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Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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Page 1: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Foreign Aid and LDC Administration

Comparative and Multilateral Aid:

The Intersection of Policy,

Projects and Implementation

Page 2: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Three Page Proposal

1. Introduction and Project Statement

2. Literature Review

3. Major Hypotheses

4. Methodology

Due: November 3, 2011

Page 3: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

“Projectization”

Page 4: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Overview of Session

Legacy Themes

The Changing Environment of “Projectization”

The Project: A “quick and dirty” Introduction

Page 5: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

LEGACY THEMES

“Hearts and Minds” vs. Samuel Huntington

Page 6: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Quote: Review- The “Legacy” of 1975

‘AID!’ the farmer cried. Look at you.... He pointed, sweeping his finger from one charred remembrance of a home to another. ‘Here is your American AID!’ The farmer spat on the ground and walked away.[i]

[i] Neil Sheehan, A Bright Shining Lie: John Paul Vann and America in Vietnam (New York: Random House, 1988), p. 562.

Page 7: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Winning Hearts and Minds: Gun Purchase Program in Vietnam

Page 8: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Vietnam: My Lai Massacre

Page 9: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

CORDS: Origins of Project Mode in Bilateral and Multilateral Activities

In May 1967 an organization known as CORDS—Civil Operations and Revolutionary Development Support—was formed to coordinate the U.S. civil and military pacification programs. A unique hybrid civil-military structure directly under general William C. Westmoreland, the COMUSMACV, CORDS was headed by a civilian, Ambassador Robert W. Komer, who was appointed as Westmoreland’s deputy.

Current Version: “Three D’s” or Whole of Government Approach to Foreign aid.

Provincial Reconstruction Teams VIDEO

Page 10: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Domestic Management Systems and International Influences Historical periods of budgetary and fiscal management:

1975-1981: Basic Needs

1981-1990: Structural Adjustment

After 1991:

Collapse of the Soviet Union

“Clash of civilizations”

September 11, 2001

Page 11: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Hearts and Minds- Huntington’s Theory

Page 12: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Samuel P. Huntington, (April 18, 1927 – December 24, 2008)

Page 13: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

II. The Changing Environment of “Projectization”

From Structural Adjustment to a Post-September 11 Stability?

1983-2011

Page 14: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Review: Second [and First] World as New Debtors

Chad vs. RussiaTransitional States

Rise of Asia and blocks

Crisis in Asia and the return to debt management

Debt Crisis in U.S. and Europe: Different Rules

Page 15: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Chad: A Symbol of Ethnic Conflict

Page 16: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Wall Street: 2011

Page 17: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Foreign Aid’s Future

IMAGE

Page 18: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Development of Underdevelopment

Reminder-

Changing Terms

Non-Western World

Developing areas or nations

Third World

Poor Countries?

Southern Tier States

LDCs

UDCs

Transitional States?

Immerging Markets

Page 19: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Foreign Aid and Technical Assistance: Factors to Consider

The utility of the rational actor model for foreign aid

Impact of culture and values on Foreign Aid

Impact of Intellectual systems and ideologies influences and beliefs

Impact of Standard Operating Procedures

The Impact of the Project Model on the Foreign Aid Process

Page 20: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Context of Project Management: Debates

The Importance of the Market The end of the Command Economy? The concepts of market and productivity

International systemic hegemony and competition within international markets

Complementarity problem and origins of capital

After 1999- Fear of Market failure?

Page 21: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

World Markets

Page 22: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Market Failure Models

Page 23: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Foreign Aid vs. Technical Assistance: The Project Mode Environment- Four Themes

Current bias to international trade

Governance and Nation Building

Back to the futureGet the LDC economy back to the 1950s

Dependent developmentIs it dependent and is it development?

Page 24: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

As Foreign Policy?

Page 25: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Foreign Aid: Enter the Project Mode, circa the mid-1980s

THE PROJECT CYCLE:

A QUICK AND DIRTY INTRODUCTION

Page 26: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Mode

1. Limited Time

2. Limited Tasks

3. Limited Funding

Page 27: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Mode: Not Simple

Page 28: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Goal?

