Project Evaluation Guidelinessecond edition

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February 1973

M.O.1026.1Supplement'

Office of Program Methods and EvaluationUnited States Agency for Interlll!a1ioDal Development

Washington. D.C. 20523

'DRE'I~unu;{' nnG~ 0····LA···R'I'r VI" ("Ii' 1:' 'h.li\

paRB~ORD

'This d~ent represents the firstrcvi.sion of the ~cct EvaluationGuidelines tdlich were initially prepared in conjunction W.l the intrOdUCtionof tEe new logical framCltUOrk methodology and thre revised Project AppraisalReu)ort (PAR) in late 1910. At that time , t.he Guidelines were primarilydesigned as a teadting instnment, to be used in intrCJOClng the new tedmi­ques to ~Uission and A.l.D./W personnel.

With the passage of time, a hll~gerurobcr ofpcrs:ons have been cXJJOscd tothe new logi.cal fr3Ulework process. In view ~1 this" conceptual Jlillatcrialshave been kept to a minimmt in this cdition,- with primary emphasis placedon getting thc job donc. On the other hand, materials pertaining primarilyto the appli.cation of the noncapital project evaluation systEm have beendeleted from thc Evaluati.on ~!andooo1k and are .fl()t:p.q included in these Guidelines.As a resul t ,t:1C Guidelines may mt have bccanne f1Wdu thiMer, but they nowbring together i.n one dOCUl1llcnt infonmation which will assist in the orcparatorySL"lff work for the 3JU11U.al evaluation ofooncapital projects.

A set of evaluation worksheets is included in these Guidelines fori.llust rative purposes. 'The worksheets, to be used i ill conjunction wi til theinstructions in the Guidelines, are available separately. 'They arc packagedin a set which is called die proieC~\7aluationWlorlkbook, ~l1.0. 1026.1,Supplement II I, Second Edition, . er 19'1:2.

1/These can nOl~ be found in the Evaluation Handbook (SectUnG Editiou; .

111

T3b Ie 0 f Contents

For~\1o)'rd. • • • . •

Table of Contents .

Introduction. . .

Participants in the Evaluation. •TIle Prucess . . . . . .lbe Concept ..

The Evalu:ati~n ~IUCCSS. •

. . . .

. . . . .. . . .

iii

v

1

235

9

l.H.

HLIV.v.

VL

Setting the St~ige . . .Clarifying the Project Dcsii~n

Analysis of logical r:r~1mCu(ork JLhtkagcs ••Examination of Progress ~

'The Evaluation Rewieu'li • • ••• • • • • •fol101\1J..UP • .~. • • • • • • • • •

91111202221

Glossary. . ~ .

Appendices. .

3]

31

A.B.C.D.E.

SaqJle ~lemoramhll1l1l -- }·Iission Evaluation Officer to Project Offia:er 39Proje;:t Design ~~orksheets , . . . . . . . . 43Perfonnance Analysis ~\brkst,eets . . . . . . . .• S9Progress Measurement ~,7orksheets . . . • • • . • • . • . •. 61PAR l*>rksheets. . . . . . . . . . . • . . . . .. 14

In t rodtu:~t iOn!'

nlC~SCI)roject Ev,;lluntion Ouidlelim;:! start ~ith th~d1csis that p.rojcctdes ign and evalttatior. arc integraL "roject drsign establ ishes the intent:the plan, the means for measuring progress, afld the assumpt ions. Projcctevaluation reconsiders each of these design elements and then attempts toassess the progress. The results of such evaluations Dlill'il.r then bemanifested in changes in projoct design. 'nuls the frWl1llcwork of the original!project design is also the framC!>l7ork for the evaluation. AltJ10Ugh theseGuidelines are primdrily for the U'SiC of the project evaluator, sOt'm.'C' of theconcepts and mcthodolo&y described ~1rc equally useful to the project planner.'These are the soction.'£ whid1l describe due project logical fTWlillewod~:

I ntrodIct ion , &-ction HU, and SIoction Bn] •

'These Gu idel i.nes a Iso ref Icc It the new pol icy cmphas is on a collaborat i vcrelationship between \~ission, the action agent, and the cocperatung cOWlltry. "tothe maximm extent feas ible, the cooperating country and the action agentshould participate in aU stages off dllf! process described.

After the need for a m·rrojoct has lblCC'n cstabP. ishcd, project planningusually proceeds in tl~o phases: first, a generai fonmu.lation phase in whichthe cooperating cOlmtry al1lJt~e ~nissi(JJD1l jointly define the project purpos(., theresults or outputs expected.and the eM.':Olmts and kinds of resource inputs whicheadl will provide. Second, a phase ((JJf (.~tailcd technical design and specifi­cation about techniques, training, equipmnent, material, timing, etc. TheseGuidelines generally relate to the fi rst of thesebilQl phases and the te~project "1onnlulation,w" ""planning J"" ((JJr ""design"" aloe used in that context.Nevertheless, the subsequent technical details should not change the basiclogic of the project and are threJl1l1lsehres elcments for which progress is laterevaluated.

11Evert effort has been made to avoid duplication of IDJDaterials betweenthe Projoct Evaluation Guidelines and the Evaiuatiou Handbook. Hiiowewer, inorder to allow this docUl1lient to stand on its cum, this lntroauctimll has beenadapted fl1JllW Cbapter I[ I of the Evaluation Handbook [Second &lition].

Missu(Ol1s ~md IA. B.DJ)./~~ orifices 9;~hiclu fiUlum:e tcclna'oiclOll ~1:ssiislt111nC((? mwD ceC'u.. lt:~bu(Other nonc~lu)ii tul projects ~U'~ rC4HuiiriCl{U Ito> ifDSSlurc lt1I~ult tbese u»r1Qljjcc'Clt.~. ~Drc

(''"\7~1 hmtrcd ~lImualU.l Iy. ''nUC sci r ~c\'I[u1md:imu <lVpJUJJrooch SI&u~)luhD tCiJD H st ltlIuc judl~<cu»ts

mld suggcsti(JJuu rof ~ill kabCMlcdge[Jllb>h~ UTfC:Ir$~~l., linchuding the c(Q)(t)]VC!raltingcoontry and! other dooors:f members (l)f iClQIUultU-UlliCt qllntB V»"\!)Jb\ It<c·q.St[bU~ ~Uission~. s~nr~

c\7:BlIlmtion. hus the Q'1(DvanttugcSi lQIj[ umro>n~ c«DJUllctc (I,:lQ)\'ICnll~,C!, jgrC'[Bltcr k!ru(Qk.Ulcct!lgC',:Ind II1IUOirC H.1kcH..hood of Umttirog r1(!cCOll1n~rnH[.tilQ)ns iroltl(}) c,rlfect. "0'<0> illlcluiic\'fcobjoctivity despite sclf-c\'I[uhmtiCQ)Ub, tBu(~r'e is m1J cstifua'JniisHDc'd proccss rclIcscr~b<{;lL1I

!below ~hich orgmtizes pooUllLe imltlO> int((~r~II!C:ti\1c gUUtllUlIS p qllut",D ~1l1t'tt;(CL11lJptS :'(Q) (Q)rg,qllm~tC'

iufoJ'nmlrl th:m hllto Jlcog li C;(]l 1 f r~.~\(J)rtk:s ~u mH U»rl().f! iCC It U'U~p)u":itli5;~un lWe]))(Q)u"lts.

~l rJ.ic !£.a~bt'5i i Db the Ev~u nmlllt ilQJOb U1)~:((Y.5iS

hl ccnjunctii<O>01J wi ltlh IA. n.a». e$ li.m:v"c"'!I.'$DuWg cc11lJlrp»u~1l.'$hs IQJUll Ute ecOlU<illll>:()ir:lllt.ii~ce)

style, ~Ind Ra1J\'IohrC!ll1lCa1Jt of lintccU'lf)llJ:cidiiaurlics, r<O's;IPXOJB1l5liilbJiiUtt.~~ rOll" tRue d1C:s.ig,U1l,.implemu~btatii(QJn ~Ilnd cv~~htllttii(Q)n (Q)[ u\. n.0)). UJJlf'"<o>j!CCtt:s; DD~IlS; ]bJCC(QlJIl(C' a sDum"cilll (()inc ;alll1lJOJlI1Jjg

three Q):a rU C5 : 1ili:c iC(QYO!Ubcr~utin~ <C((1'AlUllDltry "ltltUIC' ~U.liSS;q«))U1l" ,,'lUl]((] ~1IDC' iU1lltC'rIDtcdiary. 2/11uc repre:sett1J t~B tii \tcs of ll.1ucsc lt1IU\f~C u»~urlt.ilesi <C(Qjll1J$lt Htlll u,Ie' ~u 1~~~U»~,CIl1itce:ruft ltC'~ whiLduis rcfcrrtC\d t(Q) in these Onii<e.Hcnliuuc$ :iUS ltliDrC' OJJr(Q)jjll;(C'~ Stt JlfL..!

"[hc rcR.ultj\Jc ~c~g.Dutt: «))f thli.'Si U"ccsD»O!a115l iil1»li nnft")~ lUIfllDJlI1J ccitlldu lI11IJenmlbC']f' of thetritUlJ1JUvirJltt~--tHue Pr<Oljc<Ct Stt:aff- ··\l;ifii:n \'Im:y fnml1ll UJJU"«JJjjcc'cc:lt to pr<o>jic'ctt ood mmayV"lry fU'\Ol!l1l O>/iUC DJ!~u;'lIse (Q)f ,,'It UDlI"«JJjcct t{(1l i:Jloottl!ueL h» S·(Q;mn.1C c:'ll$~S itt wi! n bcratthcrevmly ~lSSn.DlOO, mud iuu (QJtlIucrs, <o>nc ow m~)'{»r(C' llIDlrrnrul!»crs "U':'uimYlPnrtC'dQ1ill.D.OO tee in theirle.1d'ersHailP. for noDS t~llnucfC', iLlrn S(QOOC' n(C'$5 ..,dlC~WCn <OJgJ.cd <C1l11111.rDlt:r·ji CS, the g,<OJvcfmCD1ltoffici~1l1s ml.dlllOJr ]io>ciffil GJJrojcct p>er.s<OlUllnueft i1llU"C cap.all»nc off ltc!.1lkling anC'adl.img -- lOll'at least ;an eqll.a:aJl 'f(Q)le-·-inplamU.R.Ullg, aOOl c.lIlll"lI'YD.M1Jg out t1hlejpirOJj!cctvils.-a-·v:ns tltDe'>.fissilOJn ;and the nuu.temedliiary • [all. all] ii:uDst:aJnces, b01l.iCWClI", ]llartidqparltii.<OJDll of allt.hree IIII1lemI1l'])ers (())f the IPr(Q)jjoclt Slt:aff ilm !the evanllk'1tnOll1J p>flOlceS~!:i is <ill lfWbrll~l1tcnta.l

e1CJ1l1lCn.t.

'TIne 1\Uiiss iLiOn iis rep>resentoo 1m)" t]lle PUO<Oljj cc.t Offficer. As suggested a!b:{)JWchis respmllS ibiliit)" !f(Q)'f the dcs ign,iimmJP>lmlcUlltatii<OlBll:t :aum<dl eval1Lklltioll1J off the pru:JJ-ject willI vary. nn SIQ1lJlllC cases II uwllueBll t1Iu~~ linttenred'iiaryr aool«JJU" c<!J(]pcratimg coumrt.ryhave been :Lllble to ;(]IsslI.IlIDII}e ;(]I g,re.mtcr share, HlXC' wriiJLl !be l1l1tXO>re indlircctlrifJl\'T«JJlved,in a IIII1lonitoring Ccll~llcilty. nBll the pLllslt, this lf1Ulll1lCt.D.ORll has lbCC'Ull d1csigmtoo <illS

that of Project ~narnBgerII lI1llllt, in ((})nlleJr lbx£))Uu t<Ol a\'l(Q)iid ce\0JBllJusilOJlI1J wriitt1hJresponsibHiiltyfor adminisltrative dUOJrcs ;amd to>refnecltlilie: shared alD1ld s\OliJretimmif's imdiroctresponsilbil.ity for IIII1laoog,iBlljg tlIne de\'Tel~R1lt process, due teom Pr<OJjje'ct ({)}fficerhas been :s,~bstiltQ.lltedl.

2{A.][ .][J). inlteJl1Illll;:diiaries n::1l'Bly lb>e ClDmrtr3ct((}):r5i J PAS1t\ ft S, <OJJr V<OJ]m1t"<al.ry Agcocnes.31- ~otethat tbe word ""Project"" tmds tlOJ 1b>e used lbJ}"" <d!lOJm»Jrs;1tlhJe ~er.atii.,

ccwutry mmay think of the :activity :LllS JP>:Blrt <OJf a larger oog\OJinug D"eS/PXOllIDstill»J1.Rtiltysum ;rus socordtuy edutc;atioo.

:3

'11\c i.ntcrnmdinry is represented by the 'Team Leader.

Representation for the coopernting COWltry will vary according to :J

rawber of factors including the size ~md organization of the govenncntalstruetur~ nnd the project; the lweI at "Ihieh resplnsibilit)t for design,i.mplementationyand evaluation is assigned in that country; and the time andinterest the cooperuting country will invest in the project. Missiofl.."i whichhave thus fm" brought coor-cratmg,-cauntry ~rsonnel int~ collaboration in theevaluation process have ~l()rkcd with a variety of personnel in the designclarification and progrC':j;s UIJ1KmSurm}C:rot stages, nmging, from technicalCOWtterpai"ts on the project site tu governD!D.l!mt officials ,,"10 are the equivalentof the Missi()n q»rojject ((Jfficer. l\ U~llDIDl1~»eU" of ~nissi(())ttlls hawe rcnmrted, hmiCVCl',that while slJl.Ch representation during pr(~H]1J1)i~'1ry st~.ff w(ork is imnrportant toWlderst:anding wh.at cO(1peratirog-coorotry project persoMcl sec as the directionof the project, and it'S strengths andl 'ilQe~lLImessesin the local context, it ismost effective to havc a representative ~Bt the final [)ircctor! s RcviC'vll' whois in. a sufficiently respons "lL 1~ posii tion to UlJlJ.L1.ke action decisiofllS on behalfof h;.5 govCmJIIIltmt.

hu addition tlQ) the vUDriou.us pc:qlh~ constituting. the [)roject Staff, otherpers.onnel will participlBtc ~llt the \?~lr'ioos stages of the evaluation process.The i£valuation OffD.,cer will !be inw(Ql!voo t.hrmuguuwtt.I1lC! process, as willei.ther the Progr.i1lll'illl Officcr' or Assist:nmt Prugl'a Officc!r imJlolved with theproject. 'UU~ Mission lJjirocltcor amB/or his DeBllllty tevPi 11 participate in thelDJirector ft s Revi~~'. 'TIbC Ted/mical [)iLviisi<»tt1l O'uicf --Of' otDtc'T' sectormm~n;agement st3ff - - if he is: nolt in f~BClt also tRue Project (())ff iicer flOr theparticular project, will bocaae IDvol\7oo as design aOOl immplCl1J1Jcntatioll issue..4iarise. in addition, depending 00 the inf(JJnmation required or the actions tobe assigned, other concemed ind,h7idlllals sllIdl as the cooperating-coUlltryPlanning ~li.n.i5try, or the Mission Controller or the SUlpply Advisor my needto participate. On occasion, the stateside backstop for aJ1l intennediaryorganization, rdIepenrHng 00 the degree of itsresponsilbility for design andcvalwtiQo, may be involved.

'The various roles described abm,,(~ are presented in ID11'Ore detailth,rooglmut the Guidel~es as the stages of the evaluation process are discussed.

'The Process

'The key elements of the ooocapital J>roj oct evaluation process are:

Jl. Claril. ication of lrrojoct n:te'5ign~

UJJsing a logical fram~"nrk, Project Staff and other personnel .:oncernedlay ~Jut a projoct design, including a hierarchy of objectives, progressindi.cators, and as5'ill.Dptions about necessary conditiollS.

f

"ntC logical fram(.~ork is not nOnMlty used as an eval'mtion devicc;rather, it sets the stage for the evaluation. I f the project is beingcWllunted for the first time, the framework clarifies the project design:lg:linst \dtich progr~ss will be evaluated. If the project is b(:ing evaluatedfor n s,_'Cond, third.or fourth time, the h)gical framework helps considerationof whether the design is still valid or should be changed in the light ofdmnging circumstances 2nd greater knO\dedbe.

2. k:scs~ifficnt of ProgTes.s

Having reexamined project design. the next task is to look atobjective data ~Rboot the delivery of project inputs, production of projectoutputs, \.mether this prcduction of outputs in f:lct has brought progresstoward the achievement of the projloCt purpose, and finally whether thisprogress is nnmking a significant cootrihution, :IS planned, to tJle higher goal.

Although its evaluation looks at the pcrforman«:e of input factors(personnel, training, commoodities) ~ind action agents (t'-nissnon, in1tenlllediaries,other donors, and the cooperating cmmtt-ry] A. H.U. iJuts morc oumhasis on rcsults,on actual progress toward outputs, purpose, and goal.

3. A Group I~cv iew

F'Ollowing the staff \'I1Ork to clarify design and assess progress, thenext clement is an interactive ""evievQ among interested and responsible parties.TIlis is essential for reaching the best evaluative conclusions. It alsoassures tlmt evaluation findings are considered !by senior decision nmkers.The desired approach in the review- is a collaborative effort rather than ajudicial inquiry. The attendance at these reviews depends on the project.In addition to Project Staff, others \'Nillo will usually attend are the MissionDirE-:::tor, or Df"puty Director, the Program Officer, the Evaluation Officer,and the Tedmical Division Chief or other sector management staff. Otherswho mi,ght also attend include the Controller, other donors, or representativ€sfran A. L/Dl./hl (in the case of field-lI1I1lLillaR,crJ 1l1rojects) or the ~nission (in thecase of A.[.[}l./W-managed projects].

4. A Srnnmary !Report.

A simpll.fied Project Appraisal Report (PAR), conceived as a low-costby-product of the evaluatl.on process is 3esigned to provide evidence to A. I.D.~iof a rigorous field evaluation process as \tell as a peJrn1lanent record of theactions resulting from the evaluation revia.g.

This four- step process is assisted by a process manager called anEvaluation Officer who is responsible for seeing that an evaluation ~dledule

is set aoo met, who helps project personnel analyze their progress inaccordance \"ith the logical fnmtamrk, ,~U) arranges for and follows up on the

s

group reviews. I t is the Ev~l1uation Orfic~r who help:l> o}"'qanize both theinfol1Dl8tion and the poople- -he docs not do tBu( evaluntiOin ~r IDnXOlkc theevalualior" decisions.

At first ghmc:e this approach to evaluation may 3pp.ear too elementaryfor exmnination of the more profound ~_spects of cc(mamJic development. Infact, the format allows the widest latitude in the degree of sophisticationand an.. lysis ~lpplicd to the collection of data, the eX~lIDIllin3tion of cclusativclinkages, and other aspects.

'The Concept

Underlyi.ng the concept of CVahitlition IS the recognition that mwch oi\~at 11\. I. D. is assisting is cxpcriment:~11 mUliL'1ture anJ as such cannot beexpected to be successful in all cases;. Evnlu.mtion is on~ more way totr:rto incr~1se the chances of success.

Like a scientific cXi)Criment, 'the dcvcloHDcnt assistance proccs$ may bedescribed 3S a series of hypotheses or causative (um:reans-end) linkages whichwill trace the transfomation of rcsotnrce inputs into planned developmentchange. 'The first linkage is UDall: if the donor and cooperating coumlpprovide certain inputs, then predicted project outputs s.hould occur.- Wethen hypothesize tilL"l t if these lQtl.Atputs occur, certain economic or socialchar.ges will follow- -a m'oject BJJI.UJlmsc ud n1 be aduievedl. finally, wehypothesize that, if these charugestalkc place, then inllcreased employment,higher living stan~"lrdsj political stability, or other brood ~ools beyond theproject will be ach.ieved. ('The actual m.JIJlrnlbCl" of linkages DlllJay be nfllorc thanthe three described, but there are advantages in telescoping the chain to alengj) ~ich is easily grasped.]

The concept of a series of hypotheses or causative linkages carries withit several other ideas of importance for evaluation, quite aside from thefact that careful definition of levels of intent can (1) permit advance judg­ment about the probability of achievil1lg ~JJectives with available -resourcesand methods and (2) facil itate system~ltic execution of the proj oct.

