TOPIC 1.

DILG ROLE IN PROJECT DEVELOPMENT

AND MANAGEMENT
A. DILG Roles and Competencies
 LGOO in PDM
 Roles to perform
 Competencies to develop

B. DILG Relevant Roles

 As performance adviser
 As policy advocate
 As partnership and synergist adviser
 As compliance monitor
 As DILG local focal person

C. Functional Competencies
 Program Management and Development
 Influence
 Effective Communication
 Managing knowledge and information
 Technical proficiency

D. Relevant Roles of LGOOs

1. As Performance Adviser
a. Advocates the use of performance management tool
2. As Partnership and Synergist Adviser
a. Advises management of local convergence on DILG PPAs
b. Convinces local officials on the importance of interagency programs
c. Advises local leagues on plan and program alignment with national development
3. As Policy Adviser Advocate
a. Promotes stakeholders partnership for responsive local legislation and program
implementation
4. As DILG Local Focal Person
a. Regularly assesses local situation and identifies issues on local development
b. Performs environmental scanning, conducts situational analysis
5. As Compliance Monitor
a. Champions the cause of good governance by documenting best practices

E. Competencies to Develop
1. Program Development and Management
a. Specific Competencies
i. Program development
1. Explains background and objectives of the project being
developed’
2. Drafts activity designs/project proposals with required resources to
achieve objectives and desired results
ii. Risk management in program implementation
 1. Gathers information to understand the probability of success and
consequence of failure (risks) in implementing an activity/project or
program
2. Develops a contingency plan by anticipating the most likely risks to be
encountered for activity / project or program and implements
contingency actions when need arises
i. M&E (Central and Field)
1. Collects and collate reports following monitoring and evaluation
systems (Central)
2. Uses IT based monitoring tools in updating and documenting
activity/project and program related (Central)
3. Monitors milestones and progress of activity/project and program
implementation (Central)
4. Regularly provides activity/project and program implementation
updates (Field)
2. Influence
a. Identifies targeted stakeholders and relays messages appropriate to their
personalities
b. Highlights the benefits of programs and services when preparing messages for
stakeholders
3. Effective Communication
a. Accuracy and Relevance of message or communication
i. Uses current and relevant information when communicating with
stakeholders
ii. Identifies sources and reference of information for written documents and
presentations
iii. Thinks through what has to be communicated to organize thoughts and ideas
effectively
iv. Presents current and relevant information that supports the message,
conclusions, and recommendations being communicated
b. Preparing to communicate / packaging the message
i. Organizes an outline or a summary of important points to guide actual
writing or preparation of presentation
ii. Keeps written and/or presentation materials concise and relevant
iii. Reviews document and presentations for correct grammar, punctuation, style,
and spelling
iv. Adjusts content and style of documents and presentations according to subject
matter
v. Translates highly technical information into simple terms to facilitate
understanding of target readers/audience
vi. Uses graphics and other aids to clarify complex and technical information
4. Technical proficiency / Field expertise

TOPIC 2. INTRODUCING A SUSTAINABLE PROJECT

A. What is a Project?
A project as defined:
 Covers a wide range of operations, from small initiatives to complex
program
 A mechanism to solve “a problem”
  Has a deadline, i.e. a timeframe and completion date.
 Takes advantage of existing opportunities in the context, and of local
capacities
 Has a specific amount of resources

B. Why good project planning is important?

Planning helps to:
 Think ahead and prepare for the future
 Ensure the right direction
 Identify issues that will need to be addressed
 Consider whether a project is possible
 Make the best use of resources
 Motivate staff
 Ensure smooth running of projects
 Clarify goals and develop vision
 Allocate resources and responsibilities
 Guide implementation of projects

C. What is viable, inclusive, and sustainable project?

 The starting point of a project is the existence of a problem affecting a certain group
 Integrated and coherent with broader development or business plans
 A project is a participatory exercise from beginning to end
 Sustainable projects are gender-sensitive
 A well-defined project is result-based
 Being results-based, a project seeks clearly defined objectives or outcomes
 It includes a series of interrelated and coordinated activities
 Project implementation is organized with a fixed budget, limited resources, and
specific deadlines.
 Each project has specific management structure.
 Any project includes a monitoring and evaluation (M&E) system.
 A project has to be sustainable

D. A project has to be sustainable

 Core elements of sustainability:

1. Social Sustainability – impact on working conditions, compliance with
international/national standards, social protection, and others
2. Financial Sustainability – financing of follow-up activities, sources of revenue for all
future operating and maintenance costs, others
3. Institutional Sustainability – structures that allow the results of the action to
continue. Consider local “ownership” of outcomes.
 Each project is unique, temporary in nature with multiplicity of factors involved
 In terms of time frame, every project has definite beginning and an established end.
 Overtime, problems change, just as people, dynamics, politics, and opportunities do.
TOPIC 3. Introduction to Results-Based Project Development and
Management in the Public Sector

A. Why does the public sector carry out a multitude of projects?

 Unpacking ‘development’
 Presently – Sustainable Development
o Development that meets the needs of the present without compromising the needs
of the future generations to meet their own needs.
o Inter and intra generational equity (Inter-generational equity – we talk about people from
this generation taking care of the earth for future generation to enjoy same resources.
Intra-generational equity – we talk about different generations, we talk about different
groups in the same generation)
o Focuses on mindfully attaining human needs and aspirations

B. What is a project?
 Discrete package of investments, policy measures, institutional actions, and other
interventions designed to achieve a specific development objective (or a set of objectives)
within a designed period for a specific beneficiaries
 They always take place outside an organization’s normal operations, although they are related
to organizational goals
 Projects can be perceived based on:
o Objectives
o Scales
o Sectoral Orientation
o Type (i.e. products or services)

C. In what ways a project different from a portfolio or a program?

 Portfolio – a group of related or unrelated programs, or projects to meet strategic
objectives
 Programs – groups of related similar projects managed in a coordinated way to get the benefits
and control not available from managing them individually
 Projects – specific sets of activities entailing the use of resources and bound by a plan of action
that seeks to accomplish measurable results and impacts. A temporary endeavor undertaken to
create a unique product, service, or result
D. How different (or similar) are private and public sector projects?

E. How are projects carried out?

Generic Project Cycle

1. Project Identification
a. Formulate initial goal and defining scope of work
b. Identify resources required
c. Sign-on stakeholders and contributors

Crucial Points!
 Consistency of project with national (and local) strategies and
sector plans to ensure ownership
 Problem analysis is thoroughly done
2. Project Design and Feasibility
a. Expand the initial concept
b. Develop detailed specifications, schematics, schedules, and other plans

Crucial Points!
 A good FS should be undertaken by the proponent
  The FS is an in-depth examination of the technical, market,
organizational, institutional, social, environmental, financial, and
economic aspects of the proposed project.
3. Project Appraisal and Approval
a. Assess project viability from the POV of the funder or approving
authorities
b. More detailed planning, taking into account inputs from the funder or
approving authorities
c. Physical blueprints and implementation & project marketing strategies are
finalized
4. Project Implementation
a. Execution; performaing actual project work
b. Output is produced/services are provided
c. Projects are closed at the end of the implementation phase
d. Outputs are received by the beneficiaries

Crucial Points!
 Costs are incurred; procurement of goods and services become a major
part of expenses
 Monitoring is vital
 Adjustments should be made as necessary
 Anticipate challenges to project sustainability
5. Project Evaluation
a. Measuring / Appraising the impact of the project outputs and outcomes
b. Done 2-3 years after project completion

Crucial Points!
 Evaluation is often neglected
 Project management unit is disbanded and resources are
reassigned
 Check for sustainability

F. What competencies are required in each stage of the project cycle?

F. How is project success measured?

G. What are its critical success factors?

 Was the project completed on time?

 Did it stay within the budget?
 Are the key stakeholders satisfied?
 Did it or can it result in follow-up work?
 Did it meet the proper performance or specification level?
 Is the result acceptable to the end-user?
 Were the scope changes minimal and/or agreed upon?
 Did it avoid unnecessary disturbance to main workflow of the organization?
 Did it avoid changing the organization culture?
 Did it advance the organization’s vision, mission, and goals?
 Did it meet ethical, moral, or safety standards?
 Were applicable regulations followed?

H. What are its process groups?

Project Management Process Groups:

 Initiating Process Group
 Planning Process Group
 Executing Process group
 Monitoring and Controlling process group
 Closing process group
I. What are its knowledge areas?

Project Management Knowledge areas:

 Project integration management
 Project scope management
 Project schedule management
 Project scope management
 Project quality management
 Project resource management
J. Linking process groups and knowledge areas

K. What is Results-Based Management (RBM)?

 Management strategies that are based on managing for the achievement of intended
organizational results by integrating a philosophy and a set of principles that are focused
on results in all aspects of management and most, significantly, by integrating evidence
and lessons from past performance into management decision making.
 A management strategy by which all actors, contributing (in)directly to achieving a set
of results ensure that their processes, products, and services contribute to the
achievement of desired results
 Four key questions
o Are we doing the correct thing?
o Are our interventions leading us to the objective?
o Are we doing things in the right manner?
o How do we know if we are?
 Philosophy and principles of RBM?
o Vision and clarity of desired impact with implications for focus on
outcomes and long term goals
o Causal linkages for change to happen defined in a hierarchy of results
o System operations that go beyond causal linear logic and recognize that
different actors and efforts can contribute to the same, shared result, address
underlying risks and create conditions for success
o Performance measurement for objectivity in management and
accountability, and for transparency and consensus among key
stakeholders
o Monitoring and performance assessment for continuous improvement and
adaptive management focused on progress towards outcomes
o Evaluation for strategic changes, direction-setting, and innovation

L. Why adopt it?

RBM is advocated as it can help:

 Improve the quality of all ongoing and future projects/programmes
  Ensure compliance with agreed and defined quality standards that enable M&E by
project/programme managers, as well as other stakeholders.
 Facilitate reporting mechanisms that are easy to understand
 Align programmes and projects with bugger or higher level strategies
 Promote a constructive work environment

M. How is RBM operationalized in project management?

Project Management Cycle (PCM)

 PCM refers to the process of planning and managing programmes/prjects by phase,

as illustrated in the project cycle
 It contributes to the RBM by rationalizing the steps leading to the successful
outcome
 WHY PCM? It seeks to maximize the benefits or programmes/projects for
beneficiaries by observing the following precepts:
o Respect the operational strategy identification phase
o Increase the involvement of beneficiaries
o Prepare a coherent and comprehensive project design
o Take factors of sustainability into account
o Apply transparent procedures
o Create a framework for learning

Logical Framework
 Hierarchical model of causal relationships that lead to a desired end result
 It helps proponents think through major aspects of an intervention
 It is a living document

Ensuring Success in PCM

 Build knowledge on technical aspects of project development and management
 Develop a keen understanding of the cultural and economic context
 Factual information should be complemented by the extensive use of judgement based
on experience and insight as project contexts are often dynamic
 Data collection for the project should be purposive, consistent, and should have
immediate analytical use
 Support activities that enable successful implementation, say, institution building
 Monitor project activities and the context continuously throughout the entire duration.
This enhances immediate detection of unexpected problems and new opportunities
thereby enabling timely response
  Standardization and replication in prophet design should be selective

TOPIC 4. Situational Analysis

Project development involves decisions. For the public sector, these decisions involve identifying the
priority problems of the community as well as determining the appropriate solutions to them. But, before
decisions are arrived at, proper analytical tools should be employed. Decision analysis in projects is a
conscientious task, carried out often times through the situational analysis.

