propack ii: project management and implementation guidance ... · pdf fileproject management...

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

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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

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viiiPROPACKIITABLEOFCONTENTS

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

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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


• 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


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.


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.


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.


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.


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.


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.

�0PROPACKIICHAPTERI

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.

PROPACKIICHAPTERI��

��PROPACKIICHAPTERI

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.

PROPACKIICHAPTERII��

CHAPTER IIPROJECT MANAGEMENT: THEORIES, MODELS AND ESSENTIAL SKILLS FOR MANAGERS

�4PROPACKIICHAPTERIISECTION�

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.

PROPACKIICHAPTERIISECTION��

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.

��PROPACKIICHAPTERIISECTION�

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.


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.


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.


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 .


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.


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.



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.


“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.


Figure2.2fromtheStrategicFrameworkshowsCRS’desiredrangeofrelationshipswithitspartners.

Figure2.2:DesiredRangeofPartnerRelationships

Wedevelopourstrategies

irrespectiveofthelocal

Church


andinformthem


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.


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.


• 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.


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?


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.


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.


• reviewkeyknowledge,skills,andattitudesimportanttosuccessfulprojectmanagementandimplementation;and

• examinepracticalwaystoapplythesetoyourprojectmanagementwork.

Notethatthissetofknowledge,skills,andattitudesareimportantformanagingallstagesoftheprojectcycle:design,detailedimplementationplanning,implementation,monitoringandevaluation,andprojectclose-out.Manytopicsareparticularlyhelpfulinmanagingpartnerrelationshipsthroughoutthecourseofprojectwork.

YouwillnoticethatmosttopicsinthischapterrelatedirectlytotheCRSValues-BasedBehaviors.


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).


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)


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.”


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.


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


(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).


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.


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.


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�


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


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.


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?


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


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.


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).



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)


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.



1. Whichofthetimemanagementideas,tips,orguidanceaboveisMOSTrelevantandculturallyappropriateinyourprojectmanagementsituation?

2. Whichwouldbeeasyforyoutoimplement,andwhy?3. Whichwouldbemoredifficulttoimplement,andwhy?

Learning How to Run Effective Meetings Meetingsareakeymechanismtocommunicatewithpartnersandotherprojectstakeholders.

InCRSprojectmanagementwork,thecostsofholdingmeetingscanbeveryhigh:Itmaymeanflyingtoremoteareasofacountryormakingabiginvestmentintimeandlogisticstogatheravarietyofprojectstakeholderstogether.Improvingyourskillsinrunningmeetingswillmakethesecostswellworthit.

Ifyourmeetingstendtobevirtual,consulttheVirtualTeamToolkitmanualforguidance.AlsoconsiderBreezeorothertechnologiesmentionedearlierinthissection.


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.


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!


Preparing the Meeting Room

Ifteammembersarenotcomfortable,theywillnotfocusontheobjective.Irritationsmayincludetemperature,noise,lighting,seating,orventilation.Dirtyoruntidyrooms,insufficientsupplies,andmissingorbrokenequipmentalsoaffectthequalityofameeting.Theroom’sarrangementisessentialtogroupeffectiveness.Seatingpeopleinrowscanunknowinglypromotehierarchicalrelationships.Considerusingacircleorsmalltablearrangement.Teamswithlotsofdocumentsneedtables,andpeopleshouldbeabletoseeeachothereasily.


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?


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.


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.


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) .


Thereareothermodelsandtheoriestoincreaseawarenessofhowonemanagesconflict,suchasTransactionalAnalysisdescribedinI’m OK, You’re OKbyThomasA.Harris(1976).

Somedisagreementscandisintegrateintoasituationwhereeachoftheprojectstakeholderstriestoprevailthroughawin/loseconfrontation.Insuchconfrontations,thereisalwaysawinnerandaloser.Inlong-termrelationships,thesekindsofwin/loseconfrontationscanjeopardizetherelationshipitself(Jud2005).


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)


MOTIVATING STAFF AND PARTNERS

Empower staff through opportunities for growth, development, leadership and delegation of appropriate authority and responsibility .


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?


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.


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.


