sprioritiesandneeds.
Stakeholders—individuals,groupsandinstitutionsimportanttothesuccessoftheproject.
StrategicFramework—thetermusedbyCRStodescribeitsagency-wide,multi-yearstrategicplan.
StrategicObjectives (SO)—thecentralpurposeoftheprojectdescribedasthenoticeableorsignificantbenefitsthatareactuallyachievedandenjoyedbytargetedgroupsbytheendoftheproject.
Telescoping—adjustingthebreadthordepthtowhichyouapplytheconceptsandmaterialsinProPackIItosuitthecontextortheparticularneedsathandinagivenprojectinordertogetthebestresult(similartotheconceptofsituationalleadership).
TheoryofChange—anarticulationofhowaproposedProjectStrategywillleadtotheachievementoftheproject’sStrategicObjectives.
Utilization-focusedEvaluation—anapproachthatemphasizestheimportanceofimplementinganevaluationsothatthelearningfromitwillbeusedbystakeholders.
SECTION 4
LIST OF CD ROM RESOURCES
See the Detailed Table of Contents for a listing by chapter . See relevant chapter text for direct hyperlink .
• AccountsReceivablePolicy
• AIDSReliefPointofServiceManagementGuide
• BaselineSurveyWorksheet
• BudgetComparisonReport
• BudgetMaintenanceForm(BMF)
• BudgetReconciliationForm(BRF)
• BudgetTemplate
• CapacityBuildingGuidance:GuidelinesandToolsforGettingtheMostfromyourTechnicalAssistance
• CashForecastform
• ConsultantRequisitionform
• CRSCostApplicationGuidance
• CRSCostSharePolicy
• CRSGuidelinesforEffectiveTraining
• CRSImplementationGuidancefortheUSAIDMarkingRegulation
• CRSOne-yearTsunamiResponseEvaluationSOW
• CRSPartnershipProgrammingGuidance
• CRSPerformanceManagementSystemGuidance
• CRSPolicyonConsultants(IndependentContractors)
• CRSPolicyonTravel
• CRSPurchasingManual
• CRSResignation/Terminationpolicy
• CRSTrainingMaterialsonUSGRegulatoryCompliance
• CRSValues-BasedBehaviors
• CRS/NigeriaPartnerReferenceManual
• C-SAFEScopeofWork
• DetailedTransactionReport
• DonorSourceWorksheet
• EmergencyTelecommunications:AManualfortheManagementofEmergencyTelecommunications
• Facilitator’sGuideandManager’sGuidetoEssentialFinance
• FieldGuide1.2LearningConversations
• FieldOfficeRecordsManagementManualProceduresandGuidelines
• FieldTripReportTemplate
• FinanceEffortReportingpolicy
• FinanceIn-kindContributionspolicy
• FinancialProjection
• FrequentlyUsedCRSAccountCodes
• GoldStar
• GuidelinesfortheDevelopmentofSmall-scaleRuralWaterSupplyandSanitationProjectsinEastAfrica
• GuidelinesforthePreparationandUseofPerformanceIndicatorTrackingTables(PITT)
• Guidelines:Consultantsvs.Employees
• HowtoCompleteaJobDescription
• HumanInterestStories:GuidelinesandToolsforEffectiveReportWriting
• I-LIFEHandbookonM&EEssentials
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• KenyaBudgetStatusandAdvanceRequestform
• LearningNeedsandResourcesAssessmentsampletemplate
• M&ECalendar
• MAGIPlanningandAssessmentUser’sGuide
• ManagementQualityAssessmentTool
• MasterPerformanceIndicatorSheet
• MeasurementMethods/DataSourcesWorksheet
• MonitoringResponsibilitiesWorksheet
• MorningStar
• MoUtemplate
• Multi-raterAssessment
• NewDonorSource/Projectform(NDS/P)
• OneHandCan’tClapByItself
• OverseasOperationsAgreementPolicy
• ThePartnershipToolbox:AFacilitator’sGuidetoPartnershipDialogue
• PerformanceIndicatorTrackingTablestemplate
• PerformancePlanningandAssessmentform
• PreparingfortheEvaluation:GuidelinesandToolsforPre-evaluationPlanning
• ProgramManagerOrientationGuidelinesforSARO
• ProgramQualityAssessment
• ProjectAgreementtemplate
• ProjectProposalGuidance
• ProjectTrackingSystem(PTS)UserManual
• ProPackI
• RapidRuralAppraisal(RRA)andParticipatoryRuralAppraisal(PRA):AManualfor CRSFieldWorkersandPartnersRecruitmentandHiringOverview
• RecordsManagementpolicy
• SampleCompletedPerformanceIndicatorTrackingTable
• SuccessandLearningStoryPackage:GuidelinesandToolsforWritingEffectiveProjectImpactReports
• Top10C-SAFEInitiativesinMonitoringandEvaluation
• USAIDAwardAgreement
• USGAgreementReviewChecklist
• USGResourceManagementRegulationsMatrix
• VirtualTeamToolkit
• WeeklyStatusReport
• WFPFieldLevelAgreement
SECTION 5
LIST OF CHECKLISTS
See the Detailed Table of Contents for a listing by chapter .