One of the related ideas is that the first linkage--the comEersion ofinp.1ts to Olatputs- - is presumed to be mr~na~e3llJ,le, al thnuR,h the nnmm3j.!€ll1il:ent isoften very complex because of the joint provision of inputs and the subtleprocess of adapting imported technology. The degree of responsibility of themanagers is greater for the production of outputs than for the adDievanent

4/See Glossary for definition of terms.

6

0[' PU1'1OSC, since t:his adlicvc1/lI!lCUllt de~mBs heavily <Clilnl cxltcm,,1l1 hu[,h~(fnc(.'$

beyond th~ control ol[' the project nvenmrmcl .. "D'he v"espoausjlbility COld" vm"'BU\illgcrsis even OIlllCO'rC nttcmmt:cd ['!OJr ~l g,onL. ~:i\'f~B1Lu~ltion is c~1l.~ier· wti~C'n l1JlIJ!&KII1l~llgC'r$

re~lizc tlmt they will ~mt be n~ld m:c~ltvIDlLc ['OJ.., ,,'!lin ]ink~llgcs:t but willjoin with. other interested offichuJls It(Q) lest the h~1WJJthtSCS that prcxh.L'<C'tilOf'Dof Olltput'S will lead to aduic\7enJ1lcnt oil umrpnse ~md tlt»lilI t this uichievGlllent wrii Jlcoatrilbute t<o the goal. ']'he I1lJlJaMgers" respDJtnl.\I;dill»iJ ity ~1I00Utt purgN.'lse is !torecOJ1l1ll1l\lcnd du~mgcs in ootP/Uts COlt' 9~uIP\OJ$e if the fh'$tt p:imu isoot w\Qlddng, ..

Mother rcl~ltcd and crucial h!c~u us lth~ut the ~IiSSC$S]lnitmt (('}J[' pnogrcsst~ard p1Ulrplse (either ((imal i t~llthJC IQJr <CJlllllmltD. t;'llltliwc) lllillust be ilMBcpcutdcnt (llj('the nmJcmsurenruent of rQJlJltputs, ro>tlhJcNisc ~u Jlogic:!ul ftr:dlm:yrcsQ.ults. ']'00 oftenin the past it nULlS been !forgl())tltcll1I tlU\1/t thc ijJJU'ro>ductilCQIl!1l (iJJ!f CO:lLutlJ1i~ult$ docs "(\)litguarmttcc :ldnjcvmJcnt lUf !)1uqms~. IB\~' lLllS h]!t s:udu W«U'((]s ~llS ltiL'lrg,cts;, results,or oojecti\7cs, ~u (cRc~BU" d1iistinclCli<OJuu h~lIs not ll»cc:" Ulll!trll((JI<e <OJlfttlhc logicaldifference ~eb'l7ccn p>roJJlUicin~ soonIDttllnliu]~t sudu ~lIS t r~lIiuu(ed ;rug »'ilL1LlI1 tlllrist.s (OUlt»1Ut]and so Iving ~B prrob h."W~ siluch as I (Q)!W Ylic hJls «U))llUIll(Q)$c].

"[he fin:!lll reRated iidlfC'~l is tlhJ.:iu It wtilYeUll cvauhmtli<OJuu fOClllSCS on C€lllUlSat:ivC'

1inkages i It is i ooking, .llt iilllJ\JlPJ.'llc t .'Utn¥LII ltllms rcxJllUc ing llI1l\LUlT~lIgG11tC'nt"s lUlSoolpreociCupalti<Ol\ with inputs.. fA s:aI.Hcnlt u'llSpcct of due scientific IIIl[cthod is apainst~lk.ing review lWhen rcslUlt:s ~lIrcoot ([liS expected. Ul,(]uy diq".n"lt thehypothesis pnwc \'f"'BHd'~ U~crc th<e iU1lpU.Ults OJif tlJlC~ wn:vng, It)1Jle lOr inadequate?~fad the nature of the pl1nofullanu OO<aUll iinc<o>n"octtJy dliiagD1lI(l/sOO, soWal the outputswere i. rrelev.mt'? 8y .1slkjm~ $!luch <qflUCStUOroS, decR:sli lQlUlL~ can lbcrcadDcd on waysto improve projeclt des igro u'mdl DlIIlelt1lIDdis lforlilic c«)l1l11Jnng year.

To recapitulate, 1tllle [lrocess OJlf iilD1lalysis slhHOJQ.Illd foIlffi>P dllcwcrticalprogress ion of a devel.opment projj oct:

(( 0 Hf ~1rdleqll.m te itrr1lp:lU 11:5 ~'UD"e pn"(())\'l" it rdl<C'{jl .nJuc'D"U 1PJ llaulmcdlO\l.U tum ts ~\di U he JPlD"NnlLUC<C'~n.

(..:] HIf these multp1uts :RlU"e pra"OXdhl.uccd Uuenll lI1unnXQlse~\ilLlL be achie\7oo. ------

(3) Kif pU11lJOse is adlliewiE'«.D, ttlhlcJIll <at jplllaooedl Jlegr(C'cof pmogress lt~";allndl a Hn ligHueir gOla! i\\\"ii II 1 I\JJCCuJijj"".

Along with this vert.ical l:Jgic, ~l kind of :implicit horizontal logicneeds to be mr.adc explicit. Earlier, jin speaking of the lITIte3Surement ofprogress, thel~ was a presunmpti.o[1 that for each level of aim or intent--f<OJ[,output, puq.ose, and goal--it is JIDssihle to devise oojjectiwelf werifialbleindi.cators. 'These iudicaool's mmay be qua.litative or quantitativc but theyslhlould provide e~ideocetlnat:wculd le«Bd to the same cooclusion by nro different.people. Frequently, the effort to define relevant and practical in:dlica'ltlOl'l'Sleads to a much clearer definition of pu:rpose and gool, whidll in tum affectsthe type of inputs and outputs. Adopting the experillJJllental viawpoint of a

tHE LOGICAL STRUCTURE OF

A TECHNICAL ASSISTANCE PROJECT

ASSJUMP T~OiNIS

ABOUTlIlNlKAGES UINlKAGIE TARGETS

OIBJIEClUVlEe,rV~IR~ FUABllE~INIIDUCATOIRS

M,ltl1i:lUIJltft:l G<O><t1l

#!,ltlhdiec"".liM'«lnl"

---

S.!d~\CI1t

IPlt<Oi~t<alllllmliimH~G\!t<Oi1i

scicnti~It, does 00 It r~JW)\1e the tflrtN'!d! (Oll" jjq»dgmwnIt (lJf' RfC'$)seau lt1Iua awed! todi.scrimmimilltc lbct\>l1~cra the sq~»je'CttIt\1rc ood !the dbjjciCtuWlC.. Bl>U"(1(lhuICU(OJra (QJ( ((jlllltB'lUI~!$

mb{! ~~d1ic\1(WJ1)ent of ~11I1Jl,\~$C :tun~ dbjecttiwely wcrufii~ulbllc; tIlDe Slltlb>j;lC:Cltij'IP~ fC'DiCtlI'~'Dut

is the predi.ctive jucllgmJuc\ntth~1tt prooocing the multgw.uls lWi 11 ~clu iC'~iC' IthlC'l)lUl1»s~.

'nue ot&1ler hJ1JpHrcit cle1JJlucnlt <Ollf nml"li:za>ralt~n n~lilC lis It1Imlt If<Olu'' lC'iLudu lc'w("lrof inltcnt there ~n'c ccrlt1lliin C(()nll.:flO1Um;g lf~urctC\j)rs, iCccnrt4114BU <c:~ltcnr~:un nUllfhucryoc~:s

or clQl',liStnulD1llts W1un.ch ~U'c Ib>cy<o>nd the $C~ co>f lthe n})U'~»jj~'(clt cclIcs.li~;U1l Ihut t'</Buidu :arc'cri tiiciLul ttlQ> ~;ucccss. ((J)1f m.x:cssity, jp)1rIQ)joclt lPJC!D'sCOJumlC!n um\1ulkctthe 411SS11Il!lil!illtiIOJUDtiu:a It these fUUiC lOf'S wi 11 rn tC:f'iDlC It liau ~udu ~ ili'iLUY t!u:w It lt1IuCC'y ((I(()) un(QJlt H7lll'(frvC'nt<l;)m.:ccss. J>.~iUkin~ t.hese ~ussllanJu[1JtlilQlll1l$ eXll1Jl i':lilt ~~Uuc'ou uU ll1JU'(()Jjjcct us. be'nng, ~»hmanc'd

1/llIl~IlN' rLI\7CIul ~uJl\IJli.s~ulbh:~ cbllluugcs ia] DJlU"eo>jjcc'Ct dresii)g,u1J t(Q) ceUlJ!h\iUU1JCC Un<e> n)nDH"~lllb>iJ litty (Qlfsuccess. U"'l Iter, U>libcm C\IJ~U UlUlilU U (())un U"<Cl\I?~~U US ltllm It mllC S It:ru,gCC' ((11 nILJI trlloth 1/J·:IucclI t(QJ due'next tiC» ttlIuc exteuut CXp'octCCLJI" the' re,,1l$(())f1) mnUU)1 Il1J(C tt:1Imtt $<OliI1lJCC' :IDS5,QIlil1lJD!l tnIOJUn H)lIl"WCcrunUb\i~Un lid. An ltenuIlIIltn wes ttl> t'B1JC l!lI1lix tt.IL~rlC lolf U.U1JB'X!.uas iLnl m!tfD'ltlllXOJds. lOiU" tCOJ tt:1Iw' D1kllttltDlflC'o If the pLIlrpDlse ~md g(())~D n moms It ltlIncal) ,,)XC CI!.»UUS nILJlC'u"cexdl.

"~'he c,,'H"cfuuJl :~nd oojjC'<C'lth~lC! :5},Q)ll"tt:ii1!D~ (Q)f CC''WUC&L''UllCC iis wfiD:at botH» D»)r(QJjC'cct Silt411ffs,~mtll dlue pU:;-amD'cU"s "lIUlcl! 1/llIl,,1lDwugcrs (())If «Jlc\7reh)JDJl!lllJC'UU~ p>u"(())gU'~lU11[IS~ lmtllllSt str'li'WCC' for; andthe logical fr~nCiJ,~(Q)rlk lis <cllcsiigm~~edl ltlO> slLUU»DJXOlU"tl: tlluiis IPlU"(Qcccss,. F\OJlr tIlDC' c",:altlJcllltiilO:01lprocess t(()) be illSlc!fQlln, nit IIii1IluSlt !h<c' C<tDtrll"1l(Q'rLIJ «:mut W'/lltllu ltltnc ulIltvmxoslt ccllln<dllOJU" and(())bjoctivH:y. Pr\Qlp;Q)s"llns!t(()) dl1"BUD;gce <Oltr "lledljTlIlSt ShlOJU"ltcCOliTffin.utg,siil11l stnllltcg,y ~re thema rk cof :alert ~'mrll IfnCC'~~jll»nc (Q)lflficClrS, IW:UU(Q) t:LBlkc <iB<dlW:at01llt:fugC (OJ1f CC'X BJcc'r iie'U1lCCC.

n. ~~tttiinB dllc St3S£

'r\O plllr"UlPhr~lI.SC ltlhlc ~Cn l-lklllOi\\M \W!t~U1Inm~ WIhn((,lIl ~tiIP'Ul)(I~aUroo atilt «)JtrIl~ time l!JJtrIl

c igarottc P~UC~1)gCS:

Alb>S\Qlhutc ~1l(dl1hertC'octC' ltlOJ alii n drclt:ruHs 1btC'~.(Q~

UiJ\1iIIy be Bll:.1111lilllnd tlQl l<O:il.ur IUWull~amltli'oo

Dn other ((11lA7n11s, lt1Iumugh !tUum;;c fJlulicdlcn i'mc's <o>lflfcc'u· a set <0>£ plritrllCnlfl)llcswhidl have been fiiclcdl- tc:slt.~ ~'mdl §7>;'\O)'W<Cilll (())If \¥IaUnatlC' UlI1J iumup)r\Oi\¥lun~ pno>jjc'ct designand cV:nllooti\On, itlIucy cum [DC &lIrcl!&lIptcd. S~dilfli<C' ciirtCl!.lll1l1lt5;ltaruccs wrUn diu flfe:r fr\OOlJcountry to cfQ1W'Otry, Ifromu 1.nisSll«»illJ. !tlO> Jl.Ulissu10Jn, fnm1lJ /~. D.~}).I\l~' ((1)lffh:c tt\Ol «Jlflfh:c', 4lW1~

~mft llIl1lay work HIke u1 dn:aU1ll11l nn (QlOO l!JIIlllly lP)r«:l>Wcn<e.;.~:s sa!tuslf~clt\O)r1 urn aunJlQllthc·U".'This db~s oolt IDlIlCc1n., co>lf' iC.\O>Ur'SC, ItHmtt iilt iis pxossibDc t(Ql d\Ol ~Jli(Qllcncc wnth iiIDilpltmityto the b~iS lie eWu'BUllmltiitD>n ("'"'lmcteplt, <o>r r«»rltJlu:tlI!t lJl11lalt tIC.')" 1t\Ol :a!D1if ;flllilJd all p\1llrfts \Olf the'proccss, umd st.HI expoc t lttD> CIQXIIIl\e llip \Wi ltllu <lll l!JTl]c!L1ID1l.ii rug, f ttdrc's;1lIlltt:. n[In;wcwcr, wi thinreason i It should bc pOlSS lib Re to adljmit It1hJle p JrOCC'SS Ito fii It spc'~in iC c~LtCUl1I5 tmlCli:S ,

styl.e of workhog, and ~ven tbe li!(n ~\OlS:rUlN":n'1l5ies off smm(~ kef jp><alTtiu:ipamrlts in theprocess ..

'The folJJolwing represents a stt:BlD1Joordl, rresttedl a~J!I)lr\Oladhl Ito '!the p:rceparatimllof ooamnuooft:altiolll necessary ffmr mID1UIal ooD1lcapittal projjcectt ewalluatioD1l. lD'epcnding,<OJnll tUne cii.JliC1lIIffil1tsttmll(C',C'S linn ttlllle «'lQXO)pxer:,~I""linnl,~, OOllmltu,\\", due' to)nl(CT~t n(()1IDl~lIn stylc' {(1\f t~ue

·~llSSi.<Oii'1l (OJr J,.LZji./~\~ :31cttli<OJn Q1\ffiioC'" ['~llte' 11::'l~,711~"n:Rlft.li\Ollln qUfneCC'T, tl:ue jp>D·c<J!:nllccltll\OID1l5 ({l)li-ft_~t(L

Project Officer, etc., iLippro"1Il"iate <Bldlj~DS~)renntts lIIIDaf Ibc rrlmade. 'ibis ~T~iculaf'

approach is presented in the hope that it. 1X<I7illl as~iStitlllC dcwe~.u.(),pmil.'lent o[ <lllBll

individlli'11iz:ed procedure.

1.. SiolllDle weeks prior to hegillIDing the evallWlltiorn ,the [valooti'l(Qln OjfficermdertaJkes to alert due Jrlroject Staff SlO> that the}" Crull ltlluitrnk alh~),lUl1t anllll.n ctOJ:Ullecltbasic data for the forthcmming eW31n.Dation. y

,2. DIt :s»u,,~und he drc'Chlhcd, b'Q lCn(OJ'<~ lC~H'gtj~'Q ~ji lt1hJ tt1hJ~ S»S'l(\ljjCcet (Q)ffh:cr" \i4.ltt<o>i.~ t{OJ ~lIIrt1ceiumlte ii.n ttlhlre cx&wnlaUm (())f 1PJ»'\(\JjCtCt d!C$,ug,tnl liu.v~D IPJrlOlDcctt. st~ali.~.$"

gnq»:liIf'Ii,IIil& the 1@~iitC&11 rrW!~'Cllr~ 13l1lil& rel:illttclLll il'@r~$hcil~lt$. Bt is :tt«tiwii$~libDelt\QJ

LvU\'l i ftc :til 8J>\r'i(}Jg r~wml orrii ICe r-~pre:s;c'a1lft411ltl we It\OJ 00 ;»f'CS<atro rt ~v t the UJir'(!!Jll~u"&Mtoryscs,si~!I1)$, wun~s'S lt1Iucc ~\'l~JlLmBtti(Qlll1l «))rriiJCCll" i'Si ,ans(Q) tIIu~ U!>r~tr~'JU (())rr.liC~11" a5sIl~UlJ({:d

r'Csp'oo~ibUj fty It(Q)r' tbc UJiI'\OJjoclt tLlilI1AlllG!lr' ri~wicw#w G{er IPJIr~jj<e:lClt p{,'rs:<o:um~l:J UJhct~U"c~tn1ctlQ)r, 8j)iI\.~1\ (Q)r' J1irex.:t~hir~, ~~uwhJl H~ i01Y~llUldlcd W It.1roe> process. InIt.lIUiOlS,<C' M,'5>ltmllCc~; \\'i/U l)IC'uu ;{II iCOO~lI'iillrc:tt(Q)!I" lQlr'UJ)Ii~ is f'(}$!PJ.Q)(f1lS;iilb>nc ro~' sif...tnl.n fic;ant1p41rlt.S (Q)f lfi jJ1JlI'\o>jcct, his JiuutC.hus.u<OJtnl ialS iaI U14Uty (())tnl 1tJl1XC' U!Jr\QljjlUClt St:JIJf is a. IDn.lllslIi r tth~ ~'\1\ilI D!lulfiti (»lJ1l is tt.lOl lbYe ;a It .tll ill t~nJ(!trltU1J.li81l~rtLun. 'Vloc hui It ialt.iwc> [»trod! UlI1ll rt ic.iipvJj OOJ1DIQllf ll'\OOU~U"Jllt,i~ .tClQlmultry «:!,rrilCJi~lLh; sUulQ'!ulltU :;;;iimmU:nlf'lly lbJ~ CC'tnlc<ouur&ll~,~] ~mdl incrc'as]rllgny:$ t reau~ t.he'lI'Ooo.

3. n~(bf«))re IbJ£)).r.iial)ll1),m~ ttJh).Q' u'\O!r'U,~ 1t1IlJ((" n~W~ll.huQILU(QJal) (()[ If ll\C~~u" l(Uks\Cuss:C% ltJtC[l;y;aluiilltiol.B}Sysff 'wiilili ~Jhc ii\)r'wj~ctt SttJufr :mn.dl lOJtUucnr$;uu:;w\Q;llwl{1I.CU, iLuult.liuC' Hg,h'~ (!))f '!theGllrU'll.tC••:nllr G1lnujj((1\C!t lW1li(U~ll" r'l(twuc'WI.. nr cdll QU~'\C' lf~l111l1Bi~~u" W'hltlhlltllDc SYSltmJ~\C H.nu~· Ib>oc~».all.$lL- (())f r~u,'S t. It 11".1lUOU lilJll~Z (Q>U" rr»ri~w UIf)J111L''i OJ)';. u"Uce ip\Lllt; (o;Oll UBlJ the- cwd mlllti(OJrJ)

ij1lU"\Q),(iC':5i .»" ~u IJ~lllulitnn]llW) lOJr ((Un $lL1lU.'S),~;; U«)Juu ii.<s; 1I'IC«Ul1U II ncldl. II If uw!t, all dU\OJr'(Qll.ug,h dit Sl.1l.»ss.i OD'DiClU" tt1IU(C CIOJUUCK·)Ulllt.'§ :;m,tU n'l)r\Q)'1:iC\I.lll1UflC~j \\.uB ll, nUll It1IllfC' ll(Om.~ U1UUIll." IJ!Jb"(QJ~~C' It lililc-siillw.ing.(eA U\)rojoct ((»fnc~~u" UllQ)lt r....ltnIDnll U:;Ull" \\oUll Uu ttlluCC' O))u"oc<o:s;s, mmi~~,Hut IhtC, iUlJl'Jlittcdl '!t<OJ silt in

<e:au ItJJure ul)Il'\(~n»1B r~u It II (Q)Ull lOJf ttllu~ lllQ)~ li ('uB II if U':i1lm~XC\w(QJlI"U~ (Q)r ~ll00ttllDC"a" ~1!(clt,li \yI ilt:y as ~ IIlillCaDl5

f(» If' ~UiC'((UULln ll,Ql1lt UJl1l~~ hnllim fJ;'illl tt..~11 ttlIutC' lP)r\QXC'ce'S)5~.]

