The ARC Integrated Planning Process

May 2003
Washington DC
Carol Puzone and Jackie Greene, Facilitators
 Introductions
• Group
– Name
– Position
– Expectations for workshop
• Facilitators
– Name
– Position
– Expectations for workshop
 Ground Rules & Format

• Timekeeping & Pace

• Daily agenda review
• Respect
• Agree to disagree
• Parking lot
 Workshop Objectives

Increase knowledge of:

Overall Process
Different Tools
Rationale
Existing Experience
Baseline for Institutional Capacity
 Workshop Topics

• ARC Integrated Planning Concepts and Context

• Components of Strategic Planning
• Planning for Strategic Planning
• Concept Paper Purpose and Template, Project
Hypothesis
• Project Design and Proposal
 Week Agenda
• Monday: Introduction, Overview, EOA
• Tuesday: Strategic Plan
• Wednesday: Problem Analysis, Concept Paper
and Project Design
• Thursday: Project Design Frameworks,
Indicators, M&E
• Friday: Quarterly Reporting, Proposal
Development, Next Steps, Closing
 Workshop Methods
• Presentations
• Brainstorming
• Small Group Exercises
• Plenary Exercises
• Q&A
• Discussions
• Daily Evaluations and Final Evaluation
• Pre/Post Workshop Assessments
 ARC Integrated Planning
• ARC has developed a uniform, integrated,
decentralized planning and project design
process
• Strengthen the alignment, management,
technical design and impact of all ARC projects
– Primary responsibility rests with field staff
– TA support and review by planning teams, TAPE,
HQ
• Senior management sign-off
 The Reasons for Planning

• ARC is changing its project areas and needs better

focus and consistency
• Desire for more effective projects
• Need for systematic monitoring and evaluation for
both relief and development, and
• Standard reporting for management and donors
 Intended Users and Roles

• ARC ISD regional and country field staff will lead

the process with support from HQ
• Participation of ONS and the communities they
serve in the integrated planning process is integral
• Different combinations will occur in different
settings depending on the situation and timing
within the overall IP process
 Filters

Needs Interests

Plans

Capacity Resources
 ARC ISD Core Competencies

• Emergency Response & Preparedness

• Public Health
• Food Programming
• Organizational Development
• International Tracing and Messaging
• Dissemination of International Humanitarian
Law & Fundamental Principles
 ARC Planning Alignment
Fundamental Movement Principles
ARC Corporate Mission, and Vision
ARC ISD Mission, and Vision

ARC Management Guidelines for International Activities

ARC ISD Core Competencies

ISD Business Plan

Regional and Country Strategic Plans

Project Planning
Estimating Time and Staff
Requirements
 Primary ARC Planning
Responsibilities
• Development:
– Region/Country
– Planning Team
– Others
• Approval:
– ARC HQ Senior Management
• Support:
– HQ and TAPE
 Planning Teams

• Planning teams consist of:

- members of the country delegation
- regional staff
- desk
- TAPE M&E
- other expertise as required
• Provide continuity and advocacy
ARC INTEGRATED PLANNING PHASE I

Part 1) Country Environmental and

Organizational Assessment (EOA)
Part 2) Country Strategic Plan
 THE PLANNING PROCESS

ENVIRONMENTAL SCAN
INTERNAL STRENGTHS AND WEAKNESSES EOA
EXTERNAL OPPORTUNITIES AND THREATS
MISSION AND VISION
PROBLEM ANALYSIS AND STRATEGIC GOAL STRATEGIC
PLAN
STRATEGIES AND STRATEGIC OBJECTIVES
STAKEHOLDER ANALYSIS AND BUY-IN
ACTION PLANNING
 Strategic Plan vs Business Plan

Program Impact ARC Tactical Strategy

Strategy
Strategic Goal Improved quality of Becoming leading
life provider of
comprehensive and
integrated relief
Strategic Objective Reduced morbidity Increased ARC
portfolio in disaster
preparedness and
response
Strategies Improved healthy Increased ONS
behaviors capacity as first
responders
 Program Impact Strategy
answers “What”
Business (Tactical) Strategy
answers “How”

How to bridge the gap?

WHEN
TO DO
AN EOA?
•WHERE WE HAVE AN ONGOING
PORTFOLIO
•WHERE NEEDS, INTEREST,
RESOURCES, CAPACITY INTERSECT
•WHERE THE ONS IS READY, WILLING
AND ABLE TO PARTNER WITH ARC
 PHASE 1, PART 1 - EOA
•AN EXAMINATION OF THE PHYSICAL,
SOCIAL, ECONOMIC, INSTITUTIONAL AND
ENVIRONMENTAL CONTEXT

•ASSESSMENT OF THE NATIONAL SOCIETY

•ASSESSMENT OF THE COMMUNITIES

SERVED

•ANALYSIS AND RECOMMENDATIONS

 AN EOA CONTAINS:
MAP
BASIC INDICATORS
COUNTRY OVERVIEW & COMPARISON WITH REGION
NATIONAL SOCIETY OVERVIEW
LEGAL CONTEXT FOR ARC/NGOS
HISTORY OF ARC INVOLVEMENT
SECTORAL SUMMARIES
SECTORAL ANALYSIS AND RECOMMENDATIONS
DONOR SCAN
PARTNERSHIP SCAN
EOA: DATA
SOURCES
• ARC STRATEGIC PLAN
• ISD BUSINESS PLAN
• ISD MISSION AND VISION
• CAS OR ONS STRATEGIC
CONSULT : PLAN
• PARTNERSHIP PROFILE
• WEB-BASED REFERENCES:
UN, MINISTRY STATISTICS,
USAID PUBLICATIONS,
WORLD BANK, WHO
• DATA TABLES CAN BE
DONE FOR YOU
 EOA SECTORAL CHECKLISTS