A situational analysis is an essential process in the design and management of an activity or

intervention. It helps identify actual development needs, as opposed to those perceived to be, and
determine the various issues to be addressed such as those involving the resources, time, and manpower
necessary to reach the solution. Among other things, situation analysis enables local government to:

 Examine more closely the external environment (e.g. stakeholder, resources)

 Explore the strengths and weaknesses of the institution
 Review and possibly revise their set of vision, mission, and objectives,
 Establish its priority areas and concerns; and,
 Evaluate capability and capacity needs.

Adapting the Project Cycle Management (PCM), the first part in the participatory planning is
analysis of the situation of the target area. This part will be the basis in identifying project activities to
respond to the needs and priorities of the target group. Taking into account the results-based approach, the
situation analysis part covers the following topics:
1. Stakeholder Analysis
2. Problem Analysis
3. Objective Analysis
4. Strategy Analysis
Stakeholder Analysis

Stakeholders refer to the individuals, groups of people, institutions, enterprises or government bodies
that may have a relationship with the desired intervention. The stakeholders are “not only the people and
institutions that carry out the project but also those structures and related organizations that play a role in
the project environment.” They include user groups, interest groups, beneficiaries of the project, decision-
makers, and those often excluded from the decision- making process that could be divided as primary
stakeholders and secondary stakeholders (blackman, 2003).

Step 2. Determine the influence and importance of stakeholders

Step 3. Identify appropriate stakeholder participation

Participation is essential in project development. It is often understood as the involbement of people in

development project. Stakeholder participation in the decision-making throughout the whole project cycle
is likely to improved effectiveness, efficiency, sustainability, transparency, accountability, and equity.
Also, it would enhance responsiveness, fosters empowerment and increases self-reliance. Active
participation is important.

Level of Participation
1. Coercion
2. Informing
 3. Consultation
4. Co-operation/partnership
5. Control, collective action or co-learning

TOPIC 5. Problem Analysis

A. Results-based Project Development: Basic Steps

B. Introduction

Problem Analysis is an analytical tools used to:

1. Analyze the existing situation surrounding a given development problem.
2. Identify the major problems and constraints related to the development problem.
3. Visualize the cause-effect relationship in a diagram
C. What is Problem Tree Analysis?

A technique that help us find solutions by mapping out the anatomy cause and effect around
an issue.

 A pictorial representation of a problem, its causes and effects.

 It helps the project team to get a quick glance of how range of complex issues contribute
toward a problem and how this problem branches out into a set of effects.
 Both causes and effects are fitted into the diagram on hierarchical preference basis.

D. Steps in Constructing a Problem Tree

1. Brainstorm and agree on the main/core problem

2. Identify the direct causes
3. Identify the direct effects
4. Establish the hierarchy of causes and effects and connect with cause and effect arrows –
logical illustration
5. Review the diagram for completeness and adequacy

E. Writing a problem

1. State as negative situations

2. Write only existing problems, not imagined or potential ones.
3. Write only one problem in one card/box
4. Do not write both cause and effect in one card/box
5. Avoid writing problem statements implying no solutions
TOPIC 6. Objective Analysis
A. Introduction

Objective Analysis is an analytical tool used to:

1. Describe the desirable situation in the future once the problems have been solved
2. Verify the hierarchy of objectives
3. Visualize the means-end relationship in a diagram called “objective tree”

B. Causal loop as source of performance data

 Choose performance-related data from your causal loop

 Make the performance statements more specific by citing actual values
C. Desired State: in 3 years
 What would be the future state look like if the current issue/s are addressed?
 What is the improvement?
 What would be there that was missing or lacking before?
 What would be working better compared to the current situation?

Change Matrix

D. Steps in Objectives Tree Analysis

1. Reformulate problem statements in the problem tree into a positive, desirable, and
realistically achievable condition or objective. Do not simply rewrite a negative
expression into a positive one.
 2. Check the derived means-ends relationship to ensure validity and completeness (no
missing links) of the hierarchy.
3. If necessary:
a. Revise the statements
b. Add new objective cards if needed to achieve the objective at the next higher
level
c. Delete objective cards that are not suitable or irrelevant
4. Complete the objectives tree by connecting the cards with means-ends arrows

As LGOOs we need to:

1. Serve as facilitator
2. Revise thoughts of stakeholders

TOPIC 7. Strategy Analysis

Strategy Analysis is a tool used to:
1. Identify alternative means of achieving the desired situation or development objectives
2. Assess the feasibility of each alternative strategy
3. Determine a strategy to be adopted as a potential project

A. Method of Strategy Analysis

1. Select strategies from the objectives tree. At times, two or more objectives may be
combined, or part of it may become an independent strategies. It is also possible to combine two
(2) or more strategies into a larger strategy. When you consider of combining strategies, it is
important to keep in mind what the combination is intended to achieve.
2. Summarize and confirm points of each strategy. In deciding on the type of project to
work on, some factors considered are:
a. The benefits of the primary stakeholders
 b. Likelihood of achieving the objectives
c. The risks whether other organizations are already addressing the problem
d. Sustainability
e. Environmental Impact
3. Examine and prioritize selected strategy. If all identified objectives will be addressed, it
is likely to be a very lengthy and costly intervention. The need to focus on one or few specific
areas and prioritize and identify the most appropriate strategy or intervention. You may use the
contribution-effort matrix.

Contribution-Effort Matrix is a tool used in choosing solutions that seem easiest to

implement but with the biggest contribution to the desired outcome.

The tool is based in two criteria: (1) its contribution to the desired outcome and (2) level of effort
in implementing the solution.

Also, there are suggested Selection Criteria, which include but not limited to the following:
Another set of criteria, which could be used in selecting strategies covers:
 Cost – amount of financial resources needed
 Technical feasibility – availability of technology, appropriateness of technology, etc.
 Relevance – degree of which needs of target groups are satisfied
 Effectiveness – extent by which development objective or desired outcome is achieved.
 Priority – level of importance accorded by the funding agency or donor.
 Others.

4. Filter the Strategies. When necessary, another option to prioritize interventions is to filter the
approaches using the following guide questions:

5. Decide on the most appropriate strategy(ies) to be developed or pursued under the

proposed project.
TOPIC 8. Results Framework

A. Development of Project Results Framework

This stage involves clarifying the intervention objectives through the

1. Definition of precise and
2. Measurable statements of the results to be achieved
 3. The identification of strategies to meet those objectives.

It determines the results you are aiming to achieve and your strategy for achieving them.

It entails identifying a measurement of the results being sought (indicators) and developing a
conceptual framework for how those results will be achieved (generic set of activities)

B. What is a Results Framework?

Results Framework is an analytical tool to design projects, to facilitate monitoring and managing their
implementation.

The Results Framework has Three Main Purposes:

1. It is used to clarify and define the linkages between elements of project design;
2. It is used to improve implementation, supervision, monitoring and evaluation; and,
3. It is used as a participatory planning tool.

The Logical Framework is based on some key premises:

 That we design projects to achieve quantifiable and measurable objectives and outputs;
 That project success and quality need to be monitored;
 That projected achievement of these objectives and outputs is based on a series of
hypotheses of cause and effect relationship; and,
 That key parties to the project are in agreement on the validity of these hypotheses which are the
basis of project design.

C. Practical Design Tool

1. What are we trying to accomplish? – Goal (why), Purpose (why), and Components (what)
2. How will we measure success? – Indicators and Means of Verification
3. What other conditions must exists? – Assumptions
4. How do we get there? – Activities and Inputs
Firstly, think of your project in terms of…

D. Logical Order in Accomplishing the Logical Framework

1. GOAL (Sector/Area): The Ultimate Rationale of the Project

The Logical Framework begins with identifying the overall sector/area goal to be targeted
by the project. This is usually a higher level objective, relevant to the socio- economic status
of a sector, geographic area or target group of beneficiaries.
 a broad development impact or “big picture” to which this project will contribute.
 Statement wording: “to contribute to, to reduce, to improve...

GOAL: “To reduce incidents of water bourne illness in the community.”

2. PURPOSE: WHY the Project is Being Done?

This is the immediate objective of the project. It describes the immediate impact or results
that we hope to achieve based on the project’s OUTPUTS. It should also demonstrably
contribute to the achievement of the GOAL.
 Or the outcomes-specify the purpose of the project. In one sentence, state the
expected outcome on the target group.
 Statement wording: To increase, to improve...
 Purpose: “To improve access to potable water for all members of community X”.

3. COMPONENTS/OUTPUTS: WHAT the Project Will Deliver?

Outputs are tangible and measurable deliverables that the project is directly accountable for and
for which it is given budgeted amount and resources; It is also the essential preconditions for
achieving the project objectives
 The specific and direct results that the project will deliver, after activities have been
done. Outputs are the specific, direct deli
 Statement wording: “….delivered/produced/changed, etc. Primary health care clinic
renovated, fully equipped and functioning”.

4. ACTIVITIES: HOW You Will Do the Project.

Each OUTPUT will be achieved through a series/ cluster of activities. A brief summary of these
activities should be presented. This should be adequate enough to reflect and outline the intended
strategy to accomplish each output
 Activities (Inputs) are the tasks that need to be carried out to deliver the planned results.
We only ‘do’ the activities – the rest will follow if the logic is correct.
 Statement wording: Prepare, design, construct, procure, etc..”

ACTIVITIES: 1.) Train maintenance committee, 2.) Design water distribution system;
Procure construction materials

5. INPUTS: The SUPPORT Necessary to Implement Activities

These will usually comprise the budgeted costs and consulting services allocated to the project.
They should be presented by component/output.

INDICATORS: The Verifiable Indicators of Project Achievement. The basic principle behind this
segment is: “if you can measure it you can manage it”.

INDICATORS
 Indicators are measurable and observable data points that are directly related to the
activities, results, objectives and goal.

Used to:
 Track and record how well a planned set of activities are being implemented
 Assess whether or not targets are meeting the goals thru the activities that are
undertaken
Means of Verification
This segment of the project framework ensures that the previously defined targets can be verified
and measured effectively by specifying the source(s) of data.

