Main Doc ROM Applied to grant implementation
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This document provides an overview and guidance on European Union grant funding for projects in Latin America and the Caribbean. It covers key aspects of grant funding, including the objectives of grant contracts, the roles of different actors, and how funding can be effectively monitored. The Practical Guide to Contract Procedures for EU External Actions (PRAG) provides the guidelines that determine how EU funds are spent on external aid projects.
Main Doc ROM Applied to grant implementation
- 1. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs Effective Monitoring of EU Grant- Implemented Projects Prepared for Integration GmbH by TM Kowal, Key Expert for Climate Change, Green Growth, Environment and Energy
- 2. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 2 Objectives of this training Clarify understandings of the Grant Contract and of ‘PRAG’ Guidelines which decide how EU funds are spent in external actions SESSION 1 – about grant funding projects BREAK SESSION 2 – about effective ROM and EOPRR PRACTICAL EXERCISE – application of information SUMMING UP AND POINTERS TO SOURCES
- 3. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 3 SESSION 1 SETTING THE CONTEXT Main features of the grant aid modality in terms of the key differences with other aid funding methods the attributes of the grant-funding project development and approval process i.e. Calls for Proposals main implementation methods and issues key documents generated over the project lifecycle related to project financial management activity/output/outcome monitoring
- 4. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 4 What is PRAG, what is it for, and what does it contain? PRAG Practical Guide to Contract Procedures for EU External Actions PRAG English: April 2014; French, Spanish, Portuguese, Italian, German Provides Practical Guidelines for contractual & procurement procedures Guides how we can spend EU funds financed from the EU general budget and European Development Fund (EDF) Rules: how we need to be accountable, transparent & fair: for ‘best value’ Explains procurement or grant contracting procedures for external actions Set of key tools for project approvals, awards, signature, implementation
- 5. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 5 Why PRAG can be a challenge PRACTICAL GUIDE TO CONTRACT PROCEDURES FOR EU EXTERNAL ACTIONS Grant recipients are not generally structured to manage Public Funds and often have weak capacity for managing finances Language of PRAG is “not always easy” to understand Extreme formulation: heavily framed in legalisms, acronyms, exceptions, inclusions, all written out in dense “Euro-speak” so hard to disentangle As PRAG offers ‘guidelines’ rather than ‘rules’, different stakeholders may interpret aspects of the guidelines in various ways BUT, these challenges must be overcome, otherwise recipients may be in danger of not having the grants approved, fail to comply and not have their grant-project costs recovered
- 6. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 6 Main features of the grant aid modality A Grant or Call for proposals is a public invitation by the Contracting Authority, addressed to clearly identified categories of applicants, to propose operations within the framework of a specific EU programme. Grants are direct financial contributions from the EU budget or from delegated funds. Awarded as donations to third parties engaged in external aid activities. Contracting Authority awards grants that are used to implement projects or activities that relate to the EU’s external aid programmes. Two categories: Grants for actions: to achieve objective as part of external aid programme Operating grants: finance the operating expenditure of an EU body that is pursuing an aim of general European interest; or an objective that forms part of an EU policy.
- 7. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 7 Characteristics of a ‘grant’ Payment of a non-commercial nature by the Contracting Authority to a specific beneficiary to implement an action intended to help achieve an objective forming part of a European Union policy But it is not a gift!!! Funds support activities of the beneficiary Funds cover only eligible incurred costs Based on the reimbursement of the eligible costs: costs effectively incurred by the beneficiaries deemed necessary for activities in question. Results of the action remain the property of the beneficiaries Conditionality of the grant award is set out in the Grant Contract as a written agreement signed by the two parties. Require co-financing by the grant beneficiary: beneficiary's own resources (self-financing) income generated by the action and financial or in-kind contributions from third parties.