 Food Programming/Agricultural Recovery

 Water and Sanitation
 Health
 Organizational Development
 Disaster Prevention and Preparedness

? Customize or no?
 EOA ANALYSIS AND
RECOMMENDATIONS
•What do the data tell us?
•Where do the needs interests, resources and capacities
converge?
•Do the needs match our core competencies?
•Are the recommendations within our manageable
interest?
•Do the recommendations match the ONS strategy?
•Does this adequately represent the country?
•Are the recommendations actionable?
 TOOLS FOR EOA ANALYSIS

• Data: Trend Analysis, Regional Comparison

• NIRC Filter
• SWOT
 EOA and SWOT Analysis

EOA brought needs and resources to the forefront

SWOT concentrates on interests and capabilities

NEEDS: Data, Country background

INTEREST: SWOT, ONS and ARC strategic priorities
RESOURCES: Donor and Partner scans
CAPACITY: SWOT, Core Competencies, ONS
profile
Strengths, Weaknesses, Opportunities,
and Threats (SWOT)

• Internal (ARC/ONS) Assessment

– Organization Strengths
– Organization Weaknesses

• External Assessment
– Opportunities
– Threats
 OPPOSITES

Strength : Weakness
Opportunity : Threat
• Internal/External
• Point of Origin (?)
 External Opportunities and Threats

• External Forces Can Comprise both

Opportunities and Threats:
– Economic
– Social, cultural, demographic, environmental
– Political, government, legal
– Technological
– Competitive
SWOT STRENGTHS vs WEAKNESSES
(Opposites)

BRAINSTORMING EXERCISE
WHEN ARE THESE A STRENGTH OR A WEAKNESS?

Staff capabilities
Financial resources
Management systems
Office facilities and equipment
Stakeholders’ perceptions
Program impacts on participants
Programs via cost/benefit analysis
Previous programs
Organization’s reputation
Program fit with core competencies
 SIMILARITIES

Strength : Opportunities
Weakness : Threat
• Internal/External
• Point of Origin
SWOT STRENGTHS vs OPPORTUNITIES
(Similarities)
Strength = ARC or ONS capacities or abilities

• Strong volunteer base

• Red Cross societies world-wide uniquely
positioned as major NGOs with country-wide
reach and strong direct links to the
community.
• Core competency in relevant technical area
• ONS has strong reputation in the region
Opportunity = changes in external conditions
Examples:
• New AIDS treatments available
• Government policy shift
• High HIV prevalence in the region
 EXERCISE
WHAT AFFECTS ARC PROGRAMMING?

O Team = Brainstorm Opportunities for ARC

Programming
T Team = Brainstorm Threats against ARC
Programming
WHEN TO
DO A
STRATEGIC
PLAN?

• EOA Analysis
• go/no go decision

How is this decision made?

 PHASE 1, PART 2 -
COUNTRY STRATEGIC PLAN

The process for defining the

organization’s desired
outcomes and for creating a
road map to achieve them
 Remember...

MISSION AND VISION

PROBLEM ANALYSIS AND STRATEGIC GOAL STRATEGIC
STRATEGIES AND STRATEGIC OBJECTIVES PLAN
STAKEHOLDER ANALYSIS AND BUY-IN
ACTION PLANNING
Mission and Vision Statements
• Mission Statement: What is our
business?
• Vision Statement: What do we
want to become?
• REMEMBER that these are ARC’s
Mission and Vision statements for
that country, not the ONS’
 Mission Statement

• Describe values and priorities

• Becomes part of the organization’s overall
vision
• Mission statements should address:
- Who are we?
- What do we do?
- For whom do we do it?
- Why do we do it?
 Mission Statement
• A Good Mission Statement May also
Identify and/or Reflect:
– National Society Partner Mission and Vision
– Services
– Geographic operating areas
– Concern for growth and development
– Dedication to quality
– Philosophy
– Self-Concept
– Concern for public image
– Concern for employees
 Vision Statement

• Broadly chart future directions

• Beneficiary selection and rationale
• Answer the question: ‘What do we hope
ARC will look like in the region/country
after the next three years?’
 Plenary Exercise:
ARC International Services Division
Vision Statement Critique

“Our vision is to transform ISD into one of the

nation’s most respected providers of high
impact relief and sustainable development for
vulnerable people around the world.”
 Beneficiaries, Clients, Customers…

Who are they?

Are they the same people?
How do they affect our Mission and
Vision?
 Stakeholder Analysis

• Stakeholder: Any person, group, or

organization that can place a claim on an
organization’s attention, resources, or
output, or is affected by the output.
 Purposes of Stakeholder Analysis
• Identify beneficiary needs, capabilities, and interests
• Identify non-beneficiary groups that have an interest in
ARC, the project, or in the outcomes
• Understand potential opportunities and threats to the
project implementation or results
• Determine the extent to which different groups should
participate in ARC planning
• Design and implement more responsive and sustainable
long-term plans and projects that better achieve their
aims
 Example (Central Asia)

• (Insert example here)

Regional/Country Strategic
Goal and Objectives
 PROBLEM ANALYSIS AND STRATEGIC GOAL

Region/Country Problem Theme:

the broad, central negative human condition in the region or
country
Strategic Goal:
Improvement in the central negative human condition in the
region or country
Strategic Objective:
A significant outcome that can be achieved or towards which
substantial progress can be made, which contributes directly
and credibly to the accomplishment of the Strategic Goal.
 Example