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


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


proposal and secure

funding

Complete midterm

evaluation

Complete final


project

Undertake assesment

Writeconcept

note andsecure

support






Planning

IMPLEMENT

PROJECT

ACT

LEARN

MONITOR

IMPLEMENT

PROJECT

ACT

LEARN

MONITOR

SECTION OVERVIEW

Onceyourprojectproposalisapproved,itistimetoverifywhatexactlywillbedone,whowilldoitandwhen,whatresourcesareneeded,andhowimplementationprogresswillbemonitored.


• 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.


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 .


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.


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.


SECTION 2 INITIAL TASKS

SECTION OVERVIEW InSection2,youwilldothefollowing:

• considerhowtodocumentaDIP;

• examinethefunctionandimportanceofAwardAgreements;and

• analyzeyourstakeholders.

DOCUMENT THE DIP

Aprojectfilingcabinet—realorvirtual—islikelytohavealreadybeensetuptostoreallthedocumentsrelatingtoyourprojectdesignandproposalwritingworkbasedontheinstructionsinProPackI.AsshowninFigure3.3,thefirstvirtualdraweroftheprojectfilingcabinetshouldcontainmastercopiesofallimportantprojectdesignandproposaldocuments.Now,youwillstarttofilltheseconddrawerwithdocumentationassociatedwithdetailedimplementationplanning.


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.


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.


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.


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 .)


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.”


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.


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.


• 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.


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


(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.


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.


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


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.


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.


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?


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.


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.


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?


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.


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.


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.


Figure4.2:ComponentOne——

ConsidertheWholeM&ESystem







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


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


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.


Figure4.3:ComponentTwo—ReviewInformationNeeds

ofStakeholdersandChoiceofIndicators







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?


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?


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.


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.


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!


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.


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.


Figure4.4:ComponentThree—Plan for Data Gathering,—Plan for Data Gathering,PlanforDataGathering,

OrganizationandAnalysis







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.


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

PROPACKIICHAPTERIVSECTION��0�

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.

�0�PROPACKIICHAPTERIVSECTION�

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.


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.


(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.


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.


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.



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.


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.


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


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.


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.


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.


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.



ThispartoftheM&EOperatingManualwillbequitelarge.Informationforthissectionmayincludemostofthefollowing:

• Datagatheringformsandinstructions;

• Datareportingformsandinstructions;

• MeasurementMethods/DataSourcesWorksheet;

• PerformanceIndicatorTrackingTable;

• BaselineSurveyWorksheet;

• MonitoringResponsibilitiesWorksheet;

• MasterPerformanceIndicatorSheets(ifyoudecidetodevelopthese);

• Writtenplanstogatherinformationnotgatheredviaindicators;and

• Anyrelevantadditionalwrittenplansfordatagathering,organization,andanalysis.


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.


Tocompletethiscomponent,makealistofthecriticalreflectioneventsforyourprojectandincludethemintheM&Ecalendar,whichisdescribedinthenextstep.


Figure4.6:ComponentFour—Plan for—Plan forPlanfor

CriticalReflectionEventsandProcesses







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 .


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 .


Figure4.7:ComponentFive—Plan for—Plan forPlanfor

QualityCommunicationandReporting







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.


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.


1. Listthecommunicationeffortsinyourcurrentproject.2. Howwelldotheywork?Forexample,doyoudependsolelyon

progressreportstoknowwhatishappening?Whatothersourceswouldhelpyouverifyinformationintheprogressreport?

3. Howoftendoyoureportbacktothecommunities?4. Howmightyourcommunicationeffortsbeimproved?


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.


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).


M&ETrackingTemplate


ExamplesofhowM&Einformationisbeingusedincountry(stories,casestudies,etc.).



C-SAFECommunicationsandMarketing


Successstoriesfromthefield.

Whenstoriesbecomeavailable.

Assoonasstorieshavebeenverified.

Semi-annualreportNarrativeandnumericalexceltable

Bi-annualreviewofprogramprogress.

RegionalProjectUnitsendsdetailedreportingscheduleeachMarchandSeptember.


Informationforthissectionofthemanualwillincludesomecombinationofthefollowing:

• UpdatedActivityScheduleshowingkeyreportingandcommunicationevents;

• M&ECalendar;and

• ProjectReportingSchedule.


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.


