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How to plan EC-funded projects

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How to plan EC-funded projects? find a compilation of a presentation, handouts and additional tips from a workshop for civil society organisations held in Bratislava on 4 June 2013.

How to plan EC-funded projects? find a compilation of a presentation, handouts and additional tips from a workshop for civil society organisations held in Bratislava on 4 June 2013.

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  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • ENPIAlgeria, Armenia,Azerbaijan, Belarus,Egypt, Georgia, Israel,Jordan, Lebanon,Libya, Moldova,Morocco, thePalestinianAuthority,Russia, Syria, Tunisiaand UkraineMeasuresofpovertyreduction;intended to promotesocialdevelopment and non-discrimination;aiming to promote health, educationand training; intended to promoteand protect human rights andfundamentalfreedoms; intended tofoster the development of civilsociety and of non-governmentalorganizations.1.6 billionEDFAfrican, Caribbean andPacific (ACP) countriesand theoverseasterritoriesof EUMemberStates (79 intotal)Measuresaimed at achievingeconomic growth; human and socialdevelopment; promotingtheculturalvaluesofcommunities;environmentalsustainability;institutionalreforms. OtherInitiatves:the EU-ACP Water Facility, the EUACPEnergyFacility, the EU-AfricaInfrastructure Trust Fund and theEdulink intra-ACP Programmeforhighereducation.3.7 billionDCISomecountries in LatinAmerica, Asia andCentralAsia and theMiddle East and SouthAfrica, not covered bytheotherinstruments(47 in total)Measuresaimed at povertyeradication and at the achievementof the MDGs; addressing primaryeducation and health; promotingsocialcohesion and employment;promoting human rights and goodgovernance; assisting partnercountries and regions in the areas oftrade and regionalintegration;promotingenvironmentalprotectionand sustainable management ofnatural resources and integratedwaterresource management;providingassistance in post-crisissituations and fragilestates.1.4 billion
  • Proposedcuts for Heading 4 could have a negative impact on the DCI as has the biggest enveloppe. EIDHR will not beaffected as relativelysmall enveloppe.Global Public Good & Challenges programme:EC will not launch a CfP per sectoranymore (healthCfP, education, ect) EC wants to stop having UN in one corner and NGOs in another. EC wantspolicy alliances withpartner countries to makesustainable changes in a holisticmanner.Added value of multistakeholderapproach and alliances (LA, CBOs, partners, etc) EC wantsNGOs to have strategicrole in thesepolicy alliances Instrument willalsoincludeflagship programmes to support multi-regional and/or cross-cutting areas that are not defined by traditionalsectorsCS
  • Proposedcuts for Heading 4 could have a negative impact on the DCI as has the biggest enveloppe. EIDHR will not beaffected as relativelysmall enveloppe.Global Public Good & Challenges programme:EC will not launch a CfP per sectoranymore (healthCfP, education, ect) EC wants to stop having UN in one corner and NGOs in another. EC wantspolicy alliances withpartner countries to makesustainable changes in a holisticmanner.Added value of multistakeholderapproach and alliances (LA, CBOs, partners, etc) EC wantsNGOs to have strategicrole in thesepolicy alliances Instrument willalsoincludeflagship programmes to support multi-regional and/or cross-cutting areas that are not defined by traditionalsectorsEIDHR:No dramatic change compared to the present system should be expected, apart from more flexibility and more responsiveness to needs. Integrate tools for the short term, medium term and long term:In the short term/emergency, the main novelty will be a facility for human rights in situation of crisis to act in very difficult situations and in response to crisis and where it is not possible to launch a call. Most of the EIDHR tools are already in operation and will continue under the new EIDHR. The only real new tool is the crisis facility that is for the moment tested as a pilot but will only really start as 1st of January 2014.