Problem Theme: Excessive childhood

morbidity rates in northwestern region

Strategic Goal: Reduced childhood

morbidity in northwestern region of
Country x

Strategic Objective: Increased use of

healthy behaviors
Selecting the Problem to Address

Problem to
Community target
Interest

Operating
National Stakeholders
Society

American Red
Cross
 Problems, Causes, and Consequences
• Problem – A specific negative situation related to the
human condition:
Note: this is not the absence of a solution.
• Cause – Underlying factor(s) that exist in the
household, community, organization, or external
environment that contribute to or cause the problem.
• Consequence – Social, environmental, political or
economic condition(s), usually negative, that result
from the problem.
 The Program Hypothesis:
The Relationship between the Problem Analysis and the
Program Hierarchy

PROBLEM GOAL

Then Then

CAUSES OBJECTIVES
If If
Turn the Problem/Causes into Goal/Objectives
Characteristics of a Good Objective Statement

•Statement of a result - not an activity or

process
•One, unidimensional, result - not a
combination of several results
•The
: result is measurable and objectively
verifiable
 Example

Goal: Increased Use of Voluntary

Reproductive Health Services

Strategic Objectives:

1. Decentralized community based health

care improved.

2. Expanded Access to quality

reproductive health services.
 Strategic Objective

“Reduced incidence of AIDS through

increased condom use”

Critique:
Is this phrased as a result?
Is it unidimensional?
Is it measurables and objectively verifiable?
 Better:

Reduced Incidence of AIDS

Increased Condom Use

 Small Group Exercise:
Formulating Regional/Country Strategic
Objectives
• Review EOA for Indonesia
• Identify the Problem Theme to be addressed in
your Strategic Plan
• Define a Final Goal that is the flip side of the
Problem Theme
• Develop Strategic Objectives that will lead
ARC/ONS to having the capacity to (contribute
to) achieve the Strategic Goal
 SWOT, Step 2

In EOA we used SWOT to

generate a list of Strengths,
Weaknesses, Opportunities and
Threats
In Strategic Plan we will use that
list to generate strategies
 Generation of Sectoral Strategies
through Use of the SWOT Matrix
Strengths – S Weaknesses – W

List Strengths List Weaknesses

Opportunities – O SO Strategies WO Strategies

List Opportunities Use Strengths to take Overcome weaknesses

advantage of by taking advantage of
opportunities opportunities
Threats – T ST Strategies WT Strategies

List Threats Use strengths to avoid Minimize weaknesses

threats and avoid threats

Source: Fred R David, Strategic Management Concepts and Cases, 7th Edition, Prentice Hall, 1998
 Example Use of SWOT Matrix:
Wat/San Strategy in Country X
Opportunities – O
1. High morbidity, mortality
due to unsafe water
2. Low awareness of
sanitation and hygiene
Threats – T
1. Donors favor Africa
2. Host govt priority is on
military spending
3. Donor funding primarily
for projects in the Capitol
City
Strengths – S Weaknesses – W
1. Expertise, experience in 1. High staff turnover
water/sanitation projects 2. No geographic focus in-
2. Long history working in- country (too dispersed)
country
SO Strategies WO Strategies
1. Focus on water and 1. Develop projects with
sanitation projects partners
2. Incorporate sanitation and 2. Propose sanitation and
hygiene education hygiene education training
interventions into projects throughout country
ST Strategies WT Strategies
1. Advocate the need for 1. Strengthen geographic
water and sanitation focus
projects in rural areas 2. Reduce staff turnover
2. Develop proposals for 3. Develop proposals for
water and sanitation Capitol City projects
projects in Africa
Criteria for Selecting the Best Strategies
• Technical
– Better match to ARC filters
– Use of local resources
– ONS capacity-strengthening
• Financial
– Costs
– Cost-effectiveness
– Financial sustainability
• Social
– Distribution of benefits
– Gender issues
– Local involvement
• Environmental
– Environmental impacts
Planning for
The Plan
 Plan for the Strategic Plan
• Develop Outline
• Determine Roles and Responsibilities among Key Stakeholders
and levels of participation
• Develop Timetable for Milestones & Completion
• Hold Strategic Planning Workshop
• Draft Strategic Plan
• Review and Revise
• Present the Strategic Plan to All Stakeholders
• Review and Revise
How to Manage the Strategic Planning
Process

How much time will it take?

What resources will you need?
What will it look like when it’s done?
How will progress be measured?
 What happens next?

• Uses for a Strategic Plan

• Audience for a Strategic Plan
• Abuses of a Strategic Plan
 ARC Integrated Planning
Phase II: The Concept Paper
 Concept Paper

• Shift from country to project level (first filter)

• Brief description of a potential project
– Identified needs
– Organizational capacity to address
– Primary problem, causes, consequences
– Proposed interventions
• Based on one strategic objective (second filter)
• Potential for multiple donor audiences
 Concept Paper

• Precedes detailed project design

• Two primary stages of preparation
– Use Phase II Checklist to collect data for secondary
needs analysis and developing the project hypothesis
– Concept Paper preparation
• Role of Planning Team
• CAC Process
 Sample Hypothesis

IF mothers are educated on the nutritional

value of feeding leafy green vegetables to their
children AND they grow such produce in
home gardens AND they feed these vegetables
to their children, THEN children’s dietary
intake will improve, THEREBY contributing
to reductions in childhood malnutrition
 Hypothesis Validity Testing
• Validity of hypothesis rests on the interventions
actually addressing problem causes
• Validity can only be confirmed or refuted at final
evaluation of project
• Tests to help determine if hypothesis likely to be
true for your project:
– What is the applicable industry standard?
– What is locally recommended by others who may
be involved in this geographic and sectoral
area?
– What is recommended by donors?
– What does the evaluation research indicate?
 Small Group Exercise:
Creating a Project Hypothesis