 Are the sources that are used to gather the information for the indicator Used

to:
 Public Health survey results
 Community Based Monitoring System
 SGLG
 Monthly water quality and quantity tests
 Community documentation/reports
 Pre/Post training tests

RISKS / ASSUMPTIONS
Represent external factors over which the project chooses not to exert or does not have control.

Remember how the assumptions boxes fit into the logic of the results frame matrix.

The box at the activities level shows the assumptions you need to make in order for your
activities to lead to the achievement of the project outputs.
This shows all the assumptions that you need to make in order for the set of activities to lead to the set of
outputs.

This is to avoid having to write an assumption twice, if it applies to more than one activity. You now

move on to consider the assumptions at the 'outputs to purpose' level.

Some of them may be the same as at the level below, for example the assumption about the Forestry
Commission providing support to the project.

It is not necessary to repeat this assumption here. By convention, assumptions at one level are assumed
also to apply at all higher levels.

However, assumptions at higher levels are often qualitatively different from those you have
discussed so far. Rather than relating to operational boundary setting questions, they more often refer to
external factors which are, by nature, outside the control of the project.

Consider the assumptions at the 'outputs to goal' level; this is the last box you will need to
fill in, since the top right-hand column of the logframe is usually left blank.

At this level you need to identify the external factors that could affect the ability of the project to
contribute to wider development goals.
 Assumptions at this level very often relate to the wider political and economic context.
 In some project situations, risks of economic instability, war and terrorism may need to be
taken into account.

Identifying Important Assumptions

ASSUMPTIONS
 Are outside the project’s control, but critical to the project’s success.

Different types of assumptions include:

 Important events, conditions or decisions beyond the program’s control, which are
necessary for maintaining progress towards the goal
 External factors that might affect whether the specific objective/outcome is achieved
 External factors that might affect activities achieving the expected results
 Preconditions that need to be fulfilled before the program can start
LOGIC “IF-THEN”
ACTIVITIES + ASSUMPTIONS = OUTPUTS
If we undertake the activities AND the assumptions hold true, THEN we will create the outputs.

OUTPUT + ASSUMPTIONS = OUTCOME

If we deliver the outputs AND the assumptions hold true, THEN we will achieve the outcome

OUTCOME + ASSUMPTIONS = IMPACT TO OVERALL GOAL

If we achieve the outcome AND the assumptions hold true, THEN we will contribute to the impact

CHALLENGES: Definitional Logic

Avoid definitional logic, where lower-level results are a restatement (or further definition) of a higher
level objective.
Don’t use different words to say the same thing.

CHALLENGES: Categorical Logic

Avoid Categorical logic, where lower level results are simply sub-categories rather than cause and
effect.
CHALLENGES: Single completed change
State results as a single completed change, without using phrases like “and”, “through”, “by”, “in order
to”, etc.

Takeaways

Results frameworks should be...

✓ Written with input from community members ✓ Created during the initial planning of the project ✓
Revised frequently (living document) ✓ Concise ✓ Logical, clear and free of jargon ✓ One per project

The logical framework plan states the goals, objectives, outputs, activities, and their
corresponding indicators, means of verification, and assumptions

TOPIC 9. Work Breakdown Matrix

A Work Breakdown Matrix sets out the activities and tasks required for each output. This is the basis
for the subsequent steps, such as allocating responsibilities, scheduling activities and estimating resources
and budget.

Project’s activities can be broken down into sub-activities, tasks and sometimes sub-tasks. This improves
the accuracy of cost estimates and enhances monitoring of project activities and outputs. Identifying the
activities, sub-activities and tasks required for each output.
 OUTPUTS ACTIVITIES SUB-ACTIVITIES TASK
1. Output 1.1. Activity 1.1.1. Sub-Activity Task
1.1.2. Sub-Activity Task
etc.
2. Output 2.1. Activity 2.1.1. Sub-Activity Task
2.2. Activity 2.1.2. Sub-Activity Task
etc.
3. Output 3.1. Activity 3.1.1. Sub-Activity Task
3.1.2. Sub-Activity Task
etc.
Note:
Sub-activities are not always required depending on the level of complexity of each project.

Case

Immediate objective:
Members' income, particularly that of women and young farmers, increased through the improvement of the cooperative's
governance and business performance.
Project Outputs Activities Task
1. Improved health of 1.1. Provide training for farmers in 1.1.1. Hire a consultant for 20 days to assess training needs and
farmers' livestock basic veterinary skills develop material
1.1.2 Draft a training manual
1.1.3. Hold two 3-day training courses for 20 people
altogether
2.1. Develop training program on 2.1.1. Create a joint task force (staff& consultants) with the
2. Lifelong milk and
alternative milk-processing methods Vocational Center to conduct a training needs analysis among
quality dairy products
cooperative members.

TOPIC 10 - Responsibility Matrix

Responsibility Matrix outlines who is responsible for each activity by allocating duties to different
people within the team. All the activities required of a particular individual or organization form their job
description or terms of reference for their involvement in the project. This helps in coordinating the work
of team members, contractors or partners.

Immediate Objective: Members' income particularly that of women and young farmers, increased through the
improvement of the cooperative's governance and business performance.
Responsible staff/
Project Implementing Partner
Activities Task(s)
Outputs Partner Organization
Implementing Unit
1. Improved 1.1. Provide 1.1.1. Hire a consultant for
health of training for 20 days to assess training College of Department of
Municipal Agriculturist
farmers' farmers in basic needs and develop Agriculture Agriculture
livestock veterinary skills material
1.1.2. Draft a training Consultant, Municipal College of Department of
manual Agriculturist Agriculture Agriculture
1.1.3. Hold two 3-day Consultant, Municipal
College of Department of
training courses for 20 Agriculturist, Agricultural
Agriculture Agriculture
people altogether Technologist(s)
 2.1.1. Create a joint task
2.1. Develop Training Team (Human
2. Lifelong force (staff & consultants)
training program Resource Development Vocational
milk and with the Vocational Center San Miguel
on alternative Division, Municipal School on Dairy
quality dairy to conduct a training needs Dairy Farm
milk-processing Agriculture Office, Processing
products analysis among cooperative
methods Consultant)
members

TOPIC 11 - Scheduling (GANTT Chart and PERT CPM)

Schedule of Activities

Time is critical in any planning process. Scheduling is a way of focusing managerial attention on the time
factor, on critical events and on priorities. The calendar states when each activity starts, how long it lasts
and when it will be completed. The recommended tool is called a Gantt chart. It is simple but useful. It
is easy to read and can be used to track progress against time. The chart uses the activities from the work
breakdown matrix as headings for each row, and time units (years, quarters, months, weeks, etc.) as the
headings for each column.

Immediate Objective: Members' income particularly that of women and young farmers, increased through the improvement of
the cooperative's governance and business performance.

Gannt Chart

 One of the most useful management tools in working out the schedule of the various project
activities.
 Provides graphical illustration of a schedule that helps to plan, coordinate and track
specific task in the project.
 Developed by Henry L. Grantt, an American engineer and social scientist.

Two parts of a Gantt Chart

 Horizontal axis -representing the total time span of the project, broken down into
increments (for example, days, weeks, or months)
 Vertical axis -representing the tasks that make up the project

.
PERT

 Program Evaluation Review Technique chart

 Used to schedule, organize, and coordinate tasks within a project

TOPIC 12 - Resource Planning and Cost Requirements

Resource Plan and Cost Requirements

A resource plan sets out the requirements and costs for all necessary inputs: personnel, facilities,
equipment and materials, or services such as special supplies, training workshops and other miscellaneous
inputs. The resource plan is the basis for the budget preparation.

Immediate objective: Members’ income particularly that of women and young farmers, increased through the
improvement of the cooperative’s governance and business performance.

Resource Plan

PROJECT
ACTIVITIES TASKS INPUTS COST BUDGET
OUTPUTS

1. Improved 1.1. Provide 1.1.1a. Job posting

1.1.1. Hire a consultant for 20 days to
health of training for 1.1.1b. Interview by
assess training needs and develop P 5,000.00 P 5,000.00
farmers' farmers in basic Selection Committee
material
livestock veterinary skills

1.1.2a.
Professional fee of
P 60,000.00
1.1.2. Draft a training manual consultant P 160,000.00
P 100,000.00
1.1.2b. Materials
Development

Venue & Meals

1.1.3a. Pilot testing – 2,500/ day x
1.1.3. Hold two 3-day training
of module for 3 days 3 days x 20 pax P230,000.00
courses for 20 people altogether
for 20 people = P 150,000.00
 Honorarium
= P 50,000.00
Training
materials
= P 30,000.00

2.1.1a.
Reproduction of
Training Needs P 50,000.00
Assessment (TNA)
Forms
2.1.1. Create a joint task force
(staff & consultants) with the
2.1.1b. TNA to
Vocational Center to conduct a
cooperative P 30,000.00
training needs analysis among
members
cooperative members
2.1. Develop 2.1.1c.
2. Lifelong training program Consolidation and
P 10,000.00
milk and on alternative presentation of P 170,000.00
quality dairy milk-processing TNA results
methods
2.1.2a. Integrating
TNA results in the
P 10,000.00
development of
2.1.2. Conduct of training program
Workshop/Writeshop for the
2.1.2b. Materials
training program P 50,000.00
Development

2.1.2c. Finalization
P 20,000.00
of training program

TOTAL P 565,000.00
TOPIC 13 - Project Procurement
I. Enactment of GPRA

II. Procurement Reforms

Key Features of GPRA / Government Procurement Policy Board (GPPB) / GPPB

III.
Functions

A. Key Features of GPRA

 Covers procurement of all government agencies

 General Rule is Public/Competitive Bidding
  Alternative Methods of Procurement allowed in highly exceptional cases
 Use of the Approved Budget for the Contract (ABC) as ceiling for the bid price
 Use of transparent, objective, and non-discretionary criteria
 Increased transparency in the procurement process
 Professionalization of procurement officials
 Inclusion of Penal and Civil Liabilities

B. Government Procurement Policy Board (GPPB)

C. GPPB Functions

D. PhilGEPS Registration

Sec. 8.5.2 All bidders shall upload and maintain in PhilGEPS a current and updated file of the
following Class “A” eligibility documents under Sections 23.1(a) and 24.1(a):
 a. Registration Certificate;
b. Mayor’s/Business Permit or its Equivalent Document;
c. Tax Clearance
d. Philippine Contractors Accreditation Board (PCAB) license and registration; and
e. Audited Financial Statements.
For foreign bidders participating in the procurement by a Philippine Foreign Service Office or
Post, they shall submit their eligibility documents under Sec. 23.1 of the 2016 IRR of RA
9184.