• AreYouaCriticalThinker?(2.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
• QuestionstoFosteraLearningEnvironment(2.2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
• CharacteristicsofAuthenticTeams(2.3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
• SuggestionsforCRSStaffWorkingwithChurchPartners(2.4). . . . . . . . . . . . . . . . . . . 40
• TipsfromtheVirtualTeamToolkit(2.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
• ManagingaDifficultTeamMember(2.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
• ActionsofStrongFacilitators(2.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
• HowtoIncreaseListeningandCommunicationOpportunities(2.8) . . . . . . . . . . . . . . 46
• E-mailEtiquette(2.9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
• TimeManagementTips(2.10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
• HowtoPrepareaTo-DoList(2.11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
• HowtoScheduleYourTime(2.12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
• MeetingPreparationTips(2.13). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
• HowtoDelegateProductively(2.14). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
• PossibleAwardAgreementDetails(3.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
• DIPPlanning–WorkingwithPartnersor LargeTeamstoCreateActivitySchedules(3.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
• HowtoEnsureQualityControloftheDIPActivitySchedule(3.3)................ 82
• TipsforManagingaBaselineSurvey(4.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
• TipsonSettingTargets(4.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
• TipsforEnsuringGoodQualityDatafromYourM&ESystem(4.3). . . . . . . . . . . . . . 107 • IdeasonDevelopingDataGatheringFormsandReportingFormats(4.4). . . . . . . . . 111
• TipsonPreparingInstructionSheetsforDataForms(4.5). . . . . . . . . . . . . . . . . . . . . . 113
• QuestionstoEnsureQualityControlduringDataGathering(4.6). . . . . . . . . . . . . . . 114
• QuestionsonOrganizationalStructureandStaffing(5.1). . . . . . . . . . . . . . . . . . . . . . . 132
• GettingHelpfromyourHRManager(5.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
• TipstoEnsureaFullandFairRecruitmentProcess(5.3) . . . . . . . . . . . . . . . . . . . . . . . 133
• GuidanceonPreparingaConsultantSOW(5.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
• ReviewingtheCapacityStrengtheningComponentsofyourProposal(5.5). . . . . . . . 141
• TipsforCreatingDetailedBudgetsforUSGGrants(5.6). . . . . . . . . . . . . . . . . . . . . . . 150
• CostingFactorstoConsiderduringDIPBudgetReview(5.7) . . . . . . . . . . . . . . . . . . . 152
• CRS’EthicalStandardsinPurchasing(5.8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
• KeyStepsinPurchasingProcessattheCountryProgramLevel(5.9).............. 156
• MainPointsofCRS’EffortReportingPolicy(5.10). . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
• GuidelinesforDevelopingProjectAgreements(5.11). . . . . . . . . . . . . . . . . . . . . . . . . . 160
• ProjectManagers’ResponsibilitiesDuringImplementation(6.1) . . . . . . . . . . . . . . . . 167
• OrganizingHigh-qualityTechnicalAssistance(6.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
• SampleEvaluationFormforTechnicalAssistance(6.3). . . . . . . . . . . . . . . . . . . . . . . . . 173
• TipsforWritingProgressReports(6.4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
• FieldVisitGuidance(6.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
• PromotingAnalyticalThinking(6.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
• Examplesof“Open”QuestionsforMonitoringand AnalyzingUnexpectedEvents(6.7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
• YourAuthorizationofPartnerExpenses(6.8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
• TwelveElementsNeededtoAttractandKeepTalentedEmployees(6.9). . . . . . . . . . . 207
• CoachingDiscussionQuestions(6.10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
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• TheCRSMulti-raterQuestionnaire(6.11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
• PrinciplesofUtilization-focusedEvaluation(7.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
• DocumentsCommonlyRequiredbyanEvaluationTeam(7.2). . . . . . . . . . . . . . . . . . 233
• QuestionsforanEvaluationStakeholderAnalysis(7.3). . . . . . . . . . . . . . . . . . . . . . . . . 235
• WhattoIncludeinanEvaluationSOW(7.4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
• SampleDiagnosisStudyReportFormat(7.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
• ProjectClose-outGeneralIncomeandExpenditureReviewQuestions(7.6). . . . . . . 252
• KeyQuestionsfortheFinancialClosureofProjects(7.7)....................... 254
SECTION 6
LIST OF FIGURES
See the Detailed Table of Contents for a listing by chapter .