• Review the ARC Needs Assessment Case Study

• Determine the central problem to be addressed and
the primary causes
• Create a project hypothesis that in the if/then
format & meets the necessary and sufficient
condition
 Concept Analysis Committee (CAC)

• Planning team integrally involved with both

preliminary design and advocacy
• Purpose is to review the initial design
• Additional regional/sectoral expertise
brought in for review
• Go/no go decision made to proceed with
proposal
 ARC Integrated Planning
Phase III: Project Planning and
Design
If you don’t have the time to design
it right, where are you going to find
the time to design it over?
 Definitions

Project – A set of activities linked by a common

goal/objectives that are sector and geographic
specific

Program – The total sum of multiple projects and

activities that impact the same sectoral or
geographic area.

Project Management - The definition, planning,

scheduling, controlling, monitoring, evaluating,
and reporting of project activities to meet project
objectives.
 Phase III Implementation Steps
1. Review applicable EOA, Strategic Plan, and Concept Paper
2. Conduct community-based needs assessment
3. Develop participatory project design based on assessments
and preceding documentation
4. Draft proposal from concept paper with planning team
5. Submit proposal to Proposal Assessment Committee (PAC)
and incorporate PAC comments
6. Submit to Senior Management for review, approval
7. Submit approved proposal to donor(s) in required
format
 Phase III Outputs
1. Project Assessment Report
– Summary of community based needs assessment findings,
recommendations (this is an internal document for the
delegation/desk, so that you can keep track of how decisions were
made)
2. Project Design
– Results of the project design process (this should result in the
logframe or results framework, but can provide background
information on how decisions were made that doesn’t need to be
in the proposal itself)
3. Proposal(s)
– Proposal, in required format, ready for submission to ARC
– Submit to external donor(s)
 Brainstorming

Why Do Projects Succeed?

Why Do Projects Fail?

 Why Projects Succeed
• Fully participatory design process was used
• Clear specifications for interventions and schedules
• Application of lessons learned from past projects
• Project implementation stuck to the original design
• Clear, unambiguous measurable indicators were used
• Project goal and objectives were sustainable
• Regular, planned monitoring and evaluation
• Regular community feedback
• Consistent management oversight and use of available information from
monitoring and community feedback to make adjustments
• Use of a baseline survey that was consistent with later evaluations
• A formal, systematic project design process was used
 Why Projects Fail
• Stakeholders not involved in the design process (no buy-in)
• Unclear specifications for quality and quantity of deliverables or time, inputs,
activities outputs, and outcomes not logically connected
• No use of lessons learned from past project failures and successes
• Unanticipated and/or ad hoc changes made to the original design
during the life of the project without proper management and community input
• Indicators are faulty, missing, ambiguous or simply not measurable
• Sustainability not considered in project design
• Progress in achieving the project’s objectives is not measured and reported
• Lack of management oversight
• Minimal or no community feedback
• Lack of a baseline survey from which to measure changes
over the life of the project
• A formal project design process not utilized
 Project Design

• There is no universally agreed upon

methodology for designing projects
• Every experienced designer has her/his
methods
• Many designs represent sectoral standards
• There are, however, standards, logical stages,
and steps to use as guidelines
• Project Design is both an Art AND a Science
 Project Design Steps
• Perform Context and Needs Assessment
• Determine Problem, Causes, and Consequences (the
problem tree)
• Prioritize Causes and Consequences to be addressed
• Use Problem Analysis Tools to identify leverage
points
• List possible interventions
– Use Project Hypothesis
• Prioritize and select the interventions
• Develop the Project Logframe/Results Framework
• Develop M&E Plan
• Develop workplan and budget
 Assessment vs Design

Assessment : problem, cause,

and consequence identification

Assessment work explores the breadth

of problems and opportunities and looks
for synergistic relationships.

Project design explores the

Design: analysis
depth of causal relationships using
identified problems and target groups.
 Why do an assessment?

• Provides current information on target

area and its context
• Incorporates community participation
from the start
• Helps identify partnerships
• Refines problem tree
 Assessing the Situation
• Strategic Objective & Manageable Interests
• Project Operating Environments
• Context Assessment
• Needs Assessments
• Identifying Appropriate Problems/Opportunities
– EOA Assessments (macro level- country, region)
– Needs Assessments (micro level - local project area)
• Project Level SWOT Analysis
 Project Operating Environment

Consists of elements that describe the project’s setting

and context and can affect the success of the project:
– People: numbers, relationships, ages, gender
– Environment: natural environment, agroecological zone,
climate, resources, major crops, livestock
– Infrastructure: roads, schools, hospitals, water, sanitation
– Human/Material resources: education level, labor pool
– Beliefs/practices: cultural, religious, political, social
– Economics: wealth, distribution, sources
– External Institutions and Policies: government, donors, NGOs,
PVOs, other
 Context Assessment Methods

• Institutional Assessment: Analysis of institutional

capabilities to implement specific activities and
absorb project inputs
• Participatory/Rapid Rural Assessment: Based on the
idea that rural communities and households are
capable of analyzing their own constraints and
arriving at solutions
• SWOT Analysis: Uses brainstorming to determine
Strengths, Weaknesses, Opportunities, and Threats
of a project idea
 Context Assessment Methods (cont’d.)