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5.. Hit lis ((Desllr:lulb>Uc ttllll:111lt ~ult llC;lllSlt (Ql(l!Ye HitC'1I"S<OJUll tt1ID\OJtroo~~H,Jy ffammitita1l" with the«::ntlire dJ>rooess (SILUil.Jlu llll:5 ~llnc H::,W«'DUlllLL'Il~,ii\OJll1l (Q)lflfiic<c'1I")) glLuR({BC' ltlh.c jpJroject pc'rs\OJMcRltltDrolJl,glln ttll1lle n~ex:aL~~liJl1l:,u ItiicOJD1l <Ollf ltllllCC' lPl1l"(Q)jj\C\ctt dlC'slig,Jl1l ;[\1mB jpJU''(Qljje'clt Slt;rultlWS hy;;ussiistii.rru,g iin 'tlI1lC JPlrCn)J:lllnn~'D!t ll(Qla1l ((J)lf dine ll(Q)giic:Illll rr;ru,~llYC~rl~ lil1llliIltJriix anlltcll wrkslhcelts."H1l~<e- linltell"i1'Deltfi\OJQ~ ~~niidn H:Sllulllts lis llii~llW tCOl e'ruD:illnDcC' the ({k~i([lllli tty (Qllf amlysis.

16. HIt em1l ~c HucUJPllfllUIi fif ttll1lC IEW&lIllu.ll:mttU(QJlI1l (())jflfiic~n" «llSSlUEC'S JreSnJOJJ1lJS iilhill iity fCOlJr:..lIe ltll»:lJlllly n»uttt mg thc iiIrn!fIOJJrUiDLiU tllcOJall <OlU'1l JPl:"1llPJ<C'1I". !J~ ([ll1l"<C'.'5ll.ulltt, ii It \\'Illii n ~<Oltt belIliocess:..llry ttJQl ""00>11" ree.tt" II ~'D S It;iU ttlClJllJlCDll.lt JPlT'C\\7 ji(QlJ.ll.Sll}7 RJ!r\ClpxJllrellil by iiUiTllY (OJ Iflthe'JPlTIlrltfieiilP"1lll1llts~ llD1l.S!tC"ll<dl. tbe EI\7~'DllQD;:nltu(Q)all ((1)!ffiic<C'r C[~lI1l talsk <q[llU<C'stii.(OJDllS ll:.U duc C<OJ1l.llfSe<Olf tt:1hle ~w.QJrlk sessii<Olns tL.,,~ltliJ ;lll llDS:iu!bJllc ((Illlolt !t((J) be cc'(OlllllfttllSCdl IWii 1tRu cOJrT'e'iClt]n;sgMJJllllse

.' lC'b> Ita lined.

'71. H»crkllR»s oott1lll.mg iis IIml(o>re D.1mtpnJ1f'lt:alll1llt, ~1l1lJlcdl lJITI){))l!"C ((]].li IfIf lirull !tltCOl dl\C'lfii.ullC'j dUM !tRu\C':"llbIDo'SJPlUucrcc thalt JIlIlrtJSlt jplrew:rniil iftt:U1lc pJrocessiis It(()) 1!Jc Sl1.DCccsslfllUL 'Thetr«;J:"lIltiiIOXJlLslhJiijpJ 1I»etnwCCall ttltllclEwalitlm!tiion1) (())flfiic<C'1f' ((((J)D" 1Xq;OO(~\1CJr .\f,,"lUlhlle("s 1t.~c jplnoccss))anoo tt1hle <Ol1t1occr jp)lllrtt.iicjjpX<'ilH1ltt::s sH1l<Olullcdi at JmI)Jttiil1lIDC be pcll1ll1lliitttc<d! Ito 1biC'CCO~mm;> tt»D«lllt \OJlf«lldlwcU'"s:"1lr iies, lrnullt slro'.Qlllllll:ll !he(" 1bx.'llsOO COln1) .UltlLD:£1l1l cooJPl<C'Jr'atl: H«))all 1t\OJ ad'll iiC'wc :ill C<01Ili1Iffi1)l)all ;;lliiJnDl.

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RR. £ltl1rifrioo ,~,hc U1)'r'90cXClt Uksii~U!

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''[he s Iteps d1cscriboo iiJU It.lhliis sec ItiiCOlHll ~U'C app H CIllfrJ> le !hOltth in p.f'e'p~llT.ing theiruitial logi'Lrca Jl f1rcL11111l11C'Q.\lDJrlk for ;a jp>ro,joc It:, iillIDldL, wft1lCD"C eat l1l1lJaltru OOS 1bJceD1l

previo'Ul.sly prejplIirod, f(())r werifyintg lt1hJ;att d1le <el!lltries ~lrc stilln corroct.

Fartiw1311"ly D..1!ll Prepa rinll)g aD1lm iltiiLllll lIJID4lltriix ,ilt IIIDJay he UIDKClJre cCOJD1lwenient torecOIn! idle.as to !begin with Ott1l selPar:ate slllleelts <OJf PtllJPier I(j)r the If((1"(l/lr~lPlatge m:natrix(foll1lll1l j~[[» l!(JJ2(Q)- ,21$ f;r -'nn 11 D"iLlltDll<ell" tD1l:t1lJl1l «JlD1! tDte COiJlllC"'n1\Illge \11'l1ill ltriix • 'The :inlf\GtTlilimlltiCOiJJl)can be condensed :at ~1l Jl:ater po>inL !For cllarif}'iDlg IDll existing project design,either of the lllI1l3.trix f<OJlI1lII1l'S lllI1l:a'y be nncelLnJlft~lUll1 f((})r Jrccordiinllg romomts :mltllne~lIJrtiad(llr KBtrix cell 1t<OJ W11lidn duey iLllpply.. lRelewaD1lt f<OJD1IlJIl5 are cOD1ltainedl inii\ppernllix JR.

------------,-21- lll!ll tlDe lIIIIlatrix 1lJt500 11 ttJllle' "'Veriifica1tii«llHll"" ccQlhllIJIDD'U precedes the ""it\sstllL1llplLicQlDll""

cohmmmll. Please notettllmt in sOO1Ile llI11mlltrices, this <OJrdle~Jr is rewcrsedl. 'Thedcsigoott.ioDlS f:!CPS and. JBOPS refer to ""md-·of-·Project, Status,"1f 3U1ld "lfll1eglimji.l1lg,-((»lf~

P.llQljjoct SIt:altllJS,,"1f n"esffJYC'ctiiwehr.

"nUe(: tCf\Iil\lS lUISc:d in the foHo/wing umg~~s :arc defined iuu the «:alQfSs~ury bcgiiumingon 1)18g0 lOJ.

11\. ~rojCtct ;\npos..£

L B\upose (IB- I ~

Uriefly statc due pUrpOlse whidu the project is expected toadu.ic\?c if conropletcd suclCcssfrulUy ~mdl on sdhlcdn.ahe. a]uulcss this is yourfirst cXllCricncc with this «R~J1C~;ti(Qln:t you ~iJ l~w that i It is IDillOfS,tdcccpt live. Prov id i.ng :lin mus,~wcr frc(llUCllut ly is ~my'thDiing but simple.SQ1I1lctiil1l1ll.5 t the easiest w~»y !t:lO st~Qrt the sCRrdu for ~m ~n1L-;wcr is. todescribe the problem dmt roC't.~s Ito be rcslQllvcd. M!ovc ~ull, couBeavor tostUlJ1l1l1na{lrize due purpose im ronucisc ltcnnrs. If it 1t~II.kCS IDltorc dmn asentence or two, cx~minc c.rBclu l~ur~BS«~ ttrQ> scc i If lilt. is gCU1lnfmc OJ.' necessary.Use won!s q'llhidu dCnlliOJltc ~i <eicfiiou.n ltc· r"~S(())nU1U<OlUD rather thaD1J a Slight~B 1tcr~Blt ii<m.

Ex~.pn~: ESlt~BIb>Hsh ~lIgnniic~ul ltlLunlln n'csc~uiCHu center at . _

2. wruBit.itofU:..'i 'Ul)u~ult n'i'iiH nn]~llc;Hllt<C' ij"n'o]<c'cft P'tLnu:E0se ~ua'5 Been i~chievcd.

End of Projeclt Statu-us (Bo~»sl O~-iJ

nJ)cscrilbe due couudl.i tiiCOJOJl onn siitlLmltiilOJn whid] wiH exist when theproject ~lldlu.ieves its nJJu.n~pose. lIJ)esi~~Dll.L'1Ite ~lln identifiable point ((})r state)whidl qwil1 be cOUlsidered tt:1Iue [ogiicall end! «})f due project; Le., how willyoo or Myon.e else IlmiOJq~ qv,:hen tt:1IJlC JPln)ject HJ1LUPOSC has 1bccn achieved?

Frequently project persoooell l1lJllay c«})nteDlldlttJmt their project shouldnever end, tllu:at iumllprovmuents u~iJl ~1Illu~ays 1bc needed. 1f this kind ofatti tude leads to a lad lOJf dlefiinll.ite t:argets to be achieved in areasonable period, it is u.mflOJrtt:.1l.u]);3Ite. Here we are not talking about anartificially imposed termination oote, but about a phased attack on someaspects of the overall ll.noblmu.

u\rnlOJther kind lOJf &i ffiwltt:y DIOk'1l)'" arise because prlOJject oescriptioallSfrequently lack the necessary degl1-e(f~ of specificity. The tendency has beento describe the condlitiorns expected in. such imprc'cise terms as "viable,""uexparnied,"" "" improved,"" or evm a o:ronnlbiB1latiolm therooL

Definite Terms:

hllstallEstablishCreateGenerateIlliversify

Fuzzy 'Ienms:

InnnproveEnhanceReinforceUpgradeSenrice

Gont"d [)cIfi"1 tc "D"e rm..~ :

Reduce rr'OJm1J x tlOJ yEradicate xInsti tutionalizc pt'lOXCcss/tcchDu<l:RIUICS

Cover cos,lt of xRaise foreign exchangeU~cmove COttllS traints --Acoooropi ish something

U::a.vzzl.. 'T'c.!'~:

Stnmgtl!ucf1lllt1 usc «iua.l i ty

PrOOL'Otcu'll~cntA'5sistE.'(r~m~

DevclopQ),()) I'd i »u;,i "[C'

~4«l!Jkc vi«BbleStilnruuiatc

M~cn qualitative iuudiG~t((J)lS ~n·e nC<Cil.icd ll sudu as hn example 1114bel~, the infonm4ltion l'-cconlcd Illll!JJder the ooxt c~ltC'gory ((Verification)will !be especially r~ertin<lint.

Example of cnud-of •pr(Qlject Stt:iLlItllJS for a2~D"iOUlllt1J.u~11 rcscardll CCf1ltcr:

L Gooper..llting iL'"Ol.mtry sltaff qmiR i flied to lead ~d liliUanageCenter 1l.'liitl!uout outside support.

3. Professional staff cmnsisting of a liliUinimU1l1J of 10 sectionduD.efs q'Jl i tiu ~D. Sc. d1cgrres and! 25 tcchni c i ans wi th JB. Sc .degrees.

4. Denter enjoys intenllational reputation in its field.

5. Center has capacity to prepare and reproduce x number ofextension pamphlets in l. nunurbcr of copies p(n·-nnnontll.

6. Etc.

3. Veri.fication of the GorulitiorJiS Expected at End of Project (B-3]

'The measurements or types and sources of evidence to verifyconditions nnnarking success of the project are governed by ~e nature ofthe indi.cators. ll'hese might require a special data collection effort,outside obsenrers, :.m aeria.1 survey, or simply consulting a cooJl1erat iing­government. data soon:e or obselVmg an operating process. These JmILly beindirect or proxy indi.catol's (such as bazaar prices, to indicateproduction or availability), a coumbination of quantifiable itelJl1JlS, Oj~ aseries of patterns of institutional or human behavior.

Example:

COndition l~pccted:

Vel"ification :

Olntcr rctnjoys intcn1klltiOiool reputation inUts fUlC'ht

Requests; by CUUt"llificd foreign scl1lohurs to~ork at Center exceed available spm:cs.

Oc:ntcr researchers favorably received :Itforeign institutions.

4. Assum1ptian.~ far Achieving PU~ (B-41]

What assUIlJ1ptions UllllUSt be realized if we ~.rc to obt~in theconditions which will exist if the PK"Ojcct achieves its purpose? ~b3t

are the factors over which the projec:t pcrsoamcl h.ave little or nocontrol, but whi.d~, if not present, are likely to restrict the purpose?

Example: L Willingness of cooperati.ng government to provideincentives necessary tlO> hold and st imul.atcprofessional growth of qual ificd personnel.

2. Continued support lI>y govenlll1IHmt of moves towardincreasing dlcccntrali zation of agrirulturalresea)~ efforts.

3. No major dlet.erioratioo in area security situation.

One Jl.lission Evaluation Officer has fomd it helpful to maintaina cURllative list, showing asslI!lIiptious as they appear on various logicalframework matrices, separated for goal, purpose, and output. Mter theassumptions for any given project are put on a projectfts logicalframework matrix, the project persomel are shottvm the listing of assump­tions for other projects. These u~ill frequently trigger the addi tion offurther ones for the project being reviewed.

B. Project Inputs

1. Inputs (0-1)

a. i\h.at are the key in\Xits slL1p-plied by the United States"!Describe in terms of activities or tasks; e,g., providing technicalassistance in curriwllR development, sponsoring international seminars,equipping laboratory, etc.

'The information p'rovided in horizontal row Jl) should give thereader a good grasp of the type, magnitude, value ~md ,timming of kef coop.eJr­atJlU1lg crOJlJUltry, 1UI.:s • and! other,dOlllO>r iJrnputs • n~i{ever, the actual aDIlill't (Q)ff~etalilrerlectoo should &epend in large part on the D1leeds lO>lf the partncnpx;mltsUD1l the evallluation :revi6~.

ns

lb. List key input.~ SUUtpU icd Ib>y cooU1Cr~u.hllg clOlllll1111:ry ~m.dl o>thcr&100rs • Un c~lse there is not slJlacc tU!mllcr n»~ n., ICC nn [))~ 3) Ulm&Ky be !Used.

2.. JLiIJ!)}!C~nt~kthm 'r~HEct."iI U)~ l)

For ~adll of the tiaslks identified in D»~ n 1list Ib>rlQ)~ld CiLllt~gories

such :as c~.i ti.cs (J>,criu..'1U»s lbr\OJlkm J1~ iJlltOl the !tW\{J) (Qlrlthrec UlJ1.I1KjO.'gn.lUU11S), :urtjcip~mt trijll iJrliiil.g, teclmiiC~Kn ~Kd\1isOJry Sicrvices. ( dii reet-&» ii I"emlld!<or contrm:n· Un,Hcaltc lCumUDbltH:y ~ml(nb)JU" ~UB'JnlJr\O)xiirnn'Qtill:CC' C':-q1i!'~D]l(nli hDtt'C' newel.

3. Verificati<DJJll 1O[ [nilillllts (((»n1l2lJ1nJDU (U)<3~

'Ulis eel n gijlJay not have t<o> Ibe ceoollIpneteJ!. nU<O\iwCWC'U", as indicatedilB!bo>VC, it ~ilun be uscd t((J> cn~er o>tUUC!I" ilwn~UJmOJpri~lltc iuu[omllmtiiOJn, sudu asinputs !by t.~c cloon7>el~..ning ICCOJllllllllltn;7' «'I~" other cdlonOlU's, Oil" ilU StlJlII1l]11l~ry of theciOoperatrng cOlmtry o>ucdlg,et im s:.tLUUJJptDlrt of the pWO]CcL

41. u\SSul~tlilOn1).;; [lOr ProvhUlinu~~.uu~t! O»-u1I))

Srncc these ~'u'c IOfttcnn eX!l1l!Dxitt inn ;;\.ll.~JJ. Iml;;limngcnm:eullll: n'CC's.roD1lsnU)in]Hy,it may not be neiCcss~ny ttlO stt~;dt<C'· lth0mID. nf sp:rucc us. aVilUi iilUblc, this isa good p~:aiCe for basel imc "Il:a It;[!l m'Ditn oduer sl1.UlmID~nr llrllfOnIllillltion about thesituation to be ~llJfocltcd by nJJnlljcct ~lIcUvi Hc's.

c. Project Outputs

I. Outputs (c-· n~v,ihat are the mm~ljor lkirrndls of rcsll.ults that cam be expected froon

good mro.anagemment of the project Unpll.Dlt's'? They nnniglhrt iUllC]looC tra.medcooperating oou.mtry persmmeU fforlkcy positioD1lS (participant training],curriculu.ms dleveloped! (adl\'lisory services], mobility ffor local staff(OJllilIIllIKtdilties), etc. 11 etc.

1. Magnitllde off Outputs ~C-l~

The magnitudle of the results arndl the date at which they areexpected to be adlieved. Sonnle offtJme dates will be early in the projcctlife; others after slO1lll1le tiJItrne has e!;a1psedl or near tlhle end! of the p.~oject.

Output targets should be objectively verifiable aDld!, whenever possible,qu.u.antified.

So.mre Missions have fmmed! it lllSeful to prepare a grid that showsthe direct relationship of inputs t((ll ootput targets on an :atnrrllual basis.Such targets should tie in tl'llitth the PIP or other sd:nedlul ing d1ev:i"ce beingutilized in.tlile ~nissi<OJrr:n.

..... 16

J.. VcrilAcati~n of Outputs (C~3]

''['he data SOli~rcc for verifying the ~glflitooc {)If t1Ioc OiUtputindic~lted is stated here; e.g., sd1Jool rcc<Olr((~ (to ,lioy~vicol1lltC lJVI.JUIln1Ilcr tOlfgraduates], s.plc of sales rlCciO>rds (Ito> sh~ rum.lOJunlt COlf iocnms~ in usc uJlffert.ilizer], etc.

4.. Ii\ssmJptions for khicving OutpUits (C~41]

'The input to output 1inBmgc is cOlu-oshHc'f'cd gtC'u~c,r~d If, limt notah'li3ys, tto be wi thin IDlUM:ligealblc cent 1'101 :~mcdl thcr'clforc d(Q)cs not Hbm/C' to best:atcd as a hypothesis roquirirog wilIlitdaltU(Q)n. "U"«)) GCid writ u:Jh tho,scciraJi1l1lsrnroces \\+ihcm the i.nput to> tQ:IJ.ultrult Ifmk~u~C' UJJIJ<i~}' bJc OJutsidC' the controlof pro.h~~ct D1l1lmmgemrocnt, it is nocr,:sSJuy tl(» st~Btc the ~lISS;lllll1Il1JllJ)tions (externalf~ICtflV'.:)) whidu D1l1l11llSt be realized if \\'INC linc t(Q) rallH,afm plmmcd outputs ons~lllcdune..

n.. Q»ro;gr~1lD1I1l, Soctt~rl or SIlU~»sc:clt<o>u· ((;0,,'111 (/1\- U))

Os the projj~~Clt designed tlCl cootu"ilbutctiOl ~Bduic'WcDli1Cnrt of a countrygoa!'? Mmt is the reasonu for t.hc~ projjlOCt --tDuc' <eTIcsnrc'J cnd towanD u"rhiduthe efforts of the ~,nRSS RtOluU m1\d the coo~JIC'n".altling ~OlVC]"'D1iIJ11I~C'n1llt arc din rected? nIfyou fnntll Umt ltlJnre O:H'lOljCClt is «~esngnll<C\{n1ttn> Sftlln1Jumrt ~B su!b:scctor or a sector, ratherthan program goal, state tha~ iJru'5tead. 0If )"ou.n care to show both the sectorand prograrrmJ gO~Bls J you m~BY sep~lIf'iL'IIte eel n A-I hiOlTD. IOlflllta] If into two parts.

2. ~ncasures of Goal u\dlliclJ~nlt ~i\-'2]

Provide here the objec.ltii.wcUy w,erifiable iuldicatiOlrs that willsignal that the project Ws anticipated oontribution to due higher goal hasbeen realized. Most pr<o>jjec.ts uwiJll have to operate 'fith other project orpolicies to :-esult in an identifiable iJlllll~'1ct on a higher level goal, butan effort should be made in every case to identify the pYOject I s owncontribution to the owerall progrmnn or sector goal. As ~ftissions 50cceerlin concentrating their activities so as to make an impact on solution ofsector or .5I1.U'~"lscctor t;,'ugets, t~lle goaln:mi of the li1J11altrix sholLultR geti.ncr~'1sing attention.