  • When to use logframe?ProblemAnalysis and ObjectiveSettingAnalysisofcauses and effects / prioritisationShows relevance to policies / contextChecksrisks and accountabilityforresultsEstablishesmeasurement systém and data collectionImplementationProvidesframeworkforResultsOrientedmonitoringEvaluationProvidesframeworkforevaluation as per OECD/DAC criteriaObservedIssuesToocomplicated, too many objectives / indicatorsTooambitiousobjectivesIndicatorsdifficult to measure / data not collectedordifficult to collectLogframe not usedforinternal monitoring / evaluation and decisionmaking
  • When to use logframe?ProblemAnalysis and ObjectiveSettingAnalysisofcauses and effects / prioritisationShows relevance to policies / contextChecksrisks and accountabilityforresultsEstablishesmeasurement systém and data collectionImplementationProvidesframeworkforResultsOrientedmonitoringEvaluationProvidesframeworkforevaluation as per OECD/DAC criteriaObservedIssuesToocomplicated, too many objectives / indicatorsTooambitiousobjectivesIndicatorsdifficult to measure / data not collectedordifficult to collectLogframe not usedforinternal monitoring / evaluation and decisionmaking
  • Results are consequenceofactivities, not just finishedactivities (24 teacherstrained, but havetheyimplementedtheknowledge?)Purpose / Specificobjectiveis a consequenceofresults, not just their sum! (doesnewteachingmethodologylead to betterlearningoutcomes, higherattendancerateetc. ?)Results are measured by output indicatorsPurpose / SpecificObjectiveare measured by outcomeindicatorsOverallObjectiveismeasured by impactindicators
  • Examples of qualitative and quantitative indicatorshttp://www.smarttoolkit.net/?q=node/391Quantitative indicators for the ‘accessibility’ of an information service’:- Distance of rural communities from a low-cost telecentre with a helpdesk- Percentage change in the number of visitors to the telecentre over a defined periodQualitative indicators for the ‘improved knowledge’ resulting from an information service:- The telecentre is close enough to a range of communities for them to use it when they need to- Positive and negative experiences of the users of the information in solving the problem for which information was sought- Ability of the users to discuss the problem in questionReference points for comparison1. Trends (e.g., a consistent increase or decrease in requests for support; increasing feedback from readers of a publication)2. Thresholds (e.g., at least three districts covered by a database; the minimum number of students on a course)3. Targets (e.g., the number of documents distributed by a stipulated deadline; the proceedings of a conference available in printed form by a given date)
  • Results are consequenceofactivities, not just finishedactivities (24 teacherstrained, but havetheyimplementedtheknowledge?)Purpose / Specificobjectiveis a consequenceofresults, not just their sum! (doesnewteachingmethodologylead to betterlearningoutcomes, higherattendancerateetc. ?)Results are measured by output indicatorsPurpose / SpecificObjectiveare measured by outcomeindicatorsOverallObjectiveismeasured by impactindicators
  • FromAssumptions – createRisksWeassumethat- Assumptionwillhappen – results/objectiveswillbeachievedRisk mighthappen, itthat case wehavepreparedmitigationmeasures so thatrisks do not happerprojectresults / objectives
  • FromAssumptions – createRisksWeassumethat- Assumptionwillhappen – results/objectiveswillbeachievedRisk mighthappen, itthat case wehavepreparedmitigationmeasures so thatrisks do not happerprojectresults / objectives
  • SustainabilityFinancial- how the financing of follow up activities is ensured, future costs covered by expected revenues, etc.Institutional- which structures would allow, and how, the results of the action to continuebe in place after the end of the action? Will the results of the action be appropriated by the targetgroups? What factors will ensure that the impact is sustainable?Policy- will it lead toimproved legislation, codes of conduct, methods or to better integrate gender in theeducationsystemetc.?EnvironmentalTechnicalSocialIssues:Projects are oftenunsustainable– relying on subsequentfunding. Thereishardlyany co-funding by targetgroups, no handover, sustainablecommunication/mechanismsetc.e.g. Volunteer turnover and age may be a problem, staff reduction, shift in strategyetc.Sustainabilitymaybeundermined by other, more urgent causes – localpoverty, unemployment...…so set up thesustainabilityplanfromthebeginning! (and adjustit on theway)