• Stakeholder Analysis: Analyzes the characteristics,

roles, and responsibilities of individuals and
institutions expected to contribute to or benefit from
a project
• Gender Analysis: Focus is on gender roles, rights,
responsibilities that affect gender access to resources
and how these may impact the project
 Needs Assessment
(Communities and ONS)
Used to gain an appreciation of the needs and priorities
expressed by communities or households and as observed or
measured by external assessors.

Felt Needs:
– Needs based on beneficiaries’ perceptions and attitudes.
Relative Needs:
– Need in the project area in comparison to the same need in other
communities, locations, or even points in time.
Normative Needs:
– Professional, expert, or policy judgement regarding desirable conditions.
 Mediating Different Types of Needs

• Transparency
• Prioritization
• Participation
• Strategic Plans
• Partnerships
 Problem Analysis

A systematic process used to

determine causes and consequences
of a problem and to link them based
on cause-effect relationships.
 Problem Analysis, Again

• Determining problems, causes,

consequences (the problem tree) is
equally important at the project level as
for a larger strategic plan
• Balancing a needs assessment with a
project problem tree helps prioritize
which causes we can address
Selecting the Problem to Address

Problem to
Community target
Interest

Operating
National Stakeholders
Society

American Red
Cross
 Phrasing Problem Statements

Problem statements must explicitly include:

• The population the condition is affecting
(Who)
• The condition the project intends to address
(What)
• The location of that population
(Where)
 Problems, Causes, and Consequences
• Problem – A specific negative situation related to the
human condition
Note: this is not the absence of a solution.
• Cause – Underlying factor(s) that exist in the
household, community, organization, or external
environment that contribute to or cause the problem.
• Consequence – Social, environmental, political or
economic condition(s), usually negative, that result
from the problem.
 Problem Analysis Hierarchy
Consequence Consequence

Problem

Condition Condition

Behavior Behavior

Knowledge Attitudes Beliefs

Problem Tree Analysis

Co Co

C C
Assessing and Interpreting Problem Trees
 Is each cause-effect link logical? Are they necessary and
sufficient?
 Can causes be identified at each level in the problem analysis
hierarchy?
 What is the relative contribution of each causal stream to the
problem? How might this affect the ability to achieve impact?
 Do some factors appear as causes in more than one causal stream?
Which ones are they, and what is the significance of this?
 Use this information to help decide which causes should ultimately
be addressed? What should the criteria for this decision be?
 Two Part Small Group Exercise:
Differentiating among Problems, Causes and
Consequences
I Determine what you believe to be the problem (P), causes of
the problem (CA), and consequences of the problem (CO).
There is only one problem.
1. Most people in the village have a very low income.
2. Men and older children have access to more nutritious
food than women and young children.
3. Most children in the village are malnourished.
4. There is no nutrition education program in the village.
5. Young children become susceptible to infectious disease.
6. Many of the men buy alcohol instead of food for the
family.
7. Children do not develop normal cognitive skills.
II Create a Problem Tree
 Intervention Strategies

• Interventions are based on the selection of specific

Causal Streams (development) from the Problem Tree
or on specific consequences of the problem
(emergency relief) to address
• Intervention options must satisfy the Project
Hypothesis
 Intervention Strategy

Partnering with
ONS, other
NGOs
Donor Interest

Best
Past Interventions
Experience,
Core
Competency Community
Needs
Synergy or Leverage
 Intervention Options Example:
Reduce Malnutrition
Problem: High levels of childhood malnutrition
Cause (one of many): Inadequate diet provided to children
Possible Interventions:
 Community-based nutritional education for young mothers
 Billboards and radio spots promoting proper nutrition
 Promote high yield sustainable agriculture practices
 Distribute agricultural inputs
 Physical growth monitoring and counseling
 Direct food distribution
 Income Generation Activity (IGA) promotion
Reconfirm/Adjust the Project Hypothesis
• In the course of defining various interventions
and selecting the ones to implement, you may
have changed the original project concept
• In order to confirm that the project hypothesis is
still satisfied, restate the hypothesis in terms of
the new interventions and reconfirm that it is still
valid
• At this point we have set the stage for designing
our project
 Project Hierarchy:
ARC Terms and Definitions
GOAL:
Sustainable improvements in human conditions or well-being
OBJECTIVE:
Changes in utilization/behavior/practices, household resources
OUTPUT:
Results of project interventions, i.e., sets of activities

ACTIVITY:
Actions carried out as part of an intervention

INPUT:
Resources used by an intervention
 Project Goal
• The ultimate aim or purpose of the project, written to reflect a
sustainable improvement in human conditions expected to take place
in a target group.
• The goal presents the anticipated improvements in some aspect of the
lives of the target population, and it describes what you expect the
project setting to be like after interventions have been completed.
• Note that the Goal may not be fully reached during the life of the
Project, but it must be measurable
• The Goal can be constructed as the inverse of the problem
 Objectives
• Objectives should reflect the intended changes in
systemic conditions or behaviors that must be
achieved in order to accomplish the goal.
• Their statement should indicate what behaviors and
practices will change, and how and when foreseen
systemic, and/or behavioral changes will take place.
• Achievement of objectives must be verifiable at some
point during the execution of the project.
• To support a sustainable project goal, objectives
should continue to be met even after project end.
 The Project Hypothesis:
The Relationship between the Problem Analysis and the
Project Hierarchy

PROBLEM GOAL

Then Then

CAUSES OBJECTIVES
If If
Interventions must be selected that address Causes
that lead to Objectives that satisfy the Project
Hypothesis
 Outputs