Page 29: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Mini-Discussion

What will you be doing two years from now?

Page 30: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monday Morning 8:15

1. Get a cup of coffee (If you drink it)

2. Start your computer

3. Check your e-mail

4. What then?

Page 31: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The U.S. Foreign Aid Process: Development Assistance Programs (DAPs)

Office ofManagementAnd Budget

(OMB)

Evaluation

Ex-PostFacto

Evaluation

Implementa-tion

Pre-Implementa-

tion

ProjectPaper(PP)

ProjectReviewPaper(PRP)

ProjectIdentificationDocument

(PID)

Field ofConcentration

Strategy(DAPII)

CountryProgramStrategy(DAPI)

PriorEvaluation

OperationalYear Budget

(OYB)Appropriation

CongressionalPresentation

(CP)

BudgetSubmissions

OngoingProjects

HostCountry

Legis-lation

ForeignPolicy

LDCNeeds

Agency PolicyGlobal Sector Strategies

Regional StrategiesResearch Strategy

Management Objectives

Financial MANAGEMENTProgramming INFORMATION Management ReportsImplementation SYSTEM External NeedsProgram Support Data Bank (CPDB, PAIS, DIS, ESDB)Personnel Administration Support Database for Future Decisions, PolicyLessons Learned

Evaluation Criteria

Project ReportingProject PerformanceTracking (PPT);Financial Reporting

Planning

Budgeting

Design Approval

Implementation

Evaluation

Reporting

Page 32: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Blueprint Approach to Development Planning

Pilot ProjectResearchers

Before-AfterSurveys

Planner

Administrators

TargetPopulation

EvaluationResearchersActions

ProjectBlueprints

Actual ChangeVersus

Targeted Change

Tested Models

Page 33: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle

Analysis--collection of: Social Analysis targeted groups: women,

minorities, indigenous peoples Economic Analysis--Cost Benefit Institutional Analysis

Sustainability Organizational Requirements Recurrent Cost Implications Human Skills Needed Social Acceptance

Page 34: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Source: Project Management System, Practical Concepts, Inc., Washington, DC 1979.

Project Objectives Achieved

3. Evaluation 2. Execution

1. Design

The Project Cycle

Page 35: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle

Design

Identifying nature of problem and possible solutions--specific needs and desired changes

Appraisal

(Mandatory) data needed to prepare project plan

Page 36: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 37: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle

Analysis--collection of:

Prediction

Selection of preferred alternatives

Changing the parameters?

Page 38: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 39: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle The Logical Framework: (LOGFRAME)

Analysis--collection of Information:

1. If-then conditions

2. AID moved away from logframe but not the Logical Model

3. Was replaced by a system based on identifying Strategic Objectives, Intermediate Results, Measurable Indicators, etc.

4. That system was recently "de-emphasized.“

5. AID mission requests for funds were tied to promises of specific results

6. Results Framework system is "under review."

Page 40: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Logical Framework Performance Networks

Practical Concepts, Incorporated

Project Objectives Achieved

3. Evaluation 2. Execution

1. Design

Evaluation System Reporting System

Evaluations assess performance against plans and analyze causal linkages

Progress indicators and formats for communicating project information

Networks display performance plans over time

ACHIEVEMENT

EXCEPTION

Project Management System Provides Tools to Support all Stages of the Project Cycle

Page 41: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Preparation of Documents: Donor – USAID-A Paper Mill

Country Strategy Paper (DAP)

Concept Paper (Sector)

Country Context Paper

Technical Proposal

Project Identification Document (PID)

Project Paper (PP)

Program Agreement

Page 42: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

PP (USAID)(PP = Project Paper)

Program Agreement(Donor to Country)

Technical Proposal(Contractor to Donor)

Country Context Paper(Contractor to Country)