• CRSProjectManagement(1.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
• CRSProjectCycle(1.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
• CRS’ManagementQualityPyramid(2.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
• DesiredRangeofRelationships(2.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
• KeyElementsofaLearningOrganization(2.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
• CRSProjectCycle(3.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
• DIPwithintheCRSProjectCycle(3.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
• ThreeElementsofDetailedImplementationPlanning(3.3). . . . . . . . . . . . . . . . . . . . . . 65 • DocumenttheDIP(3.4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
• FromProframetotheActivitySchedule(3.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
• GanttChartFormatforanActivitySchedule(3.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
• DraftDIPActivitySchedule(3.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
• SixComponentsofanM&ESystem(4.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
• ComponentOne—ConsidertheWholeM&ESystem(4.2) . . . . . . . . . . . . . . . . . . . . . . 90
• ComponentTwo—ReviewInformationNeedsofStakeholdersandChoiceofIndicators(4.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
• ComponentThree—PlanforDataGathering, OrganizationandAnalysis(4.4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
• AnIllustrationoftheLinkageBetweenPerformanceIndicators, DataGatheringandEvidence-BasedReporting(4.5). . . . . . . . . . . . . . . . . . . . . . . . . . . 112
• ComponentFour—PlanforCriticalReflectionEventsandProcesses(4.6) . . . . . . . . 117
• ComponentFive—PlanforQualityCommunicationandReporting(4.7). . . . . . . . . 118
• ComponentSix—PlanfortheResourcesandCapacitiesRequired(4.8). . . . . . . . . . . 123
• PerformanceObjectivesandTimeManagement(5.1). . . . . . . . . . . . . . . . . . . . . . . . . . 139
• AligningtheActivityScheduleandtheBudget(5.2) . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 • ProjectCycleandImplementation(6.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
• ImplementationStageoftheProjectCycle(6.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
• LearningNeedsandResourcesAssessment(6.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
• IntegralHumanDevelopmentFramework(6.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
• Implementation:Monitor,LearnandAct(6.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
• FinancialInformationFlow(6.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
• ProjectCycleandEvaluation(7.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
• Close-outwithintheProjectCycle(7.2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
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SECTION 7
LIST OF TABLES
See the Detailed Table of Contents for a listing by chapter .
• TheDifferencebetweenaProjectandaProgram(1.1). . . . . . . . . . . . . . . . . . . . . . . . . . . 3
• GuidingPrinciplesforProjectManagementandImplementation(1.2). . . . . . . . . . . . . 6
• VarietyofProjectTypesinOneCRSCountryProgram(1.3) . . . . . . . . . . . . . . . . . . . . . 7
• TelescopingProjectManagementandImplementation(1.4) . . . . . . . . . . . . . . . . . . . . . . 8
• CRSManagementValuesandBeliefs(2.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
• FiveDimensionstoHelpAnalyzeCulturalInfluencesonManagement(2.2). . . . . . . . 22
• ThreePillarsofAuthenticPartnerships(2.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
• CommonPhasesofPartnership(2.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
• Johari’sWindow(2.5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
• WaystoImproveActiveListening(2.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
• QuestionsFacilitatorsAsk(2.7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
• FiveMajorCausesofPoorMeetings(2.8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
• ChoosinganAppropriateDecision-makingApproach(2.9). . . . . . . . . . . . . . . . . . . . . . 53
• HowtoReachConsensusinaMeeting(2.10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
• FiveStylesofConflictManagement(2.11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
• FourStepstoNegotiatingAgreement(2.12). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
• KeyIssuesinAwardAgreementsRequiringProjectManager ReviewPriortoDetailedImplementationPlanning(3.1). . . . . . . . . . . . . . . . . . . . . . . . 71
• ExamplesofOutputsandRelatedActivities(3.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
• ExamplesofDetailedActivities(3.3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
• ProsandConsofUsingMSProjectSoftware(3.4).............................. 80