  • SustainabilityFinancial- how the financing of follow up activities is ensured, future costs covered by expected revenues, etc.Institutional- which structures would allow, and how, the results of the action to continuebe in place after the end of the action? Will the results of the action be appropriated by the targetgroups? What factors will ensure that the impact is sustainable?Policy- will it lead toimproved legislation, codes of conduct, methods or to better integrate gender in theeducationsystemetc.?EnvironmentalTechnicalSocialIssues:Projects are oftenunsustainable– relying on subsequentfunding. Thereishardlyany co-funding by targetgroups, no handover, sustainablecommunication/mechanismsetc.e.g. Volunteer turnover and age may be a problem, staff reduction, shift in strategyetc.Sustainabilitymaybeundermined by other, more urgent causes – localpoverty, unemployment...…so set up thesustainabilityplanfromthebeginning! (and adjustit on theway)
  • Relevant – the project meets demonstrated andhigh priority needsFeasible – the project is well designed and willprovide sustainable benefits to target groups = expected efficiency, effectiveness and impact of theproject prior to the start of implementation

How to plan EC-funded projects How to plan EC-funded projects Presentation Transcript

  • How to Plan Projects Fundedby the European Commission?Inka Píbilováinka@evaluace.com4 June 20131
  • Managing (not only EC) ProjectsProgrammingIdentificationFormulationFinancingImplementationEvaluationhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htmAid Delivery Methods PCM - Project Approach Guidelines2
  • Non-State Actors Local AuthoritiesMigration and asylumInvesting in peopleFood securityThe Environment and natural resourcesEC Financing Mechanisms - What are the options for CSOs?Nuclear SafetyEuropean Instrument for Democracy & Human RightsInstrument for Stability3
  • (IPA)http://ec.europa.eu/regional_policy/thefunds/ipa/index_en.cfm 4
  • Geographic Instrument - ENPIhttp://ec.europa.eu/europeaid/where/neighbourhood/overview/index_en.htm5
  • Geographic Instrument - EDFhttp://ec.europa.eu/europeaid/how/finance/edf_en.htmhttp://ec.europa.eu/europeaid/where/acp/country-cooperation/index_en.htmhttp://www.eurosurveillance.org/images/dynamic/EE/V16N29/Gossner_Fig1.jpgACP6
  • Geographic Instrument - DCILatin America, Asia and CentralAsia, the Gulf region (Iran, Iraqand Yemen) and South Africa.http://ec.europa.eu/europeaid/how/finance/dci_en.htm 7
  • How successful were V4 CSOs in getting EC grants in 2007 – 2010?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdf 8
  • How many EC grants did V4 CSOs get per year in 2007 – 2010?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdf 9
  • In which sectors (per OECD/DAC) did V4 CSOs get EC grants?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdf 10
  • In which regions did V4 CSOs get EC grants?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdf 11
  • In which regions did V4 CSOs get EC grants?http://ec.europa.eu/europeaid/where/neighbourhood/regional-cooperation/enpi-east/documents/annual_programmes/tacis_success_story_final_en.pdf12
  • What are some other opportuntities in the EC financing?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdfPossibility to work withother V4 entitieson contracts !13
  • How many V4 CSOs received EC funding for humanitarian aid?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdfECHO http://ec.europa.eu/echo/partners/humanitarian_aid/fpa_int_en.htm14
  • In which sectors have V4 CSOs provided EC humanitarian aid?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdf15
  • In which regions have V4 CSOs provided EC humanitarian aid?The Involvement of Development NGOs from Visegrad Countries in the Financial Instruments of the EChttp://fors.cz/user_files/dokumenty/v4verzeweb.pdfContact VOICES!http://www.ngovoice.orgADRA Czech, PIN...16
  • Non-State Actors Local AuthoritiesMigration and asylumInvesting in peopleFood securityThe Environment and natural resourcesWhat was the application success rate in 2012?Nuclear SafetyEuropean Instrument for Democracy & Human RightsInstrument for Stability0-11%global, 0-55%local7-23% global0-10% local2%0-4%0-2%2% global,0-29% local?http://ec.europa.eu/europeaid/work/funding/index_en.htm?17
  • So.... Why (not) to apply for EC funding?Why to apply• Match with own priorities• Learn from experiencedpartners, with shared vision andapproach, complementary SWOT.• Improve own systems andprocesses• Receive additional funding• Get more visibility and references• Sufficient capacities• Reasonable risks and sustainability• Reasonable success rate expected– Experienced lead agency– No similar actionWhy not to apply• Mismatch with own priorities• Lack of experience with institutionaldonors• Lack of human / financial resources– Previous turnover, co-funding...• High administrative burden• Unstable partnership– No previous cooperation– Unfair relations– Strategic changes• Risk of funding loss– non-complience (EC audits)– non-functioning partnerships• More promising alternatives18