Figure4.8:ComponentSix—Plan for the—Plan for thePlanforthe

ResourcesandCapacitiesRequired







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.


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)


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.


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.


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.).


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.


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/


CHAPTER V DIP PART C: PROJECT RESOURCES AND DIP DOCUMENTATION

PROPACKIICHAPTERVSECTION��

SECTION 1

RECRUITING STAFF AND CONDUCTING PERFORMANCE PLANNING

SECTION OVERVIEW

CRSprojectmanagersareoftenresponsibleforhiringstaff.ThissectionfocusesonstaffingactivitiesduringdetailedimplementationplanninganddescribesCRS’humanresourcemanagementprocesses,whichaimtobefair,transparent,andaremodeledonindustrybestpractices.YourroleasaCRSprojectmanageristoensurethattheseprocessesarepracticedinyourprojects.Youwillhavetoassesshowtheseprocessesarerelevanttopartnerswhomanagetheirownhiring.


• 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.

��PROPACKIICHAPTERVSECTION�

Checklist5.2:GettingHelpfromyourHRManager

Ahumanresourcesmanagercanhelpwiththefollowing: pre-screeningcandidates; developinginterviewquestions; givingimpartialadvice; providinginformationonsalaryratesandbenefits;

consideringthefitofthecandidatewiththeteam; performingreferencechecks;and negotiatingthesalaryandotherbenefitswiththesuccessfulcandidate.


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.

��4PROPACKIICHAPTERVSECTION�

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.


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.


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.


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.


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.


SECTION 2

CONDUCTING CAPACITY STRENGTHENING ASSESSMENTS

SECTION OVERVIEW

Thissectionrespondstoconcernsaboutwhetherallpartners,includingCRS,haveadequatecapacitytoimplementtheproject.


• 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

�40PROPACKIICHAPTERVSECTION�

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.

PROPACKIICHAPTERVSECTION��4�

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).

�4�PROPACKIICHAPTERVSECTION�

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.


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.

�44PROPACKIICHAPTERVSECTION�

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.


SECTION 3

MANAGING PROJECT RESOURCES

SECTION OVERVIEW

Youareaccountable,asaprojectmanager,forthestewardshipofprojectresources.Theseincludecash,in-kindcontributionsandsupplies.Detailedimplementationplanninghelpsensuresystemsareinplaceandwellunderstoodsothattheseresourcescanbemanagedsuccessfully.


• 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!


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


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


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


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.


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.


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


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.


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.


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.


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.


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.


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.


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.


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.


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.

PROPACKIICHAPTERVSECTION4��

��PROPACKIICHAPTERVSECTION4

• 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


proposal and secure

funding

Complete midterm

evaluation

Complete final


project

Undertake assesment

Writeconcept

note andsecure

support






Planning

IMPLEMENT

PROJECT

ACT

LEARN

MONITOR

IMPLEMENT

PROJECT

ACT

LEARN

MONITOR

SECTION OVERVIEW


• reflectonthechallengesofimplementation;

• reviewthedefinitionofimplementation;

• studytheelementsofthisstageoftheprojectcycle;and

• consideryourroleduringprojectimplementation.

ImplementationmeanscarryingouttheDIP.Soundsimple?Thinkagain.Considerthe“FromTheorytoPractice”storyfromCRSJerusalem/WestBank/Gaza,whichdescribesthechallengesofprojectimplementationinarapidlychangingenvironment.

PROPACKIICHAPTERVISECTION��

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 .

��4PROPACKIICHAPTERVISECTION�

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


Monitoring,learningandactingtakeplacethroughoutthelifeoftheproject.Forexample,when thefirstcommunitymeetingisheld,learninginfluencesthenextsteps.

��PROPACKIICHAPTERVISECTION�

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.


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.


• 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.


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?


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.


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.


Technical Assistance Ongoingtechnicalassistanceiskey.ThisassistancemaycomefromCRSregionalorheadquarters

technicaladvisors,consultants,partners,governmenttechnicians,otherNGOs,peercommunityworkersorothersources.

Singleeventsdonotachievetheirobjectivesifthereisnofollow-uporsupporttoapplynewknowledgeorpracticenewskills.Checklist6.2willhelpyouorganizeeffectivetechnicalassistance.