• The results of project interventions

• Developed for each objective
• The set of all outputs for an objective
must be necessary and sufficient for the
achievement of that objective
 Activities

• Actions carried out to produce the

desired intervention outputs
• Set of activities must be necessary and
sufficient to achieve the output
• “What the project does”
 Inputs

• Resources used to implement activities

 The ARC Project Hierarchy
and Short-Term Projects
• Project Hierarchy is generally intended for
projects of three or more years
• This hierarchy is still appropriate for
projects of less than two years’ duration
– Expectations must be suitably adjusted
– Behavior changes may require more time
• Exceptions include managed behavior
– Mass immunization campaigns
– Food distributions
 ARC Project Parameters

Project < 18 Month 24 – 36 Month 36+ Month

Component Projects Project* Project
Goal Utilization/Behavior/ Condition Change Condition Change
Practice
Objective Knowledge Utilization/Behavior/ Utilization/Behavior/
Attitude/Belief Practice Practice
Availability of
Systems/Services
Access to
Systems/Services
Skills
Outputs Completion of Knowledge Knowledge
Activities Attitude/Belief Attitude/Belief
Availability of Availability of
Systems/Services Systems/Services
Access to Access to
Systems/Services Systems/Services
Skills Skills
 Logical Frameworks (Logframes)
• The Logframe contains a summary design of the project, the
Variable Hierarchy, and the variables needed for project monitoring
and evaluation
• First column of the logframe
• A Project Logframe:
– Is based on the EOA, Strategic Plan, Needs Assessment (implicit), and
Problem Analysis (explicit)
– Provides a formal structure for defining necessary project parameters
and their hierarchical and quantitative relationships for M&E purposes
– Provides the basis for defining the data elements to be collected for
Monitoring and Evaluation purposes
– Supports development of the M&E Plan
ARC Logframe Format
Good Results Frameworks Must Show
Logical Consistency
 Linkages between Outputs, Objectives and Goal
are causal in nature
 Logical relationships between Outputs,
Objectives and Goal are direct and clear--where
Objectives are lower-level results which
contribute to the Goal
 Objectives include key partner as well as ARC
project results
Difficulties in Formulating Sound
Results Frameworks

 Ensuring that they embody causal logic

 Assuring sufficiency, necessity, and flexibility
 Identifying results vs. activities and processes
 Identifying and honestly assessing critical
assumptions, especially “killer” assumptions
 Using linear graphics to depict complex cause-
and-effect relationships
W hy? Goal
Wh at e ls e ?

Assuming wh at ?

Objec t ives
Wh at e ls e ?

Assuming wh at ?

Out put s
 Wh at e ls e ?
Act ivit ie s
How?
Project Results Framework

 Presentation of Goal, key Objectives and Outputs and

the cause-and-effect linkages between them
 Identifies all Objectives necessary to achieve the Goal
regardless of who is taking responsibility
 through ARC project
 through other development partners
 As part of the Strategic Plan, it illustrates the
Operating Unit’s development hypothesis
Results Framework

 Provides the basis for performance indicators

and targets
 Serves as a management, assessment and
reporting tool
 Shows integration of results from other
partners where appropriate
 Result s Fr amewor k gr aphic
ISD Goal
Regional Strategic Objective

Go al [Cond it ion Ch ange]

Generally not measured

Ob jectiv e Ob jectiv e
[Intended MeasurableChan gein [Intended MeasurableChan gein
Uti lization /Behavior/ Pra ctice] Uti lization /Behavior/ Pra ctice]
Key In dicator(s): Then Key In dicator(s):

If t his
and and
Ou tp ut Ou p ut Ou tp ut Ou tp ut
[Intended MeasurableChan gein [Intended MeasurableChan gein [Intended MeasurableChan gein [Intended MeasurableChan gein
knowledge, atti tudes, beli efs, availabilit y knowledge, atti tudes, beli efs, availabilit y knowledge, atti tudes, beli efs, availabilit y knowledge, atti tudes, beli efs, availabilit y
ofservices, accesstosystems/services] ofservices, accesstosystems/services] ofservices, accesstosystems/services] ofservices, accesstosystems/services]
Key In dicator(s): Key In dicator(s): Key In dicator(s): Key In dicator(s):

What changes/ r esults are necessary and Causal r elationships between results neednot always be strictlyhierarchical; i.e. , an
sufficient toget to the next “higher” level ? objective on one “level” can contribut e to the achievement of an object ive on two or mor e
How do you achieve the “higher” level of results ? “levels .”
 Plenary Discussion:
Advantages and Disadvantages of
Logframes and Results Frameworks
 Indicators
•An Indicator is a measurement used to
determine the degree or extent to which an
objective has been achieved, change has
occurred, or an intervention target reached.
•Indicators can be used to measure progress
for both outcomes and outputs
•Indicators are the variables that are measured
to determine the extent to which the project
interventions are producing the desired outputs
and having the desired outcomes
 Characteristics of Good Indicators

Technically Feasible Capable of being assessed (or ‘measured’ if they ar

quantitative).

Reliable The indicators should be verifiable and

(relatively) objective.

Relevant Directly linked to the project objectives, and to

the appropriate levels in the hierarchy.

Sensitive Capable of demonstrating changes in the

situation being observed.

Cost Effective Worth the time/money it costs to collect and

analyze data and apply the results.

Possible A measurement tool exists already or can be

developed by the project team
Timely Possible to collect and analyze the data
reasonably quickly.

Ethical/Acceptable The collection and use of the indicators

acceptable to the communities (target
populations) providing the information.
Example of an Food Aid/Food Security Goal,
Objective and Related Indicators
GOAL: Improved nutritional status among project
beneficiaries (by 2005).