Scope and Coverage

R.A. 9184 applies to all branches and/or instrumentalities of the government:

1. National Government Agencies (NGAs)

2. State Universities and Colleges (SUCs)
3. Government Owned or Controlled Corporations (GOCCs)
4. Government Financial Institutions (GFIs)
5. Local Government Units (LGUs)

It shall apply to all procurement activities involving:

1. Goods and Services

2. Infrastructure Projects
3. Consulting Services

Section 4, Revised IRR

 All fully domestically-funded procurement activities

 All foreign-funded procurement activities, unless otherwise provided in a treaty or
international/executive agreement

Mandates adherence to RA 9184 or selection through competitive bidding. Otherwise,

negotiating panel shall ensure that the reasons for the adoption of a different rule or
method of procurement are clearly reflected in the records of discussion. (Sec. 4.3, 2016
IRR of RA 9184)

 As may be agreed upon by the GOP and IFI in their treaty or international/executive
agreement
o Projects funded from foreign grants
o Projects for International Competitive Bidding
o Consulting Services for National Competitive Bidding

EXCEPT:

1. Procurement for goods, infrastructure projects, and consulting services funded

from Foreign Grants covered by R.A. 8182, as amended by R.A. 8555, entitled “An
Act Excluding Official Development Assistance (ODA) from the Foreign Debt Limit in order
to Facilitate the Absorption and Optimize the utilization of ODA Resources, amending for the
Purpose Paragraph 1, Section 2 of Republic Act No. 4860, as
 amended”, unless the GOP and the foreign grantor/foreign or international financing institution
agree otherwise;
2. Acquisition of real property which shall be governed by R.A. 8974, as amended by
RA 10752 entitled “An Act to Facilitate the Acquisition of Right-of-Way Site or Location for
National Government Infrastructure Projects and for Other Purposes,” and other applicable laws;
3. Public-Private sector infrastructure or development projects and other
procurement covered by R.A. 6957, as amended by R.A. 7718 (BOT Law), entitled
“An Act Authorizing the Financing, Construction, Operation and Maintenance of
Infrastructure Projects by the Private Sector, and for Other Purposes,” as amended;
4. Disposal of government properties;
o Commission on Audit Circular No. 86-264
o DBM National Budget Circular No. 425

Enumerated activities that are not considered as procurement undertakings under RA 9184 and
its IRR:

1. Direct financial or material assistance to beneficiaries

2. Participation to scholarships, trainings, continuing education, etc.
3. Lease of government property for private use
4. Job order workers
5. Joint Venture Agreements between Private Entities and GOCCs or LGUs
6. Disposal of property and assets

Sec. 4.5, 2016 IRR of RA 9184

IV. Definition of Terms

A. Procurement refers to the acquisition of goods, consulting services, and the contracting for
infrastructure projects by procuring entity.
(Sec. 5(a), IRR, R.A. 9184)

B. Goods refers to:

 All items, supplies and materials

 Including general support services
 Needed in the transaction of public businesses or in the pursuit of any government
undertaking, project or activity
 Whether in the nature of equipment, furniture, stationery, materials or construction,
personal property, including non-personal or contractual services, such as:
1. repair and maintenance of equipment and furniture
2. trucking, hauling, janitorial and security and other related and analogous
services.
C. Infrastructure Projects refers to construction, improvement, demolition, rehabilitation,
repair, restoration or maintenance of civil works components of :

1. IT projects
2. Irrigation
3. Flood control and drainage
4. water supply
5. sanitation, sewerage and solid waste management
6. national buildings, hospital buildings, and other related constructions projects of the
Government.

D. Consulting Service refer to services for Infrastructure Projects and other types of projects or
activities of the Government requiring adequate external technical and professional
expertise that are beyond the capability and/or capacity of the Government to
undertake such as, but not limited to:

1. advisory and review services;

2. pre-investment or feasibility studies;
3. design;
4. construction supervision;
5. management and related services; and
6. other technical services or special studies.

E. Mixed Procurement

 In case of projects involving mixed procurements, the nature of the procurement, shall be
determined based on the primary purpose of the contract.
 Determination shall be made by the procuring entity.
 In mixed procurements, the PE shall specify in the Bidding Documents all
requirement applicable to each component of the project. In the preparation of
Bidding Documents, the PE shall ensure compliance with existing laws, rules and
regulations, especially those concerning licenses and permits required for the project
(Sec. 17.2, 2016 IRR of RA 9184)

V. Determination of Type of Procurement

 PE is in the best position to determine the correct classification of its procurement based on its
identified needs and the best way by which these needs may be addressed,
managed, and satisfied.
 It is the motivation or intention of the PE in pursuing the project that will determine the
primary purpose of a project.

NPM 11-2013

VI. Principles of Public Procurement

A. Governing Principles

1. Public Monitoring
a. Awareness and vigilance
 2. Accountability
a. Responsibility over actions/decisions (“Answerable”)
3. Competitiveness
a. Equal opportunity to all eligible bidders
4. Transparency
a. Wider dissemination of bid opportunities
5. Streamlined Process
a. Uniformly applicable to all government agencies
b. Effective and efficient method

B. Bidding Process For Goods & Infra Projects

VII.Procurement Organizations

A. Head of the Procuring Entity (HOPE)

B. Bids and Awards Committee (BAC)
C. BAC Secretariat
D. Technical Working Group (TWG)
E. Observers

A. Head of Procuring Entity (HOPE) refers to:

 Head of the agency or body, or his duly authorized official, for NGAs and the
constitutional commissions or offices, and other branches of government;
 Governing Board or its duly authorized official, for GOCCs, GFIs and SUCs; or
 Local Chief Executive, for LGUs

Note: In an agency, department, or office where the procurement is decentralized, the head of each
decentralized unit shall be considered as the HoPE, subject to the limitations and authority delegated by
the head of the agency, department, or office

FUNCTIONS AND RESPONSIBILITIES:

1. Establishes BAC and appoints its members

o Ensures that BAC members give their utmost priority to duties
o Ensures professionalization of members of the procurement organization

Within six (6) months upon designation, the BAC, its Secretariat and TWG members should have
satisfactorily completed such training or program conducted, authorized or accredited by the
GPPB through its TSO. (Sec. 16, 2016 IRR of RA 9184)

2. Approves the Annual Procurement Plan (APP)

3. Approves/Disapproves the Contract Award
4. Resolves Protests

B. Bids and Awards Committee (BAC)

As a general rule, HOPE must create a single BAC. However, separate BACs may be created under
any of the following conditions:

1. The items to be procured are complex or specialized;

2. If the single BAC cannot reasonably manage the procurement transactions as shown by delays
beyond the allowable limits; or
3. If the creation is required according to the nature of the procurement.

FUNCTIONS AND RESPONSIBILITIES:

 Recommends Procurement Method

  Creates a Technical Working Group (TWG)
 Conducts the bidding activities
 Resolves Requests for Reconsideration
 Recommends Imposition of Sanctions
 Invites Observers during all stages of the procurement process
 Conducts due diligence review or verifications of the qualifications of observers
 Prepares Procurement Monitoring Report
 Advertise and/or post the IB/REI
 Conduct pre-procurement and pre-bid conferences;
 Determine the eligibility of prospective bidders;
 Receive and open bids;
 Conduct the evaluation of bids;
 Undertake post-qualification proceedings;
 Recommend award of contracts to the HoPE or his duly authorized representative;
 Recommend to the HoPE the use of Alternative Methods of Procurement
 Conduct any of the Alternative Methods of Procurement;
 Conduct periodic assessment of the procurement processes and procedures
 Perform such other related functions as may be

necessary (Sec. 12.1, 2016 IRR of RA 9184)

MEMBERSHIP AND QUALIFICATIONS:

 BAC members should occupy plantilla positions with the procuring entity concerned.
 All members are regular members except the end-user member who is considered as a
provisional member. The members, whether regular or provisional, are equally entitled to
participate and to vote during deliberations.

COMPOSITION: 5 but not more than 7 MEMBERS designated by the HOPE

1. Regular Members:
o Chairperson (3rd Ranking Permanent Official);
o Member representing the Legal or Administrative areas (5th Ranking Permanent
Personnel); or if not available, an officer of the next lower rank;
o Member representing the Finance Areas (5th Ranking Permanent Personnel); or if not
available, an officer of the next lower rank;
2. Provisional Members
o Officer possessing Technical expertise relevant to the procurement.
o End user unit Representative. In case of procurement outsourcing, a
representative from the Procuring Entity may be designated as a provisional
member.

ALTERNATE BAC MEMBERS

 Same qualifications as their principals.

 Same term as the principal.
 Presence of alternate BAC members in BAC meetings are considered for purposes of
quorum.
 The relationship of the principal and the alternate is of co-equal nature, rather than
hierarchical.
  Accountability shall be limited to their respective acts and decisions.
 Shall be entitled to the proportionate honoraria for attendance in meetings.

BAC TERMS OF MEMBERSHIP:

The BAC members shall be designated for a term of one (1) year only, reckoned from the date of
designation. However, the HOPE may renew or terminate such designation at his discretion.

Upon expiration of the terms of the current members, they shall continue to exercise their functions until
new BAC members are designated.

In case of resignation, retirement, separation, transfer, re-assignment, or removal of a BAC

member, the HOPE shall designate a replacement that has similar qualifications as the official
replaced. The replacement shall serve for the unexpired term. In case of leave or suspension, the
replacement shall serve only for the duration of the leave or suspension.

PROHIBITED BAC MEMBERS

1. Head of the Procuring Entity

2. Official who approves procurement contracts;
3. Chief Accountant or Head of the Accounting Office and his/her staff, unless the
Accounting Department is the end-user unit, in which case the Chief Accountant, Head of the
Accounting Department or his/her staff may be designated as an end-user member. (COA
Circular Letter No. 2004 – 3)

C. BAC Secretariat

 HOPE may create a new office or designate an existing organic office to act as BAC
Secretariat
In case of ad hoc BAC Secretariat, the HOPE shall assign full-time support staff in its
BAC Secretariat (Sec. 14.2)
 There is no minimum or maximum number of members of the BAC Secretariat.
 Head of the BAC Secretariat must be at least a 5th or 3rd ranking permanent
employee or, if not available, a permanent official of the lower rank

FUNCTIONS:

 Provide administrative support to the BAC and TWG

 Organize BAC and TWG meetings and conferences
 Take custody of procurement documents and other records
 Manage the sale and distribution of bidding documents
 Advertise/post bidding opportunities, including Bidding Documents, and notices of
awards
 Assist in managing the procurement process
 Monitor procurement activities and milestones
 Consolidate PPMPs
 Act as central channel of communications
 Prepare minutes of meetings and resolutions of the BAC
D. Technical Working Group (TWG)

 Created by the BAC from a pool of legal, technical and financial experts
- those experts outside the procuring entity concerned may be included, i.e. government
personnel and officials and consultants from the private sector and academe with proven
expertise on the sourcing of goods, works or consulting services. (GPPB Resolution No. 07-2012,
GPPB Circular No. 02-2012)
 BAC may create separate TWGs to handle different procurements

FUNCTIONS:
Assist BAC in the following activities:

 Eligibility screening
 Bid evaluation
 Post-qualification
 Review of the Technical Specifications, Scope of Work, and Terms of Reference
 Review of Bidding Documents
 Shortlisting of consultants
 Resolution of Request for Reconsideration

(Sec. 12.1, 2016 IRR of RA 9184)

E. Observers

 Observers represent the public, the taxpayers who are interested in seeing to it that
procurement laws are observed and irregularities are averted.
 At least three (3) Observers shall be invited coming from:
o ✔COA
o ✔Duly recognized private group in the sector or discipline of the particular type of
procurement involved
o ✔Non-Government Organization (NGO)

During the

1. eligibility checking,
2. shortlisting,
3. pre-bid conference,
4. preliminary examination of bids,
5. bid evaluation, and
6. post-qualification,

the BAC must invite, in writing, at least three (3) Observers, at least 3 cd 5cd before the
date of the procurement stage/activity
Observers shall be allowed access or be provided with the following documents free of
charge upon their request, subject to signing of a confidentiality agreement:

1. Minutes of BAC meetings;

2. Abstract of Bids;
3. Post-qualification summary report;
4. APP and related PPMP; and
5. Opened proposals

In all instances, observers shall be required to enter into a confidentiality agreement with the
concerned Procuring Entity in accordance with the form prescribed by the GPPB.