3. Verification of Gool Adllievemment (9\- 3)

TIlle measures of goal achievemmt (A- 2] often are expressed in termsU>lItuich dlo oot readily lend themselves to objective verification; proxy(Le., indirect] indicators may be needed. TIlle source of the infonmtionor the technique to be €l1Jl1lployed should be stated.

~. MsmntiofiS fo'r Achieving ('IOU] Targets (A--n

U\hat 3sSlImptions are essential for the project to make itsexpected contribution to the program or sector go~lls? '~ll~lt arc theffactors nt this level whidl mus t be met if the goal is to be achieved butover which management h~ls little or no control?

Example: lxom::mic well-being will promote political stability.

Economy will l:ontinue to develop at projected rate.

Prescnt conditions of pol i tical s.tability prevail.

II L d\nalysis of Logical f'ramc\\'lQrk Linkages

I t is suggested that the infonro~ltion developed above be condensed asnecessary and entered on the logical frrunm.;ork matrix before proceeding withthe next step. '111C temptation will be great to avoid this step by not usingthe logical frnmework form or by increasing the size and nlfilbcr of boxes.Resist this. Condensation requires elLlI1J1ination of excess verbiage andreduction of factors to most important elem'Cots. Analysis of the variousclements of the project design is considerably casier if carried out wi tilthe aid of a complet~d logi<:<"ll fr,~~,,gork.

;;~0l'r1 proceed to the next step of analyzing the !inkages contained in thelogical frame\\"Ork matrix.

I. Provision of Inputs (D-I, D-2]

Are the inputs being providet' on schedule and IS there a reasonableexpectation that the schedule ,.;ill be maintained?

2. Transfonnation of Inputs to Outputs (Ro,.; D to Ro,.; C)

I f the inputs are providal on sdledule, is it reasonable to expect thatthe outputs can be produced on schedule? If not, '-:hat changes are necessary?

If you are lUlcertain, three primal)~ factors should be examined:

a. Ibes the type, quantity, or timing of the inputs need Tt~vision?

b. Are the project outJUt expectations (C-2) realistic?

c. Are Lite assumptions (C-4) realistic?

As a result of this revie\.;, c.1}anges may be required in the asswmptions,i.nput requirmuents, and output expectations. Make a note of these changes.

18

At this p..,int, }tou m.'ly for the i· rst tuoo be faced with th~ question whetherany of these changc~ should b~ rell~lccted in the logical framework pre~lratiolJ)

or \~hether they should await the Evaluation Review. There is 00 pat answerthat: \.Jill fit Jll "" :ClmStauces or ,,,orking styles. However, a good nlle-of­thumb is to reC ~~~t in tne logical framel(ork those dlang<,st'1at can be madeby the particil~.Lit.s in the logical frnmc~\.gork preparation (e.g., ProjectOfficer, contract ':hief-of-Party or cooperating-cotmtty representative), burnot those requiring concurrence of top Dll'Umr'gement.

3. Transfommtj.on of Outputs to B\npos(~ (Rm.g C to Row 8]

The validit}' of the hypothesis that achievmcnt of Elanned ou~uts willlead to aChievement of proJrcL~sc iSlllC'key test ol'-l)fo~ctesign.This is a prediction that 1" Ie outputs are successrurfY pro ced, thCpurpose--·dcvelopncnt.al dmn~c--~d"ll in fact he oi'llttanned. "fE-stiD]~ th~

hypothesis that achievement of outputs is 1ikcly to lead to achieveme .t ofpurpose consists essentially of f~r intcrrelated steps:

a. Testing Projcct Purposc Against Conditions Expected (B-2, B-1)

Is it reasonable to cxpect that the c-mdi tions cxpect~d at the end oDthe project really \,1ill represent adlievannent of the project purpose? kthe project persormel are pressed to outline the objectively verifiablefactors which \'lii11 mark the achievement of the purpose, they are likelyto note that even the achievement of these specific conditiollS would notautomatically represent achievement of the IHoject -'urpose. This may weIbe the case, but if th~ conditions expected are well thought out, it canusually be said \'liith some degree of certainty that even if the achievementof the coaditions expected does not guarantee the realization of th£:project purpose, their nonachievement is likely to signal lack of success.It is with this in mind that the relationship should be aP-alyzed.

b. Testing Output and PurJX>se Level ;\ssmaptions (C-4 and B- 4)

On the basis of past eA-perience and familiarity \'1i th local developmentsare the assunptions relevant and realistic? I f not, \.;hat can or shouldbe done? Are they inclusive; i. e., do the}'" cover the range of possibleexternal influences \~'hich could substantially affect achievement ()f projectpurpose? Have policy J environmenta][, and behavioral factor.:; been considered~.

Does consideration of assmnptions result in a conclusion that new inputsor outputs are needed to assure success? On one occasion, project peTSOIme"assuned a doubling of the cooperating-country budget for the activity.\\hen asked if they expected this, they replied, uOb no, we just assuneditP' Such "assumptions" \~ilidl are not realistic reveal a doubtful projectdesign.

c. Achiev~ment of Conditions &:ix~ted with Outputs. Provided0:-1 to B-2) --

Having detennined the kind, timrng, and magnitude of the outputswhich r~llistica11y can be expected, consider now \l.r.hether the productionof the outputs is likely to lead to the set of conditions which arcexpected at the end of the project. If not, what other actions arerequired to accomplish this?

d. Attainment of Project PUrpose (C· 1 to B-1)

If the above three steps have sharin that the Conditions Expectedat End-or-Project will indicate purpose has been :lchieved (B- 2 to B-1),that assunptions are being borne out (C-4 and B-4), and that achievementof outputs will result in EOpws (C-l to B-2), then logically, achievingthe outputs should result in the project purpose being attained (C-1 toB-1). Are yOIl convinced? If not, revie\"q project design "nd aims,conditions expected to exist at the end of the project: ":.x.sic assumptions,adequacy and timeliness of outputs as well as inputs. Can you come upwith an alternative in which you hav,e confidence? If not, the projectis in trouble. As t1:ey say in ~k>oopoly neo to jail- -~l'o not passG:>- -Uo not Collect $l())[]. u

4. rransfonnation of Purpose to Program, Sector or SubsectoT Goal (B-1 to A-I]

The examination of this hypothesis ,.gill require at least two steps:

a. res ting Measures of Goal Achievement Agains ~ Goal (A- 2 to A-I)

Are the indicators of project impact reasonably related to the goal?

b. Contribution of Purpose 1:0 Program, Sector, or Suhsector Coal (B-1 to A-I)

Are you satisfied that the achievement of the project purpose willmake a meaningful contribution--either directly or indirectly--tffiiardsthe achievement of the p:-ogram or sector goal, talking into considerationthe extent of the problem and the ma,gnitude of the inputs? In all butexceptional cil"unnstances, the achievement of a single project purposeis not likely to result in realizing a program or sector goal, yet itshould be possible to establish enou,gh of a relationship between the ...woto establish that the goal \.goulc suffer \nthout the proj eet.

5. A1temat~ve Project Design

F'urthennore, if the project involves selected areas of dEmonstrations.,examine whether the kinds of input/output ratios can indeed be replicated.For example, one extension agent \vIOrking ,,,,ith 500 famers raises production.However, it will be imposs ible to maintain that ratio of agents to farmerson a national scale. A ne\'8 approach will be required, such as agents working

with leadi:l1!!, f!lrmers ~fto., in tum teru:h their neighbors. Similar' eXIil."lIlplesof .u lack of cons idemtion of proportiorlUll i ty b~buoon tlI1e DlItC~ms c:wtplcpycd :mdthe size of the problem may be foWld in Vlll11ny ltyptes of projects.

You have nOJ~'~ oompleted f!h~lSe: n of the PJ'\. ..:c.ss, the rcexmlIimut ion ~mdunalysis of the projoct design, ,~hich r»reccdes the cV$Bhmtion of progress.'lhe next step is to nssess the degree J)f progress and thp extent to whichchanges in. the environment rumy affect the project.

IV. ~amination of Progress

A. Key Inputs and Action i\gcnlts- -UlJclrfOrmmiU~u.c.«:, !\mBl)"s is U~'(()lr1l:;5hcet3

(r:OWplete the appropriate Perfo.1lll1Jooce u\mdysis worksheets. 'nuefoUO'l/I7ing forms are provided :as u\UJJpcndLx C.

I U c .~ . ~lrn 31• ...Jl. net non .~(mt -II • Input - -«((»Dll1IJ1IIOd nIt i C5

III. I npllft -- ~bar It lie ii UJJ:'lIDUt 'ru-a nDb i nr.,IV. Action u'\gent- -(:ooglCu-all ttllDllg ClO~mttry

V. Ac tion Agent--OtBllc·D" Dm,nmn-VI. Action Agent--A. [. [l./U~~

vn. Action Ii\gcnt-·-,~nlissiiq)n1l

'The worksheets in their present. fonllD CM serve a very useful purposeby outlining those factors \"hich dctcmine quality' of performance and bycalling attention to action required in order to remedy problem areas.

There often appears to I,~ ~ tendency to downgrade the quaIi ty ofperformance in the roUT'S..; of disrusslion and then to marl the factor HAsPlanned.~" \\11ile this may seem to 1b.c the politic thing to do at themoment, the Evaluation Officer sDuoold point lOlUt the implication of sodoing in order to avoid self-deception. This sort of attitude is likelyto defeat the primary purpose of the process, that of initiatingnecessary remedial action. [n addition, the project personnel might alsoeventually find themselves in the cnmbarrassing position of having theirproject in trouble, \>Nflile according to their mom past statements, mostif not all perfofmL'1nce factors had been essentially Has planned.~"

In c~Wlpleting the fOImS, the Actual Impact rating cmnnpares theperfomance of the ghtren input ~'t1idi the plan, ~..hile the hmport3D1lce factorrating indicates the extent to ~~u.id1 that partirular aspect ~_5 critical

3/Section C of the [J).S. Action Agent U'l."orlkslhteet duplicates Section JB olffonnn AIlDJ 14120-43 required by the Office of Contract l'hmagment in 1:\. n.ll))./\l'i(! forewalUk~ti<o>n <o>f contractor perfol~ce.

teo> I»['ojcct success. &::01" ~X~lL;Pll.~. px:u,th:: nD">~mlt s~liC~ tti(Q)lI1l VUlli,ght IhJc IbICJlIJndsiCl!lcdulc, !but lthc adc.Utiomttl ItraUtl1JiC.tiC$ mt i1Il!bs4)lut~~1 !CSSClI1ltil.cll ltlnlUd.tiJrntlltc projcct :sa.lICCC$S ..

My ,factor r;atcd iEWr~:l!}':~ 1;i,hirch is als((}) n'bltcd CC!U ~u~r'~~ti w! o~Not lic1lblc prCSUlllll,,'1 r mlMidis ~maccem,tmtffs altlt~U1JltlL<OlUll .. ~cwer, llt]LSi rcoogluz," frWlt r'lClJlJ1YC\dIial ~u:ti(QJ11l m ccrtarn \C~It((}~((priCC'$ l!lJ1lig,lhrlt 00diflfiaalt, ir flJi.H' iJ11]lJpo>$sibl~.

i~lcn it coomes time Ito tnlU!1lslfcr' lthe llIl\£Blta 00 ltlIlIlC in)(dliw 11 <dht1l;;1l n. w<iJ,u·ll\s,hcetsto page ,2 olf the UllAA rol'\l1l'~ (Gl>crlfOlt1lJ1lJMCC olf &(cy Dtr1Jgmalts m1Jedl Q'\ccU(QJn P\g,ents)l,it will 100 found tHlIat thcn:~ lis 00 sg1J:JliCe 1t~1) StlJlllJl1JlJlJ:rn'li:tc the findings ofForms VI ~md VB (U\cti\On u'\gcemt--i/\, .. L U\.jI\~ ~lIuUJJ 't}Wiis.s,umu, tt'C'Sip:~cet iwe' ny). hOi~\\<ewC'rJ

since My :action !to b'c ta!k(cm 11»1 eiltllurcr iOJ!f these :liS ~1l rcslldt (Qlf thecvallLmtion review is llik(i'ly 1t\O lbJe rICfnraxct<Ctdl <Oitt1J U1\'1Jgaa' n off' ltIfuc UllAA, this isnot li.kely ro preseUllt ;DI scrn<Qillus IJllr~l))n<Cllllll. IiU ttcm:rultll~lcny, YOtU my wish Itouse ~my space Oull p~BgCS l ~md 3) <Qlf ttJlnc g»AA ut<O>lt U"c<£t1lunrc'd If<OJuo ()lltJuc'r <entriesto sWIm1I1larLze the p:erftOlnTI11Ul1iCC lDllf eli ltllncr <QlU" IbxOltt:1hJ (())[' tlIncsC' :JCHOl1lll agents.

B. Projoct «)utputs- .g lJnOlgn"C5s;. It<Ol ~)tu!tee'

~en evahmting progress inn UJ)~ac rng <O'ALUltlPuls fo>y urn.CMS \Olf ttbils rOnlill,review each kind \Of O'J.Rftput, tlIne <Ol~lIltpUt Itarg,rc:lt pmo:«lllllCH\Ol1lll nC'~cl, and thedegree to ~idu the prodlrtllCtloU1l ([))If 1tlIniis (OutpUIt is <O~ sducdlUlnc. Recordthe targc t pc rf<Ol f'IIllIl."IDC,C cr it Iter iiq,'Il f r\Ollllll u:ftue .'Illtrix ce-n ama c· 2 l!Ji1lll ttfucProgress Revieh" w\Orksheet for p>rojjfC:ct «kIIltputts (Apjj1<C'1Illdlix fi)l)). nndicatcthe actual perfo'l11la."IDcc <''Ilgaftust liliclt<''IlTgelt, and rcwise, as 3p>prOiJllriatc,estimates of t;arget levels and! ctOmlRJ>lctillon datcs £'1\))1' cam output based onprogress to date. Part H of the PllP, the JPlIROu"LG, (l))K" work plans will\lften provide a basis for onmparmg priiOlr plansttOl actlUlal pcrfomam:e.Conversely if specific pl.ans diid nl(Q)t exist 1b>cf\Olr(C' the' c~allUlat:il!Jin, YOllr

work am be the basis flOr next ye;anr"s POO\G aD'lld wOl:rk plans.

Use as many wlOrksheets as 1mu neallm Olrder tOl cvaluate all of themaj 0 r proj ec t ou tputs; or, if you prefer, ID11l3ke up f\OJur \OJu-m formus witilmore space for either q[u1IDtit.ati\?e or qjll.D31itatiwc htdicators, depcmHngon your needs.

Here then, in readily visi1b>le fom, it is possible t(Q) ascertain at aglance the current s taws of output prodOCtlllOD1 crnmpared to plans. ~~'1hleD1l

yoo find una.'1.ticipated shortcCOIIIl1liU'gs or perfol1llITWllce aOOwe that pl~1rJlned,

reexamine the pertinent factors IDiI'd repJLalffi as appropriate.

One of the important aspects of evaluation, which is nOlt specificallyprovided for in the ~'liorJkshret.s nor' in the fiml Project Appraisal ~rt-,concerns the unexpected! effects lOf an activity. 'These may be either goodor bad. We have reached the first point at ~ich such W1Iplmm<edresultsshould be considered. f:or ex.ample J cooperation amn:ong fa.rnners on 31m

irrigatioo ditch IDIDay lead to cooper~ltion for marketing. Mllch of the

22

unexpected impact may be ecologiall.. &eClOOJDing m"ar~ of soch WllplWUl.Cdoutputs my also prompt rcplmmrng, just as do O'J'er or lmdcl"glCrfoDll.'Emceof plmmed outputs ..

e.. Blrogress 'Toward Hod of Project ~)tatus_CEOPS)

In cell B-2 of the logic4:111 fratlrll4~lYQork utrix, the conditions expectedat the end of the proj(::t are rocolrded. nn cell B-3, the mJLethods forverifying that these conditions exIst. are cited. on the worksheet~8£ess 'r~~rd Conditions ~ted_atEfkI of B'>1'Ojrrst (~pend:ix E), copy

c escrIptIons of oonditilOiJiS:"VOd81~ . Irst two COlUMS andthen ascertain the degree of pr'CIgre~iis U111k'1dc,mclaming any uplamed dm,nge.

Does the verified progress to ~.te give you confidence that the ex­pected conditions will Il>c achievlt-'(J. ()n schcdule(~ Or' dIocs the prog'ress todate suggcst that the ElGP'S will be ;achievcd even earlier than anticipated?If there a.re problems, ~at c001d I!N~ dooe to increase the likelihood thatthe conditions will be renUwd'P nf emy specific conditions are not goingto be ach.icved, what, i.f nny, ch1mg~j;nccd 00 mdc in the p.roject?

o. Progress Toward u\chi.<.wt'mlUCnt of (;1001,

Examine and record the evidlmce that suggests that achieving theproject purpose has radc or Uviill Dr~,e a contr.ibution to the program orsector goal. A worksheet is provided in Appe!'ldix D. 'Jake note of anyunan.ticipated dev·elopmucnts. U'lQilll the adDic.."annent of the project purposemake a signifi.cant con.tribution to the progrnmnming goal, given themagni. tude of the problem? Can yoo cite specific evidence?

v. 'The Evaluation Review

In preparing or r~viewing the logi.cal framework mtr:ix, and thpncompleting and analyzi.ng the ''I1orlksheets ,. yoo have completed the initial stepsin the annual evaluation. of the project. At this point, the docU1ll1llentationrepresents the most rurrent stateI!lJ11ent of both project design and prog'ress.

It is assumed that the Evaluation Officer has kep't abreas't of the work orhas participated in the preparation of the doanentation. It is nOii hisresponsibility to organize and guide the review process frm this p>int on.The procedures will vary from. lftlissioD. to ~lission (or between A. Y•lDl. ,IW actioID!offices). yet the prmary a.im should a.lways be the Satrnl'...e: t(ll p'resent thef.indings to interested parties and to encourage the interactive processdesigned to oonfilm the findings and to facilitate any required replanning.

A. Purpose of Evaluation Reviewr

If the Evaluation Re-..d.ew is successful ,the participants will CllJOOe

2!ltQay wit.h answers to the following Q[Ue5tions:

a.. What h4Sthe project InIchiwexl to d.i tc?b.. &bw doosthls :.dlicvmmt clQll/MlParc 'Wi. th pr~vjioos B'>l:ms'~

c. Mmt is the likelihood of the proje..:lt arJ»iwJ.ng its ultiL"llte(lUq7.0se?

d.. Is it li.kely tlmtthe projoct UoUU I ;'~1l\:1~ th.~ c~ctcdimJgNlc:t

on a progrmtming goo.1?e. WJlat unplanned donnges hawe occurred Md lliU»:Dt are their effects?

In addition to these evaluative ~lllllesti.oOllSt"he 'e'~ictpq shotild alsoanswer three; forward~ looking question:s:

ill. What altematives to the rorrl~nt plan mn.crit C\~sid,~rat..i(Q:n?

b.. COuld the sae purpose be adbievcd DJD){)re efficiently UP; otherEans?

c. What changes wouldimpro\1c tlhlieprojoct?

'The Evaluation RC\tiew should oonsider UtPhetBber aU'lJr m~lIlges mLlg,htincroa.se confidence i"l lillr'hieving, the :successful clQlimlp.letiofil (llf' the project.For example, what if the l..:"~oorce iroputs W1ercmcn~~lIScd1 ftrrollJ:!d :itassure achieving the project purpose i If clQ'CIDlIlDlOd.itic~; \\rerc provided althoughnone are poovjded nm.g? Sometimes oow i.lllSiights vmJa1 also cme fr()mJ askinga negati.ve ques tion" such as: ((oohB participant training he dropped?Or" what wou:d happen. if the project WI'C tem.iJ1Jat~~d·?

- Questions identi.fied asiimmporttmt during, th4~ cwaluatioo p:lanning ..

it\ddi.tional speci.fic issues rai:;cd in the course of the analysisof project design, and IIIDlea'SUJrelllnC.U1J:l: of IJ'rogress ..

Impor.tant issues raised by u\ .. [ .. fi)) .. !UYJl or <OlltBne:rs.