- 8. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 8 What are grants? Summary:
- 9. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 9 Differences with procurement Procurement "Buying things“ via Tenders Grants "Giving money“ via Calls for proposal Purchase of services, supplies or works Object Proposal from an applicant to contribute to the achievement of a policy objective through: - action grant: a project or - operating grant: applicant functioning costs Contracting Authority Owner of Results Grant beneficiary: falls within the normal framework of the beneficiary's activities 100% of the cost Financial contribution The Union finances a part of the costs, which are eligible for Union-financing. The grant beneficiary (or another donor) finance the other part. Allowed Profit Not allowed as it applies to the action
- 10. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 10 Differences with Contracts for Services, Supplies and Works: Service Contracts Supply Contracts Works Contracts Contracts of €150.000 or more International open tender procedure Contracts of €5.000.000 of more International open tender procedure Contracts of €200.000 or more International restricted tender procedure Contracts between €60.000 and €150.000 Local open tender procedure Contracts between €300.000 and €5.000.000 Local open tender procedure Contracts under €200.000 but more than €10.000 Framework contracts Competitive negotiated procedure (Beneficiary consults at least 3 service providers) Contracts under €60.000 but more than €10.000 Competitive negotiated procedure (Beneficiary consults at least 3 service providers) Contracts under €300.000 but more than €10.000 Competitive negotiated procedure (Beneficiary consults at least 3 contractors) Contracts with a value of €10.000 or less Single tender Contracts with a value of €10.000 or less Single tender Contracts with a value of €10.000 or less Single tender
- 11. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 11 Actors Three kinds of actors that may receive funding under a grant contract: Contracting Authority filled by: Commission itself A national body A beneficiary country An international organisation. Applicant If awarded the grant contract, the applicant will become the beneficiary Identified as the coordinator in special conditions of the grant contract The coordinator is the main interlocutor of the contracting authority. Represents and acts on behalf of any other co-beneficiary (if any) Coordinates the design and implementation of the action Co-applicants (if any) - who will become the co-beneficiaries Co-applicant(s) participate in designing and implementing the action Costs they incur are eligible in the same way as those by the applican. Affiliated entities (if any) Having a structural link with the applicants, a legal or capital link, considered affiliated
- 12. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 12 Special context set by NGOs and municipal/local level actors Partner-owned and partner managed Designed/ decided by the partner with donor input Embedded in the local institutional context Balanced programme autonomy vs. integration. Results may be achieved with inputs/ resources of other organisations within private, CSO, public and INGO sectors
- 13. Identifying Stakeholders STAKEHOLDERS - Individuals or institutions that may – directly or indirectly, positively or negatively – affect or be affected by the project or program.
- 14. 14 Private Sector and TA Provider Companies Donors, Public Sector Multi- stakeholder alliances Civil Society Organisations and Local actors (municipal- level) Watchdog of industry Providing expertise on local situation Implementation partner Finding a common language between actors:
- 15. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 15 ‘Macro’ Projects With objectives of national importance Maybe cross-sectoral Managed from the Centre Often complex with multiple components E.g. Modernisation of a Ministry; Promoting an active labour market ‘Micro’ Projects With objectives of local importance or ‘pilot’ in nature Usually sector-based Managed locally, but may be part of a ‘macro’ project Usually limited to one type of ‘action’ Eg.s Improving drinking water supply of municipality; improving services for internal migrants
- 16. CONVERGENCE OF ACTORS’ INTERESTS
- 17. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 17 Overall life-cycle
- 18. Project Stages: 1) Proposal Preparation based on Call for Proposals 2) Evaluation 3) Negotiation 4) Project Start & Implementation 5) Project Reporting 6) Project Closure 7) Post-Project Tasks ProjectStages 18
- 19. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 19 Strict rules governing the way in which grants are awarded Transparency Availability of grants publicised; accessible Observance of the requirements of confidentiality and security Equal treatment Grant award process completely impartial. Evaluated by an evaluation committee Advice of assessors; published criteria. Programming: annual work programme Procedures and rules regarding grants are outlined in the General Conditions and Special Conditions. These vary according to the source of money for the grant: EU budget or EDF and the year
- 20. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 20 Types of programming contexts / genesis via financing instruments DIRECT MANAGEMENT: Work programme is adopted by EC & published on the EuropeAid website Chairs evaluation committees Decides the results of calls for proposals and signs the contracts INDIRECT MANAGEMENT WITH EX-ANTE CONTROLS: Work programme is adopted by the contracting authority Published on its Internet site and on the EuropeAid website Contracting authority submits the work programme to the EC for approval Chairs evaluation committees; decides results of calls for proposals European Commission is represented as an observer INDIRECT MANAGEMENT WITH EX-POST CONTROLS: Work programme is adopted by the contracting authority Published on its Internet site (or in any other appropriate media) and on the EuropeAid website Decides on the results and signs contracts without prior approval of the EC.