RESPONSIBILITIES:

1. Prepare report (jointly or separately) indicating their observations on the procurement

activities
2. Submit report to the PE and furnish a copy to the GPPB and the Office of the
Ombudsman/ Resident Ombudsman
3. Immediately inhibit and notify in writing the PE of any actual or potential conflict of
interest

If no report is submitted by the observer within seven (7) calendar days after each
procurement activity, then it is presumed that the bidding activity conducted by the
BAC followed the correct procedure

Grant of Honoraria

 PE is authorized to grant honoraria to the members of the BAC, the TWG, and the
BAC Secretariat provided the amount so granted does not exceed twenty-five
percent (25%) of their respective basic monthly salary, subject to the following
conditions:
o funds are available for the purpose; and
o the grant of honoraria conforms to the guidelines promulgated by the DBM.
(Section 15, IRR of R.A. 9184)

GUIDELINES ON THE GRANT OF HONORARIA

 DBM Budget Circular No. 2004-5A, dated 7 October 2005, as amended by DBM
Budget Circular No. 2007-3, dated 29 November 2007.
o Only for successfully completed procurement projects
o Limited to procurement that involves competitive bidding – Competitive
Bidding, LSB and Nego Proc-Two Failed Bidding.
o Granted to Chair or Members of the BAC or the TWG by the PE concerned.
  BAC Secretariat performing attendant functions in addition to their regular duties and
functions may be paid honoraria at the same rate as the TWG Chair and Members
 Those who are receiving honoraria shall no longer be entitled to overtime pay for
procurement-related services rendered.
 Payment of overtime services may be allowed for the administrative staff, (clerks,
messengers and drivers supporting the BAC, the TWG and the Secretariat), for procurement
activities rendered in excess of official working hours.

FUNDING SOURCE

 Collections from successfully completed procurement projects, limited to activities

prior to the awarding of contracts to winning bidders:
o proceeds from sale of bid documents;
o fees from contractor/supplier registry;
o fees charged for copies of minutes of bid openings, BAC resolutions and other BAC
documents;
o protest fees; and
o proceeds from bid security forfeiture

CEILING FOR HONORARIA

Members of the BAC Secretariat whose positions are in the Procurement Unit of the agency shall not
be entitled to honoraria although the payment of overtime services may be allowed, subject to
existing policy on the matter.

TOPIC 14.1 Project Risk Management

A. What is a risk?

An uncertain event or condition that has a positive or negative impact on the project’s objective
 Threats
 Opportunities

Two dimensions:
1. Probability of occurrence
2. Severity of consequence

Represented as: Risk = Probability x Consequence

Clarifying concepts:
 Cause — a fact or condition
 Risk — uncertain event
 Effect — a possible consequence to one or more key objective

Use a meta-language statement to avoid confusion:

“As a result of [CAUSE], [RISK] may occur, which will lead to [EFFECT]

Risks can occur at two levels:

1. Individual project risks
2. Overall project risks

B. How are risks categorized in project development and management?

1. Based on major objectives

 Project schedule — length of time required to fulfil deliverables
 Project costs — amount of funds or resources needed to fulfil delivery requirements
 Project scope — interrelated activities and tasks, which must be completed to meet the
objectives
 Project quality — the technical end-product requisites needed to satisfy project delivery
requirements

2. Based on Risk Breakdown Structure

 Classifies risk hierarchically to show sources of risk by category, i.e. specific causes of
unsuccessful execution

3. Based on a Work Breakdown Structure

 Effectively segregates risk by functional discipline and/or work design

C. Why espouse risk-based thinking?

 Risk is inherent in all systems, processes, and functions

 Factors that can cause deviation from planned results are determined and addressed with
preventive controls
 It emphasizes not only the event that happened but also its impact to the project and/or
organizational objectives
 Benefits of RBT:
1. Enhances attainment of goals
2. Maximizes use of opportunities
3. Enhances risk knowledge and awareness
4. Improves governance
5. Ensures statutory and regulatory compliance
6. Develops a risk management culture
7. Improves client satisfaction and confidence

D. What is project risk management?

 A systematic process intended to direct and control risks. It includes:

1. Conducting risk management planning
 2. Identification
3. Analysis
4. Response planning
5. Response implementation
6. Risk monitoring
 Intended to increase the probability and/or impact of positive risks and to decrease the
probability and impact of negative risks
 Knowing the risks and risk thresholds

E. Why implement project risk management?

 It aids in identifying and managing risks not addressed by other PM processes

 To prevent or minimize deviation from plans and failure in achieving objectives
 Risks will continue to emerge throughout the project’s lifetime

TOPIC 14.2 Project Risk Management

Project Management Book of Knowledge (PMBok) defines Risk Management as systematic
process of identifying, analyzing, response planning, monitoring and controlling RISKS on project.

RM is coordinated activities to direct and control an organization with regard to risk (AS/NZS ISO
31000:2009)
Risk Management Process

1. Communication and Consultation

2. Establishing the Context
3. Risk Assessment
a. Risk Identification
b. Risk Analysis
c. Risk Evaluation
4. Risk Treatment
5. Monitoring and Review

1. Communication and Consultation

Process Outputs:
Stakeholder Consultation Matrix – Contains information about the stakeholders
interest/objectives in the project and their respective concerns. This provides the project team
reference on managing stakeholder’s expectations with regard to the project.

Stakeholder Management Strategy Matrix – contains an analysis of the stakeholder’s stake

on the project – its level of interest and impact on the project. Depending on its level of interest
and impact, potential management strategy is identified for each stakeholder.

Communication and Consultation Plan – a document which informs the stakeholders how
and what form of communication is handled by the project. It likewise determines the information
needs of the stakeholders.
2. Establishing the Context – deals with articulating the organizations objectives, defining its
internal and external parameters in managing risk and setting the scope and risk criteria for the remaining
risk management processes.

The project context considers the following factors:

Defining the Risk Criteria – Involves the process in setting-up / establishing the risk scales and
measure for the likelihood and consequence

 Likelihood – is the chance of something happening

 Consequence – is the outcome of an event affecting the objectives

Factors for consideration

Establish the Risk Management Process – Clearly defines the objectives, strategies, scope,
parameters and resources required of the risk management activities.

Defining the Risk Criteria

 Tools and Techniques:

o Qualitative Risk Matrix – qualitative description of scales for measuring the likelihood
and consequence of a particular risk event

o Semi-quantitative Risk Matrix – is a combination of qualitative and quantitative

description of scales for measuring the likelihood and consequence of a particular risk
event.
After defining the risk scales of measurement for likelihood and consequence, a risk matrix is developed
to serve as the reference in assessing and evaluating risks and guide in determining the risk level through
plotting the rating of likelihood and consequence.
3. Risk Assessment – Involves comparing the predicted levels of risk against the defined risk
management performance targets. Includes the processes of (i) identifying, (ii) analyzing, and (iii)
evaluating risks.

3.1 Risk Identification. Things to consider in identifying risks:

Risk Categories:
Output: Risk Register – contains the list of identified risk events

3.2 Risk Analysis. – involves consideration of causes and sources of risk, their positive and
negative consequences, and the likelihood that those consequences can occur. Purpose of this
process is to estimate or calculate the risk level of every scenario.

Two (2) types of Risk Assessment:

1. Quantitative Approach
2. Qualitative Approach

RISK = LIKELIHOOD x CONSEQUENCES

Qualitative Analysis – done through scoring each identified risk using the defined qualitative
scale for likelihood and consequences.
Quantitative Analysis - is the process of numerically analyzing effect of the identified risks
on the overall project objectives.
Probability and Impact – can be done through either of the following:
 Guessing percentage probability for cost and time using subjective judgement
 Calculating actual cost and time impact

What determining risk level means (for both qualitative and quantitative analysis?)
 Determines which risk scenarios are high risk and which need to be pursued in the
treatment plan
 Determines the risk exposure of the project

3.3 Risk Evaluation – Comparison of the level of risk found during the analysis with the
established risk criteria which shall be the basis for decisions to make further analysis and
determine appropriate risk treatment strategies.

It primarily uses the quantitative analysis result. It is purposely conducted to:

 Determine which objective is under greatest threat
 Identify Top 10 risk (ranking)
 Identify who own most of the risks
 Determine the risk profile distribution

Risk Evaluation Steps:

1. Sum up all risk level by objectives to determine the risk exposure
2. Determine the following:
a. Top 10 risk
b. Top risk drivers
c. Top risk owners
3. Determine which objective is under greatest risk. (Done by comparing the total exposure
(result of step 1) with the tolerance level (previously set in the ibjective matrix) and
finding the variance for each of the key objectives)

Variance = Exposure / Tolerance

4. Risk Treatment – Intended to determine what can be done to reduce risk exposure to as low as
reasonably achievable or acceptable level or increase the probability and impact of opportunities as a
result of the risk event (if identified) by agreeing on most effective responses.

What should be considered in Risk Response Planning?

 Tasks with the highest risk score
 Risk driver with high distribution
 Individual Risk with High scores

Risk treatment strategy (4 classification)

1. Avoid – eliminate the threat of the risk through eliminating its cause
2. Mitigate – reduce the probability and impact of risk occurring
3. Accept – Simply allowing the risk to happen
4. Transfer – assigning the risk to someone else

Three levels of treating risk:

1. Doing something before the risk event happen
2. Contingency plan: doing something when risk happens
3. Fall back plan: doing something when contingency plans are not effective

5. Monitoring and Review – Undertaken to ensure that:

 Risk responses are implemented and progress is properly managed
 Risks are properly tracked and new risks are identified
 Residual risks are monitored
 Risk process effectiveness is evaluated
Risk Review involves review of the current project risks and closing of risks that are already out dated.
It is way to control risks and manage the changes that occur in the project. New risks maybe identified
when conducting risk review.

