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