- 21. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 21 Award procedures calls for proposals
- 22. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 22 Key characteristics and trends in calls for proposals: Competitive – which tendencies ? Right to proponent's initiative Procedural obligations – in order to maximise equality of chances of all applicants and transparency Budget obligations: no core financing, but activity related financing; obligation of co-financing Technicalities are important: HQ or local calls? Amounts? Eligibility? Pooling of funds
- 23. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 23 Step 1: Preparation and Guidelines
- 24. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 24 Typical call for proposals:
- 25. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 25 Calls for proposals Grants must be awarded following the publication of a call for proposals Open or restricted call for proposals Calls for proposals are by default restricted Two-step procedure where applicants may ask to take part Concept note in response to a call launched through published guidelines Applicants who have been shortlisted invited to submit a full proposal In exceptional cases: calls for proposals may be open Applicants are free to submit a grant application Concept note must be submitted together with the full application Evaluation process is still carried out in two steps Launch of an open rather than a restricted call must be justified by the particular technical nature of the call, the limited budget available, the limited number of proposals expected or organisational constraints
- 26. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 26
- 27. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 27 Step 2: Potential Applicant Data On-Line Registration PADOR is an on-line database in which organisations register as potential applicants to calls Intended to improve service aimed at non-state actors and local authorities (not individuals) through calls for proposals. Organisations are invited to regularly update their information, and EuropeAid uses it to evaluate their operational and financial capacity, as well as their eligibility. PADOR eases the application process for organisations, as they are not obliged to re-submit this information separately Get a username and password from the Authentication Service (ECAS) Indicate their unique identification number, called EuropeAid ID (PADOR number), in their application forms.
- 28. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 28 Step 3: Evaluation of the Proposals
- 29. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 29 Role of EC in endorsement:
- 30. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 30 Eligible and non-eligible costs Costs effectively incurred by the beneficiaries that are deemed necessary for carrying out the activities in question PRAG explains the rules and procedures to be applied for projects Staffs of the partners taking part in the Action incur eligible costs Non-retroactivity Grants may, as a rule, only cover costs incurred after the date on which the grant contract is signed. Exceptionally, a grant may be awarded for an action which has already begun only where the applicants can demonstrate and justify the need to start the action before the contract is signed. No-profit rule Grants may not have the purpose or effect of producing a profit within the framework of the action or the work programme
- 31. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 31 Eligible costs: summary
- 32. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 32 Parts of the Grant Contract Annex I: General and Administrative Provisions: Article 1 - General provisions Article 2 - Obligation to provide financial and narrative reports Article 3 - Liability Article 4 - Conflict of interests Article 5 - Confidentiality Article 6 - Visibility Article 7 - Ownership/use of results and assets Article 8 - Evaluation/monitoring of the action Article 9 - Amendment of the contract Article 10 - Implementation Article 11 - Extension and suspension Article 12 - Termination of the contract Article 13 - Applicable law and dispute settlement
- 33. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 33 Annex III : Budget for the Action Budget is a breakdown of all eligible project related costs. Important to have a clear, and easy to understand budget attached to the contract Directly impacts smooth implementation of the project. Operating grants: operating budget Estimate Only!!! Final disbursement will depend upon project outputs
- 34. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 34 Modifying the Contract Making major changes to contract should be handled carefully, if possible, avoided! Minor Changes Changes in activities or budget that do not affect the basic purpose of the project Transfer between budget headings involving a variation of 15% or less Changes of address or phone number Changes of bank account Change of project manager / key experts Changes to HR unit rates Major Changes Significant changes in activities affecting basic purpose / indicators Transfer amongst budget headings outside the limits (15%) Addition of a new budget line or spending zero against a budget line Change of Project partners Extension of Contract Changes in grant beneficiary status or name
