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Implementation andMonitoring:
Assessing Performance in Contract Relationships
Characteristics Affecting Project Implementation
Less Problematic 1. Simple technical features2. Marginal change from status
quo3. One-actor target4. One-goal objective5. Clearly stated goals6. Short duration
More Problematic 1. Complex technical features2. Comprehensive change from
status quo3. Multi-actor targets4. Multi-goal objectives5. Ambiguous or unclear goals6. Long duration
Project Identification, Formulation, Preparation & Design
A “Project” is an intervention that addresses a problem
Identifying the problem Goal must be identified
What is the project to do? What tasks will it perform? What kind of institutional and organizational structure will
allow it to accomplish goals?
Project Identification, Formulation, Preparation & Design
A project organization will carry out a variety of tasks
Must be constructed in light of those tasks and the environment in which they occur
For design teams to succeed, local beneficiaries must be involved at an early stage
Project Identification, Formulation, Preparation & Design
Problems in project identification In developing countries:
Lack effective procedures for project identification within national planning agencies and operating ministries
Weak conceptual and operational links exist between various national, regional, local, and special interest constituencies
National plans often fail to provide a strategy for development
Allocation of resource issues Issues of priority
Project Identification, Formulation, Preparation & Design
Problems in project identification In developing countries, cont.:
Influence of interest groups Limited international assistance agency staff time to help
government planners Excessive turnover and rotation of field representatives of
assistance agencies Weaknesses in the overall planning system
Project Budgeting
Project Budgeting ConceptsThink in terms of Discrete Activities/Events: workshop; conference; service delivery; needs
assessment; survey; research; evaluation; site visit
Think in terms of Units Moving Through Time person - per day/week/monthservice dispensed - per day/week/month site visit - per day/week/month participant - per day/week/month
*When appropriate, include additional time needed for preparation and wind-up activity. For example, design work and report writing. *Option: Combine the units with time. For example, 2 persons for 5 days each = 10 person/days-, 20 participants for 3 days each = 60 participant/days
Think in terms of Static or Moving Locales local, sub-national, national, international
If locales change, think in terms of Movement car rental, airfare, trainfare, hotel, taxi, per diems (an allowance for food and incidentals) based on USAID published rates by country/city Think in terms of Support Functions equipment rental; fax/telephone; supplies, insurance, fees/taxes; report/document production
Budget Rate ListLABOR (Salary based on bio-data information for either a 5-day or 6-day week)
International Consultant 400/dayLocal Consultant 100/day
PER DIEM (Room, meals and expenses; based on a 7-day week)
International Consultant 100/dayParticipants 54/day
TRAVEL (Could include car rental and in-country/regional airfares/train fares)
Business Round Trip: New York-Eritrea 3,000/person
MISC. DIRECT COSTS (Should include some basic items together with activity-dependent items)
Fax/Telephone 50/dayReport Production/Photocopying 40/dayTeaching—A/V Materials 20/dayComputer Rental 100/dayDBA/SOS (insurance-intl. consultant) 82/day
Summary Budget Example
Eritrean Community Rehabilitation Fund (ECRF) Budget Summary Consult weekly notes for example
Budget Example
ERITREAN COMMUNITY REHABILITATION FUNDBudget for Program Support for Capacity BuildingStrategy 1: Overall design and organization development for the expanded fund
TOTAL COST US $713,625.00Strategy 1.1 Workshop/Retreat100 participants @ US$225 per diem; 1.5 days 33,750.00
Strategy 1.2 Training Needs Assessmenta.- 100 participants @ US$225 per diem; 14 Days 315,000.00b. Contracting of a consultant team for methodology and facilitating purposes34,875.00
Strategy 1.3 Research FundsEmployment of a Consultant @ US$ 64.000 a year for 3 years. 192,000.00
Strategy 1.4 Preparation of HandbookContract with publisher 10,000.00
Strategy 1.5 AssessmentEmployment of a Consultant @ US$ 64.000 a year two Assessment periods (middle second year to end) 128,000.00TOTAL STRATEGY 1 713,625.00
Budget Example
ERITREAN COMMUNITY REHABILITATION FUNDBudget for Program Support for Capacity BuildingStrategy 3: To strengthen local government officers to support Fund outreach, implementation and monitoring activities.
