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EU Project Cycle Management

Ecco Consult
by

Ecco Consult

on 10 February 2014

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Transcript of EU Project Cycle Management

Purpose
Project Cycle Management Guidelines:
Deliver
results
, achieve
purpose
(s), contribute to the
overall objective
of projects
Manage resources
efficiently
Monitor and report on progress
Audit
Evaluation
Most

critical
: during this stage
planned benefits are delivered
All
other stages
in the cycle must be
supportive
!
Periods
Inception
Implementation
Phase-out
PROGRAMMING
IDENTIFICATION
FORMULATION
IMPLEMENTATION
EVALUATION & AUDIT
EU PCM Cycle
IMPLEMENTATION
Definitions
Key tasks & responsibilities
Conclude
contracting
arrangements
Mobilise
resources
Establish
working relationship
with stakeholders
Hold inception
workshop
(s)
Review and revise
project plan
Establish
M&E
(Monitoring and evaluation)
systems
On an ongoing basis:

Procure
and
deploy
resources (including personnel)
•Implement
activities &
deliver
results
• Monitor and review
progress
• Revise operational plans in light of
experience

Report
on progress
Progressively:
• Hand over all responsibilities to
local partners
•Ensure
maintenance plans
are in place
•Ensure
relevant

skills
are effectively
transferred
• Help ensure
recurrent cost
requirements are
secured
Monitoring, evaluation and audit are all concerned with the
collection
,
analysis
and
use
of
information
to support informed
decision making
but they do differ.
Monitoring and regular review
Evaluation
Audit
Internal
management responsibility
Usually incorporates
external inputs
(objectivity)
Incorporates
external inputs
(objectivity)
Ongoing
Periodic
(mid-term, completion, ex-post)
System reviews (
ex-ante
,
completion
)
Check progress
Take
remedial
action
Update
plans
Learn
broader lessons (for other projects or policy review)
Provide
accountability
MONITORING
:
Ongoing
analysis of project progress towards achieving planned results with the purpose of improving management decision making

--> REGULAR REVIEWS
:
Involve
key
stakeholders
with direct responsibilities for implementation on the ground (i.e the project management team).
Provide a structured opportunity to
discuss
and
agree
on the content of progress reports, build a
common understanding
of key issues/concerns and of actions that need to be taken.
May be
more
or
less ‘formal’

EVALUATION
:
Assessment of the
efficiency
,
effectiveness
,
impact
,
relevance
and
sustainability
of aid policies and actions

AUDIT
:
• Primarily a
financial
and
financial management
focus, with the focus of effectiveness being on project results.
• Assessment of
1. the
legality
and
regularity
of project
expenditure
and
income
(i.e. compliance with laws and regulations and with applicable contractual rules and criteria);
2. whether project
funds
have been used
efficiently
and
economically
(i.e. in accordance with sound financial management);
3. whether project
funds
have been used
effectively
(i.e. for purposes intended).
Project implementation should – in most cases – be the primary responsibility of
implementing partners
EC’s main responsibility is:
to provide
timely
finance, management and technical support
to monitor project implementation and ensure an appropriate level of
accountability
for resources used and results achieved
to capture and act on
lessons learned
during implementation
A Learning Process
(Fig. 11, p.42, PCM Vol. 1)
STEERING COMMITTEE
:
While effective monitoring is primarily based on ‘internal’ project systems, some decisions that then need to be made
cannot
(and
should not
) be made by
project managers themselves
.

A project ‘
Governing Body
’ or ‘
Steering Committee
’ is therefore often required to make
strategic decisions
on project scope, including
required changes
in objectives, targets, budget, management arrangements, etc.
Key assessment, tools & documents
ASSESSMENTS
:
1. The
continued

relevance
and
feasibility
of the project
2.
Progress
in achieving objectives and resources used
3.
Quality
of management (including risk management)
4.
Prospects
for
sustainability
of benefits
5. Action
required
DOCS
(required/produced):
Operational work plans (usually annual)
Periodic progress reports (including regular updates to the information contained in the CRIS ‘
Implementation Report
’)
Specific
reviews/study
reports
(e.g. mid-term evaluation)
Completion report
(at end of project)
TOOLS
(peculiar to this phase):
Risk management
matrix
Checklists for planning
short-visits
, conducting
interviews
and managing regular
review meetings
Progress report formats (i.e.
CRIS

Common RELEX Information System
)
Info needs &
Levels of Management
Using
existing systems
rather than
building

parallel
ones
(Fig 12, p. 44, PCM Vol. 1)
Purpose
Assess – as
systematic
and
objective
as possible – an ongoing or completed
project
,
programme
or
policy
(design, implementation and results)
Determine the
relevance
and
fulfillment
of objectives, developmental
efficiency
,
effectiveness
,
impact
and
sustainability
Provide information that is
credible
and
useful
, enabling the
incorporation
of
lessons learned
into the decision-making process of both
recipients
and
donors
Principles

IMPARTIALITY
and
INDEPENDENCE
of the evaluation process (from the programming and implementation functions)