Implementation Documents

Page 43: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle

Page 44: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle Implementation

Carrying out actions planned

Personnel: local (and foreign)

Physical and organizational Needs

Budget

VIDEO: THE REST OF THE STORY

Page 45: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Ten Minute Break

Page 46: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Fragile Support Systems

Page 47: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Project Cycle Monitoring and Evaluation:

Linked to End of Contract and Verification of Objective indicators

Understanding what has happened and assessing changes and quality of change

Issue: sustainability regarding follow-on within the country and replicability from one country to another

Page 48: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monitoring and Evaluation

Nature of Data:

Interview vs. survey

Impact vs. Delivery

Seat of the pants observation

"the old quick and dirty"

Page 49: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The problem of Measuring Project Goals:

Goals are to be limited and bounded

Specific activities are to be clearly defined and achieved

Short run success leads to successful evaluation

Short-term loop is five years

Implementation may not be Success

Page 50: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monitoring and Evaluation

Nature of Data- Judgment: Evaluation vs. Assessment

Two views: a. Learn from experience b. Judge performance

Problem: judgment requires clear goals, in contradiction with learning

Problem: power of the expert

Page 51: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 52: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monitoring and Evaluation

Nature of Data

Evaluation is a donor requirement

External activity Targets blueprint activity (CPA) Critical path analysis (Time based action) PERT chart (Project Evaluation Review Technique)

very technical, programmed Evaluation often the need for more action

Page 53: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

PERT Chart

Page 54: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monitoring and Evaluation

Nature of Data:

Evaluation as an end product:

Separate from implementation

Action pre-determined in design prior to evaluation

Separates evaluation from the on-going activity

Page 55: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 56: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Monitoring and Evaluation

Issues Problem with Evaluation concept

Implementation suggests a finished product Bureaucratic action is ongoing Part of larger system with ambiguous boundaries

Assessment Ongoing, part of implementation process

Page 57: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 58: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

End of Project Status (EOPS) Are of great importance and are primary

target of project efforts and discussion

Projects are usually very complex

It is common to find that no single indicator is

sufficient to describe the project achievement completely

Page 59: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

End of Project Status (EOPS) In determining EOPS we apply following principle:

If all EOPS conditions are satisfied, then there would be no credible alternative explanation

Except the purpose of the project (and the contract) has been achieved

Good project design will include the conditions that demonstrate successful achievement of the Project Purpose

Page 60: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

End of Project Status

Page 61: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

End of Project Status (EOPS)

Example PROJECT PURPOSE IN THE DEVELOPMENT

OF AN OIL FIELD: Export oil

EOPS 50,000 Barrels of crude/day transferred to tankers at

nearest port; Quality of crude produced is competitive with that

currently sold on world market. To verify, one needs a) the purity of oil, b) the world price, c) price sold, d) amount sold

Page 62: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Oil Field: EOPS

Page 63: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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

Page 64: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Logical FrameworkNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

OUTPUTS

INPUTS

Page 65: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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 [or Inputs] Measured in Money

Page 66: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

How it Looks

Page 67: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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.

Page 68: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

The Logical FrameworkNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

OUTPUTS

INPUTS

Page 69: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Horizontal Logic of the LogframeNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

COMPONENTS

ACTIVITIES

Page 70: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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)

Page 71: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation
Page 72: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Horizontal Logic of the LogframeNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

COMPONENTS

ACTIVITIES

Page 73: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

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

Page 74: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Appropriate Technology

Page 75: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Some of our Authors

Page 76: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Janine Wedel, Born, 1948

Page 77: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Paul Collier, Born U.K. July 6, 1984

Page 78: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Bob Woodward, (Born March, 26, 1943) Veil

Page 79: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Graham Greene (1904-1991)

Page 80: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Michela Wrong, Born U.K. 1961 Video: On Corruption

Page 81: Foreign Aid and LDC Administration Comparative and Multilateral Aid: The Intersection of Policy, Projects and Implementation

Next Week

Foreign aid

Dealing with Donors

Coping with Clients