  • How to check relevance and get ready? - key documents• EC Budget / Financial Regulations• Offical EC Communications• Country / Sector Strategy Papers, other national strategic documents• Previous projects, reports of other CSOs / actors• Annual Action Programme & Action Fiches• Annual Work Programmes• Calls (Guidelines, Applications, Results, Forecasts)• Grant Contracts, General Conditions, Annexes, Plan/Schedule/Report Templates• Guidelines/FAQs, PRAG, CONCORD Readerhttp://ec.europa.eu/europeaid/work/funding/index_en.htmCONCORD Europe, FDR - Financing for Development and ReliefFollow CONCORD – FDR, VOICES, national platforms!Do not wait for calls, plan ahead!19
  • EC DevCo – Who and what was successful? What is planned?Forecasts, Application Statistics!20
  • EC DevCo - Where to apply?21
  • What is expected in NSA LA Call Objective 2 on 16/9/2013?NSALot1: Global Learning projects withinformal educationLot2: Global Learning projects outside ofthe formal education systemLot3: Campaigning and AdvocacyprojectsLALot 4: Global Learning projects withinand outside of the formal educationsystem, and Campaigning and AdvocacyprojectsKey Changes (some under negotiation) ! ! !3 – 5 mil. budget per projectMin. 15 partner countries in ALL LotsUnlimited subgrantingElectronic submission via PROSPECT22
  • DevelopmentCooperation Instrument(DCI)•Proposed funding: € 14 billion•19 countries in Asia and LatinAmerica not to benefit frombilateral aid anymore•Pan African programme tosupport the Joint Africa-EUStrategyEuropean DevelopmentFund (EDF)•Proposed funding: € 34.2billion• From 6 to 7 years programme•Some countries will receiveless funds that under 10thEDF•Intra ACP share remains sameEuropeanNeighbourhoodInstrument (ENI)•Proposed funding: € 18.2billion•16 countries covered•Principle of « more for more »and mutual accountability•From 29 thematic priorities to6 objectives•Bilateral, multi-country andcross border cooperationprogrammes• Alignement to National Development Plans• 3 priority sectors for EU intervention• Multi-annual Indicative Programmes (MIPs)• Common Implementing Rules (CIR)What geographic programmes are expected after 2014?CONCORD Europe - FDR 23
  • CSO-LA instrumentDCI• Regions: all thirdcountries• Proposed budget: € 2billion• Complementarity togeographic funding BUTwill not subsitutegraduated countriesGlobal Public Good &ChallengesDCI• Regions: all thirdcountries• Proposed budget:€ 6.3billion• Scope: humandevelopment, environment, energy, food security &agriculture, migration• EC will not launch a CfPper sector anymore• EC wants policy allianceswith partner countries tomake sustainable changesin a holistic mannerEIDHR• Regions: all thirdcountries• Proposed budget: € 1.6billion• Facility for human rights insituation of crisis(Emergency situations)• Early warning(new), temporaryrelocation & legal support• Networking, coordination,capacity building &support to national HRinstitutesCONCORD Europe - FDRWhat thematic programmes are expected after 2014?24
  • Decided! . . . How to assess the project relevance?ProgrammingIdentificationFormulationFinancingImplementationEvaluation25
  • Stakeholder Analysishttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 26
  • Stakeholder Analysis MatrixExample: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 27
  • Stakeholder Analysis – Power / Interest / AttitudeInfluence/PowerKEEP SATISFIED INFLUENCE & ENGAGEKEEP INFORMEDMONITORInterestIndustry XHouseholdsFischermenExample: River PollutionAttitude28
  • Problem TreeExample: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 29
  • How to formulate the project proposal?ProgrammingIdentificationFormulationFinancingImplementationEvaluation30
  • Objective TreeExample: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 31
  • Strategy selection and logframe developmentExample: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 32
  • Why, when and how to use logical framework (logframe)?http://www.europa.eu.int/comm/europeaid/qsm/index_en.htmProblem Analysis and Objective Setting• Analysis of causes and effects / prioritisation• Shows relevance to policies / context• Checks risks and accountability for results• Establishes measurement systém and data collectionImplementation• Provides framework for Results Oriented monitoringEvaluation• Provides framework for evaluation as per OECD/DAC criteria33