B. Participant.s in t.he f'vallllaltioo Re\'liew ami 'Their fmc:tions

The key to a successful. eyaluati.on is a st.ructurcd Evaluation Reviewat which various Yi~ints, Bernds ([J)1f experience, and skills are broughtto bear on the project. IA brood-basedrcyieU'tU panel viII usuallyfaci.lita.tc (1.) the inclusion of a 1kiDide ·range of organizational consideratioJ1lSin th.e review- of project status, (2) understanding of the projec:t by keypersomel, and (3] theimplanumtation of action decisions.. In addition,pard.dpatioo in th.ereview process offers a valuable educationalexperience b1hich benefits both project technicians and lIlITanagem.ent, thushelping to close the ci.rcle in the planning, immplemrnentation, andeva]uation process.

'The c-~sition of tbe panel depends on the particular p:roject, localcirOJl1l1l5taoces J organiza·ti.onal relationships J and staff capab.il:itiie::: oftbe .interested parties. It my be advisable to include in the panel the

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ilDiC-'iC' ii $ ii~m,; clonccnu iigu~ lth~ lr1Jrojj iClC' It» \O!lr' &u~.lL"ii ~JHClC<e-$S IllOJ ~;(()JJl1ll<C«JlDt(Ci wUuCOJ \L\ilWb ..

r,1I.. U:r\O)jJ~~1t Strof!. (lc:lidu~r lt~((1' ~'nlls~n\Oiun U»U'\QJj«;Cll (nJ f'If!C<9'J:,.. ClO<OJnICTu:ult ll~U~~C«1IlIlnU~a r'iCl»n.~~~n~~u It uvc.t. .~!_J!UtC JUUltc?!!n,~~.v.'ll!J;» (;mu ~1)r'«)I'I/ Jl({]C' " ltJri!fC' U)l\luu~b "~rn Uu~u n»ncii \I.~$CruU»tHm IO>f ll1IuiC nn«llJiC'Clt lLDU UUrc' fC\'IcNUIL ~(OJW'lI,(~ ~caWJlCOW' pkllrltu cC'llnl\,'1.uuts:lU'C aUiOllt !f'tlUBy iCiQJn1JIVCU"smu t ~i/i1lLllll ttJJu~ liuiClth7lllty It ~ ~rc s,Uu<OJtlull til \\1Qult H TlIc·lt!luC' ~,muC'nd

DU\o>jiciCtt dcsli~au mud r<e:~r'!t <Ol1J1J u»crlf'(Q)tt1nn}.'illou1cCC' dllUd.D1)~ ll1I1l<C' B)~r'u~D QJJ;td!((;U" U'C\'lucw' ..lUuiC' ij1)U"lQ)j(octt: St.urr m]Ju~Unt ltlIuiC'au n,»roc!C(l!1tII \WultH1J ~1I lbJld(C>lf ;;UUl1l1 nysus, «)If uul!tlC'rJ1!:!lItu'lPcs.~Jh li ch 1l1Tlrluy llU:i.HWiC /CWlQ) IIwiCd lin nn'iCi1Xlu U" rn~ ItlIU({)l U))uu(dkjg, n'\Qij.llJJu{~D ({nOCllli1i1n,~UU t:ut ii (();rJl.n::uaw.un lly, rllilms lfeo>V" ttlIuc \clQ)mrullau~t YiC;;U' :s;Ull<OJllUhD llw," ~)D1)(frllllec'«D <Q\lult» HMHsltucc!til»r,giC!tS <OJ!U tll unc"t, ;;lU!U(d! ;;DC t Um1l.S U"iClC<ul]lJlnnKO'U1)«llIC'ILD IWUD lidD IDntU ~)llD It <OJ U" ~; llL'Olldedi bc takenlbJi' t1Iu~ iMli.'SsnlOJU1), :\ ~ n• ~ \J. !\\\~. , tBniL" li uu ~!C' u'1nn~lttlu;;u ry, (0) u·· It nu<c, ~:<O:{O)nI<C' u·;;u ali uu~, <C'<OtLm It »'y •u\R l(cra1l:,u ItnVIC n;)7, ltlIuC$<C f:<DiC It.''i> ;;llnd u"\C.'C«)JnTIlnmcllu(dhu It uml5 mm n~,Uult cc\omCC' UU1J r-CCS.U10IJ1lSClt<Ol({que'S t UI(mS If U'\C'J1T1l rcvu <c\w DWU r tll c uD');;UBU!tS; It

s. 'The nUrt(),lgril.l (Ornccr sll1l(Q)lU ll«D r~u II SIC ii:s;:s;u.ucs s; li g,U"u li f h:lillDlJt to 1!4lissn001

:tmdl iCooD»,~r~ll tlinWg· CiQ)1Jm1) try U'lYOl llky ~mrdl n})lI'·~~.nl!llll1JnrullBUg, II &'mcJI (Cs; It;JJll)J] us.h tt.1hJc'n linlk,B,gc'S lI~clt'\Wc<C'n the rU\Ql,]lC'Clt !~llDlI'jJ1YQ)5<C~ :.1!nl1lll rU'\O~,»,;allmmliUlJ~~ g,tQ\1ll lls.. ~~(\))JPiC'ffunr,

he !WU U be ~1I11.»llc !tiD> \(llcu~iiwc (on" <C<OJUlJ\7iC'Y tthe f((»ll llCO\\\fllUllg tHn<O)lLu»~h dttC' ~~ce''IllltC'W:

l( ~1l» u\ Cn<C'~;urc 11" lJ.ID\(Ders It:rmf!llli U1lg (off lt1Iu<c' [l)mjj c<c1t "s r r~)ji c'c ltc<dlclo>nftru!b>utiiiQ)UU t({» t]De oIV<C'Jrann <d!<c;w<c,n<OJUJ:ffimc'uult nJJU'tQ1~r(ilJl1ill.

((n~» (io>U1lSiiedlcr~lltiiiQ)U1l (())If' the n!ll11J«JXLIlcclt <off the nJlU"<o>jject 0«11 lI'<c'llatedlprojjccts ;<J!nl!<d! <Onl! !bl1noxad nJXOl nli<Cf <OJbJ jj <c'C'.ll\"cs II sudhl as 'Ji It h<c' II X•

r(c» JD)iisoUl.ss~<o>n.'5 'aJ If d1»:rmges U.au IlllU:;U jj<Oll" ;[JISS1U!1Ji1lpt n({)lrDS "mdl1thc i TmrniLtGclltii({)lDU.'S f({)lu" the g,crerall pmgGw.

6.. 'The ('JO)re;ultumt Ib>rings Ito the Ewa]ualti({)lnl! D~c\"i<cw cwid<CD1lcC "mdlexpert jjUJ1ldgmcnt from mntsirdle. llbs differmt pcrsp«xtiwc GUnl! bc b<Ollth m1l

:asset arui a potential lliialb>illilty. Om ore lhlanlled there DJillay bctHu<c' <iBfuJiinityto see hidden assllmptilOJns mud Dll<C'WT ;.dtemattiivcestiliat hawc prcwiolUl.'51yescaped the !Project Staff II 1J.>I:hiiJe (Q)DlltJlue o1tllllcr 1thcTc is 1tlIllC P{))tCD1lt.iad1liability of m1l outsider" S sUjplcrfiicii.al 1UlII1lcJIcrstm1lcJ!iing OftHllC local sitlUlat.iOD1l.All in aU» hroMewcr, m1l lEvaluatumll ~w-new is all good fonm for du<C' outsiderto sh:arc his fresh wi~mt» his cwidlcD1lce, and any new iD1lterpretati<QlllllSof the alternatives a\'7~'lil.aJble.

7/. [1Jtt:her particip:rm.ts mmay !be albIc' 1t<OJ .'1lkc lke)" loontri1hutiOlnllS ({)lrderive ii.umpolll"tant lbcnl~fits flUlIl1l tltue IRcwieWT p,,'1alcl lJIWC'etiurugs. For CC'X:illlllIl1JP>nre,fhlktll,IDJcnan officers emu ceammmcnt Oal pr<Olposcd inlliitiiatiwcs iLmd 1hcCClrnlllliC' iiIDJf<O>l1J1ImJcll

26

of plromcd dumges. &l>oople involvcd in rchatcd :tkctivitics ~'1y bocOOllJCbetter 3clCuuainted wi th tlluc pr'ojcct under re/iew'.

C.. MwmccRricfu!1&. of l~vallUali<O!n ~tcvicwr Pnrticipants

'The extent of advance briefing :t~cordcd p.llr'lh:ip>~trots in the~~\1aiwlltion R(Wie~'17 is H,kcly to difi(~u" frlQJJl!Jl ((j)r.g3ll1liZ~lItioru to or'~M.izatioR1l.

One po>ssibility is to provide ~'Bll pIt'lrticip:twts wri Uu copies (()Jf thelogic~JL1 fr~cwork matri.x.

Other sysltll'$tIl[S :arc in use mud lW'orDdng IN/cH. «Jnc ~Uis;s, iOU1l,;;ullmllits toUoc nUroctor ;a narnatuwlC Sll1ltfi1lJlJ1).1l'f)· (Qllf the UlJrojcct:t fIndings, andreOOOIilli1Uenthllti(()n~ ~>~hidu h~1\1C f'CStl.uH.c<dl frarru preprBnu:iOln (QIf!thc /bJad:groonddocll4l1I1lootatill1ln. Dn m1J.O)thcr' ~ni$si(Q>«u:t !the n~\7.n1hmU<o)n Officer subnlllits tothe [J)irector ;and tlluc Ul>rojccl Olflfiiccnn uu brief mn.'<Cmnm)r~h oUltlining the!key prdblCll1lflS ~idu h:avc SQ.Rrf~llC:c<dI in the ClQ.llUSC or !the ~1u'c,mration of Jlelogical fr~.~/,())r~, udllilc hI) yclt (Q)t1l»~~r' nulls;!tmucccs, tIlue' n»iirccltorreccivcs anoral Ibriicfiiaug prii(j'J)Jr tro> thc ~::V~uhu:.llU«:m IRCVDtw.

S{)liJ\l'~ Mnssiioaus Rlk'1\WC f(Q)lJ,md ii:.. IlIlSCftUlR !t<OJ DlJro\7 iidc tt:]llC' Evalualtion Rev icwpanel il1I1lfClliObcrs wi lth ~ll ClQJJ111lu,»nctcd <l.h~1lftt U»AA. "f]f.C n rst page, reflecting~Bcti(llau proposed (Q)r rlCl4HQ.uestcd, JiIII111y \b;(~ Heft lb>hmk amdl then completed afterthe il1I1lCC tn,aug, (Q) f !the gro~UB)).. b\Jl tCI1Ilk'1l!t.il 'We Hr, dll Ii s page may !he usc'd to 1istissilles for tlhc [~C\\7iiCM. ~n a.ni,ssiimns c<01lI1IJpnc>tc paige O>lIl:<C', out nina ng tJllC'rocOJ1lllli1Ucau:Jlcd ;acltn<oaus whiclll ~llre tllllC01l rC\\\7iice~,gcd, "'BD1ldl·,~as alPproprnatc--charogcdin the roursc of the 1E\1.n1hD.t'1ltU«Pllll 1R<c:'W ilC~. 11\ ~»M ~iU(QIrks1hlcct is p.ro\l'idcd inu\ppemHx f.

l1hus. the duoiiccs ;ar<e IIII1lL'1InlYO ;;llllOO! ccrtta.h'o.Rr shmdd affo>rd s1lJfficcitmto~orIlJI.ID.ity f((})r i01ldiiwiiedlll.l:cd styles mOO! nocal d1iffcrmcccs.

D. 'The IRev iew

As 1I1l11Udll else in ltlInc process, t1Ill«~ sccnario> fo>r ttJtnc Evalootiwn Reviewwill depend illll large part iOln dlle Dllattllurc iOlf due pJlr({))jcct and the personalitiesof !the Evaluati«:m Rewiew p,t"mcl mmemnibers:t ii.llS UvCclU als a nnmlhcr of iOlthcr factO>Jrs.

initially, the !tb"o /key acttors q,giill prcsUll\l.abl~'!be the EvaluationOfficer and the Dllrojcctt Officer--or mle of[ tbe other parties O>Dll theProject Staff.

in many ciramIl1l.st.aD1lces, itt is Q.llscful for duc Ewaluation Officcer tiOlsenrc as the mmoder;atiOlr. and/or oam.entatiOlr m1ldre[1ort~Jr. iDe is not, bn1;'"g­ewer, an evalua tor. nDe is IlII1W1l.ag i Dllg a priOlccess to> !benefit others ami willgCD1lcral.ly find that ell relatively lI~,ssiwe style of inteuvcntion willprow ide the best results. [n the e,;cnt the ][)iIrcctiOlr, his IDqJJuty or liB

cooperating-cOGmtry iOlffficia] dmirs tllne Rcvic\l>U, itt wi 11 be fDCCcssary !forthat, person to thoroogllly ffiL1IJI11liHarize ltuimsel!f wi til the preparatory \\\{or.k~ucJm has pr'cceded the Rcvie~; i.e. J the fj,ndirng,s developed in due <CIO,\l.urseof tJlDe prrC'pt'1lratiion oft1llle logicc41l1 fn1lll1l1lamrk ard ll»TIOgTe:ss rqmrlts.

2'71

\VI. FoU!O\~I}

A. ~3ration OJf t~ PM

'111e PAR sC'C\'Ies a dwal ptIrptOse in that it provides 0\. LDl./f!\' w'ith SOlmJe'

evidence, that the project has boon f\e:vicwcd and, nit the s(~ time,represents a record for the Mission nnd for ~\. n.n)).!"~· (01) ~lctH)iUllS proposed andagreed upon. I t is not itself roll ""aJction"" docUl1lC'nt, that is J the Missionwill undoobtedly need to send lLlI tt:clcgritlWml lOr nirgnm Unrvlluglu the U$uaUchannels to rcques t an m:tion lbJy v\. n•U]. /lie

lr the steps preceding the 9»AA prCOJ(llnlti<OiD1l h~ll'We boon carried wt ina coll::loorative way between the ~Ulissi\QlBb ~'iln({n lthe c«);O!PC'ralthn.f COllmtn" .• theUllthe alAR can be used as n jolLnltll'IC1}())rt of findings and sulhmi.ttcd not onlyto A. B.B).!a\' but, lif ({Hesirall, tt.(Q) the cooper<attliD1lg-«:<O,Mlt~·~<o>veU1llillm,enlt as w'cl,LIf the "nissioD1l an~U tUnc COOn~nlltUun,lg C(OUDuDltry cBc(clt It<o> prep;ll1rc ail<o>iUllt c\"aA­uation report, and dt."'ChBe tl()) lLl5C samJle fonmalt (Q)tbcrlthoo the PAA, the~nSsnC(J)Ul ShiQJldd sulbJJi1uii It the ]((»nuutt CW[Rn\tU~'lllt n<o>nll reiW),u"t 11:<0> ::\. n. [J).!ft(\' 1l.m&~r c()\"cr ofpage 1 of the PM wi th 3iJ>lProgJllriatc project lidcnti Irication date (~n '1t ~c,IllJll1l1bcr, etc.) entered on page L "U'11Jlis n~PJOJrlt willi fulfill the "Unssn<O>Dll"Sobligation for romual submuission (Q)f the «bAA per ~t({)).H))1~.l.

'The c011JUpletion l())f the purl{ is h1llg,cly DlllIcmaalliC:iB1 , pro\"ided the logicalfnwework matrix and the \>l,'l(Jlrlks~Qoolts lIuave been prepared. 'Thus, page 2represents a sU1IDJ1:!1)ary of the Perf(Q)nt1Ik"iJJDC~ Malysis ~rorkshects; theinfoDJ1lation on page :3 is identIl~<Ill writh that developed OUll the ProjectOutputs- -Progress R.ewneU\1 ull."orksBue\."t, v,I\'illii .~~ aU lliinfonrrmrttiion OOll ~~,e\ 4,(l'.rc~pting itCllllU m.mlllJber V B, caUl be lL~en vcrbatimm fn:rmm the logical frame­,-",ork matrix or the Progress r~'PCCted··-rroE'ress 1Re~7iie~ ul\orksheet.

On the odler hand, UNew kt.i(Q)OlS JP>roposed and n~equcsted as a Result ofthis EwluationU OUll page I of t]he PAA should reflect the decisions reachedby the Evaluation Review. It is strongly recmmtended that the EvaluationOfficer, or whoever chairs the ReYiewr, orally summarize and record thedecisions reached by the Panel. Hnthis fashion, any objections orqualifications can be voiced and resAJllved immuediately. If this is done,and assumi.ng that all concerned key 1P'roj~t persollmel are ilWited toparticipate in the Review, itt should be possible to prepare the PARinmediately upon the roq>letion of tb·~ Reviewr and submit it to 1:\. I . [)l. /IUY/.',,~ithout the need for further clear;J1r".es other thaD'll toose of the ProjectOfficer and the "fission Director.

F Fol101Wlup on Actions to be "rakeDll

lIere, again, it is not possible to develop a precedure udllidu isapplicable under all circlllUllStances. Yet it would appear to be a goodgeooral rule that the Evaluation Officer (evaluation process mmanager]should not be charged with supc'T\'Iising the foHoou/Pl on actions decided

upon by the Evaluation IRwicw fUllI1l1ess h~ alsCOl has ogw;~r'~uHt1JlmtR r({;s;U1lOJtf1£5ibH liltli~:s

such as tBurosc of :1 Progrm1lll Officer. 'This tm;1k :shoold lbJc left It(()) theofficer usually charged wi th kcqling track (llf ~n1ssi.cCllll1J :nIcltioll1JS" $~»('h ~G

ORputy Rliroctor or i)rogrOOllJ Officer'. illilrtlwnlgh the a~vu-~ll1l~lIthm Officer Cc"Ub j

mad pCrh:llp:s should, Uil'j{dnL'1 in a nlcro>rd COlf ~ull~cv i C",g dec ii s i <Q)n.~ ~md no teethe ace tions taken.

M~cll1J possible, there shouhU 00 chlJ5iC' coordimlltilroiub ll.lxc!twCCll1J the ~\nU5,%ll«):U~m::tion agant, and COOpCf';<1 tting iCiQJlIlDutry <QlUb r\O!H~llUrr') :;lIle Ull)JOU:S ..

G. rj'ij~w~ fpl" 'TcmJimuttlins U»r'iO>]~'ct$

JI.~mllml Order 1026.1 <OJUl the 81l D'\OljjCiCtt u\lPJU'>r~ll ii .'S~u 1 O~q,,«»r'lt is S iiicnt <OJrD th'Cquestion of subJmlitting, ~ll PAR alt ttJluc tC<OJlroclusi(()JlI1J (()Jl[ ea U'Jro,]cc!t, mrtdltlhic'present fortmmt is not lid/cally sui t({'i{,U ei lt1Iml" If((}lf t)"iJr~)g, upJ lO<QiS',c cnds IOlrfor transfer of experience. E'(cc~J)t tlmKftC1l" 1UlIIm$tlll:i~~ rcnU"(1UIJm.(5',ltliIDCCS., lth<O'rcwill be If~, if "my, Ifl~ ~uctiCOlIf'llS g»lI'\OJijmse<dl ((}IU· rcx(~~UlC's;tlcllll :IUS :Ill rcsllll.llt or :Illfinal c\7alllJk'ltilOJn o.mlcss there iis ft«JJ li»c S((ll1lll1lC f!OlllllfO,\imUJJ auet liw Ulty. fcc,lt, ~1I

final c\7ahmtilQJn em be v:Illhmll:»lc iuu cCOJulfiinmiiuug, ltlhalt cuued!-<OJ!f-rr<OljcctconditilOJU1l.S h:avc boon crc:Illftcd, ronWl. If'<<JJr rCClOJnftiiuug lCSSlOJUll.S Jlearncd aned!f3cili.t~Rtiilf]g the lateral ftnmslfer COJf tlhis iOllfol1l1l\Lu!tiioJIf1l.

Bt is reclQJ1IIll1Il1)emftcd 1tlI~(nlt amtin stludhl tiimmc .as beltltc'f' !forums; arc ilf1lltroduccdfor reporting on temlllnlB ltii njg U})1f't(l) jj celts, ilIl oolt:Illlt iiOUll lb~~ mmeadlc' OUll pagel ofthe PAA that the U:»rojcet h~lI.'S becn c(Q}JJDljp>letc'ed! Med! tlImlt ntO furthcr action isproposed or reOOOl1ll1lDeuudc:dl, !fOUroMOO by tilb(/;; ootaftiioDll: ']"r;aID1lSfcrralbllc U.CSSOIfllSLievrnedl ..