Risk Response Audit involves reviewing whether risk owners are assigned to each risk and whether
they are effective as well as examining and documenting the effectiveness of contingency plans and fall
back plans

Risk Response Audit is done during project execution.

Earned Value Analysis is used to measure and monitor project performance quantitatively against the
project baseline.

Outcome of this analysis provides information on the possible deviation of the project at
completion from cost and schedule targets.

Deviation from the baseline may provide signals/triggers of the potential impact/threats or opportunities.

Important Note! When doing earned value analysis: project team have previously established
thresholds for both Cost Performance Index (CPI) and Schedule Performance Index.

The thresholds provide guidance to project team in determining whether event is triggering risk or threat
to the project and deciding whether to undertake actions/response.
TOPIC 15. Introduction to Results-Based Monitoring and Evaluation
A. Results-Based Monitoring

Results-based monitoring is a continuous process of collecting and analyzing information on key

indicators, and comparing actual results to expected results (Are we achieving our targets?)

B. Results-Based Evaluation

Result-based evaluation is a periodic assessment of the design, implementation and results of an

ongoing, or completed intervention to determine its relevance, efficiency, effectiveness, impact, and/or
sustainability (Are we achieving our objectives?)

C. Monitoring vs. Evaluation

D. Complementary Roles of M&E

E. RBME Drivers

F. Purposes of RBME

 To know the extent to which projects are meeting the intended objectives and desired effects
 To build greater transparency and accountability in terms of the use of project resources
 To provide management with a clear basis for decision making
 To improve future planning and design of projects using lessons learned from project
experiences.

G. M&E and its Links Planning

H. Planning and M&E: Interdependencies

 Without proper planning and clear articulation of results, it is not clear what should be
monitored.
 Without clear results frameworks, the basis for evaluation is weak.
 Without proper monitoring, the necessary data is not collected; hence evaluation cannot be done
well.
 Monitoring facilities evaluation, but evaluation collects additional data for deeper analysis
 Monitoring and evaluation findings are used to improve program and project plans.
I. Traditional M&E vs RBME

 Traditional M&E – Input, Activity, Output

 RBME – Input, Activity, Output, Outcome, Impact

J. Key Components of RBME

 Clear results chain agreed with stakeholders

 Structured set of performance indicators
 Plan for data collection, integration & analysis
 Mechanism for reporting/communicating results
 Sound evaluation framework and methodology
 Sustainable institutional set-up for M&E

K. Key Steps Towards a Results-Based M&E

1. Agree on a Results Framework

2. Establish Indicators
3. Baseline Data and Select Results Targets
4. Formulate the M&E Plan
5. Evaluate & Integrate M&E Findings
6. Communicate M&E Findings
7. Sustain the M&E System

K.1 Agree on a Results Framework

 Provide direction as it defines targeted results of a capacity development
program/project
 Establish cause-effect relationships of a capacity development program/project
  Scope the effects of a capacity development program/project
 Gain consensus on the targeted results and scope of a capacity development
program/project
 Leads to RESULTS CHAIN

K.2 Establish Indicators

 Describe performance indicators
 Provide operational definitions of indicators
 Determine quantitative or qualitative unit of measurements
 Leads to EVALUATION PLAN

K.3 Baseline Data and Select Results Target

 Establish baseline data on indicators
 Identify data source
 Build baseline data
 Determine and define performance targets
 Design data collection methods
 Leads to Baseline Information and Targets

K.4 Formulate the M&E Plan

 Describe the elements of an M&E Plan
 Describe how to put together a system to get the necessary data to better inform the
decision making process
 Obtain data for the different performance indicators
 Identify reasons for success or failure of implementation strategies
 Identify approaches to continuously improve the program/project
 Leads to M&E Plan

K.5 Evaluate and Integrate M&E Findings

 Assess adequacy, appropriateness, effectiveness, and relevance of results attained
 Compare actual performance vs. targets
 Determine areas of strength and areas of improvement
 Analyze factors that facilitate or hinder the attainment of targeted results
 Determine actionable next steps to enhance the design or implementation of the capacity
development program
 Report results data as useful information
 Make general observations about current situation of the institution being evaluated and
the degree to which desired outcomes of the program are being achieved
 Submit recommendations for future consideration and implementation of CapDev
programs
 Leads to M&E Report

K.6 Communicate the M&E Findings

 Map out a communication plan for disseminating M&E findings
 Consider the uses of results findings
 Manage and act on M&E findings
 Determine strategies for sharing information
  Leads to M&E Communication Plan

K.7 Sustain the M&E System

L. 10 tips in Building M&E

1. Keep it simple and fit to project
2. M&E us not an add-on at the end – start early and build M&E into the project from the beginning
3. Negotiate with stakeholders to decide what to monitor and evaluate
4. Indicators should be objective, verifiable, and clearly understood by all stakeholders
5. Identify specific data collection strategy for activities, outputs, outcomes, and impact
6. Undertake a baseline and if possible, establish a control group at the start of the
intervention
7. Record information in sufficient detail to illustrate accountability and provide for future
evaluations
8. Check that results can be directly linked to the intervention and acknowledge where other factors
may have an influence
9. The process is only complete when lessons have been put to use
10. Don’t keep it a secret! All stakeholders need to be kept aware of the results of M&E

M. The Power of Measuring Results

 If you do not measure results, you cannot tell success from failure
 If you cannot see success, you cannot reward it
 If you cannot reward success, you are probably rewarding failure
 If you cannot see success, you cannot learn from it
 If you cannot recognize failure, you cannot correct it
 If you can demonstrate results, you can win public support

TOPIC 16. Setting Performance Indicators

A. Performance Indicators

 Performance Indicators are the measures used to determine how far the desired activity has
been achieved at the ultimate outcome, intermediate outcome, immediate outcome, output, input
levels
 Indicators have both quantitative and qualitative attributes.
 Quantitative or qualitative unit of measurement that specifies what is to be measured along a scale
or dimension
 Is a neutral and does not indicate direction or change nor embed a target

B. Types of Performance Indicators

C. Indicators: Key Attributes
 SMART – Specific, Measurable, Achievable, Relevant, Time-Bound
 CREAM – Clear (Precise and unambiguous), Relevant (appropriate and timely), Economic
(available at reasonable costs), Adequate (provide sufficient basis to assess performance), and
Monitorable (can be independently verified)
 Practical – reasonable in terms of data collection cost, frequency, and timeliness for decision
making purposes.

D. Rules in Formulating Indicators

 Involve project stakeholders
 Define indicators at all levels of the results chain
 Choose the right number of indicators
 Adhere to quality standards (SMART and CREAM)
 Establish baselines and targets

E. Defining Indicators
 It is important to define indicators to provide clarity of understanding of indicators being set
 It helps avoid misunderstanding of the measure
 Contributes to data stability and validity
F. Remember!
 A good performance indicator must be SMART (Specific, Measurable, Attributable, Relevant
and Timebound) and CREAM (Clear, Relevant, Economic, Adequate, Monitorable)
 Indicators ask and answer the questions who, how many, how often and how much about the
program implementation

TOPIC 17. Establishing Baseline Information and Setting Performance

Indicators

A. Baseline Information
 Used as starting point, or guide, by which to monitor future performance
 Informs decision makers about current circumstances before embarking on projecting targets
for a program, policy, or project
 Provides the evidence by which decision makers are able to measure subsequent policy program
or project performance

B. Key Questions in Building Baseline Information for Every Indicator

1. What are the sources of data?

2. Wat are the data collection methods?
3. Who will collect the data?
4. How often will the date be collected?
5. What is the cost and difficulty to collect the data?
6. Who will analyze the data?
7. Who will report the data?
8. Who will use the data?

C. Performance Targets
 Desired direction and magnitude of change in the performance indicator resulting from the project
after a certain period of time
  What the situation is expected to be at the end of a program or activity

D. Factors to Consider then Setting Performance Targets

1. Clear understanding of the baseline/starting point
2. Expected funding and resource levels throughout the target period – resources refer
to existing capacity, budgets, personnel, funding resources, facilities, etc.
3. Flexibility in setting targets – internal or external resources may be cut or otherwise
diminished during budgetary cycles
4. Realistic grounding when setting targets – it takes time to observe the effects of
improvements

Topic 18A - Formulating the Monitoring and Evaluation Plan

A. Key Steps Towards a Results-based M&E

B. Monitoring & Evaluation Plan

 A structured plan for the monitoring and evaluation and analysis of performance
information over the lifetime of a program or project
 Documents the major elements of the M&E system and ensures that performance
information is collected on a regular basis
 Builds on the program results framework or results chain by providing the detailed information
as to what are the evaluation questions and the audience, and what data will be collected, where
the information will come from, who will collect and what time
 Allows the setting of the scope and boundary for evaluation, and provides a roadmap that
should be understood by all project personnel
C. Results-based Monitoring

Monitoring Plan Template

Elements of the Monitoring Plan

Hierarchy of Targeted Results

 Presents the hierarchy of objectives of an project, categorized into impact, outcome, output,
activity and input
 This is culled from the Results Chain.

Performance Indicators

 Quantitative or qualitative unit of measurement that specifies what is to be measured along a

scale or dimension
 Neutral or does not indicate direction or change nor embed a target

Operational Definition

 Provides clarification on the performance indicators

 Indicators are defined to provide unambiguous information about interventions and their
achievements

Baseline Data

 Quantitative or qualitative information gathered before commencement of a

program/project
 First measurement of an indicator
 Sets the current condition against which future change can be tracked

Performance Target

 Identifies the desired direction and magnitude of change in the performance indicator as a result
of the program/project after a certain period of time
 Targets can be based on political priorities, community and customer priorities; previous
performance; comparison with other organizational units; and external comparison
 Data Sources

 Refer to organizations or individuals that can supply the needed data for the
performance metric

Frequency of Data Collection

 Refers to the time period in the lifespan of the program/project for monitoring the
performance data

Input–Output Monitoring

 Conducted monthly or quarterly

Outcomes Monitoring

 For high impact projects, immediate outcomes may be realized during the lifetime of the project
and may be included in regular project monitoring
 For projects whose outcomes may only be realistically realized upon completion of the project
data collection may be done right after project closure
 Annual performance assessment may also be conducted to check progress or achievements in
terms of implementation, and immediate and intermediate outcomes
 Ultimate outcomes or impact assessment is usually undertaken five years upon project closure.

Data Collection Methods

 Refer to how data will be collected

Person Responsible

 Identifies the person/s or unit/s in the project or within the organization that will have
responsibility for collecting data for the performance indicator

Topic 18B - Formulating the Monitoring and Evaluation Plan

A. Results-based Evaluation

 Results-based evaluation is a periodic assessment of the design, implementation and

results of an ongoing, or completed intervention to determine its relevance, efficiency,
effectiveness, impact, and/or sustainability.