CREDIBILITY
of the evaluation (use of appropriately
skilled
and
independent

experts
and the
transparency
of the evaluation process)

PARTICIPATION
of stakeholders in the evaluation process (to ensure
different perspectives
and
views
are taken into account)

USEFULNESS
of the evaluation findings and recommendations, (timely presentation of
relevant
,
clear
and
concise

information
to decision makers)
Key tasks & responsibilities
Individual projects
Country/regional and sectoral programmes
Evaluation of individual projects may rest either with
EuropeAID
or with
Delegations
.
The
Evaluation Unit
in Brussels is responsible for maintaining a
database
of all completed evaluation reports
Evaluation studies are usually
financed
under
project
/
programme

funds
Evaluation of the results of these policies and programmes, and of
programming performance
and
policy mix
:
This type of evaluation is managed by the
Evaluation Unit
(EuropeAID H/6) under the direct authority of the Board
The unit feeds the
results back
into the
policy-making
and
programming
process
Evaluation manager
Reference group
1. Identify the
need
for an evaluation and select
topics
/
themes
2.
Design
the evaluation (including prepare
ToR
)
3. Draft documents for the evaluation study and selecting contractors
4.
Brief

contractors
and
parties
involved, and support the
evaluation mission
5. Ensure the
high quality
(reports) and
dissemination
(findings/recommendations)
1.
Comment
on the Terms of Reference drawn up by the Evaluation Manager
2. Act as an
interface
between
consultants
and
Commission Services
3.
Advise
on the quality of work undertaken by consultants
4. Assist in
feedback
on the findings and
recommendations
from the evaluation into
future
project/programme design and implementation
Key tools & documents
TOOLS
(peculiar to this phase):
Evaluation

Report
format

DOCS
(required/produced):
Terms of Reference
(for the evaluation mission)
Final Evaluation Mission
Report
Evaluation Criteria & LogFrame
(Fig. 13, p. 49, PCM Vol. 1)
RELEVANCE
:
The
appropriateness
of project objectives to the problems that it was supposed to
address
, and to the
physical
and
policy

environment
within which it operated

EFFICIENCY
:
The fact that the project results have been achieved at
reasonable

cost

EFFECTIVENESS
:
An assessment of the contribution made by results to achievement of the
Project Purpose
, and how
Assumptions
have affected project achievements

IMPACT
:
The effect of the project on its
wider environment
, and its contribution to the
wider policy
or
sector objectives

SUSTAINABILITY
:
An assessment of the
likelihood
of benefits produced by the project to
continue
to flow after
external funding
has
ended
, and with particular reference to factors of
ownership
Purposes & Principles
Key tasks & Responsibilities
PURPOSES
:
Assess an activity/subject that is the
responsibility
of
another

party
against identified suitable
criteria
Express a
conclusion
(i.e. opinion) that provides the intended user with a level of
assurance
about the activity/subject being audited
Key tools & documents
RESPONSIBILITIES
:

Monitoring
audits conducted by
audit firms
• Carrying out
planning
,
organisational
,
administrative
and
procedural
tasks
TASKS
:

Planning
1. Identifying the
need
for an audit and establishing audit
objectives
and
scope
.
2.
Designing
the audit, including drafting the
ToR
(usually on the basis of
standard formats)
3. Selecting the
audit firm
according to the existing rules (usually those of the
Audit Framework Contract
).

Conduct
4. Monitoring of the conduct of the audit by external audit firms (e.g. attending
opening
and
closing

meetings
and observing on-the-spot
tests
and
procedures
).
PRINCIPLES
:
The
legality
and
regularity
of project expenditure and income (i.e. compliance with laws and regulations and with applicable contractual rules and criteria)
Whether project funds have been used
efficiently
and
economically
(i.e. in accordance with sound financial management)
Whether project funds have been used
effectively
(i.e. for purposes intended)


Reporting
5. Obtaining and reviewing copies of ‘
Aide Memoires
’ (memorandum with findings and conclusions), draft and
final audit reports
and ensuring their
dissemination
.
6.
Arranging
procedures (meetings or written procedures) between
EuropeAID
services, the
Delegation
, the audit
firm
and the
auditee
.

Follow-up
7. Monitoring the
follow-up
of audit
findings
and
recommendations
including reporting on the follow-up;
ensuring
follow-up of audit findings and recommendations (i.e. implementation by the auditee) is an
operational

responsibility
.
TOOLS
(peculiar to this phase):
Audit Report
format

DOCS
(required/produced):
Terms of Reference
(for the audit engagement)
Final Audit Report
Assurance
and accountability (stakeholders)
Recommendations
or
improvement
(for future projects)
QUALITY OF REPORTS
:
The key concern with respect to project progress reports is that they contain information that is
relevant
to the
reader
, that progress against what was planned is assessed (
performance
), and that the information is
clearly
and
concisely

presented
. More information is not better information –
quality
is the key.