!Bere the ~Ui:;S.iiOUll h,'1lS the oUJPO>1I''ltllIDity to Jl]ote, pr'iilOlr to the disbandingof Ithe projject tc.-, :IIDylessiOUllS le:IllD"DllC'''i whidhl might be applicable tooth.er projject'S, either active «:Jlr ceoD1l.ttc1lJ!1Jjplatedi. 'Thdis S\Olrt «:Jlf inlfonmationis especially ump'Olrtant if it is cXjpCctcd1that aU1llOltner project alongsimiilar lines might be mdiertalkcDll. at :Ill neater date, by wbidllti.UllJ.le theoriginal staff ll1i1lemnfuJers will JIlO looger be present.

Such a PAA need not D1ecessarily be the prodhuct (olf a fuB -scaleEvaluation. Review. Ratlner, it nnnight be nnniJre appropriate for the PM tobe developed jointly by the Project Sftaff, tlne JEvalu.mtiolf1l Oflficcr, andthe Progra1lI1l Office.

H. Timing of PAA SUbmissions

[n the AlI1nual Program Evaluation FilM, the ~Hssion schedllJiles PMsubmissions. Projects usually are evalunted approximmately JL year afterproject approval or after SUbllllissiorn. of the previous PAA. HllowlL.wer, certainother factors should also be considered:

[a] liUthough the PAR itself is ftWdlrec1cle~" in that u\.n .[)).~ hallS 00

rules on ~en it is t«:Jl be summnLitted during the year, varioo'S

MiiS:5ions have scheduled it in rcl~ltion tfOl t.hcir own Olr coorcnuti.nl~

country budget or prlO.gr.aDJJlI r'evi~"iIs.. For c~:~1WIDplc, SOWllC Missionsllil1k"ikc a point of ClO>aUllpllctmg Sq}Jll)1JC key PAA~~ in ltho \rUinter ~'md

sprring so that they ~'Ul be ll~~cd !f'\Oi." f'ovieW'S held tOl clOJns.idcr'strategy for an mIDU.1.nll p>r~r_ stUlll»JrruissiiiQJlI1I ..

((111)>> Groupin:g of UJ)M~$ by tcdlm.ilC~Bll fiold eo> 1" by dC!wcl<OJpuL~nt sectorwill f'acililltato j tUtd\WImwIts (llf' pirogrcss t~~~ndl the ~lcl»h~\"cnllJCnItlOJf' sec ttO>r gl()~ l~ • 'IhC!Sc coos i<clkc:r~lllI: ii (Q)l!'OS s~u<Cl;ul d J ~C'wcr, belb~DllMcoo ~ug~Binst the pc~llkmg itro wlO>r1kl~ud wtuiidu wlUIhB prcsQ.Jl1IJ1k-IDlyr~slll11t f((»[' the !tiLd!mic:al1l divisiimbs iallv(Q)l\?(~cdl.

((I('» ((J)nc wcry .i.mroporlt:{ll.nt f~uiCt(Q)11" i1l11 sducedlu.JIl iing, IPJflOJjjcclt cv~uhlatiioU1lS isthe ~l\7iliH:alb>iliitty IOf 1k~ pn»jj~iCtt UJ)(C'f:S<OJlIWlICI., H~\I'fC'ry cfffort should1bYc lliJI)XIlde tiOJ cooll"diulI:lB te cw,,'J! ltLlI«l It iiCOJtro scHnc<d!tLu nC'Si wi t HD hOO1llc lcawc ortr'arGsfcr or ltlIuc ~lJr\Q)jjc'Ct «))ffii(cCll", tIlDe "fcduJDRC<rul [)livisioDll Chief»TcWJ1l Chief, ((»1l" cotlluC1l" n)}Cu~s(Q)ruJ}lCR C:t.:nlCCltC'((~ It<<:>> mmalkc ~1 IDiIJ:illjjOT'c<Qlnt1l"iJlnutiiIOUl ltiOJ the m7<iu.huatj<OlUb unoccss.

L Oil'1t ll\O)U1WI.R PAIR" s

IA PM Ub~ not, Wlldlrc1l" tlIue nucscmrt p>1l"OCClllllUlfCS» be slUlbNillittcdl l!JQ1l certaintypes iOJf oon:C,!IIpiilt,,1I1 rrojjcclt.'S, slludiD :illS act D.\flitlics SiIUJPlP({))ftCd! C'xchlSivclywith t.~.e iliid \O)lf' IU.S.-<rnmcdlRocan (CllIl1l"rCIIU::y. Dill tili«)X5C cases, the use of thePM md tJhe liOJgiical If'JrI1'RCWiOJ1l''1k as 3 lII11XeMs \O)f s1trucltll.llfing a project evaluatioll1li.s opti\O)a1I!111, to be carr'ied ((J)ult alttilile d1itscrcltj(Q)1I1I ({>>If' the MitssioDll.

31

GLOSSARY

AssUVlption

ii\n event or action \dtich mus t tnke place or a condition whic.h must existif a project is to succeed, but over \'*aich the project team has little or nocontrol. There ~lre likely to be different asslDptiom; for each level of theproject design. (For example, if t;he "Project purpose is to increase agri­cultuml productivi ty throu~h the dwelo~nt of iii sdlool of agriculture andthe goal is to increase farm income to SUllilOrt local political stability,it probably would h.."lve to be assumed (a) at the goal level that improvedeconomic conditions will result i.n political stability, (b) at the purposelevel that the oooperating government \'I1illg>rovide adequate budgetarysupport to the school after the coomplction of the )uoject, and (c) at theoutput level that there wi 11 be a sufficient m.nbcr of students applying forplaces in the SdlOOl.)

BOPS

The Beginning-of-Project Status. ([U.]se box ])-4.] The wlJlasclinl~n fromwhich change will be assessed.

(bnditions Expected At End of Project

See: End-or-Project Status (OOPS]

Development Hypotheses

"If outputs, then purpose" is the ,E!oject develoIEent hypothesis. '~'he

hypothesis that project purpose \,gill lead to prog"ram or sector goal is theprogram development hypothesis. Thlese are hypotheses because we are not certainorthe causative relationship benteen the if statement: and then statementProjects should be supported only '~en informed joogment, based on the bestavailable evidence, provides reasonable confidence that the then statement willbe achieved. --

End-of-Project Status (OOPS)

The condition or situation ldlich ,rill exist if the project achieves itspurpose; an obj ectively verifiable description of those conJitions, indicators,or proxies that ,rill indicate the" point at tdlich the project purpose 'Srill beconsidered to have been achieved.

32

If we accepttltc premise that there is an Ulf-thenU h~'1X>thcsisrclating

outputs to pUllXlse, it follows that we emmot measure outputs to find outwhether or not we have achi.eved the pllllpOISC. '1110 means of veri fy ing achieve-ment of project purpose therefore needs to be independent of, and differentfrom, the means of measuring outputs.. Usu...lly this wHl require the measure­ment of factors not under A. LD. Ws con.trol. For inst~mce, in projects thatemphasize institution-building, the carditions expected would prcslDablyinclude measuring such aspects as self-sufficiency, effectiveness, efficiency,local support and budget, the size Ol!" the staff, the (~ducational level a;ldexperience of the staff, the institutionWs fCpllltation:. etc.

In projects that Clq)tmsizc innIlnnJediate ac:c:omplishlJll1le.nts, the conditionsexpected often (Ire a ~asurc of impact, n1ther than IDlllcasurcs of servicesrendered. Reduction of birthratc, im:re~llSe of cxports, survival rate ofprivate enterprises, decrease of iUitcnllLY i.n a giveuD are:, or among a givenpopulation gnrnup, etc.

Evaluation

Mea.surernuent and cOJmV1larisron rof :accttLlltll progress 'Is. pri\Olr plans J orientedtoward i.mproving plans for ffultu\l"{; iil!lilJplCElll,C'ntatiion.. It is part of a continuingmanagement process OOlnsistiLng ",3' pllmm.ii.n,g, mrun1!cmcntat.ion, and evaluation;idtmlly J each phase froUOJWs the o>tlhler in 3 cco>ntill1luolUs cycle UD1ltil successfulcompletion of the actiwitty.

Evaluation - qurestii(Q)ns the relew31l]jce iJ>f the project itself.cha Hemgres a In :IllSpeets 0 If due projeet des i gn.ex_lines jpJcrfonnum(ce ,imd adequacy of inputs andinmJp IGl111lcn ttiing agm tts •measures acftJu.al pJlr~ress It~ard outputs, purpose,mild gool.results im rerllesign aJIledl replanming actions.

Evaluation Review

'The i.nteractive process lWherelbythe 'results of the an1lalysis of projectdesign and tiDe evidence of progress agailJ]St plan are renewed to con.firmactions requested! IDld proposed for tbe cOlIllIl.ing year.

Goal

'The term charac.terizillllg a progr3!IDl1llll.iIDljg level beyond! the project pu:rpose.It provides the reasoo for the project aJIlldl artirulates. a desired end towrardudlichthe projec.t efforts cof A.J.D. (ami the cooperating gove:rJb]'lll?nt] aredirected. 'The rationale by which a pl'Oject is undertaken shoold ultmatelyallow the project purpose to !be linked to a goal (often at secto·£ or programmlevel] that is set out .as part. of the co.untry strategy. How'ever, it mmay attimes be JrU!ercessary to require setting inte.rnnrediate goal.... that are both abovethe pr\Olj eet level and below the level ofimmpact disrussed in the Devclopoont

33

Assistance Plan (1lI\P) or the COlDltry Analysis Strategy Papcr (CASP). Thegoal nomally deals with broad econanic, social, and/:>r political probterns •It may be measurable in quanti~tive terms, or it may be identified byqualitative and behavioral criteria.

GPOI

An acronym for: Goal

Purpose

CUtputs

Inputs

Hypothesis

Webster's Third New International Dictionary defines hypothesis as "aproposition tentatively asStmlOO in order to draw out its logical or anpiricalconsequences and so test its accord \~it1h facts that are known or may bedetel1llined."' To put it perhaps slightly more succinctly, it is a stat6llentin the fonn "'if A, then Jrn \'l1here there is lDlcertainty about the causativerelationship between the existence of A and the achiev6i1ent of B. (See alsoLinked Hypotheses.)

Indicator

An explicit and objectively verifiable measure of results expected. Goodproject design must include preestablishing \.mat \.;ill be measured or observedto demonstrate progress. Progress should be objectively verifiable so thatboth a proponent of a proj ect and an infornted skeptic would agree that progresshas or has not been as plaIUled. Preestablishing objectively verifiableindicators helps focus discussion on evidence rather them on opinions.

Indicators may be quantitative or qualitative. A quantitative indicatormay be expressed as a single measure; e.g., 50 graduates during the 1972- 173academic year; as a amnulative figure; e.g., 175 graduates since Jtme 1968;or as a degree of change, usually a percentage figure or a ratio; e.g., 25%increase in the m.illber of graduates per year beb.;een the 1971- 172 and 1972- 173academic years.

In some cases, ,,ghere quantitative measures are not possible, objectiveobservation of a qualitative change rna)'" still provide a measure; e.g., \'lorkingrelations among cooperating-country personnel in extension service are signifi­cantly im!1lprov=d over 1 year 9 or. students are participatin£ more in lillstlucturedclassroom discussions and focussing less on rote memorization and regurgitation.

Sometimes it is not possible to measure a change directly as it is in thecase of m,mnber of graduates per year, or yield per acre. In such cases,indirect or proxy indicators must be found; e.g., number of 6th grade graduates

i.n a region as measure of literacy, or increased usc of vaccine as a rnc3Surcofimprovment in the quality of livestock. ~~hen indirect: measures arcnecessary, it is importmlt to be sure the causal relationships that underliethem are verified. for instance, that a 6th grade certificate is an indicatorof literacy in country x, or, that the particular vm:cimc is a sufficientcondition to improve the health of 1icvcstock in region y.

Inputs

Inputs are the actions taken or goods ~md services (pcI'Sonnel, camnodities,participant training, etc.) provided by the Mission, A. L D. {U\Q, other donors, and/orthe cooperating country \-with the cxpcctL'1tion of producing certain definableoutputs. 'Thus, for example, with respect to persormel, the important factoris tJle function which the person is expected to pcrfom rather than simply theassignment of an individual. {.,puts can uSlmlly be identified by asking,"\\11at DUst be provided to produce the desired outputs?""

Linked Hypotheses

Using GPOI., the hypothesis is that achieving the expected results at eachlevel of the GPOI hierarchy of means-cndsrelationships will lead to theplanned results at the next higher level; that is:

If outputs are produced, ~~en J!U¥Wse ~.gill be ad~ieved.

IT J>l!~se is achieved, t:IiC'il"~oa will be achieved.Prmr1 certain assumptionli external condi.tions andinfluences) operate as anticipated.

Logical Framework

A slUllllary of project design, Sh01ting the results expected for each levelof intent when a project is successfully completed. ~sults are expressedas objectively verifiable targets together with means ~f verification andcontrolling assumptions.

Matrix (Logical Frame\~ork)

A sumnary worksheet for the analysis of project design divided into fourhorizontal rCMS (for goal, purpose, outputs, and inputs) and four colunms(for narrative, objectively verifiable targets, means of verification, andimportant assumptions). Modifications may be made to suit local circ.mnstances.

Measures of Goal Achievanent

The means of verifying tte achievement (in either quantitative orqualitative tenns) of the goal by means of appropriate indicators. Ideally,these might consist of the number of local citizens taking part in an election,increased per capita income over a given period, increased value of exports,percentage decrease of insurgent activity in a given area, etc. (As a matter

fact, IU'k"U\Y projects are likely to unuake only a small ,iJmJpact on a given goo1,so that separating aut the contribution mar be difficult.]

Monitoring

Monitoring is overseeing the decision-rna.king process in (lrojcctimplementation to assure that actions and docisionsftepresent the mb..~ll agree­ment of the cooperating country and A.1 .. ff)., and thut iruptats are prOfA?rly utilizedand actions are occurring in the p>lmmcd lime frmoo.

Outputs

'The specifically intended kind ofr(~ults (as opposed to their magnitude)that can be expected from good manageJ1l1loot of the inputs provided. A ProjectOfficer and cooperati.ng-country counter(~lrt might bc coosidered responsiblefor producing specific outputs; the ~fission or"\. H. JD)./W action office sharesrespon.sibility fc.r the judgment that producing these outputs will result inadt.lcving purpose. 'The output of one projec,t (e.g. train{~d teac:hc:s) maybecome the input of the next projecU 'The dynmrroism of thc log~cal framewor1(should be recogn.i'zed-- it is the role being lfiJl.lcdrather than the intrinsicnature of the factors whidl detCJ1UneS u.dlat are output in a project design.

PAR (project Apprai~~_l Report)

The by-product c.f the noncapital project evaluation process that recordsand reports the resl:lts of eValuations.

Project

A planned Wldertaking, a mit of management, that clearly specifies whatis to be accomplished, over what estimated period of time, and at whatestimated cost.

Project Appraisal Report (PAR)

See PAR above.

Project Officer

The A. I. D. employee responsible for supendsing A. I . D. •s interest in theproject, as a mEmber of the Project Staff which includes the cooperatingCOootry and the intennediary.

Purpose

The purpose ,:xpr,:sses in quantitative or ~litative tenns that develop­mental change 'duch 1S to be created or accompl1shed l'lith a view towardsinfluencing the solution of a COlDl1ry 0][" sector problem.

"nnnot

An explicit and objectively verifiable statca:nt of results expectedwithi.!l a specific time period; e.g. ~ H»rQl toos/year bo Jl9';FS, enablinglegislation passed by 1912, 11 reports requested aoo clOmnlplctcd by 1973, budgetfor FY 1912 = $10 million. We U'Seth(~ tcrmtargct to sp:ccifythe desired mdplOOUc:t at any level of nlltcnt; 1..e.. , wtput, purpos,e, goal. T',trget JOOaJ1Sperfomnnce stan~ard.

31

·IN··'IT'(:''I',!T"'1' ftIIA"l' L····Y····I • ..\ . ,',

, (" . .,. l~'". I ~. ,', .' -. \ ' _ ,.'

'. . . I ~ lit, ,riJ '.\ 11\, " I • ,') I i". . ! I .. , II ,I, ,JII.- 'f -f", j. I , .

.' \.' \! .' "~Po ,."V,. '~..II !n.!l. f';,'.'., I ..,~... ,j. \"

I · )1 ry", '. fr· ,. I' 'I ,~, ': .. - l -.X _,' il. {,I.~I' ,1(1. :•. '" ~) _,' ;'i~ J! Y~r" _ - : ~J. I : _ :__ !.... I 1.1i. ..' L .'. "." «,. ,,~,,:: ~;l, >li. J. ,~ I, , .

l'

I ... E'il,:U.l;.L~,·i.~I.·"·~r/·· II." ~\ l:,·".···.. iI(·1 " iI'"

APPENDIX It

'10 : Mr. Project Officer Date:

FRlM : U. R. FriendlyEvaluation Officer

SJBJOCT: Project Appraisal Report (PM]Project No. 999-1:Z'~ 345-6118

!As you are presumably aware J the subject project is scheduled for an evaluationreview late next BnIIDnth. [f you 31n~ not already famai linr u-gith the evaluationprocess J oe advised that you will oot be .required to ccmxplete cvaluationdocumentation on. your awn. Rather J U4'C ~ill lIlDJUtUi'111y d<~velop the necessaryinformation in a series of SDall gll'O.Up sessions which should include theother key persormel di.rectly concerned with thc project. I will ar.range toget together with you in thellcxt fe~ days so ~c can discuss the questions ofMio should be invited to particilmte in thc design and prog'ress Tcvie\ll' sessions,and the subsequent Director's Review. In the mantime" )"ou should considerwho, if anyone, in addi,tlon to yourself and the responsible Progrmm Officer,might be required from the r.Ri.ssion; l>liho is the key 'representative of theintermediary; «he might participate OD'll behalf of the cooperating comt'JY andfrom what levels of responsibility; ~etber there is al1lother donor with sufficientinput to include its participa,tion at sOiIlIle point.

I\hile there is It') need to prepare any dlool.l11lJlleD1ta'tion prior to the evaluationexercise, you may be interested in. the 'types of infoJmaltion that will berequired at that time.

I. The cooperating-govermment budget for-yoor activity for the past &I or 5years, broken down by uregularnft budget and counterpart fmdingoo

2. The ~nission budget for your activity, broken dmm into (a] prior fiscal yearsand (b) estimated expenditures for tbe wrrent fiscal year.

3. The JU.mlJber of past, current and projected participant trainees (by typeand duration of training) and the brood categories of study.

4. The dollar level of r.nission cOllIDJl'rrllOdity inputs by ~el1Jeral cateRories (vehicles,supplies, equipment, etc.) over the life of the projoct to date, and theJlUllIl1ber of pieces of major equipnrent (vehicles, road building equipment,etc.. ) .

5. u.s. tedmical advisory selVices, botlil direct hire and contract, by generalcategories and in terms of man-months or man-years.

40

In the course of the preparation of the (.:valuation doC1l.iJllliCntation, we will alsonood to cover the points outlined below_ \'ihilc it will oot be necessary tofomulate your ideas in writing prior to the beginning of the evaluationexercise (though this would be helpful), it will certainly be most advantageousif you could give them some thought before our first meeting.

I. What is the Program or Sector Goal?

Goal is a general tom characterizing the progrmmuing level beyond theproject purpose. It provides the rea..~n for the project and expresses adesire on the part of the United St3tces and the COOllJ€'ratin~ country (su(:h asfostering econanic development, cOlIDlbating insurgenol , l'3ising the incomelevel of fanners, etc. ~ etc.). nf you have determined that your projectis designed to ass is t the fl.fiss ioo to achieve one of its broad program orsector goals, how would yoo describe this goal?

I I • Projeet Purpose

a. Mtat is the specific pUqJOse lWbidll your projc(;.t is designed to achieveif oompleted successfully and on schedule? In the case of technicalassistance projects, it should be possible to slDIlarize the purpose in afew phrases or sentences.

b. Mtat are the conditioos or situation which will exist if the projectachieves i.ts purpose? Des,cribe 3I1l identifiable iWint which will bea'osidered the logical end of the project; i.e. .mP will you or anyoneelse know when the project purpos(~ has been achieved.