- 35. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 35 SESSION 2 Applying the information Based on the contextual information, participants will be engaged in the implications of grant-funding aid modality for ROM and EOPRR and understand main risks and assumptions affecting grant-funded projects commonly-encountered errors & irregularities good practices found useful in effective monitoring recommended information-gathering methods
- 36. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 36 Contract preparation Special Conditions: Options for payments One payment per year, one report per payment Annexes: Description of the Action General Conditions Budget Contract award procedures Standard request for payment and financial identification form Templates for narrative and financial reports Expenditure verification report Financial guarantee form
- 37. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 37 Managing the Contract Managing the grant contract should be an integrated part of the overall project management Grant partners must pay special attention to: Making any changes to the contract Procurement of any goods/services above 10,000 euros Keeping records & reporting
- 38. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 38 Reporting: Why is it (so) important ? Why is it (so) important ? Contractual obligation! Criticism from CoA / Parliament on the quality of reporting and DEVCO commitment Competitive environment: actors to demonstrate value for money / concrete achievements. Full information on the implementation of the action No set format/template, but the structure of reports should match Annex I (narrative report) and Annex III (financial report) with the same level of detail Templates provided for Grants
- 39. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 39 Evaluation and Monitoring: EU’s right to command ROMs and/or evaluations on any action it funds: EU’s right to command ROMs and/or evaluations on any action it funds Operational principles: Collaborative manner Planned ahead Procedural matters agreed by both parties Draft of the report provided for comments
- 40. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 40 Why M & E? Identify the impact and sustainability of project Record and share lessons Account to stakeholders Improve future project design Ensure funds used effectively and efficiently Enable EC to monitor performance of projects they have funded
- 41. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 41 Keeping Records & Reporting During the implementation period Grant Beneficiaries need to: Manage their own internal monitoring and administration of the project Facilitate external monitoring of the project Provide obligatory reports to the Contracting Authority Systems must be in place to ensure that there is compliance to the Contract and PRAG Manage data to show progress (or otherwise) towards project’s objectives
- 42. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 42 Types of monitoring-Evaluation-Audit:
- 43. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 43 Approaches to ROM Monitoring The Spectrum of Approaches Technocratic Pluralist Scientific approach Mixed perspectives Objectivity Non-neutral Standardisation Non-standard Judgemental / Managerial Facilitates learning & further dialogue
- 44. Importance of Combining Different Data Collection Techniques A skillful use of a combination of qualitative and quantitative techniques will give a more comprehensive understanding of the topic Qualitative Techniques (Flexible) Quantitative Techniques (Less Flexible) VS. • Produce qualitative data that is often recorded in narrative form • Useful in answering the "why", "what", and "how" questions • Typically includes: – Loosely structured interviews using open-ended questions – Focus group discussions – Observations • Structured questionnaires designed to quantify pre- or post- categorized answers to questions • Useful in answering the "how many", "how often", "how significant", etc. questions • Answers to questions can be counted and expressed numerically
- 45. Final Reports AnalysisROM Monitoring Process The ROM Process starts wide and finishes narrow
- 46. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 46 Narrative report shall include at least: EC criteria Efficiency Effectiveness Sustainability Replicability Does the information in your ROM report provide evidence for the above?
- 47. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 47 Reporting pre-requisites Logical Framework as basis for M & E Baseline studies Monitoring plan Financial reports (minimum quarterly) Annual reports Case studies Mid-term reviews and evaluation
- 48. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 48 Keeping Records & Reporting: Financial Reports Financial Reports include: Project costs Standardised table format Copies of supporting documents Copies of Time-sheets. Checking of financial reports against contract and supporting documentation: Eligible expenditure Consistent with application Correct exchange rates being used Appropriate supporting documentation VAT is not included Significant deviance from planned expenditure
- 49. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 49 Keeping Records & Reporting: List of some of the questions that an external project monitor may want answers to: Were the correct procedures used for the tender value? Are the equipment/supplies there? Is it being used for the purpose it was intended? Do the serial numbers match the invoice? Is the EU being given appropriate visibility? What will happen at the end of the project? Check for a list of equipment.