  • How to develop the logical framework (logframe)?http://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 34
  • How to write objectives?Example: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 35
  • Quantitative - SMARTERSpecific / Simple (to understand, collect)MeasurableAttainable/Available at cceptable costsRelevant to project / stakeholdersTime-boundEvaluate/EngagingReevaluate/RecordableUse both quantitative and qualitative indicatorshttp://www.smarttoolkit.net/?q=node/391http://www.europa.eu.int/comm/europeaid/qsm/index_en.htmQualitative - SPICEDSubjectiveParticipatoryInterpreted and communicableCross-checked and comparedEmpoweringDiverse / disaggregated (by gender)Compare using trends (increase), thresholds (min. 30%), targets (strategy by 12/Y1)Min. 30 % of teachers include fairtrade intheir standard curriculum within 1 year oftraining completion.Reasons why teachers have (not)implemented fairtrade in their standardcurriculum (by school, experience...).36
  • Keep data collection simple and triangulate sources / methods!Example: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htmBOND papers - examples of indicators and data collection methods per sector!http://my.bond.org.uk/impact-builder/background-papersBOND Impact Builder (interactive) http://my.bond.org.uk/impact-builderCheck UNICEF, WHO, ILO... 37
  • Example of a logical framework (logframe)Example: River Pollutionhttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm38
  • Objectives and logical framework – issues and tipshttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htmIssues observed:• Logical frameworks too complicated, too many objectives / indicators• Too ambitious and/or too vague objectives• Indicators difficult to measure / data not collected or difficult to collect• Logframe not used for internal monitoring / evaluation and decisionmakingSome more tips:• Numbering Objectives (1,2), Results (1.1., 1.2., ...), Activities(1.1.1., 1.1.2.)• Check source of verification – how will data be collected, bywhom, when/how regularly?39
  • Risks Analysishttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htmAssump-tions inlogframe40
  • How to set-up and develop consortium and project management• Lead agency should be experienced in the ECmanagement, financially strong, with similar approach andvision• Some partners should be experts in the subject• Check references of partners• The project should have a wide impact (e.g. NSALA Obj 2 –min. 15 countries, 3-5 mil. EUR budget)• Coordination needs time, mainly at the beginning• Clear role devision per activity/result, adequate resources• Know your rights and responsibilities even as partners, do notrely on the lead agency (EC conditions, templates, PRAG... e.g.request the full application incl. budget and all reports)• Actively engage in project and financial management toprevent any crises41
  • How to find partners42
  • Activity schedule with tasks and responsibilities43
  • Critical Path – What can cause delays?START ENDPublic SurveyManualVolunteers´TrainingTrain the TrainerWorkshopCampaignResult 1Result 2Result/ ActivityYear 1MonthsYear 2MonthsYear 3Months1.1. Campaigning1.1.1 Public Survey1.1.2. Training1.1.3. Campaign1.2. Teachers´Capacity Building1.2.1. Manual1.2.2. TTT Workshop1.2.3. Workshops for StudentsWorkshops forstudents 3 paths44
  • Prepare budget per activity and partnerChapter/ Budget itemNo. ofactivityPartner Unit UnitrateNo ofunitsTotal1. HR1.2. Coordinator• Do not use lump sumps!• Check that activities are backed with sufficient resources• Check who is responsible for which activity and its budget• Check overheads (all 7%?, only lead agency?, otherwise?)• Check co-financing (all per budget split?, jointproposals?, what if one does not manage?• Check resource schedule –What if activities are delayed?What if EC delays payment? Can you self-finance it? Can yourlead agency pre-finance you? – include it in your MoU 45
  • Plan for sustainability!RisksSustainability• Financial /Economic• Institutional• Policy /Political• Environmental• Technical• Social• ....46
  • Plan for sustainability!Issues observed:• Projects are often unsustainable – relying on subsequent funding. Thereis hardly any co-funding by target groups, no planned handover,sustainable communication/mechanisms etc.• Budget and staff reduction affects continuation.• Sustainability may be undermined by other, more urgent causes.Some tips:• Set up the sustainability plan from the beginning! (and adjust it on theway)• Involve stakeholders in decision making from the very beginning toincrease their ownership (e.g. set-up mechanisms within existingstructures, that are more likely to sustain after funding ceases)• Involve target groups/beneficiaries financially and/or nonfinancially (co-funding of wells, contribution of land / workforce...)• Use diverse resources and in-kind contributions, e.g. volunteers47