Checklist6.2:OrganizingHigh-qualityTechnicalAssistance


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.


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 .


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.


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.


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.


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.


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.


• 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.


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.


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.


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.


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?


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


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?


Inthissituation,theActivity(training)wascompleted,buttheOutput(increasedknowledge,skills,andchangedattitudes)wasnotdelivered.Uponfurtherquestioning,itturnsoutthatausuallyreliabletrainingorganizationsentanovicetrainerwholecturedthetraineesallweek.Asaresult,manysessionshadverypoorattendance.Onthebasisofthisinformation,youandyourpartnerwillneedtotakedecisionsonhowtoensurethatanexperiencedtrainer,withknowledgeofmoreeffectivelearningmethods,isengaged,andtofindawaytomonitortheActivitymoreclosely.

Table6.5:MonitoringIntermediateResults


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.


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.


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.


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.


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.


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.


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.


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


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.


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.


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.


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.


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.


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?


PROJECT REVIEW MEETINGS

ProjectreviewmeetingsamongCRSstaff,partners,andotherrelevantstakeholdersareimportant critical reflection events.Theyareessentialforaresults-basedmonitoringsystembecausetheyprovideanexcellentopportunitytoreflectoninformationgeneratedbythesystemorothersources,suchasrecentlycompletedevaluationsorobservationsfromsitevisits.

ItishelpfulatsuchmeetingstohavecopiesoftheResultsFramework,orhavetoitpostedonawall.Inthisway,participantscanensuretheconversationrelatestothebroaderprojectaimsandobjectives.Usingthisresults-basedapproach,thosepresentwillfeelencouragedtoraiseimportantissuesthatmightotherwisegetlostinadetaileddiscussionfocusedonprojectactivity.

Projectreviewmeetingsalsoprovideaplanningopportunity;forexample,youcanmakedetailedworkplansfortheperiodbeforethenextmeeting.


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?


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.


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.

�00PROPACKIICHAPTERVISECTION�

Figure6.5:Implementation:

Monitor,LearnandAct


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.


• 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)

�0�PROPACKIICHAPTERVISECTION4

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.


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 .


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


• 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.


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 .


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.


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.


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.


CHAPTER VII PROJECT EVALUATION AND CLOSE-OUT

SECTION 1

EVALUATION—DEFINITIONS AND TYPES

SECTION OVERVIEW

Figure7.1:ProjectCycleandEvaluation

PROJECTMANAGEMENT


proposal and secure

funding

Complete midterm

evaluation

Complete final


project

Undertake assesment

Writeconcept

note andsecure

support






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.

PROPACKIICHAPTERVIISECTION��

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).


• 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!

��PROPACKIICHAPTERVIISECTION�

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?


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)


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)


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.


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?


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)


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?


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.


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.


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.


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 .


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)


SECTION 2

GUIDANCE ON UTILIZATION-FOCUSED EVALUATIONS

SECTION OVERVIEW

CRSprojectmanagers,workingcloselywithpartnersandotherstakeholders,playanimportantroleininitiating,organizingandmanagingevaluations.Often,projectmanagersplayaleadershiproleastheevaluationmanager,ensuringthatevaluationsarewell-plannedandpreparedandthatteammembersreceivesupport.


• 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.


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.


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.


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.


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


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 .)


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.


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.


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.


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.


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.

�40PROPACKIICHAPTERViISECTION�

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?

PROPACKIICHAPTERVIISECTION��4�

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.)

�4�PROPACKIICHAPTERVIISECTION�

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.


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.

�44PROPACKIICHAPTERVIISECTION�

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.


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).


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.


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.


SECTION 3

PROJECT CLOSE-OUT

SECTION OVERVIEW

Figure7.2:Close-outwithintheProjectCycle

PROJECTMANAGEMENT


proposal and secure

funding

Complete midterm

evaluation

Complete final


project

Undertake assesment

Writeconcept

note andsecure

support






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.


• understandtheimportanceofprojectclose-out;and

• reviewclose-outrequirementsforCRS.


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.


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.


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?


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.)


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.


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.


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


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.



• 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


SECTION 2

REFERENCE LIST

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ALNAP.2003,AnnualReview,Humanitarian Action: Improving Monitoring to Enhance Accountability and Learning .