These conditioos should be stated in terms of objectively verifiableindicators or measurements {li.e., \oIi"heat production meets domesticdemands, development plans for 15 provinces completed in 1911, one 1stclass health station for every 50 !,())Oa inhabitanlts, etc.), rather thanthrough the use of such tenm.s as viable, improved, developed, etc.,etc. 'The indicators or conditions expected are to be different inkind from the project outputs.

c. i'tlhat asswvlltions must be made if the projeet design is to make anysense? Into this category will usually fall certain factors overwhich you will have little or no actual control:, such as continued (orincreasing) intewst or budgetary support of the project by the cooperatinggovernment, passage of required le~gislation, availability of trainedor trainable local manptl'lrer, adequate incentives on the part of thecooperating govemmment to retain CJl1llalified maIlpolier, necessary organiza­tional or management changes within the cooperating government, etc.

Among the reasons for the group approach to evaluation are the perspectivesand infom.ation ldrich the varied participant~ may provide. When wediscuss who should join with us, we can also coo.sider what type ofadvanceinfomation will be helpfULl to them in preparing for theirparticipation.

41

inputs to ;[l project usually ClIJlrui;ist of perwmcl ~ cmnroditics:f aOOp~irticipant training, on the part of the U..S.. GtwcJTI!)ljmt ,the hostIlONCrmilllOOt or o~er donors.. '~coop.crllllltiV1J1lt g~c~nt II S UU1JlPtlltS wrnn,of emurse , ~. nS((l) 11 rue1udle Ib1llldlgelt~1 fu.mdls .. (SC(Jl 1I ~~ .. ]

b'O Outputs ~1re the specific results; ~hid1lthe UlJrojjcct Inp1l1t$ wrill beexpected to produce [sud'o re; individuals trained" DmJ~mll.J.i'1Jls produced,wrriwlmlS developed, lhuihlllrog:s. coostructed, etc.. ]. "D1hcse arc m5toften described in t<.H1lIDC;; (Q)f kirnll" ttj.l1J1lli.D'D~, and t'lDJagn.itudc.

LEfl~1 8~ ~N

PROJECT' DJESKGN

Design Clarification and Analysis Worksheets

One - Fage Logical Framewo"rk Mat rix

four- Page Logical Framework Matrix

Note: The four-page matrix is a Us t retchedU ve "rs ion of thestandard sixteen-block form contained on one page.Many persons have found the longer version useful fo"rinitial preparation and clarification of projectdesigns.

L"'/" ",,',.,,1\;:':1,:,""", ,',••1:,'~,J,.'~l""!.t~~"i.',,"",',,,:'~', i l:\<;' V I;""': " I:'~:~~ I:t

: i ,i i I I, '_ 1

The project design worksheets su••arize the steps detailedi~ the Project Ev~lu~tio~ Guideli~es, (~rthe cHarlflcation<o>f ((Besi.g~, ~m& amllnysis· (Q)i n [uu[QlIICC:S;.. ''U'~ :nlrlC' nt<OJtt uv $;~ulh)stuhutC' rOlT'the exm>n~llnatiOIl1JS cont'llIinc'!ll iou Itoos~.. ''D'oos~ wor~~hcelt$ ~"l1 be helpE\deither ~cn fUSed! ic'dongside the l!luidel BU1J{\'S ~1IS ~'11 rco>nrm.~lltt (Q)T'rcclOJrdu1l1lgi.rofomllllltion, eo>r. fWUuca1J the e\1altlil:tlllt(Q)r- is aIu'e:'1Idy bt~~lc«ll~c~'1IIb>Ieiro theltecllmii(Jj~ues of pr\O!jCiCt ((BesigV1J ~1UI1).'IllnY:5ii5:t 11115 i!~ rchcc(ckn ist for wtQ)r&hllgthr\O>tug&1J the stUlgges ltcdl steps ..

IA.. Prcoj(cclt ~»tUlr~(Q)se,

n. Ptlnrnllose. (!R-n]

~ r ~ c f 1:)7 S It I4IIte t Ihl e DHD U"P> 05;e \l\Uh i <C'bllltfrue PJ 1"0 jj e <c'lt is,expectcd to achieve if conplctcd successfully and 00schedule ..

l . (((J)DHllii tt ii (Q)l!1lS "['hatt UWliU HOOlcca1te ll'\uUPOS(C' &llas. IRCCD1lAcfflliieweldI: lEUllld! CO> if lPJrco> j ect Sta t us [E(OHPJS] [$- 2]

D1le sec r ii Ib ce ttlne C((J)D1l dt ii tt ii «J)uns CO>lr s itt llucrult ii (Q)O Wlln ii c1hJ ~ iUnexist whcn tthe gJllr«))jjecelt :accltniuc'W'es iLts pUlrplco>se. [))esiig,Dllallte a:Ollliedlcenttiifiialble p(Q)ll.D1ltt [(Q)U" state] U\\IlhliLceHn U\\Iiiln be cc(Q):OllsicdleTedt thel(Q)gical eD1ld of tltne pTco>jecct; ii.e., hco>U\\I will Y(Q)u «))T any(Q):Ollece lse 1kD1l0~ ~heD1l tn-ne pJrCO> jj eet pu.rpose has bee-un ach li ewed?

~~f:~!~-~'I'~r~l~c~.~-£~~~~;~. t U,<f»fl)~J}~!~i»!ce,It~5Li~ ~. ~i~5!

Sltualtre ~u~t'~ lt~u~ Itrn})IC!~ aau<dl ~@mr'''rc$ (Q)f ~vid(QluuC'e

uw~uudu uwuUB L»~ /JJ!$lC<dI !tlOl \'I~r'firr (:com"Ultu<o)UUs JJrO~lIrllduu~ CJ1l<dl eo>fB»D"O Jj ~ <c It s It iLi It tU1$ ..

,~ .. A~~:~ QUlImJ£ It n\O)~]:5>_. If(Q) r'. u\«;lln li <e> wli 1m 1&\ PJILll~E !OJS; C «IB\ - in~l),7nn iilllt :al S:S llllllilllgJ> lt ii <o>uus, IDDI1lU:S; It R»<e> 1f"'C'<ru n li Z,(0'~ n ff we arc' It !OJ

((j) II1llt ;a li au Un C C(Q)ahll li Itii (0) au s ~i' Un li dn ~\"';' li nn c' ;,( li s tt li ff tt ltn c' H}) U"!OJ jj C' cit:aiC Un li (e \'IeS li It:5 gnu'gJ)(Q)S (C) (~ \WUn ,,'lilt <ruU"'I~' It UD C' f <ru c'lt (0) If"'S !OJwer wUD i cit»lthe prco>jceC'.ft lPen~s(o>uuaucen lln<ruwCC' nli It It ne (OJIf"' 1m(f)J C(O)U1l1t r<o>l, buttUll Un li ICUu J li jf au (0) It gJ> U"'I: seunit J a U"ce nii Ik iC' n)>r tt \OlU"es It r li <c It It ltn e HJl tullf]JJ \OlS e ?

41

3. yerification.£! Inputs Column (f}-:n

''('his cell may not have to be completed. However,it can be used to enter other appropriate information,such as inputs by the cooperating-country budget in supportof the project.

4~ Assumptions for Providing Inputs (D-4)

Since these are often explicit in A•.I .. D. managementresponsibility, it may not be necessary to state them ..if space is available, this is a good place fOT baselinedata and other summary inforDlllJ3tt:non about the situationto be affected by project activities.

C.. Project Outeuts

1.. Outputs (C-l)

U\That are the majorkind~ of results that can beexpected from good management of the project inputs? These mightinclude trained cooperating-comu:try per~oJUlel fOF ~ey positions(participant training), currirolums developed (ad,l'1soryservices), mobility for local staff (cammodities)" etc. Jete.

B. Project Inputs

1. Inputs (0-1]

a.. What are the key inputs supplied by the UnitedStates? Describe in ter~s of activities or t~sks; e .. g.,providing technical assistance Itru cllu'rliculllJOlJlJ development,sponsorin.g international semmitruf£llll"s, cc£luipBlliubg l:;,llbCJr~tory, etc.

b. List key itrug)uts SIUlPJpl ied by the (C<O<OJgl<C'b'<ikltiU]g C<D;Wlltryand other donors. [n case you did not have space under 0-],you may wish to use cell 0-3.

2. lmplementation Targets. ([)J-·2]

For each of the tasks identified in 0-1, listbudget categories such as c.olll11lllJ1llo<dlities (perhaps broken downinto the two or three majC"r gro1U!!.vs], parti<e:ipant training,technical advisory services (direct-hire and/or contract),and quantity and approximate expenditure level.

2. ~hllgni tude 5ȣ Outputs, (C-2)

State the lmuogau ltu~!e !O> f the results and the dateat which Uuey arc eXtt~cclte;r-ro> Ib>e achieved ..

3. Veri Cieation (())f ({))uttUJ>1LDItS {(·3]

The dlnlta soun:c f('(Q)r \'1crilfyling the magnitude ofthe oultU:Dut inHHc~llterd is sltitllted here; e ..g,., school records(to indicate number of graduates).

4. Assmllnptions for Aclluiewing Outp1l.llts (<<::-41)

State the asslUlSlllptions (external factors] which mustbe realized if we are to obtain planBllcd <oHLltputS OBll schedule ..

D. Goal

1. Program, Sector" or Sobsector ~l (A""l)

What is the reason for tile project...... the de:s:ired end towardwhich the effortso~.. l .. 0.. Missiolll ami the coo'jpferatlng-c.Q1untrygO\1ern.ttnent are directed'? l£yoo £indth~1t ·the p.rojlO:ct is designedto support a subsector or Iii sector"rather' than a n~:rogrm goal, statethat i.ns ooad.. You My ShOM both the sector and pr'crrmru gOO:15 ..

2. Measures of Goal AdQiewcem.rellbt. (A..2)

Pro\7ide here the objec:t.ii\7ce ly verilfiab.le incdl:ncaters; that wi11signal that the project"S MtlciipRltedl ICfQlau~r.iftl;1UtiilOJlIb to 'the bigher g\O~l

has been realized.

3. ,Veri.fication of ~al Achiel7exment, [A-<5)

State the sources of data for Iroeasuring goa] achie\1em:ellt.

ISO

4 .. .t'~$llM_~~ l,2ns for ,.~~~!c~inl ...(Groat! ']"~.'''IC It.,!. (v'\- 61]

Mtalt atS S Ul1lJ1Jp It ions ,IU"C cs SCUll It li .a 1 ff<O! r' It Ihlc i»"'(jJ) jj IC: ce It It (jJ)!make its expected! conltrilb>ultioUll t<o> the Pr\o>glr~1IlIJrn Olr' $(C>clt<OJ,"gon1:5l '!?

n. • r> no wus ii <Olltl (0) f ntI1l rrn~ It 5i {al··n, lDJ··l]

Arc Uuc li an ij» tUllts Il»ce li tm I&', iju"CQlW li <dJc ({H (QJtI1l 5; cImc' <dJ(UI h~' ell»» <dJ1l Slthc rc ilIl n~ 3'Si CO>tI1l a II» nce iCl xpc c It aD It' li (Q)tI1l Un aD It t Hnc s: c Hn C' edllLU ,n <0' wii :nn Ib> c-

o ." ••Il'~nnn;a 11, IfU It ;illli.1fU.(e \UL :.

[fTC as CO>lIHillb nre5 cllue cdltUI nIe '~

tUllfU Cee r t ali tm »

iBl.

b.

<c ..

tRllce iilfU.PlLliltS aDrc pr(Q)wlicdledl (Q)lI1l scHnedlune. lis litIto expeClt that thee OlUl~puts call1l be produced 0»»[If 1Ill«:»It J UT 1Iualt ch mum ge5 ;Bl.ne lI1l e t'e5s arf '?,' IT f f (0) 1l.D. allrethree pTi~aDry factors should be cxa~ill1led:

Does thc type~ quatl1ltit~or [li~jng of theinplUlts tI1leed revlisiotl1l?

11\ rc It: fill e JP> ro jj e c tt- (Q) ltD t PlUIt exjplc ct alt i COltl1lS ( «:: .- 2]n.. .. 'IJ>re an n.$ t n<c "

Are the assu~ptions (C-4) realistic?

n:s; Ii It: r~:l1I$<OJm'll1b n~ lllO> iC\QJO'U ttrcnbJU'DnIl1Ill~ duitlllt dura <ClOJotcllitt i <QJll"OS;

~XiP~ltrc){U ;at UoIC! ~alJ& @!' ttJJU(~ UJ)ll'tQ>jjlC.'(:lt; 'O'lll'iIiln n)1 \tUn Unr~prll::5J(C'U1)lt 1t1l<clroictPcmreU'DtCOlf lt1Iu~ U1'll'\Q)jj~rclt n)}u1rF)oY~~':?

fl» ..

(())rm tthe II.HllSnS (Cdr nJl<iJlstt. (C';q»C'JriiCC'lJ1)ce aI!1l<dl ff411lll~ii'ni~n·itr withl((T)cal <dJewel<OlnJJlt'nlcrmt's, ;alf'<C' tRue ;alssummlTJJtutl]lJ1)S 'Jre14~w411D1llt 4llrudll"c4111is'ltic?[f troott, wh<iJllt c~rm ((T)r should be d<Oloe? Does cOlJ1)sideration ofassutmllp1tii<O>lI1ls f'csuHt Rrm :m C<Dllmclllusn«))rru that nc'w inputs «JJr outputsare lmeeded tt.:(Q) «llSSllure slLIlccc'ess?

d. Att:aiimll1uent of Plr(Q)ject PUu"p<C1Jse ('(-1 to B-1)

If the above three steps have shown that conditionsexpect.ed ii.'lt eJnd-of-proJiectt~?Iinn inullicate tHn«lllt purpose has beenachieved (B-2 to B-1], that assull111Ipttions are being borne out(C-4li and $-~]" and that achievellllllenlt 0 f outputs 'Mi 11 result infOP's (C-l to B-2), then,logically, achieving the outputsshould result in purpose being attained (C-l to B-1). Arcyou convinced? If not, review project design and make note ofany changes requi red.

're$¥I!U{iL~g~r~~.............(0) t.$·D!O>~~J _f\chJ~_~,~l1JJ)C~UiJ a /~&~'lIDalJst~3__ A&~...,_~§2" Y-

Are the indic~tor5 DC project i.pact rea5(O)~ably

relnted to the gooli

lb. Cent ribution of FU'Jr,elO>se to P'r3r'3mm:p Sector,or IS'lilisector Goal [$~1 to A-II

Are you satisfied that the achievcmmcnt of thep raj ec It pu rpose will make «11 nml~ aro irmgfull con tT'U but i on :---eitherdirecit1Y (() r incd nre c It 1Y .- ·-tl:11Wa.rJs the achie'I,Q~.rot off the pro-' .gram or sector goal, taking into consideration the extentof thepn>blCJli\1l and the D1Ulagroitudle (Q)f t.he inputs?

"II> 1~l!~,.i!O ("HI

Prol@et Titl@ & Numb@r:_~ ~

PROJ ECT DESIGN SUMMARYLOGICAL FRAMEWORK

l.it. of P'Ojl!t'f:

F,Cilll fOY ,. Fy======

fOl6! U,~, FII'Il:d:'Il:a:.:========Dotl! P'~'M: ~

NARRATIVE SUMMARY

Program or Sl!ctor Goal: The broader object lye towhich !hi§ prolect contributn: (A.!)

OBJECTIVELY VERIFIABLE INDICATORSMeuuru of Coal Achleyement: (A.2) 1(1\..3)

MEANS OF' V~RIFICAfION IMPORTANT AMUMPTIOHS

AUli!!lPI,OII§ tor adlil!\t'llg goal fOrglI"§: IA.A)

Pr"leet Purpou: (B.1)

Projoet Outpuh: (C·l)

Conditionl that will indicate plHpOle hat beenochieyed: End.of.Prolect §tlltu§, (B·2)

Molltiitude of Outputl; (C·2)

(B·3)

(C':!)

AUli!!lp'iOll§ tot CKhil!\t'Il!!lll'ltpO§l!; 16-4)

IAUII",plionl tor Clc:hi4!'<' i l!9 Olifp;iU; tCc4)

Proj@ct Inpuh: (0.1) I Implementation Target (Typ. and Quontity) (0·2) I(0.3) IAUIIll\P'iQ!!1 ''If proYidillll iIlPIIU: (0.4) =

'''>I::.::.''~,,',

Project Tltl. & Number: _

AUI IOiHI'iU It,-a'§Y1313bEM@:N'f l

PROJECT DESIGN SUMMARYLOGICAL FRAMEWORK IIN~rRUCfIClM! THI~ IUN QPTIOHAL

!'ORM WHICH CAN U UUO AS AN AIDTO OROANIZINO OAfA flOR fHl 'A"RIPORf. If NHO NOf DE RU:'iiole:i;OR ~UDMlffIO.)

Li" of Prol.et:FtcIIB FY to FY'- _Total U.S. FYllIIIIMIl""R.s _

DateP,.,arecl,...• _

PAGE 1NARRATIVE~

Program Or' Sector Gool: Th• ......., oItjectiye towhich thll Inl.ct contribute.: (A.l)

OBJECTIVELY VERIFIABLE INDICATORSMealurel of Goal Achi~.nt: (A.2) (A·3)

MEANS OF VERIFICATION IMPORTANT ASSUMPTIONSAuumptlonl for oc:hiftinl ...1"""'1: (.404)

NARRATIVES(JMMAR'J' OB1ECiIYE1:'fVERTFiABOriN15Tc~A1'ORS

Project Purpo.e: (B.l) Coudltionl that will indicate purpou hal beenl (B.3)ochi....ed: End.of.Projllct Motu§. (B.2)

All:! !@i!@=i!@ tl=HI§\j 1'13 b §oIl;';N'l' !

Project Title & Numb.; _

PROJECT DESIGN SUMMARYLOGICAL FRAMEWORK

M~ANS OF VERIFICATICr.' ~

L,II! of PfOIl!~f:Ff_ FY fO F<'_ _

Total U. S. FII"~CCl:lng~========Oafl! Ptepored",

PAGE 2IMPORTANT ASSuMPTl5ir~--

Auumptlonl fOf ochievlft9 putpOH: (8.4)

.~

Prolec:tTltl.' Nu.r: _

AI5 16,,6"8 "'HI§lJl'l'bE:Io4ENf I

PROJECT DESIGN SUMMARYLOGICAL FRAMEWORK

......t,~.

LIfe of Project:From FY to FY _

Totol U.s. Fun~,cf::l"'~=======Dote Prepared:.,PAGE 3

NARRATIV~ SUMMARYProlect Output§: (C.1)

OBJECTIVELY VERIFIABLE INDICATCRS

Maonltud. at Outputs: (C·2) I (C.3)

MEANS OF VERIFICJ.TION IMPORTANT ASSUMPTIONSAuutnptlOftI for achi~l"I outputs: (C4)

PROJECT DESIGN SUMMARYLOGICAL FRAMEWORK

PAG! •IMPORTANT

Lit. of P'oi4td~Froe FY t. FYl. _

Totol U.S. FWftdM~i"'!·=====::;=DOMP~~_

Mt:AN$ OF V~RIFICATIONOI)JECTIVELY VERIFIABU INDICATORS

P'OjHt Titl. & Numbff~ _~ ====""""'_

NARRATIVE SUMMARY

.;§ !@~ij:~@ I!,,~I

1~i3~~€~E~f i

Pl'@j@€t l!'lp\jt§~ (D: 1) Implelllltfttation TIUget (Type and QymHty) I{D=:n(0:2)

Auv""tiOftI few ptO'tfdiftt~ (De.4)

-

LE·,leU.. , ""'--. .. ' .•.. '.. . "" '.'."'.' ' K.,...,.·.·.·.'. .., f': ~""'lII ~h,'" " . • "" ",

, ' ;," I'i'~ ~. ';.: ~",~~ *'\' (." "J

C", '_ ·_alLAI1.'. .",.".. NN

APPENDIX C

INPUTS

Perfonnance Analysis \'lorksheets

Note: Performance Analysis \'forksheet I, U.S. Action Agent, has beenrevised. Sections C, D, & E have been combined as one sect10nlabeled C on the nel'; format.. The number of Evaluation Factorshas been expanded. The nC'.; Section C incorporates, in toto,Section B of form AID 1420-43 for evaluation of contra.ctorperformance. Infonnation developed for the U.5. Action AgentWorksheet, in the evaluation process, may be lifted directlyfor the separate contractor performance report required by theContract Services Division, cr vice versa,.