• DifferencesbetweenMonitoringandEvaluation(4.1). . . . . . . . . . . . . . . . . . . . . . . . . . . 84
• PossiblePurposesofanM&ESystem(4.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
• IllustrativeDataandInformationNeedsin HealthandNutritionProject(4.3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
• InformationProvidedbyDifferentTypesofIndicators(4.4). . . . . . . . . . . . . . . . . . . . . 96
• CalculatingPercentageofHouseholdswithLatrinesinUse(4.5). . . . . . . . . . . . . . . . . 103
• GeneralTipsforSelectingDataGatheringMethods(4.6). . . . . . . . . . . . . . . . . . . . . . . 108
• ProsandConsofUsingPDAstoGatherData(4.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
• FormsUsedinaHealthandNutritionProject(4.8) . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
• DosandDon’tsforDataFormTestingandTraining(4.9) . . . . . . . . . . . . . . . . . . . . . . 114
• IllustrativeOptionsforM&EStructures(4.10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
• QuestionstoAskbeforeFinalizingYourM&ESystem(4.11). . . . . . . . . . . . . . . . . . . . 125
• SummaryofComponentsandRelatedDocumentsforthe M&EOperatingManual(4.12). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
• SequenceandStructureofaJobInterview(5.1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
• CRS/EME’sThree-stageEmployeeOrientationProcess(5.2). . . . . . . . . . . . . . . . . . . . 137
• ExamplesofCapacityAssessmentCategoriesandIndicators(5.3). . . . . . . . . . . . . . . . 142
• BasicFinancialSystems(5.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
• FinancialManagementInternalControls(5.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
• OverviewofEssentialBudgetPlanningandMonitoringTasks(5.6) . . . . . . . . . . . . . . 147
• IssuestoReviewwithYourProcurementOfficerduring DetailedImplementationPlanning(5.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
• CommonCausesofPayrollCostProblems(5.8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
• TheDifferenceBetweenanMOUandaProjectAgreement(5.9). . . . . . . . . . . . . . . . . 159
• SelectedPrinciplesofEffectiveAdultLearning(6.1). . . . . . . . . . . . . . . . . . . . . . . . . . . 169
• ExamplesofCapacityStrengtheningActivities(6.2). . . . . . . . . . . . . . . . . . . . . . . . . . . 171
• MonitoringActivities(6.3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
• MonitoringOutputs(6.4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
• MonitoringIntermediateResults(6.5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
• AnOverviewoftheThreeTypesofCRSProgressReports(6.6). . . . . . . . . . . . . . . . . . 190
• QuarterlyProgressReportFormat(6.7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
• AnnualProgressReportFormat(6.8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
• ExampleofaQuarterlyReport—VietnamesewithDisabilitiesProject(6.9) . . . . . . . 193
• TripReport—LINKSLearningCenter(6.10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
• MoreInformationonEssentialBudgeting—FinancialMonitoringTasks(6.11) . . . . 201
• ProjectManagerChecklistforReviewingtheFinancialReport(6.12). . . . . . . . . . . . . 204
• GuidelinesforGivingFeedback(6.13). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
• GuidelinesforReceivingFeedback(6.14). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
• TheFourPartsoftheJointConflictManagementProcess(6.15). . . . . . . . . . . . . . . . . 213
• EvaluationStandards(7.1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
• ThreePurposesofEvaluations(7.2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
• SummaryofEvaluationTypes(7.3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
• HowtoManageaLearningReview/AfterActionReview(7.4). . . . . . . . . . . . . . . . . . . 222
• MTEObjectivesandRelatedQuestions(7.5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
• AdvantagesandDisadvantagesofExternalandInternalEvaluators(7.6). . . . . . . . . . 229
• ListofPersonnelCriticaltotheSuccessofanEvaluation(7.7). . . . . . . . . . . . . . . . . . . 237
• FourStepstoAnalyzingEvaluationFindings(7.8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
• GenericEvaluationReportFormat(7.9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
• LiquidationProceduresAccordingtoFundingSources(7.10) . . . . . . . . . . . . . . . . . . . 251
• USGandUNHCRGuidelinesforDisposingofProject Equipment,SuppliesandCommodities(7.11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
• FinalProjectReportFormat(7.12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
• RecordsRetentionGuidance(7.13). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
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