Foreign Aid

The Process of Policy

And Implementation

Monday Morning 8:15

1. Get a cup of coffee

2. Start your computer

3. Check your e-mail

4. What then?

Foreign Aid

THE PROCESS

The Foreign Aid Process

Office ofManagementAnd Budget

(OMB)

Evaluation

Ex-PostFacto

Evaluation

Implementa-tion

Pre-Implementa-

tion

ProjectPaper(PP)

ProjectReviewPaper(PRP)

ProjectIdentificationDocument

(PID)

Field ofConcentration

Strategy(DAPII)

CountryProgramStrategy(DAPI)

PriorEvaluation

OperationalYear Budget

(OYB)Appropriation

CongressionalPresentation

(CP)

BudgetSubmissions

OngoingProjects

HostCountry

Legis-lation

ForeignPolicy

LDCNeeds

Agency PolicyGlobal Sector Strategies

Regional StrategiesResearch Strategy

Management Objectives

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

Evaluation Criteria

Project ReportingProject PerformanceTracking (PPT);Financial Reporting

Planning

Budgeting

Design Approval

Implementation

Evaluation

Reporting

Blueprint Approach to Development Planning

Pilot ProjectResearchers

Before-AfterSurveys

Planner

Administrators

TargetPopulation

EvaluationResearchersActions

ProjectBlueprints

Actual ChangeVersus

Targeted Change

Tested Models

The Project Cycle

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

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

Sustainability Organizational Requirements Recurrent Cost Implications Human Skills Needed Social Acceptance

The Project Cycle

Design Identifying nature of problem and possible

solutions--specific needs and desired changes Appraisal

(Mandatory) data needed to prepare project plan

The Project Cycle

Analysis--collection of: Prediction Selection of preferred alternatives

The Project Cycle Analysis--collection of:

The Logical Framework: (LOGFRAME) If-then conditions AID moved away from logframe Was replaced by a system based on identifying

Strategic Objectives, Intermediate Results, Measurable Indicators, etc.

That system was recently "de-emphasized." AID mission requests for funds were tied to promises

of specific results Results Framework system is "under review."

The documents:

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

Project Objectives Achieved

3. Evaluation 2. Execution

1. Design

The Project Cycle

Logical Framework Performance Networks

Practical Concepts, Incorporated

Project Objectives Achieved

3. Evaluation 2. Execution

1. Design

Evaluation System Reporting System

Evaluations assess performance against plans and analyze causal linkages

Progress indicators and formats for communicating project information

Networks display performance plans over time

ACHIEVEMENT

EXCEPTION

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

Preparation of Documents: Donor - USAID

Country Strategy Paper Concept Paper Project Identification Document (PID)

PP (USAID)(PP = Project Paper)

Program Agreement(Donor to Country)

Technical Proposal(Contractor to Donor)

Country Context Paper(Contractor to Country)

Implementation Documents

The Project Cycle

Implementation

Carrying out actions planned Personnel

local (and foreign) Physical and organizational Needs

The Project Cycle

Monitoring and Evaluation: Linked to End of Contract and Verification of

Objective indicators Understanding what has happened and assessing

changes and quality of change Issue: sustainability regarding follow-on within the

country and replicability from one country to another

Monitoring and Evaluation

Nature of Data: Interview vs. survey Seat of the pants observation

"the old quick and dirty" The problem of project goals:

Goals are to be limited and bounded Specific activities are to be clearly defined and

achieved Short run success leads to successful evaluation Short-term loop is five years

Monitoring and Evaluation

Nature of Data: Judgment: Evaluation vs. Assessment

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

Problem: judgment requires clear goals, in contradiction with learning

Problem: power of the expert

Monitoring and Evaluation

Nature of Data: Evaluation is a donor requirement

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

very technical, programmed Evaluation often the need for more action

Monitoring and Evaluation

Nature of Data: Evaluation as an end product:

Separate from implementation Action pre-determined in design prior to evaluation

Separates evaluation from the on-going activity

Monitoring and Evaluation

Issues Problem with Evaluation concept

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

Assessment Ongoing, part of implementation process

End of Project Status (EOPS)

Are of great importance and are primary target of project efforts and discussion

Projects are usually very complex It is common to find that no single indicator is

sufficient to describe the project achievement completely

End of Project Status (EOPS)

In determining EOPS we apply following principle: If all EOPS conditions are satisfied, then there

would be no credible alternative explanation Except the purpose of the project (and the contract)

has been achieved Good project design will include the conditions

that demonstrate successful achievement of the Project Purpose

End of Project Status (EOPS)

Example PROJECT PURPOSE IN THE DEVELOPMENT

OF AN OIL FIELD: Export oil

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

nearest port; Quality of crude produced is competitive with that

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

M&E During Project Execution

Design

ExecutionEvaluation

LOGFRAMES

SPECIAL

RESULTS

MONITORING & EVALUATION

REPORTS

FINANCIAL EXECUTIONPLANS (FEP)

ALERT

PERIODIC & MID-TERM

EVALUATIONS

PurposePurpose

PHYSICAL EXECUTIONPLANS (PEP)

M & E Plan

The Logical FrameworkNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

OUTPUTS

INPUTS

Example of Project Objectives GOAL

Illnesses caused by impure drinking water reduced. PURPOSE

Hygienic practices adopted by the rural population. OUTPUTS

Clean water provided to 60% of villages in Northwest Region.

Health workers trained. ACTIVITIES [or Inputs] Measured in Money

Example of Project Objectives

ACTIVITIES

1.1. Choose sites for wells. 1.2. Organize village workers 2.1. Develop curriculum. 2.2. Recruit health workers. 2.3. Conduct training.

The Logical FrameworkNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

OUTPUTS

INPUTS

Horizontal Logic of the LogframeNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

COMPONENTS

ACTIVITIES

The Means of Verification

Hierarchy of

Objectives

Indicators Sources of information

Method for data

collection

Agency responsible

for data collection,

analysis, and dissemination (information producer)

Method for analysis of

data

Frequency Application (expected

uses)

Reporting format (letter, written report,

oral presentation,

etc.)

Circulation (expected information

users)

Objectives ObservableVerifiableIndicators

Means of Verification (MOV)

Horizontal Logic of the LogframeNARRATIVESUMMARY

INDICATORS MEANS OFVERIFICATION

ASSUMPTIONS

GOAL

PURPOSE

COMPONENTS

ACTIVITIES

The Means of Verification

Hierarchy of

Objectives

Indicators Sources of information

Method for data

collection

Agency responsible

for data collection,

analysis, and dissemination (information producer)

Method for analysis of

data

Frequency Application (expected

uses)

Reporting format (letter, written report,

oral presentation,

etc.)

Circulation (expected information

users)

Objectives ObservableVerifiableIndicators

Means of Verification (MOV)

Physical Execution Plan

1. Componenta. Activityb. Activityc. Activity

2. Componenta. b. c...

7 units

3 units

ConstructionUnit

TechnicalSupport Unit

Component/Activities/Tasks Time Product Responsibility

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Foreign aid

Dealing with Donors

Coping with Clients