61

PERFORMANCE ANALYSIS

1. U.S. ACTIO:. AGENT - Contractor, Participating Agen,cy,or Voluntary Agency

Evoluotianfor Period: to _

Agent: _

A. FUNDING1. Cumulative ObligationsThrough Prior Fiscal Year

2. Estimated Budget,Current fiscal Yeor

3. Estimated Additional Budget toCompletion, After Current fiscal Year

$ $ $

B. IMPORTANT OUTPUTS DEPENDENT SUBSTANTIALLY ON THE ACTION AGENT:

C. ACTUAL PERFORMANCE DURING THE PERIOD AS COMPARED TO PLANS

C:IotI!l.C_ ". PERFO~MA~CE AGAINST PLA~ .."1. EVALUATION FACTORS '1"1$"'1'''1'

ItAl~" ""... NII.-,· A' "'Il. • .-.... O .~ ... ~,O.

a. Understanding project purpose •• · .... · · .. · .. · · · . ·.· ... ·.·.. · ·b. Planning to achieve purpose. · ·... · .. · . · · ... · · · ·..... · .. · . · ·c. Staff of proper si ze .. .... ·· . ·· ·.. · · · · . ·.. · .. ·· . ··... · · ·.d. Timely arrival of personn;:,1 ····.··.· · ·· ·.·.·.···. ·.·.··.·.·e. Technical qualifications of personnel. ···. · · · . · . · ·. · · ·. · · · · · ....f. Responsiveness to A.I.D. Directions · . · · . · · .. · . · . · ·. · · · · . · · · · .g. Adherence to scope of wak · · . · · . · · · · · · . · · . · . · · · · .. · . · . · · · .h. Adherence to work schedule. · · . · · . · · · · ... · . · · · · · · · . · · . · · . · .i. Contractor's home office support. · · · . · . · · . · · . · · .. · · · . · · · · · · . ·j. Relations with cooperating country n6tianals · · . · . · · . ·. · · · · · . · . · . ·k. Local stoff training and utilization · . · · · · · · . · . · . · · . · . · · · · · .. · ·I. Effective administration of participants. · · . · ... · . · .. · · . · ·. · . · · · .m. Management of commodities · · · · · . · · · · · · · .. · . · · .. · · · · . · · · · · ·n. Timely submissio.. of required reports. · · · · ... · · . · · · · . · · · .. · · · · .o. Candor and usefulness of required reports · · . · . · .. · . · . · · . · . · · . · · .p. Other (specify)

1JJiI'6i'.lI'ioS".C-'O". ,a1l'1"#"AC 1'0_. OlU/ll'Sll'ANll!ftI!ttlS

2. OVERALL EVALUATION I I 2 3 4 I 5 e I 7

(\If Check one ~ I I I-D. ACTION REQUIRED: What action{s) should be token and by whom to improve performance?

(If additional space is needed, use the reverse side of the wor'«sheet)

(R.....d 12-72)

2. E~timoted Badget,eunent Fi scali Veor

Performance Anal,slsII. INPUT· COMMODITIES

(II 0' ,."'ev'.' sI!ln'"c'Oftce to plOleet, un ., ..po,o'. sis..,lor ••eII .ajor COJMtoJ'", 91Ou,,1

A. F~DlNG1. Cumulnliv. ObligalionsThrough Prior Fiscal Veor

EvolllMaliOl'fOt P.riocl~ ,. _

Type ofCommoclity~

3. Est'molelll Additional Budget toCompletion. Aft... CUffent Fiscal Vew

$ $ $

B. IMPORTANT OUTPUTS DEPENDENT SUBSTANTIAlLV ON THESE COMMODITIES

C. ACTUAL PERFORMANCE DURING THE PERIOD D" "APORTANCE FOR AOiIEVINGAS COMPARED TO PLANS PROJECT PURPOSE

Unsali sfact'ary I Soli sfaclory I nu,tstaoo:~g Low I Medium IHi:h1 2 3 4 S 6 7 1 2 3 4

Nat Actual ImDoel CheckE. PERFORMANCE FACTOR RATING Appli- As

Superiorif 1m-

FACTORS cable Ne!t'OIive PlolRltlied portont

1. Commodities Appropriate t'a Prolect Needs-

2. Timeliness of Procurement/Reconditioning

3. Timeliness of Delivery to Paint of Use

4. Storage Adequacy

S. Appropriate Use

6. Maintenance and Spares

7. Records, Accounting, and Controls

F. ACTION REQUIRED: Whol action(s) should be taken to improve the effectiveness of commodity input?

(If addltiOlla. space is n.eded. IUS. reverse side of 'he worksheet)

P.""OtlftDftCI Aftol,a's

III. IM'UT ~ PARnapAMT TRAINING

EvaluotiOftf1w- P.dod: 10 _

T.oining P.opaa: 0 U.S. 0 Third~n...,

A. F~D1NG1. o...louve ObU,aUons1"',"_ PriOl' Fiscal Ytot

2. E,n.ottd BudoefN

Cut"•• Filc:(~1 Yeo,3. E,fhllfof.d AdcIIUOftol B"" 10~pl.f'on. Af.... Cw••• F'scol Y••

$ $ $

8. IMPORTANT OUT'PUTS DEPENDENT SUBSTANTIALLY ON 'THIS TRAINING

C. ACTUAL PERFORMANCE DURING THE PERIOD D. IMPORTANCE FOR AOfIEYINGAS COMPARED TO PLANS PROJECT PURPOSE

Unlet. sf'Oc:tory Satisfoctory 0.".S,CIlIldIIl'l' Low Medium High

1 2 3 .- 5 6 7 1 2 3 .. 5

E. PERFORMANCE fACTOR RATING Not Act..ol Impact CheeleFACTORS ApplK.

Ncgo1iiv. As 5....10'If I.

eobl. Planned portant

PREDEPARTURE

1. English l '"'nguoge Ability (U.S. T,oiiniingJ

2. Host CoWhy Funding

3. Orientation."

4. Potticipant Availability

5. Trainee Selection..'-

.. ~

POST-TRAIN ING

1. Relevance of Training to Proiect

2. Recognition of Degree Equivalency

3. Appropriate Facilities md Equipment forReturned Trainees

4. Employment Appropriate to Proiect

5. Supervisor Receptiveness

F. ACTIOO REQUIRED: What action(s) should be t.en to malee the pGrtieipant element more effective?

(If oclcli.iClll'lol spac. is n....d..... u•••he rev..,•• sid. of 1ft. .orlkshHd

IV. ACTION AGENT .. COOP '!;RATING COUNTRY

EwcUIlUO!~om

~It P.ltijod~_____.0 _

A, IMPORTANT OU1J't.UTS DEPENDENT PRED<lMINAlNIlLY 00 THE HOST GOVEIR~MEl-liT

B, ACTUAl PERFOIIWAHC~DURING liHUE PERIOD C.. IIMPORTANCE fOR AClHlHEV~NG

AS COMPARED TO PlAJNlS PROJECT PURPOSE

Unsat.sfodory Safijdcc:Ko~y Owh.fau!luiIIIS/ lo.. M.adiilUlmIJ Hiigllt1 2 3 4 5 6 71 1 :2 J 4 S

.! Ac.llUI~J II» AduolD. PERFORMANCE A IIlmlC'Dld A ImpoiRt

0 0

FACTOR RATING u Ill'

II»'.. ,-

II» ....'G.

1.... _. It

Q.

1.. -c

:> Ill> '-Ill :> 0 '-0till. ..-

~jQ,

-e( C "': -e( b '-:: .:;I'""'

FACTORSu ..

II» fA,ClORS II» at... r .~G. ..... m

""J! Q,

PERSONINEl0 ::» OTHER fACTORS

0 0~ EZ Z ccn Z Z c(Q.

1. umpetemlu/Ccl1ltNnwMy 'I.. ~~ttCfiiCl11l \lWiift~lihm Hosltof ProNed lecdershNp GoWCU1Ill1lllllMllt

2.. AbMINly Ito IIllmlplemmt 2.. Host GowemllmlMit Ccopelfc1!iciIII wif,1I.Project Pllms NOilll·G!wettilllrnmell1llt OrgciIIIii:rcliiollliS

3. Use of Proned- J .. Awciillcbiililfty 0'( Re:liioMeTrONned Mampowe.r DOlo/Sltcfii sHes

4. Tec:h.nNcal Sku II s of 4'" A.dIeqjlllllllCY of PttoiiedProject Personnel flUmdiing

S. Planning Clll'ld S.. letsHefiiwe ClhGtrngesMonageme11l1 Skills Re eWOllTlft fto Proiied

6. TechnNcaH Man- 6.. Ade4!l1U!(1"'bt0f Ptroiied-yeoll'S Available ReMelted ~goll1":z:01tiiCilll

7" Ctc.ntinuN", of SltoFf 1" Physical ResollJlltce I/Il1IPllllllS

8" WiIIHngness lto Work 8" Jt.tDUll1llellullmce of foc:iil/iillHesiin RtJlral Areas «Ilnd EqllJliipmmenll

9. Adequocy of Pay 9. PoDiilliical CGmldiillHcnsCllnd AlDowCllnces Speciifiic 110 PttOHec:lI

10. Counterport AcceptCllnce10. ResolllVtUGmI of

BlllIlI'eGlUlcrollHc PIl'Cblellll1lSof llIIlI1ld Assodatioo wnlhProMed Purpose

11. Receptiweness 110 Ch«lll1ge

11. Mooogemell1t of 12. Actual Diissellmliioo'IHGmI ofCcmmmodities Proiiect Bell1efills

13. ~nttent/Copocii'Y to'sustaiiml md/oll'Expollld_ Pr"ectt .~mpoct After U.S.

E. ACTION REQUIRED: \\'hot actioo(s) ~IIID1lJ1'S cue ermunctedmooHd be fto'ken to improwe the performCllnceof the Cooperating Country?

EvoIwtionfor P.fiod~

______ ~o _

v. ACnOH AGENT.. OtHER DOMORAI.•• _..,..M. d.• .., I., .edt OMo,I ~o,pbOlICM't~-A. IMPORTANT OUTPUTS DEPENDENT SUBSTANTIALLY QN 1HIS DONOR -

d IOi ""i It

8. ACTUAL PERF'ORItAANCE DURING 'THE PERIOD C... IlMJPORTANCE FOR ACHIEVINGAS COMPARED 10 PLANS PROJECT PURPOSE

U.nsolii sfoctoiIY SlJlii doclory 0wI'111111!1dung lo.. ; Moldium High1 :2 3 .. S 6" 7 1 I 2 3 .- 5

D.. PERfORMANCE fACTOR RA1n~GNot -- Ad~Q. llUoc.f Check

FACTORS AIlPlu. "4190\;;.,. As Supe,ior if I.....colble PICIIlmed po,hnf4_

1. R~nmOll of OhiJec:tuves ShCllI-H wiilh A..I ..D..

2. Ag"eNilentt 0111 S"CIIteg, ond Pions

3. Col»'dinotiion 011 Imple.merllltCIIliOll

.a. eont,iilwtiiOll to Project Stolliiftg

5. Cont"ibutiOll to Pro.«tt flllll'iiding

6. Adherenoe to Schedule

7. Plonning ond Mtwlagament

E. ACTION REOUIRED~ What oction(s) m.:uld be falken to improve the perlomcnce of this Action Agenf?

VI. 4CTIOM AGENT· A.I.D.I"

Evoluoticnfor P.riod:

______10 _

A. IMPORTANT OUTPUTS DEPENDENT SUBSTANTIALLY ON AJ.D.IW

8. ACTUAL PERFORMANCE DURING THE PERIIOD C. IMPORTANCE FOR ACHIEVINGAS COMPARED TO PLANS PROJECT PURPOSE

Unsatisfactory Sotisfoc:lcwy Outstanding Low Medium HighI 2 3 .. S 6 7 1 2 3 4 S

D. PERFORMANCE FACTOR RATING Not A~lucl Impo~t CheckAppli. Negative As Superior if 1m.

FACTORS coble Plomed porlont

1. Proyision of Pe'lSonnel

2. Proyision of Commodities

3. Provision of Adequate A.I.D./W TechnicalBackslopping

4. Contract Negotiotion

E.. ACTION REQUIRED: What Mission ac1tuon(s) should be token to stimulate improved A.I.D.IWpef'fOlmanct!'!?

«If olllduwuG41lIol space us lftIeeded. IUse the ,evene sid. of the wOII'llshe..,)

VII. ACTION AGENT. USAID"Performance Anal,sis Evaluation

fo, Pe,iod:_____10 _

A. OUTPUTS DEPENDENT SUBSTANTIALLY ON USAID ACTIONS

B. ACTUAL PERFOHMANCE OF USAID DURING THE PERIO~ C. IMPO~TANCE FOR ACHIEVING(Compore it to cormtitments mode to Hos' Country in the P,oAg PR '-'ECT PURPOSE

Unsati sfactory Sati!foctory Outstcnding Low Medium High

1 2 3 4 S 6 7 1 2 3 4 5

D. PERFORMANCE FACTOR RATINGNot Actuallmpact Check

Appli- As if Im-FACTORS cable Negative Planned

Superiorportant

1. Responsibilities Defined and Assigned in USAID

2. Authorities Defined and A! .igned in USAID

3. Effective Communications within USAID

4. Effective Commwications with OtherAction Agents

5. Mobilization of Mission Stoff as Needed

6. Coordination with Related Praiect(s)

7. USAID PerforrfHlnceP.er Terms afProAgs'iControctsl ASAls

E. ACTION REQUIRED: What action(s) should be token to improve USAID performance?

(If additional spac. is ,.eeded. use the revers. sid. of the worksheet)

Progress Roview WorksheetPROJECT OUTPUTS. PROGRESS TO DATE

Evaluationfor Period to

TARGETS (Percenfage/RofelAnwwn,J

1.

2.

3.

4.

A. QUANTITATIVE INDICA1'ORSFOR MAJOR OUTPUTS

PLANIHII!D

PLANNED

ACTUALPERFORtli.AJHlCE

REPLAIHlIlllE

PLANIHIED

ACtUALPERFORM­AIHICE

REPLANME

PIl.AIHIIHIED

ACTIUIALPERFORIlIIoA!HIeE

CUtllU·LAt'UVE

PRXOR FY

CURRENT FY

'itO OA1I'£ 'TO ItINlID FY- FV-

B. QUALITATIVE INDICATORS Comment:FOR MAJOR OUTPUTS

1.

2.

3.

Comment:

Comment:

LEFT

APPENDIX D

OUTPUTS

END-Of-PROJECT ST~TUS

GOAL

Progress Review ltlo'rkshr~ets

71

-~

'l'E'· ""11':.- .....•, • '. '.. . K'.'. ~.. . ii i

, t I 011\11,'

Progr.ss R.vi.w Worksh••t

PROGRESS TOWARD CONDITIONS EXPECTED AT END OF PROJECT

Evaluationfor Period: . to _

A.. CONDITIONS EXPECTED TO EXIST AT B. METHOD(OR MEASUREMENT)OF VERIFYING C. PROGRESS AS SHOWNTHE END OF THE PROJECT CONDITIONS AT END OF THE PROJECT BY MEASUREMENT VERIFICATION

-

. I 1 _

i ~1

, ....... Review Wodc.h••, Evaluation for '.'lod: Io, _

PROGRESS TOWARD ACHIEVEMENT OF GOAL

APPENDIX E

PROJECT APPRAISAL REPORT (PAR)

PAR \'iorksheet

75

1 "~~ITrll"'"~j:Tln~IAlLY.. ~~"',ji '. t~.i' l~(<;.,.,. .• ,t~:/;. ., . tt!i!',~ t1'd m' \.1.,,1, a-. ".. ' """ . . I ..~ - 'Y J

". ..- - .. ,. -, '.' 'j' - :1-t~._ '., ""j. !',Iltl ....~ •."' " H ,,'.~ . - ~ ~.~,." .. " ':-'....

LEF-'-" '····'·~·,~····LA·;. N····K', W.1""f~ tJ'~" ';~.t' , "~ '", .

AID 1010'<11 n0'70)

PAGE 1PROJECT APPRAISAL REPORT (PAR)

17IItEPOlltT Ill·....

I.PRO..ntCT NO.

a. PRO.JECT •... TLE

z. PAR FOR PERIOo-,

TO

J. COO~~TRY •• PAR SERIAL INIO.

t. PROJECTDURATION: Began FY

?DATE LATIEST PROP

Ends FYt. DATE Lit TEST PIP II. DATE PRIOR PAR

10. U.S.FUNDING

o. CUllluloti". Obliootion b. CIlII".nt FY Estl_t.d c. E.tI_t.d Bud...' '0 cOlllpl.'ionThfu P,ior FY: $ 1Wd~': $ II.(~., CII.".n' FY: $

11. KEY ACTION AGENTS (Con,roc'ot. Porflcipotif19 A~ncy,CIf' VolilftfO,y Agency)

a. NAME ~. CONTRACT, PASA,oR VOL. AG. NO.

I. NEW ACTIONS PROPOSED AND REQUESTeD AS A RESULT OF THIS EVALUATIONA. ACTION (X)

MISSION A.I.QfW HOSTB. LIST Of ACTIONS C. PROPOSED ACTIOH

COMPLETION DATE

D. REPLANINlIINlr. REQUIRES 0 0 0 0 IE. DATE O'F MUSSUON REYUE....

REYISED ~R NEW, 0 PROP Dp,p PROAG PIO/T PIO/C PIOlP

PRO.JECT ""'ANAGER, TYPED NAME. SIGNED IINIITIALS• .:4ND DATE IMISSION DIRECTOR: TYPED INIAME.. SIGNED UINIU1l"IIAILS,AINID DATE

AID '014)0211"00106 PROJcc'r NO. PAR FOR PCRIOO~ COUN'1AIY PAR SCII,"AII. liMO.

PAGE 2 PAR TO

II. PERFORMANCE OF KEY INPUTS ANO ACTION AGIHTS

A. INPUT OR ACTION AGENT B. PERFORMANCE AGAINST PLAN C....PORTANCE FOR ACHEV"

- UNSA1"IS. OIUT. PROJECT PUflPOIE 'X»CONTRACTOR. PARTla PI. TING AGENCY.OR VOLUNT ARY FACTORY SAT'SFACTORY STANOUNG LO'" IWIItDIIUM IHInGIHIAGENCY , ;II '~ .. • .. '7 ,

~ :t 4 ",. I2.

3.

COlNMn' on Ice, factors det.,,,,ining rating.

_________________________.....J -:~4. PARTICIPANT TRAINING

Comment on I.:e,. factOl's determining raling"

_________________________.....J ~5. COMMODITIES

Comment on I.:e, factors de'erming rating.

C_nt _ I.:e,. 'actors determining rating•

fl ~ :J .. I!I t!I 7 • Z :J .. I!Ia: PER~'')ININ1 ELS. CooPERATING

COUNTRY

b. OTHER

.

_________________________--'='Z 31 .. 5 Ii '7 , Z :) .. 57. OTHER DOlIIORS ,

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PAGI3 PARftltO.ll:CT NO. PAR FOR PI:RIOO COUNTRY

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_._---------------.......---------------------------------III. KEY OUTPUT INDICATORS AND TARGETS

A. QUANTITATIVE INDICATORSFOR ..A.lOR OUTPUT'S

.. QUALITATIVE INDICATORSFOR MAJOR OUTPUTS

-1.

2.

:I.

PLANNED

ACTUALPERFORM·ANCE

REPLAHHED

PLAIIU.ED

ACTUALPERFORM·AHCE

REPLAHHED

~CTUA'"PERFORN·AHCE

REPLAHHED

PLANNED

ACTUALPERFORM·ANCE

REPLANNED

COIINENT::

COIINENT::

COIINENT:

CUMU­LATIVE

PRIOR FYCURRENT FY

TO DATE TO ENID FY FY__ END OFPROJECT

-~o'j)

.PAR SElin"... NO.AID '010'a:s 110''10) PROJeCT NO. PAR FOR P£~IOD COUNTRY

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8. 1. c.mons .hlch .111 ••Is' ....."o'boy. put'poM I. achlev.d.

IV. PROJECT PURPOSE

,. $0_ •• '111 PROP'

2. &~.o dot. 01 ........4'MlId ..... conditlCIM.

Y. PROGRAIQUNG GOAL

DyES ONO

8. Will tM .chi....._lllt of the project pull.... ..eIIt. 0 sipjifi_ftlI C_lIriMti_ to the pr...._ill9 lOCI. ,i..... the _pit_ of ,he not.....pro"""" Cite ."ill""co.