  • Evaluation terminology48
  • Evaluation terminologyRelevance – the project meets demonstrated, high priority needs– Selection of the geographical area / topics / target groups... is in line with thestakeholder analysis and (their) needs and as well as with the priorities of the ECand the partner country.– The project is complementary to any existing initiatives (for example, it bringsa missing element, or a new approach etc.).– Use the same terms as in the call!Feasibility – expected efficiency, effectiveness and impact of the project prior to the startof implementation seems high, project will provide sustainable benefits to target groups– The proposed activities are likely to produce the expected results, the results arelikely to produce the effects / impacts (reach the objectives)– Alternative approaches/activities have been considered and the proposed projectdesign seems to be most efficient (taking into account time, funds, other resources)and effectiveCoherence – the project design reflects the problem analysis, stakeholders, external factors– For high priority needs there are adequate results/activities– Key stakeholders are involved adequately in key result areas/activities– Assumptions and risks match the above– Budget reflects the activities, number of outputs planned etc.49
  • What does participation mean?50
  • EC Evaluation Criteria51
  • Evaluation of an EC concept notehttps://webgate.ec.europa.eu/europeaid/52
  • Evaluation of a full EC applicationhttps://webgate.ec.europa.eu/europeaid/53
  • Evaluation of a full EC applicationhttps://webgate.ec.europa.eu/europeaid/54
  • Evaluation of a full EC applicationhttps://webgate.ec.europa.eu/europeaid/55
  • Got the funds?ProgrammingIdentificationFormulationFinancingImplementationEvaluation56
  • What is the difference between monitoring, evaluation, audit?Evaluation• Assessment of project efficiency, effectiveness, impact, relevance andsustainability for the purpose of learning and accountability to stakeholdersMonitoring• Ongoing analysis of project progress towards achieving planned results withthe purpose of improving management decision makingAudit• Assessment of (i) the legality and regularity of project expenditure andincome i.e. compliance with laws and regulations and with applicablecontractual rules and criteria; (ii) whether project funds have been usedefficiently and economically i.e. in accordance with sound financialmanagement;; and (iii) whether project funds have been used effectively i.e.for purposes intended.• Primarily a financial and financial management focus, with the focus ofeffectiveness being on project results.57
  • How to develop a planning, monitoring and evaluation system?http://www.europa.eu.int/comm/europeaid/qsm/index_en.htm1. Clarify project scope – stakeholders, institutional capacity,logframe and resources2. Understand the nature of organizational relationships,management arrangements and capacity constraints3. Determine the information needs of project implementers andother key stakeholders (Who? What? When? Link to logframe?)4. Review existing information collection systems and procedures5. As appropriate, develop and document monitoring systemguidelines and formats6. Provide training and resources to support systems developmentand implementation58
  • Why to have a proper planning, monitoring and evaluation system?• Timely identification of successes and problems during projectimplementation• Informed and timely decision making by project managers to supportimplementation• Accountability for the resources used and results achieved• Stakeholder awareness and participation• The evaluation of project achievements and audit of activities and financesTips:• Keep the users of information clearly in mind (who needs what information?)• Build on local information systems and sources - costs and sustainability ofnew systems!• Collect only the minimum amount of information required – keep it simpleand practical, more information is not better information!• Triangulate sources/ stakeholders, methods• Use Inception reports when team differs from the proposal writters, or whentime passed by between identification and grants approval... Inception reportis done usually 3 months after project start, revises original project proposal -updates logframe, sets annual action plan and monitoring plan59
  • What is the difference between monitoring, evaluation, audit?60Documentsuccess stories!