OBJECTIVE: Improved dietary intake among project

beneficiaries (by 2005).

INDICATORS:
• Average number of different food groups represented by foods
eaten by beneficiary families in the last 24 hours
• Average number of meals eaten by beneficiary families in the last
24 hours
•Average number of times vegetables were eaten by beneficiaries last
week
 Example of an OD Goal, Objective
and Related Indicators
GOAL: Increased numbers of beneficiaries participating in
projects by increasing the financial capacity and sustainability
of the ONS by 2005.

OBJECTIVE: Increased total revenue of the ONS by 2005.

INDICATORS:
• % of branches that have increased their total revenue by at least 35% by
2005
• % of branches that by 2005 have received revenue in one year from at
least three different sources
 Examples of Poor Indicators

• Incidence of malaria, cholera, typhoid,

tuberculosis, and HIV/AIDS
• Number of students passing national
examinations at all levels
• Costs incurred by households for health
care, education, potable water and
transport
• Increase in GNP
 Indicator Targets

Sample Indicator Targets:

Indicator Targets
Immunization Coverage
are expected values Year % Children <1
or levels of Baseline* 50
Midterm 65
achievement at Final 85
specified points in
time. * Measured
INDICATORS AND TARGETS ARE USED AT EACH POINT
ALONG THE PROJECT HIERARCHY

GOAL Mortality rate for children

under 5 yrs
(x children per 1000 by (date))

OBJECTIVE Immunization coverage

(y % of children under 1 yr
fully immunized by (date))
% of caretakers who know
OUTPUT
immunization schedule
(z% of caretakers by (date))

ACTIVITY % of caretakers trained

about immunization
(w% of caretakers by (date))
INPUT Number of training brochures
provided
(Q training brochures by (date))
 Technical Characteristics of
Good Targeted Indicators:
• Specific Is it clear in terms of what, how, when, where the situation
will be changed?
• Measurable Are the targets measurable (for example, how much
of an increase or how many people)?
• Area-Specific Does the statement delineate an area (village,
province, agricultural zone) and/or a population group (sex, age,
occupational group)?
• Realistic Is the project able to obtain the level of involvement and
change reflected in the indicator target statement?
• Time-bound Does the statement reflect a time period in which it can
reasonably be accomplished?
 Indicator Verification

The logframe describes how the indicators will be

objectively verified (the results framework does
not, but its accompanying performance
measurement plan will)
– Measurement Method
– Data Source
– Data Collection Frequency and Agent
 Assumptions
(Logframe Column 4)

Assumptions -- Conditions important for the

success of the project but beyond its control.

You can determine the relevant assumptions by

asking the question: “What conditions must
exist to achieve each level of the variable
hierarchy?”
 Formulation of Assumptions

Assumptions should be formulated as:

1. Desirable, positive conditions
2. Linked to each level of the project
hierarchy
3. Specific issues
4. Capable of being monitored by the project
5. Critical assumptions only (showstoppers)
 Why are M&E Important?

How can we be sure of our performance if

we don’t measure it? Knowing we do good
work isn’t enough, for us, for our partners,
for our beneficiaries. And it absolutely
isn’t enough for the donor community!
Integrated Monitoring and Evaluation

Monitoring and Evaluation are together the

necessary and sufficient elements for proper
measurement and reporting. We can define
these separately, but they are part of a larger
system of performance measurement and
project management.
 Integrated Monitoring and Evaluation

Monitoring
– Tracking progress towards achievement of outputs and
objectives
– Tracking basic information about the interventions over
the life of the project
– Providing management and the communities with
status updates on that progress and necessary actions
– Ongoing oversight of project implementation
Integrated Monitoring and Evaluation

Evaluation
– Assessing progress towards reaching the
project impact (goal) and objectives
(outcomes) over time in comparison with the
baseline
– Assess the outcomes and impacts of project
interventions over time in comparison with
the baseline
What Are (some of) the Key Questions?
• Monitoring:
– Determine whether or not the project is doing
what it proposed to do; i.e., has the project met its
contractual obligations? Is it within budget and on
schedule? Are the planned outputs being produced?
• Evaluation
– Address whether or not the project is having the
desired impacts and outcomes; i.e, what
difference has the project made in the lives of the
beneficiaries?
 Monitoring and Evaluation Supports
Better Management Decisions

Graphic from: Results-Based Management in CIDA: An Introductory Guide to the Concepts and Principles, Canadian
International Development Agency, 1999
Proposed ARC Evaluation Guidelines

• All projects must report on achievement of

expected results
• Projects of 36+ months must plan for a
midterm review
• Projects of 36+ months must have an external
evaluator as part of the evaluation team
• Projects of $2,000,000 or more, regardless of
timeframe must have an external evaluator
as part of the evaluation team
 M & E -- Evaluation Planning Schedules*
Baseline Evaluation: Assessment of a selected set of indicators
before the initiation of project interventions.

Periodic Review: Internal assessment of progress and performance

of the project over successive quarterly/biannual/annual periods.

Mid-term Evaluation: Assessment of project performance in the

interest of making mid-course corrections.

Final Evaluation: Assessment of outcomes and impacts generated

by the project as well as its cost-effectiveness.