- 50. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 50 Key documents generated over the project lifecycle: Project financial management and activity/output monitoring; Roles of ROMs Baselines/reviews/evaluations; logframes Narrative reports: model and major elements Financial report : elements (expenses and expenditure verification reports) Modifications and addenda etc
- 51. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 51 Supporting Documents for grant-funded projects For Human Resources Term of reference/job profile Timesheets Copies of the outputs Activities reports For Travel Tickets (paper tickets and boarding passes) Any other proofs For Trainings Description of the training – training modules, training hours per subject, methods, etc. Training schedule List of participants / Attendance sheets List of trainers / lecturers Feed-back questionnaires Training evaluation report For Surveys /studies Description of the methodology Reports For Publications Copies of publications Distribution lists For working meetings Programme List of presentations / Handouts Minutes (if applicable) Press clippings Feed-back questionnaires (if applicable) For subsidiary supplies or wWorks Invitation to tender (all documentation) All offers received Tender Opening Report Administrative Compliance Grid Technical Evaluation Grid Evaluation Report Shipping bills
- 52. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 52 Some specific useful techniques used to gather information: Documentation review Questionnaires, surveys, checklists Case studies: interviews with selected stakeholders using pre-set questions for comparison purposes Focus groups: facilitated stakeholder group discussions around specific issues which ensure that all voices are heard Individual interviews: in-depth exploration using non- directive questioning
- 53. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 53 Narrative report shall include at least: Summary and context of the Action Activities carried out during the reporting period (i.e. directly related to the Action description and activities foreseen in the Agreement) Difficulties encountered and measures taken to overcome problems Changes introduced in implementation Achievements & results by using the indicators included in the Agreement Report on outcomes on final beneficiaries Work plan for following period inc. objectives & indicators of achievement.
- 54. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 54 Narrative report shall include at least: Sustainability issues; reports on gender equality, disabilities etc Summary of any controls carried out and available audit reports in line with the Organisation’s policy on disclosure of such controls and audit reports. Where errors and weaknesses are identified, analysis of their nature and extend as well as information on corrective measures should be provided; Control measures carried out and their impacts. Lessons learned and how disseminated.
- 55. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 55 What factors can affect the efficiency of a Project? Interacting issues: 1) Having to apply the Budgetary and Planning Guidelines 2) Application of PRAG 3) Existence of the deadline for contracting out fund UE (n+3) Deficient planning processes in the PMU Staff do not account for PRAG complexities Do not plan in time to meet the milestones of each component or overall Teams do not have enough training in planning by results Team members are not flexible enough to re-orientate the annual or three monthly plans to better deal with risks stemming from the context Mismatches between Project plans & annual budgetary planning processes Major disequilibrium between rational, measured budgetary planning in planning by period, instead concentrating majors flows of funds in the periods just before the conclusion of period n+3.
- 56. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 56 MAJOR GENERIC ISSSUES AFFECTING GRANT FUNDED PROJECTS PRAG application involves the implementation of UE procedures and can: i) to reconcile PRAG with national procedures, administrative staff require a double effort to simultaneously address different reporting requirements and processes. ii) Exceeding the installed capacity of the PMU (knowledge of the assigned personnel, volume of human resources, estimated time of dedication). iii) subject to change during ongoing operating periods, requiring a readjustment of advanced procurement procedures and subtracting efficiency
- 57. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 57 MAJOR GENERIC ISSSUES AFFECTING GRANT FUNDED PROJECTS Subject to a management contract deadline (n + 3) may cause the following risks: i) Contracts made in haste and poor quality in the near future to n + 3. ii) Excessive pooling procurement / contracting under unique bidding, can result in the loss of quality of goods and services contracted. iii) Project start dates from date of signing do not necessarily coincide with the actual start date of the project: implies excessively accelerated implementation. iv) Priority of achieving procurement of funds to the detriment of the strategic vision of the project.
- 58. ROM projects with problems – how on earth do we tackle these? Stakeholder Analysis Problem Analysis • Identifying key problems affecting the project • Constraints & opportunities? • Determining cause & effect relationships • Who are the main causatives, and why are problems occurring? • Who has an interest in problems not being solved? • Identifying & major stakeholders; • What are their roles and capacities?