  • Use logframe to prepare Monitoring PlansYear 1Indicator / CountryCZ PL SK Total Note15.000 copies of publicationsdistributed (5.000 each)90% 110% 100% 100% Achieved120 teachers trained (40 each) 45 40 35 120 AchievedMin. 50% of teachers implement thenew tools within 6 months60% 40% 30% 40% Notachieved• Use indicators from the logframe• Split by year and partner• Use plan vs. actual, % or trends over time• Develop adequate sources of verification• Distribution lists• Attendance sheets with contacts!• On-line feedback forms after 6 months (combined withsupervision of teachers)• Media monitoring, public surveys...61
  • Monitoring Visit Checklisthttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 62
  • Monitoring Progress Report (Narrative)http://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 63
  • Monitoring – Other toolsShops at www.nazemi.cz Forms at docs.google.com Geolocation at www.googlemaps.com64
  • Regular reviews with partnershttp://www.europa.eu.int/comm/europeaid/qsm/index_en.htm 65
  • EC Results Oriented Monitoring1. Relevance and quality of design1.1 What is the relevance of this project?• Are the general objectives and the specific objective coherent with the policies of theGovernment partner and do they support them?• Do these objectives support the development and cooperation European strategies fromthe specific sector (considering in particular the Country Strategy Document(DEP)/National Indicative Plan (PIN); the Paris Declaration; the Aid Efficacy EuropeanAgenda)? ?• Is the project still responding to the needs of the target groups?1.2 In the current design, is the intervention logic still valid?• Is there a logic framework or a similar tool? Which is its current quality? (Does it clearlyreflect how the activities will lead to achieving the results and the impact?). Why not?• Are the general objectives, the specific objective and the results clear and logical and dothey clearly lead to the identified needs?• Is it possible to achieve the speciic objective in the projects framework?• Are there adequate and clear objectively measurable indicators? Are those SMART:Specific, Measurable, Achievable, Realistic and illimited in Time?• Are the planned activities, products and direct effects suitable for achieving the specificobjective ?• Are the risks and hypothesis valid? Is there any disposition for risks management?• Is it part of the sustainability design, in other words, is there an exit or transfer strategy?B66
  • EC Results Oriented Monitoring B1.3 Do all the actors sufficiently support the current design?• Have the key actors been involved in the designing process?• Have the coordination, management and financing schemes been clearly defined? Dothey foment the institutional strengthening and the local appropriation?• Do the projects partners clearly understand the sustainability strategy (transfer strategyto the partners)?• Do the projects partner clearly understand the general objectives (OG) and the specificobjective (OE)?• Are the chronogramme and/or the activities realistic in accordance to the actorscapacities?• If appropriate, how was the projects design adapted for improving its relevance? From acontractual point of view, was it reflected in a simple and direct manner?1.4 Are the transversal aspects in the current design adequately considered?• Have the key transversal question, such as environment, gender, human rights andgovernance, donors coordination or others, been adequately integrated to the projectsdesign?67
  • EC Results Oriented Monitoring B2. Effectiveness2.1 How are the availability and use of the media and inputs managed?• Up to which point the inputs are put to disposal/supplied in time for the execution of theactivities between all the parties involved?• Up to which point are the inputs provided/supplied at the cost expected (or lower thanexpected) to the parties involved?• Is there a regular assessment of the inputs for encouraging a cost-effective execution ofthe activities? Who carries out the assessment?• Are the project’s resources managed in a transparent and responsible manner?• Are the contractual procedures clearly understood? Do they facilitate the project’sexecution?2.2 How is the activities execution managed?• Is the logic framework or any similar tool used as a management instrument? If not,why?• Is there an activity and resources calendar (or work plan)? Is it used for managing theproject or any other relevant agent?• Up to which point are the activities executed in accordance with what was planned? Incase of delays, could they be corrected?• Are there any committed or spent funds in accordance with the execution calendar? Ifnot, why?68
  • EC Results Oriented Monitoring B• How are the project’s activities assessed? If necessary are there any correctivemeasures?• If necessary, how flexible is the project for being adapted to the changing needs?• If necessary, how is the project coordinated with other similar interventions forfomenting synergies and avoid duplications?2.3 How are the products being achieved?• Have the products been handed in on time and in a logical sequence?• To this day, what is the quality of the products?• Is it possible for the products achieved to contribute to the expected results?• Are they properly reflected in the IOV/goals?2.4 How is the partners’ contribution and involvement?• Do the inter-institutional structures, for example the assessment committees orassessment systems, allow an efficient execution of the project?• Were all the partners capable of realising the financial and/or human resourcescontributions?• Is there good communication between the managers of the country partner, theDelegation of the European Commission and the project’s management?69
