Coherent applications for successful development projects

Sheelagh O’Reilly, Kristin Olsen and Laura McCallIOD PARC23rd October 2012

Overview

• IOD PARC – Independent Assessor for 2011/12 for Malawi, Sub Saharan Africa and Climate Justice Fund

• Key Learning from 2011/2012• Characteristics of Good Development Projects• Independent Assessment Process

• Organisational Development & Performance Assessment

• International Development & UK• Edinburgh-based

• Our role for 2011/12 was to:– Receive applications– Carry out independent assessments– Respond to relevant queries (via Scottish Government)– Provide qualified feedback to applicants

IOD PARC – Independent Assessor 2011/12

Eligibility

Applicants must comply with the requirements of the application process:• Application form page 2 – critical. • A failure to comply means your application cannot

be considered. • 92% applications eligible in 2011/12. Common reasons for ineligible applications:

– Late submission – Failure to provide supporting documentation on

time– Wrong format – Breach of the terms of the Fund

• Scotland Project Manager based outside Scotland• Budget in excess of maximum funding per project

Statistics and Learning

• Success rates (2011/2012)

• Other statistics/ Learning: http://www.scotland.gov.uk/Topics/International/int-dev/SSA/lessonslearned

• Funding sought should be in line with size of organisational turnover and breadth of experience

Fund Small Medium Large

Malawi 10% (10) 50% (12) 29% (38)

SSA 0% (1) 0% (6) 25% (12)

AN IMPORTANT MESSAGE

• READ THE INSTRUCTIONS AT THE START OF THE PROCESS

• This enables you to ASK QUESTIONS OF CLARIFICATION to the SCOTTISH GOVERNMENT

• Read the FREQUENTLY ASKED QUESTIONS published on SCOTTISH GOVERNMENT website

• RE-READ INSTRUCTIONS BEFORE SUBMISSION OF APPLICATION

Relevant and Needed (Needs Analysis)• Scottish & National Governments

– Alignment with Scotland –Malawi Co-operation Agreement, National Development Strategies for respective Governments and Scottish Government priority areas

– Targeted at delivering MDGs– Addressing Cross-cutting Issues: Climate Change &

Inclusion

• Beneficiaries– Clear understanding of the context– Needs analysis

A good development project - 1

Our learning from 2011/2012:

• 55% applications were relevant and described a clearly identified ‘need’

• A large number of applicants did not provide sufficient detail about the findings of the needs analysis (or previous projects) and/or did not make clear links to the project and how it intended to address these needs/problems.

• Where this detail was provided the applicant displayed a greater level of understanding of the issues at hand, the wider context, and the relevance of the project.

• Applications were spread across the ‘focus areas’; several were considered to include more than one priority theme

• Increasing commitment to inclusion and climate change

A good development project - 1

Relationship between Partners

• What does ‘ownership’ by local partners mean in the relationship between the Scottish organisation and their partners? Examples to demonstrate this include: – Previous collaboration (evidence of this)– Engagement with project planning and development for

this project– Roles and responsibilities in implementation, M&E and

finance of this project– Ongoing capacity building within the project itself– Describe synergy of new partnerships– Be specific – don’t use generic statements

A good development project - 2

Who is doing what in the project?

• Coherent projects are clear about which partners (and named staff) are doing what in the project

• Communication between the team is clearly explained

• There is clarity around engagement with stakeholders

Our learning from 2011/2012:

• Strong partnerships can be a key strength of applicants to the International Development Fund, particularly where existing relationships exist e.g. Malawi and Sub Saharan Africa

• Applicants proposing new partnerships should demonstrate any engagement to date

• Details about the specific roles and responsibilities of different partners helps to demonstrate how the project will be delivered

A good development project - 2

A coherent project builds on knowledge and expertise – in country and in delivering development results

• Experience of partners and applicants• Expertise of personnel• Drawing on best practice – including Scottish

expertise• Knowledge of (and links with) other development

initiatives

A good development project - 3

Our learning from 2011/2012:

• 55% of applicants demonstrated the required level of technical and management expertise, based on the information provided.

• Applicants rarely detailed outcomes of previous work; this would be a good way for applicants to demonstrate expertise in delivering results.

• ‘Research-oriented’ applicants should not underestimate the expertise required to effectively work on issues relating to governance and community management

A good development project - 3

Well-designed

• Clear how project intends to deliver development outcomes (be specific – no generic statements)

• ‘Intervention logic’ reflected in planned activities, outputs and budget (be consistent across components)

• Realistic timeframe• Roles of partners and stakeholders• Inclusive• Honest risk assessment

A good development project - 4

Our learning from 2011/2012:• The majority of projects were considered to be

achievable in terms of delivering the proposed activities and outputs within the timeframe and budget provided; greater budgets (SSA) brings greater complexity and greater ‘over-ambitiousness’

• Proposals that provided more detailed project plans generally scored better as this allowed assessors to understand the ‘intervention logic’ behind the project, and demonstrated a clear understanding of how and what the project was hoping to achieve.