TOTAL COST US $642,400.00Strategy 3.1 Promotion and Outreach Seminar20 particip @ US$225 per diem; 4 days, 4 years (times) 72,000.00Seminar expenses (consultant contract) 20,000.00
Strategy 3.2 Training of TrainersNational: 100 participants @ US$ 40 per diem; 14 days for 4 years. (10 participants per region) 224,000.00Regional: 120 participants per activity, 8 activities,14 days; $ 20 per person. (60 participants per region) 268,800.00
Strategy 3.3 Promotion and Training of Trainers.Contract with publisher 57,600.00TOTAL STRATEGY 1 642,400.00
Budget Category Allocations
Budget Category Allocations
22.43%
41.69%
27.62%
4.01%0.21% 4.03%
I. Assessment
II. Organizational Development
III. Training for Staff
IV. Outreach Training
V. Sub-Project Based Training
VI. Analysis/Research Fund
Pilot Year 1 Year 2 Year 3 Year 4 Year 5 TotalsI. Assessment 55,032 55,032II. Organizational Development 1,056,906 1,056,906III. Training for Staff 162,946 1,654,872 1,240,366 1,041,078 995,178 793,794 5,888,234IV. Outreach Training 725,746 2,177,821 2,267,795 2,224,605 2,224,605 1,323,595 10,944,167V. Sub-Project Based Training 143,606 1,023,060 1,538,500 1,668,660 1,538,500 1,338,160 7,250,486VI. Analysis/Research Fund 800,000 50,739 50,739 50,739 50,739 50,739 1,053,695
Category Totals 1,832,298 6,018,430 5,097,400 4,985,082 4,809,022 3,506,288 26,248,520
Project Execution/Implementation
Project Execution and Implementation
POLICY COMMITTEE• Minister of Health (MOH)• Permanent Secretary• MOH Senior Mgmt.
PMU
Consulting firm(long and short-runconsultants)
• Lead counterparts• Functional units of MOH• GPH administration project activities
supervision, control and evaluation of project
activities
policy directionpolicy direction
dissemination of technical results and presentation of proposals
Project Execution:Scheduling and Charting
Following steps should be observed in developing a chart for a project:
Level of Detail—decide what amount of detail should be displayed.
Sequence—determine in what logical sequence the various activities will be carried out.
Duration—estimate how long each activity will take.
Project Execution:Monitoring and Reporting
Defined as: Providing right people with the right information at the
right time Monitoring:
conducting of a periodic review of status of project activities in order to predict if scheduled events are going to be achieved
Reporting: notifying members of project team and higher-level
supervisors about status of project activities and events to allow them to perform their responsibilities
Project Execution:Resource Allocation
Principle resources available: People, money, materials, machinery, time
Project Execution
Resource Needs Chart (RNC)IF: (These Resources Available) Then: (Activity) Takes:
Time Duration
Number Description
Project Monitoring
Project Monitoring
Important to distinguish from evaluation studies Monitoring involves collection of information about
project while it is in progress Emphasis on continual feedback on resources used and
how implementation is being conducted
Project Monitoring
“Storytelling” or “Process Documentation” Informal monitoring process Use of anecdotes or personal accounts
Describe actual problems and conflicts that occur and anxieties that people face
Production of monthly reports that “tell the story” of what has been occurring
Does not tell much about immediate results of a single project
Project Monitoring
Multiple Indicators Indicators need to be valid (measure what you want)
and reliable (same results under different tests) Multiple indicators correct for validity or reliability
problems that single measures may have
Project Monitoring
Multiple Indicators (examples) Credit
increase in field staff number of rural banks established number and value of import and distribution loans number of loan applications received, processed,
approved
Project Monitoring
Multiple Indicators (examples) Land Reform
number of titles registered percentage of farmers on their own land necessary legislation passed average size of landholding number of hectares aerially photographed
Project Monitoring
Multiple Indicators (examples) Institutional Capacity
time in existence professional status recognized technical comptence proved survival capacity demonstrated ability to attract financial resources shown capacity to innovate demonstrated linkages established with community groups services being used in community
Exception Report Format
Condition: · Identifies event in danger or missed by name and number
Problem: · Discusses nature and source of problem being reported
Project Assessment: · Discusses impact on project· Presents alternatives, and advantages and disadvantages of each· Recommends best alternative
Action: · Specifies actions already undertaken· Specifies action requested and date by which actions are needed
Achievement Report Format
Condition: · Identifies event achieved by name and number
Achievement: · Discusses level of achievement (quantity and quality)· Measures achievement against preestablished performance expectation· May include explanation or interpretation of achievement
Project Assessment: · Assess current status of project in general· Alerts management to key issues upcoming· Validates schedule of future events and resource adequacy
Action: · Specifies actions presently being taken· May request actions to be taken by others, and date required
Next Reporting Event: · Identifies name and date of next scheduled achievement report
Implementation Responsibility Chart
Individual or organization
unit
List of activities
(a)
Project
Implementor
(b)
Program
Manager
(c) (d)
1.