Ex-post Evaluation : Study of sustainability of project results on

the target population after project termination.
* Project design and duration dictates which of these are applicable
 M&E Plan
• M&E Plan is part of the Project Design
• A systematic plan for the collection, entry, editing,
analysis and interpretation of all data needed for
monitoring and evaluation purposes
– Resources, Activities, and Outputs
– Outcomes
• The M&E Plan will help to refine the logframe/results
framework & performance measurement plan and
will ensure realistic expectations for the project
 Criteria for Good M&E Plan

• A Good M&E Plan needs to be managed

• M&E planning should be a participatory activity
– Beneficiary involvement and consensus is critical
– Consider donor M&E reporting requirements
• M&E planning should involve ALL project
stakeholders
• The M&E plan should be used & refined as needed
 ELEMENTS OF MONITORING
AND EVALUATION PLANS
• Design Framework
• Indicators
• Targets
• Key Questions (Evaluation only)
• Data Needed
• Data Source(s) and Method(s)
• Frequencies, Schedules, and Duration of Collection
• Person(s) Responsible
• Data Analyses and Reports
• Dissemination
• Projected Utilization (By ALL Stakeholders)
From Project Design to Proposal
 Project Design vs Proposals
Design Proposals
Process to identify Documents the results of a
problems/needs and to design process.
strategize solutions.

Involves a multidisciplinary Written by a few staff

team and multiple stakeholders. members.

Idea-driven, creative process Emphasizes clear concise

communication

Language and format Language and format

determined by design team. determined by donor.

Detailed Logframe, M&E Plan, Basic Logframe

and worksheets

Some consideration of Detailed schedules and

schedules and budgets budgets.

One project design Design concepts can yield

 Project Designs vs Proposals

A project proposal is
NOT
a valid substitute for a project design
 Preparing an ARC Proposal
We are part of a unique Movement. Make sure our proposals emphasize that
comparative advantage!
Tips for preparing your proposal:
• Plan ahead and allow sufficient time to do it right
• Build on the concept paper process
• Keep to a manageable project design – use the structured design process
• Ensure that the budget and schedule are realistic
• Assign roles and responsibilities to proposal team members
• Ensure ONS participation and partnership with ARC
• Be factual and specific, using clear, concise language
• Clarify project roles and responsibilities with Partners before you submit
your proposal
 Preparing an ARC Proposal

• Use action words to create a sense of power and

energy
• Ensure that the Proposal fits the funding
requirements
– Stay within eligibility requirements of the Grant
– Don’t ask for things outside the Grant
• Follow all Proposal directions precisely:
– Donor’s content and format requirements
– Section page limits
– Number of copies
 ARC Proposal Template
I Executive Summary
– Brief summary of background, need for project
– Key points in proposal
– ARC comparative advantage, strengths
II Introduction/Country Overview/Assessment Findings
– Summarize Planning Phases I and II
– Target area selection, primary needs
– Differences from design
IIIOverview of Target Area
– Context assessment (especially in comparison with region or country)
– Further identification, confirmation of needs
– Clarification of the problem analysis done in the design work
IV Project Goal, Objectives, Interventions, Critical Activities
– State the Project Hypothesis
– Variables from project design and/or logframe/results framework
 ARC Proposal Template (cont’d.)
V Information on Beneficiary Population
– Estimates of target population by area, by gender, by age (use what is
relevant to the design)
VI Description of Implementing Partners
– Organizational background and qualifications of ARC
– ONS capacity and qualifications
– Relevance of project to each implementing partner (ARC, ONS, host
government organization, other PVOs)
– Past performance of each partner in this sector/intervention area
– Partner responsibilities
VII Coordination
– Supplement/substitute/complement other projects
VIII Detailed Training Plan (if applicable)
 ARC Proposal Template (cont’d.)

IX Major Challenges
– Major challenges and risks to achieving objectives, goal
– Project plans to overcome challenges and risks
X Monitoring and Evaluation Plan
– Logframe/results framework
– Monitoring plan to link outputs, activities, budget
expenditures on (at least) quarterly basis
– Plan for determining whether desired outcomes (goal,
objectives) are being met
– How this information will be used to improve project
performance
XI Capacity Building
– Capacity needs of implementing partner(s)
– Capacity needs of ARC as a supporting partner
 ARC Proposal Template (cont’d.)
XII Sustainability
– Project components to be sustained after end of project
– Sustained components: financial, organizational, service delivery
XIII Project Team
– Project organogram
– Key staff CVs, project responsibilities
XIV Relevant Experience
– ARC experience in the same sector, interventions,
– ARC experience with project partners
XV Project Price/Budget
– Detailed cost projections and annotations
– Addresses personnel, operations, travel, consultants, misc
 ARC Proposal Template (cont’d.)

XVI Schedule
– Project timetable
– Milestones
– Task interrelationships
XVII Appendices
– Detailed technical data
– Supporting documents
– Use to avoid obscuring the proposal main message
 Timeline for Proposal Writing

• See Handout
• Depends on scale of project
• Work backward from donor deadline in
planning timeline
• Leave time for review
• Find out if/when donor will answer
questions
 Proposal Analysis Committee (PAC)
Process
• The mechanism for project design and proposal
review
• Formal review of the proposed project
including design and management issues
• Contributes to design and proposal
improvements
• Same planning team for each country
• Proposal review brings in other reviewers
(especially sectoral and regions with prior
experience in similar projects)
 Small Group Exercise:
Selling Your Project
• Use your Project Concept and (partial) Logframe or
Results Framework as aids to writing up an Executive
Summary of your project
• You are holding your Executive Summary, standing in
ARC HQ elevator, when the President of ARC enters
the elevator and asks you what new projects you are
thinking about for your country
• You have 60 seconds to sell your project idea and gain
visibility for your project and your country
• Go for it!!
 The Bottom Line…..

Following the ARC Integrated

Planning Process leads to more
successful projects that serve our
beneficiaries better