Aubel,J.1999.Participatory Program Evaluation Manual: Involving Program Stakeholders in the Evaluation Process: 2nd Edition.ChildSurvivalTechnicalSupportProjectandCRS.Baltimore:CRS.

Bamberger,M.,J.Rugh,andL.Mabry.2006.Real World Evaluation . Working Under Budget, Time, Data, and Political Constraints.California:SagePublications.

Bennis,W.1998.On Becoming a Leader.London:ArrowBooks.

Betters,C.undated.Facilitator’s guide and manager’s guide to essential finance.CRS/Europe.

Blake,R.andJ.Mouton.1964.The Managerial Grid: The Key to Leadership Excellence .Houston:GulfPublishingCo.

Bonnard,P.April2002.Title II Evaluation Scopes of Work.TechnicalNoteNo.2.Washington, D.C.:FANTA.

Bossidy,L.andR.Charan.2002.Execution: The Discipline of Getting Things Done.NewYork:CrownBusiness.

Bramel,P.,T.Remington,andM.McNeil,eds.2004.CRS Seed Vouchers & Fairs: Using Markets in Disaster Response.Nairobi:CRS.

Brinkerhoff,R.O.2003.The Success Case Method: Find Out Quickly What’s Working and What’s Not .SanFrancisco:Berrett-Koehler.

Britton,B.May2005.Organisational Learning in NGOs: Creating the Motive, Means and Opportunity .PraxisPaperNo.3.Oxford,INTRAC.

Bryant,C.andL.G.White.1982.Managing Development in the Third World.Boulder,CO:WestviewPress.

Buckingham,M.andC.Coffman.1999.First, Break All the Rules: What the World’s Greatest Managers do Differently .NewYork:Simon&Schuster.

CARITASInternationalis.2002.Peacebuilding: A Caritas Training Manual.VaticanCity:CaritasInternationalis.

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.

��PROPACKIIFURTHERRESOURCESSECTION�


Chambers,R.1983.Rural Development . Putting the Last First . London:Longman.

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Collison,C.andG.Parcell.2001.Learning to Fly: Practical Lessons from One of the World’s Leading Knowledge Companies . Oxford,UK:CapstonePublishingLimited.

Covey,S.R.1989.The 7 Habits of Highly Effective People .NewYork:Simon&Schuster.

CRS.2002.Programming Guidance.Baltimore:CRS.

CRS.2002.Seed Vouchers and Fairs: A Manual for Seed-based Agricultural Recovery in Africa .In collaborationwithOverseasDevelopmentInstituteandInternationalCropsResearchInstitute fortheSemi-AridTropics.Baltimore:CRS.

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———.2004.Project Tracking System (PTS) User Manual.Baltimore:CRS.

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DeRuiter,F.andJ.C.Aker.2006.Human Interest Stories: Guidelines and Tools for Effective Report Writing .

Drucker,P.F.1992.Managing the Non-Profit Organization: Principles and Practices . NewYork:HarperCollinsPublications.

Estrella,M.2000.Learning from Change.London:IntermediateTechnologyPublicationsLtd.

Feuerstein,M.1986.Partners in Evaluation: Evaluating Development and Community Programmes with Participants.UnitedKingdom:TeachingAidsatLowCost.

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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.



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

��PROPACKIIFURTHERRESOURCESSECTION4

PROPACKIIFURTHERRESOURCESSECTION4��

• KenyaBudgetStatusandAdvanceRequestform

• LearningNeedsandResourcesAssessmentsampletemplate

• M&ECalendar

• MAGIPlanningandAssessmentUser’sGuide

• ManagementQualityAssessmentTool

• MasterPerformanceIndicatorSheet

• MeasurementMethods/DataSourcesWorksheet

• MonitoringResponsibilitiesWorksheet

• MorningStar

• MoUtemplate

• Multi-raterAssessment

• NewDonorSource/Projectform(NDS/P)

• OneHandCan’tClapByItself

• OverseasOperationsAgreementPolicy


• 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



• 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


• 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



SECTION 7

LIST OF TABLES


• 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


228 W. Lexington Street Baltimore, MD 21201-3413 USATel: 410.625.2220 • www.crs.org

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