2.
3.
4.
Implementation Diagnosis Worksheet
Diagnosis: Action Plans:Problem
SitutationIndicator Causes Implications
(Time, Performance,
Cost)
Corrective Actions
(2 for each)
Action Agent
Time Frame
(start-finish date)
Redesign Implications
Instruments of Monitoring andEvaluation for Results
Benefits of M&EDuring Project Execution
Identify/correct project flaws in design and plans Increase likelihood of outputs as planned Identify new and recurrent problems Generate discussion and solutions Focus actions on key problems
M&E During Project Execution
Design
ExecutionEvaluation
LOGFRAMES
SPECIAL
RESULTS
MONITORING & EVALUATION
REPORTS
FINANCIAL EXECUTIONPLANS (FEP)
ALERT
PERIODIC & MID-TERM
EVALUATIONS
PurposePurpose
PHYSICAL EXECUTIONPLANS (PEP)
M & E Plan
The Logical Framework
NARRATIVESUMMARY
INDICATORS MEANS OFVERIFICATION
ASSUMPTIONS
GOAL
PURPOSE
OUTPUTS
INPUTS
Example of Project Objectives
GOAL Illnesses caused by impure drinking water reduced.
PURPOSE Hygienic practices adopted by the rural population.
OUTPUTS Clean water provided to 60% of villages in Northwest
Region. Health workers trained.
ACTIVITIES
Example of Project Objectives
ACTIVITIES 1.1. Choose sites for wells. 1.2. Organize village workers 2.1. Develop curriculum. 2.2. Recruit health workers. 2.3. Conduct training.
The Logical Framework
NARRATIVESUMMARY
INDICATORS MEANS OFVERIFICATION
ASSUMPTIONS
GOAL
PURPOSE
OUTPUTS
INPUTS
Horizontal Logic of the Logframe
NARRATIVESUMMARY
INDICATORS MEANS OFVERIFICATION
ASSUMPTIONS
GOAL
PURPOSE
COMPONENTS
ACTIVITIES
The Means of Verification
Hierarchy of
Objectives
Indicators Sources of information
Method for data
collection
Agency responsible
for data collection,
analysis, and dissemination (information producer)
Method for analysis of
data
Frequency Application (expected
uses)
Reporting format (letter, written report,
oral presentation,
etc.)
Circulation (expected information
users)
Objectives ObservableVerifiableIndicators
Means of Verification (MOV)
Logical Framework and M&E
Continuing rationale Efficiency Effectiveness Effects and impacts Lessons learned
Physical Execution Plan
Components and indicators Activities and tasks Time Responsibility (for execution)
Physical Execution Plan
1. Componenta. Activityb. Activityc. Activity
2. Componenta. b. c...
7 units
3 units
ConstructionUnit
TechnicalSupport Unit
Component/Activities/Tasks Time Product Responsibility
Financial Execution Plan
Line-item budgets Activity budgets
Activity Budget
Secure right-of-way $xx,xxx
Develop structural plans $xxx,xxx
Select construction firm $xx,xxx
Build structure $x,xxx,xxx
M&E $xxx,xxx
Total $x,xxx,xxx
Monitoring Reports
Routine Special Alerts
Routine Monitoring Reports
Example = Budget reports
Procedure = Some standardized procedures
Special Monitoring Reports
Example = Bottleneck identification
Procedure = Troubleshooting
Alerts
Example = Benefits/Costs
Procedure = Cost overruns
Evaluation Reports
Periodic review Mid-term evaluation Management (PPMR) Final evaluation