B. Why We Do Evaluation?

 To determine if projects are meeting the intended objectives and desired results
 To build greater transparency and accountability in terms of the use of project resources
 To provide management with a clear basis for decision making
  To improve planning and design of projects using lessons learned from project
experiences.

C. Results-Based Evaluation: Basic Steps

D. Types and Purpose of Evaluation

Ex-ante Evaluation - Examines the validity of the contents of project plans

Mid-term Evaluation - Examines whether the project is producing effects at mid-term

Terminal Evaluation - Examines whether the project is producing effects at completion

Ex-
- Examines whether expected impact is generated years after
post Evaluation
project termination

E. Grasping the Logic of Intervention

F. Grasping the Results Framework

G. Preparing the Evaluation Plan Steps

1. Determine evaluation items – what are the major items to be assessed?
2. Development evaluation questions – What to know through the evaluation?
3. Determine necessary data – What specific data need to be collected?
4. Identify data sources – where can the data be obtained?
5. Select data collection method – How to collect the data?

H. Major Evaluation Items (Criteria)

1. Evaluation of Project Performance
2. Evaluation of implementation process Evaluation
of five DAC-OECD evaluation criteria
I. Formulating Evaluation Questions

1. Key Questions for Ex-ante Evaluation

 Is the project relevant to donor/GOP goals?
 Are the outcomes likely to be produced?
 Is the cost justifiable?
 Are the outcomes likely to be sustained in the future?
 Is the project design valid?
2. Key Questions for Mid-term Evaluation
 Can we continue the project as designed?
 Can we expect the outcomes as the result of project intervention?
 Should we change the project strategy and activities?
 Is the project design still relevant?
 Are Outputs being delivered?
 Is the project cost-efficient?
 Is sustainability to be expected?
 Are there any internal/external barriers so far?
 Is the project design still relevant?
 Are Outputs being delivered?
3. Key Questions for Terminal Evaluation
 Are outcomes being observed? If not, why?
 Are outcomes the result of Outputs & Activities?
 Are outcomes/impact sustainable? If not why?
 Is the project cost effective to achieve these results?
  How to ensure sustainability?
 What are the lessons learned for future strategy and project formulation? 4. Key
Questions for Ex-post Evaluation
 Is there any impact observed? Is so, can this be attributed to the project?
 What are the promoting/hindering factors?
 Are the impacts likely to be sustained?
 How can sustainability be ensured?
 What are the lessons learned for future strategy and project formulation?

J. DAC’s Five Evaluation Criteria

Relevance - Consistency of project objectives with development needs and priorities

Efficiency - Efficiency of converting inputs into outputs during project implementation
Effectiveness - Degree by which Project Outcome is achieved through the Outputs
- Positive or negative changes produced, directly or indirectly, intended or
Impact unintended, as a result of the project
- Continuity of the benefits or effects of the project after donor funding or technical
Sustainability assistance has been withdrawn.
K. Key points to remember

 A monitoring and evaluation plans builds on the program logic and basically outlines what
you will collect, when and by whom it is to be collected, what question the information will
answer, and the audience you are reporting to.
 Developing a monitoring and evaluation plan should be undertaken as part of your project
planning process.
 Designing the evaluation plan should involve the participation of key stakeholders of a
program.
TOPIC 19: Data Collection in Results-Based Monitoring and
Evaluation
A. How different are approaches to data collection in monitoring from that evaluation?

B. How can data be classified?

i. According to source and data collector:

1. Primary Data
 Directly collected by data user for a specific purpose from a first-hand source
 Interviews, FGDs, direct observations
2. Secondary Data
 Data collected from existing sources
 Census results, previous research, online public databases

ii. Advantages and disadvantages:

 iii. According to Form:

C. Sampling
 The process of selecting a number of individuals from the total population to be studied
 Considerations:
o Who will be included and excluded, why and why not?
o How will sampling be carried out?
o What is the sample size?
 Probability Sampling: Each unit has the same change of being included in the sample
o Simple random sampling
o Stratified sampling
 Non-Probability Sampling – No way of estimating the probability of each unit’s chances of
being included in the sample
o Purposive sampling – involves the use of sound judgement and an appropriate
strategy in selecting subjects to comprise the sample, given the study’s purpose
o Convenience sampling – investigators take the available persons to constitute the
sample and continues to do so until a predetermined sample size is reached
 Convenience of investigators is the primary consideration
o Snowball Sampling – useful when there is no available list of population to work on
 Start with a few persons who meet the characteristics is important to the study
 These persons refer other persons to include

 Commonly-used data collection methods

 Why use a mixed-methods approach?
D. Dimensions of Data Quality

A. Triangulation: Ensuring Quality

 No singular approach can solve the problem of conflicting causal factors affecting reality
 Types of triangulation
o Data Triangulation: Using variety of data sources
o Investigator Triangulation: Having several researches or evaluators
o Theoretical Triangulation: Using multiple perspectives to interpret a single data set
o Methodological Triangulation: Employing multiple methods to examine a problem
or phenomenon
o Environmental Triangulation: Employing different sites/contexts/locations


TOPIC 20: Data Analysis in Results-Based Monitoring and Evaluation
A. Why Analyze M&E data?

 To transform data into useful knowledge

o Assessing program/project performance, positive or otherwise
o Understanding the reasons underlying performance
o Aid management decision-making
o Helps ensure accountability to and of stakeholders
 In baseline surveys, analysis can reveal:
o Demographic characteristics of beneficiaries
o Attitudes, behaviors and problems relevant to program design
o Attributes specific to the program context
 In monitoring and process evaluations, analysis can reveal:
o Program quality, coverage and exposure
o Program functions
o Problems affection implementation and processes
 In outcome and impact evaluations, analysis can reveal:
o If and how the program achieved its intended results
o Proportion of changes in outcome indicators attributable to the program

B. Type of data analysis

1. Descriptive – only concerned with processing and summarizing data

2. Theory driven – used to test theories of change, assumptions, or hypotheses
3. Data or narrative driven – Involves allowing patters to emerge from the data. Developing
theories or hypotheses comes after

C. Data Processing
- refers to the steps needed to organize M&E data in logical and coherent way in preparation for
analysis
1. Field editing – reviewing data for completeness and legibility while the investigator is still
out in the field
2. Transcription – production of verbatim records of what was said
3. Coding: organizing and assigning definitions or meanings to the data

4. Data entry and tabulation: organizing data into tables, as applicable, using software
5. Data cleaning – checking for and correcting errors
 Watch out for missing data, inconsistent data, out of range values

D. Analyzing Quantitative Data

 Calculate descriptive statistics
o Descriptive statistics can be used to identify patterns in data
o Derive frequencies, distribution, percentages, dispersion
o If applicable, use measures of central tendency (ie. Mean, median, mode)
 Compare results to targets initially set to assess implementation
  Compare results with baseline to assess program objectives related to quality
and coverage

 Compare changes in indicators over time to measure outcomes

 Comparing results across project sites

E. Analyzing Qualitative Data

 Analysis is focused on texts and their interpretations
 Coding is key
 Identify themes, patterns, and relationships
o Words or phrases repeated or emphasized
o Comparisons
o What is absent?
o Are there common metaphors or analogues?
 Relate data and patterns to hypotheses (if any) and objectives
 Prepare report or presentation
o Case studies
o Process analysis
o Causal flows
o Taxonomies

F. Common questions used in Analysis

1. Process questions
2. Change questions
3. Action questions
4. Learning questions
TOPIC 21: Reporting Results

A. Keys to Writing M&E Reports

1. Keep purpose and audience in mind
2. Use words that are simple, active, familiar, culturally sensitive
3. Avoid abbreviations and acronyms
 4. Limit background information to what is needed, place technical information in an
appendix
5. Provide enough information about your data collection methods so others can judge its
credibility
6. Write an executive summary
7. Organize around major themes or items of inquiry
8. Support conclusions and recommendations with evidence
9. Place technical information in appendix
10. Leave time to revise
11. If possible, have an external reviewer with expertise on the issues and knowledge, review
the final draft

B. Reasons for Using Graphics

 Add interest
 Communicate information more clearly than text
 Attract reader’s eyes to particular points
 Increase the impact of a report

C. Characteristics of Good Graphics

 Simple
 Communicate without needing text
 Easily reproduced
 Culturally appropriate
 Patterns can be distinguished
 Clearly labeled
 Consistently numbered and titled
 Sources provided and credit given
 Called out in the text
 Correctly placed in the text
 Permission to use (if needed)

D. Kinds of Visuals
1. Illustrations – maps, sketches and line drawings, photographs
2. Charts and graphs – organization charts, gantt charts, graphs
3. Tables – data tables, classification tables (matrices)

E. Connect Narrative to Illustration

 If you use a picture or illustration, be sure to use the narrative of the report to tell the
audience what they are supposed to see in the picture
 Direct them to the picture and tell them what to look for
F. Effective Charts

G. Format Style for Graphs

 No overlapping categories
 Patterns or textures that are clear even when photocopied
  Patters clearly labeled using a legend
 Have no extra line and patterns – only what is necessary
 Avoid black – it is difficult to reproduce accurately
 Lettering that does not go below 10 pt font

H. Line Graphs
 A way to summarize how two pieces of information are related and how they vary
 Show data changes over time
 Show continuous interval or ratio data

I. Scatter Diagram
 Similar to line graph except coordinates have no lines between them
 Used if you want to see if there is a relationship

J. Tables
 Used to present information in an organized manner
 Types: Data Table and Classification Table

K. Data Tables
 Used to present numerical information
 In the report, describe what to look for in the data table
 Include the year and source
L. Data Table Principles
 Round-off number to no more than two significant digits – recommend using whole
numbers
 Give averages of rows and columns (as appropriate) to help audience make comparisons
 Put the most important comparisons into columns
 Too many lines may difficult to read

M. Classification Tables (Matrix)

 A layout that shows how a list of things has been organized according to different factors
 Can help illustrate complex information

N. Visual Information Design from Edward Tufte

 Draw attention to the substance of the data, not something else
 Less detail in the grid, lines, detailed level
 Most amount of ink should be devoted to actual data
 Avoid “chartjunk” (unnecessary decoration)

O. Some Common Mistakes in Interpreting Data

 Using percent when the numbers are small
 Attributing causality when not demonstrated
 Over-generalizing the results
 Drawing sweeping conclusions based on small amounts of information

P. Formulating Findings
 Describe results in clear language and easy to understand charts and grapgs
 Make judgement backed up by evidence
 Identify major reasons for successes, failures and constraints