- 59. PROBLEM ANALYSIS TOOLS Type of Analysis Illustrative Tool Stakeholder Analysis Venn Diagrams, Stakeholder Analysis Matrix, SWOT Analysis, Spider Diagrams Problem Analysis Problem Trees Force Field Analysis Mapping Objectives Analysis Objective Trees Alternatives Analysis Organize and Analyse information
- 60. Questions to Ask in Defining the Problem Who is causing the problem? Who says this is a problem? Who are impacted by this problem? Etc. Who What Where When Why How • What will happen if this problem is not solved? • What are the symptoms? • What are the impacts? • Etc. • Where does this problem occur? • Where does this problem have an impact? • Etc. • When does this problem occur? • When did this problem first start occurring? • Etc. • Why is this problem occurring? • Why? • Why? • Etc. • How should the process or system work? • How are people currently handling the problem? • Etc.
- 61. Work out what are the main Stakeholder Relationships Project Partners Beneficiaries Stakeholders Individuals or institutions that may – directly or indirectly, positively or negatively – affect or be affected by the project or program. Those who implement the projects (who are also stakeholders, and may be a target group.) Those who benefit in whatever way from the implementation of the project. Distinction may be made between target groups; final beneficiaries and indirect beneficiaries.
- 62. Generate an informal Venn Diagram Relevance to core project problems Not Powerful Close Powerful Remote
- 63. Venn Diagram - Stakeholders (From the perspective of fishing families)
- 64. Key Components of Issue Diagram Issues Hypotheses Key Questions Questions which need to be answered or topics which need to be explored in order to solve a problem Speculative answers for issues that are phrased as questions and/or areas of exploration for issue phrased as topics Questions that probe hypotheses and drive the primary research required to solve the problem
- 65. Objectives Analysis Stakeholder Analysis • Identifying & characterizing potential major stakeholders; • assessing their capacity Problem Analysis • Identifying key problems, constraints & opportunities; • determining cause & effect relationships Objectives Analysis • Developing solutions from the identified problems; • identifying means to end relationships
- 66. Alternatives Analysis Stakeholder Analysis • Identifying & characterizing potential major stakeholders; • assessing their capacity Problem Analysis • Identifying key problems, constraints & opportunities; • determining cause & effect relationships Alternatives Analysis • Identifying different strategies to achieve solutions; • selecting most appropriate strategy. Objectives Analysis • Developing solutions from the identified problems; • identifying means to end relationships
- 67. Stakeholder Analysis Matrix Stakeholder and characteristics related to the main project problems Interests and how affected by the project implementation problem Capacity and motivation to bring about change Possible actions to address stakeholder interests: ROM Report Recommendations
- 68. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 68 Key ROM questions How does the ROM process encourage participation? Does it develop capacity and equity? How does it empower people? How does it affect and take account of gender disparity? What indicators will you use to measure: Participation improved capacity Accountability empowerment sustainability?
- 69. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 69 Information required from ROM and M&E What significant difference/changes have been made to the lives of those involved? Are these sustainable? How have cross-cutting issues been mainstreamed (Human rights, gender equality, democracy, good governance, children’s rights, environmental sustainability, combating HIV/AIDS etc) Partnership, management and capacity building Participation of beneficiaries in M&E and their feedback Learning from the action, how this has been utilised and disseminated
- 70. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 70 Partnerships: Points covered: • The importance of relationships • Principles for partnership • Capacity building • Practical partnership issues • First steps • Formalised agreements with partners • Project management structures
- 71. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 71 Lesson learning and dissemination: Points covered: How to identify innovations and support lesson learning Means of dissemination of lessons learnt These will include: The project/sector/theme General development context for the innovation How work proceeded with partners Attributes of the best practices, innovation Features of the lesson or innovation that enable it to be widely adopted Limitations on the recommendation domains Programme management requirements Capacity building needs to ensure replication
- 72. Results Oriented Monitoring Review of Implementation of Projects and Programmes Financed by the European Union for the Latin American and Caribbean regions, including Cuba and OCTs 72 EU’s Communication & Visibility Manual for EU External Actions Contractors or implementing partners or international organisations should use their normal stationery in letterheads or fax headers sheets, but should add the phrase: "This project/programme is funded by the European Union" as well as the EU flag when communicating on matters related to the action. Graphic identity of the EU must enjoy an equally prominent place and size as that of the contractor or implementing partner