  • EC Results Oriented Monitoring B3. Efficiency until Now3.1 How does the project achieve the expected results?• Until now, have the expected results been achieved?• Are the IOV/specific object goals appropriate? Are they being compared?• What is the quality of the results/services available?• Have all the target groups, until now, had access and used the available results?• Are there any factors that prevent the target groups from having access to theresults/services?3.2 Until now, in accordance with the execution, what is the probability of achieving thespecific objective?• In which way has the project been adapted or can be adapted to the changing externalconditions (risks and hypotheses) for ensuring benefits to the target groups?• In case of unexpected negative effects on the target groups or if there is a possibility thatthey could occur in the project, to what point were appropriate steps taken by projectmanagement?• How do the unexpected positive effects contribute to the results generated/servicesavailable?70
  • EC Results Oriented Monitoring B4. Impact prospects4.1 What is the project’s direct impact perspective on the general objective?• Which impacts, if any, are already obvious?• Which impacts seem probable?• Are they the current IOV/realistic goals? What is the probability of achieving them?• Are there any external factors that could put at risk the project’s direct impact?4.2 How has the project or will it have any positive and/or negative impacts, whetherenvironmental, social, cultural, gender or economic?• Has there been/will there be any positive unexpected impacts on the planned targetgroups or other project’s non target communities? How has it affected the impact?• Has the project taken any measures in time for mitigating the unexpected negativeimpacts? What was the result?• Is there any coherence, complementarity and coordination between the donors? Doesthis have any indirect impact over the project?Check Results Oriented Monitoring Website of the EChttp://ec.europa.eu/europeaid/how/ensure-aid-effectiveness/monitoring-results_en.htm71
  • EC Results Oriented Monitoring B5. Potential sustainability5.1 Financial and economic viability• If the services have to be institutionally supported is it possible that the funds should bereleased? If this is the case, by whom?• Once the project finished, are the services/results accessible to the target groups?• If the economic factors change can the benefits be maintained (ex. raw materials prices,exchange rate, etc.)?• Are the beneficiaries or relevant authorities/institutions capable of guaranteeing themaintenance or substitution of technologies/services introduced by the project?• Is there any economic/financial exit strategy? If this the case, what are the probabilitiesthat it will be carried out?5.2 What is the project’s appropriation level by some of the targets groups? Will thiscontinue after the end of the external support?• How much is the project inserted in the local structures?• How have the target groups and possibly other relevant groups of interest or actors beeninvolved in the planning and the execution process?• How actively are the relevant target groups involved in the decision taking regarding theorientation and execution of the project?• "How probable is the use of the relevant results by the target groups?"• Do the target group got any plan for giving continuity to the benefits? If this is the case,will they possibly achieve them?72
  • EC Results Oriented Monitoring B5.3 What is the level of political support to the project? What is the level of interactionbetween the project and the political level?• What support have the relevant national, sectorial and budget policies given?• Did the policy and priority changes affect the project? How is the project adapting to thechanges regarding the long-term support needs?• Is there a possibility for a political or private sector to continue once the project isfinished?5.4 How is the project contributing to the institutional and management capacity?• To which point is the project inserted in the institutional structures that will probablysurvive beyond the project’s life?• Are the project’s partners trained in technical, financial and management terms forcontinuing with the benefits/services of the project?• Will there be an adequate level of appropriate and qualified human resources availablefor continuing with the project’s benefits?• Are the relations with the new or the existing institutions good? Are there any plans togiving continuity to some or all of the project’s activities?73
  • Wait.... are we actually making a difference?ProgrammingIdentificationFormulationFinancingImplementationEvaluation74
  • Plan external evaluation well aheadTermsofReference–Objectives,scope,stakeholders,questions,budget,schedule,outputs,use.Desk studyInterviewsSurveysFocus groupsCase studiesPreliminaryfindings&conclusionsFinaldebriefingof all partnersCommunication with the Project PartnersDraft evaluationreportcommented byall partnersFinalevaluationreportInceptionphase1-3 monthsFieldresearch1-3 monthsReportingphase1-2 monthsInitialbriefingandinceptionEvaluatorSelection75
  • How to measure learning outcomes?http://leanlearning.wikispaces.com/learning_analytics 76
  • Links• EC - Non-state actors and local authorities in developmenthttp://ec.europa.eu/europeaid/how/finance/dci/non_state_actors_en.htm• Forecasted NSALA callshttp://ec.europa.eu/europeaid/how/finance/dci/documents/2011-2013_-_calls_for_proposals_forecast_-_objective_1_in-country_en.pdf• NSALA Eligibilityhttp://ec.europa.eu/europeaid/how/finance/documents/non-state-actors/frequently_asked_questions_en.pdfhttp://ec.europa.eu/europeaid/how/finance/documents/non-state-actors/dci_en.pdf(Article 24)Check relevant calls and action fiches• CONCORD Europehttp://www.concordeurope.org/111-reader-2012• PRAGhttp://ec.europa.eu/europeaid/prag/document.do?locale=en• EPDET – European Program for Development Evaluationhttp://www.dww.cz/index.php?page=epdet• RISC: How do we know it is working? (for measuring learning outcomes / attitudinalchange of students)77
  • Good luck!Inka Píbilováinka@evaluace.com78