Q. Some common mistakes in Reporting

 Reporting perceptions as facts
 Failing to anchor statements on data
 Misreporting the statistics
 Failing to provide the context
 Over indulgence in preliminaries
R. Writing M&E Reports: Final Note
 Think about your reader, use clear simple English
 Don’t lose focus on the objective of the report
 Place major points up front
 Always support your recommendations with evidence
 Annex technical or detailed information
 Provide executive summary if report is more than 10 pages

S. M&E Reports Basic Format

TOPIC 22 -Communicating M&E Information

A. Ten Uses of M&E Findings

1. Respond to elected officials’ and the public’s demands for accountability

2. Help formulate and justify budget requests
3. Help make operational resource allocation decisions
4. Trigger in-depth examinations of what performance problems exist and what corrections are
needed
5. Help motivate personnel to continue making program improvements
6. Formulate and monitor the performance of contractors and grantees
7. Provide data for special, in-depth program evaluations
8. Help provide services more efficiently
9. Support strategic and other long-term planning efforts (by providing baseline information and
later tracking progress)
10. Communicate better with the public to build public trust.(Source: Hatry 1999)

B. Communication Plan

 Summary of specific actions that describes priorities and targets to effectively

communicate the results of M&E
 Summarizes communication strategies, objectives, target users of information,
communication tools and timetable of communication
 Communication Plan Template
Target Person By Expected
Objectives Content How Frequency Budget
Audience Responsible When Results

C. Key Points to remember

 Identify the appropriate stakeholders and determine suitable means to communicate the M&E
results
 Present only what is important and necessary and highlight findings that need appropriate action
 Develop a communication plan to ensure issues and concerns will be acted upon
immediately
 M&E findings are useful information that should be communicated to decision makers and
stakeholders

TOPIC 23 -Sustaining the M&E System

6 Critical Components of Sustaining Monitoring & Evaluation Systems

1. Demand
2. Clear Roles and Responsibilities
3. Trustworthy and Credible Information
4. Accountability
5. Capacity
6. Incentives

1. Critical Component One: Demand

 Structured requirements for reporting on results e.g. European Union Accession or

national legislation
 The results from M&E system are sought and available for the government, civil society, and for
donors
 Officials want evidence on their own performance
 Organizations seek better accountability

2. Critical Component Two: Clear Roles and Responsibilities

 Establish formal organizational lines of authority (that are clear) for collecting, analyzing, and
reporting of performance information
 Build a system that links the central planning and finance ministries to line/sector
ministries (internal coordination)
 Issue clear guidance on who is responsible for which components of the M&E system and
procedures
 Build a system that goes beyond national government to other levels of government for data
collection and analysis
  Build a system that has demand for results information at every level where information is
collected and analyzed, i.e. there is no level in the system that is only a “pass through” ofthe
information

3. Critical Component Three: Trustworthy and Credible Information

 The system has to be able to produce results information that brings both good and bad news
 The producers of results information need protection from political reprisals
 The information produced by the M&E system should be transparent and subject to
independent verification
 The data collection and analysis procedures should be subject to review by national audit
office and/or Parliament

The Blame Game

“Stop whimpering and spin the wheel of blame, Lipton!”

Cartoon by Scott Arthur Masear, Harvard Business Review, November 2003.

4. Critical Component Four: Accountability

 Civil society organizations play a role by encouraging transparency of the information

 The media, private sector, and the Parliament all have roles to ensure that the
information is timely, accurate, and accessible
 Failure is not rewarded
 Problems are acknowledged and addressed

5. Critical Component Five: Capacity

 Sound technical skills in data collection and analysis

 Managerial skills in strategic goal setting and organizational development
 Existing data collection and retrieval systems
 Ongoing availability of financial resources
 Institutional experience

6. Critical Component Six: Incentives

 Incentives need to be introduced to encourage use of performance information:

 Success is acknowledged and rewarded
 Problems are addressed
 Messengers are not punished
 Organizational learning is valued
 Budget savings are shared
 Others?
Last Reminders!

 The demand for capacity building never ends! The only way an organization can coast is
downhill…
 Keep your champions on your side and help them!
 Establish the understanding with the Ministry of Finance and the Parliament that an M&E system
needs sustained resources.
 Look for every opportunity to link results information to budget and resource allocation
decisions.

TOPIC 24 – Writing a Project Proposal

The project proposal incorporates the Stakeholder Analysis, Problems and Objectives, the Logical
Framework and the Activity and Budget Plans, thus maintaining the link from the initial problem
identification to the final implementation strategy.

The written project proposal should not be too long, as a general rule not more than 20 pages, plus
annexes.
(Reference: Project Cycle Management Toolkit, Freer Spreckley; Edited by Sally Hunt, 3 Edition 2006)

A. Guidelines for Preparing and Submitting Project Proposals

Part 1. Background and Justification

 Should provide a brief introduction to the current social and economic situation of the social
group which will benefit from the proposal
 Should describe:
1. the problem or critical issue which the proposal seeks to resolve
2. how the proposal relates to other relevant national development strategies and policies
3. whether there are other programs and activities which will complement the proposal
 Should describe how the need for the project was determined, and how intended
beneficiaries were involved in project identification and planning
 If a non-governmental organization has prepared the proposal, it is important to describe how
concerned government officials were made aware of and/or were involved in project formulation
 Should indicate what kind of assistance the concerned governmental offices will provide the
proposal — if approved — as well as what resourced the non-governmental community could
provide
 Should describe the relevant experience and capabilities of project Executing Agent and the type
and level of resources that the Executing Agent will provide for project planning implementation
management and follow-up
Part 2. Objectives

Development Objective
 Should indicate the specific national social and economic objectives to which the proposal
— if successful — is expected to contribute and how this is expected to contribute to
improved well-being and livelihood among the concerned social group

Immediate objectives
 Describes what the project is expected to achieve in terms of effects among intended
beneficiaries
 Changes can include new and improved technical skills and knowledge, increased income-
generating capacities, improved health status, and greater public awareness of the social group
perspective in national development
 Should also discuss whether project operations — if successful — will be extended to other
locations as well as and whether the project experience can be applied to other sectors

Part 3. Project Implementation and Management Plan

A. Expected project results

 Should describe the overall results that the project is expected to produce, in quantitative terms to
the extent possible — on successful completion — among its intended beneficiary group
 Should also discuss whether there may be unintended effects of the project B.
Project activities and work plan
 Should describe how each immediate (project) objective will be carried out in terms of planned
activities, their timing and duration, and who will be responsible for each activity, in a simple
table
C. Project beneficiaries
 Describes who and how many people are expected to benefit from the project — directly and
indirectly, how they have been involved in the project design, and their role in project
implementation and evaluation
D. Institutional setting
 Where project operations will take place?
 Who will be responsible for planning and management of project operations as well as the roles
that other bodies and organizations associated with the project — on a direct or indirect basis —
will play
 What arrangements are to be established to ensure that there will be effective
coordination with other relevant programs and activities
 Should also discuss whether project operations are expected to continue, or expand to other
sectors, once the current phase of assistance is completed
Part 4. Project Monitoring and Evaluation
 Should discuss briefly proposed mechanisms and procedures for periodic monitoring of project
operations to ensure that activities occur as planned, that they remain directed towards stated
objectives, and that appropriate corrective action is taken if required
 Should indicate who will be responsible for preparing periodic project progress and final
technical reports and for the accounting of expenditures made from the grant of the respective
Fund
 Should identify the party who will be responsible for this task as well as how intended
beneficiaries will be involved

Part 5. Budget
 Should indicate
o total cost of the project
o components which will be financed by the project executing agent
o components for which external assistance is sought
 Has five main sections:

1. Project personnel
a. project operations may require as many as three different types of staff
i. professional staff who will be appointed for more than six months
ii. consultants who will be appointed for less than six months
iii. support staff who will be responsible for project administration, clerical support and
related tasks
b. Financing of project support personnel is not a priority for the Funds
c. Brief terms of reference for project personnel to be financed by the Funds should be
included as annexure to the project document
d. also includes a line item for official, national travel of project staff, if required and if this
cannot be funded from other sources

2. Subcontracts
a. pertains to specialized services provided the project by an outside contractor, where each
will require a separate budget line
b. subcontractor terms of reference should be attached as annexure to the project
document

3. Training
Three categories of training can be undertaken by a project but priority in funding is
accorded to in-service training activities
i. individual fellowships which relate to individual training outside the country of the
project
ii. group training and study tours which relate to organized training programs and study
tours conducted outside the country of the project which does not exceed two months
and one month or less respectively
 iii. in-service training which relates to the cost of individual and group training
organized and conducted in the country of the project

4. Equipment
Three categories of equipment
i. expendable equipment which are items of equipment, supplies or training
materials valued at less than US$ 400
ii. non-expendable equipment which are items of equipment valued at US$ 400 or
more or which have a serviceable life of five years or more
iii. premises which include the purchase, construction or rent or permanent or
prefabricated housing and other facilities required for project operations

5. Miscellaneous
includes provision for operation and maintenance of project equipment that cannot be covered by
the host government or the project executing agent; for repair cost which can also cover the
reproduction of a reasonable number of copies of project technical and final reports; for sundry
expenses which can also cover official postage, communications and incidental supplies

PROJECT PROPOSAL Template

1. Basic information on the Project:

a. Title, type of project, place-location and short summary of the project.
2. Project rationale
a. A synthesis of the problem analysis conducted with the stakeholders.
3. Target group and partners
a. Direct beneficiaries: the group/institutions who will be directly affected by the project at the
level of the immediate objective
b. Final beneficiaries: those who benefit from the project in the long term, e.g. families of
cooperative members, children
c. Partners: stakeholders who will be directly involved in activities, in particular when the
applicant does not have enough capacity, e.g. competence
4. Coherence with national frameworks/ policy such as the Sustainable Development Goals and
Philippine Development Plan& other national policies
Every project needs to be consistent with national development programs. |n this section, show on how
the project will contribute to achieving those national goals.
5. Project strategy
a. This section states the extent to which the identified problem will be dealt with, and the
strategy that will be used to produce the desired outputs, for example:
i. Describes the type of intervention (direct action or institutional development) and
indicates the main components of the strategy (e.g. awareness-raising, education and
training, income generating activities).
b. Translation of the logical framework in the text, introducing:
i. Results/Outcomes and indicators (As stated in the log frame)
 ii. Expected outputs and activities
iii. Description in detail of each activity to produce each output, justifying the
choice of the activities, indicating their sequence and interrelationship, and
specifying the role of each partner in the activities.
iv. Indicators per output
6. Project management and institutional arrangements
a. The organizational structure and the team proposed for the implementation of the action
b. The main means proposed for the implementation of the action (equipment, materials and
supplies).
7. Monitoring and evaluation plan
a. The methodology that will be used to assess the impact of the activity and
disseminate the lessons learnt
b. The reporting schedules.
8. Plan of Action
a. Including the responsibility matrix, calendar of activities and resource plan