Good quality monitoring reports are also an essential
input
to project
evaluations
and
audits
.
Identification
Purpose
identify project ideas
assess the relevance and feasibility of the ideas
prepare a Project Fiche
prepare a Financing Proposal
identify further steps for the formulation stage
financing decision about the program
Principles

CONSULTATION
Ensure the involvement of stakeholders in decision-making process; hear their needs and means for action


ANALYSIS
Collect additional information, analyze concepts, proposals, ultimate goals


PRE-FEASIBILITY ASSESSMENT
Prepare the production of Documents:
- Logical Framework Matrix ( =approach of the problematic, activities, results and objective);
- Action programme (+ Financing proposal)
- Action Fiche (detailing each project in country)
Formulation
Purpose
B. Produce the Project Fiches:
- summarizing the project
- objectives and components
- overall budget
- implementation schedule (estimation)
Tendering Steps
1. Forecast Notice
Key elements during tendering:
Forecast Notice
Service Procurement Notice
Launch of individual projects either from
EuropeAid
or through local EU
Delegations
.
30 days minimum before launching the SPN
Funding instrument, Budget, Country
Short description, components
Intended launch of the Expression of Interest
Details on the project +procedure (deadline)
Budget or Duration revised? Various lots?
Conditions of participation (subcontracting)
Selection criteria: point 21.
1) financial capacity of consortium
2) professional capacity of candidate
3) technical capacity (References matching Re-evaluation criteria!)
EOI: Admin docs, Refs, Fields Specialization
6. Award
5. Clarifications, Interviews
4. Shortlist : Tender Dossier (=DAO)
3. Expression of Interest (EOI)
2. Service Procurement Notice (SPN) =RFP
DAO - Tender dossier
Interviews and Award
Shortlisted or not: between 4 and 8 companies
Evaluation of the competition (abandon)
DAO presents many parts:
- Terms of Reference
- Instructions to tenderers
- Templates to use under PRAG
- Evaluation criteria (value for money: 80% methodo - 20% financial + Key experts grid)
Submission of Technical and Financial offer
Fee-based or Global Price contract
Interviews of Key Experts can happen
Requests for clarification
Award notice to the winner and the 2nd best tenderer + unsuccessful ones
Late Notifications: validity of tender 1+2 extended (40 days), key experts' validity also extended (=problems)
= Real "Business Development":
Identify the main scope of the project
Plan a Strategy : relevance? alone? worth it?
Draft a Budget
Consortium: Lead or Partner; Competition
Information, Intelligence gathering is crucial (rely on Country Strategic Paper, National Indicative Programme, Annual Action plan, and eventually Project Fiche)
Fact-finding mission asap (beware of conflict of Interest)
Alliance needed? (budget, theme, strength/weaknesses, priorities, local vs. technical partners, intelligence)
Pre-Negotiation on margin sharing
Pre-identify Key Experts
= BD and tendering Team: joint effort
'Go-Nogo' evaluation; internal deadline!!
Consortium formed
Strict selection of references (reworking)
Pre-bid agreement
Margin sharing: "Input-base" or "Open Book"
Filling the EOI document (! No additional brochures, unlike other Donors procedures!), language
4 copies to be sent to the EU Delegation
Provisional invitation to Tender and provisional commencement date
Prepare identified key experts for availability
Finalize local intelligence: Evaluation Committee, Director of Programme/ Project
Actions 'DAO'
= Real "Bidding process": 1-2 months
Send proof of eligible references
Request for Clarification (deadlines)
Leading firm's active role: Retro-planning
Tasks of each partner clearly defined
Adapt Budget to the ToR's (Fees, Incidentals, Audit/Report, special budget needs)
Book key experts (not non-KE, but identify)
Consortium: final Bid Agreement
Methodology writing: Intelligence is crucial =Rationale, Strategy, Logframe, Calendar of mobilization of key experts
Fact-finding mission maybe (but only visiting Partners or Experts; beware of conflict of Interest)
Experts: Statement of Exclusivity (SoE); mixing locals/regionals and internationals
Actions 'Award'
Respond to Clarifications or Interviews (prepare the key experts)
Interviews can bring down Experts' marks (!)
Signature of the Contract is binding (not before!: many obstacles can occur (opposition from competitors, political unrest, etc.)
Administrative documents handed out to EUD, and advance of payment requested (30-60%)
Confirmation of KE's availability:
- 5 days to confirm (otherwise 2nd or cancel)
- Replacement within 15 days (equally good and not come from another consortium)
Implementation comes next: three phases
Actions 'SFN'
Actions 'SPN'
BENEFICIARIES AND OTHER STAKEHOLDERS
:
MINISTRY CONCERNED: Minister in charge
DIRECTOR OF PROGRAMME: Senior Ministry's official appointed
TASK MANAGER: EU official (at DUE or Brussels'Headquarters)
C. Launch tendering procedure to hire Consultants:
Services
-
Supplies
-
Works
-
Calls for Proposals
(grants)
A. Finalize the pre-feasibility study:
- Assessment of the
Relevance
,
Feasibility
,
Preconditions
,
Sustainability
of the proposed project
- Operational plan based on the logframe
Full transcript