• Applicants need to consider how commitment to to social inclusion will be practically delivered

A good development project - 4

Focus on learning and development results

• Clear ‘monitoring and evaluation’ system integrated into project design – based on the logical framework

• Enables monitoring of progress – outputs and outcomes

• Enables learning and dissemination• Clear roles and responsibilities• Gender disaggregation

A good development project - 5

Our learning from 2011/2012:• 33% of applicants to Malawi and SSA Funds

submitted a ‘good’ M&E framework in line with the project plan

• Use of logical framework (in CJF) enabled applicants to more clearly and coherently communicate how it intended to monitor progress as a result of the project

• However greater thought on how projects can evidence what has worked, where, how and for whom is needed.

• Varying levels of knowledge/confidence with the logical framework; note that support is available

• Explicit budgets presented for M&E

A good development project - 5

Why use a Logical Framework? - 5

• This is a TOOL to support design, financial planning and monitoring for project delivery as well as evaluation

• It is a process to support the creation of the results chain and hence the design of coherent projects

• It enables financial planning for delivery of the agreed targets in each year

• Used for CJF; it helped some applicants to more clearly articulate the results chain

• It is important to COMPLETE all elements of the logical framework. A number from the CJF were incomplete, especially at the outcome level

• TIP: Start early and adjust regularly as design unfolds alongside your budgetary process.

Financially viable

• Budget and costs are realistic (and information presented clearly)

• Use of funds is efficient e.g. international travel requirements as opposed to use of national staff

• Applicants have capacity to manage the funds• Consistency with logframe and the narrative text

including staff costs, capital costs, flights and implementation costs.

A good development project - 6

Our learning from 2011/2012:• Financial aspects of the projects are still

amongst the weakest elements of the proposals. Applicants that provided more detailed and coherent budgets often scored better as this helped to demonstrate a good level of planning, and also enabled assessors to check that projects were financially viable in relation to the proposed activities and outputs.

• Unit costs and salaries varied widely. Salaries and capital costs must be sensible and clearly justified if necessary

• International travel is often not sufficiently justified.

A good development project - 6

Risk Assessment • An opportunity for applicants to demonstrate

an understanding of the social, economic, political issues that may affect the project – and identify how their project might be adapted if needed

• In 2012/13 a number of applications failed to include thorough risk assessments and incorporate the identified risks and mitigation strategies into the proposal. This was particularly relevant in relation to risks around sustainability e.g. understanding of market dynamics, maintenance of equipment, retention of staff etc.

A good development project - 7

Sustainable – Exit Strategy describes:

• Sustainable outcomes• Ownership and responsibility• Financial sustainability• Consideration of climate change• Links to other national and local initiatives• Long term management of any capital items

A good development project - 8

Our learning from 2011/2012:• Only 24% of applicants provided strong exit strategies• Applications do not demonstrate sufficient understanding

of the issues likely to affect sustainability, and how the interventions proposed are to address these.

• Good exit strategies often focussed on capacity building, introduction of simple technology, and ‘becoming financially sustainable’.

• Insufficient attention was often given to uptake and maintenance of technology post-project by beneficiaries, details around financial sustainability e.g. evidence of a business plan or market analysis, and integration into existing initiatives or systems (regionally or locally).

A good development project - 8

KNOWING WHAT IS TO

BE DELIVERED – AND THAT IT HAS TO BE

DELIVERED!

(LOGFRAME & LEARNING)

FINANCIAL S’SHEET TO COVER

SALARIES,

TRAVEL & SUBSISTENCE

, CAPITAL, IMPLEMT’N,

ETC.

NEEDS ANALYSIS:

EVIDENCE FROM PAST OR SIMILAR ACTIVITIES

RELATIONSHIPS BETWEEN PARTNERS:

ACHIEVEMENTS AND SYNERGIES

COHERENCE

WITH COUNTRY & SG PRIORITIES

WHAT WILL BE DONE AND BY

WHOM?

e.g. ROLES AND RESPONSIBILITIE

S

COMPETENCY OF THE TEAM

e.g. TECHNICAL, FACILITATIVE,

SOCIAL & PARTICIPATION &

MANAGEMENT SKILLS

EXIT STRATEGYBeyond just finding further finance!

Covers capacity development, systems and processes e.g. management of capital items; handover arrangements and how evidence used in other national processes

• The South Asia and the Malawi fund applications will be managed through an Independent Assessment Process.

• It will be based on Scottish Government

Guidance, Assessment Criteria and Best Practice in International Development including your presentation of evidence through the application form (3 parts) process.

Follow the Guidance!

Independent Assessment Process

Resources for support

• NIDOS

• Local Livelihoods (www.locallivelihoods.com ) have free downloads which are useful http://www.uk.locallivelihoods.com/Moduls/WebSite/Page/Default.aspx?Pag_Id=109

• Including a Results Based Management Capacity Building Toolkit: http://www.uk.locallivelihoods.com/UploadImages/file/RBM%20Capacity%20Building%20Toolkit(1).pdf

• Useful site for lots more information on Monitoring and Evaluation is: Monitoring and Evaluation News: http://mande.co.uk/